New York Codes, Rules and Regulations
Title 19 - DEPARTMENT OF STATE
Chapter XX - Commission on ethics and lobbying in Government
Part 941 - Adjudicatory Proceedings and Appeals Procedure
Section 941.17 - Appeals from Executive Director's denials related to financial disclosure statements

(1) Any person required to file a financial disclosure statement whose written request for deletion of one or more items of information as provided in Executive Law § 94(9)(h) has been denied in writing by the Executive Director, may file a written appeal of such denial, called a notice of appeal, as provided in Subpart 941.17(d) of this Title.

(2) Any person required to file a financial disclosure statement whose written request for exemption from any requirement to report one or more items of information that pertain to such person's spouse, domestic partner, or unemancipated children as provided in Executive Law § 94(9)(i) has been denied in writing by the Executive Director, may file a written appeal of the denial, called a notice of appeal, as provided in Subpart 941.17(d) of this Title.

(3) Any person required to file a financial disclosure statement whose written request for exemption from any requirement to report items of information that pertain to representation of a client as provided in Public Officers Law § 73-a(3)(8)(b-1), (b-2), or (c) has been denied in writing by the Executive Director, may file a written appeal of the denial, called a notice of appeal, as provided in Subpart 941.17(d) of this Title.

(4) Any person eligible under Executive Law § 94(9)(k) to apply for an exemption from filing a financial disclosure statement whose written request for exemption from such filing requirement has been denied in writing by the Executive Director, may file a written appeal of the denial, called a notice of appeal, as provided in Subpart 941.17(d) of this Title.

(1) Pending any application for deletion or exemption to the Executive Director or notice of appeal filed with the members of the Commission, all information which is the subject or a part of the application or appeal shall remain confidential. Upon an adverse determination by the members of the Commission, the reporting individual may request, within five (5) calendar days of receipt of an adverse determination, and upon such request the Commission shall provide, that any information which is the subject or part of the application remain confidential for a period of thirty (30) days from the date of notice of such determination. In the event that the reporting individual resigns from office and holds no other office subject to the jurisdiction of the Commission, the information shall not be made public and shall be expunged in its entirety from (or in the case of client information, not made part of) the financial disclosure statement.

(1) Pending any notice of appeal filed with the members of the Commission, the applicant or appellant is not required to file the financial disclosure statement.

(1) A notice of appeal must be filed with the Commission within fifteen (15) calendar days of receipt by the appellant of a denial by the Executive Director. The notice of appeal must be in writing, must provide a clear statement of the reasons for appeal, and shall be addressed to the Chair of the Commission at the address provided on a document accompanying the denial by the Executive Director which shall include such information and the procedure for appeals.

(2) Upon receipt of the notice of appeal by the Commission, the Chair, or his/her designee, shall issue a notice of docketing which sets forth a time and date for submitting written arguments and documentary evidence in support of the appellant's position that shall be no sooner than fifteen (15) days after receipt of the notice of appeal and no later than thirty (30) days thereafter.

(1) The members of the Commission shall consider the record provided by the Executive Director and the written submissions of the appellant in making a determination on the appeal of the Executive Director's denial. The members of the Commission may request the appellant to file additional information.

(2) The formal rules of evidence shall not apply in the appeals process.

(3) The burden is on the appellant to show that the Executive Director made an erroneous determination in deciding not to grant appellant's deletion or exemption request.

(1) The members of the Commission shall review the written appeal filed pursuant to these rules, and shall render a decision by a majority vote of the total number of members of the Commission without vacancy. Such decision shall be based upon the entire record submitted to the executive director and the written submission of the appellant.

(2) The written decision of the members of the Commission shall affirm, reverse, remand and/or dismiss the decision of the Executive Director and, as appropriate, shall set forth a concise statement of the reasons for the Commission's decision and shall be issued within sixty (60) days of the receipt of the written notice of appeal filed with the Commission pursuant to these rules, or as soon thereafter as possible.