WHEREAS, the people of the State of New York are entitled to and demand a government committed to the highest standards of integrity, honesty, efficiency and accountability;
WHEREAS, misconduct involving corruption, fraud, criminal activity, conflicts of interest or abuse by State officers and employees undermines public confidence in government, and prevents government from operating honestly, efficiently and effectively;
WHEREAS, it is necessary promptly to identify such conduct so that effective remedial action may be taken;
WHEREAS, previously issued Executive Orders established the Office of the State Inspector General to receive and investigate allegations of fraud, abuse and corruption, to report any findings, and to recommend measures to prevent the future occurrence of such misconduct; and
WHEREAS, the responsibilities and powers of the Office of the State Inspector General should be broadened to strengthen its ability to detect, investigate, eliminate and deter corruption, fraud, criminal activity, conflicts of interest and abuse in agencies under its jurisdiction, and thereby enhance and promote integrity, honesty and efficiency in State government;
NOW, THEREFORE, I, GEORGE E. PATAKI, Governor of the State of New York, by virtue of the authority vested in me by the Constitution and Laws of the State of New York, do hereby revoke Executive Order 103 and, by this Order, re-establish in the Executive Department the Office of the State Inspector General, as follows:
I. The Office of the State Inspector General1. The State Inspector General shall be appointed by and serve at the pleasure of the Governor and report to the Secretary to the Governor;2. The State Inspector General shall have the necessary staff and resources to fulfill the duties and responsibilities specified in this Order;3. The State Inspector General may appoint one or more Deputy Inspectors General to serve at his or her pleasure, who shall be responsible for conducting investigations in the agencies to which they are designated and in which they are deemed employed. As directed by the Secretary to the Governor, covered agencies shall provide personnel and resources to the State Inspector General, to be allocated by the State Inspector General for this purpose. The Deputy Inspectors General shall report to the State Inspector General.II. Duties and Responsibilities The State Inspector General shall have the following duties and responsibilities:
1. To receive and investigate complaints from any source, or upon his or her own initiative, concerning allegations of corruption, fraud, criminal activity, conflicts of interest or abuse in any covered agency;2. To inform the heads of covered agencies of such allegations and the progress of investigations related thereto, unless special circumstances require confidentiality;3. To determine with respect to such allegations whether disciplinary action, civil or criminal prosecution, or further investigation by an appropriate Federal, State or local agency is warranted, and to assist in such investigations;4. To prepare and release to the public written reports of such investigations, as appropriate and to the extent permitted by law, subject to redactions to protect the confidentiality of witnesses. The release of all or portions of such reports may be deferred to protect the confidentiality of an ongoing investigation;5. To review and examine periodically the policies and procedures of covered agencies with regard to the prevention and detection of corruption, fraud, criminal activity, conflicts of interest or abuse;6. To recommend remedial action to prevent or eliminate corruption, fraud, criminal activity, conflicts of interest or abuse in covered agencies; and7. To establish programs for training State officers and employees regarding the prevention and elimination of corruption, fraud, criminal activity, conflicts of interest or abuse in covered agencies.III. Powers The State Inspector General shall have the power to:
1. Subpoena and enforce the attendance of witnesses;2. Administer oaths or affirmations and examine witnesses under oath;3. Require the production of any books and papers deemed relevant or material to any investigation, examination or review;4. Examine, copy or remove documents or records of any kind prepared, maintained or held by any covered agency, except those documents or records that may not be so disclosed according to law;5. Require any officer or employee in a covered agency to answer questions concerning any matter related to the performance of his or her official duties. No statement or other evidence derived therefrom may be used against such officer or employee in any subsequent criminal prosecution other than for perjury or contempt arising from such testimony. The refusal of any officer or employee to answer questions shall be cause for removal from office or employment or other appropriate penalty;6. Monitor the implementation by covered agencies of any recommendations made by the State Inspector General; and7. Perform any other functions that are necessary or appropriate to fulfill the duties and responsibilities of office.IV. Responsibilities of Covered Agencies, State Officers and Employees 1. Every State officer or employee in a covered agency shall report promptly to the State Inspector General any information concerning corruption, fraud, criminal activity, conflicts of interest or abuse by another state officer or employee relating to his or her office or employment, or by a person having business dealings with a covered agency relating to those dealings. The knowing failure of any officer or employee so to report shall be cause for removal from office or employment or other appropriate penalty. Any officer or employee who acts pursuant to this paragraph by reporting to the State Inspector General improper governmental action as defined in Civil Service Law Section 75-b shall not be subject to dismissal, discipline or other adverse personnel action.2. The head of any covered agency shall advise the Governor within 90 days of the issuance of a report by the State Inspector General as to the remedial action that the agency has taken in response to any recommendation for such action contained in the report.V. Covered Agencies The term covered agencies shall mean all executive branch agencies, departments, divisions, offices, boards, commissions, public authorities (other than multi-state or multi-national authorities), and public benefit corporations, the heads of which are appointed by the Governor and which do not have their own Inspector General by law. Wherever a covered agency is a board, commission, public authority or public benefit corporation, the head of the agency is the chairperson thereof.
Signed: George E. PatakiDated: June 17, 1996
[FN*] [Revoked by Executive Order No. 5 (Eliot Spitzer), infra.]
[Revoked by Executive Order No. 9 (David A. Paterson), infra.]
[Revoked by Executive Order No. 2 (Andrew M. Cuomo), infra.]
N.Y. Comp. Codes R. & Regs. Tit. 9 § 5.39