reglab/statecodes huggingface dataset:
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9950 - Access To Records › Section 9950.4 - Persons from whom records may be obtained

Current through Register Vol. 46, No. 28, July 10, 2024
All requests from the public, or members of the news media,
				  to inspect and/or copy records subject to public disclosure as provided by this
				  Part are to be made to the records access officer whose business address is:
				  Empire State Plaza, Corning Tower, Albany, NY 12237.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9950 - Access To Records › Section 9950.5 - Fees for copying records

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Fees for certification of copies and supplying transcripts of all documents and
				records under the seal of the panel shall be the fees as prescribed by
				applicable regulations of the panel.
(b) Fees for photocopies or data printouts of
				records available pursuant to this Part shall be 25 cents per page and $60 for
				transfer of computer files to a requestor's computer tape.
(c) Except where fees are established by law,
				rule or regulation, no fee shall be charged for:
(1) inspection of a record;
(2) record searches;
(3) certification pursuant to this Part;
				and
(4) publications of the panel
				provided free to residents of the State of New York.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9950 - Access To Records › Section 9950.6 - Availability of panel records

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				All records of the panel are available for public inspection and copying,
				except that access may be denied to records or portions thereof that:
(1) are specifically exempted from disclosure
				by State or Federal statute;
(2) if
				disclosed would constitute an unwarranted invasion of personal privacy;
(i) an unwarranted invasion of personal
				privacy includes, but is not limited to:
(a)
				disclosure of employment, medical or credit histories or personal references of
				applicants for employment;
(b)
				disclosure of items involving the medical or personal records of an Elderly
				Pharmaceutical Insurance Coverage program participant;
(c) sale or release of lists, names and
				addresses if such lists would be used for commercial or fund-raising
				purposes;
(d) disclosure of
				information of a personal nature when disclosure would result in economic or
				personal hardship to the subject party and such information is not relevant to
				the work of the panel or the agency requesting it; or
(e) disclosure of information of a personal
				nature reported in confidence to the panel and not relevant to the ordinary
				work of the panel;
(ii)
				disclosure is not construed to constitute an unwarranted invasion of personal
				privacy when:
(a) identifying details are
				deleted;
(b) the person to whom a
				record pertains consents in writing to disclosure;
(c) upon presenting reasonable proof of
				identity, a person seeks access to records pertaining to him/her;
(3) if disclosed would
				impair present or imminent contract awards or collective bargaining
				negotiations;
(4) are trade secrets
				or are maintained for the regulation of commercial enterprise which, if
				disclosed, would cause substantial injury to the competitive position of the
				subject enterprise;
(5) are
				compiled for law enforcement purposes and which, if disclosed, would:
(i) interfere with law enforcement
				investigations or judicial proceedings;
(ii) deprive a person of a right to a fair
				trial or impartial adjudication;
(iii) identify a confidential source or
				disclose confidential information relating to a criminal investigation;
				or
(iv) reveal criminal
				investigative techniques or procedures, except routine techniques or
				procedures;
(6) if
				disclosed would endanger life or safety of any person;
(7) are inter-agency or intra-agency material
				which are not:
(i) statistical or factual
				tabulations or data;
(ii)
				instructions to staff that affect the public; or
(iii) final agency policy or determination;
				or
(8) are examination
				questions or answers which are requested prior to the final administration of
				such questions.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9950 - Access To Records › Section 9950.7 - Procedures governing inspection and copying of records

Current through Register Vol. 46, No. 28, July 10, 2024
Inspection and copying of records shall be made in the
				  following manner:
(a) Records access
				requests must be reasonably described and in writing.
(b) The records access officer shall, within
				five business days after receipt of a request:
(1) make requested records
				available;
(2) deny the request in
				writing. Such denial should:
(i) explain the
				reason for the denial;
(ii) set
				forth the right of appeal to the records access appeals officer; and
(iii) provide the name, title, business
				address and telephone number of the records access appeals officer;
				or
(3) furnish written
				acknowledgment of the request and the approximate date when the request will be
				granted or denied.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9950 - Access To Records › Section 9950.8 - Trade secrets

Current through Register Vol. 46, No. 28, July 10, 2024
Documents which contain trade secrets or are maintained for
				  the regulation of commercial enterprise which, if disclosed, would cause
				  substantial injury to the competitive position of an enterprise may be withheld
				  from public disclosure.
(a) Requests
				of exceptions from disclosure shall:
(1) be in
				writing to the records access officer;
(2) be submitted at the time the trade secret
				information is submitted;
(3)
				include the name, address and telephone number of the manufacturer, producer,
				formulator, employer or person desiring to register a trade secret;
(4) include the name and title of an
				individual who may be contacted concerning the request;
(5) include the name or other identification
				of the trade secret; and
(6) state
				reasons why the information should be excepted from disclosure.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9950 - Access To Records › Section 9950.9 - Appeals of denial of access to records

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Except as provided for in section
				9950.8  of this
				Part, any person who has been denied access to records by the records access
				officer may appeal such denial in writing within 30 days to the records access
				appeals officer.
(b) The time for
				deciding on an appeal by the records access appeals officer shall commence upon
				receipt of the written appeal, which shall identify:
(1) the date and location of request for
				records;
(2) the records to which
				the requestor was denied access; and
(3) the name and return address of the
				requestor.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9951 - Access To Or Correction/amendment Of Records Of The Elderly Pharmaceutical Insurance Coverage Panel Subject To The Personal Privacy Protection Law › Section 9951.1 - Statement of purpose

Current through Register Vol. 46, No. 28, July 10, 2024
The purpose of this Part is to set forth the methods and
				  procedures governing the availability, location and nature of those records of
				  the Elderly Pharmaceutical Insurance Coverage Panel subject to the provisions
				  of article 6-A of the Public Officers Law, known as the Personal Privacy
				  Protection Law, and the rules of the Committee on Open
				  Government.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9951 - Access To Or Correction/amendment Of Records Of The Elderly Pharmaceutical Insurance Coverage Panel Subject To The Personal Privacy Protection Law › Section 9951.2 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
As used in this Part, the following words and terms shall
				  have the indicated meanings:
(a) Data
				subject means any natural person about whom personal information has been
				collected by an agency.
(b)
				Personal information means any data concerning a data subject which, because of
				name, number, symbol, mark or other identifier, can be used to identify that
				data subject.
(c) Records access
				officer means the records access officer or his/her authorized representative
				and shall be the person from whom records may be obtained, as listed in section
				9950.4 
				of this Subtitle.
(d) Records
				access appeals officer means the Executive Director, of the panel, whose
				business address is: Empire State Plaza, Corning Tower, Albany, NY
				12237.
(e) Records means any item,
				collection or grouping of personal information about a data subject which is
				maintained and is retrievable by use of name or other identifier of the data
				subject. The term record shall not include personal information not used to
				make a determination about a data subject, such as:
(1) a telephone book or directory;
(2) a card catalog, book or other resource
				material in any library;
(3) a
				compilation of information containing names and addresses used exclusively for
				mailing agency information;
(4)
				personal information required by law to be maintained, and required by law to
				be used only for statistical research or reporting purposes;
(5) correspondence files; or
(6) information requested by the panel which
				is necessary to answer unsolicited requests by the data subject for
				information.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9951 - Access To Or Correction/amendment Of Records Of The Elderly Pharmaceutical Insurance Coverage Panel Subject To The Personal Privacy Protection Law › Section 9951.3 - Times, places for inspecting records and means for verifying the identity of a data subject

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Records shall be available for inspection and copying by data
				subjects/authorized representatives on every day that the offices of the panel
				are open for the transaction of business between the hours of 8:30 a.m. and
				4:45 p.m.
(b) Records may be
				inspected at locations designated by the appropriate records access officer,
				whose title and business address is as set forth in section
				9950.4 
				of this Subtitle.
(c) The identity
				of a data subject who requests access to his/her record may require
				verification as follows:
(1) Prior to being
				given access to personal information, an individual may be required to provide
				reasonable verification of his/her identity. No verification of identity,
				however, shall be required of an individual seeking access to records which are
				otherwise available to any member of the public under the Freedom of
				Information Law.
(2) In the case of
				an individual who seeks access or amendment in person, verification of identity
				will normally be made from those documents that an individual is likely to have
				readily available, such as an employee identification card, driver license,
				etc.
(3) When access or amendment
				is requested by mail, verification of identity may be obtained by requiring the
				individual to provide certain minimum identifying data, such as date of birth
				and some item of information in the record that only the concerned individual
				would likely know. If the sensitivity of the information in the record
				warrants, a signed and notarized statement of identity may be
				required.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9951 - Access To Or Correction/amendment Of Records Of The Elderly Pharmaceutical Insurance Coverage Panel Subject To The Personal Privacy Protection Law › Section 9951.4 - Persons from whom records may be obtained

Current through Register Vol. 46, No. 28, July 10, 2024
All requests to inspect and/or copy records subject to
				  disclosure as provided by this Part are to be made to the records access
				  officer.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9951 - Access To Or Correction/amendment Of Records Of The Elderly Pharmaceutical Insurance Coverage Panel Subject To The Personal Privacy Protection Law › Section 9951.5 - Fees for copying records

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Fees for certification of copies and supplying transcripts of all documents and
				records under the seal of the panel shall be the fees as prescribed by the
				applicable regulations of the panel.
(b) Fees for photocopies or data printouts or
				records available pursuant to this Part shall be 25 cents per page or $60 for
				transfer of a computer file to a requestor's computer tape.
(c) Except where fees are established by law,
				rule or regulation, no fee shall be charged for:
(1) inspection of a record;
(2) record searches;
(3) certification pursuant to this Part;
				and
(4) amendment or correction of
				an agency record found to be in error.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9951 - Access To Or Correction/amendment Of Records Of The Elderly Pharmaceutical Insurance Coverage Panel Subject To The Personal Privacy Protection Law › Section 9951.6 - Procedures governing inspection and copying of records

Current through Register Vol. 46, No. 28, July 10, 2024
Inspection and copying of records shall be made in the
				  following manner:
(a) Records access
				requests must be reasonably described and in writing.
(b) The records access officer shall, within
				five business days after receipt of a request:
(1) make requested records
				available;
(2) deny the request in
				writing. Such denial should:
(i) explain the
				reason for the denial;
(ii) set
				forth the right of appeal to the records access appeals officer; and
(iii) provide the name, title, business
				address and telephone number of the records access appeals officer;
(3) furnish written acknowledgment
				of the request and the approximate date when the request will be granted or
				denied, which date shall not exceed 30 days from the date of
				acknowledgment.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9951 - Access To Or Correction/amendment Of Records Of The Elderly Pharmaceutical Insurance Coverage Panel Subject To The Personal Privacy Protection Law › Section 9951.7 - Appeals of denial of access to records

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Any person who has been denied access to
				records by the records access officer may appeal such denial in writing within
				30 business days to the records access appeals officer.
(b) The time for deciding on an appeal by the
				records access appeals officer shall commence upon receipt of the written
				appeal, which shall identify:
(1) the date
				and location of request for records;
(2) the records to which the requestor was
				denied access; and
(3) the name and
				return address of the requestor.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9951 - Access To Or Correction/amendment Of Records Of The Elderly Pharmaceutical Insurance Coverage Panel Subject To The Personal Privacy Protection Law › Section 9951.8 - Procedures governing the correction or amendment of records

Current through Register Vol. 46, No. 28, July 10, 2024
The correction or amendment of records shall be made in the
				  following manner:
(a) Records to be
				corrected or amended shall be reasonably described and must be made in
				writing.
(b) The records access
				officer shall, within 30 business days after receipt of a request:
(1) make requested correction or amendment in
				whole or part and advise the individual that, upon request, parties to which
				such data has been disclosed will be advised if such data was disclosed in
				accordance with section 94 (3)(c)  of the Public
				Officers Law;
(2) deny the request
				in writing. Such denial should:
(i) explain
				the reason for the denial;
(ii) set
				forth the right of appeal to the records access appeals officer; and
(iii) provide the name, title, business
				address and telephone number of the records access appeals officer.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9951 - Access To Or Correction/amendment Of Records Of The Elderly Pharmaceutical Insurance Coverage Panel Subject To The Personal Privacy Protection Law › Section 9951.9 - Appeals of denial of correction or amendment of records

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Any person who has been denied correction
				or amendment of records by the records access officer may appeal such denial in
				writing within 30 business days to the records access appeals
				officer.
(b) The time for deciding
				on an appeal by the records access appeals officer shall commence upon receipt
				of the written appeal, which shall identify:
(1) the date and location of request for
				records;
(2) the records to which
				the requestor was denied correction or amendment to and the requestor's
				justification for correction; and
(3) the name and return address of the
				requestor.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9960 - Elderly Pharmaceutical Insurance Coverage › Section 9960.1 - Covered drug

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Definitions. For purposes of this Part, the following terms shall have the
				following meanings:
(1) Department means the
				New York State Department of Health.
(2) Commissioner means the New York State
				Commissioner of Health.
(3) EPIC
				means the Elderly Pharmaceutical Insurance Coverage Program established
				pursuant to section 19-K of the Executive Law.
(4) Eligible participant means a person
				deemed eligible to receive benefits coverage under EPIC.
(5) Licensed physician means a legally
				authorized prescriber of drugs.
(6)
				Excluded drug means any drug package, dosage form or administration deemed to
				be excluded as a covered benefit under EPIC pursuant to section
				9960.3 
				of this Part.
(7) Drug Application
				Information form means a form developed by the department for the purpose of
				collecting information from licensed physicians and used by the department in
				determining coverage of excluded drugs under EPIC.
(8) Contractor means the private,
				not-for-profit, or proprietary corporation which has entered into a contract
				with EPIC to assist in carrying out the provisions of EPIC.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9960 - Elderly Pharmaceutical Insurance Coverage › Section 9960.2 - Process for allowing coverage of excluded drugs

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Request for coverage.
(1) Any drug package, or form of dosage or
				administration excluded from coverage as a benefit under EPIC pursuant to
				section
				9960.3 
				of this Part may be allowed to be dispensed to a specific eligible participant
				based upon a written request for coverage by a licensed physician and a legal
				prescription.
(2) Each request for
				coverage shall be supported by a written certification and specific reasons why
				an excluded drug package or form of dosage or administration is considered by a
				licensed physician to be medically indicated for treatment of a specific
				patient.
(3) Requests for coverage
				pursuant to paragraph (1) of this subdivision shall be made only by a licensed
				physician treating an eligible participant for whom such excluded drug benefit
				is considered to be medically indicated.
(4) All requests for coverage of an excluded
				drug benefit shall be supported by information submitted by a physician on a
				Drug Application Information form and submitted to the department. Telephone
				requests may be made to the department; however, all such telephone requests
				for information shall be followed by submission of the required information on
				a completed Drug Application Information form to facilitate proper review and
				disposition of each request.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle KK - Program for Elderly Pharmaceutical Insurance Coverage › Part 9960 - Elderly Pharmaceutical Insurance Coverage › Section 9960.3 - Procedures for determinations relating to package, dosage form or form of administration

Current through Register Vol. 46, No. 28, July 10, 2024
For purposes of designating a given package, dosage form or
				  form of administration as excluded from coverage, the following shall
				  apply:
(a) An initial determination
				based upon information and facts available, shall be made by the department
				utilizing such considerations as:
(1) the
				availability of low-cost alternative packaging, dosage form or forms of
				administration;
(2) any particular
				health needs of the EPIC population;
(3) the degree to which the packaging, dosage
				form or form of administration offers comfort, convenience or ease of
				administration at added cost;
(4)
				availability of pharmaceutically equivalent and therapeutically equivalent
				products for the covered population;
(5) any drug marketed as a therapeutic agent
				with official labeling which states that the product is contraindicated by
				virtue of age or therapeutic condition for program participants; or
(6) recommendations of the Technical Pharmacy
				Advisory Committee of the department, where appropriate, as to current pharmacy
				practice and drug marketing principles.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle LL - Temporary State Commission on Local Government Ethics › Part 9975 - Extension Of Time For Filing A Financial Disclosure Statement Due To Justifiable Cause Or Undue Hardship Or Automatic Extension Of Time To File › Section 9975.1 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Annual
				statement shall mean the annual statement of financial disclosure filed with
				the commission pursuant to local law, ordinance, or resolution or filed
				pursuant to General Municipal Law, section 811 or
				812.
(b) Commission shall mean the Temporary State
				Commission on Local Government Ethics, established under General Municipal Law,
				section
				813.
(c) Covered individual shall mean an
				individual who is required to file an annual statement with the commission
				pursuant to local law, ordinance, or resolution, or pursuant to section
				811 or
				812 of the General Municipal Law.
(d) Filing date shall mean the date by which
				a covered individual must file his annual statement with the commission, as
				fixed by section 812 (1)(a)  of the General
				Municipal Law (exclusive of subparagraphs [i] and [ii]). However, in the event
				that a covered individual files with the commission pursuant to local law,
				ordinance, or resolution and that local law, ordinance, or resolution provides
				for an earlier filing date than that specified in the preceding sentence, then
				the term filing date shall mean that earlier filing date.
(e) Modified filing date shall have the
				meaning ascribed to it in section
				9975.3(b) 
				of this regulation.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle LL - Temporary State Commission on Local Government Ethics › Part 9975 - Extension Of Time For Filing A Financial Disclosure Statement Due To Justifiable Cause Or Undue Hardship Or Automatic Extension Of Time To File › Section 9975.2 - Basis for extension

Current through Register Vol. 46, No. 28, July 10, 2024
The filing date for a covered individual may be extended only
				  upon a showing of:
(a) justifiable
				cause; or
(b) undue
				hardship.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle LL - Temporary State Commission on Local Government Ethics › Part 9975 - Extension Of Time For Filing A Financial Disclosure Statement Due To Justifiable Cause Or Undue Hardship Or Automatic Extension Of Time To File › Section 9975.3 - Procedure

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The request for
				an extension shall be mailed to the commission by certified mail or shall be
				delivered by hand. Upon request, a receipt shall be issued for a hand delivery.
				A request for an extension of the filing date must be postmarked, or delivered
				to the commission, no later than 10 calendar days before the filing
				date.
(b) In the event an
				individual, through hiring, appointment, promotion, election, or other
				designation, becomes a covered individual either after the filing date or less
				than 30 calendar days before the filing date, that individual shall file his or
				her annual statement with the commission within 30 days after the event making
				him or her a covered individual (hereinafter referred to as the "modified
				filing date"). That individual may request an extension of the modified filing
				date. That request must be postmarked, or delivered to the commission, during
				the 30-day period before the modified filing date.
(c) The request for an extension of the
				filing date or modified filing date must contain the following information:
(1) the name of the covered individual, home
				address and work address;
(2) the
				title of the position or job classification under which the individual is
				employed;
(3) documentation of
				justifiable cause or undue hardship in the form of a written statement, with
				copies of any necessary supporting documents the covered individual wishes the
				commission to consider in granting or denying the request;
(4) the specific period of time for which the
				covered individual wishes to be granted an extension, including a date certain
				upon which the covered individual intends to comply with the filing
				requirement, provided however that no extension under these rules and
				regulations shall extend for more than 45 days after the filing date for that
				individual. In the case of an individual who is hired, appointed, elected, or
				otherwise designated as a covered individual, either after the filing date or
				less than 30 days before that date, no extension of time under these rules and
				regulations shall extend for more than 45 days after the modified filing date.
				In addition, in the case of those individuals described in General Municipal
				Law, section
				812(1)(a)(iii)-(v), no
				extension shall extend beyond the 10th day before the general or primary
				election in which the individual is a candidate.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle LL - Temporary State Commission on Local Government Ethics › Part 9975 - Extension Of Time For Filing A Financial Disclosure Statement Due To Justifiable Cause Or Undue Hardship Or Automatic Extension Of Time To File › Section 9975.4 - Commission action

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Upon receipt of a timely request from a covered individual for an extension of
				the filing date or modified filing date, the commission shall review the
				material filed to determine whether there has been a showing of justifiable
				cause or undue hardship. Extensions shall not be granted upon a general
				statement that undue hardship or justifiable cause exists. The terms
				justifiable cause and undue hardship shall mean more than mere inconvenience to
				the covered individual.
(b) The
				commission may request additional information from the covered individual who
				submitted the request. The individual shall then submit the additional
				information to the commission within 10 business days after the commission's
				request, either by certified mail or by hand delivery to the commission. In the
				event the commission does not receive the additional information within 10
				business days, the commission may make a determination on the basis of the
				information it has available.
(c)
				The commission shall notify the covered individual of its determination on the
				request for an extension of the filing date or modified filing date.
(1) If the request is approved, the annual
				statement shall be filed on the date indicated by the commission in its
				determination issued to the covered individual.
(2) If the request for an extension is
				denied, the covered individual must file the annual statement by the filing
				date or the modified filing date or on the date indicated by the commission in
				its determination.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle LL - Temporary State Commission on Local Government Ethics › Part 9975 - Extension Of Time For Filing A Financial Disclosure Statement Due To Justifiable Cause Or Undue Hardship Or Automatic Extension Of Time To File › Section 9975.5 - Automatic extension

Current through Register Vol. 46, No. 28, July 10, 2024
(a) In
				the event a covered individual has:
(1) timely
				filed with the Internal Revenue Service an application for automatic extension
				of time in which to file his or her individual income tax return for the
				immediately preceding calendar or fiscal year; and
(2) lacks sufficient information to complete
				his or her annual statement, that individual shall file with the commission,
				with respect to any item of the annual statement which he or she cannot
				complete, a written statement that the information is lacking from the annual
				statement but that it will be supplied in a supplementary statement of
				financial disclosure on or before the seventh day after the expiration of the
				period of the automatic extension of time to file the income tax
				return.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle LL - Temporary State Commission on Local Government Ethics › Part 9975 - Extension Of Time For Filing A Financial Disclosure Statement Due To Justifiable Cause Or Undue Hardship Or Automatic Extension Of Time To File › Section 9975.6 - Miscellaneous

Current through Register Vol. 46, No. 28, July 10, 2024
These rules and regulations shall be deemed to satisfy the
				  requirements of both sections 811 (1)(d) and
				  813 (9)(c)  of the General
				  Municipal Law.
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 9976.1 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Annual
				statement shall mean the annual statement of financial disclosure filed with
				the commission pursuant to local law, ordinance, or resolution or filed
				pursuant to General Municipal Law, section
				811 or
				812.
(b) Appointing authority shall mean that
				individual or body which has the authority by law, rule, or regulation to
				appoint a person to a position, or that individual or body to whom that
				authority may be properly delegated by law, rule, or regulation.
(c) Commission shall mean the Temporary State
				Commission on Local Government Ethics, established under General Municipal Law,
				section
				813.
(d) Exemption shall mean a waiver of the
				requirement that an individual file an annual statement.
(e) Local agency shall have the same meaning
				ascribed to that term by General Municipal Law, section
				810(12).
(f) Employee shall mean any municipal officer
				or employee, as that term is defined in General Municipal Law, section
				800(5), who is neither:
(1) a local elected official; nor
(2) a local officer or employee.
For purposes of this definition, the terms local elected
				  official and local officer or employee shall have the meanings ascribed to
				  those terms by subdivisions (2) and (3), respectively, of General Municipal
				  Law, section
				  810.
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 9976.2 - Procedures

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A request for
				an exemption may be made either by an individual employee or by an employee
				organization or local agency acting on behalf of employees who share the same
				title or job classification. The request shall be filed with the commission by
				April 1st of the year for which the exemption is requested. However, in the
				event that an employee files pursuant to local law, ordinance, or resolution,
				and that local law, ordinance, or resolution prescribes a date for filing the
				annual statement which is earlier than May 15th, then that request shall be
				made at least 45 days before that filing date.
(b) The request for an extension shall be
				mailed to the commission by certified mail, or shall be delivered by hand. Upon
				request, a receipt shall be issued for a hand delivery.
(c) The request for exemption shall include
				the following information:
(1) if the request
				is made on an individual basis, the name and home and business address of the
				employee; if the request is made on behalf of employees sharing the same title
				or job classification, the name of the employee organization or local agency
				making the request and the name and address of the individual authorized to
				make the request for that employee organization or local agency;
(2) the title or job classification of the
				position for which the exemption is sought;
(3) if the request is being made by a local
				agency or employee organization, a list of all local agencies within the
				political subdivision where the title or job classification is
				located;
(4) a copy of the job
				description or specification for the title or job classification for which the
				exemption is requested;
(5) a
				statement, accompanied by supporting documentation, that the title or job
				classification does not involve the performance of disqualifying
				duties.
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

Current through Register Vol. 46, No. 28, July 10, 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.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle LL - Temporary State Commission on Local Government Ethics › Part 9977 - Adjudicatory Proceedings And Appeals Procedure › Section 9977.1 - Intent and purpose

Current through Register Vol. 46, No. 28, July 10, 2024
The Temporary State Commission on Local Government Ethics has
				  statutory authority to adopt rules and regulations governing the conduct of
				  adjudicatory proceedings and appeals relating to the assessment of the civil
				  penalties authorized by General Municipal Law, section
				  813(13) and the conduct of
				  hearings held under section 813(12)(a) of that law; rules relating to appeals
				  taken from denials by the Public Advisory Council of requests to delete or
				  exempt certain items of information from the annual statement of financial
				  disclosure as authorized in General Municipal Law, section
				  813(9)(h)-(i); and rules
				  relating to appeals taken from final decisions made after a hearing. In
				  adjudicatory proceedings and appeals undertaken pursuant to the Ethics in
				  Government Act, it is the intention and purpose of the Temporary Commission on
				  Local Government Ethics to afford all parties due process protection and fair
				  and just resolution of all matters. The purpose of the Ethics in Government Act
				  is to restore public trust and confidence in government. Effective enforcement,
				  including adjudication, will help to accomplish that purpose.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle LL - Temporary State Commission on Local Government Ethics › Part 9977 - Adjudicatory Proceedings And Appeals Procedure › Section 9977.2 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Appellant shall
				mean the recipient of an adverse determination by the Public Advisory Council
				who wishes to appeal or has appealed that adverse decision to the
				commission.
(b) Commission shall
				mean the Temporary State Commission on Local Government Ethics, established
				under General Municipal Law, section
				813.
(c) Ethics in Government Act shall mean
				chapter 813 of the Laws of 1987, as amended.
(d) Executive director shall mean executive
				director of the commission, as appointed pursuant to section 813 (9)(a)  of the General
				Municipal Law.
(e) Annual statement
				shall mean the annual statement of financial disclosure which is required to be
				filed with the commission pursuant to local law, ordinance, or resolution or
				filed pursuant to General Municipal Law, section
				811 or
				812.
(f) Hearing officer shall mean the presiding
				officer in adjudicatory hearings or proceedings conducted pursuant to these
				regulations.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle LL - Temporary State Commission on Local Government Ethics › Part 9977 - Adjudicatory Proceedings And Appeals Procedure › Section 9977.3 - Notice of reasonable cause

Current through Register Vol. 46, No. 28, July 10, 2024
If the commission, subsequent to an investigation of a
				  possible violation of a duly adopted code of ethics, local law, ordinance, or
				  resolution or General Municipal Law, section
				  811 or
				  812, and after compliance with the
				  provisions of General Municipal Law, section
				  813(12)(a), determines that
				  there is reasonable cause to believe that a violation has occurred, it shall
				  send a notice of reasonable cause:
(a)
				to the subject of the investigation;
(b) to the complainant, if any; and
(c) in the case of a local officer or
				employee, to the appointing authority for such person.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle LL - Temporary State Commission on Local Government Ethics › Part 9977 - Adjudicatory Proceedings And Appeals Procedure › Section 9977.4 - Notice of hearing or proceeding (form)

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Where the commission elects to go forward
				with a proceeding to determine whether a civil penalty should be assessed
				pursuant to General Municipal Law, section
				813(13), or to take such
				other action as may be authorized by law, the commission shall serve a written
				notice, by certified mail or other appropriate method of service authorized
				under the Civil Practice Law and Rules, to the parties and their
				representatives of record at least 20 calendar days prior to the date of any
				hearing or proceeding under these rules. The Notice of Hearing or proceeding
				shall contain the following:
(1) a statement
				of the time and place of the hearing or proceeding;
(2) a statement of the nature of the hearing
				or proceeding;
(3) reference to the
				particular statutes and rules relevant to the hearing or proceeding;
(4) a short, plain language statement of the
				violations asserted; and
(5) a
				statement for hearing impaired parties and participants concerning the
				provision of deaf interpretation services without charge.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle LL - Temporary State Commission on Local Government Ethics › Part 9977 - Adjudicatory Proceedings And Appeals Procedure › Section 9977.5 - Time and place of hearing or proceeding

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The time and place of the hearing or
				proceeding shall be contained in the notice of hearing or proceeding.
(b) The time and place of the hearing or
				proceeding shall not be changed unless a party formally requests a change
				pursuant to the adjournment request procedure contained in section
				9977.10  of this
				Part.
(c) The time and place of the
				hearing or proceeding shall, as far as practicable, take into account the
				convenience of the parties and the availability of witnesses.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle LL - Temporary State Commission on Local Government Ethics › Part 9977 - Adjudicatory Proceedings And Appeals Procedure › Section 9977.6 - Statement of charges (plain language summary)

Current through Register Vol. 46, No. 28, July 10, 2024
For any hearing or proceeding in which a violation of a code
				  of ethics, local law, ordinance, or resolution or of General Municipal Law,
				  section
				  811 or
				  812 is alleged, the notice of hearing or
				  proceeding shall contain a plain language statement of the violations which are
				  the subject of the hearing or proceeding.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle LL - Temporary State Commission on Local Government Ethics › Part 9977 - Adjudicatory Proceedings And Appeals Procedure › Section 9977.7 - Evidence and proof

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The
				formal rules of evidence do not apply to adjudicatory hearings or proceedings
				conducted pursuant to these rules. However, the rules of privilege recognized
				by law shall be given effect. Objections to evidentiary offers may be made and
				shall be a part of the record. Subject to these rules, any party may, for the
				purpose of expediting the hearing or proceeding and when the interests of the
				parties will not be substantially prejudiced thereby, submit all or part of the
				evidence in written form.
(b) The
				hearing officer may exclude irrelevant or unduly repetitive evidence or
				cross-examination from any hearing or proceeding.
(c) The burden of proof shall be on the party
				who initiated the hearing or proceeding, unless otherwise provided by
				statute.
(d) No decision or
				determination by the hearing officer, the executive director, or the commission
				shall be made except on consideration of the record as a whole, or such
				portions thereof as may be cited by any party to the hearing or proceeding and
				as supported by and in accordance with substantial evidence.
(e) Each party shall have the right of
				cross-examination.
(f) Official
				notice may be taken of all facts of which judicial notice may be taken and of
				other facts within the specialized knowledge of the commission. When official
				notice is taken, every party shall be given notice thereof and shall, on timely
				request, be afforded an opportunity prior to decision to dispute the fact or
				its materiality.
(g) All findings
				of fact shall be based exclusively on the evidence in the record and on matters
				officially noticed.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle LL - Temporary State Commission on Local Government Ethics › Part 9977 - Adjudicatory Proceedings And Appeals Procedure › Section 9977.8 - Representation

Current through Register Vol. 46, No. 28, July 10, 2024
Any person compelled to appear in person, or who voluntarily
				  appears in any hearing or proceeding conducted according to these rules, shall
				  be accorded the right to be accompanied, represented, and advised by counsel.
				  Nothing herein shall be construed either to grant or to deny to any person who
				  is not a lawyer the right to appear for or represent others in any hearing or
				  proceeding herein.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle LL - Temporary State Commission on Local Government Ethics › Part 9977 - Adjudicatory Proceedings And Appeals Procedure › Section 9977.9 - Oaths

Current through Register Vol. 46, No. 28, July 10, 2024
(a) All oaths
				required by these rules may be taken before any person authorized to administer
				oaths within the State of New York.
(b) Oaths shall be administered to all
				witnesses who testify or appear in any hearing or proceeding conducted pursuant
				to these rules.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle LL - Temporary State Commission on Local Government Ethics › Part 9977 - Adjudicatory Proceedings And Appeals Procedure › Section 9977.10 - Adjournments

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Adjournment of
				any hearing or proceeding conducted pursuant to these rules shall be granted
				only for good cause.
(b) Written
				requests for adjournment shall be submitted to the hearing officer in the
				hearing or proceeding for which the adjournment is sought. The request must be
				accompanied by an affidavit which contains sufficient detail to allow the
				hearing officer to rule on the request.