NY Pub Off L § 73 (2021)
2021 New York Laws PBO - Public Officers Article 4 - Powers and Duties of Public Officers 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  joint  commission on public ethics or legislative ethics commission in relation to persons subject to their respective jurisdictions.  (b) The term "licensing" shall mean any state agency  activity,  other than  before  the  division  of  corporations  and  state records in the department of state, respecting the grant, denial, renewal,  revocation, enforcement,  suspension, annulment, withdrawal, recall, cancellation or amendment of a license, permit or other form  of  permission  conferring the  right  or  privilege  to  engage  in  (i)  a  profession, trade, or occupation or (ii) any business or activity regulated  by  a  regulatory agency  as  defined herein, which in the absence of such license, permit or other form of permission would be prohibited.  (c) The term "legislative employee" shall mean any officer or employee of the legislature but it shall not include members of the legislature.  (d) The term "ministerial matter" shall  mean  an  administrative  act carried out in a prescribed manner not allowing for substantial personal discretion.  (e)  The  term  "regulatory  agency"  shall  mean  the  department  of financial services, state liquor authority,  department  of  agriculture and  markets,  department  of  education,  department  of  environmental conservation, department of health, division of  housing  and  community renewal,  department  of  state, other than the division of corporations and state records, department of public service, the industrial board of appeals in the department of labor and the department of law, other than when the attorney general or his  agents  or  employees  are  performing duties specified in section sixty-three of the executive law.  (f)  The term "representative capacity" shall mean the presentation of the interests of a client or other  person  pursuant  to  an  agreement, express or implied, for compensation for services.  (g)  The  term  "state  agency"  shall  mean  any state department, or division, board, commission, or bureau  of  any  state  department,  any public  benefit corporation, public authority or commission at least one of whose members is appointed by the governor, or the  state  university of  New  York  or  the  city university of New York, including all their constituent units except community colleges of the state  university  of New  York  and  the  independent  institutions  operating  statutory  or contract colleges on behalf of the state.  (h) The term "statewide elected official"  shall  mean  the  governor, lieutenant governor, comptroller or attorney general.  (i) The term "state officer or employee" shall mean:  (i) heads of state departments and their deputies and assistants other than  members  of the board of regents of the university of the state of New York who receive no compensation or are compensated on  a  per  diem basis;  (ii) officers and employees of statewide elected officials;  (iii)  officers  and  employees of state departments, boards, bureaus, divisions, commissions, councils or  other  state  agencies  other  than officers  of  such  boards,  commissions  or  councils  who  receive  no compensation or are compensated on a per diem basis; and  (iv)  members  or  directors  of  public   authorities,   other   than multi-state  authorities, public benefit corporations and commissions at least one of whose members is appointed by  the  governor,  who  receive  compensation  other  than  on  a  per  diem basis, and employees of such authorities, corporations and commissions.  (j) The term "city agency" shall mean a city, county, borough or other office,  position,  administration, department, division, bureau, board, commission, authority, corporation or other agency  of  government,  the expenses  of  which are paid in whole or in part from the city treasury, and shall include the board of education, the board of higher education, school boards, city and community colleges, community  boards,  the  New York city transit authority, the New York city housing authority and the Triborough  bridge and tunnel authority, but shall not include any court or corporation or institution maintaining or operating a public library, museum, botanical garden, arboretum, tomb, memorial building,  aquarium, zoological garden or similar facility.  (k) The term "political party chairman" shall mean:  (i) the chairman of the state committee of a party elected as provided in section 2-112 of the election law and his or her successor in office;  (ii) the chairman of a county committee elected as provided in section 2-112  of  the  election  law  and his or her successor in office from a county having a population of three hundred  thousand  or  more  or  who receives  compensation  or  expenses,  or both, during the calendar year aggregating thirty thousand dollars or more; and  (iii) that person  (usually  designated  by  the  rules  of  a  county committee   as  the  "county  leader"  or  "chairman  of  the  executive committee") by whatever title designated, who pursuant to the rules of a county committee or in actual practice, possesses or performs any or all of the following duties or roles, provided that such person was  elected from  a  county having a population of three hundred thousand or more or was a person who  received  compensation  or  expenses,  or  both,  from constituted  committee or political committee funds, or both, during the reporting period aggregating thirty thousand dollars or more:  (A) the principal political, executive and administrative  officer  of the county committee;  (B)  the  power  of  general management over the affairs of the county committee;  (C) the power to exercise the powers of the  chairman  of  the  county committee as provided for in the rules of the county committee;  (D)  the  power  to  preside  at  all meetings of the county executive committee, if such a committee is created by the  rules  of  the  county committee  or exists de facto, or any other committee or subcommittee of the county committee vested by such rules with or having  de  facto  the power  of general management over the affairs of the county committee at times when the county committee is not in actual session;  (E) the power to call a meeting of the  county  committee  or  of  any committee  or  subcommittee  vested  with  the rights, powers, duties or privileges of the county committee pursuant to the rules of  the  county committee, for the purpose of filling an office at a special election in accordance  with  section  6-114 of the election law, for the purpose of filling a vacancy in accordance with section 6-116 of such law; or  (F) the power to direct the treasurer of the party to expend funds  of the county committee.   The  terms  "constituted committee" and "political committee", as used in this paragraph (k), shall have the same meanings as  those  contained in section 14-100 of the election law.  (l) A person has a "financial interest" in any entity if that person:  (i)  owns  or controls ten percent or more of the stock of such entity (or one percent in the case of a corporation whose  stock  is  regularly traded on an established securities exchange); or  (ii) serves as an officer, director or partner of that entity.  (m)  The  "relative" of any individual shall mean any person living in the same household as the individual and any  person  who  is  a  direct descendant  of  that  individual's  grandparents  or  the spouse of such descendant.   2.  In  addition to the prohibitions contained in subdivision seven of this section, no statewide elected official, state officer or  employee, member  of  the  legislature  or  legislative employee shall receive, or enter into any  agreement  express  or  implied  for,  compensation  for services   to   be   rendered  in  relation  to  any  case,  proceeding, application, or other matter before any state agency, or  any  executive order,  or  any  legislation or resolution before the state legislature, whereby his or her compensation is to be dependent  or  contingent  upon any  action  by  such agency or legislature with respect to any license, contract, certificate, ruling, decision, executive order, opinion,  rate schedule, franchise, legislation, resolution or other benefit; provided, however,  that  nothing  in this subdivision shall be deemed to prohibit the fixing at any time of fees based upon the reasonable  value  of  the services rendered.   3.  (a)  No  statewide  elected  official,  member of the legislature, legislative employee, full-time salaried state officer or employee shall receive, directly or indirectly, or enter into any agreement express  or implied  for,  any compensation, in whatever form, for the appearance or rendition of  services  by  himself,  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 joint commission on public ethics 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 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 joint commission on public ethics that the services of such former officer or employee are required in connection  with  the  agency's  response  to  a  disaster  emergency declared  by  the  governor  pursuant  to  section  twenty-eight  of the executive law.  (i) The provisions of subparagraphs (i) and (ii) of paragraph  (a)  of this subdivision shall not apply to any person as a result of his or her temporary employment by the New York state department of agriculture and markets  in the civil service title of veterinarian one or animal health inspector one and their service, in that capacity, as a  member  of  the New York state emergency veterinary corps.   8-a.  The provisions of subparagraphs (i) and (ii) of paragraph (a) of subdivision eight of this section shall not apply  to  any  such  former state  officer  or  employee  engaged  in  any of the specific permitted activities defined in this subdivision that are  related  to  any  civil action  or  proceeding  in any state or federal court, provided that the attorney general has certified in writing to  the  joint  commission  on public  ethics,  with  a  copy to such former state officer or employee, that the services are rendered on behalf of the state, a  state  agency, state  officer or employee, or other person or entity represented by the attorney general, and that such former state  officer  or  employee  has expertise,  knowledge  or experience which is unique or outstanding in a field or in a particular matter or which would  otherwise  be  generally unavailable  at  a  comparable  cost to the state, a state agency, state officer or employee, or  other  person  or  entity  represented  by  the attorney  general in such civil action or proceeding. In those instances where a state agency is not represented by the  attorney  general  in  a civil  action  or  proceeding  in state or federal court, a former state officer or employee may engage in permitted activities provided that the general counsel of the state agency, after consultation with  the  joint commission  on public ethics, provides to the joint commission on public  ethics a written certification which  meets  the  requirements  of  this subdivision.  For  purposes  of  this  subdivision  the  term "permitted activities" shall mean generally any activity performed at  the  request of  the attorney general or the attorney general's designee, or in cases where the state agency is not represented by the attorney  general,  the general counsel of such state agency, including without limitation:  (a) preparing or giving testimony or executing one or more affidavits;  (b)   gathering,   reviewing   or   analyzing  information,  including documentary or oral information concerning facts or opinions,  attending depositions or participating in document review or discovery;  (c)  performing  investigations, examinations, inspections or tests of persons, documents or things;  (d) performing audits, appraisals, compilations  or  computations,  or reporting about them;  (e) identifying information to be sought concerning facts or opinions; or  (f)  otherwise  assisting  in the preparation for, or conduct of, such litigation.   Nothing in this subdivision shall apply  to  the  provision  of  legal representation by any former state officer or employee.   8-b.  Notwithstanding  the provisions of subparagraphs (i) and (ii) of paragraph (a) of subdivision eight  of  this  section,  a  former  state officer  or  employee  may  contract  individually,  or  as  a member or employee of a firm, corporation or association, to  render  services  to any  state agency if, prior to engaging in such service, the agency head certifies in writing to the joint commission on public ethics that  such former  officer  or employee has expertise, knowledge or experience with respect to a particular matter which meets the needs of the  agency  and is  otherwise  unavailable  at  a comparable cost. Where approval of the contract is required under section  one  hundred  twelve  of  the  state finance  law,  the comptroller shall review and consider the reasons for such certification. The joint commission on public  ethics  must  review and approve all certifications made pursuant to this subdivision.   * 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  chairman,  member of the legislature or legislative employee is a member, associate, retired member, of  counsel or  shareholder,  from appearing, practicing, communicating or otherwise rendering services in relation to  any  matter  before,  or  transacting business  with  a  state  agency,  or  a  city  agency with respect to a political party chairman in a county wholly included in a  city  with  a population  of  more  than  one  million,  otherwise  proscribed by this section, the judiciary law, the  education  law  or  any  other  law  or disciplinary   rule  with  respect  to  such  official,  member  of  the legislature or officer or employee, or political party  chairman,  where such  statewide  elected  official, state officer or employee, member of the legislature or legislative employee,  or  political  party  chairman does  not  share  in  the  net  revenues,  as defined in accordance with generally accepted accounting principles  by  the  joint  commission  on public  ethics  or  by  the legislative ethics 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 joint commission on public  ethics  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.