New York State - Executive - EXC - Article 4-B
ARTICLE 4-B OFFICE OF THE INSPECTOR GENERAL OF NEW YORK FOR TRANSPORTATION
Section 56. Jurisdiction.
57. Establishment and organization.
58. Functions and duties.
§ 56. Jurisdiction. 1. This article shall, subject to the limitations contained herein, confer upon the office of the inspector general of New York for transportation investigative and prosecutorial power over criminal and unethical conduct involving individuals serving at a senior level in operations, financing or management of a transportation entity located in a city of a population of one million or more where such action or actions occurred within the state; and investigative and prosecutorial power of criminal and unethical conduct involving managerial appointees or managerial employees of any transportation entity where such action or actions occurred within the state.
2. For the purposes of this article: (a) "transportation entity" shall mean any public entity located within a city of one million or more involved in the transportation of persons, goods or other items within or to and from the state of New York where at least one individual involved at a senior level in operations, financing or management of such entity is appointed by the governor;
(b) "individuals involved at a senior level in operations, financing or management" shall mean individuals that exert full or partial control over formal actions taken by a transportation entity or on behalf of such entity, or exert independent judgment in the fulfillment of their duties and obligations, but shall not include individuals whose actions are of a routine or clerical nature; and
(c) "managerial appointee" or "managerial employee" shall mean any individual who (i) participates directly or as part of a team in formulating policy; (ii) may reasonably be required to assist directly in the preparation for and conduct of negotiations concerning major fiscal matters, procurements or expenditures in excess of one hundred thousand dollars provided that such role is not of a routine or clerical nature and requires the exercise of independent judgment; or (iii) has a major role in the administration of personnel agreements or in personnel administration, provided that such role is not of a routine or clerical nature and requires the exercise of independent judgment.
3. Nothing contained in this section shall replace or diminish the jurisdiction of the attorney general or any district attorney, or the inspector general of any transportation entity.
4. The inspector general shall be authorized to:
(a) receive, investigate and prosecute complaints regarding any individuals involved at a senior level in operations, financing or management or managerial appointee or managerial employee of any transportation entity concerning corruption, conflicts of interest, fraud, waste and abuse, recusals or failure to recuse, or criminal activity in any case where such conduct, action or failure occurred before or after the effective date of the chapter of the laws of two thousand seventeen that added this article and where such conduct, action or failure occurred in New York;
(b) represent the state in any administrative hearing or administrative proceeding involving any criminal or unethical conduct of individuals involved at a senior level in operations, financing or management or a managerial appointee or managerial employee of a transportation entity where such conduct occurred in New York; and
(c) represent the state in civil actions involving any criminal or unethical conduct of individuals involved at a senior level in operations, financing or management or a managerial appointee or managerial employee of a transportation entity where such conduct occurred in New York.
§ 57. Establishment and organization. 1. There shall be an office of the inspector general of New York for transportation in the executive department. The head of the office shall be the inspector general of New York for transportation.
2. The inspector general shall be appointed by the governor and shall hold office until the end of the term of the governor by whom he or she is appointed and until his or her successor is appointed.
3. The inspector general may appoint a deputy inspector general to serve at his or her pleasure, who shall be responsible for conducting investigations and prosecuting violations of law. The inspector general shall identify a process for a coordinated approach with prosecutors to avoid duplication and provide for a timely response to alleged violations.
4. The salary of the inspector general shall be established by the governor within the limit of funds available therefore.
§ 58. Functions and duties. The inspector general of New York for transportation shall have the following duties and responsibilities:
1. receive, investigate, and prosecute complaints from any source, or upon his or her own initiative, concerning allegations of corruption, conflicts of interest, fraud, waste and abuse, recusals or failure to recuse, or criminal activity regarding any transportation entity, conduct or activity or failure to act by any individuals involved at a senior level in operations, financing or management or managerial appointee or managerial employee of a transportation entity occurring before or after the effective date of the chapter of the laws of two thousand seventeen that added this article, in violation of New York law and occurring in New York;
2. inform the transportation entity of such allegations and the progress of investigations related thereto, unless special circumstances require confidentiality, provided that the inspector general shall maintain a written record that specifies the reason confidentiality is necessary under this paragraph;
3. issue a subpoena or subpoenas requiring a person or persons to appear before the grand jury, trial court, produce documents, provide a sworn statement under oath and be examined in reference to any matter within the jurisdiction of the inspector general. A subpoena issued under this section shall be governed by article twenty-three of the civil practice law and rules or articles one hundred ninety or six hundred ten of the criminal procedure law. The inspector general or his or her deputy or any person designated in writing by them may administer an oath to a witness in any such investigation or prosecution and may seek to confer immunity for compelled testimony pursuant to article fifty of the criminal procedure law;
4. determine with respect to such allegations whether to initiate civil or criminal prosecution, or make a referral for further investigation by an appropriate federal, state or local agency or any other office of inspector general as is warranted, and to assist in such investigations; and
5. prepare and release to the public written reports of such investigations, as appropriate and to the extent permitted by law, subject to redaction to protect the confidentiality of witnesses. The release of all or portions of such reports may be deferred to protect the confidentiality of ongoing investigations, provided that the inspector general shall maintain a written record that specifies the reason confidentiality is necessary under this subdivision.
Section 56. Jurisdiction.
57. Establishment and organization.
58. Functions and duties.
§ 56. Jurisdiction. 1. This article shall, subject to the limitations contained herein, confer upon the office of the inspector general of New York for transportation investigative and prosecutorial power over criminal and unethical conduct involving individuals serving at a senior level in operations, financing or management of a transportation entity located in a city of a population of one million or more where such action or actions occurred within the state; and investigative and prosecutorial power of criminal and unethical conduct involving managerial appointees or managerial employees of any transportation entity where such action or actions occurred within the state.
2. For the purposes of this article: (a) "transportation entity" shall mean any public entity located within a city of one million or more involved in the transportation of persons, goods or other items within or to and from the state of New York where at least one individual involved at a senior level in operations, financing or management of such entity is appointed by the governor;
(b) "individuals involved at a senior level in operations, financing or management" shall mean individuals that exert full or partial control over formal actions taken by a transportation entity or on behalf of such entity, or exert independent judgment in the fulfillment of their duties and obligations, but shall not include individuals whose actions are of a routine or clerical nature; and
(c) "managerial appointee" or "managerial employee" shall mean any individual who (i) participates directly or as part of a team in formulating policy; (ii) may reasonably be required to assist directly in the preparation for and conduct of negotiations concerning major fiscal matters, procurements or expenditures in excess of one hundred thousand dollars provided that such role is not of a routine or clerical nature and requires the exercise of independent judgment; or (iii) has a major role in the administration of personnel agreements or in personnel administration, provided that such role is not of a routine or clerical nature and requires the exercise of independent judgment.
3. Nothing contained in this section shall replace or diminish the jurisdiction of the attorney general or any district attorney, or the inspector general of any transportation entity.
4. The inspector general shall be authorized to:
(a) receive, investigate and prosecute complaints regarding any individuals involved at a senior level in operations, financing or management or managerial appointee or managerial employee of any transportation entity concerning corruption, conflicts of interest, fraud, waste and abuse, recusals or failure to recuse, or criminal activity in any case where such conduct, action or failure occurred before or after the effective date of the chapter of the laws of two thousand seventeen that added this article and where such conduct, action or failure occurred in New York;
(b) represent the state in any administrative hearing or administrative proceeding involving any criminal or unethical conduct of individuals involved at a senior level in operations, financing or management or a managerial appointee or managerial employee of a transportation entity where such conduct occurred in New York; and
(c) represent the state in civil actions involving any criminal or unethical conduct of individuals involved at a senior level in operations, financing or management or a managerial appointee or managerial employee of a transportation entity where such conduct occurred in New York.
§ 57. Establishment and organization. 1. There shall be an office of the inspector general of New York for transportation in the executive department. The head of the office shall be the inspector general of New York for transportation.
2. The inspector general shall be appointed by the governor and shall hold office until the end of the term of the governor by whom he or she is appointed and until his or her successor is appointed.
3. The inspector general may appoint a deputy inspector general to serve at his or her pleasure, who shall be responsible for conducting investigations and prosecuting violations of law. The inspector general shall identify a process for a coordinated approach with prosecutors to avoid duplication and provide for a timely response to alleged violations.
4. The salary of the inspector general shall be established by the governor within the limit of funds available therefore.
§ 58. Functions and duties. The inspector general of New York for transportation shall have the following duties and responsibilities:
1. receive, investigate, and prosecute complaints from any source, or upon his or her own initiative, concerning allegations of corruption, conflicts of interest, fraud, waste and abuse, recusals or failure to recuse, or criminal activity regarding any transportation entity, conduct or activity or failure to act by any individuals involved at a senior level in operations, financing or management or managerial appointee or managerial employee of a transportation entity occurring before or after the effective date of the chapter of the laws of two thousand seventeen that added this article, in violation of New York law and occurring in New York;
2. inform the transportation entity of such allegations and the progress of investigations related thereto, unless special circumstances require confidentiality, provided that the inspector general shall maintain a written record that specifies the reason confidentiality is necessary under this paragraph;
3. issue a subpoena or subpoenas requiring a person or persons to appear before the grand jury, trial court, produce documents, provide a sworn statement under oath and be examined in reference to any matter within the jurisdiction of the inspector general. A subpoena issued under this section shall be governed by article twenty-three of the civil practice law and rules or articles one hundred ninety or six hundred ten of the criminal procedure law. The inspector general or his or her deputy or any person designated in writing by them may administer an oath to a witness in any such investigation or prosecution and may seek to confer immunity for compelled testimony pursuant to article fifty of the criminal procedure law;
4. determine with respect to such allegations whether to initiate civil or criminal prosecution, or make a referral for further investigation by an appropriate federal, state or local agency or any other office of inspector general as is warranted, and to assist in such investigations; and
5. prepare and release to the public written reports of such investigations, as appropriate and to the extent permitted by law, subject to redaction to protect the confidentiality of witnesses. The release of all or portions of such reports may be deferred to protect the confidentiality of ongoing investigations, provided that the inspector general shall maintain a written record that specifies the reason confidentiality is necessary under this subdivision.
