1. (1) Commission shall mean the Ethics Commission for the Unified Court System.
2. (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. (3) Employee shall mean a State-paid judge, justice, officer or employee of the Unified Court System.
4. (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. (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. (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.

7. (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.
8. (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.
9. (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.
10. (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.

11. (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.

12. (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.
13. (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.

14. (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.

(a) Definitions.