reglab/statecodes huggingface dataset:
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 938 - Source of Funding Regulations › Section 938.2 - Definitions. For purposes of this Part

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Affiliate Relationship shall mean:
(1) Two or more persons whom the Client Filer
				has actual knowledge live in the same household.
(2) Two or more corporations, partnerships,
				organizations, or other entities that the Client Filer has actual knowledge or
				reason to know have any of the following relationships: parent/subsidiary;
				subsidiaries with the same corporate parent; national or regional organization
				and their local chapter(s); local chapters of the same national or regional
				organization.
(3) A sole
				proprietorship and its sole proprietor if the Client Filer knows or has reason
				to know of the relationship.
(4)
				Whether a Client Filer has "reason to know" of the relationships listed in
				paragraphs (2) and (3) of this subdivision is based on an examination of the
				totality of the facts and circumstances. If a reasonable person, looking at the
				all the facts and circumstances, would conclude that a Client Filer should know
				of the existence of one or more these relationships, then the "reason to know"
				standard has been satisfied.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 938 - Source of Funding Regulations › Section 938.4 - Standard for Reviewing an Application for Exemption

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Exemption for a particular source(s) of
				funding. The Commission shall grant an exemption to disclose a Source of a
				Contribution, if the Client Filer shows that disclosure of the Source may cause
				harm, threats, harassment or reprisals to the Source or individuals or property
				affiliated with the Source. Factors the Commission will consider when
				determining whether this showing has been made include, but are not limited to,
				those identified in section
				938.4(c) of this
				Title.
(b) Exemption from
				reporting sources for certain organizations. The Commission shall grant an
				exemption to disclose all Sources of Contributions to a Client Filer, if:
(1) the Client Filer has exempt status under
				I.R.C. §501(c)(4); and
(2) the
				Client Filer shows that its primary activities involve areas of public concern
				that create a substantial likelihood that disclosure of its Source(s) will
				cause harm, threats, harassment or reprisals to the Source(s) or individuals or
				property affiliated with the Source(s). Factors the Commission will consider
				when determining whether this showing has been made include, but are not
				limited to, the factors identified in section
				938.4(c) of this
				Title.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 938 - Source of Funding Regulations › Section 938.5 - Procedure for applying for an exemption

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The Client Filer seeking to exempt from
				disclosure a Contribution from a Source shall make an application to the
				Commission on the form supplied by the Commission together with any supporting
				materials signed by the Client Filer's Responsible Party.
(b) A request for exemption shall be
				submitted no later than two days prior to the due date for the applicable
				Client Semi-Annual Report.
(c) An
				application for an exemption from disclosure for one or more Sources of
				Contributions does not relieve the Client Filer from its obligation to timely
				file the Client Semi-Annual Report including disclosure of Sources of
				Contributions for which the Client Filer has not sought an exemption.
(d) The Commission shall inform the Client
				Filer, in writing, whether the application for exemption has been granted or
				denied. Any denial issued by the Commission shall include a statement of
				findings and conclusions, and the reasons or basis for the denial.
(e) If a request for an exemption is denied,
				and the Client Filer does not appeal, the Client Filer shall, within 15
				business days of the date of denial, amend the Client Semi-Annual Report to
				include required information relating to the subject of the application for
				exemption.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 938 - Source of Funding Regulations › Section 938.6 - Appeals

Current through Register Vol. 46, No. 28, July 10, 2024
An appeal of a denial of an application for exemption to a
				  judicial hearing officer, pursuant to section 18 of Part 941 of this Title, is
				  available only to a Client Filer who submitted an application under section
				  938.4(a) of this
				  Part. A Client Filer who submitted an application under section
				  938.4(b) of this
				  Part is not entitled to such an appeal.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 938 - Source of Funding Regulations › Section 938.7 - Public Disclosure of Exemption-Related Information

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The Commission shall publicly disclose
				the fact that a Client Filer has submitted one or more applications for an
				exemption or that one or more of a Client Filer's requests for an exemption has
				been granted or denied. Information submitted in connection with an application
				for exemption or in support of an appeal from a denial of an exemption shall be
				publicly disclosed. Notwithstanding the foregoing, Executive Law §
				94(19)(a)(5), Legislative Law § 1-s, and any corresponding regulations,
				the Commission may, in its discretion, grant a request from a Client Filer to
				keep confidential certain exemption-related information when particular
				circumstances merit confidential treatment of such information, including, but
				not limited to, an ongoing investigation by a governmental body or an
				unwarranted invasion of personal privacy. The Commission may, nevertheless,
				disclose such information:
(1) to the
				judicial hearing officer assigned to an appeal of a determination under
				subsection
				938.4(a) of this
				Title;
(2) to a court in a judicial
				review; or
(3) in response to any
				subpoena or court order.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 938 - Source of Funding Regulations › Section 938.8 - Enforcement

Current through Register Vol. 46, No. 28, July 10, 2024
A late filing of a Client Semi-Annual Report, or failure to
				  file a Client Semi-Annual Report in accordance with these regulations, or the
				  filing of a Client Semi-Annual Report that contains false, misleading or
				  knowingly inaccurate statements are violations of either Legislative Law §
				  1-j or §1-o and subject a Client Filer to the fines and penalties
				  prescribed therein.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 938 - Source of Funding Regulations › Section 938.9 - Duty to Correct

Current through Register Vol. 46, No. 28, July 10, 2024
As with any filing required to be submitted to the
				  Commission, Client Filers have a duty to file accurate and complete reports.
				  Client Filers therefore have a duty to correct any oversights or inaccuracies
				  within 10 days of discovery.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 938 - Source of Funding Regulations › Section 938.10 - Miscellaneous provisions

Current through Register Vol. 46, No. 28, July 10, 2024
This disclosure shall not apply to:
(a) any corporation registered pursuant to
				article 7-A of the Executive Law has exempt status under section 501(c)(3),
				provided, however, that this disclosure shall apply to any in-kind donations of
				staff, staff time, personnel, offices, office supplies, financial support of
				any kind or any other resources to any corporation or entity that is qualified
				as an exempt organization by the United States Department of the Treasury under
				I.R.C. section 501(c)(4) when such in-kind donations are over $2,500 and from
				any corporation or entity that is qualified as an exempt organization by the
				United States Department of the Treasury under I.R.C. section 501(c)(3). In
				such case the entity receiving such in-kind donations shall disclose the fair
				market value and identify the I.R.C. section 501(c)(3) entity providing such
				in-kind donations and give notice within a reasonable time to the section
				501(c)(3) entity that it shall be required to file a report with the Department
				of Law pursuant to section 172-e  of the Executive Law; and
(b) any governmental entity.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 938 - Source of Funding Regulations › Section 938.11 - Special Filing Rules for the Client Semi-Annual Report Due January 17, 2017

Current through Register Vol. 46, No. 28, July 10, 2024
The provisions of this section apply only for purposes of the
				  Client Semi-Annual Filing due January 17, 2017 (covering the period July 1,
				  2016 - December 31, 2016), and supersede any parallel provisions found in this
				  Part. Notwithstanding the definition of "Reportable Amount of Contribution" in
				  section 938.2(g),
				  contribution amounts attributable to membership dues, fees or assessments shall
				  be disclosed for all contributions received prior to September 23, 2016.
(a) Definitions.
(1) Expenditure Threshold consists of the
				following two requirements:
(i) For the
				Expenditure Threshold Period of January 1, 2016 - December 31, 2016:
(a) the Client Filer has spent in excess of
				$50,000 in Reportable Compensation and/or Expenses for lobbying in New York
				State during the Expenditure Threshold Period; and
(b) The Client Filer's Reportable
				Compensation and Expenses constitute at least 3% of the Client Filer's Total
				Expenditures during the Expenditure Threshold Period.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 940 - PUBLIC SERVICE ANNOUNCEMENTS WITH COVERED OFFICIALS: PERMISSIBLE AND PROPER USAGE › Section 940.1 - Purpose

Current through Register Vol. 46, No. 28, July 10, 2024
Pursuant to Executive Law section 94(9)(d-1), the Joint
				  Commission on Public Ethics shall adopt, amend, and rescind rules and
				  regulations "defining the permissible use of and promoting the proper use of
				  public service announcements." The purpose of these regulations is to:
(a) provide guidance as to what constitutes,
				for the purposes of the Public Officers Law, a public service
				announcement;
(b) clarify that an
				appearance in a public service announcement does not ordinarily constitute a
				"gift" under Public Officers Law section 73(5), Legislative Law article 1-A,
				Title 19 NYCRR Part 933, and Title 19 NYCRR Part 934; and
(c) place limitations on when certain
				individuals - referred to as "Covered Officials" - who are also candidates may
				appear in public service announcements.
(c) Public service announcements in which no
				covered official appears, is named, or is otherwise identified or referenced
				are not covered by these regulations.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 940 - PUBLIC SERVICE ANNOUNCEMENTS WITH COVERED OFFICIALS: PERMISSIBLE AND PROPER USAGE › Section 940.2 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Appear
shall mean to appear (by likeness, picture, or voice),
				be named, or otherwise identified or referenced.
(b)
Candidate
shall have the
				same meaning as that term is defined in New York Election Law section
				14-100.
(c)
Covered
				official
shall mean an individual who holds any one of the following
				positions or offices: Governor, Lieutenant Governor, Comptroller, or Attorney
				General of the State of New York; any Member of the New York State Legislature;
				or any head and/or executive director of a State agency.
(d)
Party
shall have the
				same meaning as that term is defined in New York Election Law section
				1-104(3).
(e)
Party
				committee
shall have the same meaning as that term is defined in New
				York Election Law section 14-100.
(f)
Publish
or
publishing
shall mean publication, dissemination, broadcast,
				or on-line posting through any print or electronic media, including television,
				radio, and the internet.
(g)
State agency
shall mean any civil department; State
				department; any public benefit corporation, public authority, or commission at
				least one of whose members is appointed by the Governor. State agency shall
				also include the State University of New York or the City University of New
				York, including all their constituent units except:
(1) community colleges of the State
				University of New York; and
(2) the
				independent institutions operating statutory or contract colleges on behalf of
				the State.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 940 - PUBLIC SERVICE ANNOUNCEMENTS WITH COVERED OFFICIALS: PERMISSIBLE AND PROPER USAGE › Section 940.3 - Public Service Announcements

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A
				public service announcement is a communication that meets all of the following
				criteria:
(1) the communication:
(i) is designed to promote programs,
				activities, or services of nonprofit organizations or Federal, State or local
				governments; or
(ii) imparts
				information generally regarded as serving the public interest;
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 940 - PUBLIC SERVICE ANNOUNCEMENTS WITH COVERED OFFICIALS: PERMISSIBLE AND PROPER USAGE › Section 940.4 - Public Service Announcements Excluded as Gifts Under Parts 933 and 934

Current through Register Vol. 46, No. 28, July 10, 2024
Notwithstanding any provision of Public Officers Law section
				  73(5), Legislative Law article 1-A, part 933, and part 934, paying for the
				  production or publishing of a public service announcement does not constitute a
gift
as that term is defined or otherwise used in Public
				  Officers Law section 73(5), Legislative Law article 1-A, part 933, and part
				  934.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 940 - PUBLIC SERVICE ANNOUNCEMENTS WITH COVERED OFFICIALS: PERMISSIBLE AND PROPER USAGE › Section 940.5 - Appearance by a covered official in a public service announcement in the 90 days prior to an election

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Notwithstanding any other provision of this Part, a determination made pursuant
				to the provisions of Executive Law section 94(13), (14) that a covered official
				knowingly and intentionally appeared in a public service announcement that,
				with the knowledge that such public service announcement would be published in
				the 90 calendar days prior to any election in which the covered official was a
				candidate, shall be a violation of Public Officers Law section 74(3)(d), in
				addition to any other applicable provisions, and subject the covered official
				to the penalties contained therein.
(b) An appearance as described in subdivision
				(a) of this section shall not be a violation of Public Officers Law section 74
				when the appearance occurs during a declared State of emergency where the
				public service announcement relates to such emergency.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.1 - Intent and purpose

Current through Register Vol. 46, No. 28, July 10, 2024
Executive Law § 94(10)(o) authorizes the Commission on
				  Ethics and Lobbying in Government to adopt rules governing the conduct of
				  adjudicatory proceedings and appeals consistent with the New York State
				  Administrative Procedure Act ("SAPA"). Moreover, the Commission on Ethics and
				  Lobbying in Government's proceedings are otherwise subject to SAPA. These
				  regulations set forth rules for adjudicatory proceedings and appeals relating
				  to: potential violations of the law that fall within the Commission on Ethics
				  and Lobbying in Government's jurisdiction, including investigatory matters
				  pursuant to Executive Law § 94(10); appeals taken from denials of requests
				  to delete or exempt certain information from a financial disclosure statement
				  pursuant to Executive Law §§ 94(9)(h) or (i); or Public Officers Law
				  § 73-a(3)(8)(b-1), (b-2), or (c); exempt certain individuals from filing a
				  financial disclosure statement pursuant to Executive Law § 94(9)(k); and
				  appeals taken from denials of applications for exemptions under Article 1-A of
				  the Legislative Law §§ 1-h, 1-j and 19 NYCRR Part
				  938.6.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.2 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Agency
shall have the same meaning as "state
				agency" in Public Officers Law §§ 73, 73-a and 74 and Article 1-a of
				the Legislative Law.
(b)
Appellant
shall mean the recipient of a denial
				by the Executive Director for deletion or exemption of certain information from
				a financial disclosure statement or for exemption from filing a financial
				disclosure statement who wishes to appeal or has appealed that denial to the
				members of the Commission.
(c)
Client Filer
shall mean:
(1) Any client retaining or designating a
				lobbyist that is required to file a semi-annual report pursuant to Legislative
				Law § 1-j; or
(2) Any lobbyist
				registered pursuant to Legislative Law § 1-e whose lobbying activity is
				performed on its own behalf and not pursuant to retention by a client. (Such a
				lobbyist is considered its own client for reporting
				purposes.)
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.3 - Notices

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Notice of
				Allegations ("15-Day Letter"). If following a preliminary review, the
				Commission or Commission staff decides to elevate such preliminary review into
				an investigation pursuant to Executive Law § 94(10)(f) the Commission
				shall provide written notice to the respondent individual or entity setting
				forth, to the extent the Commission is able to do so, the possible or alleged
				violation or violations of law and a description of the allegations against the
				respondent and the evidence, if any, already gathered pertaining to such
				allegations. Any information that may, in the judgment of the Commission or
				staff, either be prejudicial to the complainant or victim, or compromise the
				investigation, shall be redacted.
(1) The
				15-Day Letter shall provide the individual or entity with a fifteen-day period
				from the receipt of the 15-day Letter in which to submit a written preliminary
				response or information the respondent determines may benefit the Commission or
				Commission staff in its work, including any evidence, statements, and proposed
				witnesses, and setting forth information relating to the activities cited as
				possible or alleged violation(s) of law.
(i)
				While any response submitted will be reviewed by the Commission and/or
				Commission staff, Commission staff is not precluded from recommending and the
				Commission is not precluded from voting to close or settle the matter, to
				advance it to a confidential due process hearing or to return it to staff for
				further investigation prior to receiving a Respondent's written response.
(ii) An extension of time to
				respond may be available to Respondent upon request.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.3-a - Subpoenas and other process; delegation

Current through Register Vol. 46, No. 28, July 10, 2024
(a) In accordance with Executive Law §
				94(10)(c), and to facilitate the expeditious and efficient performance of its
				duties under section 94  of the Executive Law, the Commission on Ethics and
				Lobbying in Government ("COELIG" or "the Commission") may by majority vote
				delegate to the Executive Director the power and the authority to administer
				oaths or affirmations, to subpoena witnesses, compel their attendance and
				testimony, and to require the production of any books or records that the
				Commission or the Executive Director may deem relevant or material when,
				pursuant to Executive Law § 94(10), the Commission or COELIG staff decides
				to conduct an investigation necessary to carry out the provisions of Executive
				Law § 94 or to elevate a preliminary review of any complaint or referral
				received or initiated by COELIG into an investigation pursuant to Executive Law
				§ 94(10)(f).
(b) Any
				delegation made pursuant to subdivision (a) shall be in writing and shall:
(i) specify whether it is general or limited
				to a specifically stated subject matter, transaction or transactions,
				complaint, referral or staff, or Commission-initiated matter; and
(ii) require that the chair of the Commission
				be notified prior to the issuance of any subpoena by the Executive Director
				pursuant thereto, and that the Commission be informed thereof and of the status
				of the matter at its next meeting occurring thereafter.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.4 - Time and place of hearing and service of filings

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The Commission shall determine the time
				and place of hearing and shall, as practicable, take into account the
				convenience of the parties and the availability of witnesses.
(b) The time and place of hearing shall not
				be changed unless a party formally requests a change pursuant to the
				adjournment request procedure contained in section
				941.8 of this Part and the hearing
				officer determines that sufficient cause has been set forth for such a change
				of time and place in a timely manner.
(c) Any written notice or filing by the
				Respondent shall be served upon the hearing officer and the Commission at the
				offices of the Commission as specified in the notice of substantial basis
				investigation and hearing.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.5 - Representation

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Any person
				compelled to appear in person or who voluntarily appears in any hearing herein
				described 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. However, any person appearing before the Commission in a
				representative capacity will be required to establish his or her authority to
				act in such capacity.
(b) Any
				counsel or attorney for the Respondent shall file with the Commission a Notice
				of Appearance in a form provided by the Commission.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.6 - Selection of hearing officer

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				The Commission shall maintain a list of independent hearing officers in
				accordance with the Commission's policies and procedures.
(b) The Commission shall select at random
				from the list of independent hearing officers a hearing officer to preside over
				each hearing or appeal, when applicable. In the event the independent hearing
				officer so selected is unavailable or unable for any reason to sit as a hearing
				officer in the matter, the Commission shall select at random from the list of
				independent hearing officers another hearing officer to preside over the
				hearing or appeal, as applicable.
(c) Such hearing officer shall not have any
				conflict of interest in the matter being heard before him or her. The hearing
				officer shall not sit as a hearing officer in a matter to which he or she is a
				party; or in which he or she has been attorney or counsel; or in which he or
				she is interested; or if he or she is related to any party or witness in the
				matter; or in any circumstance where there is conflict of interest.
(d) In the event of a hearing officer's
				death, resignation, removal, termination of employment, disability, or
				inability or failure to make a written finding and recommendation within the
				time period allowed after the completion of the hearing, the Commission may
				direct that all of the evidence taken at the hearing be submitted to the
				Commission for decision.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.7 - Powers and duties of hearing officers

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A hearing officer is authorized to do the
				following in any hearing to which the hearing officer is assigned:
(1) Administer oaths or
				affirmations.
(2) Sign and issue
				subpoenas in the name of the Commission, at the request of any party or the
				direction of the Commission, requiring attendance and testimony by witnesses at
				the confidential hearing and the production of books, papers, documents and
				other evidence at such hearing. Subpoenas shall be regulated by the Civil
				Practice Law and Rules. Nothing herein contained shall affect the authority of
				an attorney for a party to issue subpoenas under the provisions of the Civil
				Practice Law and Rules requiring attendance and testimony by witnesses at the
				confidential hearing and the production of books, papers, documents and other
				evidence at such hearing.
(3) When
				there is good cause to believe that the testimony of a potential witness will
				be unavailable at the time of hearing, testimony may be taken by deposition.
				The hearing officer shall allow the use of such depositions at the
				hearing.
(4) Regulate the course of
				the hearings, set the time and place for continued hearings and fix the time
				for filing of briefs and other documents for review by the hearing officer
				prior to the issuance of findings of fact and recommendations.
(5) Direct the parties to appear for
				pre-hearing conference and confer to consider the simplification or settlement
				of the issues and/or stipulations as to the underlying facts by consent of the
				parties.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.8 - Adjournment

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A hearing
				officer shall grant an adjournment of any hearing conducted pursuant to these
				rules only for good cause.
(b)
				Unless for good cause shown, written requests for adjournment shall be
				submitted to the hearing officer of record in the hearing and a copy provided
				to the other party no later than five (5) business days preceding the hearing
				date. The request must be accompanied by an affidavit which contains sufficient
				detail to allow the hearing officer to rule on the request for such
				adjournment.
(c) No request for
				adjournment shall be considered granted until approved by the hearing
				officer.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.9 - Time limits

Current through Register Vol. 46, No. 28, July 10, 2024
(a) At least
				seven (7) days before the hearing, or at such earlier time as the parties may
				agree or the hearing officer may direct, the Commission shall provide to the
				Respondent any additional evidence supporting the allegations that was not
				previously described in the notice sent pursuant to Executive Law §
				94(10)(f) and subsection
				941.3(a) in
				sufficient detail to enable the Respondent to respond at the hearing.
(b) At least seven (7) days before the
				hearing, or at such earlier time as the parties may agree or the hearing
				officer may direct, the Respondent shall provide the Commission and hearing
				officer a list of possible witnesses and notice of any defenses to be
				presented, and supporting evidence, in sufficient detail to permit the Staff of
				the Commission to prepare for the hearing.
(c) Any other papers, statements, proofs, and
				evidence shall be provided to the other party and the hearing officer, in the
				hearing officer's discretion and at a time to be designated by the hearing
				officer. The hearing officer, Executive Director or the Commission may grant an
				extension of time for filing such matters only upon formal request.
(d) Except by consent of the parties, every
				hearing conducted pursuant to these rules shall be concluded within 180 days of
				the date of the hearing specified in the Notice of Hearing. An adjournment or
				continuance granted by the hearing officer at the request of the Respondent or
				by mutual consent of the parties will extend the period of time for conclusion
				by the length of time the adjournment or continuance is granted.
(e) The Commission, the Executive Director,
				or the hearing officer may, at any time before the time limits delineated above
				expire, extend such time period by making a determination that the time
				provided is insufficient to complete the hearing and shall state sufficient
				reasons therefor. Except for good cause shown, this extension shall not be for
				a period longer than 90 days after the expiration of the original 180 day
				period during which the hearing should have been concluded.
(f) Failure by the hearing officer, the
				Executive Director or the Commission to adhere to time limits established by
				this section shall be reviewable under Article 78 of the Civil Practice Law and
				Rules in a proceeding in the nature of mandamus.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.10 - Conduct of hearings

Current through Register Vol. 46, No. 28, July 10, 2024
(a) All
				hearings and proceedings before the hearing officer or Commission related
				thereto commenced under these rules are confidential in accordance with
				Executive Law § 94(10)(f) and (11).
(b) The Respondent shall not be deprived of
				the opportunity to appear; however, failure to appear after service of notice
				shall not preclude a decision by the hearing officer and the Commission, upon
				proof of service, to proceed with the scheduled hearing. Proof of service shall
				consist of a certified mail receipt or affidavit of service.
(c) The hearing officer shall conduct all
				hearings under these rules and shall exercise the power and authority of
				presiding officers or hearing officers as defined by SAPA, any other pertinent
				statute and these regulations.
(d)
				The hearing officer may exclude from the hearing room or from further
				participation in the proceeding any person who engages in contemptuous conduct
				before the hearing officer.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.11 - 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 conducted pursuant to these
				rules.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.12 - Evidence and proof

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The formal
				rules of evidence do not apply with respect to any hearings under the
				Commission's jurisdiction. 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, 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 introduction
				of cumulative or irrelevant evidence shall be avoided and the hearing officer
				may curtail the testimony of any witness which he or she judges to be merely
				cumulative or irrelevant; however, the party offering such testimony may make a
				short avowal of the testimony which would be given and if the witness asserts
				that such avowal is true, this avowal shall be made part of the
				record.
(c) All evidence appearing
				in the record shall be deemed to have been validly introduced.
(d) The burden of proof shall be on the
				Commission unless otherwise provided by statute.
(e) Each party shall have the right to give
				sworn testimony, to produce witnesses, to present documentary evidence and to
				examine opposing witnesses and evidence.
(f) The parties may, by agreement, stipulate
				as to any facts involved in the proceeding, provided that such stipulation is
				duly noted in the record.
(g)
				Official notice may be taken of all facts of which judicial notice could 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.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.13 - Proposed Findings of Fact and Recommendation, Substantial Basis Report, and Notice of Civil Assessment and/or Other Penalty

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Within sixty (60) days of the conclusion
				of the hearing, the hearing officer shall make findings of fact and a
				recommendation as to the appropriate penalty to be assessed or any other action
				to be taken. The hearing officer shall transmit the proposed findings of fact
				and recommendation to the Respondent and his or her representative and to the
				Commission. The hearing officer may request from the Commission an extension of
				time in which to transmit the proposed findings of fact and recommendation. The
				Commission shall notify the hearing officer and all parties and their
				representatives should it grant an extension.
(b) Within thirty (30) days of the hearing
				officer's transmittal of the findings of fact and recommendation, the following
				shall occur:
(1) The Respondent shall have an
				opportunity to respond in writing, in the form of a brief directed to the
				Commission, to the findings of fact and recommendation of the hearing officer.
				The brief may not include or discuss evidence which is not a part of the
				official record of the hearing.
(2)
				The Commission's staff shall have an opportunity to respond in writing, in the
				form of a brief directed to the Commission, to the findings of fact and
				recommendation of the hearing officer, and shall submit a proposed Substantial
				Basis Report to the Commission for its consideration.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.14 - Fines, penalties

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The
				Commission's assessment of civil assessments and other penalties made pursuant
				to Executive Law § 94(10) shall not preclude its referral of violations of
				law to a prosecutor for criminal prosecution in accordance with the provisions
				of Executive Law 94(10)(n)(iv).
(b)
				If the alleged violation has been established, and the Commission determines in
				light of all the circumstances that the violation is not serious enough to
				warrant assessment of a civil penalty, the Commission, in its discretion, may
				take such other action as appropriate including, but not limited to, a written
				admonition or a recommendation that disciplinary action be taken. The
				Commission may forward a copy of such admonition or recommendation for
				disciplinary action to the individual's appointing authority, as
				appropriate.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.15 - Record of hearing

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The
				record in hearings under these rules shall include:
(1) all notices, pleadings, motions, and
				intermediate rulings;
(2) evidence
				presented;
(3) a statement of
				matters officially noticed except matters so obvious that a statement of them
				would serve no useful purpose;
(4)
				questions and offers of proof, objections thereto, and rulings
				thereon;
(5) proposed findings and
				exceptions, if any; and
(6) any
				decision, determination, opinion, order or report rendered.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.17 - Appeals from Executive Director's denials related to financial disclosure statements

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Grounds for appeal.
(1) Any person required
				to file a financial disclosure statement whose written request for deletion of
				one or more items of information as provided in Executive Law § 94(9)(h)
				has been denied in writing by the Executive Director, may file a written appeal
				of such denial, called a notice of appeal, as provided in Subpart 941.17(d) of
				this Title.
(2) Any person required
				to file a financial disclosure statement whose written request for exemption
				from any requirement to report one or more items of information that pertain to
				such person's spouse, domestic partner, or unemancipated children as provided
				in Executive Law § 94(9)(i) has been denied in writing by the Executive
				Director, may file a written appeal of the denial, called a notice of appeal,
				as provided in Subpart 941.17(d) of this Title.
(3) Any person required to file a financial
				disclosure statement whose written request for exemption from any requirement
				to report items of information that pertain to representation of a client as
				provided in Public Officers Law § 73-a(3)(8)(b-1), (b-2), or (c) has been
				denied in writing by the Executive Director, may file a written appeal of the
				denial, called a notice of appeal, as provided in Subpart 941.17(d) of this
				Title.
(4) Any person eligible
				under Executive Law § 94(9)(k) to apply for an exemption from filing a
				financial disclosure statement whose written request for exemption from such
				filing requirement has been denied in writing by the Executive Director, may
				file a written appeal of the denial, called a notice of appeal, as provided in
				Subpart 941.17(d) of this Title.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.18 - Appeals from denial of an application for exemptions under Article 1-A of the Legislative Law Section 1-h, 1-j and 19 NYCRR Part 938.6

Current through Register Vol. 46, No. 28, July 10, 2024
(a) An appeal of a denial of an application
				for exemption to a judicial hearing officer, pursuant to Article 1-A of the
				Legislative Law § 1-h and 19 NYCRR Part 938, is available only to a Client
				Filer who submitted an application under 19 NYCRR Part 938.4(a). A Client Filer
				who submitted an application under 19 NYCRR Part 938.4(b) is not entitled to
				such an appeal.
(b) A Client Filer
				may appeal a denial of an application for exemption. A notice of appeal must be
				in writing and include the original application for exemption together with any
				supporting materials that were submitted pursuant to 19 NYCRR Part 938.5. The
				written notice of appeal must be received by the Commission no later than
				fifteen (15) business days after the date of the denial. Any notice of appeal
				received by the Commission later than fifteen (15) business days after the date
				of the denial will not be considered and the Client Filer will be deemed to
				have waived the right to appeal.
(c) If the Client Filer appeals and such
				appeal is denied, the Client Filer shall, within five (5) business days of the
				date of the denial of the appeal, amend the Client Semi-Annual Report to
				include the required information relating to the subject of the application for
				exemption.
(d) Appeal Procedure and
				Standard of Review
(1) Upon receipt of a
				notice of appeal in accordance with Section
				941.18(b), the
				Commission shall assign the matter to a hearing officer.
(2) The hearing officer shall review the
				entire record, which shall consist of the original application for exemption
				together with any supporting materials that were submitted pursuant to Section
				941.18(b) and the
				Commission's written denial.
(3)
				The hearing officer may reverse the Commission's denial only if such denial is
				clearly erroneous in view of the evidence in the record.
(4) The hearing officer's final decision
				shall be in writing and shall affirm, reverse, or remand the decision of the
				Commission and shall set forth a concise statement of the reasons for the
				judicial hearing officer's decision. The hearing officer shall issue the final
				decision within fifteen (15) business days of the hearing officer's receipt of
				the materials identified in this section.
(5) A decision by the hearing officer to
				affirm or reverse the Commission's denial of an exemption shall be considered a
				final determination by the Commission.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.19 - General provisions

Current through Register Vol. 46, No. 28, July 10, 2024
(a) All
				final recommendations of the hearing officer and all of the decisions of the
				Executive Director and the Commission shall be in writing or stated in the
				record and shall include findings of fact, conclusions of law, reasons for the
				decision and, when appropriate, direct that specific action be taken by the
				Commission. The final decisions of the Commission shall be binding upon the
				Commission.
(b) Except in matters
ex parte
, members or employees of the Commission assigned to
				make, or assist in making, a decision or findings of fact and conclusions of
				law in any hearing shall not communicate, directly or indirectly, in connection
				with any issue of law with any person, party or its representative of record,
				except upon notice and opportunity for all parties to participate. Any such
				member or employee may communicate with other Commission members or employees
				and may seek the aid and advice of agency staff, including counsel to the
				Commission, other than staff which has been or is engaged in the investigative
				or prosecuting functions in connection with the case under consideration or
				factually related case.
(c) The
				Commission shall maintain all substantial basis reports and notices of civil
				assessments and make them publicly available as required by law.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.20 - Savings Clause

Current through Register Vol. 46, No. 28, July 10, 2024
All matters where the Commission has issued a Substantial
				  Basis Report will be governed by the laws and adjudicatory rules in effect when
				  such Substantial Investigation Report was issued. All other matters and
				  investigations will be governed by the provisions of this
				  Part.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 941 - Adjudicatory Proceedings and Appeals Procedure › Section 941.21 - Effective date

Current through Register Vol. 46, No. 28, July 10, 2024
This Part shall become effective upon the effective date of
				  part J, chapter 286, Laws of 2016 (August 24, 2016).
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 942 - Procedure for Requesting an Exemption from Publicly Disclosing Client Information Pursuant to Questions 8(b-1), 8(b-2) or 8(c) on a Financial Disclosure Statement › Section 942.1 - Preamble

Current through Register Vol. 46, No. 28, July 10, 2024
The purpose of this Part is to implement the legislative
				  direction set forth in Chapter 56 of the Laws of 2015 that the Joint Commission
				  on Public Ethics receive and determine requests for exemption from the duty to
				  publicly disclose client information in response to certain questions on the
				  financial disclosure statement that must be filed in accordance with section 73-a  of the Public Officers Law. Specifically, the statute carves out a limited
				  exception to the general rule mandating disclosure of client information and
				  permits a filer to ask either the Office of Court Administration or the Joint
				  Commission on Public Ethics for authority not to disclose client information in
				  responding to questions 8(b-1), (b-2) and (c) of section 73-a(3). The statute
				  also provides that disclosure of client information is not required in certain
				  categories of cases delineated therein. With respect to clients represented in
				  matters not otherwise exempt, this Part provides a procedure to request an
				  exemption from publicly disclosing such clients and related
				  information.