PUBLIC OFFICERS LAW
Laws 1909, Chap. 51.
AN ACT in relation to public officers, constituting chapter forty-
seven of the consolidated laws.
Became a law February 17, 1909, with the approval of the
Governor. Passed, three-fifths being present.
The People of the State of New York, represented in Senate and
Assembly, do enact as follows:
CHAPTER 47 OF THE CONSOLIDATED LAWS
PUBLIC OFFICERS LAW
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Article 1. Short title; definitions (Secs. 1, 2).
2. Appointment and qualification of public
officers (Secs. 3-19).
2-A. Actions on official bonds or undertakings
(Secs. 20-28).
3. Creation and filling of vacancies
(Secs. 30-43).
4. Powers and duties of public officers
(Secs. 60-79).
5. Delivery of public books (Sec. 80).
6. Freedom of information law (Secs. 84-90).
6-A. Personal privacy protection law (Secs. 91-
99).
7. Open meetings law (Secs. 100-111).
8. Construction; laws repealed; when to take
effect (Secs. 115-117).
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ARTICLE 1
Short Title; Definitions
Section 1. Short title.
2. Definitions.
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Sec. 1. Short title.
This chapter shall be known as the "Public Officers Law."
Sec. 2. Definitions.
The term "state officer" includes every officer for whom all the
electors of the state are entitled to vote, members of the
legislature, justices of the supreme court, regents of the
university, and every officer, appointed by one or more state
officers, or by the legislature, and authorized to exercise his
official functions throughout the entire state, or without
limitation to any political subdivision of the state, except
United States senators, members of congress, and electors for
president and vice-president of the United States. The term
"local officer" includes every other officer who is elected by
the electors of a portion only of the state, every officer of a
political subdivision or municipal corporation of the state, and
every officer limited in the execution of his official functions
to a portion only of the state. The office of a state officer is
a state office. The office of a local officer is a local office.
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ARTICLE 2
Appointment and Qualification of Public Officers
Section 3. Qualifications for holding office.
3-a. Restrictions upon holding public office or
employment of persons removed from office for
certain reasons.
3-b. Special peace officers to be citizens.
4. Commencement of term of office.
5. Holding over after expiration of term.
6. Mode of choosing state officers if not
otherwise provided.
7. Appointment by the governor and senate.
8. Commissions of officers.
9. Deputies, their appointment, number and
duties.
10. Official oaths.
11. Official undertakings.
12. Force and effect of official undertaking.
13. Notice of neglect to file oath or
undertaking.
14. Effect of consolidation on terms of office.
15. Validation of official acts performed before
filing official oath or undertaking.
16. Qualifications of certain judicial officers
in cities of the first class.
17. Defense and indemnification of state officers
and employees.
18. Defense and indemnification of officers and
employees of public entities.
19. Reimbursement of defense costs incurred by or
on behalf of state employees.
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Section 3. Qualifications for holding office.
1. No person shall be capable of holding a civil office who
shall not, at the time he shall be chosen thereto, have
attained the age of eighteen years, except that in the case
of youth boards, youth commissions or recreation commissions
only, members of such boards or commissions may be under the
age of eighteen years, but must have attained the age of
sixteen years on or before appointment to such youth board,
youth commission or recreation commission, be a citizen of
the United States, a resident of the state, and if it be a
local office, a resident of the political subdivision or
municipal corporation of the state for which he shall be
chosen, or within which the electors electing him reside, or
within which his official functions are required to be
exercised, or who shall have been or shall be convicted of a
violation of the selective draft act of the United States,
enacted May eighteenth, nineteen hundred seventeen, or the
acts amendatory or supplemental thereto, or of the federal
selective training and service act of nineteen hundred forty
or the acts amendatory thereof or supplemental thereto.
2. Neither the provisions of this section or of any general,
special or local law, charter, code, ordinance, resolution,
rule or regulation, requiring a person to be a resident of
the political subdivision or municipal corporation of the
state for which he shall be chosen or within which his
official functions are required to be exercised, shall apply
to the appointment of a person as a member of the police
force of any political subdivision or municipal corporation
of the state if such person resides (a) in the county in
which such political subdivision or municipal corporation is
located; or (b) in a county within the state contiguous to
the county in which such political subdivision or municipal
corporation is located; or (c) in a county within the state
contiguous to such political subdivision or municipal
corporation; or (d) in a county within the state contiguous
to a county described in item (c) hereof where the former is
less than fifteen miles from such political subdivision or
municipal corporation, measured from their respective
nearest boundary lines; or (e) in a county within the state
contiguous to a county described in item (d) hereof where
the former is less than thirty miles from such political
subdivision or municipal corporation, measured from their
respective nearest boundary lines.
2-a. Neither the provisions of this section, nor of any general,
special or local law, charter, code, ordinance, resolution,
rule or regulation, requiring a person to be a resident of
the political subdivision or municipal corporation of the
state for which he shall be chosen or within which his
official functions are required to be exercised, shall apply
to the appointment of a member of the department of
sanitation of any municipality of the state who resides in a
county within the state contiguous to such municipality.
2-b. Neither the provisions of this section, nor of any general,
special or local law, charter, code, ordinance, resolution,
rule or regulation, requiring a person to be a resident of
the political subdivision or municipal corporation of the
state for which he shall be chosen or within which his
official functions are required to be exercised, shall apply
to the appointment of an officer or employee of the parole
commission of an municipality of the state if such person
resides (a) in a county in which such political subdivision
or municipal corporation is located; or (b) in a county
within the state contiguous to the county in which such
political subdivision or municipal corporation is located;
or (c) in a county within the state contiguous to such
political subdivision or municipal corporation; or (d) in a
county within the state contiguous to a county described in
item (c) hereof where the former is less than fifteen miles
from such political subdivision or municipal corporation,
measured from their respective nearest boundary lines.
2-b. Neither the provisions of this section, nor of any general,
special or local law, charter, code, ordinance, resolution,
rule or regulation, requiring a person to be a resident of
the political subdivision of the state for which he shall be
chosen, shall apply to the appointment of a person, as an
emergency special deputy sheriff, by the sheriff of a county
who has declared a state of special emergency pursuant to
section two hundred nine-f of the general municipal law, if
such person is at the time either a regular, part time or
special deputy sheriff of another county.
3. Nothing herein contained shall operate to prevent a person
regularly admitted to practice as an attorney and counsellor
in the courts of record of this state, whose office for the
practice of law is within the state, from accepting or
retaining an appointment as a notary public, as provided in
section one hundred thirty of the executive law, although he
resides in or removes to an adjoining state. For the
purposes of accepting and retaining an appointment as a
notary public such person shall be deemed a resident of the
county where he maintains such office for the practice of
law.
3-a. Nothing herein contained shall operate to prevent a person
regularly admitted to practice as an attorney and counsellor
in the courts of record of this state, whose office for the
practice of law is within the city of New York, from
accepting or retaining an appointment as a commissioner of
deeds in and for the city of New York, as provided in
section one hundred forty of the executive law, although he
resides in or removes to another city in this state or to an
adjoining state. For the purposes of accepting and retaining
an appointment as a commissioner of deeds in and for the
city of New York, such person shall be deemed a resident of
the county where he maintains such office.
4. Except as otherwise provided in subdivision nine of this
section, persons heretofore or hereafter employed in the
paid fire department of a city, town, village or fire
district shall not be deemed to be holding a civil office or
a local office within the meaning of this section and the
provisions of this section shall not apply to such persons.
The provisions of any general, special or local law, city or
village charter, code or ordinance, or any rule or
regulation requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which he shall be chosen or within which his official
functions are required to be exercised shall not apply to
the appointment or continuance in office of any such person
so employed, if such person resides in the county, or one of
the counties, in which such political subdivision or
municipal corporation is located.
5. Volunteer firemen and volunteer fire officers of a fire
department or any company or unit thereof shall not be
deemed to be holding a civil office or a local office within
the meaning of this section and the provisions of this
section shall not apply to such volunteer firemen and
volunteer fire officers. This subdivision shall not be
deemed to amend, modify or supersede any other general,
special or local law, city or village charter, code or
ordinance, or any rule or regulation governing any such fire
department, which prescribes the qualifications which a
person must have to be a volunteer fireman or a volunteer
fire officer of a political subdivision or municipal
corporation.
6. The provisions of this section requiring a person to be a
resident of the political subdivision or municipal
corporation of the state for which he shall be chosen or
within which his official functions are required to be
exercised, shall not apply to the appointment of trustees of
a public village library, who reside outside the village in
which such library is located.
7. Nothing herein contained shall operate to prevent a person
regularly admitted to practice as an attorney and counsellor
in the courts of record of this state, whose office for the
practice of law is within the state, from accepting or
retaining an appointment as a commissioner of deeds in and
for the city of New York, as provided in section one hundred
forty of the executive law, although he resides in or
removes to any other county in the state or an adjoining
state. For the purposes of accepting and retaining an
appointment as a commissioner of deeds such person shall be
deemed a resident of the county where he maintains such
office for the practice of law.
8. The provisions of this section requiring a person to be a
resident of the political subdivision or municipal
corporation of the state for which he shall be chosen, or
within which his official functions are required to be
exercised, shall not apply in the case of any probation
officers heretofore or hereafter appointed; nor shall they
be applicable in the case of any other persons heretofore or
hereafter appointed to non-judicial positions in the courts
in this state, except those appointed to positions in courts
for towns, villages and cities outside the city of New York.
This subdivision shall not be deemed to amend, modify or
supersede any other general, special or local law, charter,
code or ordinance, or any rule or regulation which
prescribes the qualifications which a person must have to be
appointed to a position referred to herein.
9. Neither the provisions of this section, nor of any general,
special or local law, charter, code, ordinance, resolution,
rule or regulation, requiring a person to be a resident of
the political subdivision or municipal corporation of the
state for which he shall be chosen or within which his
official functions are required to be exercised, shall apply
to the appointment of a paid member of the uniformed force
of a paid fire department or to the appointment of any
person employed in a department of correction in the
correction service classification of the classified civil
service, or to the appointment of officers and inspectors
who are employees of a department of health of any city of
over one million population who resides (a) in the county in
which such city is located; or (b) in a county within the
state contiguous to the county in which said city is
located; or (c) in a county within the state contiguous to
such city; or (d) in a county within the state which is not
more than fifteen miles from said city.
10. Neither the provisions of this section, nor of any general,
special or local law, charter, code or ordinance,
resolution, rule or regulation, requiring a person to be a
resident of the political subdivision or municipal
corporation of the state for which he shall be chosen or
within which his official functions are required to be
exercised, shall apply to the appointment of a member of a
drug abuse prevention council of any municipality of the
state if such person resides in a county in which such
political subdivision or municipal corporation is located.
11. In the city of Salamanca the provisions of this section
requiring a person to be a resident of the political
subdivision or municipal corporation of the state for which
he shall be chosen or within which his official functions
are required to be exercised, shall not prevent a person
regularly admitted to practice as an attorney or counsellor
in the courts of record of this state from holding the
office of city attorney or city justice of the city of
Salamanca, if such person resides in the county in which
such city is located.
12. The provisions of this section or of any other provision of
law requiring a person to be a resident of the political
subdivision or municipal corporation of the state for which
he shall be chosen or within which his official functions
are required to be exercised, shall not apply to the
appointment of public officers in the city of Troy, except
the city manager of such city, provided that such appointed
officers are residents of the county of Rensselaer.
13. In the city of Hudson the provisions of this section
requiring a person to be a resident of the political
subdivision or municipal corporation of the state for which
he shall be chosen or within which his official functions
are required to be exercised, shall not prevent a person
from holding the office of city court judge of the city of
Hudson, provided that such person resides in the county in
which such city is located.
14. In the town of Mount Pleasant, Westchester county, the
provisions of this section requiring a person to be a
resident of the political subdivision or municipal
corporation of the state for which he shall be chosen or
within which his official functions are required to be
exercised, shall not prevent a person from holding the
office of town engineer of the town of Mount Pleasant,
provided that such person resides in the county in which
such town is located or an adjoining county within the state
of New York.
15. In the town of North Castle, Westchester county, the
provisions of this section requiring a person to be a
resident of the political subdivision or municipal
corporation of the state for which he shall be chosen or
within which his official functions are required to be
exercised, shall not prevent a person from holding the
office of town engineer of the town of North Castle,
provided that such person resides in the county in which
such town is located or an adjoining county within the state
of New York.
16. In the town of New Castle, Westchester county, the
provisions of this section requiring a person to be a
resident of the political subdivision or municipal
corporation of the state for which he shall be chosen or
within which his official functions are required to be
exercised, shall not prevent a person from holding the
office of town superintendent of highways or town engineer
of the town of New Castle, provided that such person resides
in the county in which such town is located or an adjoining
county within the state of New York or such town provides by
resolution that such person need not be a resident of such
town, but must be a resident of New York state.
17. In the town of North Salem, Westchester county, the
provisions of this section requiring a person to be a
resident of the political subdivision or municipal
corporation of the state for which he shall be chosen or
within which his official functions are required to be
exercised, shall not prevent a person from holding the
office of town building inspector or deputy town building
inspector of the town of North Salem, provided that such
person resides in the county in which such town is located
or an adjoining county within the state of New York.
18. In the town of Mount Pleasant, Westchester county, the
provisions of this section requiring a person to be a
resident of the political subdivision or municipal
corporation of the state for which he shall be chosen or
within which his official functions are required to be
exercised, shall not prevent a person from holding the
office of comptroller or building inspector of the town of
Mount Pleasant, provided that such person resides in the
county in which such town is located or an adjoining county
within the state of New York.
19. Any person who resides in this state and who is currently
employed as a member of the police force, a paid member of
the uniformed force of a paid fire department or department
of corrections in the correctional service classification of
the classified civil service, of a city of over one million
population, shall be exempt from the provisions of
subdivisions one, two and nine of this section upon
compliance with the procedure set forth in this subdivision.
Any person seeking to benefit from the exemption created by
this subdivision shall notify his respective employer in
writing of said intention within thirty days from the
effective date of this subdivision and shall specify his
then current residence address. The exemption created by
this subdivision shall be applicable only to said actual
designated residence and not to any residence that any
subject currently employed member may thereafter establish;
provided, however, that any such currently employed member
who resides outside this state shall have one year from the
effective date of this subdivision within which to establish
residence as required pursuant to subdivisions one, two and
nine of this section and comply with the notice requirements
of this subdivision. Said residence shall constitute a
lawful residence for all purposes notwithstanding any
provision to the contrary of any general, special or local
law, charter, code, ordinance, resolution, rule or
regulation.
*20. In the town of Carmel, Putnam county, the provisions of this
section requiring a person to be a resident of the political
subdivision or municipal corporation of the state for which
he shall be chosen or within which his official functions
are required to be exercised, shall not prevent a person
from holding the office of town engineer of the town of
Carmel or the office of wetlands inspector of the town of
Carmel provided that such person resides in the county in
which such town is located or an adjoining county within the
state of New York.
* NB There are 4 sub 20's
*20. In the town of Bolivar, Allegany county, the provisions of
this section requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which he shall be chosen or within which his official
functions are required to be exercised, shall not prevent a
person from holding the office of town superintendent of
highways of the town of Bolivar, provided that such person
resides in the county in which such town is located.
* NB There are 4 sub 20's
*20. In the city of Ithaca, Tompkins county, the provisions of
this section requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which he shall be chosen or within which his official
functions are required to be exercised, shall not prevent a
person from holding the office of member of the board of
fire commissioners of the city of Ithaca, provided that such
person resides in the county in which such city is located
and within the town of Ithaca.
* NB There are 4 sub 20's
*20. In the town of Mamaroneck, Westchester county, the
provisions of this section requiring a person to be a
resident of the political subdivision or municipal
corporation of the state for which he shall be chosen or
within which his official functions are required to be
exercised, shall not prevent a person from holding the
office of deputy town clerk of the town of Mamaroneck,
provided that such person resides in the county in which
such town is located or an adjoining county within the state
of New York.
* NB There are 4 sub 20's
21. In the town of Lewisboro, Westchester county, the provisions
of this section requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which he shall be chosen or within which his official
functions are required to be exercised, shall not prevent a
person from holding the office of town engineer of the town
of Lewisboro provided that such person resides in the county
in which such town is located or an adjoining county within
the state of New York.
22. In the town of Lewisboro, Westchester county, the provisions
of this section requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which he shall be chosen or within which his official
functions are required to be exercised, shall not prevent a
person from holding the office of town building inspector or
deputy town building inspector of the town of Lewisboro
provided that such person resides within the state of New
York.
23. In the town of Sweden, Monroe county, the provisions of this
section requiring a person to be a resident of the political
subdivision or municipal corporation of the state for which
he shall be chosen or within which his official functions
are required to be exercised, shall not prevent a person
from holding the office of court clerk of the town of
Sweden, provided that such person resides in the county in
which such town is located or an adjoining county within the
state of New York.
*24. In the town of Greenburgh, Westchester county, the
provisions of this section requiring a person to be a
resident of the political subdivision or municipal
corporation of the state for which he shall be chosen or
within which his official functions are required to be
exercised shall not prevent a person from holding any
appointed public office, provided that such person resides
in the state of New York.
* NB There are 3 sb 24's
*24. In the town of Ogden, Monroe county, the provisions of this
section requiring a person to be a resident of the political
subdivision or municipal corporation of the state for which
he shall be chosen or within which his official functions
are required to be exercised, shall not prevent a person
from holding the office of court clerk of the town of Ogden,
provided that such person resides in the county in which
such town is located or an adjoining county within the state
of New York.
* NB There are 3 sb 24's
*24. In the towns of Aurora, Holland and Marilla, Erie county,
the provisions of this section requiring a person to be a
resident of the political subdivision or municipal
corporation of the state for which he shall be chosen or
within which his official functions are required to be
exercised, shall not prevent a person from holding the
office of court clerk to the justices of the towns of
Aurora, Holland and Marilla provided that such person
resides in the county in which such town is located or an
adjoining county within the state of New York.
* NB There are 3 sb 24's
25. In the town of Patterson, Putnam county, the provisions of
this section requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which he shall be chosen or within which his official
functions are required to be exercised, shall not prevent a
person from holding the office of wetlands inspector
provided that such person resides in the county in which
such town is located or an adjoining county within the state
of New York.
26. In the town of Ithaca, Tompkins county, the provisions of
this section requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which he shall be chosen or within which his official
functions are required to be exercised, shall not prevent a
person from holding the office of town engineer of the town
of Ithaca provided that such person resides in the county in
which such town is located or an adjoining county within the
state of New York.
27. In the town of Bedford, Westchester county, the provisions
of this section requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which he shall be chosen or within which his official
functions are required to be exercised, shall not prevent a
person from holding the office of court clerk, deputy court
clerk or any position within the court clerk's office of the
town of Bedford.
28. In respect to public officers employed by Westchester
county, the provisions of this section requiring a person to
be a resident of the political subdivision or municipal
corporation of the state for which he or she shall be chosen
or within which his or her official functions are required
to be exercised shall not prevent a person from holding any
appointed public office, provided that such person resides
in the state of New York.
29. In the town of Somers, Westchester county, the provisions of
this section requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which he shall be chosen or within which his official
functions are required to be exercised, shall not prevent a
person from holding the office of town engineer of the town
of Somers.
30. In the town of Pound Ridge, Westchester county, the
provisions of this section requiring a person to be a
resident of the political subdivision or municipal
corporation of the state for which he shall be chosen or
within which his official functions are required to be
exercised, shall not prevent a person from holding the
office of town building inspector or town superintendent of
highways and their deputies of the town of Pound Ridge
provided that such persons reside in a town contiguous to
the town of Pound Ridge and within the county of
Westchester, state of New York.
31. In the town of Victor, Ontario county, the provisions of
this section requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which he or she shall be chosen or within which his or
her official functions are required to be exercised, shall
not prevent a person from holding the office of court clerk
of the town of Victor, provided that such person resides in
an adjoining town in the county in which such town is
located.
32. In the village of Penn Yan, Yates county, the provisions of
this section requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which he shall be chosen or within which his official
functions are required to be exercised, shall not prevent a
person from holding the office of justice court clerk of the
village of Penn Yan, provided that such person resides in
the county in which such village is located or an adjoining
county within the state of New York.
32. In the town of North East, Dutchess county, the provisions
of this section requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which he shall be chosen or within which his official
functions are required to be exercised, shall not prevent a
person from holding the office of town engineer of the town
of North East, provided that such person resides in the
county in which such town is located or an adjoining county
within the state of New York.
33. In the Flint Creek Small Watershed Protection district in
the counties of Ontario and Yates, the provisions of this
section requiring a person to be a resident of the political
subdivision or municipal corporation of the state for which
he shall be chosen or within which his official functions
are required to be exercised, shall not prevent a person
from holding a district office, provided that such person
owns real property within the district boundaries.
34. In the town of Hamlin, county of Monroe, the provisions of
this section requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which he or she shall be chosen or within which his or
her official functions are required to be exercised, shall
not prevent a person from holding the office of court clerk
of the town of Hamlin, provided that such person resides in
the county in which such town is located or an adjoining
county within the state of New York.
34. In the village of Goshen, Orange county, the provisions of
this section requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which he shall be chosen or within which his official
functions are required to be exercised, shall not prevent a
person from holding the office of treasurer of the village
of Goshen, provided that such person resides within the
state of New York.
34. In the town of Grove, Allegany county, the provisions of
this section requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which he or she shall be chosen or within which his or
her official functions are required to be exercised, shall
not prevent a person from holding the office of town justice
of the town of Grove, provided that such person resides in
the county in which such town is located. Provided, however,
the person performing the functions of town justice in any
other town shall be a resident of such town unless otherwise
provided by an act of the state legislature.
35. Nothing herein contained shall operate to prevent an
otherwise qualified officer or agent of any society for the
prevention of cruelty to children having its principal
office located within a city with a population of one
million or more from accepting or retaining appointment as a
peace officer with such society when such officer or agent
satisfies the provisions as to residence set forth in
subdivision two of this section.
36. In the village of Arkport, Steuben county, the provisions of
this section requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which he shall be chosen or within which his official
functions are required to be exercised, shall not prevent a
person from holding the office of clerk/treasurer of the
village of Arkport, provided that such person resides in the
county in which such village is located or an adjoining
county within the state of New York.
37. In the town of Independence, Allegany county, the provisions
of this section requiring a person to be a resident of the
political subdivision or municipal corporation of the state
for which such person shall be chosen or within which such
person's official functions are required to be exercised,
shall not prevent a person from holding the office of town
justice of the town of Independence, provided that such
person resides in the county in which such town is located.
Provided, however, the person performing the functions of
town justice in any other town shall be a resident of such
town, unless otherwise provided by an act of the state
legislature.
38. In the county of Yates, the provisions of this section
requiring a person to be a resident of the political
subdivision or municipal corporation of the state for which
he shall be chosen or within which his official functions
are required to be exercised, shall not prevent a person
from holding the office of assistant district attorney of
the county of Yates, other than the first assistant district
attorney, provided that such person resides in Yates county
or an adjoining county within the state of New York.
Sec. 3-a. Restrictions upon holding public office or employment
of persons removed from office for certain reasons.
Any public officer who, upon being called before a grand jury to
testify concerning the conduct of his office or the performance
of his official duties, refuses to sign a waiver of immunity
against subsequent criminal prosecution, or to answer any
relevant question concerning such matters before such grand jury
and who, by virtue thereof, has been removed from such public
office by the appropriate authority or who has forfeited such
office at the suit of the attorney general shall not be capable
of holding a civil office or public employment for a period of
five years from the date of the removal from or forfeit of such
public office.
Section 3-b. Special peace officers to be citizens.
No sheriff of a county, mayor of a city, or official, or other
persons authorized by law to appoint special deputy sheriffs,
special constables, marshals, police officers, or peace officers
in this state, to preserve the public peace or quell public
disturbance, shall hereafter, at the instance of any agent,
society, association or corporation, or otherwise, appoint as
such special deputy, special constable, marshal, police officer,
or peace officer, any person who shall not be a citizen of the
United States and a resident of the state of New York, and
entitled to vote therein at the time of his appointment, and a
resident of the same county as the mayor or sheriff or other
official making such appointment; provided, however, that when,
in the judgment of a sheriff of a county except those counties
within the city of New York a situation exists which requires
temporary additional assistance, such sheriff may appoint special
deputy sheriffs who are non-residents of the county but residents
of the state of New York who shall hold office until such time as
the appointing sheriff determines that the situation no longer
exists; and no person shall assume or exercise the functions,
powers, duties or privileges incident and belonging to the office
of special deputy sheriff, special constables, marshal, police
officer, or peace officer, without having first received his
appointment in writing from the authority lawfully appointing
him. Nothing herein contained, however, shall apply to the
appointment of a non-resident, as an emergency special deputy
sheriff, by the sheriff of any county to act when such sheriff
has declared a state of special emergency pursuant to the
provisions of section two hundred nine-f of the general municipal
law. Any person otherwise qualified who resides in either the
county of Nassau or the county of Suffolk may at the instance of
a society for the prevention of cruelty to animals be appointed
as a peace officer by the appropriate appointing official of
either of such counties notwithstanding that such appointee does
not reside in the same county as the appointing official.
A violation of the provisions of this section is a misdemeanor.
Sec. 4. Commencement of term of office.
1. The term of office of an elective officer, unless elected to
fill a vacancy then existing, shall commence on the first
day of January next after his election, if the commencement
thereof be not otherwise fixed by law.
2. All terms of city officers, including supervisors, elected
in any city or part of a city, and of county officers in the
city of New York, shall expire at the end of an odd-numbered
year. Such officers shall be elected, except to fill a
vacancy, at the general election in odd-numbered years. This
subdivision shall not apply to any judicial officer.
Sec. 5. Holding over after expiration of term.
Every officer except a judicial officer, a notary public, a
commissioner of deeds and an officer whose term is fixed by the
constitution, having duly entered on the duties of his office,
shall, unless the office shall terminate or be abolished, hold
over and continue to discharge the duties of his office, after
the expiration of the term for which he shall have been chosen,
until his successor shall be chosen and qualified; but after the
expiration of such term, the office shall be deemed vacant for
the purpose of choosing his successor. An officer so holding over
for one or more entire terms, shall, for the purpose of choosing
his successor, be regarded as having been newly chosen for such
terms. An appointment for a term shortened by reason of a
predecessor holding over, shall be for the residue of the term
only.
Sec. 6. Mode of choosing state officers if not otherwise
provided.
If the law shall not otherwise provide the mode of choosing a
state officer, he shall be appointed by the governor by and with
the advice and consent of the senate.
Sec. 7. Appointment by the governor and senate.
An appointment to an office by the governor by and with the
advice and consent of the senate, shall be made by communicating
to the senate, while in session, a written nomination of a person
for the office, designating the residence of the nominee, and if
nominated to be an officer of a political subdivision of the
state, designating also such subdivision, and if nominating two
or more persons to the same office for different terms,
designating the term for which each is nominated. If such
nomination be of a successor to a predecessor in the same office,
it may be made and acted upon by the senate after the expiration
of the term or occurrence of a vacancy in the office of such
predecessor, or at any time during the legislative session of the
calendar year in which the term of office of such predecessor
shall expire or in which the office shall become vacant. If the
appointment be made before the expiration of the term of such
predecessor, the term of office of the appointee shall commence
upon the expiration of the term of such predecessor, or if made
to fill a vacancy, upon the occurrence of such vacancy, or
immediately if a vacancy already exist. If the senate shall
reject such nomination, the secretary of the senate shall
forthwith communicate, by writing, signed by him and by the
president of the senate, to the governor the fact of such
rejection. If the senate shall confirm such nomination the
appointment shall be deemed complete, and thereupon duplicate
certificates of the confirmation shall be made and signed by the
president and secretary of the senate, who shall cause one to be
delivered to the governor and the other to the secretary of
state, who shall record the same in his office in a book kept for
that purpose.
Sec. 8. Commissions of officers.
The commission of every officer appointed by the governor, or by
the governor by and with the consent of the senate, shall be
signed by the governor and attested under the seal of this state,
by the secretary of state, who shall make and record in his
office a copy of such commission, and deliver the original to the
officer appointed, by a messenger, if the governor shall so
direct, and otherwise, by mail, or as the secretary of state
shall deem proper. Commissions of notaries public shall be signed
by the secretary of state, or by a person or persons in the
department of state designated by the secretary of state, and
shall be sent to the county clerk of the county in which such
notaries public respectively reside. Commissions of commissioners
of deeds in other states, territories and foreign countries,
shall be signed by the secretary of state, or by a person or
persons in the department of state designated by secretary of
state. Every other appointment of an officer, made by one or more
state officers, shall be in writing, and signed by the officer or
officers, or by a majority of the officers, or by the presiding
officer of the board or body making the appointment. Every such
written appointment shall be deemed the commission of the officer
appointed, and if of a state officer, a duplicate or a certified
copy thereof shall be recorded in the office of the department of
state; if of a local officer it shall be sent to the clerk of the
county in which the officer appointed shall then reside, who
shall file the same in his office, and notify the officer
appointed of his appointment.
Sec. 9. Deputies, their appointment, number and duties.
Every deputy, assistant, or other subordinate officer, whose
appointment or election is not otherwise provided for, shall be
appointed by his principal officer, board or other body, and the
number thereof, if not otherwise prescribed by law, shall be
limited in the discretion of the appointing power. If there is
but one deputy, he shall, unless otherwise prescribed by law,
possess the powers and perform the duties of his principal during
the absence or inability to act of his principal, or during a
vacancy in his principal's office. If there be two or more
deputies of the same officer, such officer may designate, in
writing, the order in which the deputies shall act, in case of
his absence from the office or his inability to act, or in case
of a vacancy in the office, and if he shall fail to make such
designation, the deputy longest in office present shall so act.
If two or more deputies present shall have held the office for
the same period, the senior deputy in age shall so act. Such
written designation by a state officer shall be filed in the
office of the secretary of state; and by any other officer, in
the office of the clerk of the county in which the principal has
his office. If a vacancy in a public office shall be caused by
the death of the incumbent, the deputies shall, unless otherwise
provided by law, continue to hold office until the vacancy shall
have been filled in accordance with law.
Sec. 10. Official oaths.
Every officer shall take and file the oath of office required by
law, and every judicial officer of the unified court system, in
addition, shall file a copy of said oath in the office of court
administration, before he shall be entitled to enter upon the
discharge of any of his official duties. An oath of office may be
administered by a judge of the court of appeals, the attorney
general, or by any officer authorized to take, within the state,
the acknowledgment of the execution of a deed of real property,
or by an officer in whose office the oath is required to be filed
or by his duly designated assistant, or may be administered to
any member of a body of officers, by a presiding officer or
clerk, thereof, who shall have taken an oath of office. An oath
of office may be administered to any state or local officer who
is a member of the armed forces of the United States by any
commissioned officer, in active service, of the armed forces of
the United States. In addition to the requirements of any other
law, the certificate of the officer in the armed forces
administering the oath of office under this section shall state
(a) the rank of the officer administering the oath, and (b) that
the person taking the oath was at the time, enlisted, inducted,
ordered or commissioned in or serving with, attached to or
accompanying the armed forces of the United States. The fact that
the officer administering the oath was at the time duly
commissioned and in active service with the armed forces, shall
be certified by the secretary of the army, secretary of the air
force or by the secretary of the navy, as the case may be, of the
United States, or by a person designated by him to make such
certifications, but the place where such oath was administered
need not be disclosed. The oath of office of a notary public or
commissioner of deeds shall be filed in the office of the clerk
of the county in which he shall reside. The oath of office of
every state officer shall be filed in the office of the secretary
of state; of every officer of a municipal corporation, including
a school district, with the clerk thereof; and of every other
officer, including the trustees and officers of a public library
and the officers of boards of cooperative educational services,
in the office of the clerk of the county in which he shall
reside, if no place be otherwise provided by law for the filing
thereof.
Sec. 11. Official undertakings.
1. Every official undertaking, when required by or in pursuance
of law to be hereafter executed or filed by any officer,
shall be to the effect that he will faithfully discharge the
duties of his office and promptly account for and pay over
all moneys or property received by him as such officer, in
accordance with law, or in default thereof, that the parties
executing such undertaking will pay all damages, costs and
expenses resulting from such default, not exceeding a sum,
if any, specified in such undertaking. The undertaking of a
state officer or clerk or employee shall be approved by the
attorney-general as to its form and manner of execution and
by the comptroller as to the sufficiency of the sureties and
be filed in the comptroller's office. The undertaking of a
municipal officer shall, if not otherwise provided by law,
be approved as to its form and the sufficiency of the
sureties by the chief executive officer or by the governing
body of the municipality and be filed with the clerk
thereof. The approval by such governing body may be a
resolution, a certified copy of which shall be attached to
the undertaking. The undertaking of such county officer
shall, if not otherwise provided by law, be approved as to
its form and the sufficiency of the sureties by the clerk of
the county, and filed in his office, except that a duplicate
undertaking of a county clerk and county treasurer shall be
filed in the office of the state comptroller. The
undertaking of a town officer shall, if not otherwise
provided by law, be approved as to its form and the
sufficiency of the sureties by the clerk of the county and
filed in his office. The sum specified in an official
undertaking shall be the sum for which such undertaking
shall be required by or in pursuance of law is given. If no
sum, or a different sum from that required by or in
pursuance of law, be specified in the undertaking, it shall
be deemed to be an undertaking for the amount so required.
If no sum be required by or in pursuance of law to be so
specified, the officer or board authorized to approve the
undertaking shall fix the sum to be specified therein. Every
official undertaking shall be executed and duly acknowledged
by at least two sureties, each of whom shall add thereto his
affidavit that he is a freeholder or householder within the
state, stating his occupation and residence and the street
number of his residence and place of business if in a city,
and a sum which he is worth over and above his just debts
and liabilities and property exempt from execution. The
aggregate of the sums so stated in such affidavits must be
at least double the amount specified in the undertaking. If
the surety on an official undertaking of a state or local
officer, clerk or employee of the state or political
subdivision thereof or of a municipal corporation be a
fidelity or surety corporation, the reasonable expense of
procuring such surety, not exceeding one percentum per annum
upon the sum for which such undertaking shall be required by
or in pursuance of law to be given, shall be a charge
against the state or political subdivision or municipal
corporation respectively in and for which he is elected or
appointed, except that the expense of procuring such surety
as aforesaid, on an official undertaking of any officer,
clerk or employee in any city department of the city of New
York, or of any office, board or body of said city, or of a
borough or county within said city, including officers,
clerks and employees of every court within said city, shall
not be a charge upon said city or upon any of the counties
contained within said city, unless the comptroller of the
said city, shall first have approved the necessity of
requiring such official undertaking to be given, and shall
have approved of or fixed the amount of any such official
undertaking; but this exception shall not apply to an
official undertaking specifically required by statute to be
given, and the amount of which is specifically fixed by
statute. The failure to execute an official undertaking in
the form or by the number of sureties required by or in
pursuance of law, or of a surety thereto to make an
affidavit required by or in pursuance of law, or in the form
so required, or the omission from such an undertaking of the
approval required by or in pursuance of law, shall not
affect the liability of the sureties therein.
2. Notwithstanding the foregoing provisions of this section or
any other law, general, special or local, requiring an
official undertaking to be conditioned substantially to the
effect that an officer, clerk or employee will faithfully
discharge his duties and promptly account for and pay over
all moneys or property received by him in his official
capacity, it shall be permissible in lieu thereof, with the
consent and approval of the officer or governing body
authorized to require the undertaking, for any department or
agency of the state or any municipal corporation or district
corporation or department or agency thereof to procure a
blanket undertaking from any duly authorized corporate
surety covering officers, clerks and employees. Any such
blanket undertaking entered into on or after January first,
nineteen hundred seventy-eight shall indemnify against
losses:
(a) through the failure of the officers, clerks and
employees covered thereunder faithfully to perform
their duties or to account properly for all moneys or
property received by virtue of their positions or
employment, and
(b) through fraudulent or dishonest acts committed by the
officers, clerks and employees covered thereunder.
Notwithstanding any provisions of the civil practice law and
rules any such blanket undertaking entered into prior to
January first, nineteen hundred eighty-three may contain a
provision that no suit, action or proceeding of any kind to
recover on account of loss under such blanket undertaking
shall be brought after the expiration of three years from
the cancellation of such blanket undertaking as an entirety.
Any such blanket undertaking shall be approved as to its
form, manner of execution and sufficiency of the surety and
filed and the expense of procuring such surety paid in the
same manner as provided in subdivision one of this section.
The failure to execute such blanket undertaking in the form
required by law, or the omission of the approval required by
law, shall not affect the liability of the surety thereon.
3. Nothing herein contained shall be construed to prevent the
procuring of a blanket undertaking to cover the liability of
employees handling funds collected pursuant to the
provisions of section fifty of the vehicle and traffic law.
4. Notwithstanding the provisions of this section or any other
law, general or special, requiring an official undertaking
or bond to be conditioned substantially to the effect that a
state officer, clerk or employee will faithfully discharge
his duties and promptly account for and pay over all moneys
or property received by him in his official capacity, the
comptroller may, in his discretion, waive the requirement of
procuring such official undertaking or bond, and the expense
of procuring an official undertaking or bond shall not be a
charge upon the state unless the comptroller shall first
have approved the necessity of requiring such official
undertaking or bond.
Sec. 12. Force and effect of official undertaking.
An officer of whom an official undertaking is required, shall not
receive any money or property as such officer, or do any act
affecting the disposition of any money or property which such
officer is entitled to receive or have the custody of, before he
shall have filed such undertaking; and any person having the
custody or control of any such money or property shall not
deliver the same to any officer of whom an undertaking is
required until such undertaking shall have been given. If a
public officer required to give an official undertaking, enters
upon the discharge of any of his official duties before giving
such undertaking, the sureties upon his undertaking subsequently
given for or during his official term shall be liable for all his
acts and defaults done or suffered and for all moneys and
property received during such term prior to the execution of such
undertaking, or if a new undertaking is given, from the time
notice to give such new undertaking is served upon him. Every
official undertaking shall be obligatory and in force so long as
the officer shall continue to act as such and until his successor
shall be appointed and duly qualified, and until the conditions
of the undertaking shall have been fully performed. When an
official undertaking is renewed pursuant to law the sureties upon
the former undertaking shall not be liable for any official act
done or moneys received after the due execution, approval and
filing of the new undertaking.
Sec. 13. Notice of neglect to file oath or undertaking.
The officer or body making the appointment or certificate of
election of a public officer shall, if the officer be required to
give an official undertaking to be filed in an office other than
that in which the written appointment or certificate of election
is to be filed, forthwith give written notice of such appointment
or election to the officer in whose office the undertaking is to
be filed. If any officer shall neglect, within the time required
by law, to take and file an official oath, or execute and file an
official undertaking, the officer, with whom or in whose office
such oath or undertaking is required to be filed, shall forthwith
give notice of such neglect, if of an appointive officer, to the
authority appointing such officer; if of an elective officer, to
the officer, board or body authorized to fill a vacancy in such
office, if any, or if none and a vacancy in the office may be
filled by a special election, to the officer, board or body
authorized to call or give notice of a special election to fill
such vacancy; except that the notice of failure of a justice of
the peace to file his official oath, shall be given to the town
clerk of the town for which the justice was elected.
Sec. 14. Effect of consolidation on terms of office.
If an office be continued by the consolidated laws constituting
the consolidation of which this chapter is a part, the person
lawfully holding such office at the time of the taking effect of
such consolidated laws shall, subject to the provisions of such
consolidated laws, continue therein for the term for which he was
chosen, or if holding over after the expiration of his term,
until his successor shall be chosen and shall have qualified.
Sec. 15. Validation of official acts performed before filing
official oath or undertaking.
If a public officer, duly chosen, has heretofore entered, or
shall hereafter enter on the performance of the duties of his
office, without taking or filing an official oath, or executing
or filing an official undertaking, as required by the
constitution, or by any general or special law, his acts as such
officer, so performed, shall be as valid and of as full force and
effect as if such oath had been duly taken and filed, and as if
such undertaking had been duly executed and filed,
notwithstanding the provisions of any general or special law
declaring any such office vacant, or authorizing it to be
declared vacant, or to be filled as in case of vacancy, or
imposing any other forfeiture or penalty for omission to take or
file any such oath, or to execute or file any such undertaking;
but this section shall not otherwise affect any provision of any
general or special law, declaring any such office vacant, or
authorizing it to be declared vacant, or to be filled as in case
of vacancy, or imposing any other forfeiture or penalty, by
reason of the failure to take or file any such oath or to execute
or file any such undertaking; and this section shall not relieve
any such officer from criminal liability for entering on the
discharge of his official duties without taking or filing such
oath or executing or filing such undertaking.
Sec. 16. Qualifications of certain judicial officers in cities
of the first class.
A person shall be eligible for appointment to the office of
magistrate, judge or justice of an inferior court of criminal
jurisdiction in a city of the first class, who shall at the time
of such appointment be of full age, a citizen of the United
States, a resident of the city, an attorney and counsellor-at-law
admitted to practice for the period prescribed by special law, or
in lieu thereof shall have been a member of the legislature of
the state for at least twelve consecutive years, notwithstanding
the provisions of any general or special law inconsistent
herewith.
Sec. 17. Defense and indemnification of state officers and
employees.
1. (a) As used in this section, unless the context
otherwise requires the term "employee" shall mean any
person holding a position by election, appointment or
employment in the service of the state, including
clinical practice pursuant to subdivision fourteen of
section two hundred six of the public health law,
whether or not compensated, or a volunteer expressly
authorized to participate in a state-sponsored
volunteer program, but shall not include an independent
contractor. The term employee shall include a former
employee, his estate or judicially appointed personal
representative and persons who assist the education
department or the department of health as consultants
or expert witnesses in the investigation or prosecution
of alleged professional misconduct, licensure matters,
restoration proceedings, or criminal prosecutions for
unauthorized practice pursuant to title eight of the
education law or title II-A of the public health law.
(b) For the purposes of this section, the term "employee"
shall include members, officers and other persons in
the employment of the New York state energy research
and development authority, members of the board of
directors, officers and other persons in the employment
of the New York state science and technology
foundation, and members of the board of directors,
officers and other persons in the employment of the New
York state olympic accommodations control corporation
or serving on its board of directors on or before June
thirtieth, nineteen hundred eighty.
(c) For the purposes of this section, the term "employee"
shall include members of the state patient
qualification review board appointed by the
commissioner of health pursuant to article thirty-three-
A of the public health law.
(d) For the purposes of this section, the term "employee"
shall include directors, officers and employees of the
facilities development corporation.
(e) For the purposes of this section, the term "employee"
shall include directors, officers and employees of the
environmental facilities corporation for corporate
projects involving (i) hazardous waste, (ii) industrial
solid waste activities as defined in section twelve
hundred eighty-five-g of the public authorities law,
and (iii) all other activities not covered by
professional liability insurance.
(f) For the purposes of this section, the term "employee"
shall include ombudsmen designated under section five
hundred forty-four and section five hundred forty-five
of the executive law, and shall include such ombudsmen
without regard to whether they are volunteers or paid
staff of the office for the aging or of designated
substate ombudsman programs under the direction of the
office.
(g) For the purposes of this section, the term "employee"
shall include the members of the board, officers and
employees of the greenway heritage conservancy for the
Hudson river valley or the greenway council.
(h) For the purposes of this section, the term "employee"
shall include members of the board, officers and
employees of the New York local government assistance
corporation.
(i)* For purposes of this section, the term "employee" shall
include the officers and employees of the Central Pine
Barrens joint planning and policy commission.
* NB Expires 95/03/13
2. (a) Upon compliance by the employee with the
provisions of subdivision four of this section, the
state shall provide for the defense of the employee in
any civil action or proceeding in any state or federal
court arising out of any alleged act or omission which
occurred or is alleged in the complaint to have
occurred while the employee was acting within the scope
of his public employment or duties; or which is brought
to enforce a provision of section nineteen hundred
eighty-one or nineteen hundred eighty-three of title
forty-two of the United States code and the act or
omission underlying the action occurred or is alleged
in the complaint to have occurred while the employee
was acting within the scope of his public employment or
duties. This duty to provide for a defense shall not
arise where such civil action or proceeding is brought
by or on behalf of the state.
(b) Subject to the conditions set forth in paragraph (a) of
this subdivision, the employee shall be entitled to be
represented by the attorney general, provided, however,
that the employee shall be entitled to representation
by private counsel of his choice in any civil judicial
proceeding whenever the attorney general determines
based upon his investigation and review of the facts
and circumstances of the case that representation by
the attorney general would be inappropriate, or
whenever a court of competent jurisdiction, upon
appropriate motion or by a special proceeding,
determines that a conflict of interest exists and that
the employee is entitled to be represented by private
counsel of his choice. The attorney general shall
notify the employee in writing of such determination
that the employee is entitled to be represented by
private counsel. The attorney general may require, as a
condition to payment of the fees and expenses of such
representation, that appropriate groups of such
employees be represented by the same counsel. If the
employee or group of employees is entitled to
representation by private counsel under the provisions
of this section, the attorney general shall so certify
to the comptroller. Reasonable attorneys' fees and
litigation expenses shall be paid by the state to such
private counsel from time to time during the pendency
of the civil action or proceeding subject to
certification that the employee is entitled to
representation under the terms and conditions of this
section by the head of the department, commission,
division, office or agency in which such employee is
employed and upon the audit and warrant of the
comptroller. Any dispute with respect to representation
of multiple employees by a single counsel or the amount
of litigation expenses or the reasonableness of
attorneys' fees shall be resolved by the court upon
motion or by way of a special proceeding.
(c) Where the employee delivers process and a request for a
defense to the attorney general as required by
subdivision four of this section, the attorney general
shall take the necessary steps including the retention
of private counsel under the terms and conditions
provided in paragraph (b) of subdivision two of this
section on behalf of the employee to avoid entry of a
default judgment pending resolution of any question
pertaining to the obligation to provide for a defense.
3. (a) The state shall indemnify and save harmless its
employees in the amount of any judgment obtained
against such employees in any state or federal court,
or in the amount of any settlement of a claim, or shall
pay such judgment or settlement; provided, that the act
or omission from which such judgment or settlement
arose occurred while the employee was acting within the
scope of his public employment or duties; the duty to
indemnify and save harmless or pay prescribed by this
subdivision shall not arise where the injury or damage
resulted from intentional wrongdoing on the part of the
employee.
(b) An employee represented by the attorney general or by
private counsel pursuant to this section shall cause to
be submitted to the head of the department, commission,
division, office or agency in which he is employed any
proposed settlement which may be subject to
indemnification or payment by the state and if not
inconsistent with the provisions of this section such
head of the department, commission, division, office or
agency in which he is employed shall certify such
settlement, and submit such settlement and
certification to the attorney general. The attorney
general shall review such proposed settlement as to
form and amount, and shall give his approval if in his
judgment the settlement is in the best interest of the
state. Nothing in this subdivision shall be construed
to authorize the state to indemnify and save harmless
or pay an employee with respect to a settlement not so
reviewed and approved by the attorney general.
(c) Nothing in this subdivision shall authorize the state
to indemnify or save harmless an employee with respect
to fines or penalties, or money recovered from an
employee pursuant to article seven-a of the state
finance law; provided, however, that the state shall
indemnify and save harmless its employees in the amount
of any costs, attorneys' fees, damages, fines or
penalties which may be imposed by reason of an
adjudication that an employee, acting within the scope
of his public employment or duties, has, without
willfulness or intent on his part, violated a prior
order, judgment, consent decree or stipulation of
settlement entered in any court of this state or of the
United States. The attorney general shall promulgate
such rules and regulations as are necessary to
effectuate the purposes of this subdivision.
(d) Upon entry of a final judgment against the employee, or
upon the settlement of the claim, the employee shall
cause to be served a copy of such judgment or
settlement, personally or by certified or registered
mail within thirty days of the date of entry or
settlement, upon the head of the department,
commission, division, office or agency in which he is
employed; and if not inconsistent with the provisions
of this section, such judgment or settlement shall be
certified for payment by such head of the department,
commission, division, office or agency. If the attorney
general concurs in such certification, the judgment or
settlement shall be paid upon the audit and warrant of
the comptroller. On or before January fifteenth the
comptroller, in consultation with the department of law
and other agencies as may be appropriate, shall submit
to the governor and the legislature an annual
accounting of judgments, settlements, fees, and
litigation expenses paid pursuant to this section
during the preceding and current fiscal years. Such
accounting shall include, but not be limited to the
number, type and amount of claims so paid, as well as
an estimate of claims to be paid during the remainder
of the current fiscal year and during the following
fiscal year.
4. The duty to defend or indemnify and save harmless prescribed
by this section shall be conditioned upon (i) delivery to
the attorney general or an assistant attorney general at an
office of the department of law in the state by the employee
of the original or a copy of any summons, complaint,
process, notice, demand or pleading within five days after
he is served with such document, and (ii) the full
cooperation of the employee in the defense of such action or
proceeding and in defense of any action or proceeding
against the state based upon the same act or omission, and
in the prosecution of any appeal. Such delivery shall be
deemed a request by the employee that the state provide for
his defense pursuant to this section.
5. The benefits of this section shall inure only to employees
as defined herein and shall not enlarge or diminish the
rights of any other party nor shall any provision of this
section be construed to affect, alter or repeal any
provision of the workers' compensation law.
6. This section shall not in any way affect the obligation of
any claimant to give notice to the state under section ten
of the court of claims act or any other provision of law.
7. The provisions of this section shall not be construed to
impair, alter, limit or modify the rights and obligations of
any insurer under any policy of insurance.
8. The provisions of this section shall apply to all actions
and proceedings pending upon the effective date thereof or
thereafter instituted.
9. Except as otherwise specifically provided in this section,
the provisions of this section shall not be construed in any
way to impair, alter, limit, modify, abrogate or restrict
any immunity available to or conferred upon any unit,
entity, officer or employee of the state or any other level
of government, or any right to defense and/or
indemnification provided for any governmental officer or
employee by, in accordance with, or by reason of, any other
provision of state or federal statutory or common law.
10. If any provision of this section or the application thereof
to any person or circumstance be held unconstitutional or
invalid in whole or in part by any court of competent
jurisdiction, such holding of unconstitutionality or
invalidity shall in no way affect or impair any other
provision of this section or the application of any such
provision to any other person or circumstance.
11. The provisions of this section shall not apply to physicians
who are subject to the provisions of the plan for the
management of clinical practice income as set forth in the
policies of the board of trustees, title 8, New York codes
rules and regulations, regarding any civil action or
proceeding alleging some professional malpractice in any
state or federal court arising out of the physician's
involvement in clinical practice as defined in that plan.
Sec. 18. Defense and indemnification of officers and employees
of public entities.
1. As used in this section, unless the context otherwise
requires:
(a) The term "public entity" shall mean (i) a county, city,
town, village or any other political subdivision or
civil division of the state, (ii) a school district,
board of cooperative educational services, or any other
governmental entity or combination or association of
governmental entities operating a public school,
college, community college or university, (iii) a
public improvement or special district, (iv) a public
authority, commission, agency or public benefit
corporation, or (v) any other separate corporate
instrumentality or unit of government; but shall not
include the state of New York or any other public
entity the officers and employees of which are covered
by section seventeen of this chapter or by defense and
indemnification provisions of any other state statute
taking effect after January first, nineteen hundred
seventy-nine.
(b) The term "employee" shall mean any commissioner, member
of a public board or commission, trustee, director,
officer, employee, volunteer expressly authorized to
participate in a publicly sponsored volunteer program,
or any other person holding a position by election,
appointment or employment in the service of a public
entity, whether or not compensated, but shall not
include the sheriff of any county or an independent
contractor. The term "employee" shall include a former
employee, his estate or judicially appointed personal
representative.
(c) The term "governing body" shall mean the board or body
in which the general legislative, governmental or
public powers of the public entity are vested and by
authority of which the business of the public entity is
conducted.
2. The provisions of this section shall apply to any public
entity:
(a) whose governing body has agreed by the adoption of
local law, by-law, resolution, rule or regulation (i)
to confer the benefits of this section upon its
employees, and (ii) to be held liable for the costs
incurred under these provisions; or
(b) where the governing body of a municipality, for whose
benefit the public entity has been established, has
agreed by the adoption of local law or resolution (i)
to confer the benefits of this section upon the
employees of such public entity, and (ii) to be held
liable for the costs incurred under these provisions.
3. (a) Upon compliance by the employee with the
provisions of subdivision five of this section, the
public entity shall provide for the defense of the
employee in any civil action or proceeding, state or
federal, arising out of any alleged act or omission
which occurred or allegedly occurred while the employee
was acting within the scope of his public employment or
duties. This duty to provide for a defense shall not
arise where such civil action or proceeding is brought
by or at the behest of the public entity employing such
employee.
(b) Subject to the conditions set forth in paragraph (a) of
this subdivision, the employee shall be entitled to be
represented by private counsel of his choice in any
civil action or proceeding whenever the chief legal
officer of the public entity or other counsel
designated by the public entity determines that a
conflict of interest exists, or whenever a court, upon
appropriate motion or otherwise by a special
proceeding, determines that a conflict of interest
exists and that the employee is entitled to be
represented by counsel of his choice, provided,
however, that the chief legal officer or other counsel
designated by the public entity may require, as a
condition to payment of the fees and expenses of such
representation, that appropriate groups of such
employees be represented by the same counsel.
Reasonable attorneys' fees and litigation expenses
shall be paid by the public entity to such private
counsel from time to time during the pendency of the
civil action or proceeding with the approval of the
governing body of the public entity.
(c) Any dispute with respect to representation of multiple
employees by a single counsel or the amount of
litigation expenses or the reasonableness of attorneys'
fees shall be resolved by the court upon motion or by
way of a special proceeding.
(d) Where the employee delivers process and a written
request for a defense to the public entity under
subdivision five of this section, the public entity
shall take the necessary steps on behalf of the
employee to avoid entry of a default judgment pending
resolution of any question pertaining to the obligation
to provide for a defense.
4. (a) The public entity shall indemnify and save
harmless its employees in the amount of any judgment
obtained against such employees in a state or federal
court, or in the amount of any settlement of a claim,
provided that the act or omission from which such
judgment or claim arose occurred while the employee was
acting within the scope of his public employment or
duties; provided further that in the case of a
settlement the duty to indemnify and save harmless
shall be conditioned upon the approval of the amount of
settlement by the governing body of the public entity.
(b) Except as otherwise provided by law, the duty to
indemnify and save harmless prescribed by this
subdivision shall not arise where the injury or damage
resulted from intentional wrongdoing or recklessness on
the part of the employee.
(c) Nothing in this subdivision shall authorize a public
entity to indemnify or save harmless an employee with
respect to punitive or exemplary damages, fines or
penalties, or money recovered from an employee pursuant
to section fifty-one of the general municipal law;
provided, however, that the public entity shall
indemnify and save harmless its employees in the amount
of any costs, attorneys' fees, damages, fines or
penalties which may be imposed by reason of an
adjudication that an employee, acting within the scope
of his public employment or duties, has, without
willfulness or intent on his part, violated a prior
order, judgment, consent decree or stipulation of
settlement entered in any court of this state or of the
United States.
(d) Upon entry of a final judgment against the employee, or
upon the settlement of the claim, the employee shall
serve a copy of such judgment or settlement, personally
or by certified or registered mail within thirty days
of the date of entry or settlement, upon the chief
administrative officer of the public entity; and if not
inconsistent with the provisions of this section, the
amount of such judgment or settlement shall be paid by
the public entity.
5. The duty to defend or indemnify and save harmless prescribed
by this section shall be conditioned upon: (i) delivery by
the employee to the chief legal officer of the public entity
or to its chief administrative officer of a written request
to provide for his defense together with the original or a
copy of any summons, complaint, process, notice, demand or
pleading within ten days after he is served with such
document, and (ii) the full cooperation of the employee in
the defense of such action or proceeding and in defense of
any action or proceeding against the public entity based
upon the same act or omission, and in the prosecution of any
appeal.
6. The benefits of this section shall inure only to employees
as defined herein and shall not enlarge or diminish the
rights of any other party nor shall any provision of this
section be construed to affect, alter or repeal any
provision of the workers' compensation law.
7. This section shall not in any way affect the obligation of
any claimant to give notice to the public entity under
section ten of the court of claims act, section fifty-e of
the general municipal law, or any other provision of law.
8. Any public entity is hereby authorized and empowered to
purchase insurance from any insurance company created by or
under the laws of this state, or authorized by law to
transact business in this state, against any liability
imposed by the provisions of this section, or to act as a
self-insurer with respect thereto.
9. All payments made under the terms of this section, whether
for insurance or otherwise, shall be deemed to be for a
public purpose and shall be audited and paid in the same
manner as other public charges.
10. The provisions of this section shall not be construed to
impair, alter, limit or modify the rights and obligations of
any insurer under any policy of insurance.
11. Except as otherwise specifically provided in this section,
the provisions of this section shall not be construed in any
way to impair, alter, limit, modify, abrogate or restrict
any immunity to liability available to or conferred upon any
unit, entity, officer or employee of any public entity by,
in accordance with, or by reason of, any other provision of
state or federal statutory or common law.
12. Except as otherwise provided in this section, benefits
accorded to employees under this section shall be in lieu of
and take the place of defense or indemnification protections
accorded the same employees by another enactment; unless the
governing body of the public entity shall have provided that
these benefits shall supplement, and be available in
addition to, defense or indemnification protection conferred
by another enactment.
13. The provisions of this section shall also be applicable to
any public library supported in whole or in part by a public
entity whose governing body has determined by adoption of a
local law, ordinance, by-law, resolution, rule or regulation
to confer the benefits of this section upon the employees of
such public library and to be held liable for the costs
incurred under these provisions.
14. If any provision of this section or the application thereof
to any person or circumstance be held unconstitutional or
invalid in whole or in part by any court, such holding of
unconstitutionality or invalidity shall in no way affect or
impair any other provision of this section or the
application of any such provision to any other person or
circumstance.
Sec. 19. Reimbursement of defense costs incurred by or on behalf
of state employees.
1. (a) As used in this section, unless the context
otherwise requires, the term "employee" shall mean any
person holding a position by election, appointment or
employment in the service of the state, whether or not
compensated, or a volunteer expressly authorized to
participate in a state-sponsored volunteer program, but
shall not include an independent contractor. The term
employee shall include a former employee, his estate or
judicially appointed personal representative and
persons who assist the education department or the
department of health as consultants or expert witnesses
in the investigation or prosecution of alleged
professional misconduct, licensure matters, restoration
proceedings or criminal prosecutions for unauthorized
practice pursuant to title eight of the education law
or title II-A of article two of the public health law.
(b) For the purposes of this section, the term "employee"
shall include members, officers and other persons in
the employment of the New York state energy research
and development authority.
(c) For the purposes of this section, the term "employee"
shall include members of the state patient
qualification review board appointed by the
commissioner of health pursuant to article thirty-three-
A of the public health law.
(d) For the purposes of this section, the term "employee"
shall include directors, officers and employees of the
facilities development corporation.
(e) For the purposes of this section, the term "employee"
shall include directors, officers and employees of the
environmental facilities corporation for corporate
projects involving (i) hazardous waste, (ii) industrial
solid waste activities as defined in section twelve
hundred eighty-five-g of the public authorities law,
and (iii) all other activities not covered by
professional liability insurance.
2. (a) Upon compliance by the employee with the
provisions of subdivision three of this section, and
subject to the conditions set forth in paragraph (b) of
this subdivision, it shall be the duty of the state to
pay reasonable attorneys' fees and litigation expenses
incurred by or on behalf of an employee in his or her
defense of a criminal proceeding in a state or federal
court arising out of any act which occurred while such
employee was acting within the scope of his public
employment or duties upon his acquittal or upon the
dismissal of the criminal charges against him or
reasonable attorneys' fees incurred in connection with
an appearance before a grand jury which returns no true
bill against the employee where such appearance was
required as a result of any act which occurred while
such employee was acting within the scope of his public
employment or duties unless such appearance occurs in
the normal course of the public employment or duties of
such employee.
(b) Upon the application for reimbursement for reasonable
attorneys' fees or litigation expenses or both made by
or on behalf of an employee as provided in subdivision
three of this section, the attorney general shall
determine, based upon his investigation and his review
of the facts and circumstances, whether such
reimbursement shall be paid. The attorney general shall
notify the employee in writing of such determination.
Upon determining that such reimbursement should be
provided, the attorney general shall so certify to the
comptroller. Upon such certification, reimbursement
shall be made for such fees or expenses or both upon
the audit and warrant of the comptroller. On or before
January fifteenth the comptroller, in consultation with
the department of law and other agencies as may be
appropriate, shall submit to the governor and the
legislature an annual accounting of judgments,
settlements, fees, and litigation expenses paid
pursuant to this section during the preceding and
current fiscal years. Such accounting shall include,
but not be limited to the number, type and amount of
claims so paid, as well as an estimate of claims to be
paid during the remainder of the current fiscal year
and during the following fiscal year. Any dispute with
regard to entitlement to reimbursement or the amount of
litigation expenses or the reasonableness of attorneys'
fees shall be resolved by a court of competent
jurisdiction upon appropriate motion or by way of a
special proceeding.
3. Reimbursement of reasonable attorneys' fees or litigation
expenses or both by the state as prescribed by this section
shall be conditioned upon (a) delivery to the attorney
general or an assistant attorney general at an office of the
department of law in the state by the employee of a written
request for reimbursement of expenses together with, in the
case of a criminal proceeding, the original or a copy of an
accusatory instrument within ten days after he is arraigned
upon such instrument or, in the case of a grand jury
appearance, written documentation of evidence of such
appearance and (b) the full cooperation of the employee in
defense of any action or proceeding against the state based
upon the same act, and in the prosecution of any appeal.
4. Except as otherwise specifically provided in this section,
the provisions of this section shall not be construed in any
way to impair, alter, limit, modify, abrogate or restrict
any immunity available to or conferred upon any unit,
entity, officer or employee of the state or any other level
of government, or any right to defense and/or
indemnification provided for any governmental officer or
employee by, in accordance with, or by reason of, any other
provisions of state or federal statutory or common law.
5. If any provision of this section or the application thereof
to any person or circumstance be held unconstitutional or
invalid in whole or in part by any court of competent
jurisdiction, such holding of unconstitutionality or
invalidity shall in no way affect or impair any other
provision of this section or the application of any such
provision to any other person or circumstances.
==============================================================
ARTICLE 2-A
ACTIONS ON OFFICIAL BONDS OR UNDERTAKINGS
Section 20. Action upon official bond or undertaking.
21. Application may be made ex parte.
22. Proof to accompany application.
23. Order granting leave; action thereupon.
24. Successive actions.
25. Indorsement upon execution.
26. Collection of execution; when a defense to
subsequent action.
27. When claimants entitled to ratable
distribution.
28. Receivers, assignees and trustees deemed
public officers.
==============================================================
Sec. 20. Action upon official bond or undertaking.
Where a public officer is required to give an official bond or
undertaking, and special provision is not made by law for the
prosecution of the bond or undertaking, by or for the benefit of
a person who has sustained by his default, delinquency or
misconduct, an injury, for which the sureties upon the bond or
undertaking are liable, such a person may apply for leave to
prosecute such official bond or undertaking. Such application
shall be made to the supreme court except as otherwise provided
in this article.
Sec. 21. Application may be made ex parte.
Such application may be made without notice; but in that case the
officer, or either of his sureties, may apply upon notice, to
vacate an order permitting the applicant to maintain an action,
upon any ground showing that it ought not to have been granted.
Sec. 22. Proof to accompany application.
The application must be accompanied with
1. A certified copy of the official bond or undertaking;
2. Proof by affidavit of the default or misconduct complained
of, and that satisfaction of the same has not been received.
3. If the default consists of the non-payment of money, and the
applicant has not recovered judgment against the officer, or
special provision is not otherwise made by law, proof of a
demand for the money from the officer, or that a demand
cannot be made with due diligence.
Sec. 23. Order granting leave; action thereupon.
Upon such an application, the court must grant an order,
permitting the applicant to maintain an action upon the bond or
undertaking. The action must be brought, in the court which
granted the order, by the applicant as plaintiff; and it may be
maintained, as if the applicant was the obligee named in the bond
or undertaking, except as otherwise expressly prescribed in this
article.
Sec. 24. Successive actions.
The same, or any other applicant, may, in like manner, either
before or after judgment in the first action, obtain an order,
permitting him to maintain another action, in the same court,
upon the same bond or undertaking, for another default or
misconduct. Any number of such orders may be successively made;
and neither of the actions authorized thereby is affected by the
pendency of, or the recovery of judgment in, any other, except as
otherwise expressly prescribed in this article.
Sec. 25. Indorsement upon execution.
Where an execution is issued upon a judgment, recovered against
the public officer and any of his sureties, in an action, brought
pursuant to this article, the plaintiff's attorney must indorse
thereon a direction to collect the same, in the first place out
of the property of the public officer, and, if sufficient
property cannot be found, then to collect the deficiency out of
the property of the surety or sureties.
Sec. 26. Collection of execution; when a defence to subsequent
action.
It is a defence by a surety, against whom an action is brought
upon an official bond or undertaking, that he, or any other
surety or sureties, have been or will be compelled, for want of
sufficient property of the public officer to pay, upon one or
more judgments recovered against him or them, upon the same bond
or undertaking, an aggregate amount, exclusive of costs,
officers' fees, and expenses, equal to the sum for which the
defendant is liable, by reason of the bond or undertaking. It is
a partial defence, that the difference between the aggregate
amount, so paid, or to be paid, and the sum for which the
defendant is thus liable, is less than the amount of the
plaintiff's demand.
Sec. 27. When claimants entitled to ratable distribution.
If the aggregate amount of the liabilities, which might be
recovered by actions upon an official bond or undertaking, as
prescribed in this article, exceeds the sum for which the
sureties are liable, the court must, upon the application of a
person who has obtained leave to prosecute the bond or
undertaking, made upon notice to the plaintiff's attorney, in
each action then pending upon such bond or undertaking, and in
each uncollected judgment recovered thereupon, direct and provide
for the distribution of the money, collected out of the property
of the sureties, among the persons in favor of whom the
liabilities have accrued, in proportion to the amount which each
one is entitled to recover; to be ascertained by a reference, or
in such other manner as the court directs. For the purposes of
the motion an order may be made by a judge, forbidding the
payment to the plaintiff in any action, of the sum collected or
to be collected by virtue of a judgment therein. But this section
does not authorize the court to compel a plaintiff to refund any
money, collected and received by him, in good faith, before
service of notice of such an order.
Sec. 28. Receivers, assignees and trustees deemed public
officers.
A receiver, an assignee of an insolvent debtor, or a trustee or
other officer, appointed by a court or a judge, is a public
officer, within the meaning of this article; but where he was
appointed by or pursuant to the order of a court, or in
proceedings supplementary to execution against property, the
application for leave to prosecute his official bond or
undertaking must be made to the court by which, or pursuant to
whose order, he was appointed, or in which the judgment was
rendered, as the case may be.
==============================================================
ARTICLE 3
Creation and Filling of Vacancies
Section 30. Creation of vacancies.
31. Resignations.
32. Removals by senate.
33. Removals by governor.
33a. Removal of heads of departments.
34. Proceedings for removal by governor.
35. Removals from office.
35a. Removal for treasonable or seditious
acts or utterances.
36. Removal of town, village, improvement
district or fire district officer by court.
37. Notice of existence of vacancy.
38. Terms of officers chosen to fill vacancies.
39. Filling vacancies in office of officer
appointed by governor and senate.
40. Vacancy occurring in office of legislative
appointee, during legislative recess.
41. Vacancies filled by legislature.
42. Filling vacancies in elective offices.
43. Filling other vacancies.
==============================================================
Section 30. Creation of vacancies.
1. Every office shall be vacant upon the happening of one of
the following events before the expiration of the term
thereof:
a. The death of the incumbent;
b. His resignation;
c. His removal from office;
d. His ceasing to be an inhabitant of the state, or if he
be a local officer, of the political subdivision, or
municipal corporation of which he is required to be a
resident when chosen;
e. His conviction of a felony, or a crime involving a
violation of his oath of office, provided, however,
that a non-elected official may apply for reinstatement
to the appointing authority upon reversal or the
vacating of such conviction where the conviction is the
sole basis for the vacancy. After receipt of such
application, the appointing authority shall afford such
applicant a hearing to determine whether reinstatement
is warranted. The record of the hearing shall include
the final judgment of the court which reversed or
vacated such conviction and may also include the entire
employment history of the applicant and any other
submissions which may form the basis of the grant or
denial of reinstatement notwithstanding the reversal or
vacating of such conviction. Notwithstanding any law to
the contrary, after review of such record, the
appointing authority may, in its discretion, reappoint
such non-elected official to his former office, or a
similar office if his former office is no longer
available. In the event of such reinstatement, the
appointing authority may, in its discretion, award
salary or compensation in full or in part for the
period from the date such office became vacant to the
date of reinstatement or any part thereof;
f. The entry of a judgment or order of a court of
competent jurisdiction declaring him to be incompetent;
g. The judgment of a court, declaring void his election or
appointment, or that his office is forfeited or vacant;
h. His refusal or neglect to file his official oath or
undertaking, if one is required, before or within
thirty days after the commencement of the term of
office for which he is chosen, if an elective office,
or if an appointive office, within thirty days after
notice of his appointment, or within thirty days after
the commencement of such term; or to file a renewal
undertaking within the time required by law, or if no
time be so specified, within thirty days after notice
to him in pursuance of law, that such renewal
undertaking is required. The neglect or failure of any
state or local officer to execute and file his oath of
office and official undertaking within the time limited
therefor by law, shall not create a vacancy in the
office if such officer was on active duty in the armed
forces of the United States and absent from the county
of his residence at the time of his election or
appointment, and shall take his oath of office and
execute his official undertaking within thirty days
after receipt of notice of his election or appointment,
and provided such oath of office and official
undertaking be filed within ninety days following the
date it has been taken and subscribed, any inconsistent
provision of law, general, special, or local to the
contrary, notwithstanding.
2. When a new or an additional office shall be created, such
office shall for the purposes of an appointment or election,
be vacant from the date of its creation, until it shall be
filled by election or appointment.
3. When any member of a board, commission, committee or
authority, holding office by appointment of the governor,
fails to attend three consecutive regular meetings of such
board, commission, committee or authority, unless such
absence is for good cause and is excused by the chairman or
other presiding officer thereof, or, in the case of such
chairman or other presiding officer, by the governor, the
office may be deemed vacant for purposes of the nomination
and appointment of a successor.
4. Neither the provisions of this section, nor of any general,
special or local law, charter, code, ordinance, resolution,
rule or regulation, creating a vacancy in a local office of
a political subdivision or municipal corporation if the
incumbent thereof ceases to be a resident of such political
subdivision or municipal corporation, shall apply in the
case of a person who is a member of the police force of any
political subdivision or municipal corporation of the state
and who while a member of such force resides (a) in the
county in which such political subdivision or municipal
corporation is located; or (b) in a county within the state
contiguous to the county in which such political subdivision
or municipal corporation is located; or (c) in a county
within the state contiguous to such political subdivision or
municipal corporation; or (d) in a county within the state
contiguous to a county described in item (c) hereof where
the former is less than fifteen miles from such political
subdivision or municipal corporation, measured from their
respective nearest boundary lines; or (e) in a county within
the state contiguous to a county described in item (d)
hereof where the former is less than thirty miles from such
political subdivision or municipal corporation, measured
from their respective nearest boundary lines:
(1) If such person was appointed as a member of such police
force prior to July first, nineteen hundred sixty-one,
shall reside in any such county on such date and shall
continue to reside in any such county after such date,
or
(2) If the police force of which he is a member consists of
two hundred or more full-time members or shall have
consisted of two hundred or more full-time members
when, as a member of such police force, he shall have
resided in such county and shall continue to reside in
any such county thereafter, or
(3) If the police force of which he is a member consists of
less than two hundred full-time members; provided,
however, that the local legislative body of such
political subdivision or municipal corporation having
such police force shall have power to adopt and amend
local laws, ordinances or resolutions of general
application requiring members of such police force,
other than those members covered by paragraph one or
paragraph two of this subdivision, to reside in such
political subdivision or municipal corporation, or
permitting them to reside in specified areas of such
counties or within specified distances from the
political subdivision or municipal corporation provided
such local legislative body shall determine that a
policeman may respond therefrom promptly and be
available to render active service in such political
subdivision or municipal corporation.
4-a. Neither the provisions of this section, nor of any general,
special or local law, charter, code, ordinance, resolution,
rule or regulation, creating a vacancy in a local office of
a political subdivision or municipal corporation if the
incumbent thereof ceases to be a resident of such political
subdivision or municipal corporation, shall apply in the
case of a member of the department of sanitation of any
municipality who resides in a county within the state
contiguous to such municipality.
4-b. Except as otherwise provided in subdivision five of this
section, neither the provisions of this section, nor of any
general, special or local law, charter, code, ordinance,
resolution, rule or regulation, creating a vacancy in a
local office of a political subdivision or municipal
corporation of the state if the incumbent thereof ceases to
be a resident of such political subdivision or municipal
corporation shall apply to the appointment or continuance in
office or position of an officer or member of a paid fire
department in any political subdivision or municipal
corporation of the state, if such person resides in the
county, or one of the counties, in which such political
subdivision or municipal corporation is located.
5. Neither the provisions of this section, nor of any general,
special or local law, charter, code, ordinance, resolution,
rule or regulation, creating a vacancy in a local office of
a political subdivision or municipal corporation if the
incumbent thereof ceases to be a resident of such political
subdivision or municipal corporation, shall apply in the
case of a paid member of the uniformed force of a paid fire
department, or in the case of a person employed in a
department of correction in the correction service of the
classified civil service, or in the case of officers and
inspectors employed in a department of health of a city of
over one million population who resides (a) in the county in
which said city is located; or (b) in a county within the
state contiguous to the county in which said city is
located; or (c) in a county within the state contiguous to
such city; or (d) in a county within the state which is not
more than fifteen miles from said city; or (e) in a county
within the state contiguous to a county described in item
(d) hereof where the former is less than thirty miles from
such political subdivision or municipal corporation,
measured from their respective nearest boundary lines.
5-a. Any person who resides in this state and who is currently
employed as a member of the police force, a paid member of
the uniformed force of a paid fire department, or department
of corrections in the correctional service classification of
the classified civil service, of a city of over one million
population, shall be exempt from the provisions of paragraph
(d) of subdivision one and subdivisions four and five of
this section upon compliance with the procedure set forth in
this subdivision. Any person seeking to benefit from the
exemption created by this subdivision shall notify his
respective employer in writing of said intention within
thirty days from the effective date of this subdivision and
shall specify his then current residence address. The
exemption created by this subdivision shall be applicable
only to said actual designated residence and not to any
residence that any subject currently employed member may
thereafter establish; provided, however, that any such
currently employed member who resides outside this state
shall have one year from the effective date of this
subdivision within which to establish residence as required
pursuant to paragraph (d) of subdivision one, and
subdivisions four and five of this section and comply with
the notice requirements of this subdivision. Said residence
shall constitute a lawful residence for all purposes
notwithstanding any provision to the contrary of any
general, special or local law, charter, code, ordinance,
resolution, rule or regulation.
6. Neither the provisions of this section, nor of any general,
special or local law, charter, code, ordinance, resolution,
rule or regulation, creating a vacancy in a local office of
a political subdivision or municipal corporation if the
incumbent thereof ceases to be a resident of such political
subdivision or municipal corporation, shall apply in the
case of appointed public officers in the city of Troy,
except the city manager of such city, who reside in the
county of Rensselaer.
7. Neither the provisions of this section, nor of any general,
special or local law, charter, code, ordinance, resolution,
rule or regulation, creating a vacancy in a local office of
a political subdivision or municipal corporation of the
state if the incumbent thereof ceases to be a resident of
such political subdivision or municipal corporation, shall
apply in the case of the city court judge in the city of
Hudson, provided that such person resides in the county in
which such city is located.
Section 31. Resignations.
1. Public officers may resign their offices as follows:
a. The governor, lieutenant-governor, comptroller and
attorney-general, to the legislature;
b. All officers appointed by the governor alone, or by him
with the consent of the senate, to the governor;
c. Senators and members of assembly, to the presiding
officers of their respective houses;
d. Judges and justices of the unified court system, to the
chief administrator of the courts;
e. Sheriffs, county clerks, district attorneys and
registers of counties, to the governor;
f. Every other county officer, to the county clerk;
g. Every town officer, to the town clerk;
h. The officer of any other municipal corporation, to the
clerk of the corporation;
i. United States senators, to the secretary of state.
j. Representatives in the House of Representatives of the
Congress of the United States, to the secretary of
state.
k. Every other appointive officer, where not otherwise
provided by law, to the body, board or officer that
appointed him, and every other elective officer, where
not otherwise provided by law, to the secretary of
state.
2. Every resignation shall be in writing addressed to the
officer or body to whom it is made. If no effective date is
specified in such resignation, it shall take effect upon
delivery to or filing with the proper officer or body. If an
effective date is specified in such resignation, it shall
take effect upon the date specified, provided however, that
in no event shall the effective date of such resignation be
more than thirty days subsequent to the date of its delivery
or filing; except that the effective date of the resignation
of a judge or justice of the unified court system may be up
to ninety days subsequent to the date on which such
resignation is delivered or filed. If a resignation
specifies an effective date that is more than thirty days
subsequent to the date of its delivery or filing, or more
than ninety days subsequent thereto where such resignation
is that of a judge or justice, such resignation shall take
effect upon the expiration of thirty days from the date of
its delivery or filing, or upon the expiration of ninety
days therefrom, as appropriate.
3. A resignation addressed to an officer shall be delivered to
him at his place of business or filed in his office.
A resignation addressed to the legislature or to the
presiding officer of either house thereof, shall be
delivered to and filed with the secretary of state, and he
shall forthwith communicate the fact of such resignation to
the legislature or to such house, if in session, or if not,
at its first meeting thereafter.
A resignation addressed to any other body shall be delivered
to the presiding officer or clerk of such body, if there be
one, and if not, to any member thereof, and shall be filed
with the clerk, or if there be no clerk, with the other
records of such body. A delivery at the office or place of
residence or business of the person to whom any such
resignation may be delivered shall be a sufficient delivery
thereof.
4. A resignation delivered or filed pursuant to this section,
whether effective immediately or at a specified future date,
may not be withdrawn, cancelled, or amended except by
consent of the officer to whom it is delivered or body with
which it is filed.
5. If a resignation from an elective office is received
pursuant to the provisions of this section, the official who
receives such resignation shall immediately notify the state
board of elections of the fact of such resignation and the
effective date, if any, set forth in such resignation.
Sec. 32. Removals by senate.
The governor before making a recommendation to the senate for the
removal of any officer may in his discretion take proofs, for the
purpose of determining whether such recommendation shall be made.
The comptroller or attorney-general may be removed by the senate,
on the recommendation of the governor, for misconduct or
malversation in office, if two-thirds of all the members elected
to the senate shall concur therein. No such removal shall be made
unless the person who is sought to be removed shall have been
served with a copy of the charges against him and have an
opportunity of being heard. On the question of removal, the yeas
and nays shall be entered on the journal. The governor may
convene the senate in extra session for the investigation of such
charges. The senate shall have power to make such rules as it may
see fit for the practice before it. At the time appointed for the
investigation, the senate shall proceed to hear and try the
charges against such officer, and may take proofs in relation
thereto.
The governor may appoint any suitable person to conduct the trial
of such charges before the senate.
An officer appointed by the governor by and with the advice and
consent of the senate, except an officer who is or any or either
of the officers who are the head of a department, and except as
otherwise provided by special provision of law may be removed by
the senate upon the recommendation of the governor.
If the senate shall reject a recommendation of removal the
secretary of the senate shall, by a writing signed by him and by
the president of the senate, communicate the fact of such
rejection to the governor. If the senate shall concur in such a
recommendation the removal shall take effect upon the passage of
the resolution of concurrence, and duplicate copies of such
resolution, certified by the secretary and president of the
senate, shall be executed and delivered by such secretary to the
secretary of state.
Sec. 33. Removals by governor.
1. An officer appointed by the governor for a full term or to
fill a vacancy, whose appointment is not required by law to
be made by and with the advice and consent of the senate,
any county treasurer, any county superintendent of the poor,
any register of a county or any coroner, except as otherwise
provided by special provisions of law, may be removed by the
governor within the term for which such officer shall have
been chosen, after giving to such officer a copy of the
charges against him and an opportunity to be heard in his
defense.
2. The chief executive officer of every city and the chief or
commissioner of police, commissioner or director of public
safety or other chief executive officer of the police force
by whatever title he may be designated, of every city may be
removed by the governor after giving to such officer a copy
of the charges against him and an opportunity to be heard in
his defense. The power of removal provided for in this
subdivision shall be deemed to be in addition to the power
of removal provided for in any other law. The provisions of
this subdivision shall apply notwithstanding any
inconsistent provisions of any general, special or local
law, ordinance or city charter.
Sec. 33-a. Removal of heads of departments.
Any officer who is, or any or either of the officers who are, the
head of a department, if appointed by the governor by and with
the advice and consent of the senate, may be removed from office
by the governor whenever in his judgment the public interest
shall so require. In case of such a removal the governor shall
file with the department of state a statement of the cause of
such removal and shall report such removal and the cause thereof
to the legislature at its next session.
Sec. 34. Proceedings for removal by governor.
1. In any proceeding for the removal by the governor of a
public officer, he may conduct an investigation into the
charges, and may take the evidence as to the truth of the
charges at a hearing for such purpose, or he may direct that
such investigation or hearing, or both, shall be conducted
by a justice of the supreme court of the judicial district,
or the county judge of the county, in which the officer
proceeded against shall reside, or by a commissioner
appointed by the governor, by an appointment, in writing,
filed in the office of the secretary of state.
2. The governor may direct the attorney-general or the district
attorney of the county in which the officer proceeded
against resides, to assist the governor, or the person
designated by the governor under the first subdivision of
this section, in the conduct of the investigation into the
charges, and of the hearing into the truth of the charges.
If the hearing provided for in this section shall be
conducted by a justice, judge or commissioner, it shall be
held at such place in the county in which the officer
proceeded against shall reside as the justice, judge or
commissioner shall appoint, and at least eight days after
written notice of the time and place of such hearing shall
have been given to the officer proceeded against.
3. The governor may direct the justice, judge or commissioner
to report to him the evidence taken at such hearing, or the
evidence and the findings of the material facts deemed by
such justice, judge or commissioner to be established. Both
in the investigation of the charges and at the hearing into
the truth of the charges, the governor or the person
designated by him under the first subdivision of this
section may require witnesses to attend before him, and may
also require the production of any books, papers, or other
documents, deemed by him to be material, and shall issue
subpoenas for such witnesses for appearance at the hearing
as may be requested by the officer proceeded against.
4. At the hearing provided for in this section, the officer
proceeded against and his counsel shall be permitted to
attend, but such officer or his counsel shall have no right
to be present at the investigation provided for unless the
governor or the person designated by him to conduct such
investigation so directs. No evidence taken in such
investigation shall form the basis of any report to the
governor by the person designated by him under subdivision
one of this section, or the basis of any determination by
the governor, unless such evidence is presented at the
hearing provided for in this section.
5. The person designated under subdivision one of this section,
or the governor, where no person is so designated, is
authorized to employ counsel in any case where the attorney-
general or district attorney has not been directed to assist
the governor or his designee, as provided in subdivision two
of this section, and to employ such personnel as may be
necessary to assist him in the performance of his duties
under this section.
6. If the proceeding be for removal of a state officer, the
reasonable expenses incurred in the conduct thereof,
including the compensation of authorized counsel and of
necessary assistants, in the taking and printing of the
testimony, shall be paid by the state, on the certificate of
the governor, out of moneys appropriated or available
therefor.
7. If the proceeding be for the removal of a county or city
officer, the reasonable expenses incurred in the conduct
thereof shall be a county or city charge, as the case may
be. The board of supervisors of the county, or the board of
estimate and apportionment or other board or body of the
city vested with the power to make appropriations, on the
requisition of the governor, from time to time, shall
forthwith appropriate such sum as shall be needed to pay
such expenses; and after such appropriation shall have been
duly made, the fiscal officer of the county or city, as the
case may be, shall pay such expenses, upon vouchers approved
by the governor, after audit, in the same manner and by the
same authority as other county or city charges are audited
and paid.
8. A person designated by the governor to conduct an
investigation or hearing, or both, under this section, who
is not regularly employed by the state or by a county or
city, shall be paid a reasonable compensation for his
services, to be fixed by the governor, and paid in the same
manner as other expenses for the removal of a state officer,
or a county or city officer, as the case may be, as provided
in this section.
9. All sheriffs, coroners, constables and marshals to whom
process shall be directed and delivered under this section
shall execute the same without unnecessary delay.
Sec. 35. Removals from office.
Every removal of an officer by one or more state officers, shall
be in written duplicate orders, signed by the officer, or by all
or a majority of the officers, making the removal, or if made by
a body or board of state officers may be evidenced by duplicate
certified copies of the resolution or order of removal, signed
either by all or by a majority of the officers making the
removal, or by the president and clerk of such body or board.
Both such duplicate orders or certified copies shall be delivered
to the secretary of state, who shall record in his office one of
such duplicates, and shall, if the officer removed is a state
officer, deliver the other to such officer by messenger, if
required by the governor, and otherwise by mail or as the
secretary of state shall deem advisable, and shall, if directed
by the governor, cause a copy thereof to be published in the
state paper. If the officer removed be a local officer, he shall
send the other of such duplicates to the county clerk of the
county in which the officer removed shall have resided at the
time he was chosen to the office, and such clerk shall file the
same in his office, and forthwith notify the officer removed of
his removal.
Sec. 35-a. Removal for treasonable or seditious acts or
utterances.
A person holding any public office shall be removable therefrom,
in the manner provided by law, for the utterance of any
treasonable or seditious word or words or the doing of any
treasonable or seditious act or acts during his term.
Sec. 36. Removal of town, village, improvement district or fire
district officer by court.
Any town, village, improvement district or fire district officer,
except a justice of the peace, may be removed from office by the
supreme court for any misconduct, maladministration, malfeasance
or malversation in office. An application for such removal may be
made by any citizen resident of such town, village, improvement
district or fire district or by the district attorney of the
county in which such town, village or district is located, and
shall be made to the appellate division of the supreme court held
within the judicial department embracing such town, village,
improvement district or fire district. Such application shall be
made upon notice to such officer of not less than eight days, and
a copy of the charges upon which the application will be made
must be served with such notice.
Sec. 37. Notice of existence of vacancy.
When a judgment shall be rendered by any court convicting an
officer of a felony, or of a crime involving a violation of his
oath of office, or declaring the election or appointment of any
officer to be void, or that the office of any officer has been
forfeited or become vacant, the clerk of such court shall give
notice thereof to the governor, stating the cause of such
conviction or judgment.
Whenever a public officer shall die before the expiration of his
term of office, or shall cease to be a resident of the political
subdivision of the state or a municipal corporation in which he
is required to be a resident as a condition of continuing in the
office, the county clerk of the county in which such officer
shall have resided immediately prior to such death or removal,
shall immediately give notice of such death or removal to the
governor. If the governor is not authorized to fill any vacancy
of which he shall have notice, he shall forthwith give notice of
the existence of such vacancy to the officer or officers, or to
the body or board of officers authorized to fill the vacancy, or
if such vacancy may be filled by an election, to the officers
authorized to give notice of such election.
Sec. 38. Terms of officers chosen to fill vacancies.
If an appointment of a person to fill a vacancy in an appointive
office be made by the officer, or by the officers, body or board
of officers, authorized to make appointment to the office for the
full term, the person so appointed to such vacancy shall hold
office for the balance of the unexpired term. The term of office
of an officer appointed to fill a vacancy in an elective office,
shall be until the commencement of the political year next
succeeding the first annual election after the happening of the
vacancy, if the office be made elective by the constitution, or
at which the vacancy can be filled by election, if the office be
otherwise made elective.
Sec. 39. Filling vacancies in office of officer appointed by
governor and senate.
A vacancy which shall occur during the session of the senate, in
the office of an officer appointed by the governor by and with
the advice and consent of the senate, shall be filled in the same
manner as an original appointment. Such a vacancy occurring or
existing while the senate is not in session, including offices in
which officers are holding over pursuant to the provisions of
section five of this chapter or any other law, and offices vacant
during the session of the senate, shall be filled by the governor
for a term which shall expire upon the appointment and
qualification of a successor but in any event such term shall
expire at the end of twenty days from the commencement of the
next meeting of the senate.
Sec. 40. Vacancy occurring in office of legislative appointee,
during legislative recess.
When a vacancy shall occur or exist, otherwise than by expiration
of term, during the recess of the legislature, in the office of
any officer appointed by the legislature, the governor shall
appoint a person to fill the vacancy for a term which shall
expire at the end of twenty days from the commencement of the
next meeting of the legislature.
Sec. 41. Vacancies filled by legislature.
When a vacancy occurs or exists, other than by removal, in the
office of comptroller or attorney-general, or a resignation of
either such officer to take effect at any future day shall have
been made while the legislature is in session, the two houses
thereof, by joint ballot, shall appoint a person to fill such
actual or prospective vacancy.
Sec. 42. Filling vacancies in elective offices.
1. A vacancy occurring before September twentieth of any year
in any office authorized to be filled at a general election,
except in the offices of governor or lieutenant-governor,
shall be filled at the general election held next
thereafter, unless otherwise provided by the constitution,
or unless previously filled at a special election.
2. A vacancy occurring by the expiration of term at the end of
an even numbered year in an office which may not under the
provisions of the constitution be filled for a full term at
the general election held prior to the expiration of such
term, shall be filled at said general election for a term
ending with the commencement of the political year next
succeeding the first general election at which said office
can be filled by election for a full term.
3. Upon the failure to elect to any office, except that of
governor or lieutenant-governor, at a general or special
election, at which such office is authorized to be filled,
or upon the death or disqualification of a person elected to
office before the commencement of his official term, or upon
the occurrence of a vacancy in any elective office which
cannot be filled by appointment for a period extending to or
beyond the next general election at which a person may be
elected thereto, the governor may in his discretion make
proclamation of a special election to fill such office,
specifying the district or county in which the election is
to be held, and the day thereof, which shall be not less
than thirty nor more than forty days from the date of the
proclamation.
4. A special election shall not be held to fill a vacancy in
the office of a representative in congress unless such
vacancy occurs on or before the first day of July of the
last year of the term of office, or unless it occurs
thereafter and a special session of congress is called to
meet before the next general election, or be called after
September nineteenth of such year; nor to fill a vacancy in
the office of state senator or in the office of member of
assembly, unless the vacancy occurs before the first day of
April of the last year of the term of office, or unless the
vacancy occurs in either such office of senator or member of
assembly after such first day of April and a special session
of the legislature be called to meet between such first day
of April and the next general election or be called after
September nineteenth in such year. If a special election to
fill an office shall not be held as required by law, the
office shall be filled at the next general election.
4-a. If a vacancy occurs in the office of United States senator
from this state in any even numbered calendar year on or
after the fifty-ninth day prior to the annual primary
election, or thereafter during said even numbered year, the
governor shall make a temporary appointment to fill such
vacancy until the third day of January in the year following
the next even numbered calendar year. If such vacancy occurs
in any even numbered calendar year on or before the sixtieth
day prior to an annual primary election, the governor shall
make a temporary appointment to fill such vacancy until the
third day of January in the next calendar year. If a vacancy
occurs in the office of United States senator from this
state in any odd numbered calendar year, the governor shall
make a temporary appointment to fill such vacancy until the
third day of January in the next odd numbered calendar year.
Such an appointment shall be evidenced by a certificate of
the governor which shall be filed in the office of the state
board of elections. At the time for filing such certificate,
the governor shall issue and file in the office of the state
board of elections a writ of election directing the election
of a United States senator to fill such vacancy for the
unexpired term at the general election next preceding the
expiration for the term of such appointment.
5. Whenever the authority to fill any vacancy is vested in a
board and such board is unable to fill such vacancy in an
elective office by reason of a tie vote, or such board
neglects to fill such vacancy for any other reason, the
governor may, in his discretion, make proclamation of a
special election to fill the vacancy.
Sec. 43. Filling other vacancies.
If a vacancy shall occur, otherwise than by expiration of term,
with no provision of law for filling the same, if the office be
elective, the governor shall appoint a person to execute the
duties thereof until the vacancy shall be filled by an election.
But if the term of such officer shall expire with the calendar
year in which the appointment shall be made, or if the office be
appointive, the appointee shall hold for the residue of the term.
==============================================================
ARTICLE 4
POWERS AND DUTIES OF PUBLIC OFFICERS
Section 60. Official seals of court of appeals, governor
and state departments, divisions and bureaus.
61. Investigations by state officers.
62. Business in public offices on public
holidays.
62a. Leave of absence for certain appointive
state officers; temporary vacancy.
63. Leave of absence for veterans on Memorial day
and Veterans' day.
64. Payment of expenses of public officers.
64a. Patent policy.
66. Interchangeable use of gender neutral and
gender specific titles of public offices.
66a. Accident reports kept by police
authorities to be open to the inspection of
persons interested.
67. Fees for public officers.
67a. Fees for certification or
exemplification.
68. Allowance of additional fees and expenses.
68a. Fees for oath or acknowledgment.
69. Fee for administering certain official oaths
prohibited.
69a. Interest to be paid and collected on all
deposits of public moneys amounting to one
thousand dollars or more.
70. Accounting for fees.
70a. Fees to be paid by public officers for
public advertisements.
70b. Certificate on printed copies of laws.
71. Vacations for employees of the state.
72. Notices and reports of claims, suits or
causes of action to be given to the attorney-
general.
72a. Penalty of officer for failure to
execute mandate and make return.
73. Business or professional activities by state
officers and employees and party officers.
73a. Financial disclosure.
74. Code of ethics.
74a. Duty of public officers regarding the
physically handicapped.
75. Bribery of members of the legislature.
76. Receiving bribes by members of legislature.
77. Unlawful fees and payments.
77a. Members of the legislature liable to
forfeiture of office.
78. Certification of members, officers and
employees.
79. Fine in certain cases.
==============================================================
Section 60. Official seals of court of appeals, governor and
state departments, divisions and bureaus.
1. Each of the civil departments in the state government shall
have an official seal. In addition to the divisions or
bureaus required by law to have an official seal, any
division or bureau of any department shall have such a seal,
if so required by rules of the department. The official seal
shall be used in the cases prescribed by law. Such rules
also may prescribe other cases in which it shall or may be
used. For the purposes of any provisions of the law
requiring the use of the official seal of the officer or
body who or which is the head of a department, division or
bureau, the seal of such department, division or bureau
shall be deemed the official seal of such officer or body.
2. The seal of the court of appeals, the privy seal of the
governor and the official seal of each civil department of
the state government shall be of metal with the device of
the arms of the state surrounded with the inscription, State
of New York, and the official designation of the court,
official or department. Each civil department of the state
government may affix a facsimile seal, engraved or printed
or reproduced in any manner from such metal seal, to any
instrument or writing to be sealed by such civil department.
The official seal, if any, of a division or bureau of a
department shall have thereon the matter required for the
official seal of the department and in addition thereto
words or initials, or both, describing the division or
bureau. The seal of such court, the privy seal of the
governor, and the official seal of such a department shall
be two and one-quarter inches in diameter. The official
seal, if any, of such a division or bureau shall be one and
three-quarters inches in diameter. Each metal seal provided
for herein shall be provided by the department of state. The
seal of the court of appeals and privy seal of the governor
heretofore provided by the secretary of state shall continue
to be used by such court and officer until defective from
wear or otherwise. Whenever any seal provided for in this
section becomes defective from wear or otherwise, it shall
be delivered to the department of state which shall cause it
to be repaired and returned, or to be defaced with a
suitable mark, or deposited with the ancient seals in the
state library, and new seals, in the form prescribed by this
section, to be provided for use instead.
Sec. 61. Investigations by state officers.
Every state officer, in any proceeding held before him, or in any
investigation held by him for the purpose of making inquiry as to
the official conduct of any subordinate officer or employee,
shall have the power to issue subpoenas for and require the
attendance of witnesses and the production of all books and
papers relating to any matter under inquiry. All such subpoenas
shall be issued under the hand and seal of the state officer
holding such proceeding. A subpoena issued under this section
shall be regulated by the civil practice law and rules. The
testimony of witnesses in any such proceeding shall be under oath
and the state officer instituting the proceeding shall have power
to administer oaths. In case of state boards or commissions, any
member of the same, or, when duly authorized by resolution, the
secretary of such board or commission, shall have power to issue
subpoenas and administer oaths for the purposes of this section.
Sec. 62. Business in public offices on public holidays.
1. Holidays and half holidays shall be considered as Sunday for
all purposes relating to the transaction of business in the
public offices of each county. On all other days and half
days, excepting Sundays, such offices shall be kept open for
the transaction of business. This subdivision is subject to
the provisions of section two hundred six-a of the county
law and sections 1032-14.0 and 1052-22.0 of the
administrative code of the city of New York.
2. Holidays and Saturdays shall be considered as Sunday for all
purposes relating to the transaction of business in the
public offices of the state. On all other days, excepting
Sundays, such offices shall be kept open for the transaction
of business. Whenever the last day on which any paper shall
be filed or act done or performed in any such office expires
on a Saturday, the time therefor is hereby extended to and
including the next business day.
Sec. 62-a. Leave of absence for certain appointive state
officers; temporary vacancy.
A person holding a state office by appointment of the governor,
or of the governor by and with the consent of the senate, may be
granted by the governor, on the application of such person, a
leave of absence from such office, without pay, for a stated
period less than the remainder of the unexpired term. The office
shall be deemed vacant for the purpose only of filling it, in the
manner provided by law, for a term expiring at the end of such
period. At or after the end of such period, the person who is
granted such leave of absence, if not then disqualified, may
resume such office, its title, duties and salary for the
unexpired regular term, without reappointment, and the interim
incumbent, if any, shall cease to hold it. On or after the
beginning of such period, such person, if otherwise eligible, may
be appointed to and hold any other appointive office in the state
service; but he shall resign therefrom before resuming such
former office under the foregoing provisions. A person resuming
such office shall file in the office of the department of state
his statement in writing that he elects to and does resume it
pursuant to this section.
Section 63. Leave of absence for veterans on Memorial day and
Veterans' day.
It shall be the duty of the head of every public department and
of every court of the state of New York, of every superintendent
or foreman on the public works of said state, of the county
officers of the several counties of said state, of the town
officers of the various towns in this state, of the fire district
officers of the various fire districts in this state, and of the
head of every department, bureau and office in the government of
the various cities and villages in this state, to give leave of
absence with pay for twenty-four hours on the day prescribed by
law as a public holiday for the observance of Memorial day and on
the eleventh day of November, known as Veterans' day, to every
person in the service of the state, the county, the town, the
fire district, the city or village, as the case may be, (i) who
served on active duty in the armed forces of the United States
during world war I or world war II, or who was employed by the
War Shipping Administration or Office of Defense Transportation
or their agents as a merchant seaman documented by the United
States Coast Guard or Department of Commerce, or as a civil
servant employed by the United States Army Transport Service
(later redesignated as the United States Army Transportation
Corps, Water Division) or the Naval Transportation Service; and
who served satisfactorily as a crew member during the period of
armed conflict, December seventh, nineteen hundred forty-one, to
August fifteenth, nineteen hundred forty-five, aboard merchant
vessels in oceangoing, i.e., foreign, intercoastal, or coastwise
service as such terms are defined under federal law (46 USCA
10301 & 10501) and further to include "near foreign" voyages
between the United States and Canada, Mexico, or the West Indies
via ocean routes, or public vessels in oceangoing service or
foreign waters and who has received a Certificate of Release or
Discharge from Active Duty and a discharge certificate, or an
Honorable Service Certificate/Report of Casualty, from the
Department of Defense, or during the period of the Korean
conflict at any time between the dates of June twenty-seventh,
nineteen hundred fifty and January thirty-first, nineteen hundred
fifty-five, or during the period of the Vietnam conflict from the
twenty-second day of December, nineteen hundred sixty-one to the
seventh day of May, nineteen hundred seventy-five, or (ii) who
served on active duty in the armed forces of the United States
and who was a recipient of the armed forces expeditionary medal,
navy expeditionary medal or marine corps expeditionary medal for
participation in operations in Lebanon from June first, nineteen
hundred eighty-three to December first, nineteen hundred eighty-
seven, in Grenada from October twenty-third, nineteen hundred
eighty-three to November twenty-first, nineteen hundred eighty-
three, or in Panama from December twentieth, nineteen hundred
eighty-nine to January thirty-first, nineteen hundred ninety, or
(iii) who served in the armed forces of a foreign country allied
with the United States during world war I or world war II, or
during the period of the Korean conflict at any time between June
twenty-seventh, nineteen hundred fifty and January thirty-first,
nineteen hundred fifty-five, or during the period of the Vietnam
conflict from the twenty-second day of December, nineteen hundred
sixty-one to the seventh day of May, nineteen hundred seventy-
five, or during the period of the Persian Gulf conflict from the
second day of August, nineteen hundred ninety to the end of such
conflict, or who served on active duty in the army or navy or
marine corps or air force or coast guard of the United States,
and who was honorably discharged or separated from such service
under honorable conditions, except where such action would
endanger the public safety or the safety or health of persons
cared for by the state, in which event such persons shall be
entitled to leave of absence with pay on another day in lieu
thereof. All such persons who are compensated on a per diem,
hourly, semi-monthly or monthly basis, with or without
maintenance, shall also be entitled to leave of absence with pay
under the provisions of this section and no deduction in vacation
allowance or budgetary allowable number of working days shall be
made in lieu thereof. A refusal to give such leave of absence to
one entitled thereto shall be neglect of duty.
Sec. 64. Payment of expenses of public officers.
Every public officer who is not allowed any compensation for his
services shall be paid his actual expenses necessarily incurred
in the discharge of his official duties.
Section 64-a. Patent policy.
1. Notwithstanding the provisions of section one hundred thirty-
five of the civil service law, the participation in royalty
or other arrangements may be extended or the payment of
additional compensation may be made to an employee of a
state department or of an agency, in addition to such
employee's definite salary or compensation, provided such
participation or additional compensation is pursuant to a
patent policy approved for such department or agency by the
director of the budget and the state comptroller. Such
participation or additional compensation shall not affect
the entitlement of the employee to any regular pay, annuity
or award to which he or she is otherwise entitled or for
which he or she is otherwise eligible under the civil
service law or any other applicable statute shall not be
included as compensation for the purposes of computing
overtime pay or for retirement purposes.
2. The department and agency patent policies in effect on the
effective date of this section shall be continued. Such
existing policies, unless promulgated pursuant to article
eight of the education law, shall be subject to the approval
of the director of the budget and the state comptroller.
3. A state department or agency may, after the effective date
of this section, adopt a patent policy, or amend a patent
policy previously approved by the director of the budget for
such agency, subject to the approval of the director of the
budget, the state comptroller and the director of the office
of employee relations. Where such policy or amendment
affects a term or condition of employment, such policy or
amendment shall be adopted in accordance with the provisions
of article fourteen of the civil service law.
4. Any such patent policy shall contain an express provision
requiring the comptroller's approval of any transfer of
patents or other technologies by, or for the benefit of, the
state.
Section 66. Interchangeable use of gender neutral and gender
specific titles of public offices.
Notwithstanding any other provision of law, local law, charter,
code or ordinance, a public officer may, in official documents or
otherwise, refer to the name of her or his public office:
(a) by its official title as specified in the statute, local
law, charter, code or ordinance creating such public office,
or,
(b) by any other gender neutral or gender indicative suffixes,
prefixes or words which reconstruct the official name or
title of such public office, provided that the form of
reconstruction readily permits the unmistakable
identification of the particular public office held by such
public officer.
Section 66-a. Accident reports kept by police authorities to be
open to the inspection of persons interested.
1. Notwithstanding any inconsistent provisions of law, general,
special or local, or any limitation contained in the
provision of any city charter, all reports and records of
any accident, kept or maintained by the state police or by
the police department or force of any county, city, town,
village or other district of the state, shall be open to the
inspection of any person having an interest therein, or of
such person's attorney or agent, even though the state or a
municipal corporation or other subdivision thereof may have
been involved in the accident; except that the authorities
having custody of such reports or records may prescribe
reasonable rules and regulations in regard to the time and
manner of such inspection, and may withhold from inspection
any reports or records the disclosure of which would
interfere with the investigation or prosecution by such
authorities of a crime involved in or connected with the
accident.
2. Notwithstanding the provisions of section twenty-three
hundred seven of the civil practice law and rules, the
public officers law, or any other law to the contrary, the
division of state police shall charge fees for the search
and copy of accident reports and photographs. A search fee
of fifteen dollars per accident report shall be charged,
with no additional fee for a photocopy. An additional fee of
fifteen dollars shall be charged for a certified copy of any
accident report. A fee of twenty-five dollars per photograph
or contact sheet shall be charged. The fees for
investigative reports shall be the same as those for
accident reports.
Sec. 67. Fees of public officers.
1. Each public officer upon whom a duty is expressly imposed by
law, must execute the same without fee or reward, except
where a fee or other compensation therefor is expressly
allowed by law.
2. An officer or other person, to whom a fee or other
compensation is allowed by law, for any service, shall not
charge or receive a greater fee or reward, for that service,
than is so allowed.
3. An officer, or other person, shall not demand or receive any
fee or compensation, allowed to him by law for any service,
unless the service was actually rendered by him; except that
an officer may demand in advance his fee, where he is, by
law, expressly directed or permitted to require payment
thereof, before rendering the service.
4. Money received by a public officer, or which shall come into
his possession or custody, in the performance of his
official duties or in connection therewith or incidental
thereto, shall be held by him in trust for the person or
persons entitled thereto or for the purposes provided by law
and all interest or increments which shall accrue or attach
to such money while in his possession or custody shall be
added to, and become a part of, the money so held and no
part of such interest or increments shall be retained by
such officer to his personal use or benefit, except legal
fees allowed by law for receiving and disbursing the same,
notwithstanding the provisions of any general or special
law.
An officer or other person, who violates either of the
provisions contained in this section, is liable, in addition
to the punishment prescribed by law for the criminal
offense, to an action in behalf of the person aggrieved, in
which the plaintiff is entitled to treble damages.
Sec. 67-a. Fees for certification or exemplification.
Whenever there shall be presented to any public officer for
certification or exemplification, a previously prepared legibly
typewritten or printed copy of any document, paper, book or
record in such officer's custody, the fees in such case, for
certification or exemplification, shall be at the rate of three
cents for each folio; but the minimum total charge for
certification or exemplification in all cases shall be twenty-
five cents.
Sec. 68. Allowance of additional fees and expenses.
Where an officer or other person is required, in the course of a
duty imposed upon him by law, to take an oath, to acknowledge an
instrument, to cause an instrument to be filed or recorded, or to
transmit a paper to another officer, he is entitled, in addition
to the fees, or other compensation for the service, prescribed by
law, to the fees necessarily paid by him, to the officer who
administered the oath, or took the acknowledgment, or filed or
recorded the instrument; and to the expense of transmitting the
paper, including postage, where the transmission is lawfully made
through the post-office.
Section 68-a. Fees for oath or acknowledgment.
Any officer, authorized to perform the services specified in this
section, and to receive fees therefor, is entitled to the
following fees:
1. For administering an oath or affirmation, and certifying the
same when required, except where another fee is specially
prescribed by statute, two dollars.
2. For taking and certifying the acknowledgment or proof of the
execution of a written instrument; by one person, two
dollars; and by each additional person, two dollars; for
swearing each witness thereto, two dollars.
Sec. 69. Fee for administering certain official oaths
prohibited.
An officer is not entitled to a fee, for administering the oath
of office to a member of the legislature, to any military
officer, to an inspector of election, clerk of the poll, or to
any other public officer or public employee.
Sec. 69-a. Interest to be paid and collected on all deposits
of public moneys amounting to one thousand dollars
or more.
Within twenty days of the taking effect of this section, interest
shall be required to be paid, if not already so provided by law,
on all deposits of public moneys amounting to one thousand
dollars or more made by a state, local or other public officer or
employee for or on behalf of the state or the county, city, town,
village, school district or other public instrumentality or for
or on behalf of any pension system or fund maintained by law for
any of the employees of the state, county, city, town, village,
school district or other public instrumentality, as the case may
be, to which such moneys belong. Within twenty days after this
section takes effect and, in the case of public officers or
employees hereafter elected or appointed within twenty days after
entering upon the duties of his office or employment, every
public officer or employee charged with the care and custody of
public moneys and/or of moneys entrusted to his care and custody
by virtue of his office or employment shall agree with the
depositary thereof upon the rate of interest to be paid thereon
and such rate of interest shall thereupon and thereafter be paid
by said depositary at such time or times as shall be agreed upon.
All interest on such deposits shall be accounted for by the
depositing officer or employee in the same manner as other moneys
received by such officer or employee by virtue of his office or
employment.
Nothing contained in this section or in any other general or
special law shall authorize, enable or require any state, local
or other public officer or employee, to demand or require of any
banking corporation or private banker, any agreement to pay, or
payment of, interest upon any deposit of public moneys or any
deposit made for or on behalf of the state or the county, city,
town, village, school district or other public instrumentality,
board, agency or authority, or for or on behalf of any pension
system or fund maintained by law for any of the employees of the
state, county, city, town, village, school district or other
public board, agency, instrumentality or authority, as the case
may be, if payment of interest upon any such deposit is at the
time prohibited by state or federal law or by any regulation of
either the banking board of this state, or of the board of
governors of the federal reserve system, or of the board of
directors of the Federal Deposit Insurance Corporation.
Sec. 70. Accounting for fees.
Where a public officer is required, by law, to keep an account
of, or to pay over, the fees or other moneys, received by him for
official services, he must include therein all sums, received by
him, to which he was entitled, by reason of any act, performed by
him in his official capacity; whether the act did or did not
pertain to his office, or to the business thereof.
Section 70-a. Fees to be paid by public officers for public
advertisements.
The charge for the publication of concurrent resolutions,
proposed constitutional amendments, propositions or questions to
be submitted to the voters of the state, tax sales and official
notices required to be published by state boards, commissions or
officers in newspapers of the state, shall be paid from the
treasury on the audit and warrant of the comptroller, after
certification by the proper officer that such a publication has
been regularly made as prescribed by law. The charge for the
publication, if authorized by law, of digests of laws of a local
nature in the newspaper designated to publish such digests shall
be paid by the several counties of the state in which such laws
may be published, upon like certification. The charge for the
publication of concurrent resolutions, proposed constitutional
amendments, propositions or questions to be submitted to the
voters of the state or of any political subdivision thereof or
therein, tax sales by the state or any county or municipality
therein, and of all official notices and advertisements
authorized or required by law to be published at the expense of
the state or of a county, city, town, village, public authority,
public benefit corporation or other political or civil
subdivision of the state, shall be at the rate of twenty-nine
cents per line of a column width not less than ten pica ems,
provided that in computing such charge per line the line shall
average at least five words for each insertion in newspapers
having less than two thousand five hundred circulation; twenty-
nine and one-half cents per line for newspapers having two
thousand five hundred or more circulation and less than five
thousand; thirty and one-half cents per line for newspapers
having five thousand or more circulation and less than seven
thousand and five hundred; thirty-one and one-half cents per line
for newspapers having seven thousand five hundred or more
circulation and less than ten thousand; thirty-two and one-half
cents per line for newspapers having ten thousand or more
circulation and less than fifteen thousand; and three and one-
half cents per line in addition to the thirty-two and one-half
cents for the initial fifteen thousand circulation, for each
additional five thousand circulation up to thirty-five thousand
circulation and one and one-half cents per line for each
additional five thousand possessed by such newspapers. To all of
the above rates nine cents per line shall be added to the initial
insertion charge of each separate advertisement. To all of the
above rates for the initial insertion eight cents per line shall
also be added for tabular matter or intricate composition.
Display advertising shall be charged agate measurement, fourteen
lines to each inch, ten to thirteen pica ems wide, depending on
the makeup of the newspaper publishing such copy. Every newspaper
printed, published or having its principal office outside of a
city having a population of over three hundred fifty thousand
inhabitants, as a condition precedent to designation as the
official newspaper of any county, city, town, village or other
political or civil subdivision of the state or for the making of
claim for compensation under the foregoing provisions of this
section, must be established at least one year and entered in the
post office as second class matter.
This rate shall not apply to any newspaper printed, principally
circulated or having its principal office in the counties of New
York or Bronx within the first judicial district or in the county
of Kings within the second judicial district or in the county of
Nassau within the tenth judicial district or in the county of
Queens within the eleventh judicial district or in the county of
Westchester within the ninth judicial district or in any city
having a population of over one hundred seventy-five thousand
inhabitants within the seventh and eighth judicial districts,
where the rate for such publication may be equal to, but shall
not exceed, the regularly established classified advertising rate
of such newspapers. In reckoning line charges allowance shall be
made for date lines, paragraph endings, titles, signatures, and
similar short lines as full lines where the same are set to
conform to the usual rules of composition. Every newspaper
printed, published or having its principal office outside of a
city having a population of over three hundred fifty thousand
inhabitants designated for the publication of concurrent
resolutions, proposed constitutional amendments, propositions or
questions to be submitted to the voters of the state and making
claim for compensation must be established at least one year,
entered in the post office as second class matter and be printed
and published in the town, village or city or its post office
address and except newspapers designated, printed, published and
having their principal offices in a city having a population of
more than three hundred fifty thousand in- habitants, shall
attach to such claim an affidavit of the circulation of such
newspaper for the six months period ending March thirty-first or
September thirtieth immediately preceding, which shall be used as
the basis of circulation rating. Papers printed, published and
having their principal offices outside a city having a population
of more than three hundred fifty thousand inhabitants shall
accept the minimum rate per line until such time as they
establish to the satisfaction of the state comptroller sufficient
circulation to entitle them to a higher rate. It shall be the
duty of each board of supervisors in the several counties of the
state, in making out the assessment rolls, to assess and levy on
the taxable property of the county whose representatives they
are, such sums as shall be sufficient to defray the expense of
publishing the digest of laws of a local nature, if such
publication be authorized, applicable only to the county
affected, in the newspaper designated. Notwithstanding any
provision of this section to the contrary, any publication which
was designated and publishing notice as an official newspaper
prior to the year nineteen hundred forty and continued to be so
designated and publishing for at least thirty years after such
year, which has been designated for the publication of concurrent
resolutions, proposed constitutional amendments, propositions or
questions to be submitted to the voters of the state, may make
claim for compensation pursuant to the provisions of this
section.
Sec. 70-b. Certificate on printed copies of laws.
1. A published or printed copy of a law shall be entitled to be
read into evidence if it is:
(a) Contained in a book or pamphlet published under the
direction of the temporary president of the senate and
speaker of the assembly pursuant to the provisions of
section forty-four of the legislative law; or
(b) Certified to be a slip copy of a session law printed
under the direction of the temporary president of the
senate and speaker of the assembly; or
(c) Contained in a book or pamphlet, or supplement thereto,
and certified by the temporary president of the senate
and speaker of the assembly to be a correct transcript
of the text of such law as last amended; or
(d) Certified as a correct transcript of the text of such
law by the secretary of state.
2. A published or printed copy of the administrative code of
the city of New York shall be entitled to be read into
evidence if it is contained in a book or pamphlet, or
supplement thereto and certified by the temporary president
of the senate and the speaker of the assembly to be a
correct transcript of the text of such code as last amended;
provided, however, that whenever the provisions of such code
contain amendments, additions or repeals effected by passage
of local laws by the city council of the city of New York,
certification by the temporary president of the senate and
the speaker of the assembly shall not be made unless prior
thereto certified or official copies of such local laws have
been transmitted by the city clerk of the city of New York
to the New York state legislative bill drafting commission
at its office in Albany.
Sec. 71. Vacations for employees of the state.
The executive officers of every public department, bureau,
commission, or board of the state are authorized and empowered to
grant to every employee under their supervision, who shall have
been in such employ for at least one year, a vacation of not less
than two weeks in each year, and for such further period of time
as in the opinion and judgment of the executive officers, the
duties, position, length of service and other circumstances may
warrant, at such time as the executive officers may fix and
during such vacation the said employee shall be allowed the same
compensation as if actually employed. The provisions of this
section shall not apply to any employee who is subject to the
rules governing sick leave, vacation and other time allowances
adopted by the state civil service commission pursuant to law.
Sec. 72. Notices and reports of claims, suits or causes of
action to be given to the attorney-general.
1. Every officer, clerk, agent or employee of any department of
the state government, who shall have knowledge of any
accident or injury to the person or property of any person
or corporation, on account of which there arises or may
arise a claim, suit or cause of action against the state, or
of any accident or injury to property owned by the state, on
account of which there arises or may arise a claim, suit or
cause of action in favor of the state, shall immediately
give notice thereof to the officer or employee in charge of
his bureau or department.
2. Every department, commission, board or officer, or the
person in charge thereof, who has knowledge that a claim has
accrued or may have accrued or made either against, or in
favor of, the state, or of any accident or injury to the
person or property of any person or corporation, or of the
state on account of which there arises or may arise a claim,
suit or cause of action against, or in favor of, the state,
or an officer thereof, shall immediately give notice to the
attorney-general, stating the time when, and the place
where, such claim, suit or cause of action may have arisen,
and the nature of the same, and such other information and
evidence as the attorney-general may direct or deem
necessary. The attorney-general shall make such
investigation of the facts, relating to any matter so
reported, as he may deem necessary.
Sec. 72-a. Penalty of officer for failure to execute mandate
and make return.
An officer who fails to execute a mandate according to its
command and make a return thereon of his proceedings is liable to
the party aggrieved for the damages sustained by him, in addition
to any other punishment or proceeding authorized by law.
Section 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 state ethics commission or legislative ethics
committee 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 banking
department, insurance department, 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 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.
2. In addition to the prohibitions contained in subdivision
seven hereof, 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, whereby his compensation is
to be dependent or contingent upon any action by such agency
with respect to any license, contract, certificate, ruling,
decision, opinion, rate schedule, franchise, or other
benefit; provided, however, that nothing in this subdivision
shall be deemed to prohibit the fixing at any time of fees
based upon the reasonable value of the services rendered.
3. (a) No statewide elected official, member of the
legislature, legislative employee, full-time salaried
state officer or employee shall receive, directly or
indirectly, or enter into any agreement express or
implied for, any compensation, in whatever form, for
the appearance or rendition of services by himself or
another against the interest of the state in relation
to any case, proceeding, application or other matter
before, or the transaction of business by himself or
another with, the court of claims.
(b) No state officer or employee who is required to file an
annual statement of financial disclosure pursuant to
the provisions of section seventy-three-a of this
article, and is not otherwise subject to the provisions
of this section, shall receive, directly or indirectly,
or enter into any agreement express or implied, for any
compensation, in whatever form, for the appearance or
rendition of services by himself or another against the
interest of the state agency by which he is employed or
affiliated in relation to any case, proceeding,
application or other matter before, or the transaction
of business by himself or another with, the court of
claims.
4. (a) No statewide elected official, state officer or
employee, member of the legislature, legislative
employee or political party chairman or firm or
association of which such person is a member, or
corporation, ten per centum or more of the stock of
which is owned or controlled directly or indirectly by
such person, shall (i) sell any goods or services
having a value in excess of twenty-five dollars to any
state agency, or (ii) contract for or provide such
goods or services with or to any private entity where
the power to contract, appoint or retain on behalf of
such private entity is exercised, directly or
indirectly, by a state agency or officer thereof,
unless such goods or services are provided pursuant to
an award or contract let after public notice and
competitive bidding. This paragraph shall not apply to
the publication of resolutions, advertisements or other
legal propositions or notices in newspapers designated
pursuant to law for such purpose and for which the
rates are fixed pursuant to law.
(b) No political party chairman of a county wholly included
in a city with a population of more than one million,
or firm or association of which such person is a
member, or corporation, ten per centum or more of the
stock of which is owned or controlled directly or
indirectly by such person, shall (i) sell any goods or
services having a value in excess of twenty-five
dollars to any city agency, or (ii) contract for or
provide such goods or services with or to any private
entity where the power to contract, appoint or retain
on behalf of such private entity is exercised directly
or indirectly, by a city agency or officer thereof,
unless such goods or services are provided pursuant to
an award or contract let after public notice and
competitive bidding. This paragraph shall not apply to
the publication of resolutions, advertisements or other
legal propositions or notices in newspapers designated
pursuant to law for such purpose and for which the
rates are fixed pursuant to law.
(c) For purposes of this subdivision, the term "services"
shall not include employment as an employee.
5. No statewide elected official, state officer or employee,
member of the legislature or legislative employee shall,
directly or indirectly, solicit, accept or receive any gift
having a value of seventy-five dollars or more whether in
the form of money, service, loan, travel, entertainment,
hospitality, thing or promise, or in any other form, under
circumstances in which it could reasonably be inferred that
the gift was intended to influence him, or could reasonably
be expected to influence him, in the performance of his
official duties or was intended as a reward for any official
action on his part. No person shall, directly or indirectly,
offer or make any such gift to a statewide elected official,
or any state officer or employee, member of the legislature
or legislative employee under such circumstances.
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 legislative ethics committee established by section
eighty of the legislative law a financial disclosure
statement of
(1) each financial interest, direct or indirect of
himself, his spouse and his unemancipated children
under the age of eighteen years in any activity
which is subject to the jurisdiction of a
regulatory agency or name of the entity in which
the interest is had and whether such interest is
over or under five thousand dollars in value.
(2) every office and directorship held by him in any
corporation, firm or enterprise which is subject
to the jurisdiction of a regulatory agency,
including the name of such corporation, firm or
enterprise.
(3) any other interest or relationship which he
determines in his discretion might reasonably be
expected to be particularly affected by
legislative action or in the public interest
should be disclosed.
(b) Copies of such statements shall be open to public
inspection.
(c) Any such legislative employee who knowingly and
wilfully with intent to deceive makes a false statement
or gives information which he knows to be false in any
written statement required to be filed pursuant to this
subdivision, shall be assessed a civil penalty in an
amount not to exceed ten thousand dollars. Assessment
of a civil penalty shall be made by the legislative
ethics committee in accordance with the provisions of
subdivision twelve of section eighty of the legislative
law. For a violation of this subdivision, the committee
may, in lieu of a civil penalty, refer a violation to
the appropriate prosecutor and upon conviction, but
only after such referral, such violation shall be
punishable as a class A misdemeanor.
7. (a) No statewide elected official, or state officer or
employee, other than in the proper discharge of
official duties, or member of the legislature or
legislative employee, or political party chairman shall
receive, directly or indirectly, or enter into any
agreement express or implied for, any compensation, in
whatever form, for the appearance or rendition of
services by himself or another in relation to any case,
proceeding, application or other matter before a state
agency where such appearance or rendition of services
is in connection with:
(i) the purchase, sale, rental or lease of real
property, goods or services, or a contract
therefor, from, to or with any such agency;
(ii) any proceeding relating to rate making;
(iii) the adoption or repeal of any rule or regulation
having the force and effect of law;
(iv) the obtaining of grants of money or loans;
(v) licensing; or
(vi) any proceeding relating to a franchise provided
for in the public service law.
(b) No political party chairman in a county wholly included
in a city having a population of one million or more
shall receive, directly or indirectly, or enter into
any agreement express or implied for, any compensation,
in whatever form, for the appearance or rendition of
services by himself or another in relation to any case,
proceeding, application or other matter before any city
agency where such appearance or rendition of services
is in connection with:
(i) the purchase, sale, rental or lease of real
property, goods or services, or a contract
therefor, from, to or with any such agency;
(ii) any proceeding relating to ratemaking;
(iii) the adoption or repeal of any rule or regulation
having the force and effect of law;
(iv) the obtaining of grants of money or loans;
(v) licensing. For purposes of this paragraph, the
term "licensing" shall mean any city agency
activity respecting the grant, denial, renewal,
revocation, enforcement, suspension, annulment,
withdrawal, recall, cancellation or amendment of
a license, permit or other form of permission
conferring the right or privilege to engage in
(i) a profession, trade, or occupation or (ii)
any business or activity regulated by a
regulatory agency of a city agency which in the
absence of such license, permit or other form of
permission would be prohibited; and
(vi) any proceeding relating to a franchise.
(c) Nothing contained in this subdivision shall prohibit a
statewide elected official, or a state officer or
employee, unless otherwise prohibited, or a member of
the legislature or legislative employee, or political
party chairman, from appearing before a state agency in
a representative capacity if such appearance in a
representative capacity is in connection with a
ministerial matter.
(d) Nothing contained in this subdivision shall prohibit a
member of the legislature, or a legislative employee on
behalf of such member, from participating in or
advocating any position in any matter in an official or
legislative capacity, including, but not limited to,
acting as a public advocate whether or not on behalf of
a constituent. Nothing in this paragraph shall be
construed to limit the application of the provisions of
section seventy-seven of this chapter.
(e) Nothing contained in this subdivision shall prohibit a
state officer or employee from appearing before a state
agency in a representative capacity on behalf of an
employee organization in any matter where such
appearance is duly authorized by an employee
organization.
(f) Nothing contained in this subdivision shall prohibit a
political party chairman from participating in or
advocating any matter in an official capacity.
(g) Nothing contained in this subdivision shall prohibit
internal research or discussion of a matter, provided,
however, that the time is not charged to the client and
the person does not share in the net revenues generated
or produced by the matter.
8. (a) 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.
(b) 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.
(c) 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 who is required to file an annual statement of
financial disclosure pursuant to the provisions of
section seventy-three-a of this chapter shall during
the term of office of the legislature in which he or
she was so employed, receive compensation at any time
during the remainder of such term after leaving the
employ of the legislature 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 in
relation to any matter with respect to which such
person was directly concerned and in which he
personally participated during the period of his
service or employment. A legislative employee who acted
primarily in a supervisory capacity in such matter and
who was not personally involved in the development,
negotiation or implementation of the matter to an
important and material degree, may, with the approval
of the legislative ethics committee, receive such
compensation and perform such services.
(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.
8-a. The provisions of paragraphs (a) and (b) 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 state ethics commission, 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. 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, 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.
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 state ethics
commission or by the legislative ethics committee in
relation to persons subject to their respective
jurisdictions, resulting therefrom, or, acting in good
faith, reasonably believed that he or she would not share in
the net revenues as so defined; nor shall anything contained
in this section, the judiciary law, the education law or any
other law or disciplinary rule be construed to prohibit any
firm, association or corporation in which any present or
former statewide elected official, member of the
legislature, legislative employee, full-time salaried state
officer or employee or state officer or employee who is
subject to the provisions of section seventy-three-a of this
chapter 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
chapter does not share in the net revenues, as defined in
accordance with generally accepted accounting principles by
the state ethics commission or by the legislative ethics
committee in relation to persons subject to their respective
jurisdictions, resulting therefrom, or, acting in good
faith, reasonably believed that he or she would not share in
the net revenues as so defined.
11. Notwithstanding any provision of the judiciary law, the
education law or any other law or disciplinary rule to the
contrary:
(a) Conduct authorized pursuant to subdivision eight of
this section by a person who has served as a member of
the legislature or as a legislative employee shall not
constitute professional misconduct or grounds for
disciplinary action of any kind;
(b) No member of the legislature or former member of the
legislature shall be prohibited from appearing,
practicing, communicating or otherwise rendering
services in relation to any matter before, or
transacting business with, any state agency solely by
reason of any vote or other action by such member or
former member in respect to the confirmation or
election of any member, commissioner, director or other
person affiliated with such state agency, but nothing
in this paragraph shall limit the prohibition contained
in subdivision eight of this section;
(c) The appearance, practice, communication or rendition of
services in relation to any matter before, or
transaction of business with a state agency, or with
the court of claims, or the promotion or opposition to
the passage of bills or resolutions by either house of
the legislature, by a member, associate, retired
member, of counsel or shareholder of a firm,
association or corporation, in accordance with
subdivision ten of this section, is hereby authorized
and shall not constitute professional misconduct or
grounds for disciplinary action of any kind solely by
reason of the professional relationship between the
statewide elected official, state officer or employee,
political party chairman, member of the legislature, or
legislative employee and any firm, association,
corporation or any member, associate, retired member,
of counsel, or shareholder thereof, or by reason of the
appearance created by any such professional
relationship.
12. A statewide elected official, state officer or employee, or
a member of the legislature or legislative employee, or
political party chairman, who is a member, associate,
retired member, of counsel to, or shareholder of any firm,
association or corporation which is appearing or rendering
services in connection with any case, proceeding,
application or other matter listed in paragraph (a) or (b)
of subdivision seven of this section shall not orally
communicate, with or without compensation, as to the merits
of such cause with an officer or an employee of the agency
concerned with the matter.
13. For the purposes of this section, a statewide elected
official or state officer or employee or member of the
legislature or legislative employee or political party
chairman who is a member, associate, retired member, of
counsel to, or shareholder of any firm, association or
corporation shall not be deemed to have made an appearance
under the provisions of this section solely by the
submission to a state agency or city agency of any printed
material or document bearing his or her name, but unsigned
by him or her, such as by limited illustrations the name of
the firm, association or corporation or the letterhead of
any stationery, which pro forma serves only as an indication
that he or she is such a member, associate, retired member,
of counsel to, or shareholder.
14. 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 or
subdivision seven, eight or twelve of this section shall be
subject to a civil penalty in an amount not to exceed ten
thousand dollars. Assessment of a civil penalty hereunder
shall be made by the state ethics commission or the
legislative ethics committee, as the case may be, with
respect to persons subject to their respective
jurisdictions. The state ethics commission acting pursuant
to subdivision thirteen of section ninety-four of the
executive law, or the legislative ethics committee acting
pursuant to subdivision twelve of section eighty of the
legislative law, as the case may be, may, in lieu of a civil
penalty, with respect to a violation of subdivisions two
through five or subdivision seven or eight of this section,
refer a violation of any such subdivision to the appropriate
prosecutor and upon such conviction, but only after such
referral, such violation shall be punishable as a class A
misdemeanor.
Section 73-a. Financial disclosure.
1. As used in this section:
(a) The term "statewide elected official" shall mean the
governor, lieutenant governor, comptroller, or attorney
general.
(b) 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 and the independent
institutions operating statutory or contract colleges
on behalf of the state.
(c) The term "state officer or employee" shall mean:
(i) heads of state departments and their deputies
and assistants;
(ii) officers and employees of statewide elected
officials, officers and employees of state
departments, boards, bureaus, divisions,
commissions, councils or other state agencies,
who receive annual compensation in excess of the
filing rate established by paragraph (l) of this
subdivision or who hold policy-making positions,
as annually determined by the appointing
authority and set forth in a written instrument
which shall be filed with the state ethics
commission established by section ninety-four of
the executive law during the month of February,
provided, however, that the appointing authority
shall amend such written instrument after such
date within thirty days after the undertaking of
policy-making responsibilities by a new employee
or any other employee whose name did not appear
on the most recent written instrument; and
(iii) 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, and employees of such authorities,
corporations and commissions who receive annual
compensation in excess of the filing rate
established by paragraph (l) of this subdivision
or who hold policy-making positions, as
determined annually by the appointing authority
and set forth in a written instrument which
shall be filed with the state ethics commission
established by section ninety-four of the
executive law during the month of February,
provided, however, that the appointing authority
shall amend such written instrument after such
date within thirty days after the undertaking of
policy-making responsibilities by a new employee
or any other employee whose name did not appear
on the most recent written instrument.
(d) The term "legislative employee" shall mean any officer
or employee of the legislature who receives annual
compensation in excess of the filing rate established
by paragraph (l) below or who is determined to hold a
policy-making position by the appointing authority as
set forth in a written instrument which shall be filed
with the legislative ethics committee established by
section eighty of the legislative law.
(e) The term "spouse" shall mean the husband or wife of the
reporting individual unless living separate and apart
from the reporting individual with the intention of
terminating the marriage or providing for permanent
separation or unless separated pursuant to: (i) a
judicial order, decree or judgment, or (ii) a legally
binding separation agreement.
(f) The term "relative" shall mean such individual's
spouse, child, stepchild, stepparent, or any person who
is a direct descendant of the grandparents of the
reporting individual or of the reporting individual's
spouse.
(g) The term "unemancipated child" shall mean any son,
daughter, stepson or stepdaughter who is under age
eighteen, unmarried and living in the household of the
reporting individual.
(h) The term "political party chairman" shall have the same
meaning as ascribed to such term by subdivision one of
section seventy-three of this chapter.
(i) The term "local agency" shall mean:
(i) any county, city, town, village, school district
or district corporation, or any agency,
department, division, board, commission or bureau
thereof; and
(ii) any public benefit corporation or public authority
not included in the definition of a state agency.
(j) The term "regulatory agency" shall have the same
meaning as ascribed to such term by subdivision one of
section seventy-three of this chapter.
(k) The term "ministerial matter" shall have the same
meaning as ascribed to such term by subdivision one of
section seventy-three of this chapter.
(l) The term "filing rate" shall mean the job rate of SG-24
as set forth in paragraph a of subdivision one of
section one hundred thirty of the civil service law as
of April first of the year in which an annual financial
disclosure statement shall be filed.
2. (a) Every statewide elected official, state officer or
employee, member of the legislature, legislative
employee and political party chairman and every
candidate for statewide elected office or for member of
the legislature shall file an annual statement of
financial disclosure containing the information and in
the form set forth in subdivision three hereof. Such
statement shall be filed on or before the fifteenth day
of May with respect to the preceding calendar year,
except that:
(i) a person who is subject to the reporting
requirements of this subdivision and who timely
filed with the internal revenue service an
application for automatic extension of time in
which to file his or her individual income tax
return for the immediately preceding calendar
or fiscal year shall be required to file such
financial disclosure statement on or before May
fifteenth but may, without being subjected to
any civil penalty on account of a deficient
statement, indicate with respect to any item of
the disclosure statement that information with
respect thereto is lacking but will be supplied
in a supplementary statement of financial
disclosure, which shall be filed on or before
the seventh day after the expiration of the
period of such automatic extension of time
within which to file such individual income tax
return, provided that failure to file or to
timely file such supplementary statement of
financial disclosure or the filing of an
incomplete or deficient supplementary statement
of financial disclosure shall be subject to the
notice and penalty provisions of this section
respecting annual statements of financial
disclosure as if such supplementary statement
were an annual statement;
(ii) a person who is required to file an annual
financial disclosure statement with the state
ethics commission or with the legislative
ethics committee, and who is granted an
additional period of time within which to file
such statement due to justifiable cause or
undue hardship, in accordance with required
rules and regulations on the subject adopted
pursuant to paragraph c of subdivision nine of
section ninety-four of the executive law or
pursuant to paragraph c of subdivision eight of
section eighty of the legislative law, shall
file such statement within the additional
period of time granted;
(iii) candidates for statewide office who receive a
party designation for nomination by a state
committee pursuant to section 6-104 of the
election law shall file such statement within
seven days after the date of the meeting at
which they are so designated;
(iv) candidates for statewide office who receive
twenty-five percent or more of the vote cast at
the meeting of the state committee held
pursuant to section 6-104 of the election law
and who demand to have their names placed on
the primary ballot and who do not withdraw
within fourteen days after such meeting shall
file such statement within seven days after the
last day to withdraw their names in accordance
with the provisions of such section of the
election law;
(v) candidates for statewide office and candidates
for member of the legislature who file party
designating petitions for nomination at a
primary election shall file such statement
within seven days after the last day allowed by
law for the filing of party designating
petitions naming them as candidates for the
next succeeding primary election;
(vi) candidates for independent nomination who have
not been designated by a party to receive a
nomination shall file such statement within
seven days after the last day allowed by law
for the filing of independent nominating
petitions naming them as candidates in the next
succeeding general or special election;
(vii) candidates who receive the nomination of a
party for a special election shall file such
statement within seven days after the date of
the meeting of the party committee at which
they are nominated; and
(viii) a candidate substituted for another candidate,
who fills a vacancy in a party designation or
in an independent nomination, caused by
declination, shall file such statement within
seven days after the last day allowed by law to
file a certificate to fill a vacancy in such
party designation or independent nomination.
(b) As used in this subdivision, the terms "party",
"committee" (when used in conjunction with the term
"party"), "designation", "primary", "primary election",
"nomination", "independent nomination" and "ballot"
shall have the same meanings as those contained in
section 1-104 of the election law.
(c) If the reporting individual is a senator or member of
assembly, candidate for the senate or member of
assembly or a legislative employee, such statement
shall be filed with the legislative ethics committee
established by section eighty of the legislative law.
If the reporting individual is a statewide elected
official, candidate for statewide elected office, a
state officer or employee or a political party
chairman, such statement shall be filed with the state
ethics commission established by section ninety-four of
the executive law.
(d) The legislative ethics committee and the state ethics
commission shall obtain from the state board of
elections a list of all candidates for statewide office
and for member of the legislature, and from such list,
shall determine and publish a list of those candidates
who have not, within ten days after the required date
for filing such statement, filed the statement required
by this subdivision.
(e) Any person required to file such statement who
commences employment after May fifteenth of any year
and political party chairman shall file such statement
within thirty days after commencing employment or of
taking the position of political party chairman, as the
case may be.
(f) A person who may otherwise be required to file more
than one annual financial disclosure statement with
both the state ethics commission and the legislative
ethics committee in any one calendar year may satisfy
such requirement by filing one such statement with
either body and by notifying the other body of such
compliance.
(g) A person who is employed in more than one employment
capacity for one or more employers certain of whose
officers and employees are subject to filing a
financial disclosure statement with the same ethics
commission or ethics committee, as the case may be, and
who receives distinctly separate payments of
compensation for such employment shall be subject to
the filing requirements of this section if the
aggregate annual compensation for all such employment
capacities is in excess of the filing rate
notwithstanding that such person would not otherwise be
required to file with respect to any one particular
employment capacity. A person not otherwise required to
file a financial disclosure statement hereunder who is
employed by an employer certain of whose officers or
employees are subject to filing a financial disclosure
statement with the state ethics commission and who is
also employed by an employer certain of whose officers
or employees are subject to filing a financial
disclosure statement with the legislative ethics
committee shall not be subject to filing such statement
with either such commission or such committee on the
basis that his aggregate annual compensation from all
such employers is in excess of the filing rate.
(h) A statewide elected official or member of the
legislature, who is simultaneously a candidate for
statewide elected office or member of the legislature,
shall satisfy the filing deadline requirements of this
subdivision by complying only with the deadline
applicable to one who holds a statewide elected office
or who holds the office of member of the legislature.
(i) A candidate whose name will appear on both a party
designating petition and on an independent nominating
petition for the same office or who will be listed on
the election ballot for the same office more than once
shall satisfy the filing deadline requirements of this
subdivision by complying with the earliest applicable
deadline only.
(j) A member of the legislature who is elected to such
office at a special election prior to May fifteenth in
any year shall satisfy the filing requirements of this
subdivision in such year by complying with the earliest
applicable deadline only.
3. The annual statement of financial disclosure shall contain
the information and shall be in the form set forth
hereinbelow:
=================================================================
ANNUAL STATEMENT OF FINANCIAL DISCLOSURE (For calendar year ____)
1. Name ________________________________________________________
2. (a) Title of Position _______________________________________
(b) Department, Agency or other Governmental Entity _________
(c) Address of Present Office _______________________________
(d) Office Telephone Number _________________________________
3. (a) Marital Status ______________. If married, please give
spouse's full name including maiden name where applicable.
___________________________________________.
(b) List the names of all unemancipated children.
___________________________________
___________________________________
___________________________________
___________________________________
___________________________________
Answer each of the following questions completely, with respect
to calendar year _________, unless another period or date is
otherwise specified. If additional space is needed, attach
additional pages.
Whenever a "value" or "amount" is required to be reported herein,
such value or amount shall be reported as being within one of the
following Categories:
Category A - under $5,000;
Category B - $5,000 to under $20,000;
Category C - $20,000 to under $60,000;
Category D - $60,000 to under $100,000;
Category E - $100,000 to under $250,000; and
Category F - $250,000 or over.
A reporting individual shall indicate the Category by letter
only.
Whenever "income" is required to be reported herein, the term
"income" shall mean the aggregate net income before taxes from
the source identified.
The term "calendar year" shall mean the year ending the December
31st preceding the date of filing of the annual statement.
4.(a) list any office, trusteeship, directorship,
partnership, or position of any nature, whether
compensated or not, held by the reporting individual with
any firm, corporation, association, partnership, or other
organization other than the State of New York. Include
compensated honorary positions; do NOT list membership or
uncompensated honorary positions. If the listed entity
was licensed by any state or local agency, was regulated
by any state regulatory agency or local agency, or, as a
regular and significant part of the business or activity
of said entity, did business with, or had matters other
than ministerial matters before, any state or local
agency, list the name of any such agency.
State or
Position Organization Local Agency
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
(b) List any office, trusteeship, directorship,
partnership, or position of any nature, whether
compensated or not, held by the spouse or unemancipated
child of the reporting individual, with any firm,
corporation, association, partnership, or other
organization other than the State of New York. Include
compensated honorary positions; do NOT list membership or
uncompensated honorary positions. If the listed entity
was licensed by any state or local agency, was regulated
by any state regulatory agency or local agency, or, as a
regular and significant part of the business or activity
of said entity, did business with, or had matters other
than ministerial matters before, any state or local
agency, list the name of any such agency.
State or
Position Organization Local
Agency
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
5.(a) List the name, address and description of any
occupation, employment (other than the employment listed
under Item 2 above), trade, business or profession
engaged in by the reporting individual. If such activity
was licensed by any state or local agency, was regulated
by any state regulatory agency or local agency, or, as a
regular and significant part of the business or activity
of said entity, did business with, or had matters other
than ministerial matters before, any state or local
agency, list the name of any such agency.
State or
Name & Address Local
Position of Organization Description Agency
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
(b) If the spouse or unemancipated child of the reporting
individual was engaged in any occupation, employment,
trade, business or profession which activity was licensed
by any state or local agency, was regulated by any state
regulatory agency or local agency, or, as a regular and
significant part of the business or activity of said
entity, did business with, or had matters other than
ministerial matters before, any state or local agency,
list the name, address and description of such
occupation, employment, trade, business or profession and
the name of any such agency.
State or
Name & Address Local
Position of Organization Description Agency
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
6. List any interest, in EXCESS of $1,000, held by the reporting
individual, such individual's spouse or unemancipated child,
or partnership of which any such person is a member, or
corporation, 10% or more of the stock of which is owned or
controlled by any such person, whether vested or contingent,
in any contract made or executed by a state or local agency
and include the name of the entity which holds such interest
and the relationship of the reporting individual or such
individual's spouse or such child to such entity and the
interest in such contract. Do NOT include bonds and notes. Do
NOT list any interest in any such contract on which final
payment has been made and all obligations under the contract
except for guarantees and warranties have been performed,
provided, however, that such an interest must be listed if
there has been an ongoing dispute during the calendar year
for which this statement is filed with respect to any such
guarantees or warranties. Do NOT list any interest in a
contract made or executed by a local agency after public
notice and pursuant to a process for competitive bidding or a
process for competitive requests for proposals.
Entity Relationship Contracting Category
Self, Which Held to Entity State or of
Spouse or Interest in and Interest Local Value of
Child Contract in Contract Agency Contract
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
7. List any position the reporting individual held as an officer
of any political party or political organization, as a member
of any political party committee, or as a political party
district leader.
The term "party" shall have the same meaning as "party" in
the election law. The term "political organization" means any
party or independent body as defined in the election law or
any organization that is affiliated with or a subsidiary of a
party or independent body.
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
8.(a) If the reporting individual practices law, is
licensed by the department of state as a real estate
broker or agent or practices a profession licensed by the
department of education, give a general description of
the principal subject areas of matters undertaken by such
individual. Additionally, if such an individual practices
with a firm or corporation and is a partner or
shareholder of the firm or corporation, give a general
description of principal subject areas of matters
undertaken by such firm or corporation. Do not list the
name of the individual clients, customers or patients.
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
(b) List the name, principal address and general description
or the nature of the business activity of any entity in
which the reporting individual or such individual's
spouse had an investment in excess of $1,000 excluding
investments in securities and interests in real property.
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
9. List each source of gifts, EXCLUDING campaign contributions,
in EXCESS of $1,000, received during the reporting period for
which this statement is filed by the reporting individual or
such individual's spouse or unemancipated child from the same
donor, EXCLUDING gifts from a relative. INCLUDE the name and
address of the donor. The term "gifts" does not include
reimbursements, which term is defined in item 10.
Indicate the value and nature of each such gift.
Category
Self, of
Spouse or Name of Nature Value of
Child Donor Address of Gift Gift
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
10.Identify and briefly describe the source of any
reimbursements for expenditures, EXCLUDING campaign
expenditures and expenditures in connection with official
duties reimbursed by the state, in EXCESS of $1,000 from each
such source. For purposes of this item, the term
"reimbursements" shall mean any travel-related expenses
provided by nongovernmental sources and for activities
related to the reporting individual's official duties such
as, speaking engagements, conferences, or factfinding events.
The term "reimbursements" does NOT include gifts reported
under item 9.
Source Description
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
11.List the identity and value, if reasonably ascertainable, of
each interest in a trust, estate or other beneficial
interest, including retirement plans other than retirement
plans of the state of New York or the city of New York, and
deferred compensation plans (e.g., 401, 403(b), 457, etc.)
established in accordance with the internal revenue code, in
which the REPORTING INDIVIDUAL held a beneficial interest in
EXCESS of $1,000 at any time during the preceding year. Do
NOT report interests in a trust, estate or other beneficial
interest established by or for, or the estate of, a relative.
Category
of
Identity Value*
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
* The value of such interest shall be reported only if
reasonably ascertainable.
12 (a) Describe the terms of, and the parties to, any
contract, promise, or other agreement between the
reporting individual and any person, firm, or corporation
with respect to the employment of such individual after
leaving office or position (other than a leave of
absence).
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
(b) Describe the parties to and the terms of any agreement
providing for continuation of payments or benefits to the
REPORTING INDIVIDUAL in EXCESS of $1,000 from a prior
employer OTHER THAN the State. (This includes interests
in or contributions to a pension fund, profit-sharing
plan, or life or health insurance; buy-out agreements;
severance payments; etc.)
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
13.List below the nature and amount of any income in EXCESS of
$1,000 from EACH SOURCE for the reporting individual and such
individual's spouse for the taxable year last occurring prior
to the date of filing. Nature of income includes, but is not
limited to, all income (other than that received from the
employment listed under Item 2 above) from compensated
employment whether public or private, directorships and other
fiduciary positions, contractual arrangements, teaching
income, partnerships, honorariums, lecture fees, consultant
fees, bank and bond interest, dividends, income derived from
a trust, real estate rents, and recognized gains from the
sale or exchange of real or other property. Income from a
business or profession and real estate rents shall be
reported with the source identified by the building address
in the case of real estate rents and otherwise by the name of
the entity and not by the name of the individual customers,
clients or tenants, with the aggregate net income before
taxes for each building address or entity. The receipt of
maintenance received in connection with a matrimonial action,
alimony and child support payments shall not be listed.
Category
Self/ of
Spouse Source Nature Amount
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
14.List the sources of any deferred income (not retirement
income) in EXCESS of $1,000 from each source to be paid to
the reporting individual following the close of the calendar
year for which this disclosure statement is filed, other than
deferred compensation reported in item 11 hereinabove.
Deferred income derived from the practice of a profession
shall be listed in the aggregate and shall identify as the
source, the name of the firm, corporation, partnership or
association through which the income was derived, but shall
not identify individual clients.
Category
of
Source Amount
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
15.List each assignment of income in EXCESS of $1,000, and each
transfer other than to a relative during the reporting period
for which this statement is filed for less than fair
consideration of an interest in a trust, estate or other
beneficial interest, securities or real property, by the
reporting individual, in excess of $1,000, which would
otherwise be required to be reported herein and is not or has
not been so reported.
Category
Item Assigned Assigned or of
or Transferred Transferred to Value
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
16.List below the type and market value of securities held by
the reporting individual or such individual's spouse from
each issuing entity in EXCESS of $1,000 at the close of the
taxable year last occurring prior to the date of filing,
including the name of the issuing entity exclusive of
securities held by the reporting individual issued by a
professional corporation. Whenever an interest in securities
exists through a beneficial interest in a trust, the
securities held in such trust shall be listed ONLY IF the
reporting individual has knowledge thereof except where the
reporting individual or the reporting individual's spouse has
transferred assets to such trust for his or her benefit in
which event such securities shall be listed unless they are
not ascertainable by the reporting individual because the
trustee is under an obligation or has been instructed in
writing not to disclose the contents of the trust to the
reporting individual. Securities of which the reporting
individual or the reporting individual's spouse is the owner
of record but in which such individual or the reporting
individual's spouse has no beneficial interest shall not be
listed. Indicate percentage of ownership ONLY if the
reporting person or the reporting person's spouse holds more
than five percent (5%) of the stock of a corporation in which
the stock is publicly traded or more than ten percent (10%)
of the stock of a corporation in which the stock is NOT
publicly traded. Also list securities owned for investment
purposes by a corporation more than fifty percent (50%) of
the stock of which is owned or controlled by the reporting
individual or such individual's spouse. For the purpose of
this item the term "securities" shall mean mutual funds,
bonds, mortgages, notes, obligations, warrants and stocks of
any class, investment interests in limited or general
partnerships and certificates of deposits (CDs) and such
other evidences of indebtedness and certificates of interest
as are usually referred to as securities. The market value
for such securities shall be reported only if reasonably
ascertainable and shall not be reported if the security is an
interest in a general partnership that was listed in item 8
(a) or if the security is corporate stock, NOT publicly
traded, in a trade or business of a reporting individual or a
reporting individual's spouse.
Percentage
of corporate
stock owned
or controlled Category of
(if more than Market Value
5% of pub- as of the close
licly traded of the
stock, or taxable year
more than last occurring
10% of stock prior to
Self/ Issuing Type of not publicly the filing of
Spouse Entity Security traded, is held) this statement
__________ _________ _________ ______________ ______________
__________ _________ _________ ______________ ______________
__________ _________ _________ ______________ ______________
__________ _________ _________ ______________ ______________
__________ _________ _________ ______________ ______________
17.List below the location, size, general nature, acquisition
date, market value and percentage of ownership of any real
property in which any vested or contingent interest in EXCESS
of $1,000 is held by the reporting individual or the
reporting individual's spouse. Also list real property owned
for investment purposes by a corporation more than fifty
percent 50% of the stock of which is owned or controlled by
the reporting individual or such individual's spouse. Do NOT
list any real property which is the primary or secondary
personal residence of the reporting individual or the
reporting individual's spouse, except where there is a co-
owner who is other than a relative.
Self/ Percent- Catego-
Spouse/ age of ry of
Corpora- General Acquisition Owner- Market
tion Location Size Nature Date ship Value
______ ________ ____ ______ ___________ ________ _______
______ ________ ____ ______ ___________ ________ _______
______ ________ ____ ______ ___________ ________ _______
______ ________ ____ ______ ___________ ________ _______
______ ________ ____ ______ ___________ ________ _______
18.List below all notes and accounts receivable, other than from
goods or services sold, held by the reporting individual at
the close of the taxable year last occurring prior to the
date of filing and other debts owed to such individual at the
close of the taxable year last occurring prior to the date of
filing, in EXCESS of $1,000, including the name of the
debtor, type of obligation, date due and the nature of the
collateral securing payment of each, if any, excluding
securities reported in item 16 hereinabove. Debts, notes and
accounts receivable owed to the individual by a relative
shall not be reported.
Type of Obligation, Category
Date Due, and Nature of
Name of Debtor of Collateral, if any Amount
__________________ _____________________ ______________
__________________ _____________________ ______________
__________________ _____________________ ______________
__________________ _____________________ ______________
19.List below all liabilities of the reporting individual and
such individual's spouse, in EXCESS of $5,000 as of the date
of filing of this statement, other than liabilities to a
relative. Do NOT list liabilities incurred by, or guarantees
made by, the reporting individual or such individual's spouse
or by any proprietorship, partnership or corporation in which
the reporting individual or such individual's spouse has an
interest, when incurred or made in the ordinary course of the
trade, business or professional practice of the reporting
individual or such individual's spouse. Include the name of
the creditor and any collateral pledged by such individual to
secure payment of any such liability. A reporting individual
shall not list any obligation to pay maintenance in
connection with a matrimonial action, alimony or child
support payments. Any loan issued in the ordinary course of
business by a financial institution to finance educational
costs, the cost of home purchase or improvements for a
primary or secondary residence, or purchase of a personally
owned motor vehicle, household furniture or appliances shall
be excluded. If any such reportable liability has been
guaranteed by any third person, list the liability and name
the guarantor.
Category
Name of Creditor Type of Liability of
or Guarantor and Collateral, if any Amount
__________________ _________________________ _______________
__________________ _________________________ _______________
__________________ _________________________ _______________
__________________ _________________________ _______________
__________________ _________________________ _______________
4. A reporting individual who knowingly and wilfully fails to
file an annual statement of financial disclosure or who
knowingly and wilfully with intent to deceive makes a false
statement or gives information which such individual knows
to be false on such statement of financial disclosure filed
pursuant to this section shall be subject to a civil penalty
in an amount not to exceed ten thousand dollars. Assessment
of a civil penalty hereunder shall be made by the state
ethics commission or by the legislative ethics committee, as
the case may be, with respect to persons subject to their
respective jurisdictions. The state ethics commission acting
pursuant to subdivision thirteen of section ninety-four of
the executive law or the legislative ethics committee acting
pursuant to subdivision twelve of section eighty of the
legislative law, as the case may be, may, in lieu of a civil
penalty, refer a violation to the appropriate prosecutor and
upon such conviction, but only after such referral, such
violation shall be punishable as a class A misdemeanor. A
civil penalty for false filing may not be imposed hereunder
in the event a category of "value" or "amount" reported
hereunder is incorrect unless such reported information is
falsely understated. Notwithstanding any other provision of
law to the contrary, no other penalty, civil or criminal may
be imposed for a failure to file, or for a false filing, of
such statement, except that the appointing authority may
impose disciplinary action as otherwise provided by law. The
state ethics commission and the legislative ethics committee
shall each be deemed to be an agency within the meaning of
article three of the state administrative procedure act and
shall adopt rules governing the conduct of adjudicatory
proceedings and appeals relating to the assessment of the
civil penalties herein authorized. Such rules, which shall
not be subject to the approval requirements of the state
administrative procedure act, shall provide for due process
procedural mechanisms substantially similar to those set
forth in such article three but such mechanisms need not be
identical in terms or scope. Assessment of a civil penalty
shall be final unless modified, suspended or vacated within
thirty days of imposition and upon becoming final shall be
subject to review at the instance of the affected reporting
individual in a proceeding commenced against the state
ethics commission or legislative ethics committee, pursuant
to article seventy-eight of the civil practice law and
rules.
5. Nothing contained in this section shall be construed as
precluding any public authority or public benefit
corporation from exercising any authority or power now or
hereafter existing to require any of its members, directors,
officers or employees to file financial disclosure
statements with such public authority or public benefit
corporation that are the same as, different from or
supplemental to any of the requirements contained herein and
to provide only for internal employment discipline for any
violation arising out of such internal filing.
Sec. 74. Code of ethics.
1. Definition. As used in this section: The term "state agency"
shall mean any state department, or division, board,
commission, or bureau of any state department or any public
benefit corporation or public authority at least one of
whose members is appointed by the governor.
The term "legislative employee" shall mean any officer or
employee of the legislature but it shall not include members
of the legislature.
2. Rule with respect to conflicts of interest. No officer or
employee of a state agency, member of the legislature or
legislative employee should have any interest, financial or
otherwise, direct or indirect, or engage in any business or
transaction or professional activity or incur any obligation
of any nature, which is in substantial conflict with the
proper discharge of his duties in the public interest.
3. Standards.
a. No officer or employee of a state agency, member of the
legislature or legislative employee should accept other
employment which will impair his independence of
judgment in the exercise of his official duties.
b. No officer or employee of a state agency, member of the
legislature or legislative employee should accept
employment or engage in any business or professional
activity which will require him to disclose
confidential information which he has gained by reason
of his official position or authority.
c. No officer or employee of a state agency, member of the
legislature or legislative employee should disclose
confidential information acquired by him in the course
of his official duties nor use such information to
further his personal interests.
d. No officer or employee of a state agency, member of the
legislature or legislative employee should use or
attempt to use his official position to secure
unwarranted privileges or exemptions for himself or
others.
e. No officer or employee of a state agency, member of the
legislature or legislative employee should engage in
any transaction as representative or agent of the state
with any business entity in which he has a direct or
indirect financial interest that might reasonably tend
to conflict with the proper discharge of his official
duties.
f. An officer or employee of a state agency, member of the
legislature or legislative employee should not by his
conduct give reasonable basis for the impression that
any person can improperly influence him or unduly enjoy
his favor in the performance of his official duties, or
that he is affected by the kinship, rank, position or
influence of any party or person.
g. An officer or employee of a state agency should abstain
from making personal investments in enterprises which
he has reason to believe may be directly involved in
decisions to be made by him or which will otherwise
create substantial conflict between his duty in the
public interest and his private interest.
h. An officer or employee of a state agency, member of the
legislature or legislative employee should endeavor to
pursue a course of conduct which will not raise
suspicion among the public that he is likely to be
engaged in acts that are in violation of his trust.
i. No officer or employee of a state agency employed on a
full-time basis nor any firm or association of which
such an officer or employee is a member nor corporation
a substantial portion of the stock of which is owned or
controlled directly or indirectly by such officer or
employee, should sell goods or services to any person,
firm, corporation or association which is licensed or
whose rates are fixed by the state agency in which such
officer or employee serves or is employed.
j. If any officer or employee of a state agency shall have
a financial interest, direct or indirect, having a
value of ten thousand dollars or more in any activity
which is subject to the jurisdiction of a regulatory
agency, he should file with the secretary of state a
written statement that he has such a financial interest
in such activity which statement shall be open to
public inspection.
4. Violations. In addition to any penalty contained in any
other provision of law any such officer, member or employee
who shall knowingly and intentionally violate any of the
provisions of this section may be fined, suspended or
removed from office or employment in the manner provided by
law.
Sec. 74-a. Duty of public officers regarding the physically
handicapped.
It shall be the duty of each public officer responsible for the
scheduling or siting of any public hearing to make reasonable
efforts to ensure that such hearings are held in facilities that
permit barrier-free physical access to the physically
handicapped, as defined in subdivision five of section fifty of
the public buildings law.
Sec. 75. Bribery of members of the legislature.
A person who gives or offers, or causes to be given or offered, a
bribe, or any money, property, or value of any kind, or any
promise or agreement therefor, to a member of the legislature, or
to a person who has been elected a member of the legislature, or
attempts, directly or indirectly, by menace, deceit, suppression
of truth, or other corrupt means, to influence such a member or
person to give or withhold his vote, or to absent himself from
the house of which he is, or is to become, a member, or from any
committee thereof, is punishable by imprisonment for not more
than ten years, or by a fine of not more than five thousand
dollars, or by both.
Section 76. Receiving bribes by members of legislature.
A member of either of the houses composing the legislature of
this state, or a person elected to become a member thereof, who
asks, receives, or agrees to receive any bribe upon any
understanding that his official vote, opinion, judgment or action
shall be influenced thereby, or shall be given in any particular
manner or upon any particular side of any question or matter upon
which he may be required to act in his official capacity, shall
be guilty of a class D felony.
Sec. 77. Unlawful fees and payments.
A member of the legislature or any officer or employee of the
legislature who asks or receives or consents or agrees to receive
any emolument, gratuity or reward or any promise of emolument,
gratuity or reward or any money, property or thing of value or of
personal advantage, except such as may be authorized by law, for
doing or omitting to do any official act, or for performing or
omitting to perform any act whatsoever directly or indirectly
related to any matter in respect to which any duty or discretion
is by or in pursuance of law imposed upon or vested in him, or
may be exercised by him by virtue of his office, or appointment
or employment or his actual relation to the matter including,
without limiting the generality of the foregoing, approving or
promoting the passage of legislation or resolutions or the
confirmation of appointees, or the conduct of investigations, and
a person who shall directly or indirectly offer or make such a
transfer to any member of the legislature or any officer or
employee of the legislature shall be guilty of a felony
punishable by imprisonment for not more than ten years or by a
fine of not more than five thousand dollars, or both.
Sec. 77-a. Members of the legislature liable to forfeiture of
office.
The conviction of a member of the legislature or any officer or
employee of the legislature of any of the crimes defined in
sections seventy-five, seventy-six or seventy-seven of this
chapter, shall involve as a consequence in addition to the
punishment provided in any such section a forfeiture of his
office; and shall disqualify him from ever afterwards holding any
office under this state.
Section 78. Certification of members, officers and employees.
On or before the tenth day after any member, officer or employee
commences the performance of his duties as such, he shall file,
with the secretary of the senate, if a member, officer or
employee of that house, or with the clerk of the assembly, if a
member, officer or employee of that house, or with the secretary
of state if an officer or employee of a state agency, a
certificate acknowledging receipt of a copy of sections seventy-
three, seventy-three-a, seventy-four, seventy-five, seventy-six,
seventy-seven and seventy-eight of this chapter together with
such other material as the secretary of the senate, the clerk of
the assembly or the secretary of state may prepare related
thereto, that he has read the same and undertakes to conform to
the provisions, purposes and intent thereof and to the norms of
conduct for members, officers and employees of the legislature
and state agencies.
Sec. 79. Fine in certain cases.
Where an officer or a member of a board or other body has without
just cause refused or neglected to perform a public duty enjoined
upon him by a special provision of law, a court may impose a
fine, not exceeding two hundred fifty dollars, upon the officer
or member who has so refused or neglected, to be paid into the
treasury of the state.
==============================================================
ARTICLE 5
DELIVERY OF PUBLIC BOOKS
Section 80. Delivery of books and papers, money and property.
==============================================================
Sec. 80. Delivery of books and papers, money and property.
A public officer shall demand from his predecessor in office or
any person in whose possession they may be, a delivery to such
officer of all books and papers, money and property belonging or
appertaining to such office. If such demand is refused, such
officer may make complaint thereof to any justice of the supreme
court of the district, or to the county judge of the county in
which the person refusing resides. If such justice or judge be
satisfied that such books or papers, money and property are
withheld, he shall grant an order directing the person refusing
to show cause before him at a time specified therein, why he
should not deliver the same. At such time, or at any time to
which the matter may be adjourned, on proof of the due service of
the order, such justice or judge shall proceed to inquire into
the circumstances. If the person charged with withholding such
books or papers, money and property makes affidavit before such
justice or judge that he has delivered to the officer all books
and papers, money and property in his custody which, within his
knowledge, or to his belief belong or appertain thereto, such
proceedings before such justice or judge shall cease, and such
person be discharged. If the person complained against shall not
make such oath, and it appears that any such books or papers,
money and property are withheld by him, such justice or judge
shall commit him to the county jail until he delivers such books
and papers, money and property, or is otherwise discharged
according to law. On such commitment, such justice or judge, if
required by the complainant, shall also issue his warrant
directed to any sheriff or constable, commanding him to search,
in the daytime, the places designated therein, for such books and
papers, money and property, and to bring them before such justice
or judge. If any such books and papers, money and property, are
brought before him by virtue of such warrant, he shall determine
whether they appertain to such office, and if so shall cause them
to be delivered to the complainant.
==============================================================
ARTICLE 6
FREEDOM OF INFORMATION LAW
Section 84. Legislative declaration.
85. Short title.
86. Definitions.
87. Access to agency records.
88. Access to state legislative records.
89. General provisions relating to access to
records; certain cases.
90. Severability.
==============================================================
Sec. 84. Legislative declaration.
The legislature hereby finds that a free society is maintained
when government is responsive and responsible to the public, and
when the public is aware of governmental actions. The more open a
government is with its citizenry, the greater the understanding
and participation of the public in government.
As state and local government services increase and public
problems become more sophisticated and complex and therefore
harder to solve, and with the resultant increase in revenues and
expenditures, it is incumbent upon the state and its localities
to extend public accountability wherever and whenever feasible.
The people's right to know the process of governmental decision-
making and to review the documents and statistics leading to
determinations is basic to our society. Access to such
information should not be thwarted by shrouding it with the cloak
of secrecy or confidentiality.
The legislature therefore declares that government is the
public's business and that the public, individually and
collectively and represented by a free press, should have access
to the records of government in accordance with the provisions of
this article.
Sec. 85. Short title.
This article shall be known and may be cited as the "Freedom of
Information Law."
Sec. 86. Definitions.
As used in this article, unless the context requires otherwise:
1. "Judiciary" means the courts of the state, including any
municipal or district court, whether or not of record.
2. "State legislature" means the legislature of the state of
New York, including any committee, subcommittee, joint
committee, select committee, or commission thereof.
3. "Agency" means any state or municipal department, board,
bureau, division, commission, committee, public authority,
public corporation, council, office or other governmental
entity performing a governmental or proprietary function for
the state or any one or more municipalities thereof, except
the judiciary or the state legislature.
4. "Record" means any information kept, held, filed, produced
or reproduced by, with or for an agency or the state
legislature, in any physical form whatsoever including, but
not limited to, reports, statements, examinations,
memoranda, opinions, folders, files, books, manuals,
pamphlets, forms, papers, designs, drawings, maps, photos,
letters, microfilms, computer tapes or discs, rules,
regulations or codes.
Section 87. Access to agency records.
1. (a) Within sixty days after the effective date of this
article, the governing body of each public corporation
shall promulgate uniform rules and regulations for all
agencies in such public corporation pursuant to such
general rules and regulations as may be promulgated by
the committee on open government in conformity with the
provisions of this article, pertaining to the
administration of this article.
(b) Each agency shall promulgate rules and regulations, in
conformity with this article and applicable rules and
regulations promulgated pursuant to the provisions of
paragraph (a) of this subdivision, and pursuant to such
general rules and regulations as may be promulgated by
the committee on open government in conformity with the
provisions of this article, pertaining to the
availability of records and procedures to be followed,
including, but not limited to:
i. the times and places such records are available;
ii. the persons from whom such records may be
obtained, and
iii. the fees for copies of records which shall not
exceed twenty-five cents per photocopy not in
excess of nine inches by fourteen inches, or the
actual cost of reproducing any other record,
except when a different fee is otherwise
prescribed by statute.
2. Each agency shall, in accordance with its published rules,
make available for public inspection and copying all
records, except that such agency may deny access to records
or portions thereof that:
(a) are specifically exempted from disclosure by state or
federal statute;
(b) if disclosed would constitute an unwarranted invasion
of personal privacy under the provisions of subdivision
two of section eighty-nine of this article;
(c) if disclosed would impair present or imminent contract
awards or collective bargaining negotiations;
(d) are trade secrets or are submitted to an agency by a
commercial enterprise or derived from information
obtained from a commercial enterprise and which if
disclosed would cause substantial injury to the
competitive position of the subject enterprise;
(e) are compiled for law enforcement purposes and which, if
disclosed, would:
i. interfere with law enforcement investigations or
judicial proceedings;
ii. deprive a person of a right to a fair trial or
impartial adjudication;
iii. identify a confidential source or disclose
confidential information relating to a criminal
investigation; or
iv. reveal criminal investigative techniques or
procedures, except routine techniques and
procedures;
(f) if disclosed would endanger the life or safety of any
person;
(g) are inter-agency or intra-agency materials which are
not:
i. statistical or factual tabulations or data;
ii. instructions to staff that affect the public;
iii. final agency policy or determinations; or
*iv. external audits, including but not limited to
audits performed by the comptroller and the
federal government; or
* NB Repealed 99/01/01
(h) are examination questions or answers which are
requested prior to the final administration of such
questions.
(i) are computer access codes.
*(j) are photographs, microphotographs, videotape or other
recorded images prepared under authority of section
eleven hundred eleven-a of the vehicle and traffic law.
* NB Repealed 96/12/01
3. Each agency shall maintain:
(a) a record of the final vote of each member in every
agency proceeding in which the member votes;
(b) a record setting forth the name, public office address,
title and salary of every officer or employee of the
agency; and
(c) a reasonably detailed current list by subject matter,
of all records in the possession of the agency, whether
or not available under this article.
4. (a) Each state agency which maintains records
containing trade secrets, to which access may be denied
pursuant to paragraph (d) of subdivision two of this
section, shall promulgate regulations in conformity
with the provisions of subdivision five of section
eighty-nine of this article pertaining to such records,
including, but not limited to the following:
(1) the manner of identifying the records or parts;
(2) the manner of identifying persons within the
agency to whose custody the records or parts will
be charged and for whose inspection and study the
records will be made available;
(3) the manner of safeguarding against any
unauthorized access to the records.
(b) As used in this subdivision the term "agency" or "state
agency" means only a state department, board, bureau,
division, council or office and any public corporation
the majority of whose members are appointed by the
governor.
Section 88. Access to state legislative records.
1. The temporary president of the senate and the speaker of the
assembly shall promulgate rules and regulations for their
respective houses in conformity with the provisions of this
article, pertaining to the availability, location and nature
of records, including, but not limited to:
(a) the times and places such records are available;
(b) the persons from whom such records may be obtained;
(c) the fees for copies of such records, which shall not
exceed twenty-five cents per photocopy not in excess of
nine inches by fourteen inches, or the actual cost of
reproducing any other record, except when a different
fee is otherwise prescribed by law.
2. The state legislature shall, in accordance with its
published rules, make available for public inspection and
copying:
(a) bills and amendments thereto, fiscal notes,
introducers' bill memoranda, resolutions and amendments
thereto, and index records;
(b) messages received from the governor or the other house
of the legislature, and home rule messages;
(c) legislative notification of the proposed adoption of
rules by an agency;
(d) transcripts or minutes, if prepared, and journal
records of public sessions including meetings of
committees and subcommittees and public hearings, with
the records of attendance of members thereat and
records of any votes taken;
(e) internal or external audits and statistical or factual
tabulations of, or with respect to, material otherwise
available for public inspection and copying pursuant to
this section or any other applicable provision of law;
(f) administrative staff manuals and instructions to staff
that affect members of the public;
(g) final reports and formal opinions submitted to the
legislature;
(h) final reports or recommendations and minority or
dissenting reports and opinions of members of
committees, subcommittees, or commissions of the
legislature;
*(j) external audits conducted pursuant to section ninety-
two of the legislative law and schedules issued
pursuant to subdivision two of section ninety of the
legislative law;
* NB Repealed 99/01/01
*(j) any other files, records, papers or documents required
by law to be made available for public inspection and
copying.
* NB Effective 99/01/01
*(k) any other files, records, papers or documents required
by law to be made available for public inspection and
copying.
* NB Repealed Effective 99/01/01
3. Each house shall maintain and make available for public
inspection and copying: (a) a record of votes of each member
in every session and every committee and subcommittee
meeting in which the member votes;
(b) a record setting forth the name, public office address,
title, and salary of every officer or employee; and
(c) a current list, reasonably detailed, by subject matter
of any records required to be made available for public
inspection and copying pursuant to this section.
Section 89. General provisions relating to access to records;
certain cases.
The provisions of this section apply to access to all records,
except as hereinafter specified:
1. (a) The committee on open government is continued and
shall consist of the lieutenant governor or the
delegate of such officer, the secretary of state or the
delegate of such officer, whose office shall act as
secretariat for the committee, the commissioner of the
office of general services or the delegate of such
officer, the director of the budget or the delegate of
such officer, and seven other persons, none of whom
shall hold any other state or local public office
except the representative of local governments as set
forth herein, to be appointed as follows: five by the
governor, at least two of whom are or have been
representatives of the news media, one of whom shall be
a representative of local government who, at the time
of appointment, is serving as a duly elected officer of
a local government, one by the temporary president of
the senate, and one by the speaker of the assembly. The
persons appointed by the temporary president of the
senate and the speaker of the assembly shall be
appointed to serve, respectively, until the expiration
of the terms of office of the temporary president and
the speaker to which the temporary president and
speaker were elected. The four persons presently
serving by appointment of the governor for fixed terms
shall continue to serve until the expiration of their
respective terms. Thereafter, their respective
successors shall be appointed for terms of four years.
The member representing local government shall be
appointed for a term of four years, so long as such
member shall remain a duly elected officer of a local
government. The committee shall hold no less than two
meetings annually, but may meet at any time. The
members of the committee shall be entitled to
reimbursement for actual expenses incurred in the
discharge of their duties.
(b) The committee shall:
i. furnish to any agency advisory guidelines,
opinions or other appropriate information
regarding this article;
ii. furnish to any person advisory opinions or other
appropriate information regarding this article;
iii. promulgate rules and regulations with respect to
the implementation of subdivision one and
paragraph (c) of subdivision three of section
eighty-seven of this article;
iv. request from any agency such assistance, services
and information as will enable the committee to
effectively carry out its powers and duties; and
v. report on its activities and findings regarding
articles six and seven of this chapter, including
recommendations for changes in the law, to the
governor and the legislature annually, on or
before December fifteenth.
2. (a) The committee on public access to records may
promulgate guidelines regarding deletion of identifying
details or withholding of records otherwise available
under this article to prevent unwarranted invasions of
personal privacy. In the absence of such guidelines, an
agency may delete identifying details when it makes
records available.
(b) An unwarranted invasion of personal privacy includes,
but shall not be limited to:
i. disclosure of employment, medical or credit
histories or personal references of applicants for
employment;
ii. disclosure of items involving the medical or
personal records of a client or patient in a
medical facility;
iii. sale or release of lists of names and addresses if
such lists would be used for commercial or fund-
raising purposes;
iv. disclosure of information of a personal nature
when disclosure would result in economic or
personal hardship to the subject party and such
information is not relevant to the work of the
agency requesting or maintaining it; or
v. disclosure of information of a personal nature
reported in confidence to an agency and not
relevant to the ordinary work of such agency.
(c) Unless otherwise provided by this article, disclosure
shall not be construed to constitute an unwarranted
invasion of personal privacy pursuant to paragraphs (a)
and (b) of this subdivision:
i. when identifying details are deleted;
ii. when the person to whom a record pertains consents
in writing to disclosure;
iii. when upon presenting reasonable proof of identity,
a person seeks access to records pertaining to
him.
2-a. Nothing in this article shall permit disclosure which
constitutes an unwarranted invasion of personal privacy as
defined in subdivision two of this section if such
disclosure is prohibited under section ninety-six of this
chapter.
3. Each entity subject to the provisions of this article,
within five business days of the receipt of a written
request for a record reasonably described, shall make such
record available to the person requesting it, deny such
request in writing or furnish a written acknowledgement of
the receipt of such request and a statement of the
approximate date when such request will be granted or
denied, including, where appropriate, a statement that
access to the record will be determined in accordance with
subdivision five of this section. Upon payment of, or offer
to pay, the fee prescribed therefor, the entity shall
provide a copy of such record and certify to the correctness
of such copy if so requested, or as the case may be, shall
certify that it does not have possession of such record or
that such record cannot be found after diligent search.
Nothing in this article shall be construed to require any
entity to prepare any record not possessed or maintained by
such entity except the records specified in subdivision
three of section eighty-seven and subdivision three of
section eighty-eight.
4. (a) Except as provided in subdivision five of this
section, any person denied access to a record may
within thirty days appeal in writing such denial to the
head, chief executive or governing body of the entity,
or the person therefor designated by such head, chief
executive, or governing body, who shall within ten
business days of the receipt of such appeal fully
explain in writing to the person requesting the record
the reasons for further denial, or provide access to
the record sought. In addition, each agency shall
immediately forward to the committee on open government
a copy of such appeal when received by the agency and
the ensuing determination thereon.
(b) Except as provided in subdivision five of this section,
a person denied access to a record in an appeal
determination under the provisions of paragraph (a) of
this subdivision may bring a proceeding for review of
such denial pursuant to article seventy-eight of the
civil practice law and rules. In the event that access
to any record is denied pursuant to the provisions of
subdivision two of section eighty-seven of this
article, the agency involved shall have the burden of
proving that such record falls within the provisions of
such subdivision two.
(c) The court in such a proceeding may assess, against such
agency involved, reasonable attorney's fees and other
litigation costs reasonably incurred by such person in
any case under the provisions of this section in which
such person has substantially prevailed, provided, that
such attorney's fees and litigation costs may be
recovered only where the court finds that:
i. the record involved was, in fact, of clearly
significant interest to the general public; and
ii. the agency lacked a reasonable basis in law for
withholding the record.
5. (a) (1) A person acting pursuant to law or
regulation who, subsequent to the effective date
of this subdivision, submits any information to
any state agency may, at the time of submission,
request that the agency except such information
from disclosure under paragraph (d) of subdivision
two of section eighty-seven of this article. Where
the request itself contains information which if
disclosed would defeat the purpose for which the
exception is sought, such information shall also
be excepted from disclosure.
(2) The request for an exception shall be in writing
and state the reasons why the information should
be excepted from disclosure.
(3) Information submitted as provided in subparagraph
one of this paragraph shall be excepted from
disclosure and be maintained apart by the agency
from all other records until fifteen days after
the entitlement to such exception has been finally
determined or such further time as ordered by a
court of competent jurisdiction.
(b) On the initiative of the agency at any time, or upon
the request of any person for a record excepted from
disclosure pursuant to this subdivision, the agency
shall:
(1) inform the person who requested the exception of
the agency's intention to determine whether such
exception should be granted or continued;
(2) permit the person who requested the exception,
within ten business days of receipt of
notification from the agency, to submit a written
statement of the necessity for the granting or
continuation of such exception;
(3) within seven business days of receipt of such
written statement, or within seven business days
of the expiration of the period prescribed for
submission of such statement, issue a written
determination granting, continuing or terminating
such exception and stating the reasons therefor;
copies of such determination shall be served upon
the person, if any, requesting the record, the
person who requested the exception, and the
committee on public access to records.
(c) A denial of an exception from disclosure under
paragraph (b) of this subdivision may be appealed by
the person submitting the information and a denial of
access to the record may be appealed by the person
requesting the record in accordance with this
subdivision:
(1) Within seven business days of receipt of written
notice denying the request, the person may file a
written appeal from the determination of the
agency with the head of the agency, the chief
executive officer or governing body or their
designated representatives.
(2) The appeal shall be determined within ten business
days of the receipt of the appeal. Written notice
of the determination shall be served upon the
person, if any, requesting the record, the person
who requested the exception and the committee on
public access to records. The notice shall contain
a statement of the reasons for the determination.
(d) A proceeding to review an adverse determination
pursuant to paragraph (c) of this subdivision may be
commenced pursuant to article seventy-eight of the
civil practice law and rules. Such proceeding must be
commenced within fifteen days of the service of the
written notice containing the adverse determination
provided for in subparagraph two of paragraph (c) of
this subdivision.
(e) The person requesting an exception from disclosure
pursuant to this subdivision shall in all proceedings
have the burden of proving entitlement to the
exception.
(f) Where the agency denies access to a record pursuant to
paragraph (d) of subdivision two of section eighty-
seven of this article, the agency shall have the burden
of proving that the record falls within the provisions
of such exception.
(g) Nothing in this subdivision shall be construed to deny
any person access, pursuant to the remaining provisions
of this article, to any record or part excepted from
disclosure upon the express written consent of the
person who had requested the exception.
(h) As used in this subdivision the term "agency" or "state
agency" means only a state department, board, bureau,
division, council or office and any public corporation
the majority of whose members are appointed by the
governor.
6. Nothing in this article shall be construed to limit or
abridge any otherwise available right of access at law or in
equity of any party to records.
7. Nothing in this article shall require the disclosure of the
home address of an officer or employee, former officer or
employee, or of a retiree of a public employees' retirement
system; nor shall anything in this article require the
disclosure of the name or home address of a beneficiary of a
public employees' retirement system or of an applicant for
appointment to public employment; provided however, that
nothing in this subdivision shall limit or abridge the right
of an employee organization, certified or recognized for any
collective negotiating unit of an employer pursuant to
article fourteen of the civil service law, to obtain the
name or home address of any officer, employee or retiree of
such employer, if such name or home address is otherwise
available under this article.
8. Any person who, with intent to prevent the public inspection
of a record pursuant to this article, willfully conceals or
destroys any such record shall be guilty of a violation.
Sec. 90. Severability.
If any provision of this article or the application thereof to
any person or circumstances is adjudged invalid by a court of
competent jurisdiction, such judgment shall not affect or impair
the validity of the other provisions of the article or the
application thereof to other persons and circumstances.
==============================================================
ARTICLE 6-A
PERSONAL PRIVACY PROTECTION LAW
Section 91. Short title.
92. Definitions.
93. Powers and duties of the committee.
94. Agency obligations.
95. Access to records.
96. Disclosure of records.
97. Civil remedies.
98. No waiver.
99. Executive authority.
==============================================================
Section 91. Short title.
This article shall be known as the "personal privacy protection
law".
Section 92. Definitions.
(1) Agency. The term "agency" means any state board, bureau,
committee, commission, council, department, public
authority, public benefit corporation, division, office or
any other governmental entity performing a governmental or
proprietary function for the state of New York, except the
judiciary or the state legislature or any unit of local
government and shall not include offices of district
attorneys.
(2) Committee. The term "committee" means the committee on open
government as constituted pursuant to subdivision one of
section eighty-nine of this chapter.
(3) Data subject. The term "data subject" means any natural
person about whom personal information has been collected by
an agency.
(4) Disclose. The term "disclose" means to reveal, release,
transfer, disseminate or otherwise communicate personal
information or records orally, in writing or by electronic
or any other means other than to the data subject.
(5) Governmental unit. The term "governmental unit" means any
governmental entity performing a governmental or proprietary
function for the federal government or for any state or any
municipality thereof.
(6) Law. The term "law" means state or federal statute, rule or
regulation.
(7) Personal information. The term "personal information" means
any information concerning a data subject which, because of
name, number, symbol, mark or other identifier, can be used
to identify that data subject.
(8) Public safety agency record. The term "public safety agency
record" means a record of the commission of correction, the
temporary state commission of investigation, the department
of correctional services, the division for youth, the
division of parole, the crime victims board, the division of
probation and correctional alternatives or the division of
state police or of any agency or component thereof whose
primary function is the enforcement of civil or criminal
statutes if such record pertains to investigation, law
enforcement, confinement of persons in correctional
facilities or supervision of persons pursuant to criminal
conviction or court order, and any records maintained by the
division of criminal justice services pursuant to sections
eight hundred thirty-seven, eight hundred thirty-seven-a,
eight hundred thirty-seven-b, eight hundred thirty-seven-c,
eight hundred thirty-eight, eight hundred thirty-nine, eight
hundred forty-five, and eight hundred forty-five-a of the
executive law and by the department of state pursuant to
section ninety-nine of the executive law.
(9) Record. The term "record" means any item, collection or
grouping of personal information about a data subject which
is maintained and is retrievable by use of the name or other
identifier of the data subject irrespective of the physical
form or technology used to maintain such personal
information. The term "record" shall not include personal
information which is not used to make any determination
about the data subject if it is:
(a) a telephone book or directory which is used exclusively
for telephone and directory information;
(b) any card catalog, book or other resource material in
any library;
(c) any compilation of information containing names and
addresses only which is used exclusively for the
purpose of mailing agency information;
(d) personal information required by law to be maintained,
and required by law to be used, only for statistical
research or reporting purposes;
(e) information requested by the agency which is necessary
for the agency to answer unsolicited requests by the
data subject for information; or
(f) correspondence files.
(10) Routine use. The term "routine use" means, with respect to
the disclosure of a record or personal information, any use
of such record or personal information relevant to the
purpose for which it was collected, and which use is
necessary to the statutory duties of the agency that
collected or obtained the record or personal information, or
necessary for that agency to operate a program specifically
authorized by law.
(11) System of records. The term "system of records" means any
group of records under the actual or constructive control of
any agency pertaining to one or more data subjects from
which personal information is retrievable by use of the name
or other identifier of a data subject.
Section 93. Powers and duties of the committee.
(1) The committee shall prepare a directory derived from the
information provided pursuant to section three of chapter
six hundred seventy-seven of the laws of nineteen hundred
eighty and subdivision four of section ninety-four of this
article. The directory shall include the name of each system
of records subject to the provisions of this article, the
name and subdivision of the agency maintaining it, the title
and business address of the person responsible therefor, the
approximate number of data subjects and the categories of
information collected, and sufficient information for the
identification of rules promulgated by agencies pursuant to
this article. Individuals shall be permitted to purchase the
directory for a reasonable price as set by the committee in
accordance with law.
(2) The committee may, upon request of a data subject eligible
to make a request under section ninety-five of this article,
investigate, make findings and furnish an advisory opinion
in connection with the requirements of section ninety-five
of this article. Prior to the issuance of an advisory
opinion, the committee may require an agency to provide
additional information which the committee deems necessary
to render an opinion. However, no system of records exempt
from the provisons of section ninety-five of this article
shall be subject to the provisions of this subdivision.
(3) Within thirty business days of the receipt of a privacy
impact statement or supplemental statement by an agency the
committee shall review such statement to determine whether
the maintenance of the system is within the lawful authority
of the agency and to determine whether there have been
established rules and procedures as required by section
ninety-four of this article. However, such review by the
committee shall not include examination of personal
information or records collected or maintained by such
agency. After review of such information the committee may
notify the agency of the result of its review. Such
notification and result shall not constitute an advisory
opinion and shall not be reported as such by the committee
and there shall be no obligation upon the agency to respond
to such notification or result.
(4) The committee shall promulgate rules for the specification
of the form of the privacy impact statement. Such privacy
impact statement shall include the following:
(a) the name of the agency and the subdivision within the
agency that will maintain the system of records, and
the name or title of the system of records in which
such information will be maintained;
(b) the title and business address of the official within
the agency responsible for the system of records;
(c) where applicable, the procedures by which a data
subject may gain access to personal information
pertaining to such data subject in the system of
records and the procedures by which a data subject may
seek to amend or correct its contents;
(d) the categories and the approximate number of persons on
whom records will be maintained in the system of
records;
(e) the categories of information which will be collected
and maintained in the system of records;
(f) the purposes for which each category of information
within the system of records will be collected and
maintained;
(g) the disclosures of personal information within the
system of records that the agency will regularly make
for each category of information, and the authority for
such disclosures;
(h) the general or specific statutory authority for the
collection, maintenance and disclosure of each category
of information within the system of records;
(i) policies governing retention and timely disposal of
information within the system of records in accordance
with law;
(j) each and every source for each category of information
within the system of records;
(k) a statement indicating whether the system of records
will be maintained manually, by automated data system,
or both.
(5) The committee shall report its activities and findings,
including recommendations for changes in the law, to the
governor and the legislature annually, on or before December
fifteenth.
(6) In order to carry out the provisions of this article, the
committee is authorized to:
(a) enter into contracts or other arrangements or
modifications thereof, with any government, any
governmental unit, or any department of the state, or
with any individual, firm, association or corporation
within the amounts appropriated therefor and subject to
the audit and warrant of the state comptroller;
(b) delegate any of its functions to such officers and
employees of the committee as the committee may
designate;
(c) establish model guidelines with respect to the
implementation of this article.
Section 94. Agency obligations.
(1) Each agency that maintains a system of records shall:
(a) except when a data subject provides an agency with
unsolicited personal information, maintain in its
records only such personal information which is
relevant and necessary to accomplish a purpose of the
agency required to be accomplished by statute or
executive order, or to implement a program specifically
authorized by law;
(b) consistent with the standards of paragraph (a) of this
subdivision, maintain all records used by the agency to
make any determination about any data subject with
accuracy, relevance, timeliness and completeness
provided however, that personal information or records
received by an agency from another governmental unit
for inclusion in public safety agency records shall be
presumed to be accurate;
(c) collect personal information directly from the data
subject whenever practicable, except when collected for
the purpose of making quasi-judicial determinations;
(d) provide each data subject whom it requests to supply
information to be maintained in a record, at the time
of the initial request, with notification as provided
in this paragraph. Where such notification has been
provided, subsequent requests for information from the
data subject to be maintained in the same record need
not be accompanied by notification unless the initial
notification is not applicable to the subsequent
request. Notification shall include:
(i) the name of the agency and any subdivision
within the agency that is requesting the
personal information and the name or title of
the system of records in which such information
will be maintained;
(ii) the title, business address and telephone number
of the agency official who is responsible for
the system of records;
(iii) the authority granted by law, which authorizes
the collection and maintenance of the
information;
(iv) the effects on such data subject, if any, of not
providing all or any part of the requested
information;
(v) the principal purpose or purposes for which the
information is to be collected; and
(vi) the uses which may be made of the information
pursuant to paragraphs (b), (e) and (f) of
subdivision one of section ninety-six of this
article;
(e) ensure that no record pertaining to a data subject
shall be modified or destroyed to avoid the provisions
of this article;
(f) cause the requirements of this article to be applied to
any contract it executes for the operation of a system
of records, or for research, evaluation or reporting,
by the agency or on its behalf;
(g) establish written policies in accordance with law
governing the responsibilities of persons pertaining to
their involvement in the design, development, operation
or maintenance of any system of records, and instruct
each such person with respect to such policies and the
requirements of this article, including any other rules
and regulations and procedures adopted pursuant to this
article, and the penalties for noncompliance;
(h) establish appropriate administrative, technical and
physical safeguards to ensure the security of records;
(i) establish rules governing retention and timely disposal
of records in accordance with law;
(j) designate an agency employee who shall be responsible
for ensuring that the agency complies with all of the
provisions of this article;
(k) whenever a data subject is entitled under this article
to gain access to a record, disclose such record at a
location near the residence of the data subject
whenever reasonable, or by mail;
(l) upon denial of a request under subdivision one or two
of section ninety-five of this article, inform the data
subject of its procedures for review of initial
determinations and the name and business address of the
reviewing officials.
(2) In order to carry out the provisions of this article each
agency that maintains a system of records shall promulgate
rules which shall set forth the following:
(a) procedures by which a data subject can learn if a
system of records contains any records pertaining to
him or her;
(b) reasonable times, places and means for verifying the
identity of a data subject who requests access to his
or her record;
(c) procedures for providing access, upon the data
subject's request, to the data subject's record;
(d) procedures for reviewing a request from a data subject
for access to, and for correction or amendment of his
or her record, for making a determination on such
request, and for an appeal within the agency of an
initial adverse agency determination.
(3) Each agency, for disclosures made pursuant to paragraphs
(d), (i) and (l) of subdivision one of section ninety-six of
this article, except for disclosures made for inclusion in
public safety agency records when such record is requested
for the purpose of obtaining information required for the
investigation of a violation of civil or criminal statutes
within the disclosing agency, shall:
(a) keep an accurate accounting of the date, nature and
purpose of each disclosure of a record or personal
information, and the name and address of the person or
governmental unit to whom the disclosure is made;
(b) retain the accounting made under paragraph (a) of this
subdivision as part of said record for at least five
years after the disclosure for which the accounting is
made, or for the life of the record disclosed,
whichever is longer;
(c) at the request of the data subject, inform any person
or other governmental unit to which a disclosure has
been or is made of any correction, amendment, or
notation of dispute made by the agency, provided that
an accounting of the prior disclosure was made or that
the data subject to whom the record pertains provides
the name of such person or governmental unit;
(d) with respect to a disclosure made for inclusion in a
public safety agency record or to a governmental unit
or component thereof whose primary function is the
enforcement of civil or criminal statutes, notify the
receiving governmental unit that an accounting of such
disclosure is being made pursuant to this subdivision
and that such accounting will be accessible to the data
subject upon his or her request unless otherwise
specified by the receiving governmental unit pursuant
to paragraph (e) of this subdivision;
(e) with respect to a disclosure made for inclusion in a
public safety agency record or to a governmental unit
or component thereof whose primary function is the
enforcement of civil or criminal statutes, if in its
request for the record the receiving governmental unit
states that it has determined that access by the data
subject to the accounting of such disclosure would
impede criminal investigations and specifies the
approximate date on which such determination will no
longer be applicable, refuse the data subject access to
such accounting or information that such accounting has
been made, except upon court ordered subpoena, during
the applicable time period. Upon the expiration of said
time period the disclosing agency shall inquire of the
receiving governmental unit as to the continued
relevancy of the initial determination and, unless
requested in writing by the receiving governmental unit
to extend the determination for a specified period of
time, shall make available to the data subject an
accounting of said disclosure; and
(f) in making a disclosure pursuant to subdivision one of
section ninety-six of this article, an agency shall
make such disclosure pursuant to paragraph (d), (i) or
(l) of said subdivision only when such disclosure
cannot be made pursuant to any other paragraph of said
subdivision.
(4) (a) Any agency which established or substantially
modified a system of records after December fifteenth,
nineteen hundred eighty, but before the effective date
of this article, or which did not report to the
committee a system of records which it maintained prior
to December fifteenth, nineteen hundred eighty, shall
file notice with the committee pursuant to chapter six
hundred seventy-seven of the laws of nineteen hundred
eighty within thirty business days of the effective
date of this article.
(b) Any agency which seeks to establish a system of records
subsequent to the effective date of this article shall
file with the committee a privacy impact statement as
prescribed by subdivision four of section ninety-three
of this article. Any agency which seeks to modify a
system of records in a way which would render
inaccurate any information set forth in the privacy
impact statement, in the notice described in paragraph
(a) of this subdivision or in the notice filed pursuant
to chapter six hundred seventy-seven of the laws of
nineteen hundred eighty, shall file with the committee
a supplemental statement to conform the privacy impact
statement or notice to the proposed modification.
Unless the date by which such proposed system or
modification is required by law to be instituted is
less than thirty business days from the date of the
filing of the privacy impact statement, no such
proposed system or modification shall be instituted
until the completion of the procedures set forth in
subdivision three of section ninety-three of this
article.
(5) Each agency shall, within fifteen business days of the
receipt of an advisory opinion issued by the committee,
respond in writing to the committee as to the following:
(a) the actions it has taken, or will take, to comply with
the advisory opinion; or
(b) the reasons for disagreement and noncompliance with the
advisory opinion.
(6) On or before the first day of September of each year, each
agency shall submit a report covering the preceding year to
the committee. The report shall include, with respect to
requests for access to records and with respect to requests
for correction or amendment of records pursuant to
subdivisions one and two of section ninety-five of this
article, respectively, the following information:
(i) the number of determinations made to grant such
requests; and
(ii) the number of determinations made to deny such
requests, in whole or in part, respectively.
(7) The provisions of paragraphs (c) and (d) of subdivision one
of this section shall not apply to the following:
(a) personal information that is collected for inclusion in
a public safety agency record;
(b) personal information that is maintained by a licensing
or franchise-approving agency or component thereof for
the purpose of determining whether administrative or
criminal action should be taken to restrain or
prosecute purported violations of law, or to grant,
deny, suspend, or revoke a professional, vocational, or
occupational license, certification or registration, or
to deny or approve a franchise;
(c) personal information solicited from a data subject
receiving services at a treatment facility, provided
that each such data subject shall, as soon as
practicable, be provided a notification including
information specified in subparagraphs (i), (ii),
(iii), (iv), (v) and (vi) of paragraph (d) of
subdivision one of this section describing systems of
records concerning the data subject maintained by the
treatment facility.
(8) The provisions of subdivisions two, three and six of this
section shall not apply to public safety agency records.
(9) Nothing in this article shall abrogate in any way any
obligation regarding the maintenance of records otherwise
imposed on an agency at law or in equity.
(10) Each agency record which is transferred to the state
archives as a record which has sufficient historical or
other value to warrant its continued preservation by the
state shall, for the purposes of this article, be considered
to be maintained by the state archives and shall be exempt
from the requirements of this article, except as otherwise
provided in this section and except that such record shall
continue to be subject to inspection and correction by the
data subject by application to the agency which compiled it,
as provided in subdivisions one through four of section
ninety-five of this chapter.
Section 95. Access to records.
(1) (a) Each agency subject to the provisions of this
article, within five business days of the receipt of a
written request from a data subject for a record
reasonably described pertaining to that data subject,
shall make such record available to the data subject,
deny such request in whole or in part and provide the
reasons therefor in writing, or furnish a written
acknowledgement of the receipt of such request and a
statement of the approximate date when such request
will be granted or denied, which date shall not exceed
thirty days from the date of the acknowledgement.
(b) An agency shall not be required to provide a data
subject with access to a record pursuant to this
section if:
(i) the agency does not have the possession of such
record;
(ii) such record cannot be retrieved by use of the
data subject's description thereof, or by use of
the name or other identifier of the data
subject, without extraordinary search methods
being employed by the agency; or
(iii) access to such record is not required to be
provided pursuant to subdivision five, six or
seven of this section.
(c) Upon payment of, or offer to pay, the fee prescribed by
section eighty-seven of this chapter, the agency shall
provide a copy of the record requested and certify to
the correctness of such copy if so requested. The
record shall be made available in a printed form
without any codes or symbols, unless accompanied by a
document fully explaining such codes or symbols. Upon a
data subject's voluntary request the agency shall
permit a person of the data subject's choosing to
accompany the data subject when reviewing and obtaining
a copy of a record, provided that the agency may
require the data subject to furnish a written statement
authorizing discussion of the record in the
accompanying person's presence.
(2) Each agency shall, within thirty business days of receipt of
a written request from a data subject for correction or
amendment of a record or personal information, reasonably
described, pertaining to that data subject, which he or she
believes is not accurate, relevant, timely or complete,
either:
(a) make the correction or amendment in whole or in part,
and inform the data subject that upon his or her
request such correction or amendment will be provided
to any or all persons or governmental units to which
the record or personal information has been or is
disclosed, pursuant to paragraph (c) of subdivision
three of section ninety-four of this article; or
(b) inform the data subject of its refusal to correct or
amend the record and its reasons therefor.
(3) Any data subject whose request under subdivision one or two
of this section is denied in whole or in part may, within
thirty business days, appeal such denial in writing to the
head, chief executive or governing body of the agency, or
the person designated as the reviewing official by such
head, chief executive or governing body. Such official shall
within seven business days of the receipt of an appeal
concerning denial of access, or within thirty business days
of the receipt of an appeal concerning denial of correction
or amendment, either provide access to or correction or
amendment of the record sought and inform the data subject
that, upon his or her request, such correction or amendment
will be provided to any or all persons or governmental units
to which the record or personal information has been or is
disclosed, pursuant to paragraph (c) of subdivision three of
section ninety-four of this article, or fully explain in
writing to the data subject the factual and statutory
reasons for further denial and inform the data subject of
his or her right to thereupon seek judicial review of the
agency's determination under section ninety-seven of this
article. Each agency shall immediately forward to the
committee a copy of such appeal, the determination thereof
and the reasons therefor.
(4) If correction or amendment of a record or personal
information is denied in whole or in part upon appeal, the
agency shall inform the data subject of the right to file
with the agency a statement of reasonable length setting
forth the reasons for disagreement with the agency's
determination and that, upon request, his or her statement
of disagreement will be provided to any or all persons or
governmental units to which the record has been or is
disclosed, pursuant to paragraph (c) of subdivision three of
section ninety-four of this article. With respect to any
personal information about which a data subject has filed a
statement of disagreement, the agency shall clearly note any
portions of the record which are disputed, and shall attach
the data subject's statement of disagreement as part of the
record. When providing the data subject's statement of
disagreement to other persons or governmental units pursuant
to paragraph (c) of subdivision three of section ninety-four
of this article, the agency may, if it deems appropriate,
also include in the record a concise statement of the
agency's reasons for not making the requested amendment.
(5) (a) Any agency which may not otherwise exempt personal
information from the operation of this section may do
so, unless access by the data subject is otherwise
authorized or required by law, if such information is
compiled for law enforcement purposes and would, if
disclosed:
(i) interfere with law enforcement investigations or
judicial proceedings;
(ii) deprive a person of a right to a fair trial or
impartial adjudication;
(iii) identify a confidential source or disclose
confidential information relating to a criminal
investigation; or
(iv) reveal criminal investigative techniques or
procedures, except routine techniques and
procedures.
(b) When providing the data subject with access to
information described in paragraph (b) of subdivision
seven of section ninety-four of this article, an agency
may withhold the identity of a source who furnished
said information under an express promise that his or
her identity would be held in confidence.
(6) Nothing in this section shall require an agency to provide a
data subject with access to:
(a) personal information to which he or she is specifically
prohibited by statute from gaining access;
(b) patient records concerning mental disability or medical
records where such access is not otherwise required by
law;
(c) personal information pertaining to the incarceration of
an inmate at a state correctional facility which is
evaluative in nature or which, if such access was
provided, could endanger the life or safety of any
person, unless such access is otherwise permitted by
law or by court order;
(d) attorney's work product or material prepared for
litigation before judicial, quasi-judicial or
administrative tribunals, as described in subdivisions
(c) and (d) of section three thousand one hundred one
of the civil practice law and rules, except pursuant to
statute, subpoena issued in the course of a criminal
action or proceeding, court ordered or grand jury
subpoena, search warrant or other court ordered
disclosure.
(7) This section shall not apply to public safety agency
records.
(8) Nothing in this section shall limit, restrict, abrogate or
deny any right a person may otherwise have including rights
granted pursuant to the state or federal constitution, law
or court order.
Section 96. Disclosure of records.
(1) No agency may disclose any record or personal information
unless such disclosure is:
(a) pursuant to a written request by or the voluntary
written consent of the data subject, provided that such
request or consent by its terms limits and specifically
describes:
(i) the personal information which is requested to
be disclosed;
(ii) the person or entity to whom such personal
information is requested to be disclosed; and
(iii) the uses which will be made of such personal
information by the person or entity receiving
it; or
(b) to those officers and employees of, and to those who
contract with, the agency that maintains the record if
such disclosure is necessary to the performance of
their official duties pursuant to a purpose of the
agency required to be accomplished by statute or
executive order or necessary to operate a program
specifically authorized by law; or
(c) subject to disclosure under article six of this
chapter, unless disclosure of such information would
constitute an unwarranted invasion of personal privacy
as defined in paragraph (a) of subdivision two of
section eighty-nine of this chapter; or
(d) to officers or employees of another governmental unit
if each category of information sought to be disclosed
is necessary for the receiving governmental unit to
operate a program specifically authorized by statute
and if the use for which the information is requested
is not relevant to the purpose for which it was
collected; or
(e) for a routine use, as defined in subdivision ten of
section ninety-two of this article; or
(f) specifically authorized by statute or federal rule or
regulation; or
(g) to the bureau of the census for purposes of planning or
carrying out a census or survey or related activity
pursuant to the provisions of Title XIII of the United
States Code; or
(h) to a person who has provided the agency with advance
written assurance that the record will be used solely
for the purpose of statistical research or reporting,
but only if it is to be transferred in a form that does
not reveal the identity of any data subject; or
(i) pursuant to a showing of compelling circumstances
affecting the health or safety of a data subject, if
upon such disclosure notification is transmitted to the
data subject at his or her last known address; or
(j) to the state archives as a record which has sufficient
historical or other value to warrant its continued
preservation by the state or for evaluation by the
state archivist or his or her designee to determine
whether the record has such value; or
(k) to any person pursuant to a court ordered subpoena or
other compulsory legal process; or
(l) for inclusion in a public safety agency record or to
any governmental unit or component thereof which
performs as one of its principal functions any activity
pertaining to the enforcement of criminal laws,
provided that, such record is reasonably described and
is requested solely for a law enforcement function; or
(m) pursuant to a search warrant; or
(n) to officers or employees of another agency if the
record sought to be disclosed is necessary for the
receiving agency to comply with the mandate of an
executive order, but only if such records are to be
used only for statistical research, evaluation or
reporting and are not used in making any determination
about a data subject.
(2) Nothing in this section shall require disclosure of:
(a) personal information which is otherwise prohibited by
law from being disclosed;
(b) patient records concerning mental disability or medical
records where such disclosure is not otherwise required
by law;
(c) personal information pertaining to the incarceration of
an inmate at a state correctional facility which is
evaluative in nature or which, if disclosed, could
endanger the life or safety of any person, unless such
disclosure is otherwise permitted by law;
(d) attorney's work product or material prepared for
litigation before judicial, quasi-judicial or
administrative tribunals, as described in subdivisions
(c) and (d) of section three thousand one hundred one
of the civil practice law and rules, except pursuant to
statute, subpoena issued in the course of a criminal
action or proceeding, court ordered or grand jury
subpoena, search warrant or other court ordered
disclosure.
Section 97. Civil remedies.
(1) Any data subject aggrieved by any action taken under this
article may seek judicial review and relief pursuant to
article seventy-eight of the civil practice law and rules.
(2) In any proceeding brought under subdivision one of this
section, the party defending the action shall bear the
burden of proof, and the court may, if the data subject
substantially prevails against any agency and if the agency
lacked a reasonable basis pursuant to this article for the
challenged action, award to the data subject reasonable
attorneys' fees and disbursements reasonably incurred.
(3) Nothing in this article shall be construed to limit or
abridge the right of any person to obtain judicial review or
pecuniary or other relief, in any other form or upon any
other basis, otherwise available to a person aggrieved by
any agency action under this article.
Section 98. No waiver.
Any agreement purporting to waive a data subject's rights under
this article is hereby declared to be void as against public
policy.
Section 99. Executive authority.
Nothing in this article shall limit the authority of the governor
to exercise his or her responsibilities.
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ARTICLE 7
OPEN MEETINGS LAW
Section 100. Legislative declaration.
101. Short title.
102. Definitions.
103. Open meetings and executive sessions.
104. Public notice.
105. Conduct of executive sessions.
106. Minutes.
107. Enforcement.
108. Exemptions.
109. Committee on open government.
110. Construction with other laws.
111. Severability.
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Sec. 100. Legislative declaration.
It is essential to the maintenance of a democratic society that
the public business be performed in an open and public manner and
that the citizens of this state be fully aware of and able to
observe the performance of public officials and attend and listen
to the deliberations and decisions that go into the making of
public policy. The people must be able to remain informed if they
are to retain control over those who are their public servants.
It is the only climate under which the commonweal will prosper
and enable the governmental process to operate for the benefit of
those who created it.
Sec. 101. Short title.
This article shall be known and may be cited as "Open Meetings
Law".
Sec. 102. Definitions.
As used in this article:
1. "Meeting" means the official convening of a public body for
the purpose of conducting public business.
2. "Public body" means any entity, for which a quorum is
required in order to conduct public business and which
consists of two or more members, performing a governmental
function for the state or for an agency or department
thereof, or for a public corporation as defined in section
sixty-six of the general construction law, or committee or
subcommittee or other similar body of such public body.
3. "Executive session" means that portion of a meeting not open
to the general public.
Sec. 103. Open meetings and executive sessions.
(a) Every meeting of a public body shall be open to the general
public, except that an executive session of such body may be
called and business transacted thereat in accordance with
section ninety-five of this article.
(b) Public bodies shall make or cause to be made all reasonable
efforts to ensure that meetings are held in facilities that
permit barrier-free physical access to the physically
handicapped, as defined in subdivision five of section fifty
of the public buildings law.
Sec. 104. Public notice.
1. Public notice of the time and place of a meeting scheduled
at least one week prior thereto shall be given to the news
media and shall be conspicuously posted in one or more
designated public locations at least seventy-two hours
before such meeting.
2. Public notice of the time and place of every other meeting
shall be given, to the extent practicable, to the news media
and shall be conspicuously posted in one or more designated
public locations at a reasonable time prior thereto.
3. The public notice provided for by this section shall not be
construed to require publication as a legal notice.
Sec. 105. Conduct of executive sessions.
1. Upon a majority vote of its total membership, taken in an
open meeting pursuant to a motion identifying the general
area or areas of the subject or subjects to be considered, a
public body may conduct an executive session for the below
enumerated purposes only, provided, however, that no action
by formal vote shall be taken to appropriate public moneys:
a. matters which will imperil the public safety if
disclosed;
b. any matter which may disclose the identity of a law
enforcement agent or informer;
c. information relating to current or future investigation
or prosecution of a criminal offense which would
imperil effective law enforcement if disclosed;
d. discussions regarding proposed, pending or current
litigation;
e. collective negotiations pursuant to article fourteen of
the civil service law;
f. the medical, financial, credit or employment history of
a particular person or corporation, or matters leading
to the appointment, employment, promotion, demotion,
discipline, suspension, dismissal or removal of a
particular person or corporation;
g. the preparation, grading or administration of
examinations; and
h. the proposed acquisition, sale or lease of real
property or the proposed acquisition of securities, or
sale or exchange of securities held by such public
body, but only when publicity would substantially
affect the value thereof.
2. Attendance at an executive session shall be permitted to any
member of the public body and any other persons authorized
by the public body.
Sec. 106. Minutes.
1. Minutes shall be taken at all open meetings of a public body
which shall consist of a record or summary of all motions,
proposals, resolutions and any other matter formally voted
upon and the vote thereon.
2. Minutes shall be taken at executive sessions of any action
that is taken by formal vote which shall consist of a record
or summary of the final determination of such action, and
the date and vote thereon; provided, however, that such
summary need not include any matter which is not required to
be made public by the freedom of information law as added by
article six of this chapter.
3. Minutes of meetings of all public bodies shall be available
to the public in accordance with the provisions of the
freedom of information law within two weeks from the date of
such meeting except that minutes taken pursuant to
subdivision two hereof shall be available to the public
within one week from the date of the executive session.
Sec. 107. Enforcement.
1. Any aggrieved person shall have standing to enforce the
provisions of this article against a public body by the
commencement of a proceeding pursuant to article seventy-
eight of the civil practice law and rules, and/or an action
for declaratory judgment and injunctive relief. In any such
action or proceeding, the court shall have the power, in its
discretion, upon good cause shown, to declare any action or
part thereof taken in violation of this article void in
whole or in part.
An unintentional failure to fully comply with the notice
provisions required by this article shall not alone be
grounds for invalidating any action taken at a meeting of a
public body. The provisions of this article shall not affect
the validity of the authorization, acquisition, execution or
disposition of a bond issue or notes.
2. In any proceeding brought pursuant to this section, costs
and reasonable attorney fees may be awarded by the court, in
its discretion, to the successful party.
3. The statute of limitations in an article seventy-eight
proceeding with respect to an action taken at executive
session shall commence to run from the date the minutes of
such executive session have been made available to the
public.
Section 108. Exemptions.
Nothing contained in this article shall be construed as extending
the provisions hereof to:
1. judicial or quasi-judicial proceedings, except proceedings
of the public service commission and zoning boards of
appeals;
2. a. deliberations of political committees, conferences
and caucuses.
b. for purposes of this section, the deliberations of
political committees, conferences and caucuses means a
private meeting of members of the senate or assembly of
the state of New York, or of the legislative body of a
county, city, town or village, who are members or
adherents of the same political party, without regard
to (i) the subject matter under discussion, including
discussions of public business, (ii) the majority or
minority status of such political committees,
conferences and caucuses or (iii) whether such
political committees, conferences and caucuses invite
staff or guests to participate in their deliberations;
and
3. any matter made confidential by federal or state law.
Section 109. Committee on open government.
The committee on open government, created by paragraph (a) of
subdivision one of section eighty-nine of this chapter, shall
issue advisory opinions from time to time as, in its discretion,
may be required to inform public bodies and persons of the
interpretations of the provisions of the open meetings law.
Sec. 110. Construction with other laws.
1. Any provision of a charter, administrative code, local law,
ordinance, or rule or regulation affecting a public body
which is more restrictive with respect to public access than
this article shall be deemed superseded hereby to the extent
that such provision is more restrictive than this article.
2. Any provision of general, special or local law or charter,
administrative code, ordinance, or rule or regulation less
restrictive with respect to public access than this article
shall not be deemed superseded hereby.
3. Notwithstanding any provision of this article to the
contrary, a public body may adopt provisions less
restrictive with respect to public access than this article.
Sec. 111. Severability.
If any provision of this article or the application thereof to
any person or circumstances is adjudged invalid by a court of
competent jurisdiction, such judgment shall not affect or impair
the validity of the other provisions of the article or the
application thereof to other persons and circumstances.
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ARTICLE 8
CONSTRUCTION; LAWS REPEALED; WHEN TO TAKE EFFECT
Section 115. Application of chapter.
116. Laws repealed.
117. When to take effect.
==============================================================
Sec. 115. Application of chapter.
This chapter applies to civil officers only.
Sec. 116. Laws repealed.
Of the laws enumerated in the schedule hereto annexed, that
portion specified in the last column is hereby repealed.
Sec. 117. When to take effect.
This chapter shall take effect immediately.
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