Enforcement

The Board is responsible for enforcing New York City's:

  • Conflicts of Interest Law (Chapter 68 of the New York City Charter)
  • Lobbyist Gift Law (Section 3-211 and Sections 3-224 through 3-228 of the New York City Administrative Code)
  • Affiliated Not-for-Profits Law (Sections 3-901 through 3-907 of the New York City Administrative Code)
  • Legal Defense Trusts Law (Sections 3-1101 through 3-1107 of the New York City Administrative Code)

Click on a heading below, or press the enter key on a heading, to learn more.

Jurisdiction

The Board has enforcement authority over:

  • Current and former public servants
  • Lobbyists registered with the City
  • Not-for-profit organizations affiliated with elected officials or the agents of elected officials
  • Legal defense trusts with at least one public servant as a beneficiary and the trustees and beneficiaries of such trusts

Complaints

  • Anyone can make a complaint.
  • Complaints can be made anonymously.
  • Complaints must be made in writing; to file a complaint, click here.

Investigations

Investigations into potential violations are conducted for the Board by the New York City Department of Investigation.

Private Resolutions

A private warning letter is a confidential letter in which the Board provides unsolicited advice to a public servant who may have violated the conflicts of interest law.

The Board may send a private warning letter for a variety of reasons, including when:

  • There is insufficient evidence to support an enforcement action
  • The available evidence suggests that the violation is minor
  • An enforcement action would be based on a new or untested interpretation of the law
  • The public servant’s City agency has already imposed a significant disciplinary penalty for the conduct

Enforcement Actions

  • The Board begins an enforcement action by sending a Notice of Initial Determination of Probable Cause to the individual or organization that the Board believes likely committed a violation. That individual or organization is called the “respondent.”
  • The respondent may be represented by an attorney or some other representative.
  • The respondent has twenty days to respond in writing to the Notice unless the respondent asks for more time.
  • The Board’s procedural rules for enforcement actions are available here.

Click on a heading below, or press the enter key on a heading, to learn more.

Settlements

Hearings

Penalties

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For violations of the Conflicts of Interest Law

For violations of the Lobbyist Gift Law

For violations of the Affiliated Not-for-Profits Law

For violations of the Legal Defense Trusts Law