New York Codes, Rules and Regulations
Title 9 - EXECUTIVE DEPARTMENT
Subtitle LL - Temporary State Commission on Local Government Ethics
Part 9976 - Procedure For Requesting An Exemption From Filing A Financial Disclosure Statement
Section 9976.3 - Commission action

Universal Citation: 9 NY Comp Codes Rules and Regs ยง 9976.3

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

(a) Upon receipt of a request for an exemption from filing a financial disclosure statement, the commission shall review the material filed to determine whether the duties of the title or job classification include any disqualifying duties. If no further information is required, the commission shall render its decision on the request.

(b) If the commission determines that additional information is necessary before making a determination, it may request the assistance of any employee or official of the municipality, and that employee or official shall furnish that assistance in a timely manner.

(c)

(1) Upon a determination that the title or job classification does not involve the performance of disqualifying duties, the commission shall, if it determines it is in the public interest, grant the exemption on an individual, title, or job classification basis, as requested.

(2) Upon a determination that the title or job classification does involve the performance of disqualifying duties, the commission shall deny the request for an exemption.

(3) Where the commission determines that it is in the public interest to request that an individual file an annual statement, even though the duties may not exclude an exemption, the commission may require the employee who serves in the title or job classification to file a short-form financial disclosure statement, which shall contain only that information which the commission determines is appropriate and necessary for that title or job classification.

(d) The commission shall give written notification of its determination to the requesting employee or employee organization or local agency, as appropriate. Any determination, other than a determination to grant the request, shall contain written findings of fact in support of the determination.

(e) A request for an exemption does not extend the deadline for filing the annual statement. The party requesting the exemption may, under compelling circumstances, apply to the commission for an extension to submit an annual statement until the exemption requested is acted upon by the commission. Only in special circumstances, as determined by the commission, will an extension for submission of an annual statement be granted because of a pending exemption request.

(f) Once an exemption is granted, all employees covered by the exemption shall not be required to submit annual statements for subsequent years unless:

(1) the employee is appointed or promoted to a new title or job classification for which filing is required;

(2) the duties of the title or job classification change to include disqualifying duties; or

(3) the commission, upon review of its determination to grant the exemption, determines that the exemption is no longer allowable under the law or this regulation or is no longer in the public interest. However, no such determination shall be made without giving the original parties to the request an opportunity to submit written objections. In addition, any such determination shall be in writing and supported by written findings of fact.

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