N.Y. Comp. Codes R. & Regs. tit. 9 § 4.3

Current through Register Vol. 46, No. 36, September 4, 2024

Section 4.3 - Executive order no. 3: establishing a board of public disclosure

I. There is hereby established in the Department of State a Board of Public Disclosure ("the Board"), consisting of the Secretary of State, the Secretary to the Governor, the Counsel to the Governor, and four public members to be appointed by the Governor. One of the four public members shall be designated by the Governor as chairman. The public members shall serve at the pleasure of the Governor, and shall receive no compensation, but shall receive reimbursement for any necessary expenses in connection with the performance of their duties. None of the public members may hold any public office, elected or appointed, or any office in any political party. The Board may retain the services of a staff assistant, fix the compensation therefor and assign such responsibilities to the staff assistant as the Board may deem appropriate. The staff assistant shall work under the supervision of the Counsel to the Governor.

II. The head of every State department, division or agency who is appointed or nominated by the Governor; their deputies and assistants, and, as determined by the appropriate department, division or agency head in consultation with the Board, the officers and employees in such departments, divisions or agencies who hold policymaking positions; senior officers and employees in the Executive Department who hold policymaking positions and are appointed by the Governor; and every member of the governing body of any State board, commission, council, authority, public benefit corporation, or similar entity, serving at the pleasure of the Governor, who receives compensation from the State, shall, upon the filing of an oath of office and annually as of December 31st and by the succeeding February 28th, file with the Board a Financial Disclosure Statement which shall be substantially in the form provided by the Counsel to the Governor, with such changes therein as may from time to time be prescribed by the Board. Each such annual report shall include a statement confirming that the person making such report has at all times to and including the date of the report complied with the provisions of Public Officers Law section 74 to the extent such provisions apply to such person.

III. No person referred to in Part II shall serve as an officer of any political party or political organization, or serve as a member of any political party committee, including political party district leader (however designated), or member of a political party's national committee.

No such person shall engage in any other activity which interferes or is in conflict with the proper and effective discharge of such person's official duties, as determined by the Board.

IV. No person referred to in Part II shall hold any other public office or public employment for which more than nominal compensation, direct or indirect, is received; expend time or otherwise engage in any private employment, profession, business or other activity from which more than nominal compensation, direct or indirect, is derived; or serve as director or officer of any profit-making corporation or institution, without, in each such case, first advising the Board, in an application whose form the Board shall prescribe, of such person's plans to engage in such activity. The Board shall promulgate guidelines as to what constitutes nominal compensation, and shall promulgate rules governing the procedure by which such applications will be considered. The Board shall review all such applications. In connection with such review, the Board may require the person planning to engage in the activity to submit such additional information as the Board may deem appropriate.

The Board shall advise such persons whether the proposed activity violates the intent of this Order or interferes or conflicts with the proper and effective discharge of the official duties of the person planning to engage in the activity. In reaching its determination, the Board shall also consider the provisions of sections 73 and 74 of the Public Officers Law.

The Board shall make a determination in each such case. The application to the Board and the determination of the Board in every such case shall be private and advisory only; provided that the Board may provide to the Governor such information with respect to such applications and determinations as it from time to time deems appropriate.

V. The Board shall review Financial Disclosure Statements to assure adequate compliance. The Board shall report to the Governor any conflict of interest or violation of this Order.

The Board shall file Financial Disclosure Statements for public viewing with the Department of State in Albany, and shall establish a procedure, to be implemented by the Secretary of State, by which the statements may be viewed by the public.

Any person required to file a Financial Disclosure Statement may request the Board to delete from the copy thereof made available for public viewing one or more items, which may be deleted by the Board upon a finding that any such item is of a highly personal nature, does not in any way relate to the duties of the position held by such person, and does not create an actual or potential conflict of interest. In addition, the Board may determine, with respect to all such statements, or statements of defined categories of persons, that one or more items shall be deleted from the copies thereof made available for public viewing upon a similar such finding.

VI. Upon request of the Governor, the Board shall review information submitted to the Governor by any prospective appointee, and shall advise the Governor whether any actual or potential conflicts of interest exist.

VII. The provisions of this Order shall not apply to the members of the governing body of any State board, commission, council, or similar entity, which performs solely advisory functions, as determined by the Board.

VIII. Executive Order Number 10.3, dated July 31, 1981, is revoked and superseded by this Executive Order.

Signed: Mario M. CuomoDated: January 18, 1983

[FN*] [Revokes and supersedes Executive Order No. 10.3 (Hugh L. Carey), § 3.10, supra.]

[FN[DAGGER]] [Revoked by Executive Order No. 5 (Eliot Spitzer), infra.]

[Revoked by Executive Order No. 9 (David A. Paterson), infra.]

[Revoked by Executive Order No. 2 (Andrew M. Cuomo), infra.]

N.Y. Comp. Codes R. & Regs. Tit. 9 § 4.3