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 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.

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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.

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