New York Codes, Rules and Regulations
Title 22 - JUDICIARY
Subtitle A - JUDICIAL ADMINISTRATION
Chapter I - Standards and Administrative Policies
Subchapter C - Rules Of The Chief Administrator Of The Courts
Part 154 - Requests for Exemption From Public Disclosure of Client Information Under Public Officers Law Section 73-a
Section 154.3 - Exemption Request Procedure

Universal Citation: 22 NY Comp Codes Rules and Regs § 154.3

Current through Register Vol. 46, No. 39, September 25, 2024

(a) A covered person may apply to OCA for an exemption from the requirement to disclose client information by filing an application ("exemption request"), on a form promulgated by OCA, no later than thirty days prior to the deadline by which such covered person must file a financial disclosure statement pursuant to Public Officers Law § 73-a(2) that otherwise must disclose such client information. Applications may be filed in advance of the applicant's commencement of work on the client matter. An applicant may not file an exemption request with OCA for a client matter which the applicant has previously addressed in an exemption application filed with the Commission.

(b) The exemption request shall be made in writing, signed by the applicant, and filed electronically in a manner specified by OCA.

"My client is not currently receiving my services or seeking my services in connection with:

(1) a proposed bill or resolution in the Senate or Assembly during the reporting period;

(2) a contract in an amount totaling $10,000 or more from the state or any state agency for services, materials or property;

(3) a grant of $10,000 or more from the state or any state agency during the reporting period;

(4) a grant obtained through a legislative initiative during the reporting period; or

(5) a case, proceeding, application or other matter that is not a ministerial matter before a state agency during the reporting period."

(d) The exemption request shall include the following information, to the best of the applicant's knowledge and upon professionally appropriate inquiry:

(1) the applicant's name, title and work address, and a description of the applicant's duties and responsibilities;

(2) a description of the services rendered or to be rendered in each matter on which the applicant has provided or anticipates providing services to the client during the reporting period, including the actual or estimated duration of such services;

(3) a statement explaining why the applicant should receive the requested exemption, with reference to the factors set forth in section 154.4(a) of this Part;

(4) whether the client has any business before the state; and, if so, how significant the business is; and whether the client has any particularized interest in pending legislation and if so how significant the interest is;

(5) a description of any action relating to the client taken by the applicant in the course of performing the applicant's official duties;

(6) whether or not the applicant has publicly disclosed the client relationship in any public filing or public appearance; and

(7) whether or not the applicant has applied to OCA or the Commission for an exemption from disclosure of the client's identity on any matter (including pending applications) and the result of such applications;

(8) any other relevant information, including statements from clients and third parties, which the applicant believes may support the exemption request.

(e) The applicant need not initially disclose the identity of the client or the compensation earned or expected to be earned in the course of the engagement. However, if disclosure of this information by the applicant is necessary in furtherance of a proper determination of the exemption request, OCA may require such disclosure.

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