New York Codes, Rules and Regulations
Title 19 - DEPARTMENT OF STATE
Chapter XX - Commission on ethics and lobbying in Government
Part 935 - Procedure For Requesting An Exemption From Filing A Financial Disclosure Statement
Section 935.2 - Procedure

Universal Citation: 19 NY Comp Codes Rules and Regs ยง 935.2

Current through Register Vol. 46, No. 12, March 20, 2024

(a) A person who is an Employee or becomes qualified as an Employee as defined in Section 935.1(d) prior to May 15 in any year shall file a Financial Disclosure Statement for the preceding year on or before May 15. Pursuant to Executive Law section 94(9)(k), the Commission permits such an Employee to request an Exemption from this filing requirement in accordance with this Section. If requesting an Exemption, such Employee shall file the Exemption request with the Commission on or before May 15.

(b) A person who qualifies as an Employee as defined in this Section 935.1(d) after May 15 of any year shall file the Financial Disclosure Statement for the preceding year within 30 days of commencing the qualifying employment. Pursuant to Executive Law section 94(9)(k), the Commission permits such an Employee to request an Exemption from this filing requirement in accordance with this Section. If requesting an Exemption, such Employee shall file the Exemption request with the Commission within 30 days of commencing the qualifying employment.

(c) The Exemption request shall be in writing and sent to the Commission via mail, email or facsimile.

(d) The Exemption request may be filed by the Employee individually, or by the Employee Organization or State Agency on behalf of persons who share the same Title or Job Classification.

(e) Pending the initial determination by the Executive Director, as prescribed under Section 935.3 of this Title, any Employee who filed such request on an individual basis, or any person on behalf of which an Employee Organization or State Agency filed such request, is not required to file the Financial Disclosure Statement. If the Executive Director denies the individual Exemption request, the Employee who filed such request on an individual basis has 15 days from the receipt of the denial to file the Financial Disclosure Statement or appeal the determination to the Commission for reconsideration, in accordance with Part 941.17 of this Title. If the Executive Director denies the Title or Job Classification Exemption request, any person on behalf of which the Employee Organization or State Agency filed such request has 15 days from the receipt of the denial to file the Financial Disclosure Statement, or the authorized representative of the Employee Organization or State Agency that requested the Exemption has 15 days from the receipt of the denial to appeal the determination to the Commission for reconsideration, in accordance with Part 941.17 of this Title.

(f) If the Employee or authorized representative of the Employee Organization or State Agency appeals the Executive Director's denial of the Exemption Request, such Employee who filed such request on an individual basis, or any person on behalf of which an Employee Organization or State Agency filed such request, is not required to file the Financial Disclosure Statement until the Commission rules on the appeal, as described in Part 941 of this Title.

(g) If, pursuant to Part 941.17 of this Title, the Commission upholds the decision of the Executive Director to deny the Exemption request, such Employee, or any such person on behalf of which an Employee Organization or State Agency filed such request, has 15 days from receipt of the Commission's determination to file the Financial Disclosure Statement with the Commission.

(h) The request for Exemption shall include the following information:

(1) name and address of the Employee, if the request is on an individual basis, or the name of the Employee Organization filing or the name of State Agency filing and the address and name of the individual authorized to file on behalf of the Employee Organization or State Agency;

(2) the Title(s) of the position(s) or the Job Classification(s) and a list of each State Agency where such Title(s) or Job Classification(s) is located, if known

(3) a copy of the duties and specifications of the Title(s) or Job Classification(s) for which an Exemption is requested; and

(4) a statement to support the position of the filing individual or entity that the Title(s) or Job Classification(s) do not involve the duties that would otherwise preclude an Exemption from filing a Financial Disclosure Statement.

(i) The request for Exemption must be signed by the individual requesting such Exemption or by the authorized representative of the Employee Organization or State Agency that is requesting such an Exemption on behalf of Title(s) or Job Classification(s).

(j)

(1) An individual who files a request for Exemption, must also file a copy of such request with his or her Appointing Authority and an Employee Organization that files a request for Exemption must also file a copy with all agencies where the Title(s) or Job Classification(s) are located.

(2) The Appointing Authority, or any State Agency where the Title or Job Classification exists, within seven working days, may file a written objection to such a request with the Commission based solely on the grounds that the duties of the Title(s) or Job Classification(s) do not permit an Exemption to be granted. The objection shall also be filed with the individual or Employee Organization, as appropriate.

(3) The individual or Employee Organization, as appropriate, may, within seven working days, file a written response to the objection of the Appointing Authority or State Agency with the Commission. The written response shall also be filed with the Appointing Authority.

(4) Should no filing under paragraph (2) or (3) of this Subpart occur within the time limits provided, the Executive Director may act upon the request for Exemption based on the material available .

(5) The Executive Director shall provide the Commission with information regarding the nature and number of Exemption applications received.

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