New Mexico Administrative Code
Title 19 - NATURAL RESOURCES AND WILDLIFE
Chapter 8 - COAL MINING
Part 1 - GENERAL PROVISIONS
Section 19.8.1.109 - RESTRICTIONS OF EMPLOYEE FINANCIAL INTERESTS

Universal Citation: 19 NM Admin Code 19.8.1.109

Current through Register Vol. 35, No. 24, December 23, 2024

A. Responsibilities.

(1) Employees performing duties or functions under the act and 19.8 NMAC Parts 1-35 shall:
(a) file a fully completed statement of employment and financial interest 120 days after 19.8 NMAC Parts 1-35 become effective or upon entrance to duty, and annually thereafter on September 1 of each year;

(b) have no direct or indirect financial interest in coal mining operations; and

(c) comply with directions issued by persons responsible for approving each statement and comply with directives issued by those persons responsible for ordering remedial action.

(2) The director shall:
(a) provide advice, assistance, and guidance to all state employees required to file statements pursuant to 19.8 NMAC Parts 1-35 and inform such employees of the name, address and telephone number of other persons whom they may contact for advice and counseling;

(b) promptly review the statement of the employee and financial interests and supplements, if any, filed by each employee, to determine if the employee has correctly identified those listed employment and financial interests which constitute a direct or indirect financial interest in surface coal mining and reclamation operations;

(c) resolve prohibited financial interest situations by ordering or initiating remedial action which will resolve the prohibited interest as required within 90 days, or by reporting the violations to the director of the office of surface mining;

(d) certify on each statement that review has been made, that prohibited financial interests, if any, has been resolved and that no other prohibited interests have been identified from the statement;

(e) submit to the director of the office of surface mining the initial listing and the subsequent annual listing or positions as required in Subsection C of 19.8.1.109 NMAC; and

(f) furnish a blank statement 45 days in advance of the filing date established in Subparagraph (a) of Paragraph (1) of Subsection A of 19.8.1.109 NMAC to each employee required to file a statement.

B. Penalties.

(1) Any person who knowingly violates the provisions of Section 69-25A-32 NMSA 1978 of the act, shall, upon conviction, be punished by a fine of not more than $2,500, or by imprisonment of not more than one year, or both.

(2) Any employee who fails to file the required financial interest statement will be considered in violation of the act and 19.8 NMAC Parts 1-35 and will be subject to removal from his or her position, if 90 days after an employee is notified by the director to take remedial action, the employee is not in compliance with the requirements of the act and 19.8 NMAC Parts 1-35.

C. Who shall file.

(1) Any employee who performs any function or duty under the act is required to file a statement of employment and financial interests.

(2) The director shall prepare and submit to the director of the office of surface mining an initial listing of positions that do not involve performance or any functions or duties under the act within 60 days of the effective date of 19.8 NMAC Parts 1-35.

(3) The director shall annually review and update this listing. For monitoring and reporting reasons, the listing must be submitted to the director of the office of surface mining and must contain a written justification for inclusions of the positions listed. Proposed revisions or a certification that revision is not required shall be submitted to the director of the office of surface mining by no later than January 1 of each year.

(4) The director may revise the listing by the addition or deletion of positions at any time he determines such revisions are required to carry out the purpose of the act or 19.8 NMAC Parts 1-35.

D. Where to file.

(1) The director shall file his statement with the director of the office of surface mining.

(2) All other employees shall file their statement with the director.

E. What to report.

(1) Each employee shall report all information required on the statement of employment and financial interests of the employee, his or her spouse, minor children, or other relatives who are full-time residents of the employee's home. The reports shall be on OSM form 705-1. The statement consists of three major parts:
(a) a listing of all financial interests, including employment, security, real property, creditor and other financial interests held during the course of the preceding year;

(b) a certification that none of the listed financial interests represent a direct or indirect financial interest in any surface coal mining operation except as specifically identified and described by the employee as part of the certificate; and

(c) a certification by the reviewer that the form was reviewed, that prohibited interests have been resolved, and that no other prohibited interests have been identified from the statement.

(2) An employee is expected to:
(a) have complete knowledge of his or her personal involvement in business enterprises such as a sole proprietorship and partnership, his or her outside employment and the outside employment of the spouse and other covered relatives; and

(b) be aware of the information contained in the annual financial statement or other corporate or business reports routinely circulated to investors or routinely made available to the public.

(3) The exceptions shown in the employee's certification of the form must provide enough information for the director to determine the existence of a direct or indirect financial interest. Accordingly, the exceptions should:
(a) list the financial interests;

(b) show the number of shares, estimated value or annual income of the financial interests; and

(c) include any other information which the employee believes should be considered in determining whether or not the interest represents a prohibited interest.

F. Gifts and gratuities.

(1) Employees shall not solicit or accept, directly or indirectly, any gift, gratuity, favor, entertainment, loan or other thing of monetary value, from a coal company which:
(a) conducts or is seeking to conduct operations or activities that are regulated by the act; and

(b) has interests that may be substantially affected by the performance or non-performance of the employee's official duty.

(2) The prohibitions of this rule do not apply in the context of obvious family or personal relationships, such as those between parents, children, or spouse of the employee, and the employee, when the circumstances make it clear that it is those relationships rather than the business of the persons concerned which are the motivating factors. An employee may accept:
(a) food and refreshments of nominal value on infrequent occasions in the ordinary course of a luncheon, dinner, or other meeting where an employee may properly be in attendance; and

(b) unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars and other items of nominal value.

Disclaimer: These regulations may not be the most recent version. New Mexico may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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