PUBLIC OFFICERS LAW - and other State Ethics Laws related to

PUBLIC OFFICERS LAW

and other State Ethics Laws related to State

Employees and Officials

2022 EDITION

Table of Contents

EXECUTIVE LAW

§94

Commission on Ethics and Lobbying in Government;

functions, powers and duties; review of financial disclosure

statements; advisory opinions; investigation and enforcement.

Effective July 8, 2022

LEGISLATIVE LAW

§80

Legislative Ethics Commission

Effective July 8, 2022

PUBLIC OFFICERS LAW

§73

Business or professional activities by state officers and

employees and party officers

Effective July 8, 2022

§73-a

Financial Disclosure

Effective July 8, 2022

§74

Code of Ethics 103

§74-a

Duty of public officers regarding the physically handicapped

107

§75

Bribery of members of the legislature 107

§75-a

Appearance by a person convicted of a crime of corruption

107

§76

Receiving bribes by members of the legislature 108

§77

Unlawful fees and payments 108

§77-a

Members of the legislature liable to forfeiture of office 108

§78

Certification of members, officers and employees 109

§79

Fine in certain cases

109

Table of Contents |

CIVIL SERVICE LAW

§107

Prohibition against certain political activities; improper

influence

111

LEGISLATIVE LAW

Article 1-A

The Lobbying Act

Effective July 8, 2022

115

RETIREMENT AND SOCIAL SECURITY LAW

Article 3-B

Pension forfeiture for Public Officials 163

REGULATIONS

Title 19 NYCRR

Part 930 – Honoraria

Effective 6/18/2014

171

Title 19 NYCRR

Part 931 – Official Activity Expense Payments

Effective 6/18/2014

179

Title 19 NYCRR

Part 932 – Outside Activities

Effective 7/22/2015

187

Title 19 NYCRR

Part 933 – Gifts (Pursuant to Public Officers Law)

Effective 6/18/2014

195

Title 19 NYCRR

Part 934 – Gifts (Pursuant to Legislative Law 1-A)

Effective 6/18/2014

207

Title 19 NYCRR

Part 935 – FDS Exemptions

Effective 6/6/2018

217

Title 19 NYCRR

Part 936 – FDS Extensions

Effective 6/6/2018

223

Title 19 NYCRR

Part 937 – Records Access

Effective 11/ 3/2021

229

Title 19 NYCRR

Part 938 – Source of Funding

Effective 1/1/2021

235

Title 19 NYCRR

Part 940 – Public Service Announcements

Effective 7/24/2014

253

Table of Contents |

Title 19 NYCRR

Part 941 – Adjudicatory Proceedings

Effective 1/25/2022

259

Title 19 NYCRR

Part 942 – Procedure for Requesting an Exemption from

Publicly Disclosing Client Information Pursuant to Questions

8(b-1), 8(b-2) or 8(c) on a Financial Disclosure Statement

Effective 4/12/2017

281

Title 19 NYCRR

Part 943 – Comprehensive Lobbying Regulations

Effective 1/1/2021

289

POL and other Ethics and Lobbying Related Laws and Regulations | 1

§ 94. Commission on Ethics and Lobbying in

Government.

1. (a)

Commission established. There is hereby established within the department of state, a

commission on ethics and lobbying in government, an agency responsible for administering,

enforcing, and interpreting New York state's ethics and lobbying laws. The commission shall

have and exercise the powers and duties set forth in this section with respect to statewide elected

officials, members of the legislature and employees of the legislature, and state officers and

employees as defined in sections seventy-three, seventy-three-a, and seventy-four of the public

officers law, candidates for statewide elected office and for the senate or assembly, and the

political party chair as is defined in section seventy-three of the public officers law, lobbyists and

the clients of lobbyists as defined in section one-c of the legislative law, and individuals who have

formerly held such positions, were lobbyists or clients of lobbyists as defined in section one-c of

the legislative law, or who have formerly been such candidates.

(b) The commission shall provide for the transfer, assumption or other disposition of the records,

property, and personnel affected by this section, and it is further provided, should any employees

be transferred from the joint commission on public ethics ("JCOPE"), the predecessor ethics

agency, to the commission, that such transfer will be without further examination or

qualification and such employees shall retain their respective civil service classifications, status

and collective bargaining agreements.

establish policies to address them.

(d) The commission shall undertake a comprehensive review of all regulations in effect upon the

effective date of this section; and review of all advisory opinions of predecessor ethics agencies,

including JCOPE, the legislative ethics commission, the commission on public integrity, the

state ethics commission, and the temporary lobbying commission, which will address the

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consistency of such regulations and advisory opinions among each other and with the new

statutory language, and of the effectiveness of the existing laws, regulations, guidance and ethics

enforcement structure.

(e) This section shall not be deemed to have revoked or rescinded any regulations or advisory

opinions in effect on the effective date of this section that were issued by predecessor ethics and

lobbying bodies. The commission shall cooperate, consult, and coordinate with the legislative

ethics commission, to the extent possible, to administer and enforce the laws under its

jurisdiction.

(f) The annual budget submitted by the governor shall separately state the recommended

appropriations for the commission on ethics and lobbying in government. Upon enactment,

these separately stated appropriations for the commission on ethics and lobbying in government

shall not be decreased by interchange with any other appropriation, notwithstanding section

fifty-one of the state finance law.

2. Definitions. For the purposes of this section, the following terms shall have the following meanings:

(a) "commission" means the commission on ethics and lobbying in government established

pursuant to subdivision one of this section.

(b) "selection members" means the governor, speaker of the assembly, temporary president

of the senate, minority leader of the senate, minority leader of the assembly, comptroller,

and the attorney general.

accredited New York state law school deans or interim deans, or their designee who is an

associate dean of their respective law school, tasked with reviewing, approving, or denying

the members of the commission as nominated by the selection members and other tasks

pursuant to this section.

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(d) "respondent" means the individual or individuals or organization or organizations subject

to an inquiry, investigation, or enforcement action.

(e) "victim" means any individual that has suffered or alleged to have suffered direct harm

from any violation of law that is subject to investigation under the jurisdiction of the

commission.

3. Nomination and appointment of the commission.

(a) The commission shall consist of eleven members, to be nominated by the selection

members as follows: three members by the governor; two members by the temporary

president of the senate; one member by the minority leader of the senate; two members by

the speaker of the assembly; one member by the minority leader of the assembly; one

member by the attorney general; and one member by the comptroller.

(b) The independent review committee shall within thirty days review the qualifications of the

nominated candidates and approve or deny each candidate nominated by their respective

selection member.

will review the qualifications of the nominated candidate and approve or deny each

candidate.

(d) Those candidates that the independent review committee deems to meet the qualifications

necessary for the services required based on their background and expertise that relate to

the candidate's potential service on the commission shall be appointed as a commission

member. The nominating selection member shall nominate a new candidate for those that

are denied by the independent review committee.

(e) No individual shall be eligible for nomination and appointment as a member of the

commission who is currently, or has within the last two years:

(i) been registered as a lobbyist in New York state;

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(ii) been a member or employee of the New York state legislature, a statewide elected

official, or a commissioner of an executive agency appointed by the governor;

(iii) been a political party chair, as defined in section seventy-three of the public officers

law; or

(iv) been a state officer or employee as defined in section seventy-three of the public

officers law.

(f) The independent review committee shall convene as needed or as requested by the

selection members. The chair of the independent review committee shall be elected from

the members of the independent review committee.

(g) Appropriate staffing and other resources shall be provided for in the commission's budget

for the independent review committee to carry out its powers, functions, and duties. The

independent review committee shall publish on the commission's website a procedure by

which it will review and select the commission members and other processes to effectuate

its responsibilities under this section.

(h) The majority of the independent review committee shall constitute a quorum to hold a

meeting and conduct official business.

(i) During the pendency of the review and approval or denial of the candidates, the

independent review committee shall be subject to and maintain confidentiality in all

independent review committee processes, reviews, analyses, approvals, and denials. A

member of the independent review committee may be removed by majority vote of the

committee for substantial neglect of duty, misconduct, violation of the confidentiality

restrictions set forth in this section, inability to discharge the powers or duties of the

committee or violation of this section, after written notice and opportunity for a reply.

(j) Upon the receipt of the selection members' appointments, members of the independent

review committee shall disclose to the independent review committee any personal,

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professional, financial, or other direct or indirect relationships a member of the

independent review committee may have with an appointee. If the independent review

committee determines a conflict of interest exists, such independent review committee

member shall, in writing, notify the other members of the independent review committee

of the possible conflict. The member may recuse themself from all subsequent involvement

in the consideration of and action upon the appointment. If, after disclosure, the member

does not recuse themself from the matter, the independent review committee, by majority

vote finding the disclosed information creates a substantial conflict of interest, may

remove the conflicted member from further consideration of and action upon the

appointment.

(k) Notwithstanding the provisions of article seven of the public officers law, no meeting or

proceeding of the independent review committee shall be open to the public, except the

applicable records pertaining to the review and selection process for a member's seat shall

be subject to disclosure pursuant to article six of the public officers law only after an

individual member is appointed to the commission. Requests for such records shall be

made to, and processed by, the commission's records access officer.

(l) The independent review committee shall neither be public officers nor be subject to the

requirements of the public officers law.

(m) Notwithstanding subdivision (l) of this section, the independent review committee

members shall be entitled to representation, indemnification, and to be held harmless to

the same extent as any other person employed in service of the state and entitled to such

coverage under sections seventeen and nineteen of the public officers law, provided

however, that any independent review committee member removed due to a violation of

paragraph (i) of this subdivision shall not qualify for such entitlements.

4. Commission. (a) The first class of members of the commission shall serve staggered terms to ensure

continuity. For the first class of the commission, five members shall serve a term of four years, three

members shall serve a term of two years, and one member shall serve a term of one year. All

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subsequent members shall serve a term of four years. No member shall be selected to the

commission for more than two full consecutive terms, except that a member who has held the

position by filling a vacancy can only be selected to the commission for an additional two full

consecutive terms.

(b) The commission by majority vote shall elect a chairperson from among its members for a term

of two years. A chairperson may be elected to no more than two terms for such office.

neglect of duty, misconduct in office, violation of the confidentiality restrictions set forth in this

section, inability to discharge the powers or duties of office or violation of this section, after

written notice and opportunity for a reply.

(d) Any vacancy occurring on the commission shall be filled within thirty days of its occurrence in

the same manner as a member is initially selected to complete the vacant term.

(e) During the period of a member's service as a member of the commission, the member shall

refrain from making, or soliciting from other persons, any contributions to candidates, political

action committees, political parties or committees, newsletter funds, or political advertisements

for election to the offices of governor, lieutenant governor, member of the assembly or the

senate, attorney general or state comptroller.

(f) Members of the commission shall receive a per diem allowance equal to the salary of a justice of

the supreme court divided by two hundred twenty for each day or each pro-rated day actually

spent in the performance of the member's duties under this section, and, in addition thereto,

shall be reimbursed for all reasonable expenses actually and necessarily incurred by the member

in the performance of the member's duties under this section. For the purposes of this

subdivision, a day shall consist of at least seven and one-half hours spent in the performance of

the member's duties under this section.

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(g) The commission shall meet at least quarterly and additionally as called by the chairperson, or

upon the call of a majority of the members of the commission. The commission shall be subject

to articles six and seven of the public officers law.

(h) A majority of the members of the commission shall constitute a quorum, and the commission

shall have the power to act by majority vote of the total number of members of the commission

without vacancy.

(i) The commission shall hold a public hearing at least once each calendar year to take testimony

regarding the operation of the commission and solicit public input regarding potential or

proposed changes in the laws under its jurisdiction.

5. Powers. (a) The commission has the authority to: (i) adopt, amend, and rescind any rules and

regulations pertaining to section seventy-three, seventy-three-a or seventy-four of the public officers

law, article one-A of the legislative law, or section one hundred seven of the civil service law; (ii)

adopt, amend, and rescind any procedures of the commission, including but not limited to,

procedures for advice and guidance, training, filing, review, and enforcement of financial disclosure

statements, investigations, enforcement, and due process hearings; and (iii) develop and promulgate

any programs for reviews, training, and guidance to carry out the commission's mission.

(b) The commission shall adopt and post on its website guidance documents detailing the processes

and procedures of an investigation, including the stages of an investigation; timelines, including

the reasons for any potential delays in an investigation; the hearing and adjudication process;

outcomes of an investigation; and, anything else the commission deems necessary to inform the

public as well as relevant parties to an investigation including complainants, respondents,

victims, if any, and witnesses as to such processes and procedures. The guidance documents

shall delineate the processes and procedures that apply to the relevant parties, including, where

applicable, the due process and any other rights or remedies that the relevant party may have

under the commission's procedures or any other area of law. The guidance documents shall be

provided to the relevant party of an investigation upon such party's involvement in such

investigation.

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oaths or affirmations, subpoena witnesses, compel their attendance and require the production

of any books or records which it may deem relevant or material.

6. Executive director and commission staff. The commission shall:

(a) (i) Appoint an executive director through a majority vote of the members of the commission,

who shall act in accordance with the policies of the commission. The executive director shall be

appointed without regard to political affiliation and solely on the basis of fitness to perform the

duties assigned by this section, and meet the qualifications necessary for the services required

based on their background and expertise that relate to the candidate's potential service to the

commission. No individual shall be eligible to be appointed as an executive director if the

individual is currently, or within the last two years has been:

(1) registered as a lobbyist in New York state;

(2) a member or employee of the New York state legislature or a statewide elected

official, or a commissioner of an executive agency appointed by the governor; or

(3) a political party chair, as defined in section seventy-three of the public officers

law.

(ii) The appointment and removal of the executive director shall be made by a majority vote of

the commission.

(iii) The term of office of the executive director shall be four years from the date of appointment.

The salary of the executive director shall be determined by the members of the commission

based on experience.

(iv) The commission may remove the executive director for neglect of duty, misconduct in

office, violation of the confidentiality restrictions in this section, or inability or failure to

discharge the powers or duties of office, including the failure to follow the lawful

instructions of the commission.

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(b) The commission may delegate authority to the executive director to act in the name of the

commission between meetings of the commission provided such delegation is in writing, the

specific powers to be delegated are numerated, and the commission shall not delegate any

decisions specified in this section that require a vote of the commission.

to carry out it duties, including, but not limited to, (i) an advice and guidance unit, (ii) a training

unit, (iii) a financial disclosure unit, (iv) a lobbying unit, and (v) an investigations and

enforcement unit.

(d) The commission, through the executive director, shall appoint such other staff as are necessary

to carry out its duties under this section, including, but not limited to, a deputy director of an

advice and guidance unit to provide timely confidential advice to persons subject to the

commission's jurisdiction, a deputy director for training, a deputy director for investigations

and enforcement, and a deputy director for lobbying.

(e) In addition to meeting the qualifications necessary for the services required for the position, the

deputy director for investigations and enforcement shall have completed substantial training

and have experience in trauma-informed approaches to investigations and enforcement. The

deputy director for investigations and enforcement shall complete a minimum of four hours of

training annually in trauma-informed approaches to investigations and enforcement. Such

trainings may include, but not be limited to, the impact of trauma, first impression matters,

victim interviews, investigative strategies, and alcohol and drug facilitated cases.

(f) The commission, through the executive director, shall review and approve a staffing plan

provided and prepared by the executive director which shall contain, at a minimum, a list of the

various units and divisions as well as the number of positions in each unit, titles and their duties,

and salaries, as well as the various qualifications for each position.

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7. Advice and guidance.

(a) The commission shall establish a unit or units solely for ethics and lobbying guidance, and

give such prompt, informal advice to persons whose conduct it oversees, except with

respect to members of the legislature and legislative staff, who shall seek advice from the

legislative ethics commission in the first instance.

(b) Persons receiving such informal advice may rely on that advice absent misrepresentation

or omission of material facts to the commission and such communications with the

commission shall be treated as confidential, except as disclosure is needed to prevent or

rectify a crime or fraud, or prevent a substantial threat to public health or safety or if

required by court order.

opinions, and may allow for public comment before issuance of an advisory opinion. Such

an opinion rendered by the commission shall be relied on by those subject to the

commission's jurisdiction and until, or unless, amended, superseded, or revoked. Such

opinion may also be relied upon by any such person, and may be introduced and shall be

a defense, in any criminal or civil action.

8. Training. The commission shall establish a training unit and shall develop and administer an on-

going program for the education and training in ethics and lobbying for those subject to the

provisions of this section, as follows:

(a) The commission shall develop and administer a comprehensive and interactive live-in

person or live-online ethics training course and shall designate and train instructors to

conduct such training. Such live course shall be designed to include practical application

of the material covered and a question-and-answer participatory segment. Unless the

commission grants an extension or waiver for good cause shown, statewide elected

officials, members of the legislature and employees of the legislature, and state officers and

employees as defined in sections seventy-three, seventy-three-a, and seventy-four of the

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public officers law, and the political party chair as is defined in section seventy-three of the

public officers law, shall complete the live course within ninety days of appointment or

employment and shall complete the live course every two years subsequently.

(b) The commission shall develop and administer an online ethics refresher course for all

individuals listed under subparagraph (i) of this paragraph who have previously completed

the live course. Such refresher course shall be designed to include any changes in law,

regulation, or policy or in the interpretation thereof, and practical application of the

material covered. Unless the commission grants an extension or waiver for good cause

shown, such individuals shall take such refresher course once every year after having

completed the live course under paragraph (a) of this subdivision.

for agency ethics officers.

(d) The commission shall develop and administer training courses for lobbyists and clients of

lobbyists.

(e) The provisions of this subdivision shall be applicable to the legislature except to the extent

that an ethics training program is otherwise established by the assembly and/or senate for

their respective members and employees and such program meets or exceeds each of the

requirements set forth in this subdivision.

(f) On an annual basis, the commission, in coordination with the legislative ethics

commission, shall determine the status of compliance with the training requirements

under this subdivision by each state agency and by the senate and the assembly. Such

determination shall include aggregate statistics regarding participation in such training

and shall be reported on a quarterly basis to the governor and the legislature in writing.

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9. Financial disclosure statements.

(a) The commission may delegate all or part of review, inquiry and advice in this section to

the staff under the supervision of the executive director.

(b) The commission shall make available forms for annual statements of financial disclosure

required to be filed pursuant to section seventy-three-a of the public officers law.

officials and members of the legislature within sixty days of their filings to determine,

among other things, deficiencies and conflicts.

(d) The commission shall review on a random basis the financial disclosure statements for

filers who are not statewide elected officials and members of the legislature.

(e) The commission shall review financial disclosure statements filed in accordance with the

provisions of this section and (i) inquire into any disclosed conflict to recommend how

best to address such conflict; and (ii) ascertain whether any person subject to the reporting

requirements of section seventy-three-a of the public officers law has failed to file such a

statement, has filed a deficient statement or has filed a statement which reveals a possible

violation of section seventy-three, seventy-three-a or seventy-four of the public officers

law.

(f) If a person required to file a financial disclosure statement with the commission has failed

to file a disclosure statement or has filed a deficient statement, the commission shall notify

the reporting person in writing, state the failure to file or detail the deficiency, provide the

person with a fifteen-day period to cure the deficiency, and advise the person of the

penalties for failure to comply with the reporting requirements. This first notice of

deficiency shall be confidential. If the person fails to make such filing or fails to cure the

deficiency within the specified time period, the commission shall send a notice of

delinquency (i) to the reporting person; (ii) in the case of a statewide elected official, to the

chief of staff or counsel to the statewide elected official; (iii) in the case of a member of the

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legislature or a legislative employee, to the temporary president of the senate and the

speaker of the assembly; and (iv) in the case of a state officer, employee or board member,

to the appointing authority for such person. Such notice of delinquency may be sent at any

time during the reporting person's service as a statewide elected official, state officer or

employee, member of the assembly or the senate, or a legislative employee or a political

party chair or while a candidate for statewide office, or within one year after termination

of such service or candidacy. A copy of any notice of delinquency or report shall be

included in the reporting person's file and be available for public inspection and copying

pursuant to the provisions of this section. The jurisdiction of the commission, when acting

pursuant to this subdivision with respect to financial disclosure, shall continue for two

years notwithstanding that the reporting person separates from state service, or ceases to

hold public or political party office, or ceases to be a candidate, provided the commission

notifies such person of the alleged failure to file or deficient filing pursuant to this

subdivision.

(g) The commission shall adopt a procedure whereby a person who is required to file an

annual financial disclosure statement with the commission may request an additional

period of time within which to file such statement, other than members of the legislature,

candidates for members of the legislature and legislative employees, due to justifiable cause

or undue hardship.

(h) The commission may permit any person who is required to file a financial disclosure

statement with the commission to request that the commission delete from the copy

thereof made available for public inspection and copying one or more items of information

which may be deleted by the commission upon a finding by the commission that the

information which would otherwise be required to be made available for public inspection

and copying will have no material bearing on the discharge of the reporting person's

official duties. If such request for deletion is denied, the commission, in its notification of

denial, shall inform the person of their right to appeal the commission's determination in

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a proceeding commenced against the commission, pursuant to article seventy-eight of the

civil practice law and rules.

(i) The commission may permit any person who is required to file a financial disclosure

statement with the commission to request an exemption from any requirement to report

one or more items of information which pertain to such person's spouse, domestic partner,

or unemancipated children which item or items may be exempted by the commission

upon a finding by the commission that the reporting individual's spouse, domestic partner,

on their own behalf, or on behalf of an unemancipated child, objects to providing the

information necessary to make such disclosure and that the information which would

otherwise be required to be reported shall have no material bearing on the discharge of the

reporting person's official duties. If such request for exemption is denied, the commission,

in its notification of denial, shall inform the person of their right to appeal the

commission's determination, pursuant to article seventy-eight of the civil practice law and

rules.

(j) The commission may permit any person required to file a financial disclosure statement

to request an exemption from any requirement to report the identity of a client pursuant

to the question under subparagraph (b) of paragraph eight of subdivision three of section

seventy-three-a of the public officers law in such statement based upon an exemption set

forth in such question. The reporting individual need not seek an exemption to refrain

from disclosing the identity of any client with respect to any matter where they or their

firm provided legal representation to the client in connection with an investigation or

prosecution by law enforcement authorities, bankruptcy, or domestic relations matters. In

addition, clients or customers receiving medical or dental services, mental health services,

residential real estate brokering services, or insurance brokering services need not be

disclosed. Pending any application for deletion or exemption to the commission relating

to the filing of a financial disclosure statement, all information which is the subject or part

of the application shall remain confidential. Upon an adverse determination by the

commission, the reporting individual may request, and upon such request the commission

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shall provide, that any information that is the subject or part of the application remain

confidential for a period of thirty days following notice of such determination. In the event

that the reporting individual resigns their office and holds no other office subject to the

jurisdiction of the commission, the information shall not be made public and shall be

expunged in its entirety.

(k) The commission shall permit any person who has not been determined by the person's

appointing authority to hold a policy-making position, but who is otherwise required to

file a financial disclosure statement to request an exemption from such requirement in

accordance with rules and regulations governing such exemptions. Such rules and

regulations shall provide for exemptions to be granted either on the application of an

individual or on behalf of persons who share the same job title or employment

classification which the commission deems to be comparable for purposes of this section.

Such rules and regulations may permit the granting of an exemption where, in the

discretion of the commission, the public interest does not require disclosure and the

applicant's duties do not involve the negotiation, authorization or approval of:

(i) contracts, leases, franchises, revocable consents, concessions, variances, special

permits, or licenses as such terms are defined in section seventy-three of the public

officers law;

(ii) the purchase, sale, rental or lease of real property, goods or services, or a contract

therefor;

(iii) the obtaining of grants of money or loans; or

(iv) the adoption or repeal of any rule or regulation having the force and effect of law.

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10. Investigation and enforcement.

(a) The commission shall receive complaints and referrals alleging violations of section seventy-

three, seventy-three-a or seventy-four of the public officers law, article one-A of the legislative

law, or section one hundred seven of the civil service law.

(b) Upon the receipt of a complaint, referral, or the commencement of an investigation, members

of the commission shall disclose to the commission any personal, professional, financial, or

other direct or indirect relationships a member of the commission may have with a complainant

or respondent. If any commissioner determines a conflict of interest may exist, the

commissioner shall, in writing, notify the other members of the commission setting forth the

possible conflict of interest. The commissioner may recuse themself from all subsequent

involvement in the consideration and determination of the matter. If, after the disclosure, the

commissioner does not recuse themself from the matter, the commission, by a majority vote

finding that the disclosed information creates a substantial conflict of interest, shall remove the

conflicted commissioner from all subsequent involvement in the consideration and

determination of the matter, provided the reason for the decision is clearly stated in the

determination of the commission.

section. Pursuant to this power and duty, the commission may administer oaths or affirmations,

subpoena witnesses, compel their attendance and testimony, and require the production of any

books or records which it may deem relevant or material. The commission may, by a majority

vote and pursuant to regulations adopted pursuant to the state administrative procedure act,

delegate to the executive director the authority to issue subpoenas, provided that the executive

director first notify the chair of the commission.

(d) The commission staff shall review and investigate, as appropriate, any information in the nature

of a complaint or referral received by the commission or initiated by the commission, including

through its review of media reports and other information, where there is specific and credible

evidence that a violation of section seventy-three, seventy-three-a, or seventy-four of the public

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officers law, section one hundred seven of the civil service law or article one-A of the legislative

law by a person or entity subject to the jurisdiction of the commission including members of the

legislature and legislative employees and candidates for members of the legislature.

(e) The commission shall notify the complainant, if any, that the commission has received their

complaint.

(f) If, following a preliminary review of any complaint or referral, the commission or commission

staff decides to elevate such preliminary review into an investigation, written notice shall be

provided to the respondent setting forth, to the extent the commission is able to, the possible or

alleged violation or violations of such law and a description of the allegations against the

respondent and the evidence, if any, already gathered pertaining to such allegations, provided

however that any information that may, in the judgment of the commission or staff, either be

prejudicial to the complainant or compromise the investigation shall be redacted. The

respondent shall have fifteen days from receipt of the written notice to provide any preliminary

response or information the respondent determines may benefit the commission or commission

staff in its work. After the review and investigation, the staff shall prepare a report to the

commission setting forth the allegation or allegations made, the evidence gathered in the review

and investigation tending to support and disprove, if any, the allegation or allegations, the

relevant law, and a recommendation for the closing of the matter as unfounded or

unsubstantiated, for settlement, for guidance, or moving the matter to a confidential due process

hearing. The commission shall, by majority vote, return the matter to the staff for further

investigation or accept or reject the staff recommendation.

(g) In an investigation involving a victim the commission shall ensure that any interview of such

victim is upon such victim's consent and that the investigator or investigators interviewing such

victim have adequate trauma informed and victim centered investigative training. If a victim is

requested to testify at a hearing, the commission shall provide sufficient notice to the victim of

such request. Regardless of whether a victim is requested to or testifies at a hearing, the victim

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shall be informed as to how any statements made or information provided will be used in an

investigation.

(h) Upon the conclusion of an investigation, if the commission, after consideration of a staff report,

determines by majority vote that there is credible evidence of a violation of the laws under its

jurisdiction, it shall provide the respondent timely notice for a due process hearing. The

commission shall also inform the respondent of its rules regarding the conduct of adjudicatory

proceedings and appeals and the other due process procedural mechanisms available to the

respondent. If after a hearing the complaint is unsubstantiated or unfounded, the commission

shall provide written notice to the respondent, complainant, if any, and victim, if any, provided

that such notice shall not include any personally identifying information or information tending

to identify any party involved in an investigation.

(i) The hearing shall be conducted before an independent arbitrator. Such hearing shall afford the

respondent with a reasonable opportunity to appear in person, and by attorney, give sworn

testimony, present evidence, and cross-examine witnesses.

(j) The commission may, at any time, develop procedures and rules for resolution of de minimus

or minor violations that can be resolved outside of the enforcement process, including the

sending of a confidential guidance or educational letter.

(k) The jurisdiction of the commission when acting pursuant to this section shall continue

notwithstanding that a statewide elected official or a state officer or employee or member of the

legislature or legislative employee separates from state service, or a political party chair ceases to

hold such office, or a candidate ceases to be a candidate, or a lobbyist or client of a lobbyist ceases

to act as such, provided that the commission notifies such individual or entity of the alleged

violation of law within two years from the individual's separation from state service or

termination of party service or candidacy, or from the last report filed pursuant to article one-A

of the legislative law. Nothing in this section shall serve to limit the jurisdiction of the

commission in enforcement of subdivision eight of section seventy-three of the public officers

law.

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(l) If the commission's vote to proceed to a due process hearing after the completion of an

investigation does not carry, the commission shall provide written notice of the decision to the

respondent, complainant, if any, and victim, if any, provided that such notice shall not include

any personally identifying information or information tending to identify any party involved in

an investigation.

(m) If the commission determines a complaint or referral lacks specific and credible evidence of a

violation of the laws under its jurisdiction, or a matter is closed due to the allegations being

unsubstantiated prior to a vote by the commission, such records and all related material shall be

exempt from public disclosure under article six of the public officers law, except the

commission's vote shall be publicly disclosed in accordance with articles six and seven of the

public officers law. The commission shall provide written notice of such closure to the

respondent, complainant, if any, or victim, if any, provided that such notice shall not include

any personally identifying information or information tending to identify any party involved in

an investigation.

(n) (i) An individual subject to the jurisdiction of the commission who knowingly and intentionally

violates the provisions of subdivisions two through five-a, seven, eight, twelve or fourteen

through seventeen of section seventy-three of the public officers law, section one hundred seven

of the civil service law, or a reporting individual who knowingly and willfully fails to file an

annual statement of financial disclosure or who knowingly and willfully with intent to deceive

makes a false statement or fraudulent omission or gives information which such individual

knows to be false on such statement of financial disclosure filed pursuant to section seventy-

three-a of the public officers law, shall be subject to a civil penalty in an amount not to exceed

forty thousand dollars and the value of any gift, compensation or benefit received as a result of

such violation.

(ii) An individual who knowingly and intentionally violates the provisions of paragraph a, b, c,

d, e, g, or i of subdivision three of section seventy-four of the public officers law, shall be

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subject to a civil penalty in an amount not to exceed ten thousand dollars and the value of

any gift, compensation or benefit received as a result of such violation.

(iii) An individual subject to the jurisdiction of the commission who knowingly and willfully

violates article one-A of the legislative law shall be subject to civil penalty as provided for in

that article.

(iv) With respect to a potential violation of any criminal law where the commission finds

sufficient cause by a majority vote, it shall refer such matter to the appropriate law

enforcement authority for further investigation.

(v) In assessing the amount of the civil penalties to be imposed, the commission shall consider

the seriousness of the violation, the amount of gain to the individual and whether the

individual previously had any civil or criminal penalties imposed pursuant to this section,

and any other factors the commission deems appropriate.

(vi) A civil penalty for false filing shall not be imposed under this subdivision in the event a

category of "value" or "amount" reported hereunder is incorrect unless such reported

information is falsely understated.

(vii) Notwithstanding any other provision of law to the contrary, no other penalty, civil or

criminal may be imposed for a failure to file, or for a false filing, of such statement, or a

violation of subdivision six of section seventy-three of the public officers law or section one

hundred seven of the civil service law, except that the commission may recommend that the

individual in violation of such subdivision or section be disciplined.

(o) The commission shall be deemed to be an agency within the meaning of article three of the state

administrative procedure act and shall adopt rules governing the conduct of adjudicatory

proceedings and appeals taken pursuant to a proceeding commenced under article seventy-eight

of the civil practice law and rules relating to the assessment of the civil penalties or the

recommendation of employee discipline herein authorized. Such rule shall provide for due

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process procedural mechanisms substantially similar to those set forth in article three of the state

administrative procedure act but such mechanisms need not be identical in terms or scope.

(p) (i) The commission shall have jurisdiction to investigate, but shall have no jurisdiction to impose

penalties or discipline upon members of or candidates for member of the legislature or legislative

employees for any violation of the public officers law or section one hundred seven of the civil

service law. If, after investigation and a due process hearing, the commission has found, by a

majority vote, a substantial basis to conclude that a member of the legislature or a legislative

employee or candidate for member of the legislature has violated any provisions of such laws, it

shall prepare a written report of its findings and provide a copy of that report to the legislative

ethics commission, and to such individual in violation of such law. The commission shall

provide to the legislative ethics commission copies of the full investigative file and hearing

record.

(ii) With respect to the investigation of any individual who is not a member of the legislature or

a legislative employee or candidate for member of the legislature, if after its investigation

and due process hearing, the commission has found, by a majority vote, a substantial basis

to conclude that the individual or entity has violated the public officers law, section one

hundred seven of the civil service law, or the legislative law, the commission shall determine

whether, in addition to or in lieu of any fine authorized by this article, the matter should be

referred to their employer for discipline with a warning, admonition, censure, suspension

or termination or other appropriate discipline. With regard to statewide elected officials, the

commission may not order suspension or termination but may recommend impeachment.

The commission shall then issue a report containing its determinations including its

findings of fact and conclusions of law to the complainant and respondent. The commission

shall publish such report on its website within twenty days of its delivery to the complainant

and respondent.

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11. Confidentiality.

(a) When an individual becomes a commissioner or staff of the commission, such individual shall

be required to sign a non-disclosure statement.

(b) Except as otherwise required or provided by law, or when necessary to inform the complainant

or respondent of the alleged violation of law, if any, of the status of an investigation, testimony

received, or any other information obtained by a commissioner or staff of the commission, shall

not be disclosed by any such individual to any person or entity outside of the commission during

the pendency of any matter. Any confidential communication to any person or entity outside

the commission related to the matters before the commission shall occur only as authorized by

the commission. For the purposes of this paragraph, "matter" shall mean any complaint, review,

inquiry, or investigation into alleged violations of this chapter.

any information received by any member of the commission or staff of the commission. Any

breaches of confidentiality may be investigated by the New York state office of the inspector

general, attorney general, or other appropriate law enforcement authority upon a majority vote

of the commission to refer, and appropriate action shall be taken.

(d) Any commission member or person employed by the commission who intentionally and

without authorization releases confidential information received or generated by the

commission shall be guilty of a class A misdemeanor.

12. Annual report.

(a) The commission shall make an annual public report summarizing the activities of the

commission during the previous year and recommending any changes in the laws governing the

conduct of persons subject to the jurisdiction of the commission, or the rules, regulations and

procedures governing the commission's conduct. Such report shall include, but is not limited to:

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(i) information on the number and type of complaints received by the commission and the

status of such complaints;

(ii) information on the number of investigations pending and nature of such investigations;

(iii) where a matter has been resolved, the date and nature of the disposition and any

sanction imposed; provided, however, that such annual report shall not contain any

information for which disclosure is not permitted pursuant to this section or other laws;

(iv) information regarding financial disclosure compliance for the preceding year; and

(v) information regarding lobbying law filing compliance for the preceding year.

(b) Such a report shall be filed in the office of the governor and with the legislature on or before the

first day of April for the preceding year.

13. Website.

(a) Within one hundred twenty days of the effective date of this section, the commission shall

update JCOPE's publicly accessible website which shall set forth the procedure for filing a

complaint with the commission, the filing of financial disclosure statements filed by state officers

or employees or legislative employees, the filing of statements required by article one-A of the

legislative law, and any other records or information which the commission determines to be

appropriate.

(b) The commission shall post on its website the following documents:

(i) the information set forth in an annual statement of financial disclosure filed pursuant

to section seventy-three-a of the public officers law except information deleted pursuant

to paragraph (g) of subdivision nine of this section of statewide elected officials and

members of the legislature;

(ii) notices of delinquency sent under subdivision nine of this section;

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(iii) notices of civil assessments imposed under this section which shall include a description

of the nature of the alleged wrongdoing, the procedural history of the complaint, the

findings and determinations made by the commission, and any sanction imposed;

(iv) the terms of any settlement or compromise of a complaint or referral which includes a

fine, penalty or other remedy;

(v) those required to be held or maintained publicly available pursuant to article one-A of

the legislative law; and

(vi) reports issued by the commission pursuant to this section.

14. Additional powers. In addition to any other powers and duties specified by law, the commission

shall have the power and duty to administer and enforce all the provisions of this section.

15. Severability. If any part or provision of this section or the application thereof to any person or

organization is adjudged by a court of competent jurisdiction to be unconstitutional or otherwise

invalid, such judgment shall not affect or impair any other part or provision or the application

thereof to any other person or organization, but shall be confined in its operation to such part or

provision.

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Legislative Law Article 5 § 80.

Legislative ethics commission; functions, powers and duties; review of financial disclosure statements; advisory

opinions; imposition of penalties or other enforcement actions.

1. There is established a legislative ethics commission which shall consist of nine members. Four

members shall be members of the legislature and shall be appointed as follows: one by the temporary

president of the senate, one by the speaker of the assembly, one by the minority leader of the senate

and one by the minority leader of the assembly. The remaining five members shall not be present or

former members of the legislature, candidates for member of the legislature, employees of the

legislature, political party chairmen as defined in paragraph (k) of subdivision one of section seventy-

three of the public officers law, or lobbyists, as defined in section one-c of this chapter, or persons

who have been employees of the legislature, political party chairmen as defined in paragraph (k) of

subdivision one of section seventy-three of the public officers law, or lobbyists, as defined in section

one-c of this chapter in the previous five years, and shall be appointed as follows: one by the

temporary president of the senate, one by the speaker of the assembly, one by the minority leader of

the senate, one by the minority leader of the assembly, and one jointly by the speaker of the assembly

and majority leader of the senate. The commission shall serve as described in this section and have

and exercise the powers and duties set forth in this section only with respect to members of the

legislature, legislative employees as defined in section seventy-three of the public officers law,

candidates for member of the legislature and individuals who have formerly held such positions or

who have formerly been such candidates.

2. Members of the legislature who serve on the commission shall each have a two year term concurrent

with their legislative terms of office. The members of the commission who are not members of the

legislature and who are first appointed by the temporary president of the senate, speaker of the

assembly, minority leader of the senate, and minority leader of the assembly shall serve one, two,

three and four year terms, respectively. The member of the commission first appointed jointly by

the temporary president of the senate and speaker of the assembly shall serve a four year term. Each

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member of the commission who is not a member of the legislature shall be appointed thereafter for

a term of four years.

3. The temporary president of the senate and the speaker of the assembly shall each designate one

member of the commission as a co-chairperson thereof. The commission shall meet at least bi-

monthly and at such additional times as may be called for by the co-chairpersons jointly or any five

members of the commission.

4. Any vacancy occurring on the commission shall be filled within thirty days by the appointing

authority.

5. Five members of the commission shall constitute a quorum, and the commission shall have power

to act by majority vote of the total number of members of the commission without vacancy.

6. The members of the commission who are not members of the legislature shall be reimbursed for

reasonable expenses and receive a per diem allowance in the sum of three hundred dollars for each

day spent in the performance of their official duties.

7. The commission shall:

a. Appoint an executive director who shall act in accordance with the policies of the

commission, provided that the commission may remove the executive director for neglect

of duty, misconduct in office, or inability or failure to discharge the powers or duties of

office;

b. Appoint such other staff as are necessary to assist it to carry out its duties under this section;

c. Adopt, amend, and rescind policies, rules and regulations consistent with this section to

govern procedures of the commission which shall not be subject to the promulgation and

hearing requirements of the state administrative procedure act;

d. Administer the provisions of this section;

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e. Specify the procedures whereby a person who is required to file an annual financial

disclosure statement with the commission may request an additional period of time within

which to file such statement, due to justifiable cause or undue hardship; such rules or

regulations shall provide for a date beyond which in all cases of justifiable cause or undue

hardship no further extension of time will be granted;

f. Promulgate guidelines to assist appointing authorities in determining which persons hold

policy-making positions for purposes of section seventy-three-a of the public officers law

and may promulgate guidelines to assist firms, associations and corporations in separating

affected persons from net revenues for purposes of subdivision ten of section seventy-three

of the public officers law, and promulgate guidelines to assist any firm, association or

corporation in which any present or former statewide elected official, state officer or

employee, member of the legislature or legislative employee, or political party chair is a

member, associate, retired member, of counsel or shareholder, in complying with the

provisions of subdivision ten of section seventy-three of the public officers law with respect

to the separation of such present or former statewide elected official, state officer or

employee, member of the legislature or legislative employee, or political party chair from

the net revenues of the firm, association or corporation. Such firm, association or

corporation shall not be required to adopt the procedures contained in the guidelines to

establish compliance with subdivision ten of section seventy-three of the public officers law,

but if such firm, association or corporation does adopt such procedures, it shall be deemed

to be in compliance with such subdivision ten;

g. Make available forms for financial disclosure statements required to be filed pursuant to

subdivision six of section seventy-three and section seventy-three-a of the public officers law

as provided by the commission on ethics and lobbying in government;

h. Review financial disclosure statements in accordance with the provisions of this section,

provided however, that the commission may delegate all or part of the review function

relating to financial disclosure statements filed by legislative employees pursuant to sections

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seventy-three and seventy-three-a of the public officers law to the executive director who

shall be responsible for completing staff review of such statements in a manner consistent

with the terms of the commission's delegation;

i. Upon written request from any person who is subject to the jurisdiction of the commission

and the requirements of sections seventy-three, seventy-three-a and seventy-four of the

public officers law, render formal advisory opinions on the requirements of said provisions.

A formal written opinion rendered by the commission, until and unless amended or

revoked, shall be binding on the legislative ethics commission in any subsequent proceeding

concerning the person who requested the opinion and who acted in good faith, unless

material facts were omitted or misstated by the person in the request for an opinion. Such

opinion may also be relied upon by such person, and may be introduced and shall be a

defense in any criminal or civil action. The commission on ethics and lobbying in

government shall not investigate an individual for potential violations of law based upon

conduct approved and covered in its entirety by such an opinion, except that such opinion

shall not prevent or preclude an investigation of and report to the legislative ethics

commission concerning the conduct of the person who obtained it by the commission on

ethics and lobbying in government for violations of section seventy-three, seventy-three-a

or seventy-four of the public officers law to determine whether the person accurately and

fully represented to the legislative ethics commission the facts relevant to the formal

advisory opinion and whether the person's conduct conformed to those factual

representations. The commission on ethics and lobbying in government shall be authorized

and shall have jurisdiction to investigate potential violations of the law arising from conduct

outside of the scope of the terms of the advisory opinion; and

j. Issue and publish generic advisory opinions covering questions frequently posed to the

commission, or questions common to a class or defined category of persons, or that will

tend to prevent undue repetition of requests or undue complication, and which are intended

to provide general guidance and information to persons subject to the commission's

jurisdiction;

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k. Develop educational materials and training with regard to legislative ethics for members of

the legislature and legislative employees including an online ethics orientation course for

newly-hired employees and, as requested by the senate or the assembly, materials and

training in relation to a comprehensive ethics training program; and

l. Prepare an annual report to the governor and legislature summarizing the activities of the

commission during the previous year and recommending any changes in the laws governing

the conduct of persons subject to the jurisdiction of the commission, or the rules, regulations

and procedures governing the commission's conduct. Such report shall include: (i) a listing

by assigned number of each complaint and report received from the commission on ethics

and lobbying in government which alleged a possible violation within its jurisdiction,

including the current status of each complaint, and (ii) where a matter has been resolved,

the date and nature of the disposition and any sanction imposed, subject to the

confidentiality requirements of this section. Such annual report shall not contain any

information for which disclosure is not permitted pursuant to subdivision twelve of this

section.

8. The jurisdiction of the commission to impose penalties when acting pursuant to this section shall

continue notwithstanding that a member of the legislature or a legislative employee separates from

state service, or a candidate for member of the legislature ceases to be a candidate, provided that such

individual has been notified of the alleged violation of law within one year from his or her separation

from state service or the termination of his or her candidacy.

9. (a) An individual subject to the jurisdiction of the commission with respect to the imposition of

penalties who knowingly and intentionally violates the provisions of subdivisions two through five-

a, seven, eight, twelve, fourteen or fifteen of section seventy-three of the public officers law or a

reporting individual who knowingly and wilfully fails to file an annual statement of financial

disclosure or who knowingly and wilfully with intent to deceive makes a false statement or gives

information which such individual knows to be false on such statement of financial disclosure filed

pursuant to section seventy-three-a of the public officers law shall be subject to a civil penalty in an

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amount not to exceed forty thousand dollars and the value of any gift, compensation or benefit

received as a result of such violation. Any such individual who knowingly and intentionally violates

the provisions of paragraph a, b, c, d, e, g, or i of subdivision three of section seventy-four of the

public officers law shall be subject to a civil penalty in an amount not to exceed ten thousand dollars

and the value of any gift, compensation or benefit received as a result of such violation. Assessment

of a civil penalty hereunder shall be made by the commission with respect to persons subject to its

jurisdiction. In assessing the amount of the civil penalties to be imposed, the commission shall

consider the seriousness of the violation, the amount of gain to the individual and whether the

individual previously had any civil or criminal penalties imposed pursuant to this section, and any

other factors the commission deems appropriate. For a violation of this section, other than for

conduct which constitutes a violation of subdivision twelve, fourteen or fifteen of section seventy-

three or section seventy-four of the public officers law, the legislative ethics commission may, in lieu

of or in addition to 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.

Where the commission finds sufficient cause, it shall refer such matter to the appropriate prosecutor.

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, or a violation of subdivision

six of section seventy-three of the public officers law, except that the appointing authority may

impose disciplinary action as otherwise provided by law. The legislative ethics commission shall be

deemed to be an agency within the meaning of article three of the state administrative procedure act

and shall adopt rules governing the conduct of adjudicatory proceedings and appeals taken pursuant

to a proceeding commenced under article seventy-eight of the civil practice law and rules relating to

the assessment of the civil penalties herein authorized. Such rules, which shall not be subject to the

promulgation and hearing 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, with respect to the

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assessment of such penalty, or unless such denial of request is reversed within such time period, and

upon becoming final shall be subject to review at the instance of the affected reporting individuals

in a proceeding commenced against the legislative ethics commission, pursuant to article seventy-

eight of the civil practice law and rules.

b. Not later than twenty calendar days after receipt from the commission on ethics and

lobbying in government of a written substantial basis investigation report and any

supporting documentation or other materials regarding a matter before the commission

pursuant to section ninety-four of the executive law, unless requested by a law enforcement

agency to suspend the commission's action because of an ongoing criminal investigation,

the legislative ethics commission shall make public such report in its entirety; provided,

however, that the commission may withhold such information for not more than one

additional period of the same duration or refer the matter back to the commission on ethics

and lobbying in government once for additional investigation, in which case the legislative

ethics commission shall, upon the termination of such additional period or upon receipt of

a new report by the commission on ethics and lobbying in government after such additional

investigation, make public the written report and publish it on the commission's website. If

the legislative ethics commission fails to make public the written report received from the

commission on ethics and lobbying in government in accordance with this paragraph, the

commission on ethics and lobbying in government shall release such report publicly

promptly and in any event no later than ten days after the legislative ethics commission is

required to release such report. The legislative ethics commission shall not refer the matter

back to the commission on ethics and lobbying in government for additional investigation

more than once. If the commission refers the matter back to the commission on ethics and

lobbying in government for additional fact-finding, the commission on ethics and lobbying

in government's original report shall remain confidential.

10. Upon receipt of a written report from the commission on ethics and lobbying in government

pursuant to subdivision fourteen-a of section seventy-three of the public officers law, the legislative

ethics commission shall commence its review of the matter addressed in such report. No later than

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ninety days after receipt of such report, the legislative ethics commission shall dispose of the matter

by making one or more of the following determinations:

a. whether the legislative ethics commission concurs with the commission on ethics and

lobbying in government's conclusions of law and the reasons therefor;

b. whether and which penalties have been assessed pursuant to applicable law or rule and the

reasons therefor; and

c. whether further actions have been taken by the commission to punish or deter the

misconduct at issue and the reasons therefor. The commission's disposition shall be reported

in writing and published on its website no later than ten days after such disposition unless

requested by a law enforcement agency to suspend the commission's action because of an

ongoing criminal investigation.

11. If the commission has a reasonable basis to believe that any person subject to the jurisdiction of

another state oversight body may have violated section seventy-three or seventy-four of the public

officers law, section one hundred seven of the civil service law, or article one-A of this chapter, it

shall refer such violation to such oversight body unless the commission determines that such a

referral would compromise the prosecution or confidentiality of its proceedings and, if so, shall make

such a referral as soon as practicable. The referral by the commission shall include any information

relating thereto coming into the custody or under the control of the commission at any time prior

or subsequent to the time of the referral.

12. a. Notwithstanding the provisions of article six of the public officers law, the only records of the

commission which shall be available for public inspection and copying are:

(1) the terms of any settlement or compromise of a complaint or referral or report which

includes a fine, penalty or other remedy reached after the commission has received a

report from the commission on ethics and lobbying in government pursuant to section

ninety-four of the executive law;

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(2) generic advisory opinions;

(3) all reports required by this section; and

(4) all reports received from the commission on ethics and lobbying in government

pursuant to section ninety-four of the executive law and in conformance with paragraph

(b) of subdivision nine of this section.

b. Notwithstanding the provisions of article seven of the public officers law, no meeting or

proceeding of the commission shall be open to the public, except if expressly provided otherwise

by this section or the commission.

13. Within one hundred twenty days of the effective date of this subdivision, the commission shall create

and thereafter maintain a publicly accessible website which shall set forth the procedure for filing a

complaint with the commission on ethics and lobbying in government, and which shall contain any

other records or information which the commission determines to be appropriate.

14. This section shall not revoke or rescind any policies, rules, regulations or advisory opinions issued

by the legislative ethics committee in effect upon the effective date of this subdivision, to the extent

that such regulations or opinions are not inconsistent with any laws of the state of New York. The

legislative ethics commission shall undertake a comprehensive review of all such policies, rules,

regulations or advisory opinions which will address the consistency of such policies, rules,

regulations or advisory opinions with the laws of the state of New York. The legislative ethics

commission shall, before April first, two thousand eight, report to the governor and legislature

regarding such review and shall propose any regulatory changes and issue any advisory opinions

necessitated by such review.

15. Separability clause. If any part or provision of this section or the application thereof to any person is

adjudged by a court of competent jurisdiction to be unconstitutional or otherwise invalid, such

judgment shall not affect or impair any other part or provision or the application thereof to any other

person, but shall be confined to such part or provision.

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Public Officers § 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 commission on ethics and lobbying in

government or legislative ethics commission 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.

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 department of financial services, 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

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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 of the state

university of New York 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.

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(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;

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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.

(l) A person has a "financial interest" in any entity if that person:

(i) owns or controls ten percent or more of the stock of such entity (or one percent in the case of

a corporation whose stock is regularly traded on an established securities exchange); or

(ii) serves as an officer, director or partner of that entity.

(m) The "relative" of any individual shall mean any person living in the same household as the individual

and any person who is a direct descendant of that individual's grandparents or the spouse of such

descendant.

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(n) The term "domestic partner" shall mean a person who, with respect to another person, is formally a

party in a domestic partnership or similar relationship with the other person, entered into pursuant

to the laws of the United States or of any state, local or foreign jurisdiction, or registered as the

domestic partner of the other person with any registry maintained by the employer of either party

or any state, municipality, or foreign jurisdiction.

2. In addition to the prohibitions contained in subdivision seven of this section, 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, or any executive order, or any

legislation or resolution before the state legislature, whereby his or her compensation is to be dependent

or contingent upon any action by such agency or legislature with respect to any license, contract,

certificate, ruling, decision, executive order, opinion, rate schedule, franchise, legislation, resolution 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, herself

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, herself 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, herself or another against the interest of

the state agency by which he or she is employed or affiliated in relation to any case,

proceeding, application or other matter before, or the transaction of business by himself,

herself or another with, the court of claims.

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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.

employee.

5. No statewide elected official, state officer or employee, individual whose name has been submitted by

the governor to the senate for confirmation to become a state officer or employee, member of the

legislature or legislative employee shall, directly or indirectly:

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(a) solicit, accept or receive any gift having more than a nominal value, whether in the form of

money, service, loan, travel, lodging, meals, refreshments, entertainment, discount, forbearance

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 her, or could reasonably be expected to influence

him or her, in the performance of his or her official duties or was intended as a reward for any

official action on his or her 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.

(b) solicit, accept or receive any gift, as defined in section one-c of the legislative law, from any

person who is prohibited from delivering such gift pursuant to section one-m of the legislative

law unless under the circumstances it is not reasonable to infer that the gift was intended to

influence him or her; or

legislative law, from any person who is prohibited from delivering such gift pursuant to section

one-m of the legislative law to a third party including a charitable organization, on such official's

designation or recommendation or on his or her behalf, under circumstances where it is

reasonable to infer that the gift was intended to influence him or her.

5-a. (a) For the purpose of this subdivision only, the term "honorarium" shall mean any payment made in

consideration for any speech given at a public or private conference, convention, meeting, social event,

meal or like gathering.

(b) No statewide elected official or head of any civil department shall, directly or indirectly, solicit,

accept or receive any honorarium while holding such elected office or appointed position.

or receive any honorarium while holding such elected office or employment, other than

honorarium paid in consideration for a speech given on a topic unrelated to the individual's

current public employment or as earned income for personal services that are customarily

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provided in connection with the practice of a bona fide business, trade or profession, such as

teaching, practicing law, medicine or banking, unless the sole or predominant activity thereof is

making speeches.

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 commission on ethics and lobbying in government and the legislative ethics commission a financial

disclosure statement of

(1) each financial interest, direct or indirect of himself or herself, his or her spouse or domestic

partner and his or her 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 or her 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 or she determines in his or her 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 for public inspection and copying.

statement or gives information which he or she 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 commission

in accordance with the provisions of subdivision ten of section eighty of the legislative law. For a

violation of this subdivision, the commission 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.

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7. (a) No statewide elected official, or state officer or employee, other than in the proper discharge of official

state or local governmental 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, herself 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, herself 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;

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(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.

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.

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(h) Nothing contained in this subdivision shall prohibit a state officer or employee, unless otherwise

prohibited, from appearing or rendering services in relation to a case, proceeding, application

or transaction before a state agency, other than the agency in which the officer or employee is

employed, when such appearance or rendition of services is made while carrying out official

duties as an elected or appointed official, or employee of a local government or one of its

agencies.

7-a. No member of the legislature, legislative employee, statewide elected official, or 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 rendering of consulting, representational, advisory or other services by himself

or herself or another in connection with any proposed or pending bill or resolution in the senate or

assembly.

8. (a) (i) 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.

(ii) 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.

(iii) 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 shall

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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 appear, practice or

directly communicate before either house of the legislature to promote or oppose the

passage of bills or resolutions by either house of the legislature.

(iv) No person who has served as an officer or employee in the executive chamber of the

governor shall within a period of two years after termination of such service appear or

practice before any state agency.

(b) (i) The provisions of subparagraph (i) of paragraph (a) of this subdivision shall not apply to any

state officer or employee whose employment was terminated on or after January first, nineteen

hundred ninety-five and before April first, nineteen hundred ninety-nine or on or after January

first, two thousand nine and before April first, two thousand fourteen because of economy,

consolidation or abolition of functions, curtailment of activities or other reduction in the state

work force. On or before the date of such termination of employment, the state agency shall

provide to the terminated employee a written certification that the employee has been

terminated because of economy, consolidation or abolition of functions, curtailment of activities

or other reduction in the state work force, and that such employee is covered by the provisions

of this paragraph. The written certification shall also contain a notice describing the rights and

responsibilities of the employee pursuant to the provisions of this section. The certification and

notice shall contain the information and shall be in the form set forth below:

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CERTIFICATION AND NOTICE

TO: Employee's Name: ________________________________

State agency: ____________________________________

Date of Termination: ______________________________

I, (name and title) of (state agency), hereby certify that your termination from State

service is because of economy, consolidation or abolition of functions, curtailment of

activities or other reduction in the State work force. Therefore, you are covered by the

provisions of paragraph (b) of subdivision eight of section seventy-three of the Public

Officers Law.

You were designated as a policy maker: YES ____ NO ____

_______________________________________________

(TITLE)

TO THE EMPLOYEE:

This certification affects your right to engage in certain activities after you leave state

service.

Ordinarily, employees who leave State service may not, for two years, appear or practice

before their former agency or receive compensation for rendering services on a matter

before their former agency. However, because of this certification, you may be exempt

from this restriction.

If you were not designated as a Policymaker by your agency, you are automatically

exempt. You may, upon leaving State service, immediately appear, practice or receive

compensation for services rendered before your former agency.

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If you were designated as a Policymaker by your agency, you are eligible to apply for an

exemption to the Commission on Public Integrity at 540 Broadway, Albany, New York

12207.

Even if you are or become exempt from the two year bar, the lifetime bar of the revolving

door statute will continue to apply to you. You may not appear, practice, communicate

or otherwise render services before any State agency in relation to any case, proceeding,

application or transaction with respect to which you were directly concerned and in

which you personally participated during your State service, or which was under your

active consideration.

If you have any questions about the application of the post-employment restrictions to

your circumstances, you may contact the Commission on Public Integrity at (518) 408-

3976 or 1-800-87ETHIC (1-800-873-8442).

(ii) The provisions of subparagraph (i) of this paragraph shall not apply to any such officer

or employee who at the time of or prior to such termination had served in a

policymaking position as determined by the appointing authority, which determination

had been filed with the state ethics commission or the commission on public integrity,

provided that such officer or employee may so appear or practice or receive such

compensation with the prior approval of the state ethics commission or the commission

on public integrity. In determining whether to grant such approval the state ethics

commission or the commission on public integrity shall consider:

A. whether the employee's prior job duties involved substantial decision-making

authority over policies, rule or contracts;

B. the nature of the duties to be performed by the employee for the prospective

employer;

C. whether the prospective employment is likely to involve substantial contact with the

employee's former agency and the extent to which any such contact is likely to

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involve matters where the agency has the discretion to make decisions based on the

work product of the employee;

D. whether the prospective employment may be beneficial to the state or the public;

and

E. the extent of economic hardship to the employee if the application is denied.

employment has been discontinued as a result of retirement or to employees who, prior to

termination, have declined to exercise a right to another position with a state agency unless such

position would require the employee to travel more than thirty-five miles in each direction to

the new position or accept a reduction in base salary of more than ten per centum.

(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.

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(g) Notwithstanding the provisions of subparagraphs (i) and (ii) of paragraph (a) of this subdivision,

a former state officer or employee may contract individually, or as a member or employee of a

firm, corporation or association, to render services to any state agency when the agency head

certifies in writing to the state ethics commission that the services of such former officer or

employee are required in connection with the agency's efforts to address the state's year 2000

compliance problem.

(h) Notwithstanding the provisions of subparagraphs (i) and (ii) of paragraph (a) of this subdivision,

a former state officer or employee may contract individually, or as a member or employee of a

firm, corporation or association, to render services to any state agency when the agency head

certifies in writing to the commission on ethics and lobbying in government that the services of

such former officer or employee are required in connection with the agency's response to a

disaster emergency declared by the governor pursuant to section twenty-eight of the executive

law.

(i) The provisions of subparagraphs (i) and (ii) of paragraph (a) of this subdivision shall not apply

to any person as a result of his or her temporary employment by the New York state department

of agriculture and markets in the civil service title of veterinarian one or animal health inspector

one and their service, in that capacity, as a member of the New York state emergency veterinary

corps.

8-a. The provisions of subparagraphs (i) and (ii) of paragraph (a) of subdivision eight of this section shall not

apply to any such former state officer or employee engaged in any of the specific permitted activities defined

in this subdivision that are related to any civil action or proceeding in any state or federal court, provided

that the attorney general has certified in writing to the commission on ethics and lobbying in government,

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

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general in such civil action or proceeding. In those instances where a state agency is not represented by the

attorney general in a civil action or proceeding in state or federal court, a former state officer or employee

may engage in permitted activities provided that the general counsel of the state agency, after consultation

with the commission on ethics and lobbying in government, provides to the commission on ethics and

lobbying in government a written certification which meets the requirements of this subdivision. For

purposes of this subdivision the term "permitted activities" shall mean generally any activity performed at

the request of the attorney general or the attorney general's designee, or in cases where the state agency is not

represented by the attorney general, the general counsel of such state agency, including without limitation:

(a) preparing or giving testimony or executing one or more affidavits;

(b) gathering, reviewing or analyzing information, including documentary or oral information

concerning facts or opinions, attending depositions or participating in document review or

discovery;

(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.

8-b. Notwithstanding the provisions of subparagraphs (i) and (ii) of paragraph (a) of subdivision eight of this

section, a former state officer or employee may contract individually, or as a member or employee of a

firm, corporation or association, to render services to any state agency if, prior to engaging in such

service, the agency head certifies in writing to the commission on ethics and lobbying in government

that such former officer or employee has expertise, knowledge or experience with respect to a particular

matter which meets the needs of the agency and is otherwise unavailable at a comparable cost. Where

approval of the contract is required under section one hundred twelve of the state finance law, the

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comptroller shall review and consider the reasons for such certification. The commission on ethics and

lobbying in government must review and approve all certifications made pursuant to this subdivision.

8-c. Notwithstanding the provisions of subparagraphs (i) and (ii) of paragraph (a) of subdivision eight of

this section, a former state officer or employee who, prior to his or her separation from state service,

was employed as a health care professional and, in conjunction with his or her state duties, provided

treatment and/or medical services to individuals residing in or served by a state-operated facility is not

barred from rendering services to such individuals in their care prior to leaving state service, at the state-

operated facility which employed the former state officer or employee.

* NB There are 2 sub 8-c's

*8-c. Notwithstanding the provisions of subparagraphs (i) and (ii) of paragraph (a) of subdivision eight of

this section, a former state officer or employee who, prior to his or her separation from state service,

was employed performing direct care, clinical care, case management, service coordination or other

related support duties with the state of New York is not barred from rendering such services in the

future to individuals who were receiving such services from that individual prior to leaving the state

service.

* NB There are 2 sub 8-c's

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 chair, 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 chair

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POL and other Ethics and Lobbying Related Laws and Regulations | 53

in a county wholly included in a city with a population of more than one million, otherwise proscribed

by this section, the judiciary law, the education law or any other law or disciplinary rule with respect to

such official, member of the legislature or officer or employee, or political party chair, where such

statewide elected official, state officer or employee, member of the legislature or legislative employee, or

political party chair does not share in the net revenues, as defined in accordance with generally accepted

accounting principles by the commission on ethics and lobbying in government or by the legislative

ethics commission 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 article is a member, associate, retired member, of counsel or shareholder, from appearing,

practicing, communicating or otherwise rendering services in relation to any matter before, or

transacting business with, the court of claims, where such statewide elected official, member of the

legislature, legislative employee, full-time salaried state officer or employee or state officer or employee

who is subject to the provisions of section seventy-three-a of this article does not share in the net

revenues, as defined in accordance with generally accepted accounting principles by the commission on

ethics and lobbying in government or by the legislative ethics commission 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;

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(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;

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

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POL and other Ethics and Lobbying Related Laws and Regulations | 55

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. (a) No statewide elected official, state officer or employee, member of the legislature or legislative

employee may participate in any decision to hire, promote, discipline or discharge a relative for any

compensated position at, for or within any state agency, public authority or the legislature.

(b) This paragraph shall not apply to (i) the hiring of a relative by a legislator with a physical impairment,

for the sole purpose of assisting with that impairment, as necessary and otherwise permitted by law;

(ii) the temporary hiring of legislative pages, interns and messengers; or (iii) responding to inquiries

with respect to prospective hires related to an individual covered by this paragraph.

15. No statewide elected official, state officer or employee, member of the legislature or legislative employee

shall:

(a) participate in any state contracting decision involving the payment of more than one thousand

dollars to that individual, any relative of that individual, or any entity in which that individual or any

relative has a financial interest; or

(b) participate in any decision to invest public funds in any security of any entity in which that individual

or any relative of that individual has a financial interest, is an underwriter, or receives any brokerage,

origination or servicing fees.

16. (a) No statewide elected official, state officer or employee involved in the awarding of state grants or

contracts may ask a current or prospective grantee or contractor, or any officer, director or employee

thereof, to disclose: (i) the party affiliation of such grantee or contractor, or any officer, director or

employee thereof; (ii) whether such grantee or contractor, or any officer, director or employee thereof,

has made campaign contributions to any party, elected official, or candidate for elective office; or (iii)

whether such grantee or contractor, or any officer, director or employee thereof, cast a vote for or against

any elected official, candidate or political party.

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56 | POL and other Ethics and Lobbying Related Laws and Regulations

(b) No statewide elected official or state officer or employee may award or decline to award any state

grant or contract, or recommend, promise or threaten to do so, in whole or in part, because of a

current or prospective grantee's or contractor's refusal to answer any inquiry prohibited by

paragraph (a) of this subdivision, or giving or withholding or neglecting to make any contribution

of money or service or any other valuable thing for any political purpose.

17. (a) No statewide elected official, or state officer or employee may during the consideration of an

employment decision ask any applicant for public employment to disclose:

(i) the political party affiliation of the applicant;

(ii) whether the applicant has made campaign contributions to any party, elected official,

or candidate for elective office; or

(iii) whether the applicant cast a vote for or against any elected official, candidate or political

party. The provisions of this paragraph shall not apply where (1) such inquiry is

necessary for the proper application of any state law or regulation; or (2) such inquiry

is consistent with publicly disclosed policies or practices of any state agency or public

authority, whose purpose is to ensure the representation of more than one political party

on any multi-member body.

(b) No statewide elected official or state officer or employee may decline to hire or promote, discharge,

discipline, or in any manner change the official rank or compensation of any state official or

employee, or applicant for employment, or promise or threaten to do so, based upon a refusal to

answer any inquiry prohibited by paragraph (a) of this subdivision, or for giving or withholding or

neglecting to make any contribution of money or service or any other valuable thing for any political

purpose.

or induce any other state officer or employee to make or promise to make any political contribution,

whether by gift of money, service or other thing of value.

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18. In addition to any penalty contained in any other provision of law, any person who knowingly and

intentionally violates the provisions of subdivisions two through five, seven, seven-a, eight, twelve or

fourteen through seventeen of this section shall be subject to a civil penalty in an amount not to exceed

forty thousand dollars and the value of any gift, compensation or benefit received in connection with

such violation. Assessment of a civil penalty hereunder shall be made by the state oversight body with

jurisdiction over such person. A state oversight body acting pursuant to its jurisdiction, may, in lieu of a

civil penalty, with respect to a violation of subdivisions two through five, seven or eight of this section,

refer a violation of any such subdivision to the appropriate prosecutor and upon such conviction such

violation shall be punishable as a class A misdemeanor.

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POL and other Ethics and Lobbying Related Laws and Regulations | 59

§ 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 of the state university of New York and the independent institutions operating statutory

or contract colleges on behalf of the state.

(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 commission on ethics and lobbying in government 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

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60 | POL and other Ethics and Lobbying Related Laws and Regulations

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

commission on ethics and lobbying in government 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 commission and the

commission on ethics and lobbying in government.

(d-1) A financial disclosure statement required pursuant to section seventy-three of this article and

this section shall be deemed "filed" with the commission on ethics and lobbying in government

upon its filing, in accordance with this section, with the legislative ethics commission for all

purposes including, but not limited to, section ninety-four of the executive law, subdivision nine

of section eighty of the legislative law and subdivision four of this section.

(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.

(e-1) The term "domestic partner" shall mean a person who, with respect to another person, is

formally a party in a domestic partnership or similar relationship with the other person, entered

into pursuant to the laws of the United States or any state, local or foreign jurisdiction, or

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POL and other Ethics and Lobbying Related Laws and Regulations | 61

registered as the domestic partner of the other person with any registry maintained by the

employer of either party or any state, municipality, or foreign jurisdiction.

(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 article.

(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 article.

(k) The term "ministerial matter" shall have the same meaning as ascribed to such term by

subdivision one of section seventy-three of this article.

(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.

(m) The term "lobbyist" shall have the same meaning as ascribed to such term in subdivision (a) of

section one-c of the legislative law.

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2. (a) Every statewide elected official, state officer or employee, member of the legislature, legislative

employee and political party chair and every candidate for statewide elected office or for member of

the legislature shall file an annual statement of financial disclosure containing the information and

in the form set forth in subdivision three of this section. On or before the fifteenth day of May with

respect to the preceding calendar year:

(1) every member of the legislature, every candidate for member of the legislature and legislative

employee shall file such statement with the legislative ethics commission which shall provide

such statement along with any requests for exemptions or deletions to the commission on

ethics and lobbying in government for filing and rulings with respect to such requests for

exemptions or deletions, on or before the thirtieth day of June; and

(2) all other individuals required to file such statement shall file it with the commission on ethics

and lobbying in government, 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;

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(ii) a person who is required to file an annual financial disclosure statement with

the commission on ethics and lobbying in government, 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

adopted pursuant to section ninety-four of the executive law shall file such

statement within the additional period of time granted; and the legislative ethics

commission shall notify the commission on ethics and lobbying in government

of any extension granted pursuant to this paragraph;

(iii) candidates for statewide office who receive a party designation for nomination

by a state committee pursuant to section 6-104 of the election law shall file such

statement within ten days after the date of the meeting at which they are so

designated;

(iv) candidates for statewide office who receive twenty-five percent or more of the

vote cast at the meeting of the state committee held pursuant to section 6-104

of the election law and who demand to have their names placed on the primary

ballot and who do not withdraw within fourteen days after such meeting shall

file such statement within ten days after the last day to withdraw their names in

accordance with the provisions of such section of the election law;

(v) candidates for statewide office and candidates for member of the legislature

who file party designating petitions for nomination at a primary election shall

file such statement within ten days after the last day allowed by law for the filing

of party designating petitions naming them as candidates for the next

succeeding primary election;

(vi) candidates for independent nomination who have not been designated by a

party to receive a nomination shall file such statement within ten 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;

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64 | POL and other Ethics and Lobbying Related Laws and Regulations

(vii) candidates who receive the nomination of a party for a special election shall file

such statement within ten days after the date of the meeting of the party

committee at which they are nominated;

(viii) a candidate substituted for another candidate, who fills a vacancy in a party

designation or in an independent nomination, caused by declination, shall file

such statement within ten days after the last day allowed by law to file a

certificate to fill a vacancy in such party designation or independent

nomination;

(ix) with respect to all candidates for member of the legislature, the legislative ethics

commission shall within five days of receipt provide the commission on ethics

and lobbying in government the statement filed pursuant to subparagraphs (v),

(vi), (vii) and (viii) of this paragraph.

(b) As used in this subdivision, the terms "party", "committee" (when used in conjunction with the

term "party"), "designation", "primary", "primary election", "nomination", "independent

nomination" and "ballot" shall have the same meanings as those contained in section 1-104 of

the election law.

member of assembly or a legislative employee, such statement shall be filed with both the

legislative ethics commission established by section eighty of the legislative law and the

commission on ethics and lobbying in government in accordance with paragraph (d-1) of

subdivision one of this section. If the reporting individual is a statewide elected official,

candidate for statewide elected office, a state officer or employee or a political party chair, such

statement shall be filed with the commission on ethics and lobbying in government established

by section ninety-four of the executive law.

(d) The commission on ethics and lobbying in government shall obtain from the state board of

elections a list of all candidates for statewide office and for member of the legislature, and from

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POL and other Ethics and Lobbying Related Laws and Regulations | 65

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 chair shall file such statement within thirty days after commencing

employment or of taking the position of political party chair, as the case may be. In the case of

members of the legislature and legislative employees, such statements shall be filed with the

legislative ethics commission within thirty days after commencing employment, and the

legislative ethics commission shall provide such statements to the commission on ethics and

lobbying in government within forty-five days of receipt.

(f) A person who may otherwise be required to file more than one annual financial disclosure

statement with both the commission on ethics and lobbying in government and the legislative

ethics commission in any one calendar year may satisfy such requirement by filing one such

statement with either body and by notifying the other body of such compliance.

(g) A person who is employed in more than one employment capacity for one or more employers

certain of whose officers and employees are subject to filing a financial disclosure statement with

the same ethics commission, as the case may be, and who receives distinctly separate payments

of compensation for such employment shall be subject to the filing requirements of this section

if the aggregate annual compensation for all such employment capacities is in excess of the filing

rate notwithstanding that such person would not otherwise be required to file with respect to

any one particular employment capacity. A person not otherwise required to file a financial

disclosure statement hereunder who is employed by an employer certain of whose officers or

employees are subject to filing a financial disclosure statement with the commission on ethics

and lobbying in government and who is also employed by an employer certain of whose officers

or employees are subject to filing a financial disclosure statement with the legislative ethics

commission shall not be subject to filing such statement with either such commission on the

basis that his aggregate annual compensation from all such employers is in excess of the filing

rate.

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(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.

(k) The commission on ethics and lobbying in government shall post for at least five years beginning

for filings made on January first, two thousand thirteen the annual statement of financial

disclosure and any amendments filed by each person subject to the reporting requirements of

this subdivision who is an elected official on its website for public review within thirty days of

its receipt of such statement or within ten days of its receipt of such amendment that reflects any

corrections of deficiencies identified by the commission or by the reporting individual after the

reporting individual's initial filing. Except upon an individual determination by the commission

that certain information may be deleted from a reporting individual's annual statement of

financial disclosure, none of the information in the statement posted on the commission's

website shall be otherwise deleted.

3. The annual statement of financial disclosure shall contain the information and shall be in the form

set forth hereinbelow:

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ANNUAL STATEMENT OF FINANCIAL DISCLOSURE - (For calendar year ________)

1. Name ________________________________________________________________

2. (a) Title of Position ____________________________________________________

(b) Department, Agency or other Governmental Entity ________________________

(d) Office Telephone Number ____________________________________________

3. (a) Marital Status ______________. If married, please give spouse's full name.

__________________________________________________________________.

(b) Full name of domestic partner (if applicable).

_________________________________________________________________ .

____________________________________________________________________

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 in Table I or Table II of this subdivision as

called for in the question: 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.

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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.

Position

Organization

State or Local Agency

(b) List any office, trusteeship, directorship, partnership, or position of any nature, whether

compensated or not, held by the spouse, domestic partner 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.

Position

Organization

State or Local Agency

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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.

Position

Name & Address

of Organization

Description

State or Local

Agency

(b) If the spouse, domestic partner 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.

Position

Name & Address

of Organization

Description

State or Local

Agency

6. List any interest, in EXCESS of $1,000, held by the reporting individual, such individual's

spouse, domestic partner or unemancipated child, or partnership of which any such person is a

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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, domestic partner 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.

Self, Spouse,

Domestic

Partner or Child

Entity Which

Held Interest in

Contract

Relationship

to Entity and

Interest in

Contract

Contracting State

or Local Agency

Category of

Value of

Contract

(In Table II)

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.

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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, or works as a

member or employee of a firm required to register pursuant to section one-e of the legislative

law as a lobbyist, describe the services rendered for which compensation was paid including a

general description of the principal subject areas of matters undertaken by such individual and

principal duties performed. Specifically state whether the reporting individual provides services

directly to clients. 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.

(b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE

PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE

DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR NEW MATTERS FOR

EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT ARE

PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE

DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN:

If the reporting individual personally provides services to any person or entity, or works as a

member or employee of a partnership or corporation that provides such services (referred to

hereinafter as a "firm"), then identify each client or customer to whom the reporting individual

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personally provided services, or who was referred to the firm by the reporting individual, and

from whom the reporting individual or his or her firm earned fees in excess of $10,000 during

the reporting period for such services rendered in direct connection with:

(i) A contract in an amount totaling $50,000 or more from the state or any state agency

for services, materials, or property;

(ii) A grant of $25,000 or more from the state or any state agency during the reporting

period;

(iii) A grant obtained through a legislative initiative during the reporting period; or

(iv) A case, proceeding, application or other matter that is not a ministerial matter before

a state agency during the reporting period.

For purposes of this question, "referred to the firm" shall mean: having intentionally and

knowingly taken a specific act or series of acts to intentionally procure for the reporting

individual's firm or knowingly solicit or direct to the reporting individual's firm in whole or

substantial part, a person or entity that becomes a client of that firm for the purposes of

representation for a matter as defined in subparagraphs (i) through (iv) of this paragraph, as the

result of such procurement, solicitation or direction of the reporting individual. A reporting

individual need not disclose activities performed while lawfully acting pursuant to paragraphs

(c), (d), (e) and (f) of subdivision seven of section seventy-three of this article.

The disclosure requirement in this question shall not require disclosure of clients or customers

receiving medical or dental services, mental health services, residential real estate brokering

services, or insurance brokering services from the reporting individual or his or her firm. The

reporting individual need not identify any client to whom he or she or his or her firm provided

legal representation with respect to investigation or prosecution by law enforcement authorities,

bankruptcy, or domestic relations matters. With respect to clients represented in other matters,

where disclosure of a client's identity is likely to cause harm, the reporting individual shall

request an exemption from the commission on ethics and lobbying in government pursuant to

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section ninety-four of the executive law, provided, however, that a reporting individual who first

enters public office after July first, two thousand twelve, need not report clients or customers

with respect to matters for which the reporting individual or his or her firm was retained prior

to entering public office.

Client

Nature of Services Provided

(b-1) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE

PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN,

OR FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT

TO THOSE SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-

FIRST, TWO THOUSAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES"

SHALL MEAN CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):

If the reporting individual receives income from employment reportable in question 8(a) and

personally provides services to any person or entity, or works as a member or employee of a

partnership or corporation that provides such services (referred to hereinafter as a "firm"), the

reporting individual shall identify each client or customer to whom the reporting individual

personally provided services, or who was referred to the firm by the reporting individual, and

from whom the reporting individual or his or her firm earned fees in excess of $10,000 during

the reporting period in direct connection with:

(i) A contract in an amount totaling $10,000 or more from the state or any state agency

for services, materials, or property;

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(ii) A grant of $10,000 or more from the state or any state agency during the reporting

period;

(iii) A grant obtained through a legislative initiative during the reporting period; or

(iv) A case, proceeding, application or other matter that is not a ministerial matter before

a state agency during the reporting period.

For such services rendered by the reporting individual directly to each such client, describe

each matter that was the subject of such representation, the services actually provided and

the payment received. For payments received from clients referred to the firm by the

reporting individual, if the reporting individual directly received a referral fee or fees for

such referral, identify the client and the payment so received.

For purposes of this question, "referred to the firm" shall mean: having intentionally and

knowingly taken a specific act or series of acts to intentionally procure for the reporting

individual's firm or having knowingly solicited or directed to the reporting individual's firm

in whole or substantial part, a person or entity that becomes a client of that firm for the

purposes of representation for a matter as defined in clauses (i) through (iv) of this

subparagraph, as the result of such procurement, solicitation or direction of the reporting

individual. A reporting individual need not disclose activities performed while lawfully

acting in his or her capacity as provided in paragraphs (c), (d), (e) and (f) of subdivision

seven of section seventy-three of this article.

Client Matter

Nature of Services

Provided

Category of Amount

(in Table I)

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(b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES

ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND

FIFTEEN, OR FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH

RESPECT TO THOSE SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER

THIRTY-FIRST, TWO THOUSAND FIFTEEN (FOR PURPOSES OF THIS QUESTION,

"SERVICES" SHALL MEAN CONSULTATION, REPRESENTATION, ADVICE OR

OTHER SERVICES):

(i) With respect to reporting individuals who receive ten thousand dollars or more from

employment or activity reportable under question 8(a), for each client or customer

NOT otherwise disclosed or exempted in question 8 or 13, disclose the name of each

client or customer known to the reporting individual to whom the reporting

individual provided services: (A) who paid the reporting individual in excess of five

thousand dollars for such services; or (B) who had been billed with the knowledge of

the reporting individual in excess of five thousand dollars by the firm or other entity

named in question 8(a) for the reporting individual's services.

Client Services Actually Provided

Category of Amount

(in Table I)

FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF

DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":

* REVIEWED DOCUMENTS AND CORRESPONDENCE;

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* REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;

* PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);

* CONSULTED WITH CLIENT OR CONSULTED WITH LAW

PARTNERS/ASSOCIATES/MEMBERS OF FIRM ON CLIENT MATTER (IDENTIFY

CLIENT BY NAME);

* PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT

BY NAME);

* REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR

REPRESENTATION OR CONSULTATION;

* COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);

* PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING RENDERINGS FOR

CLIENT (IDENTIFY CUSTOMER BY NAME);

* COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT

CLIENT).

(ii) With respect to reporting individuals who disclosed in question 8(a) that the

reporting individual did not provide services to a client but provided services to a

firm or business, identify the category of amount received for providing such services

and describe the services rendered.

Services Actually Provided

Category of Amount (in Table I)

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A reporting individual need not disclose activities performed while lawfully acting in his or her

capacity as provided in paragraphs (c), (d), (e) and (f) of subdivision seven of section seventy-three

of this article.

The disclosure requirement in questions (b-1) and (b-2) shall not require disclosing clients or

customers receiving medical, pharmaceutical or dental services, mental health services, or residential

real estate brokering services from the reporting individual or his or her firm or if federal law

prohibits or limits disclosure. The reporting individual need not identify any client to whom he or

she or his or her firm provided legal representation with respect to investigation or prosecution by

law enforcement authorities, bankruptcy, family court, estate planning, or domestic relations

matters, nor shall the reporting individual identify individuals represented pursuant to an insurance

policy but the reporting individual shall in such circumstances only report the entity that provides

compensation to the reporting individual; with respect to matters in which the client's name is

required by law to be kept confidential (such as matters governed by the family court act) or in

matters in which the reporting individual represents or provides services to minors, the client's name

may be replaced with initials. To the extent that the reporting individual, or his or her firm, provided

legal representation with respect to an initial public offering, and professional disciplinary rules,

federal law or regulations restrict the disclosure of information relating to such work, the reporting

individual shall (i) disclose the identity of the client and the services provided relating to the initial

public offering to the office of court administration, who will maintain such information

confidentially in a locked box; and (ii) include in his or her response to questions (b-1) and (b-2)

that pursuant to this paragraph, a disclosure to the office of court administration has been made.

Upon such time that the disclosure of information maintained in the locked box is no longer

restricted by professional disciplinary rules, federal law or regulation, the reporting individual shall

disclose such information in an amended disclosure statement in response to the disclosure

requirements in questions (b-1) and (b-2). The office of court administration shall develop and

maintain a secure portal through which information submitted to it pursuant to this paragraph can

be safely and confidentially stored. With respect to clients represented in other matters not otherwise

exempt, the reporting individual may request an exemption to publicly disclosing the name of that

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client from the commission on ethics and lobbying in government pursuant to section ninety-four

of the executive law, or from the office of court administration. In such application, the reporting

individual shall state the following: "My client is not currently receiving my services or seeking my

services in connection with:

(i) A proposed bill or resolution in the senate or assembly during the reporting period;

(ii) A contract in an amount totaling $10,000 or more from the state or any state agency for

services, materials, or property;

(iii) A grant of $10,000 or more from the state or any state agency during the reporting period;

(iv) A grant obtained through a legislative initiative during the reporting period; or

(v) A case, proceeding, application or other matter that is not a ministerial matter before a

state agency during the reporting period."

In reviewing the request for an exemption, the commission on ethics and lobbying in government

or the office of court administration may consult with bar or other professional associations and the

legislative ethics commission for individuals subject to its jurisdiction and may consider the rules of

professional conduct. In making its determination, the commission on ethics and lobbying in

government or the office of court administration shall conduct its own inquiry and shall consider

factors including, but not limited to: (i) the nature and the size of the client; (ii) whether the client

has any business before the state; and if so, how significant the business is; and whether the client

has any particularized interest in pending legislation and if so how significant the interest is; (iii)

whether disclosure may reveal trade secrets; (iv) whether disclosure could reasonably result in

retaliation against the client; (v) whether disclosure may cause undue harm to the client; (vi) whether

disclosure may result in undue harm to the attorney-client relationship; and (vii) whether disclosure

may result in an unnecessary invasion of privacy to the client.

The commission on ethics and lobbying in government or, as the case may be, the office of court

administration shall promptly make a final determination in response to such request, which shall

include an explanation for its determination. The office of court administration shall issue its final

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POL and other Ethics and Lobbying Related Laws and Regulations | 79

determination within three days of receiving the request. Notwithstanding any other provision of

law or any professional disciplinary rule to the contrary, the disclosure of the identity of any client

or customer in response to this question shall not constitute professional misconduct or a ground

for disciplinary action of any kind, or form the basis for any civil or criminal cause of action or

proceeding. A reporting individual who first enters public office after January first, two thousand

sixteen, need not report clients or customers with respect to matters for which the reporting

individual or his or her firm was retained prior to entering public office.

PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR

FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO

THOSE SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST,

TWO THOUSAND FIFTEEN:

If the reporting individual receives income of ten thousand dollars or greater from any

employment or activity reportable under question 8(a), identify each registered lobbyist who has

directly referred to such individual a client who was successfully referred to the reporting

individual's business and from whom the reporting individual or firm received a fee for services

in excess of five thousand dollars. Report only those referrals that were made to a reporting

individual by direct communication from a person known to such reporting individual to be a

registered lobbyist at the time the referral is made. With respect to each such referral, the

reporting individual shall identify the client, the registered lobbyist who has made the referral,

the category of value of the compensation received and a general description of the type of matter

so referred. A reporting individual need not disclose activities performed while lawfully acting

pursuant to paragraphs (c), (d), (e) and (f) of subdivision seven of section seventy-three of this

article. The disclosure requirements in this question shall not require disclosing clients or

customers receiving medical, pharmaceutical or dental services, mental health services, or

residential real estate brokering services from the reporting individual or his or her firm or if

federal law prohibits or limits disclosure. The reporting individual need not identify any client

to whom he or she or his or her firm provided legal representation with respect to investigation

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80 | POL and other Ethics and Lobbying Related Laws and Regulations

or prosecution by law enforcement authorities, bankruptcy, family court, estate planning, or

domestic relations matters, nor shall the reporting individual identify individuals represented

pursuant to an insurance policy but the reporting individual shall in such circumstances only

report the entity that provides compensation to the reporting individual; with respect to matters

in which the client's name is required by law to be kept confidential (such as matters governed

by the family court act) or in matters in which the reporting individual represents or provides

services to minors, the client's name may be replaced with initials. To the extent that the

reporting individual, or his or her firm, provided legal representation with respect to an initial

public offering, and federal law or regulations restricts the disclosure of information relating to

such work, the reporting individual shall (i) disclose the identity of the client and the services

provided relating to the initial public offering to the office of court administration, who will

maintain such information confidentially in a locked box; and (ii) include in his or her response

a statement that pursuant to this paragraph, a disclosure to the office of court administration

has been made. Upon such time that the disclosure of information maintained in the locked

box is no longer restricted by federal law or regulation, the reporting individual shall disclose

such information in an amended disclosure statement in response to the disclosure

requirements of this paragraph. The office of court administration shall develop and maintain a

secure portal through which information submitted to it pursuant to this paragraph can be safely

and confidentially stored. With respect to clients represented in other matters not otherwise

exempt, the reporting individual may request an exemption to publicly disclosing the name of

that client from the commission on ethics and lobbying in government pursuant to section

ninety-four of the executive law, or from the office of court administration. In such application,

the reporting individual shall state the following: "My client is not currently receiving my

services or seeking my services in connection with:

(i) A proposed bill or resolution in the senate or assembly during the reporting period;

(ii) A contract in an amount totaling $10,000 or more from the state or any state agency for

services, materials, or property;

(iii) A grant of $10,000 or more from the state or any state agency during the reporting period;

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