N.Y. Public Officers Law § 73: Business or professional activities by state officers and employees and party 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.

(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.

(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.

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 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

(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 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.

(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 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.

(c) Any such legislative employee who knowingly and wilfully with

intent to deceive makes a false 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.

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;

(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.

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 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 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 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;

(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 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 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 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;

(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, 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.