N.Y. Comp. Codes R. & Regs. tit. 19 § 937.2

Current through Register Vol. 46, No. 43, October 23, 2024

Section 937.2 - Information and Documents Publicly Available

(a) Pursuant to Executive Law section 94(13)(b), the following documents of the Commission are available on the Commission's website:

(1) The information set forth in annual statements of financial disclosure filed by statewide elected officials and members of the State legislature pursuant to Public Officers Law § 73-a, except information that has been deleted pursuant to Executive Law § 94(9)(h);

(2) Notices of Delinquency issued pursuant to Executive Law § 94(9);

(3) Notices of Civil Assessments imposed pursuant to Executive Law § 94, which include a description of the nature of the alleged wrongdoing, the procedural history of the complaint, the findings and determinations made by the Commission, and any sanction imposed;

(4) The terms of any Settlement Agreement or compromise of a complaint or referral that includes a fine, penalty, or other remedy;

(5) Those documents required to be held or maintained publicly available pursuant to article one-A of the Legislative Law; and

(6) Non-confidential reports issued by the Commission pursuant to Executive Law § 94.

(b) In addition to the documents enumerated in subdivision (a) of this section, the Commission, at its discretion, may make additional documents available on the Commission's website.

(c) In addition to the documents available pursuant to subdivision (a) of this section, the following additional information related to annual statements of financial disclosure is available upon request:

(1) With respect to a particular annual statement of financial disclosure:

(i) The date of submission;

(ii) Whether deletions have been made to the filing pursuant to Executive Law § 94(9)(h);

(a) This will not include information that is routinely redacted from all annual statements of financial disclosure by the Commission as a matter of course such as addresses of primary residence, names of minor children, email addresses, and account numbers.

(iii) If a particular filing is unavailable, the status of that filing, i.e., whether it is pending, overdue, or unavailable for some other reason such as an extension of time to file, an exemption from filing, or a pending application for deletion or exemption pursuant to Executive Law § 94(9).

(2) With respect to a particular individual, whether such individual is required to file an annual statement of financial disclosure, including:

(i) Whether the individual has been designated a Policy Maker or meets the filing rate pursuant to Public Officers Law § 73-a.

(a) This shall include the date that the reporting individual"s appointing authority amended the written instrument required under Public Officers Law § 73-a(1)(c)(ii) to include the individual as a required filer.

(ii) Whether such individual has sought or received an exemption from filing pursuant to Executive Law § 94(9)(k).

NB: responses to subparagraphs (i) and (ii) of paragraph (2) may vary depending on the filing year in question.

(3) For a specific state agency (as defined by subsection 1 (b) of Public Officers Law § 73-a), a list of individuals who are required to submit an annual statement of financial disclosure and whether each individual has been designated as a Policy Maker by their appointing authority.

(4) A list of job titles and employment classifications that have been exempted from the requirement to file an annual statement of financial disclosure pursuant to Executive Law § 94(9)(k).

(d) In addition to the documents enumerated in subdivision (a) of this section, the Commission shall make available, pursuant to a request for information and/or request for records in accordance with this Part, the name, public office address, title and salary of all Commission staff.

(e) Requests for information, documents and/or records pursuant to this section shall be recorded in a Record Access Request Log, which shall include the date of the request, the identity of the individual or entity that made such request, the identity of the Commission staff recording the request, and identify the record or records requested and provided. The Record Access Request Log shall be made available upon a request for information and/or access to records in accordance with this Part.

N.Y. Comp. Codes R. & Regs. Tit. 19 § 937.2

Amended New York State Register November 15, 2017 /Volume XXXIX, Issue 46, eff. 11/15/2017

Amended New York State Register November 3, 2021/Volume XLIII, Issue 44, eff. 11/3/2021

Adopted New York State Register July 12, 2023/Volume XLV, Issue 28, eff. 6/22/2023, exp. 8/20/2023 (Emergency)

Adopted New York State Register August 9, 2023/Volume XLV, Issue 32, eff. 8/9/2023