19 CRR-NY 937.1NY-CRR
19 CRR-NY 937.1
19 CRR-NY 937.1
937.1 Scope and purpose.
These regulations provide information concerning the procedures by which records of the Joint Commission on Public Ethics (commission) shall be available for public inspection and copying.
(a) Pursuant to Executive Law section 94(19)(a) the following records of the commission shall be available for public inspection and copying:
(1) the information set forth in an annual statement of financial disclosure filed pursuant to section 73-a of the Public Officers Law except the categories of value or amount, which shall remain confidential, and any other item of information deleted pursuant to section 94(9)(h) of the Executive Law (effective for filings due before January 1, 2013);
(2) the information set forth in an annual statement of financial disclosure filed pursuant to section 73-a of the Public Officers Law except information deleted pursuant to section 94(9)(h) of the Executive Law (effective for filings due after January 1, 2013);
(3) notices of delinquency sent pursuant to section 94(12) of the Executive Law;
(4) notices of civil assessments imposed pursuant to section 94(14) of the Executive Law that shall 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;
(5) the terms of any settlement agreement or compromise of a complaint or referral that includes a fine, penalty or other remedy;
(6) those records required to be held or maintained publicly available pursuant to article 1-A of the Legislative Law; and
(7) substantial basis investigation reports issued by the commission pursuant to section 94(14-a) and (14-b) of the Executive Law. With respect to reports concerning members of the Legislature or legislative employees or candidates for member of the Legislature, the commission shall not publicly disclose or otherwise disseminate such reports except in conformance with the requirements of section 80(9)(b) of the Legislative Law.
(b) In addition to the records in paragraphs (a)(1) and (2) of this section the following information related to annual statements of financial disclosure shall be available pursuant to a request for information and/or access to records in accordance with this Part:
(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 section 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 (whether it is pending, overdue, or unavailable for some other reason such as an extension of time to file pursuant to Executive Law section 94[9][c], an exemption from filing pursuant to Executive Law section 94[9][k], or a pending application for deletion or exemption pursuant to Executive Law section 94[9][h], [i] or [i]-[1]);
(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 section 73-a;
(a) this shall include the date that the reporting individual’s appointing authority amended the written instrument required under Public Officers Law section 73-a(1)(c)(2) to include the individual as a required filer;
(ii) whether such individual has sought or received an exemption from filing pursuant to Executive Law section 94(9)(k);
NB: responses to subparagraphs (i) and (ii) of this paragraph 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 section 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 section 94(9)(k);
(5) the application (including all associated materials) for exemption, deletion and extension pursuant to Executive Law section 94(9)(c), (h), (i), (i-1), and (k), and the commission’s regulations, shall be exempt from the provisions of this subdivision and not subject to disclosure.
(c) In additional to the records in subdivision (a) of this section the commission shall make available, pursuant to a request for information and/or access to records in accordance with this Part, the name, title and salary of all commission staff.
(d) As of January 1, 2022 requests for information and/or records pursuant to this section shall be recorded in a record access request log, which shall include the date of the request and the identity of the individual or entity that made 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.
19 CRR-NY 937.1
Current through October 31, 2021
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IMPORTANT NOTE REGARDING CONTENT CURRENCY: JULY 31, 2023, is the date of the most recently produced official NYCRR supplement covering this rule section. For later updates to this section, if any, please: consult editions of the NYS Register published after this date; or contact the NYS Department of State Division of Admisnistrative Rules at [email protected]. See Help for additional information on the currency of this unofficial version of the NYS Rules.