2023 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  commission  on  ethics  and  lobbying  in government or legislative
ethics commission in relation to persons  subject  to  their  respective
jurisdictions.
(b)  The  term "licensing" shall mean any state agency activity, other
than before the division  of  corporations  and  state  records  in  the
department  of state, respecting the grant, denial, renewal, revocation,
enforcement, suspension, annulment, withdrawal, recall, cancellation  or
amendment  of  a  license, permit or other form of permission conferring
the right or  privilege  to  engage  in  (i)  a  profession,  trade,  or
occupation  or  (ii)  any business or activity regulated by a regulatory
agency as defined herein, which in the absence of such  license,  permit
or other form of permission would be prohibited.
(c) The term "legislative employee" shall mean any officer or employee
of the legislature but it shall not include members of the legislature.
(d)  The  term  "ministerial  matter" shall mean an administrative act
carried out in a prescribed manner not allowing for substantial personal
discretion.
(e)  The  term  "regulatory  agency"  shall  mean  the  department  of
financial  services,  state  liquor authority, department of agriculture
and  markets,  department  of  education,  department  of  environmental
conservation,  department  of  health, division of housing and community
renewal, department of state, other than the  division  of  corporations
and state records, department of public service, the industrial board of
appeals in the department of labor and the department of law, other than
when  the  attorney  general  or  his agents or employees are performing
duties specified in section sixty-three of the executive law.
(f) The term "representative capacity" shall mean the presentation  of
the  interests  of  a  client  or other person pursuant to an agreement,
express or implied, for compensation for services.
(g) The term "state  agency"  shall  mean  any  state  department,  or
division,  board,  commission,  or  bureau  of any state department, any
public benefit corporation, public authority or commission at least  one
of  whose  members is appointed by the governor, or the state university
of New York or the city university of  New  York,  including  all  their
constituent  units  except community colleges of the state university of
New  York  and  the  independent  institutions  operating  statutory  or
contract colleges on behalf of the state.
(h)  The  term  "statewide  elected official" shall mean the governor,
lieutenant governor, comptroller or attorney general.
(i) The term "state officer or employee" shall mean:
(i) heads of state departments and their deputies and assistants other
than members of the board of regents of the university of the  state  of
New  York  who  receive no compensation or are compensated on a per diem
basis;
(ii) officers and employees of statewide elected officials;
(iii) officers and employees of state  departments,  boards,  bureaus,
divisions,  commissions,  councils  or  other  state agencies other than
officers  of  such  boards,  commissions  or  councils  who  receive  no
compensation or are compensated on a per diem basis; and
(iv)   members   or   directors  of  public  authorities,  other  than
multi-state authorities, public benefit corporations and commissions  at

least  one  of  whose  members is appointed by the governor, who receive
compensation other than on a per  diem  basis,  and  employees  of  such
authorities, corporations and commissions.
(j) The term "city agency" shall mean a city, county, borough or other
office,  position,  administration, department, division, bureau, board,
commission, authority, corporation or other agency  of  government,  the
expenses  of  which are paid in whole or in part from the city treasury,
and shall include the board of education, the board of higher education,
school boards, city and community colleges, community  boards,  the  New
York city transit authority, the New York city housing authority and the
Triborough  bridge and tunnel authority, but shall not include any court
or corporation or institution maintaining or operating a public library,
museum, botanical garden, arboretum, tomb, memorial building,  aquarium,
zoological garden or similar facility.
(k) The term "political party chairman" shall mean:
(i) the chairman of the state committee of a party elected as provided
in section 2-112 of the election law and his or her successor in office;
(ii) the chairman of a county committee elected as provided in section
2-112  of  the  election  law  and his or her successor in office from a
county having a population of three hundred  thousand  or  more  or  who
receives  compensation  or  expenses,  or both, during the calendar year
aggregating thirty thousand dollars or more; and
(iii) that person  (usually  designated  by  the  rules  of  a  county
committee   as  the  "county  leader"  or  "chairman  of  the  executive
committee") by whatever title designated, who pursuant to the rules of a
county committee or in actual practice, possesses or performs any or all
of the following duties or roles, provided that such person was  elected
from  a  county having a population of three hundred thousand or more or
was a person who  received  compensation  or  expenses,  or  both,  from
constituted  committee or political committee funds, or both, during the
reporting period aggregating thirty thousand dollars or more:
(A) the principal political, executive and administrative  officer  of
the county committee;
(B)  the  power  of  general management over the affairs of the county
committee;
(C) the power to exercise the powers of the  chairman  of  the  county
committee as provided for in the rules of the county committee;
(D)  the  power  to  preside  at  all meetings of the county executive
committee, if such a committee is created by the  rules  of  the  county
committee  or exists de facto, or any other committee or subcommittee of
the county committee vested by such rules with or having  de  facto  the
power  of general management over the affairs of the county committee at
times when the county committee is not in actual session;
(E) the power to call a meeting of the  county  committee  or  of  any
committee  or  subcommittee  vested  with  the rights, powers, duties or
privileges of the county committee pursuant to the rules of  the  county
committee, for the purpose of filling an office at a special election in
accordance  with  section  6-114 of the election law, for the purpose of
filling a vacancy in accordance with section 6-116 of such law; or
(F) the power to direct the treasurer of the party to expend funds  of
the county committee.
The  terms  "constituted committee" and "political committee", as used
in this paragraph (k), shall have the same meanings as  those  contained
in section 14-100 of the election law.
(l) A person has a "financial interest" in any entity if that person:
(i)  owns  or controls ten percent or more of the stock of such entity
(or one percent in the case of a corporation whose  stock  is  regularly
traded on an established securities exchange); or
(ii) serves as an officer, director or partner of that entity.
(m)  The  "relative" of any individual shall mean any person living in
the same household as the individual and any  person  who  is  a  direct
descendant  of  that  individual's  grandparents  or  the spouse of such
descendant.
(n) The term "domestic partner" shall mean a person who, with  respect
to  another  person,  is  formally  a party in a domestic partnership or
similar relationship with the other person, entered into pursuant to the
laws  of  the  United  States  or  of  any  state,  local   or   foreign
jurisdiction,  or registered as the domestic partner of the other person
with any registry maintained by the employer  of  either  party  or  any
state, municipality, or foreign jurisdiction.
2.  In  addition to the prohibitions contained in subdivision seven of
this section, no statewide elected official, state officer or  employee,
member  of  the  legislature  or  legislative employee shall receive, or
enter into any  agreement  express  or  implied  for,  compensation  for
services   to   be   rendered  in  relation  to  any  case,  proceeding,
application, or other matter before any state agency, or  any  executive
order,  or  any  legislation or resolution before the state legislature,
whereby his or her compensation is to be dependent  or  contingent  upon
any  action  by  such agency or legislature with respect to any license,
contract, certificate, ruling, decision, executive order, opinion,  rate
schedule, franchise, legislation, resolution or other benefit; provided,
however,  that  nothing  in this subdivision shall be deemed to prohibit
the fixing at any time of fees based upon the reasonable  value  of  the
services rendered.
3.  (a)  No  statewide  elected  official,  member of the legislature,
legislative employee, full-time salaried state officer or employee shall
receive, directly or indirectly, or enter into any agreement express  or
implied  for,  any compensation, in whatever form, for the appearance or
rendition of  services  by  himself,  herself  or  another  against  the
interest  of  the state in relation to any case, proceeding, application
or other matter before, or  the  transaction  of  business  by  himself,
herself or another with, the court of claims.
(b)  No  state  officer  or employee who is required to file an annual
statement of financial disclosure pursuant to the provisions of  section
seventy-three-a  of  this  article,  and is not otherwise subject to the
provisions of this section, shall receive, directly  or  indirectly,  or
enter  into  any  agreement express or implied, for any compensation, in
whatever form, for the appearance or rendition of services  by  himself,
herself  or another against the interest of the state agency by which he
or she is employed or affiliated in relation to  any  case,  proceeding,
application  or  other  matter before, or the transaction of business by
himself, herself or another with, the court of claims.
4. (a) No statewide  elected  official,  state  officer  or  employee,
member  of  the  legislature,  legislative  employee  or political party
chairman or firm or association of which such person  is  a  member,  or
corporation,  ten  per  centum or more of the stock of which is owned or
controlled directly or indirectly by such person,  shall  (i)  sell  any
goods or services having a value in excess of twenty-five dollars to any
state  agency,  or  (ii)  contract for or provide such goods or services
with or to any private entity where the power to  contract,  appoint  or
retain  on  behalf  of  such  private  entity  is exercised, directly or
indirectly, by a state agency or officer thereof, unless such  goods  or
services  are provided pursuant to an award or contract let after public
notice and competitive bidding. This paragraph shall not  apply  to  the
publication  of  resolutions, advertisements or other legal propositions

or notices in newspapers designated pursuant to law for such purpose and
for which the rates are fixed pursuant to law.
(b)  No political party chairman of a county wholly included in a city
with a population of more than one million, or firm  or  association  of
which such person is a member, or corporation, ten per centum or more of
the stock of which is owned or controlled directly or indirectly by such
person, shall (i) sell any goods or services having a value in excess of
twenty-five  dollars to any city agency, or (ii) contract for or provide
such goods or services with or to any private entity where the power  to
contract,  appoint  or  retain  on  behalf  of  such  private  entity is
exercised directly or indirectly, by a city agency or  officer  thereof,
unless  such  goods  or  services  are  provided pursuant to an award or
contract let after public notice and competitive bidding. This paragraph
shall not apply to the publication  of  resolutions,  advertisements  or
other legal propositions or notices in newspapers designated pursuant to
law for such purpose and for which the rates are fixed pursuant to law.
(c)  For  purposes  of this subdivision, the term "services" shall not
include employment as an employee.
5.  No  statewide  elected  official,  state  officer   or   employee,
individual  whose  name has been submitted by the governor to the senate
for confirmation to become a state officer or employee,  member  of  the
legislature or legislative employee shall, directly or indirectly:
(a)  solicit,  accept  or  receive any gift having more than a nominal
value, whether in the form of money,  service,  loan,  travel,  lodging,
meals, refreshments, entertainment, discount, forbearance or promise, or
in  any  other form, under circumstances in which it could reasonably be
inferred that the gift was intended to influence him or  her,  or  could
reasonably  be  expected  to influence him or her, in the performance of
his or her official duties or was intended as a reward for any  official
action  on  his  or  her  part. No person shall, directly or indirectly,
offer or make any such gift to a  statewide  elected  official,  or  any
state  officer  or  employee,  member  of the legislature or legislative
employee under such circumstances.
(b) solicit, accept or receive any gift, as defined in  section  one-c
of  the  legislative  law,  from  any  person  who  is  prohibited  from
delivering such gift pursuant to section one-m of  the  legislative  law
unless  under  the  circumstances it is not reasonable to infer that the
gift was intended to influence him or her; or
(c) permit the solicitation, acceptance, or receipt of  any  gift,  as
defined  in section one-c of the legislative law, from any person who is
prohibited from delivering such gift pursuant to section  one-m  of  the
legislative law to a third party including a charitable organization, on
such  official's  designation or recommendation or on his or her behalf,
under circumstances where it is reasonable to infer that  the  gift  was
intended to influence him or her.
5-a.   (a)  For  the  purpose  of  this  subdivision  only,  the  term
"honorarium" shall mean any payment made in consideration for any speech
given at a public or private  conference,  convention,  meeting,  social
event, meal or like gathering.
(b)  No  statewide  elected  official  or head of any civil department
shall, directly or indirectly, solicit, accept or receive any honorarium
while holding such elected office or appointed position.
(c) No member  of  the  legislature  or  legislative  employee  shall,
directly  or indirectly, solicit, accept or receive any honorarium while
holding such elected office or employment, other than honorarium paid in
consideration  for  a  speech  given  on  a  topic  unrelated   to   the
individual's  current public employment or as earned income for personal
services that are customarily provided in connection with  the  practice

of  a  bona  fide  business,  trade  or  profession,  such  as teaching,
practicing law, medicine or banking,  unless  the  sole  or  predominant
activity thereof is making speeches.
6.  (a)  Every  legislative  employee not subject to the provisions of
section seventy-three-a of this chapter shall,  on  and  after  December
fifteenth and before the following January fifteenth, in each year, file
with  the  commission  on  ethics  and  lobbying  in  government and the
legislative ethics commission a financial disclosure statement of
(1) each financial interest, direct or indirect of himself or herself,
his or her spouse or domestic  partner  and  his  or  her  unemancipated
children  under  the  age  of  eighteen  years  in any activity which is
subject to the jurisdiction of a regulatory agency or name of the entity
in which the interest is had and whether such interest is over or  under
five thousand dollars in value.
(2)  every  office  and  directorship  held  by  him  or  her  in  any
corporation, firm or enterprise which is subject to the jurisdiction  of
a  regulatory  agency,  including  the name of such corporation, firm or
enterprise.
(3) any other interest or relationship which he or she  determines  in
his  or  her  discretion might reasonably be expected to be particularly
affected by legislative action or  in  the  public  interest  should  be
disclosed.
(b)  Copies of such statements shall be open for public inspection and
copying.
(c) Any such legislative employee  who  knowingly  and  wilfully  with
intent  to deceive makes a false statement or gives information which he
or she knows to be false in any written statement required to  be  filed
pursuant  to  this  subdivision, shall be assessed a civil penalty in an
amount not to exceed ten thousand dollars. Assessment of a civil penalty
shall be made by the legislative ethics commission  in  accordance  with
the  provisions  of subdivision ten of section eighty of the legislative
law.  For a violation of this subdivision, the commission may,  in  lieu
of  a civil penalty, refer a violation to the appropriate prosecutor and
upon conviction, but only after such referral, such violation  shall  be
punishable as a class A misdemeanor.
7.  (a)  No  statewide elected official, or state officer or employee,
other  than  in  the  proper  discharge  of  official  state  or   local
governmental  duties,  or  member  of  the  legislature  or  legislative
employee,  or  political  party  chairman  shall  receive,  directly  or
indirectly,  or  enter  into  any  agreement express or implied for, any
compensation, in whatever form,  for  the  appearance  or  rendition  of
services  by  himself,  herself  or  another  in  relation  to any case,
proceeding, application or other matter before a state agency where such
appearance or rendition of services is in connection with:
(i) the purchase, sale, rental or lease of  real  property,  goods  or
services, or a contract therefor, from, to or with any such agency;
(ii) any proceeding relating to rate making;
(iii)  the  adoption  or  repeal  of any rule or regulation having the
force and effect of law;
(iv) the obtaining of grants of money or loans;
(v) licensing; or
(vi) any proceeding relating to a franchise provided for in the public
service law.
(b) No political party chairman in a county wholly included in a  city
having  a  population  of one million or more shall receive, directly or
indirectly, or enter into any agreement  express  or  implied  for,  any
compensation,  in  whatever  form,  for  the  appearance or rendition of
services by himself,  herself  or  another  in  relation  to  any  case,

proceeding,  application  or  other  matter before any city agency where
such appearance or rendition of services is in connection with:
(i)  the  purchase,  sale,  rental or lease of real property, goods or
services, or a contract therefor, from, to or with any such agency;
(ii) any proceeding relating to ratemaking;
(iii) the adoption or repeal of any  rule  or  regulation  having  the
force and effect of law;
(iv) the obtaining of grants of money or loans;
(v)  licensing.  For  purposes of this paragraph, the term "licensing"
shall mean any  city  agency  activity  respecting  the  grant,  denial,
renewal,  revocation,  enforcement,  suspension,  annulment, withdrawal,
recall, cancellation or amendment of a license, permit or other form  of
permission  conferring  the  right  or  privilege  to  engage  in  (i) a
profession, trade, or  occupation  or  (ii)  any  business  or  activity
regulated  by  a regulatory agency of a city agency which in the absence
of such license, permit or other form of permission would be prohibited;
and
(vi) any proceeding relating to a franchise.
(c) Nothing contained in this subdivision shall prohibit  a  statewide
elected  official,  or  a  state  officer  or employee, unless otherwise
prohibited, or a member of the legislature or legislative  employee,  or
political  party  chairman,  from  appearing  before a state agency in a
representative capacity if such appearance in a representative  capacity
is in connection with a ministerial matter.
(d)  Nothing  contained in this subdivision shall prohibit a member of
the legislature, or a legislative employee on  behalf  of  such  member,
from  participating  in  or  advocating any position in any matter in an
official or legislative capacity, including, but not limited to,  acting
as  a public advocate whether or not on behalf of a constituent. Nothing
in this paragraph shall be construed to limit  the  application  of  the
provisions of section seventy-seven of this chapter.
(e)  Nothing  contained  in  this  subdivision  shall prohibit a state
officer  or  employee  from  appearing  before  a  state  agency  in   a
representative  capacity  on  behalf  of an employee organization in any
matter  where  such  appearance  is  duly  authorized  by  an   employee
organization.
(f)  Nothing  contained in this subdivision shall prohibit a political
party chairman from participating in or  advocating  any  matter  in  an
official capacity.
(g)  Nothing  contained  in  this  subdivision shall prohibit internal
research or discussion of a matter, provided, however, that the time  is
not  charged  to  the  client  and  the person does not share in the net
revenues generated or produced by the matter.
(h) Nothing contained in  this  subdivision  shall  prohibit  a  state
officer  or  employee,  unless  otherwise  prohibited, from appearing or
rendering services in relation to a  case,  proceeding,  application  or
transaction  before  a  state agency, other than the agency in which the
officer or employee is employed, when such appearance  or  rendition  of
services  is  made  while  carrying out official duties as an elected or
appointed official, or employee of a local  government  or  one  of  its
agencies.
7-a.  No  member  of  the legislature, legislative employee, statewide
elected official, or state officer or employee shall  receive,  directly
or  indirectly,  or enter into any agreement express or implied, for any
compensation,  in  whatever  form,  for  the  rendering  of  consulting,
representational,  advisory  or  other services by himself or herself or
another in connection with any proposed or pending bill or resolution in
the senate or assembly.
8. (a) (i) No person who has served as a  state  officer  or  employee
shall within a period of two years after the termination of such service
or  employment  appear  or  practice before such state agency or receive
compensation for  any  services  rendered  by  such  former  officer  or
employee  on  behalf  of any person, firm, corporation or association in
relation to any case, proceeding or application or other  matter  before
such agency.
(ii)  No  person  who  has served as a state officer or employee shall
after the termination of such service or  employment  appear,  practice,
communicate  or  otherwise  render  services  before any state agency or
receive compensation for any  such  services  rendered  by  such  former
officer  or employee on behalf of any person, firm, corporation or other
entity in relation to any case, proceeding, application  or  transaction
with respect to which such person was directly concerned and in which he
or  she  personally participated during the period of his or her service
or employment, or which was under his or her active consideration.
(iii) No person who has served as a member of  the  legislature  shall
within  a  period  of  two  years  after the termination of such service
receive compensation for any services on behalf  of  any  person,  firm,
corporation or association to promote or oppose, directly or indirectly,
the  passage of bills or resolutions by either house of the legislature.
No legislative employee shall within a period of  two  years  after  the
termination  of  such  service  receive compensation for any services on
behalf of any  person,  firm,  corporation  or  association  to  appear,
practice  or directly communicate before either house of the legislature
to promote or oppose the passage of bills or resolutions by either house
of the legislature.
(iv) No person who has  served  as  an  officer  or  employee  in  the
executive  chamber  of  the  governor shall within a period of two years
after termination of such service appear or practice  before  any  state
agency.
(b)  (i)  The  provisions of subparagraph (i) of paragraph (a) of this
subdivision shall not apply to  any  state  officer  or  employee  whose
employment  was  terminated  on or after January first, nineteen hundred
ninety-five and before April first, nineteen hundred ninety-nine  or  on
or  after  January  first, two thousand nine and before April first, two
thousand fourteen because of  economy,  consolidation  or  abolition  of
functions,  curtailment  of  activities  or other reduction in the state
work force. On or before the date of such termination of employment, the
state  agency  shall  provide  to  the  terminated  employee  a  written
certification  that the employee has been terminated because of economy,
consolidation or abolition of functions, curtailment  of  activities  or
other  reduction  in  the  state  work  force, and that such employee is
covered by the provisions of this paragraph. The  written  certification
shall  also  contain a notice describing the rights and responsibilities
of the  employee  pursuant  to  the  provisions  of  this  section.  The
certification  and  notice shall contain the information and shall be in
the form set forth below:
CERTIFICATION AND NOTICE
 
TO:  Employee's Name:   ____________________________
State agency:     ____________________________
Date of Termination: ____________________________
I, (name and title)  of  (state  agency),  hereby  certify  that  your
termination  from  State service is because of economy, consolidation or
abolition of functions, curtailment of activities or other reduction  in
the  State  work  force. Therefore, you are covered by the provisions of

paragraph (b) of subdivision  eight  of  section  seventy-three  of  the
Public Officers Law.
You were designated as a policy maker: YES ____ NO ____
______________
(TITLE)
TO THE EMPLOYEE:
This  certification affects your right to engage in certain activities
after you leave state service.
Ordinarily, employees who leave State service may not, for two  years,
appear  or  practice  before their former agency or receive compensation
for rendering services on a matter before their former agency.  However,
because of this certification, you may be exempt from this restriction.
If  you  were  not designated as a Policymaker by your agency, you are
automatically exempt. You may, upon leaving State  service,  immediately
appear,  practice  or  receive compensation for services rendered before
your former agency.
If you were designated as  a  Policymaker  by  your  agency,  you  are
eligible to apply for an exemption to the Commission on Public Integrity
at 540 Broadway, Albany, New York 12207.
Even  if  you are or become exempt from the two year bar, the lifetime
bar of the revolving door statute will continue to apply to you. You may
not appear, practice, communicate or otherwise  render  services  before
any  State  agency  in  relation to any case, proceeding, application or
transaction with respect to which you were  directly  concerned  and  in
which  you  personally  participated during your State service, or which
was under your active consideration.
If you have any questions about the application of the post-employment
restrictions to your circumstances, you may contact  the  Commission  on
Public Integrity at (518) 408-3976 or 1-800-87ETHIC (1-800-873-8442).
(ii)  The  provisions  of subparagraph (i) of this paragraph shall not
apply to any such officer or employee who at the time  of  or  prior  to
such  termination had served in a policymaking position as determined by
the appointing authority, which determination had been  filed  with  the
state  ethics commission or the commission on public integrity, provided
that such officer or employee may so appear or practice or receive  such
compensation  with  the prior approval of the state ethics commission or
the commission on public integrity. In determining whether to grant such
approval the  state  ethics  commission  or  the  commission  on  public
integrity shall consider:
A.  whether  the  employee's  prior  job  duties  involved substantial
decision-making authority over policies, rule or contracts;
B. the nature of the duties to be performed by the  employee  for  the
prospective employer;
C. whether the prospective employment is likely to involve substantial
contact  with  the  employee's former agency and the extent to which any
such contact is likely to involve  matters  where  the  agency  has  the
discretion to make decisions based on the work product of the employee;
D.  whether  the prospective employment may be beneficial to the state
or the public; and
E. the extent of economic hardship to the employee if the  application
is denied.
(c)  The  provisions  of  paragraph  (b) of this subdivision shall not
apply to employees whose employment has been discontinued as a result of
retirement or to employees who, prior to termination, have  declined  to
exercise  a  right  to  another position with a state agency unless such
position would require the employee  to  travel  more  than  thirty-five

miles  in  each  direction  to the new position or accept a reduction in
base salary of more than ten per centum.
(d)  Nothing  contained  in  this subdivision shall prohibit any state
agency from adopting rules  concerning  practice  before  it  by  former
officers  or  employees  more  restrictive than the requirements of this
subdivision.
(e) This subdivision shall not  apply  to  any  appearance,  practice,
communication  or  rendition  of  services  before  any state agency, or
either house of the legislature, or to the receipt of  compensation  for
any  such  services,  rendered  by a former state officer or employee or
former member of the legislature or legislative employee, which is  made
while carrying out official duties as an elected official or employee of
a federal, state or local government or one of its agencies.
(f)  Nothing  in  this subdivision shall be deemed to prevent a former
state officer or employee who was  employed  on  a  temporary  basis  to
perform routine clerical services, mail services, data entry services or
other  similar  ministerial tasks, from subsequently being employed by a
person, firm, corporation or  association  under  contract  to  a  state
agency  to  perform  such routine clerical services, mail services, data
entry services or other similar  ministerial  tasks;  provided  however,
this  paragraph  shall  in  no  event apply to any such state officer or
employee who was required to  file  an  annual  statement  of  financial
disclosure pursuant to section seventy-three-a of this article.
(g)  Notwithstanding  the  provisions of subparagraphs (i) and (ii) of
paragraph (a) of this subdivision, a former state  officer  or  employee
may  contract  individually,  or  as  a  member  or  employee of a firm,
corporation or association, to render services to any state agency  when
the agency head certifies in writing to the state ethics commission that
the  services  of  such  former  officer  or  employee  are  required in
connection with the agency's efforts to address the  state's  year  2000
compliance problem.
(h)  Notwithstanding  the  provisions of subparagraphs (i) and (ii) of
paragraph (a) of this subdivision, a former state  officer  or  employee
may  contract  individually,  or  as  a  member  or  employee of a firm,
corporation or association, to render services to any state agency  when
the  agency  head  certifies  in writing to the commission on ethics and
lobbying in government that the  services  of  such  former  officer  or
employee  are  required  in  connection  with the agency's response to a
disaster  emergency  declared  by  the  governor  pursuant  to   section
twenty-eight of the executive law.
(i)  The  provisions of subparagraphs (i) and (ii) of paragraph (a) of
this subdivision shall not apply to any person as a result of his or her
temporary employment by the New York state department of agriculture and
markets in the civil service title of veterinarian one or animal  health
inspector  one  and  their service, in that capacity, as a member of the
New York state emergency veterinary corps.
8-a. The provisions of subparagraphs (i) and (ii) of paragraph (a)  of
subdivision  eight  of  this  section shall not apply to any such former
state officer or employee engaged  in  any  of  the  specific  permitted
activities  defined  in  this  subdivision that are related to any civil
action or proceeding in any state or federal court,  provided  that  the
attorney  general  has  certified in writing to the commission on ethics
and lobbying in government, with a copy to such former state officer  or
employee, that the services are rendered on behalf of the state, a state
agency, state officer or employee, or other person or entity represented
by  the attorney general, and that such former state officer or employee
has expertise, knowledge or experience which is unique or outstanding in
a field or in a particular matter or which would otherwise be  generally

unavailable  at  a  comparable  cost to the state, a state agency, state
officer or employee, or  other  person  or  entity  represented  by  the
attorney  general in such civil action or proceeding. In those instances
where  a  state  agency  is not represented by the attorney general in a
civil action or proceeding in state or federal  court,  a  former  state
officer or employee may engage in permitted activities provided that the
general  counsel  of  the  state  agency,  after  consultation  with the
commission on  ethics  and  lobbying  in  government,  provides  to  the
commission  on ethics and lobbying in government a written certification
which meets the requirements of this subdivision. For purposes  of  this
subdivision  the  term  "permitted  activities" shall mean generally any
activity performed at  the  request  of  the  attorney  general  or  the
attorney  general's  designee, or in cases where the state agency is not
represented by the attorney general, the general counsel of  such  state
agency, including without limitation:
(a) preparing or giving testimony or executing one or more affidavits;
(b)   gathering,   reviewing   or   analyzing  information,  including
documentary or oral information concerning facts or opinions,  attending
depositions or participating in document review or discovery;
(c)  performing  investigations, examinations, inspections or tests of
persons, documents or things;
(d) performing audits, appraisals, compilations  or  computations,  or
reporting about them;
(e) identifying information to be sought concerning facts or opinions;
or
(f)  otherwise  assisting  in the preparation for, or conduct of, such
litigation.
Nothing in this subdivision shall apply  to  the  provision  of  legal
representation by any former state officer or employee.
8-b.  Notwithstanding  the provisions of subparagraphs (i) and (ii) of
paragraph (a) of subdivision eight  of  this  section,  a  former  state
officer  or  employee  may  contract  individually,  or  as  a member or
employee of a firm, corporation or association, to  render  services  to
any  state agency if, prior to engaging in such service, the agency head
certifies in writing  to  the  commission  on  ethics  and  lobbying  in
government that such former officer or employee has expertise, knowledge
or  experience with respect to a particular matter which meets the needs
of the agency and is otherwise unavailable at a comparable  cost.  Where
approval of the contract is required under section one hundred twelve of
the  state  finance  law,  the comptroller shall review and consider the
reasons for such certification. The commission on ethics and lobbying in
government must review and approve all certifications made  pursuant  to
this subdivision.
* 8-c. Notwithstanding the provisions of subparagraphs (i) and (ii) of
paragraph  (a)  of  subdivision  eight  of  this section, a former state
officer or employee who, prior to  his  or  her  separation  from  state
service,  was employed as a health care professional and, in conjunction
with his or her state duties, provided treatment and/or medical services
to individuals residing in or served by a state-operated facility is not
barred from rendering services to such individuals in their  care  prior
to  leaving state service, at the state-operated facility which employed
the former state officer or employee.
* NB There are 2 sub 8-c's
* 8-c. Notwithstanding the provisions of subparagraphs (i) and (ii) of
paragraph (a) of subdivision eight  of  this  section,  a  former  state
officer  or  employee  who,  prior  to  his or her separation from state
service, was  employed  performing  direct  care,  clinical  care,  case
management,  service  coordination  or other related support duties with

the state of New York is not barred from rendering such services in  the
future  to  individuals  who  were  receiving  such  services  from that
individual prior to leaving the state service.
* NB There are 2 sub 8-c's
9.  No  party officer while serving as such shall be eligible to serve
as a judge of  any  court  of  record,  attorney-general  or  deputy  or
assistant  attorney-general  or  solicitor general, district attorney or
assistant district attorney. As  used  in  this  subdivision,  the  term
"party  officer" shall mean a member of a national committee, an officer
or member of a state committee or a county  chairman  of  any  political
party.
10.  Nothing  contained  in  this  section,  the  judiciary  law,  the
education law or any other law or disciplinary rule shall  be  construed
or  applied  to  prohibit any firm, association or corporation, in which
any present or former  statewide  elected  official,  state  officer  or
employee,  or  political  party  chair,  member  of  the  legislature or
legislative employee is a member, associate, retired member, of  counsel
or  shareholder,  from appearing, practicing, communicating or otherwise
rendering services in relation to  any  matter  before,  or  transacting
business  with  a  state  agency,  or  a  city  agency with respect to a
political party chair in a county wholly  included  in  a  city  with  a
population  of  more  than  one  million,  otherwise  proscribed by this
section, the judiciary law, the  education  law  or  any  other  law  or
disciplinary   rule  with  respect  to  such  official,  member  of  the
legislature or officer or employee, or political party chair, where such
statewide elected official, state officer or  employee,  member  of  the
legislature  or  legislative employee, or political party chair does not
share in the net revenues,  as  defined  in  accordance  with  generally
accepted  accounting principles by the commission on ethics and lobbying
in government or by the legislative ethics  commission  in  relation  to
persons  subject to their respective jurisdictions, resulting therefrom,
or, acting in good faith, reasonably believed that he or she  would  not
share in the net revenues as so defined; nor shall anything contained in
this  section,  the judiciary law, the education law or any other law or
disciplinary rule be construed to  prohibit  any  firm,  association  or
corporation  in  which any present or former statewide elected official,
member of the  legislature,  legislative  employee,  full-time  salaried
state officer or employee or state officer or employee who is subject to
the  provisions  of section seventy-three-a of this article is a member,
associate, retired member, of counsel or  shareholder,  from  appearing,
practicing, communicating or otherwise rendering services in relation to
any  matter  before,  or transacting business with, the court of claims,
where such  statewide  elected  official,  member  of  the  legislature,
legislative  employee,  full-time  salaried state officer or employee or
state officer or employee who is subject to the  provisions  of  section
seventy-three-a  of  this article does not share in the net revenues, as
defined in accordance with generally accepted accounting  principles  by
the   commission  on  ethics  and  lobbying  in  government  or  by  the
legislative ethics commission in relation to persons  subject  to  their
respective jurisdictions, resulting therefrom, or, acting in good faith,
reasonably  believed  that he or she would not share in the net revenues
as so defined.
11. Notwithstanding any provision of the judiciary law, the  education
law or any other law or disciplinary rule to the contrary:
(a)  Conduct  authorized pursuant to subdivision eight of this section
by a person who has served as a  member  of  the  legislature  or  as  a
legislative  employee  shall  not  constitute professional misconduct or
grounds for disciplinary action of any kind;
(b) No member of the legislature or former member of  the  legislature
shall   be  prohibited  from  appearing,  practicing,  communicating  or
otherwise rendering services  in  relation  to  any  matter  before,  or
transacting business with, any state agency solely by reason of any vote
or  other  action  by  such  member  or  former member in respect to the
confirmation or election of any member, commissioner, director or  other
person  affiliated with such state agency, but nothing in this paragraph
shall limit the prohibition  contained  in  subdivision  eight  of  this
section;
(c)  The  appearance, practice, communication or rendition of services
in relation to any matter before, or  transaction  of  business  with  a
state  agency,  or  with  the  court  of  claims,  or  the  promotion or
opposition to the passage of bills or resolutions by either house of the
legislature, by a member,  associate,  retired  member,  of  counsel  or
shareholder  of  a  firm, association or corporation, in accordance with
subdivision ten of this section, is  hereby  authorized  and  shall  not
constitute professional misconduct or grounds for disciplinary action of
any  kind  solely by reason of the professional relationship between the
statewide elected official, state officer or employee,  political  party
chairman,  member  of  the  legislature, or legislative employee and any
firm, association, corporation or any member, associate, retired member,
of counsel, or shareholder thereof,  or  by  reason  of  the  appearance
created by any such professional relationship.
12.  A  statewide  elected  official,  state officer or employee, or a
member of the legislature or legislative employee,  or  political  party
chairman,  who is a member, associate, retired member, of counsel to, or
shareholder of any firm, association or corporation which  is  appearing
or   rendering   services  in  connection  with  any  case,  proceeding,
application  or  other  matter  listed  in  paragraph  (a)  or  (b)   of
subdivision  seven of this section shall not orally communicate, with or
without compensation, as to the merits of such cause with an officer  or
an employee of the agency concerned with the matter.
13.  For the purposes of this section, a statewide elected official or
state officer or employee or member of the  legislature  or  legislative
employee or political party chairman who is a member, associate, retired
member,  of  counsel  to,  or  shareholder  of  any firm, association or
corporation shall not be deemed to have made  an  appearance  under  the
provisions of this section solely by the submission to a state agency or
city agency of any printed material or document bearing his or her name,
but unsigned by him or her, such as by limited illustrations the name of
the   firm,   association  or  corporation  or  the  letterhead  of  any
stationery, which pro forma serves only as an indication that he or  she
is  such  a  member,  associate,  retired  member,  of  counsel  to,  or
shareholder.
14. (a) No statewide elected  official,  state  officer  or  employee,
member of the legislature or legislative employee may participate in any
decision  to  hire,  promote, discipline or discharge a relative for any
compensated  position  at,  for  or  within  any  state  agency,  public
authority or the legislature.
(b)  This paragraph shall not apply to (i) the hiring of a relative by
a legislator with  a  physical  impairment,  for  the  sole  purpose  of
assisting  with that impairment, as necessary and otherwise permitted by
law; (ii)  the  temporary  hiring  of  legislative  pages,  interns  and
messengers; or (iii) responding to inquiries with respect to prospective
hires related to an individual covered by this paragraph.
15.  No  statewide elected official, state officer or employee, member
of the legislature or legislative employee shall:
(a) participate  in  any  state  contracting  decision  involving  the
payment  of  more  than  one  thousand  dollars  to that individual, any
relative of that individual, or any entity in which that  individual  or
any relative has a financial interest; or
(b) participate in any decision to invest public funds in any security
of  any  entity  in  which  that  individual  or  any  relative  of that
individual has a financial interest, is an underwriter, or receives  any
brokerage, origination or servicing fees.
16.  (a)  No  statewide  elected  official,  state officer or employee
involved in the awarding of state grants or contracts may ask a  current
or  prospective  grantee  or  contractor,  or  any  officer, director or
employee thereof, to disclose: (i) the party affiliation of such grantee
or contractor, or  any  officer,  director  or  employee  thereof;  (ii)
whether such grantee or contractor, or any officer, director or employee
thereof, has made campaign contributions to any party, elected official,
or  candidate  for  elective  office;  or  (iii) whether such grantee or
contractor, or any officer, director or employee thereof,  cast  a  vote
for or against any elected official, candidate or political party.
(b)  No  statewide  elected  official or state officer or employee may
award or decline to award any state grant  or  contract,  or  recommend,
promise  or threaten to do so, in whole or in part, because of a current
or prospective grantee's or contractor's refusal to answer  any  inquiry
prohibited   by   paragraph  (a)  of  this  subdivision,  or  giving  or
withholding or neglecting to make any contribution of money  or  service
or any other valuable thing for any political purpose.
17.  (a)  No  statewide elected official, or state officer or employee
may during the consideration of an employment decision ask any applicant
for public employment to disclose: (i) the political  party  affiliation
of   the  applicant;  (ii)  whether  the  applicant  has  made  campaign
contributions to any party, elected official, or candidate for  elective
office;  or  (iii)  whether the applicant cast a vote for or against any
elected official, candidate or political party. The provisions  of  this
paragraph  shall  not  apply where (1) such inquiry is necessary for the
proper application of any state law or regulation; or (2)  such  inquiry
is consistent with publicly disclosed policies or practices of any state
agency   or   public   authority,   whose   purpose  is  to  ensure  the
representation of more than one  political  party  on  any  multi-member
body.
(b)  No  statewide  elected  official or state officer or employee may
decline to hire or promote, discharge,  discipline,  or  in  any  manner
change  the  official  rank  or  compensation  of  any state official or
employee, or applicant for employment, or promise or threaten to do  so,
based  upon  a refusal to answer any inquiry prohibited by paragraph (a)
of this subdivision, or for giving or withholding or neglecting to  make
any contribution of money or service or any other valuable thing for any
political purpose.
(c)  No  state  officer or employee shall, directly or indirectly, use
his or her official authority  to  compel  or  induce  any  other  state
officer   or   employee  to  make  or  promise  to  make  any  political
contribution, whether by gift of money, service or other thing of value.
18. In addition to any penalty contained in  any  other  provision  of
law,  any person who knowingly and intentionally violates the provisions
of subdivisions two through  five,  seven,  seven-a,  eight,  twelve  or
fourteen  through  seventeen of this section shall be subject to a civil
penalty in an amount not to exceed forty thousand dollars and the  value
of  any  gift,  compensation or benefit received in connection with such
violation. Assessment of a civil penalty hereunder shall be made by  the
state  oversight  body  with  jurisdiction  over  such  person.  A state

oversight body acting pursuant to its jurisdiction, may, in  lieu  of  a
civil  penalty,  with respect to a violation of subdivisions two through
five, seven or eight of this section, refer  a  violation  of  any  such
subdivision  to the appropriate prosecutor and upon such conviction such
violation shall be punishable as a class A misdemeanor.