N.Y. PBO Law § 73 — New York Code / Act PBO / Article 4 / Section 73
Business or professional activities by state officers and employees and party officers
Status: in_force

§ 73. Business or professional activities by state officers and\nemployees and party officers. 1. As used in this section:\n  (a) The term "compensation" shall mean any money, thing of value or\nfinancial benefit conferred in return for services rendered or to be\nrendered. With regard to matters undertaken by a firm, corporation or\nassociation, compensation shall mean net revenues, as defined in\naccordance with generally accepted accounting principles as defined by\nthe commission on ethics and lobbying in government or legislative\nethics commission in relation to persons subject to their respective\njurisdictions.\n  (b) The term "licensing" shall mean any state agency activity, other\nthan before the division of corporations and state records in the\ndepartment of state, respecting the grant, denial, renewal, revocation,\nenforcement, suspension, annulment, withdrawal, recall, cancellation or\namendment of a license, permit or other form of permission conferring\nthe right or privilege to engage in (i) a profession, trade, or\noccupation or (ii) any business or activity regulated by a regulatory\nagency as defined herein, which in the absence of such license, permit\nor other form of permission would be prohibited.\n  (c) The term "legislative employee" shall mean any officer or employee\nof the legislature but it shall not include members of the legislature.\n  (d) The term "ministerial matter" shall mean an administrative act\ncarried out in a prescribed manner not allowing for substantial personal\ndiscretion.\n  (e) The term "regulatory agency" shall mean the department of\nfinancial services, state liquor authority, department of agriculture\nand markets, department of education, department of environmental\nconservation, department of health, division of housing and community\nrenewal, department of state, other than the division of corporations\nand state records, department of public service, the industrial board of\nappeals in the department of labor and the department of law, other than\nwhen the attorney general or his agents or employees are performing\nduties specified in section sixty-three of the executive law.\n  (f) The term "representative capacity" shall mean the presentation of\nthe interests of a client or other person pursuant to an agreement,\nexpress or implied, for compensation for services.\n  (g) The term "state agency" shall mean any state department, or\ndivision, board, commission, or bureau of any state department, any\npublic benefit corporation, public authority or commission at least one\nof whose members is appointed by the governor, or the state university\nof New York or the city university of New York, including all their\nconstituent units except community colleges of the state university of\nNew York and the independent institutions operating statutory or\ncontract colleges on behalf of the state.\n  (h) The term "statewide elected official" shall mean the governor,\nlieutenant governor, comptroller or attorney general.\n  (i) The term "state officer or employee" shall mean:\n  (i) heads of state departments and their deputies and assistants other\nthan members of the board of regents of the university of the state of\nNew York who receive no compensation or are compensated on a per diem\nbasis;\n  (ii) officers and employees of statewide elected officials;\n  (iii) officers and employees of state departments, boards, bureaus,\ndivisions, commissions, councils or other state agencies other than\nofficers of such boards, commissions or councils who receive no\ncompensation or are compensated on a per diem basis; and\n  (iv) members or directors of public authorities, other than\nmulti-state authorities, public benefit corporations and commissions at\nleast one of whose members is appointed by the governor, who receive\ncompensation other than on a per diem basis, and employees of such\nauthorities, corporations and commissions.\n  (j) The term "city agency" shall mean a city, county, borough or other\noffice, position, administration, department, division, bureau, board,\ncommission, authority, corporation or other agency of government, the\nexpenses of which are paid in whole or in part from the city treasury,\nand shall include the board of education, the board of higher education,\nschool boards, city and community colleges, community boards, the New\nYork city transit authority, the New York city housing authority and the\nTriborough bridge and tunnel authority, but shall not include any court\nor corporation or institution maintaining or operating a public library,\nmuseum, botanical garden, arboretum, tomb, memorial building, aquarium,\nzoological garden or similar facility.\n  (k) The term "political party chairman" shall mean:\n  (i) the chairman of the state committee of a party elected as provided\nin section 2-112 of the election law and his or her successor in office;\n  (ii) the chairman of a county committee elected as provided in section\n2-112 of the election law and his or her successor in office from a\ncounty having a population of three hundred thousand or more or who\nreceives compensation or expenses, or both, during the calendar year\naggregating thirty thousand dollars or more; and\n  (iii) that person (usually designated by the rules of a county\ncommittee as the "county leader" or "chairman of the executive\ncommittee") by whatever title designated, who pursuant to the rules of a\ncounty committee or in actual practice, possesses or performs any or all\nof the following duties or roles, provided that such person was elected\nfrom a county having a population of three hundred thousand or more or\nwas a person who received compensation or expenses, or both, from\nconstituted committee or political committee funds, or both, during the\nreporting period aggregating thirty thousand dollars or more:\n  (A) the principal political, executive and administrative officer of\nthe county committee;\n  (B) the power of general management over the affairs of the county\ncommittee;\n  (C) the power to exercise the powers of the chairman of the county\ncommittee as provided for in the rules of the county committee;\n  (D) the power to preside at all meetings of the county executive\ncommittee, if such a committee is created by the rules of the county\ncommittee or exists de facto, or any other committee or subcommittee of\nthe county committee vested by such rules with or having de facto the\npower of general management over the affairs of the county committee at\ntimes when the county committee is not in actual session;\n  (E) the power to call a meeting of the county committee or of any\ncommittee or subcommittee vested with the rights, powers, duties or\nprivileges of the county committee pursuant to the rules of the county\ncommittee, for the purpose of filling an office at a special election in\naccordance with section 6-114 of the election law, for the purpose of\nfilling a vacancy in accordance with section 6-116 of such law; or\n  (F) the power to direct the treasurer of the party to expend funds of\nthe county committee.\n  The terms "constituted committee" and "political committee", as used\nin this paragraph (k), shall have the same meanings as those contained\nin section 14-100 of the election law.\n  (l) A person has a "financial interest" in any entity if that person:\n  (i) owns or controls ten percent or more of the stock of such entity\n(or one percent in the case of a corporation whose stock is regularly\ntraded on an established securities exchange); or\n  (ii) serves as an officer, director or partner of that entity.\n  (m) The "relative" of any individual shall mean any person living in\nthe same household as the individual and any person who is a direct\ndescendant of that individual's grandparents or the spouse of such\ndescendant.\n  (n) The term "domestic partner" shall mean a person who, with respect\nto another person, is formally a party in a domestic partnership or\nsimilar relationship with the other person, entered into pursuant to the\nlaws of the United States or of any state, local or foreign\njurisdiction, or registered as the domestic partner of the other person\nwith any registry maintained by the employer of either party or any\nstate, municipality, or foreign jurisdiction.\n  2. In addition to the prohibitions contained in subdivision seven of\nthis section, no statewide elected official, state officer or employee,\nmember of the legislature or legislative employee shall receive, or\nenter into any agreement express or implied for, compensation for\nservices to be rendered in relation to any case, proceeding,\napplication, or other matter before any state agency, or any executive\norder, or any legislation or resolution before the state legislature,\nwhereby his or her compensation is to be dependent or contingent upon\nany action by such agency or legislature with respect to any license,\ncontract, certificate, ruling, decision, executive order, opinion, rate\nschedule, franchise, legislation, resolution or other benefit; provided,\nhowever, that nothing in this subdivision shall be deemed to prohibit\nthe fixing at any time of fees based upon the reasonable value of the\nservices rendered.\n  3. (a) No statewide elected official, member of the legislature,\nlegislative employee, full-time salaried state officer or employee shall\nreceive, directly or indirectly, or enter into any agreement express or\nimplied for, any compensation, in whatever form, for the appearance or\nrendition of services by himself, herself or another against the\ninterest of the state in relation to any case, proceeding, application\nor other matter before, or the transaction of business by himself,\nherself or another with, the court of claims.\n  (b) No state officer or employee who is required to file an annual\nstatement of financial disclosure pursuant to the provisions of section\nseventy-three-a of this article, and is not otherwise subject to the\nprovisions of this section, shall receive, directly or indirectly, or\nenter into any agreement express or implied, for any compensation, in\nwhatever form, for the appearance or rendition of services by himself,\nherself or another against the interest of the state agency by which he\nor she is employed or affiliated in relation to any case, proceeding,\napplication or other matter before, or the transaction of business by\nhimself, herself or another with, the court of claims.\n  4. (a) No statewide elected official, state officer or employee,\nmember of the legislature, legislative employee or political party\nchairman or firm or association of which such person is a member, or\ncorporation, ten per centum or more of the stock of which is owned or\ncontrolled directly or indirectly by such person, shall (i) sell any\ngoods or services having a value in excess of twenty-five dollars to any\nstate agency, or (ii) contract for or provide such goods or services\nwith or to any private entity where the power to contract, appoint or\nretain on behalf of such private entity is exercised, directly or\nindirectly, by a state agency or officer thereof, unless such goods or\nservices are provided pursuant to an award or contract let after public\nnotice and competitive bidding. This paragraph shall not apply to the\npublication of resolutions, advertisements or other legal propositions\nor notices in newspapers designated pursuant to law for such purpose and\nfor which the rates are fixed pursuant to law.\n  (b) No political party chairman of a county wholly included in a city\nwith a population of more than one million, or firm or association of\nwhich such person is a member, or corporation, ten per centum or more of\nthe stock of which is owned or controlled directly or indirectly by such\nperson, shall (i) sell any goods or services having a value in excess of\ntwenty-five dollars to any city agency, or (ii) contract for or provide\nsuch goods or services with or to any private entity where the power to\ncontract, appoint or retain on behalf of such private entity is\nexercised directly or indirectly, by a city agency or officer thereof,\nunless such goods or services are provided pursuant to an award or\ncontract let after public notice and competitive bidding. This paragraph\nshall not apply to the publication of resolutions, advertisements or\nother legal propositions or notices in newspapers designated pursuant to\nlaw for such purpose and for which the rates are fixed pursuant to law.\n  (c) For purposes of this subdivision, the term "services" shall not\ninclude employment as an employee.\n  5. No statewide elected official, state officer or employee,\nindividual whose name has been submitted by the governor to the senate\nfor confirmation to become a state officer or employee, member of the\nlegislature or legislative employee shall, directly or indirectly:\n  (a) solicit, accept or receive any gift having more than a nominal\nvalue, whether in the form of money, service, loan, travel, lodging,\nmeals, refreshments, entertainment, discount, forbearance or promise, or\nin any other form, under circumstances in which it could reasonably be\ninferred that the gift was intended to influence him or her, or could\nreasonably be expected to influence him or her, in the performance of\nhis or her official duties or was intended as a reward for any official\naction on his or her part. No person shall, directly or indirectly,\noffer or make any such gift to a statewide elected official, or any\nstate officer or employee, member of the legislature or legislative\nemployee under such circumstances.\n  (b) solicit, accept or receive any gift, as defined in section one-c\nof the legislative law, from any person who is prohibited from\ndelivering such gift pursuant to section one-m of the legislative law\nunless under the circumstances it is not reasonable to infer that the\ngift was intended to influence him or her; or\n  (c) permit the solicitation, acceptance, or receipt of any gift, as\ndefined in section one-c of the legislative law, from any person who is\nprohibited from delivering such gift pursuant to section one-m of the\nlegislative law to a third party including a charitable organization, on\nsuch official's designation or recommendation or on his or her behalf,\nunder circumstances where it is reasonable to infer that the gift was\nintended to influence him or her.\n  5-a. (a) For the purpose of this subdivision only, the term\n"honorarium" shall mean any payment made in consideration for any speech\ngiven at a public or private conference, convention, meeting, social\nevent, meal or like gathering.\n  (b) No statewide elected official or head of any civil department\nshall, directly or indirectly, solicit, accept or receive any honorarium\nwhile holding such elected office or appointed position.\n  (c) No member of the legislature or legislative employee shall,\ndirectly or indirectly, solicit, accept or receive any honorarium while\nholding such elected office or employment, other than honorarium paid in\nconsideration for a speech given on a topic unrelated to the\nindividual's current public employment or as earned income for personal\nservices that are customarily provided in connection with the practice\nof a bona fide business, trade or profession, such as teaching,\npracticing law, medicine or banking, unless the sole or predominant\nactivity thereof is making speeches.\n  6. (a) Every legislative employee not subject to the provisions of\nsection seventy-three-a of this chapter shall, on and after December\nfifteenth and before the following January fifteenth, in each year, file\nwith the commission on ethics and lobbying in government and the\nlegislative ethics commission a financial disclosure statement of\n  (1) each financial interest, direct or indirect of himself or herself,\nhis or her spouse or domestic partner and his or her unemancipated\nchildren under the age of eighteen years in any activity which is\nsubject to the jurisdiction of a regulatory agency or name of the entity\nin which the interest is had and whether such interest is over or under\nfive thousand dollars in value.\n  (2) every office and directorship held by him or her in any\ncorporation, firm or enterprise which is subject to the jurisdiction of\na regulatory agency, including the name of such corporation, firm or\nenterprise.\n  (3) any other interest or relationship which he or she determines in\nhis or her discretion might reasonably be expected to be particularly\naffected by legislative action or in the public interest should be\ndisclosed.\n  (b) Copies of such statements shall be open for public inspection and\ncopying.\n  (c) Any such legislative employee who knowingly and wilfully with\nintent to deceive makes a false statement or gives information which he\nor she knows to be false in any written statement required to be filed\npursuant to this subdivision, shall be assessed a civil penalty in an\namount not to exceed ten thousand dollars. Assessment of a civil penalty\nshall be made by the legislative ethics commission in accordance with\nthe provisions of subdivision ten of section eighty of the legislative\nlaw.  For a violation of this subdivision, the commission may, in lieu\nof a civil penalty, refer a violation to the appropriate prosecutor and\nupon conviction, but only after such referral, such violation shall be\npunishable as a class A misdemeanor.\n  7. (a) No statewide elected official, or state officer or employee,\nother than in the proper discharge of official state or local\ngovernmental duties, or member of the legislature or legislative\nemployee, or political party chairman shall receive, directly or\nindirectly, or enter into any agreement express or implied for, any\ncompensation, in whatever form, for the appearance or rendition of\nservices by himself, herself or another in relation to any case,\nproceeding, application or other matter before a state agency where such\nappearance or rendition of services is in connection with:\n  (i) the purchase, sale, rental or lease of real property, goods or\nservices, or a contract therefor, from, to or with any such agency;\n  (ii) any proceeding relating to rate making;\n  (iii) the adoption or repeal of any rule or regulation having the\nforce and effect of law;\n  (iv) the obtaining of grants of money or loans;\n  (v) licensing; or\n  (vi) any proceeding relating to a franchise provided for in the public\nservice law.\n  (b) No political party chairman in a county wholly included in a city\nhaving a population of one million or more shall receive, directly or\nindirectly, or enter into any agreement express or implied for, any\ncompensation, in whatever form, for the appearance or rendition of\nservices by himself, herself or another in relation to any case,\nproceeding, application or other matter before any city agency where\nsuch appearance or rendition of services is in connection with:\n  (i) the purchase, sale, rental or lease of real property, goods or\nservices, or a contract therefor, from, to or with any such agency;\n  (ii) any proceeding relating to ratemaking;\n  (iii) the adoption or repeal of any rule or regulation having the\nforce and effect of law;\n  (iv) the obtaining of grants of money or loans;\n  (v) licensing. For purposes of this paragraph, the term "licensing"\nshall mean any city agency activity respecting the grant, denial,\nrenewal, revocation, enforcement, suspension, annulment, withdrawal,\nrecall, cancellation or amendment of a license, permit or other form of\npermission conferring the right or privilege to engage in (i) a\nprofession, trade, or occupation or (ii) any business or activity\nregulated by a regulatory agency of a city agency which in the absence\nof such license, permit or other form of permission would be prohibited;\nand\n  (vi) any proceeding relating to a franchise.\n  (c) Nothing contained in this subdivision shall prohibit a statewide\nelected official, or a state officer or employee, unless otherwise\nprohibited, or a member of the legislature or legislative employee, or\npolitical party chairman, from appearing before a state agency in a\nrepresentative capacity if such appearance in a representative capacity\nis in connection with a ministerial matter.\n  (d) Nothing contained in this subdivision shall prohibit a member of\nthe legislature, or a legislative employee on behalf of such member,\nfrom participating in or advocating any position in any matter in an\nofficial or legislative capacity, including, but not limited to, acting\nas a public advocate whether or not on behalf of a constituent. Nothing\nin this paragraph shall be construed to limit the application of the\nprovisions of section seventy-seven of this chapter.\n  (e) Nothing contained in this subdivision shall prohibit a state\nofficer or employee from appearing before a state agency in a\nrepresentative capacity on behalf of an employee organization in any\nmatter where such appearance is duly authorized by an employee\norganization.\n  (f) Nothing contained in this subdivision shall prohibit a political\nparty chairman from participating in or advocating any matter in an\nofficial capacity.\n  (g) Nothing contained in this subdivision shall prohibit internal\nresearch or discussion of a matter, provided, however, that the time is\nnot charged to the client and the person does not share in the net\nrevenues generated or produced by the matter.\n  (h) Nothing contained in this subdivision shall prohibit a state\nofficer or employee, unless otherwise prohibited, from appearing or\nrendering services in relation to a case, proceeding, application or\ntransaction before a state agency, other than the agency in which the\nofficer or employee is employed, when such appearance or rendition of\nservices is made while carrying out official duties as an elected or\nappointed official, or employee of a local government or one of its\nagencies.\n  7-a. No member of the legislature, legislative employee, statewide\nelected official, or state officer or employee shall receive, directly\nor indirectly, or enter into any agreement express or implied, for any\ncompensation, in whatever form, for the rendering of consulting,\nrepresentational, advisory or other services by himself or herself or\nanother in connection with any proposed or pending bill or resolution in\nthe senate or assembly.\n  8. (a) (i) No person who has served as a state officer or employee\nshall within a period of two years after the termination of such service\nor employment appear or practice before such state agency or receive\ncompensation for any services rendered by such former officer or\nemployee on behalf of any person, firm, corporation or association in\nrelation to any case, proceeding or application or other matter before\nsuch agency.\n  (ii) No person who has served as a state officer or employee shall\nafter the termination of such service or employment appear, practice,\ncommunicate or otherwise render services before any state agency or\nreceive compensation for any such services rendered by such former\nofficer or employee on behalf of any person, firm, corporation or other\nentity in relation to any case, proceeding, application or transaction\nwith respect to which such person was directly concerned and in which he\nor she personally participated during the period of his or her service\nor employment, or which was under his or her active consideration.\n  (iii) No person who has served as a member of the legislature shall\nwithin a period of two years after the termination of such service\nreceive compensation for any services on behalf of any person, firm,\ncorporation or association to promote or oppose, directly or indirectly,\nthe passage of bills or resolutions by either house of the legislature.\nNo legislative employee shall within a period of two years after the\ntermination of such service receive compensation for any services on\nbehalf of any person, firm, corporation or association to appear,\npractice or directly communicate before either house of the legislature\nto promote or oppose the passage of bills or resolutions by either house\nof the legislature.\n  (iv) No person who has served as an officer or employee in the\nexecutive chamber of the governor shall within a period of two years\nafter termination of such service appear or practice before any state\nagency.\n  (b) (i) The provisions of subparagraph (i) of paragraph (a) of this\nsubdivision shall not apply to any state officer or employee whose\nemployment was terminated on or after January first, nineteen hundred\nninety-five and before April first, nineteen hundred ninety-nine or on\nor after January first, two thousand nine and before April first, two\nthousand fourteen because of economy, consolidation or abolition of\nfunctions, curtailment of activities or other reduction in the state\nwork force. On or before the date of such termination of employment, the\nstate agency shall provide to the terminated employee a written\ncertification that the employee has been terminated because of economy,\nconsolidation or abolition of functions, curtailment of activities or\nother reduction in the state work force, and that such employee is\ncovered by the provisions of this paragraph. The written certification\nshall also contain a notice describing the rights and responsibilities\nof the employee pursuant to the provisions of this section. The\ncertification and notice shall contain the information and shall be in\nthe form set forth below:\n                        CERTIFICATION AND NOTICE\nTO:  Employee's Name:   ____________________________\n     State agency:     ____________________________\n     Date of Termination: ____________________________\n  I, (name and title) of (state agency), hereby certify that your\ntermination from State service is because of economy, consolidation or\nabolition of functions, curtailment of activities or other reduction in\nthe State work force. Therefore, you are covered by the provisions of\nparagraph (b) of subdivision eight of section seventy-three of the\nPublic Officers Law.\n  You were designated as a policy maker: YES ____ NO ____\n                                           ______________\n                                              (TITLE)\nTO THE EMPLOYEE:\n  This certification affects your right to engage in certain activities\nafter you leave state service.\n  Ordinarily, employees who leave State service may not, for two years,\nappear or practice before their former agency or receive compensation\nfor rendering services on a matter before their former agency. However,\nbecause of this certification, you may be exempt from this restriction.\n  If you were not designated as a Policymaker by your agency, you are\nautomatically exempt. You may, upon leaving State service, immediately\nappear, practice or receive compensation for services rendered before\nyour former agency.\n  If you were designated as a Policymaker by your agency, you are\neligible to apply for an exemption to the Commission on Public Integrity\nat 540 Broadway, Albany, New York 12207.\n  Even if you are or become exempt from the two year bar, the lifetime\nbar of the revolving door statute will continue to apply to you. You may\nnot appear, practice, communicate or otherwise render services before\nany State agency in relation to any case, proceeding, application or\ntransaction with respect to which you were directly concerned and in\nwhich you personally participated during your State service, or which\nwas under your active consideration.\n  If you have any questions about the application of the post-employment\nrestrictions to your circumstances, you may contact the Commission on\nPublic Integrity at (518) 408-3976 or 1-800-87ETHIC (1-800-873-8442).\n  (ii) The provisions of subparagraph (i) of this paragraph shall not\napply to any such officer or employee who at the time of or prior to\nsuch termination had served in a policymaking position as determined by\nthe appointing authority, which determination had been filed with the\nstate ethics commission or the commission on public integrity, provided\nthat such officer or employee may so appear or practice or receive such\ncompensation with the prior approval of the state ethics commission or\nthe commission on public integrity. In determining whether to grant such\napproval the state ethics commission or the commission on public\nintegrity shall consider:\n  A. whether the employee's prior job duties involved substantial\ndecision-making authority over policies, rule or contracts;\n  B. the nature of the duties to be performed by the employee for the\nprospective employer;\n  C. whether the prospective employment is likely to involve substantial\ncontact with the employee's former agency and the extent to which any\nsuch contact is likely to involve matters where the agency has the\ndiscretion to make decisions based on the work product of the employee;\n  D. whether the prospective employment may be beneficial to the state\nor the public; and\n  E. the extent of economic hardship to the employee if the application\nis denied.\n  (c) The provisions of paragraph (b) of this subdivision shall not\napply to employees whose employment has been discontinued as a result of\nretirement or to employees who, prior to termination, have declined to\nexercise a right to another position with a state agency unless such\nposition would require the employee to travel more than thirty-five\nmiles in each direction to the new position or accept a reduction in\nbase salary of more than ten per centum.\n  (d) Nothing contained in this subdivision shall prohibit any state\nagency from adopting rules concerning practice before it by former\nofficers or employees more restrictive than the requirements of this\nsubdivision.\n  (e) This subdivision shall not apply to any appearance, practice,\ncommunication or rendition of services before any state agency, or\neither house of the legislature, or to the receipt of compensation for\nany such services, rendered by a former state officer or employee or\nformer member of the legislature or legislative employee, which is made\nwhile carrying out official duties as an elected official or employee of\na federal, state or local government or one of its agencies.\n  (f) Nothing in this subdivision shall be deemed to prevent a former\nstate officer or employee who was employed on a temporary basis to\nperform routine clerical services, mail services, data entry services or\nother similar ministerial tasks, from subsequently being employed by a\nperson, firm, corporation or association under contract to a state\nagency to perform such routine clerical services, mail services, data\nentry services or other similar ministerial tasks; provided however,\nthis paragraph shall in no event apply to any such state officer or\nemployee who was required to file an annual statement of financial\ndisclosure pursuant to section seventy-three-a of this article.\n  (g) Notwithstanding the provisions of subparagraphs (i) and (ii) of\nparagraph (a) of this subdivision, a former state officer or employee\nmay contract individually, or as a member or employee of a firm,\ncorporation or association, to render services to any state agency when\nthe agency head certifies in writing to the state ethics commission that\nthe services of such former officer or employee are required in\nconnection with the agency's efforts to address the state's year 2000\ncompliance problem.\n  (h) Notwithstanding the provisions of subparagraphs (i) and (ii) of\nparagraph (a) of this subdivision, a former state officer or employee\nmay contract individually, or as a member or employee of a firm,\ncorporation or association, to render services to any state agency when\nthe agency head certifies in writing to the commission on ethics and\nlobbying in government that the services of such former officer or\nemployee are required in connection with the agency's response to a\ndisaster emergency declared by the governor pursuant to section\ntwenty-eight of the executive law.\n  (i) The provisions of subparagraphs (i) and (ii) of paragraph (a) of\nthis subdivision shall not apply to any person as a result of his or her\ntemporary employment by the New York state department of agriculture and\nmarkets in the civil service title of veterinarian one or animal health\ninspector one and their service, in that capacity, as a member of the\nNew York state emergency veterinary corps.\n  8-a. The provisions of subparagraphs (i) and (ii) of paragraph (a) of\nsubdivision eight of this section shall not apply to any such former\nstate officer or employee engaged in any of the specific permitted\nactivities defined in this subdivision that are related to any civil\naction or proceeding in any state or federal court, provided that the\nattorney general has certified in writing to the commission on ethics\nand lobbying in government, with a copy to such former state officer or\nemployee, that the services are rendered on behalf of the state, a state\nagency, state officer or employee, or other person or entity represented\nby the attorney general, and that such former state officer or employee\nhas expertise, knowledge or experience which is unique or outstanding in\na field or in a particular matter or which would otherwise be generally\nunavailable at a comparable cost to the state, a state agency, state\nofficer or employee, or other person or entity represented by the\nattorney general in such civil action or proceeding. In those instances\nwhere a state agency is not represented by the attorney general in a\ncivil action or proceeding in state or federal court, a former state\nofficer or employee may engage in permitted activities provided that the\ngeneral counsel of the state agency, after consultation with the\ncommission on ethics and lobbying in government, provides to the\ncommission on ethics and lobbying in government a written certification\nwhich meets the requirements of this subdivision. For purposes of this\nsubdivision the term "permitted activities" shall mean generally any\nactivity performed at the request of the attorney general or the\nattorney general's designee, or in cases where the state agency is not\nrepresented by the attorney general, the general counsel of such state\nagency, including without limitation:\n  (a) preparing or giving testimony or executing one or more affidavits;\n  (b) gathering, reviewing or analyzing information, including\ndocumentary or oral information concerning facts or opinions, attending\ndepositions or participating in document review or discovery;\n  (c) performing investigations, examinations, inspections or tests of\npersons, documents or things;\n  (d) performing audits, appraisals, compilations or computations, or\nreporting about them;\n  (e) identifying information to be sought concerning facts or opinions;\nor\n  (f) otherwise assisting in the preparation for, or conduct of, such\nlitigation.\n  Nothing in this subdivision shall apply to the provision of legal\nrepresentation by any former state officer or employee.\n  8-b. Notwithstanding the provisions of subparagraphs (i) and (ii) of\nparagraph (a) of subdivision eight of this section, a former state\nofficer or employee may contract individually, or as a member or\nemployee of a firm, corporation or association, to render services to\nany state agency if, prior to engaging in such service, the agency head\ncertifies in writing to the commission on ethics and lobbying in\ngovernment that such former officer or employee has expertise, knowledge\nor experience with respect to a particular matter which meets the needs\nof the agency and is otherwise unavailable at a comparable cost. Where\napproval of the contract is required under section one hundred twelve of\nthe state finance law, the comptroller shall review and consider the\nreasons for such certification. The commission on ethics and lobbying in\ngovernment must review and approve all certifications made pursuant to\nthis subdivision.\n  * 8-c. Notwithstanding the provisions of subparagraphs (i) and (ii) of\nparagraph (a) of subdivision eight of this section, a former state\nofficer or employee who, prior to his or her separation from state\nservice, was employed as a health care professional and, in conjunction\nwith his or her state duties, provided treatment and/or medical services\nto individuals residing in or served by a state-operated facility is not\nbarred from rendering services to such individuals in their care prior\nto leaving state service, at the state-operated facility which employed\nthe former state officer or employee.\n  * NB There are 2 sub 8-c's\n  * 8-c. Notwithstanding the provisions of subparagraphs (i) and (ii) of\nparagraph (a) of subdivision eight of this section, a former state\nofficer or employee who, prior to his or her separation from state\nservice, was employed performing direct care, clinical care, case\nmanagement, service coordination or other related support duties with\nthe state of New York is not barred from rendering such services in the\nfuture to individuals who were receiving such services from that\nindividual prior to leaving the state service.\n  * NB There are 2 sub 8-c's\n  9. No party officer while serving as such shall be eligible to serve\nas a judge of any court of record, attorney-general or deputy or\nassistant attorney-general or solicitor general, district attorney or\nassistant district attorney. As used in this subdivision, the term\n"party officer" shall mean a member of a national committee, an officer\nor member of a state committee or a county chairman of any political\nparty.\n  10. Nothing contained in this section, the judiciary law, the\neducation law or any other law or disciplinary rule shall be construed\nor applied to prohibit any firm, association or corporation, in which\nany present or former statewide elected official, state officer or\nemployee, or political party chair, member of the legislature or\nlegislative employee is a member, associate, retired member, of counsel\nor shareholder, from appearing, practicing, communicating or otherwise\nrendering services in relation to any matter before, or transacting\nbusiness with a state agency, or a city agency with respect to a\npolitical party chair in a county wholly included in a city with a\npopulation of more than one million, otherwise proscribed by this\nsection, the judiciary law, the education law or any other law or\ndisciplinary rule with respect to such official, member of the\nlegislature or officer or employee, or political party chair, where such\nstatewide elected official, state officer or employee, member of the\nlegislature or legislative employee, or political party chair does not\nshare in the net revenues, as defined in accordance with generally\naccepted accounting principles by the commission on ethics and lobbying\nin government or by the legislative ethics commission in relation to\npersons subject to their respective jurisdictions, resulting therefrom,\nor, acting in good faith, reasonably believed that he or she would not\nshare in the net revenues as so defined; nor shall anything contained in\nthis section, the judiciary law, the education law or any other law or\ndisciplinary rule be construed to prohibit any firm, association or\ncorporation in which any present or former statewide elected official,\nmember of the legislature, legislative employee, full-time salaried\nstate officer or employee or state officer or employee who is subject to\nthe provisions of section seventy-three-a of this article is a member,\nassociate, retired member, of counsel or shareholder, from appearing,\npracticing, communicating or otherwise rendering services in relation to\nany matter before, or transacting business with, the court of claims,\nwhere such statewide elected official, member of the legislature,\nlegislative employee, full-time salaried state officer or employee or\nstate officer or employee who is subject to the provisions of section\nseventy-three-a of this article does not share in the net revenues, as\ndefined in accordance with generally accepted accounting principles by\nthe commission on ethics and lobbying in government or by the\nlegislative ethics commission in relation to persons subject to their\nrespective jurisdictions, resulting therefrom, or, acting in good faith,\nreasonably believed that he or she would not share in the net revenues\nas so defined.\n  11. Notwithstanding any provision of the judiciary law, the education\nlaw or any other law or disciplinary rule to the contrary:\n  (a) Conduct authorized pursuant to subdivision eight of this section\nby a person who has served as a member of the legislature or as a\nlegislative employee shall not constitute professional misconduct or\ngrounds for disciplinary action of any kind;\n  (b) No member of the legislature or former member of the legislature\nshall be prohibited from appearing, practicing, communicating or\notherwise rendering services in relation to any matter before, or\ntransacting business with, any state agency solely by reason of any vote\nor other action by such member or former member in respect to the\nconfirmation or election of any member, commissioner, director or other\nperson affiliated with such state agency, but nothing in this paragraph\nshall limit the prohibition contained in subdivision eight of this\nsection;\n  (c) The appearance, practice, communication or rendition of services\nin relation to any matter before, or transaction of business with a\nstate agency, or with the court of claims, or the promotion or\nopposition to the passage of bills or resolutions by either house of the\nlegislature, by a member, associate, retired member, of counsel or\nshareholder of a firm, association or corporation, in accordance with\nsubdivision ten of this section, is hereby authorized and shall not\nconstitute professional misconduct or grounds for disciplinary action of\nany kind solely by reason of the professional relationship between the\nstatewide elected official, state officer or employee, political party\nchairman, member of the legislature, or legislative employee and any\nfirm, association, corporation or any member, associate, retired member,\nof counsel, or shareholder thereof, or by reason of the appearance\ncreated by any such professional relationship.\n  12. A statewide elected official, state officer or employee, or a\nmember of the legislature or legislative employee, or political party\nchairman, who is a member, associate, retired member, of counsel to, or\nshareholder of any firm, association or corporation which is appearing\nor rendering services in connection with any case, proceeding,\napplication or other matter listed in paragraph (a) or (b) of\nsubdivision seven of this section shall not orally communicate, with or\nwithout compensation, as to the merits of such cause with an officer or\nan employee of the agency concerned with the matter.\n  13. For the purposes of this section, a statewide elected official or\nstate officer or employee or member of the legislature or legislative\nemployee or political party chairman who is a member, associate, retired\nmember, of counsel to, or shareholder of any firm, association or\ncorporation shall not be deemed to have made an appearance under the\nprovisions of this section solely by the submission to a state agency or\ncity agency of any printed material or document bearing his or her name,\nbut unsigned by him or her, such as by limited illustrations the name of\nthe firm, association or corporation or the letterhead of any\nstationery, which pro forma serves only as an indication that he or she\nis such a member, associate, retired member, of counsel to, or\nshareholder.\n  14. (a) No statewide elected official, state officer or employee,\nmember of the legislature or legislative employee may participate in any\ndecision to hire, promote, discipline or discharge a relative for any\ncompensated position at, for or within any state agency, public\nauthority or the legislature.\n  (b) This paragraph shall not apply to (i) the hiring of a relative by\na legislator with a physical impairment, for the sole purpose of\nassisting with that impairment, as necessary and otherwise permitted by\nlaw; (ii) the temporary hiring of legislative pages, interns and\nmessengers; or (iii) responding to inquiries with respect to prospective\nhires related to an individual covered by this paragraph.\n  15. No statewide elected official, state officer or employee, member\nof the legislature or legislative employee shall:\n  (a) participate in any state contracting decision involving the\npayment of more than one thousand dollars to that individual, any\nrelative of that individual, or any entity in which that individual or\nany relative has a financial interest; or\n  (b) participate in any decision to invest public funds in any security\nof any entity in which that individual or any relative of that\nindividual has a financial interest, is an underwriter, or receives any\nbrokerage, origination or servicing fees.\n  16. (a) No statewide elected official, state officer or employee\ninvolved in the awarding of state grants or contracts may ask a current\nor prospective grantee or contractor, or any officer, director or\nemployee thereof, to disclose: (i) the party affiliation of such grantee\nor contractor, or any officer, director or employee thereof; (ii)\nwhether such grantee or contractor, or any officer, director or employee\nthereof, has made campaign contributions to any party, elected official,\nor candidate for elective office; or (iii) whether such grantee or\ncontractor, or any officer, director or employee thereof, cast a vote\nfor or against any elected official, candidate or political party.\n  (b) No statewide elected official or state officer or employee may\naward or decline to award any state grant or contract, or recommend,\npromise or threaten to do so, in whole or in part, because of a current\nor prospective grantee's or contractor's refusal to answer any inquiry\nprohibited by paragraph (a) of this subdivision, or giving or\nwithholding or neglecting to make any contribution of money or service\nor any other valuable thing for any political purpose.\n  17. (a) No statewide elected official, or state officer or employee\nmay during the consideration of an employment decision ask any applicant\nfor public employment to disclose: (i) the political party affiliation\nof the applicant; (ii) whether the applicant has made campaign\ncontributions to any party, elected official, or candidate for elective\noffice; or (iii) whether the applicant cast a vote for or against any\nelected official, candidate or political party. The provisions of this\nparagraph shall not apply where (1) such inquiry is necessary for the\nproper application of any state law or regulation; or (2) such inquiry\nis consistent with publicly disclosed policies or practices of any state\nagency or public authority, whose purpose is to ensure the\nrepresentation of more than one political party on any multi-member\nbody.\n  (b) No statewide elected official or state officer or employee may\ndecline to hire or promote, discharge, discipline, or in any manner\nchange the official rank or compensation of any state official or\nemployee, or applicant for employment, or promise or threaten to do so,\nbased upon a refusal to answer any inquiry prohibited by paragraph (a)\nof this subdivision, or for giving or withholding or neglecting to make\nany contribution of money or service or any other valuable thing for any\npolitical purpose.\n  (c) No state officer or employee shall, directly or indirectly, use\nhis or her official authority to compel or induce any other state\nofficer or employee to make or promise to make any political\ncontribution, whether by gift of money, service or other thing of value.\n  18. In addition to any penalty contained in any other provision of\nlaw, any person who knowingly and intentionally violates the provisions\nof subdivisions two through five, seven, seven-a, eight, twelve or\nfourteen through seventeen of this section shall be subject to a civil\npenalty in an amount not to exceed forty thousand dollars and the value\nof any gift, compensation or benefit received in connection with such\nviolation. Assessment of a civil penalty hereunder shall be made by the\nstate oversight body with jurisdiction over such person. A state\noversight body acting pursuant to its jurisdiction, may, in lieu of a\ncivil penalty, with respect to a violation of subdivisions two through\nfive, seven or eight of this section, refer a violation of any such\nsubdivision to the appropriate prosecutor and upon such conviction such\nviolation shall be punishable as a class A misdemeanor.\n