Current through Register Vol. 46, No. 12, March 20, 2024
(a) Definitions.
(1) Commission shall mean the
Ethics Commission for the Unified Court System.
(2) Executive director shall
mean the Executive Director of the Ethics Commission for the Unified Court
System as appointed pursuant to section
40.1(i)(1)
of the Chief Judge's rule.
(3) Employee shall mean a State-paid
judge, justice, officer or employee of the Unified Court System.
(4) File shall mean to make
delivery to the office of the commission personally, electronically or by mail.
The filing date shall be the date the document filed is received in the office
of the commission.
(5) Financial disclosure statement
shall mean the annual statement approved by the Chief Judge pursuant to
subdivision 4 of section
211 of the Judiciary Law.
(6) Rule shall mean Part 40 of
the Rules of the Chief Judge of the State of New York (22 NYCRR).
(b) Scope. Pursuant
to section
40.1(o)(2)
of the rule, the commission is authorized to conduct any investigation
necessary to carry out its responsibilities under the provisions of section
40.1
of the rule. In the course of an investigation, the commission is authorized to
administer oaths or affirmations, subpoena witnesses, compel their attendance
and require the production of any books or records or other materials which it
may deem relevant or material.
(c) Procedure.
(1) The subjects of a commission
investigation may include but are not limited to the timeliness or accuracy of
an employee's filing of a financial disclosure statement, an employee's request
for an extension of time to file, an employee's request for an exemption from
the requirement to file, an employee's request for an exemption from reporting
information pertaining to his or her spouse or child, or an employee's request
for deletion of certain information from the copy of his or her statement made
available to the public, or such other matters as arise in connection with the
discharge of the commission's duties.
(2) The commission may contact the
employee who did file, or should have filed, the financial disclosure statement
that is the subject of the investigation, another employee, or any other
person, to obtain information relevant to the investigation. This contact may
be by telephone or by letter.
(3) If the employee or other person
fails or refuses to respond to the telephone call or letter, or if the
commission has reasonable cause to believe that it is necessary or appropriate,
the commission may require the appearance of the employee or other person
before the commission, or, if so authorized by the commission, one or more of
its members, in which event the employee or other person shall be notified in
writing of his or her required appearance either personally, at least 10 days
prior to such appearance, or by certified mail, to be deposited in the U.S.
mail at least 10 days prior to such appearance. Such written notice shall set
forth the time and place of the appearance, the nature of the information the
commission is seeking, and the books, records or other materials that the
employee or other person must present to the commission.
(4) If the employee or other
person fails to appear or secure an adjournment in response to such written
notice, or fails to produce the sought after books, records or other materials,
the commission may compel his or her appearance and/or the production of the
required books, records or other materials with a subpoena and/or subpoena
duces tecum issued pursuant to CPLR, section 2303.
(5) The employee or other
person may request, in writing, an adjournment of his or her appearance. An
adjournment will be granted for good cause only. If the request is granted, the
commission will notify the employee or other person in writing of the new
date.
(d)
Appearance before the commission.
(1) An employee or other person
appearing before the commission shall answer questions and produce the books,
records or other materials sought by the commission. He or she shall have the
right to be represented by an attorney and to make an oral statement and to
present relevant data and material, including a written statement. The attorney
shall be permitted to advise the employee or other person and otherwise confer
with her or him.
(2)
At the commencement of the appearance, the chair of the commission, or his or
her designee, may swear in the employee or other person by administering an
oath or affirmation.
(3) The appearance may be recorded in
any way permitted by the CPLR. If the appearance is recorded, a transcript
shall be provided to the employee or other person without fee upon his or her
written request.
(e) Commission action. If the
commission finds that further action is necessary or appropriate, it may give
written notification to the Chief Administrator of the Courts, the Commission
on Judicial Conduct, or any other appropriate agency or authority of the
results of its investigation and request that further action be taken. The
commission shall give written notification to the employee who was the subject
of the investigation that it has determined that further action is necessary
and that the matter has been referred to the Chief Administrator of the Courts,
the Commission on Judicial Conduct, or other appropriate agency or
authority.
