There is a newer version of the New York Consolidated Laws
2012 New York Consolidated Laws
PBO - Public Officers
Article 4 - (60 - 79) POWERS AND DUTIES OF PUBLIC OFFICERS
73 - Business or professional activities by state officers and employees and party officers.
NY Pub Off L § 73 (2012) What's This?
§ 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 joint commission on public ethics 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.
(c) The term "legislative employee" shall mean any officer or employee
of the legislature but it shall not include members of the legislature.
(d) The term "ministerial matter" shall mean an administrative act
carried out in a prescribed manner not allowing for substantial personal
discretion.
(e) The term "regulatory agency" shall mean the 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 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.
(j) The term "city agency" shall mean a city, county, borough or other
office, position, administration, department, division, bureau, board,
commission, authority, corporation or other agency of government, the
expenses of which are paid in whole or in part from the city treasury,
and shall include the board of education, the board of higher education,
school boards, city and community colleges, community boards, the New
York city transit authority, the New York city housing authority and the
Triborough bridge and tunnel authority, but shall not include any court
or corporation or institution maintaining or operating a public library,
museum, botanical garden, arboretum, tomb, memorial building, aquarium,
zoological garden or similar facility.
(k) The term "political party chairman" shall mean:
(i) the chairman of the state committee of a party elected as provided
in section 2-112 of the election law and his or her successor in office;
(ii) the chairman of a county committee elected as provided in section
2-112 of the election law and his or her successor in office from a
county having a population of three hundred thousand or more or who
receives compensation or expenses, or both, during the calendar year
aggregating thirty thousand dollars or more; and
(iii) that person (usually designated by the rules of a county
committee as the "county leader" or "chairman of the executive
committee") by whatever title designated, who pursuant to the rules of a
county committee or in actual practice, possesses or performs any or all
of the following duties or roles, provided that such person was elected
from a county having a population of three hundred thousand or more or
was a person who received compensation or expenses, or both, from
constituted committee or political committee funds, or both, during the
reporting period aggregating thirty thousand dollars or more:
(A) the principal political, executive and administrative officer of
the county committee;
(B) the power of general management over the affairs of the county
committee;
(C) the power to exercise the powers of the chairman of the county
committee as provided for in the rules of the county committee;
(D) the power to preside at all meetings of the county executive
committee, if such a committee is created by the rules of the county
committee or exists de facto, or any other committee or subcommittee of
the county committee vested by such rules with or having de facto the
power of general management over the affairs of the county committee at
times when the county committee is not in actual session;
(E) the power to call a meeting of the county committee or of any
committee or subcommittee vested with the rights, powers, duties or
privileges of the county committee pursuant to the rules of the county
committee, for the purpose of filling an office at a special election in
accordance with section 6-114 of the election law, for the purpose of
filling a vacancy in accordance with section 6-116 of such law; or
(F) the power to direct the treasurer of the party to expend funds of
the county committee.
The terms "constituted committee" and "political committee", as used
in this paragraph (k), shall have the same meanings as those contained
in section 14-100 of the election law.
(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.
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 or another against the interest of the
state in relation to any case, proceeding, application or other matter
before, or the transaction of business by himself or another with, the
court of claims.
(b) No state officer or employee who is required to file an annual
statement of financial disclosure pursuant to the provisions of section
seventy-three-a of this article, and is not otherwise subject to the
provisions of this section, shall receive, directly or indirectly, or
enter into any agreement express or implied, for any compensation, in
whatever form, for the appearance or rendition of services by himself or
another against the interest of the state agency by which he is employed
or affiliated in relation to any case, proceeding, application or other
matter before, or the transaction of business by himself or another
with, the court of claims.
4. (a) No statewide elected official, state officer or employee,
member of the legislature, legislative employee or political party
chairman or firm or association of which such person is a member, or
corporation, ten per centum or more of the stock of which is owned or
controlled directly or indirectly by such person, shall (i) sell any
goods or services having a value in excess of twenty-five dollars to any
state agency, or (ii) contract for or provide such goods or services
with or to any private entity where the power to contract, appoint or
retain on behalf of such private entity is exercised, directly or
indirectly, by a state agency or officer thereof, unless such goods or
services are provided pursuant to an award or contract let after public
notice and competitive bidding. This paragraph shall not apply to the
publication of resolutions, advertisements or other legal propositions
or notices in newspapers designated pursuant to law for such purpose and
for which the rates are fixed pursuant to law.
(b) No political party chairman of a county wholly included in a city
with a population of more than one million, or firm or association of
which such person is a member, or corporation, ten per centum or more of
the stock of which is owned or controlled directly or indirectly by such
person, shall (i) sell any goods or services having a value in excess of
twenty-five dollars to any city agency, or (ii) contract for or provide
such goods or services with or to any private entity where the power to
contract, appoint or retain on behalf of such private entity is
exercised directly or indirectly, by a city agency or officer thereof,
unless such goods or services are provided pursuant to an award or
contract let after public notice and competitive bidding. This paragraph
shall not apply to the publication of resolutions, advertisements or
other legal propositions or notices in newspapers designated pursuant to
law for such purpose and for which the rates are fixed pursuant to law.
(c) For purposes of this subdivision, the term "services" shall not
include employment as an employee.
5. No statewide elected official, state officer or employee,
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:
(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 could
reasonably be expected to influence him, in the performance of his
official duties or was intended as a reward for any official action on
his part. No person shall, directly or indirectly, offer or make any
such gift to a statewide elected official, or any state officer or
employee, member of the legislature or legislative employee under such
circumstances.
(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
(c) permit the solicitation, acceptance, or receipt of 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 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.
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.
(c) No member of the legislature or legislative employee shall,
directly or indirectly, solicit, accept 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 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 joint commission on public ethics and the legislative ethics
commission a financial disclosure statement of
(1) each financial interest, direct or indirect of himself, his spouse
and his unemancipated children under the age of eighteen years in any
activity which is subject to the jurisdiction of a regulatory agency or
name of the entity in which the interest is had and whether such
interest is over or under five thousand dollars in value.
(2) every office and directorship held by him in any corporation, firm
or enterprise which is subject to the jurisdiction of a regulatory
agency, including the name of such corporation, firm or enterprise.
(3) any other interest or relationship which he determines in his
discretion might reasonably be expected to be particularly affected by
legislative action or in the public interest should be disclosed.
(b) Copies of such statements shall be open for public inspection and
copying.
(c) Any such legislative employee who knowingly and wilfully with
intent to deceive makes a false statement or gives information which he
knows to be false in any written statement required to be filed pursuant
to this subdivision, shall be assessed a civil penalty in an amount not
to exceed ten thousand dollars. Assessment of a civil penalty shall be
made by the legislative ethics committee in accordance with the
provisions of subdivision twelve of section eighty of the legislative
law. For a violation of this subdivision, the committee may, in lieu of
a civil penalty, refer a violation to the appropriate prosecutor and
upon conviction, but only after such referral, such violation shall be
punishable as a class A misdemeanor.
7. (a) No statewide elected official, or state officer or employee,
other than in the proper discharge of official 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 or another in relation to any case, proceeding,
application or other matter before a state agency where such appearance
or rendition of services is in connection with:
(i) the purchase, sale, rental or lease of real property, goods or
services, or a contract therefor, from, to or with any such agency;
(ii) any proceeding relating to rate making;
(iii) the adoption or repeal of any rule or regulation having the
force and effect of law;
(iv) the obtaining of grants of money or loans;
(v) licensing; or
(vi) any proceeding relating to a franchise provided for in the public
service law.
(b) No political party chairman in a county wholly included in a city
having a population of one million or more shall receive, directly or
indirectly, or enter into any agreement express or implied for, any
compensation, in whatever form, for the appearance or rendition of
services by himself or another in relation to any case, proceeding,
application or other matter before any city agency where such appearance
or rendition of services is in connection with:
(i) the purchase, sale, rental or lease of real property, goods or
services, or a contract therefor, from, to or with any such agency;
(ii) any proceeding relating to ratemaking;
(iii) the adoption or repeal of any rule or regulation having the
force and effect of law;
(iv) the obtaining of grants of money or loans;
(v) licensing. For purposes of this paragraph, the term "licensing"
shall mean any city agency activity respecting the grant, denial,
renewal, revocation, enforcement, suspension, annulment, withdrawal,
recall, cancellation or amendment of a license, permit or other form of
permission conferring the right or privilege to engage in (i) a
profession, trade, or occupation or (ii) any business or activity
regulated by a regulatory agency of a city agency which in the absence
of such license, permit or other form of permission would be prohibited;
and
(vi) any proceeding relating to a franchise.
(c) Nothing contained in this subdivision shall prohibit a statewide
elected official, or a state officer or employee, unless otherwise
prohibited, or a member of the legislature or legislative employee, or
political party chairman, from appearing before a state agency in a
representative capacity if such appearance in a representative capacity
is in connection with a ministerial matter.
(d) Nothing contained in this subdivision shall prohibit a member of
the legislature, or a legislative employee on behalf of such member,
from participating in or advocating any position in any matter in an
official or legislative capacity, including, but not limited to, acting
as a public advocate whether or not on behalf of a constituent. Nothing
in this paragraph shall be construed to limit the application of the
provisions of section seventy-seven of this chapter.
(e) Nothing contained in this subdivision shall prohibit a state
officer or employee from appearing before a state agency in a
representative capacity on behalf of an employee organization in any
matter where such appearance is duly authorized by an employee
organization.
(f) Nothing contained in this subdivision shall prohibit a political
party chairman from participating in or advocating any matter in an
official capacity.
(g) Nothing contained in this subdivision shall prohibit internal
research or discussion of a matter, provided, however, that the time is
not charged to the client and the person does not share in the net
revenues generated or produced by the matter.
(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.
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 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:
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.
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 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.
(c) The provisions of paragraph (b) of this subdivision shall not
apply to employees whose 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.
(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 joint commission on public
ethics 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 joint commission on
public ethics, with a copy to such former state officer or employee,
that the services are rendered on behalf of the state, a state agency,
state officer or employee, or other person or entity represented by the
attorney general, and that such former state officer or employee has
expertise, knowledge or experience which is unique or outstanding in a
field or in a particular matter or which would otherwise be generally
unavailable at a comparable cost to the state, a state agency, state
officer or employee, or other person or entity represented by the
attorney general in such civil action or proceeding. 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 joint
commission on public ethics, provides to the joint commission on public
ethics 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;
(c) performing investigations, examinations, inspections or tests of
persons, documents or things;
(d) performing audits, appraisals, compilations or computations, or
reporting about them;
(e) identifying information to be sought concerning facts or opinions;
or
(f) otherwise assisting in the preparation for, or conduct of, such
litigation.
Nothing in this subdivision shall apply to the provision of legal
representation by any former state officer or employee.
* 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 joint commission on public ethics that such
former officer or employee has expertise, knowledge or experience with
respect to a particular matter which meets the needs of the agency and
is otherwise unavailable at a comparable cost. Where approval of the
contract is required under section one hundred twelve of the state
finance law, the comptroller shall review and consider the reasons for
such certification. The joint commission on public ethics must review
and approve all certifications made pursuant to this subdivision.
* NB There are 2 sub 8-b's
* 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 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-b'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 chairman, member of the legislature or
legislative employee is a member, associate, retired member, of counsel
or shareholder, from appearing, practicing, communicating or otherwise
rendering services in relation to any matter before, or transacting
business with a state agency, or a city agency with respect to a
political party chairman in a county wholly included in a city with a
population of more than one million, otherwise proscribed by this
section, the judiciary law, the education law or any other law or
disciplinary rule with respect to such official, member of the
legislature or officer or employee, or political party chairman, where
such statewide elected official, state officer or employee, member of
the legislature or legislative employee, or political party chairman
does not share in the net revenues, as defined in accordance with
generally accepted accounting principles by the joint commission on
public ethics or by the legislative ethics committee in relation to
persons subject to their respective jurisdictions, resulting therefrom,
or, acting in good faith, reasonably believed that he or she would not
share in the net revenues as so defined; nor shall anything contained in
this section, the judiciary law, the education law or any other law or
disciplinary rule be construed to prohibit any firm, association or
corporation in which any present or former statewide elected official,
member of the legislature, legislative employee, full-time salaried
state officer or employee or state officer or employee who is subject to
the provisions of section seventy-three-a of this 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 joint commission on public ethics or by the legislative ethics
committee in relation to persons subject to their respective
jurisdictions, resulting therefrom, or, acting in good faith, reasonably
believed that he or she would not share in the net revenues as so
defined.
11. Notwithstanding any provision of the judiciary law, the education
law or any other law or disciplinary rule to the contrary:
(a) Conduct authorized pursuant to subdivision eight of this section
by a person who has served as a member of the legislature or as a
legislative employee shall not constitute professional misconduct or
grounds for disciplinary action of any kind;
(b) No member of the legislature or former member of the legislature
shall be prohibited from appearing, practicing, communicating or
otherwise rendering services in relation to any matter before, or
transacting business with, any state agency solely by reason of any vote
or other action by such member or former member in respect to the
confirmation or election of any member, commissioner, director or other
person affiliated with such state agency, but nothing in this paragraph
shall limit the prohibition contained in subdivision eight of this
section;
(c) The appearance, practice, communication or rendition of services
in relation to any matter before, or transaction of business with a
state agency, or with the court of claims, or the promotion or
opposition to the passage of bills or resolutions by either house of the
legislature, by a member, associate, retired member, of counsel or
shareholder of a firm, association or corporation, in accordance with
subdivision ten of this section, is hereby authorized and shall not
constitute professional misconduct or grounds for disciplinary action of
any kind solely by reason of the professional relationship between the
statewide elected official, state officer or employee, political party
chairman, member of the legislature, or legislative employee and any
firm, association, corporation or any member, associate, retired member,
of counsel, or shareholder thereof, or by reason of the appearance
created by any such professional relationship.
12. A statewide elected official, state officer or employee, or a
member of the legislature or legislative employee, or political party
chairman, who is a member, associate, retired member, of counsel to, or
shareholder of any firm, association or corporation which is appearing
or rendering services in connection with any case, proceeding,
application or other matter listed in paragraph (a) or (b) of
subdivision seven of this section shall not orally communicate, with or
without compensation, as to the merits of such cause with an officer or
an employee of the agency concerned with the matter.
13. For the purposes of this section, a statewide elected official or
state officer or employee or member of the legislature or legislative
employee or political party chairman who is a member, associate, retired
member, of counsel to, or shareholder of any firm, association or
corporation shall not be deemed to have made an appearance under the
provisions of this section solely by the submission to a state agency or
city agency of any printed material or document bearing his or her name,
but unsigned by him or her, such as by limited illustrations the name of
the firm, association or corporation or the letterhead of any
stationery, which pro forma serves only as an indication that he or she
is such a member, associate, retired member, of counsel to, or
shareholder.
14. (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.
(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.
(c) No state officer or employee shall, directly or indirectly, use
his or her official authority to compel 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.
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, 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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