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 932 - OUTSIDE ACTIVITY RESTRICTIONS AND APPROVAL PROCEDURES › Section 932.2 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Approving
				Authority, for a Policy Maker, shall mean (i) the head of a State Agency
				employing such Policy Maker; (ii) the appropriate designee of the head of such
				State Agency; (iii) the individual or body that has the authority to appoint
				such Policy Maker to a position; or (iv) the appropriate designee of such
				individual or body.
(b) Commission
				shall mean the New York State Joint Commission on Public Ethics and, where
				applicable, its predecessor agencies.
(c) Compensation shall mean the financial
				consideration received in exchange for services rendered, e.g., wages,
				salaries, benefits, professional fees, royalties, bonuses, or commissions on
				sales. Compensation shall also include income received from any business
				venture, whether or not incorporated, that is owned or controlled by an
				individual who is subject to this Part. Notwithstanding the foregoing, income
				received from transactions involving such individual's own securities, personal
				property, or real estate is not included in the term Compensation.
(d) Outside Activity Approval Form shall mean
				a form designated by the Commission as the Outside Activity Approval Form and
				available on the Commission's website.
(e) Party shall mean (i) any organization
				which at the last preceding election for governor of the State of New York
				polled at least fifty thousand votes for its candidate for governor; or (ii)
				the national political entity affiliated with such organization.
(f) Party Committee shall mean any State
				committee, county committee, and such other committee (including national
				committee) as the rules of the Party may allow.
(g) Policy Maker shall mean an officer,
				employee, director, commissioner, or member of a State Agency (other than a
				multi-state authority) who has been determined to hold a policy-making position
				pursuant to Public Officers Law § 73-a(1)(c).
(h) Political Organization shall mean any
				organization that is affiliated with, or subsidiary to, a Party. The term does
				not include campaign or fund raising committees.
(i) State Agency shall mean any State
				department, or division, board, commission, or bureau of any 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.
(j) Statewide Elected Official shall mean the
				Governor, Lieutenant Governor, Attorney General, or Comptroller of the State of
				New York
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 932 - OUTSIDE ACTIVITY RESTRICTIONS AND APPROVAL PROCEDURES › Section 932.3 - General Standard for All Persons Subject to Public Officers Law Section 74

Current through Register Vol. 46, No. 28, July 10, 2024
No individual who is subject to Public Officers Law §
				  74, shall engage in any outside activity which interferes or substantially
				  conflicts with the proper and effective discharge of such individual's official
				  State duties or responsibilities.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 932 - OUTSIDE ACTIVITY RESTRICTIONS AND APPROVAL PROCEDURES › Section 932.4 - Restrictions on Certain Political Activities

Current through Register Vol. 46, No. 28, July 10, 2024
(a) No head of a
				State Agency, Statewide Elected Official, or Policy Maker (regardless of
				whether the person serves on an unpaid or per diem basis) shall serve as an
				officer, director, or board member of any Party or Political
				Organization.
(b) No head of a
				State Agency, Statewide Elected Official, or Policy Maker (regardless of
				whether the person serves on an unpaid or per diem basis) shall serve as a
				member, officer, director, board member, or district leader of any Party
				Committee.
(c) Nothing in this
				section shall prohibit a head of a State Agency, Statewide Elected Official, or
				Policy Maker from serving as a delegate to a State or national Party
				convention.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 932 - OUTSIDE ACTIVITY RESTRICTIONS AND APPROVAL PROCEDURES › Section 932.5 - Required Prior Approval for Salaried Policy Makers, Heads of State Agencies, and Statewide Elected Officials

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A Policy
				Maker who serves the State on other than a unpaid or per diem basis, shall
				obtain the following approvals prior to engaging in the activities listed
				below:
Outside Activity
Required Approvals /
						  Actions
A job, employment (including public employment), or
						  business venture that generates, or is expected to generate, between $1,000 and
						  $5,000 in Compensation annually
Approving Authority must approve
A job, employment (including public employment), or
						  business venture that generates, or is expected to generate, more than $5,000
						  in Compensation annually
Approving Authority and the Commission must
						  approve
Holding elected or appointed public office (regardless
						  of Compensation) as an outside activity
Approving Authority and the
						  Commission must approve
Serving as a director or officer of a for profit entity
						  (regardless of Compensation)
Approving Authority and the Commission
						  must approve
Serving as a director or officer of a not for-profit
						  entity
Compensation is $0 $999 annually
Approval not
						  required, but must notify Approving Authority in writing prior to commencing
						  service
Compensation is between $1,000 and $5,000
						  annually
Approving Authority must approve
Compensation is more than $5,000
						  annually
Approving Authority and the Commission must approve
(b)
				A head of a State Agency or a Statewide Elected Official shall obtain approval
				from the Commission prior to engaging in the outside activities listed in
				Section 932.5(a).
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 932 - OUTSIDE ACTIVITY RESTRICTIONS AND APPROVAL PROCEDURES › Section 932.6 - Approval Procedures

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A Policy
				Maker who requires approval pursuant to Part 932.5(a) from his Approving
				Authority only, shall submit to the Approving Authority a written approval
				request prior to commencing the outside activity.
(1) The Approving Authority shall make its
				determination based on its interpretation of whether the proposed outside
				activity is in accordance with the applicable provisions of the Public Officers
				Law, Commission Advisory Opinions, pertinent State Agency policies, procedures,
				or regulations governing employee conduct, and such other factors as the
				Approving Authority may deem appropriate.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 932 - OUTSIDE ACTIVITY RESTRICTIONS AND APPROVAL PROCEDURES › Section 932.7 - Previously Approved Outside Activity: Annual Disclosure and Material Changes

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Once an
				outside activity has been approved pursuant to Part 932.6 it shall remain
				effective unless and until there is a material change in the individual's State
				responsibilities or in the outside activity, at which point the individual must
				submit a new request for approval in accordance with Parts 932.5 and
				932.6.
(b) On an annual basis, an
				individual who has received approval for an outside activity pursuant to Part
				932.6, or has otherwise disclosed the not for-profit board service pursuant to
				Part 932.5, must inform, in writing, his Approving Authority (or, in the case
				of a head of a State Agency or a Statewide Elected Official, that State
				Agency's ethics officer or other designated individual) if the individual is
				still engaged in the outside activity for which approval was granted. The
				Approving Authority (or, in the case of a head of a State Agency or a Statewide
				Elected Official, that State Agency's ethics officer or other designated
				individual) shall determine the time and manner in which such annual disclosure
				is to be made.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 932 - OUTSIDE ACTIVITY RESTRICTIONS AND APPROVAL PROCEDURES › Section 932.8 - Enforcement

Current through Register Vol. 46, No. 28, July 10, 2024
In addition to any penalty contained in any other provision
				  of law, an individual's performance of an outside activity that is in violation
				  of Public Officers Law § 73 or § 74 may subject him to a civil
				  penalty or other Commission action. Nothing herein shall limit or prohibit the
				  State Agency, Approving Authority, or other appropriate entity from taking
				  disciplinary action with respect to violations of this Part or the Public
				  Officers Law, including a fine, suspension without pay, or removal from office
				  or employment in the manner provided by law, regulation, or collective
				  bargaining agreement.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 932 - OUTSIDE ACTIVITY RESTRICTIONS AND APPROVAL PROCEDURES › Section 932.9 - Codes of Ethics for Uncompensated and Per Diem Directors, Members and Officers

Current through Register Vol. 46, No. 28, July 10, 2024
The boards or councils whose officers or members are subject
				  to § 73-a of the Public Officers Law and are not subject to § 73 of
				  such law by virtue of their uncompensated or per diem compensation status and
				  the commissions, public authorities, and public benefit corporations whose
				  member or directors are subject to § 73-a of the Public Officers Law and
				  are not subject to § 73 by virtue of their uncompensated or per diem
				  compensation status shall adopt a code of ethical conduct covering conflicts of
				  interest and business and professional activities, including outside
				  activities, of such directors, members, or officers both during and after
				  service with such boards, councils, commissions, public authorities, and public
				  benefit corporations. Such codes of ethical conduct shall be filed with the
				  Commission.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 932 - OUTSIDE ACTIVITY RESTRICTIONS AND APPROVAL PROCEDURES › Section 932.10 - Agencies Permitted More Restrictive Rules

Current through Register Vol. 46, No. 28, July 10, 2024
Nothing contained in this Part shall prohibit any State
				  Agency from adopting or implementing its own rules, regulations, or procedures
				  with regard to outside activities that are more restrictive than the
				  requirements of this Part.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 933 - GIFTS (PURSUANT TO PUBLIC OFFICERS LAW) › Section 933.1 - Purpose and Effect of Regulations

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The purpose of these regulations is to
				effectuate the statutory provisions of Public Officers Law section 73(5), which
				incorporates the provisions of section 1-c(j) of article 1-A of the Legislative
				Law.
(b) The effect of these
				regulations is to supersede prior advisory opinions issued by predecessor
				agencies to the Joint Commission on Public Ethics, including advisory opinion
				nos. 94-16, 96-28, 97-03, and 08-01 to the extent they are inconsistent with
				this Part.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 933 - GIFTS (PURSUANT TO PUBLIC OFFICERS LAW) › Section 933.2 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Bona
				fide charitable event
shall mean a function the primary purpose of
				which is to provide financial support to a charitable organization.
(b)
Bona fide political
				event
shall mean a function the primary purpose of which is to provide
				financial support to political organization(s) or political
				candidate(s).
(c)
Charitable organization
shall mean:
(1) an entity as defined in Executive Law
				section 171-a(1) that is registered with the Office of the Attorney General, as
				required by Executive Law section 172, unless otherwise exempted from filing
				pursuant to Executive Law section 172-a; or
(2) an entity organized and operated
				exclusively for charitable purposes and qualified as an exempt organization by
				the United States Department of Treasury under section
				501(c)(3) of the Internal
				Revenue Code; or
(3) a person who
				requests contributions for the relief of any individual, specified by name at
				the time of the solicitation, if all of the contributions collected, without
				any deductions whatsoever, are paid to or for the benefit of the named
				beneficiary, provided the individual has submitted a form entitled "charitable
				solicitation for the relief of an individual" with the Charities Bureau of the
				Office of Attorney General prior to the event.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 933 - GIFTS (PURSUANT TO PUBLIC OFFICERS LAW) › Section 933.3 - Gifts

Current through Register Vol. 46, No. 28, July 10, 2024
(a) If the item,
				service, or any other thing of value solicited, received, or accepted by a
				covered person meets the definition of gift and is from an interested source,
				it is presumptively impermissible. Such gift is only permissible if, under the
				circumstances, all of the following criteria are met:
(1) it is not reasonable to infer that the
				gift was intended to influence the covered person; and
(2) the gift could not reasonably be expected
				to influence the covered person in the performance of his or her official
				duties; and
(3) it is not
				reasonable to infer that the gift was intended as a reward for any official
				action on the covered person's part.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 933 - GIFTS (PURSUANT TO PUBLIC OFFICERS LAW) › Section 933.5 - Multiple Non-Gifts

Current through Register Vol. 46, No. 28, July 10, 2024
Nothing in this Part shall be construed as relieving a
				  covered person's obligations under Public Officers Law section 74 with respect
				  to the solicitation, receipt, or acceptance of multiple items, services, or any
				  other things of value that, individually, are not gifts solely because each has
				  less than nominal value.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 933 - GIFTS (PURSUANT TO PUBLIC OFFICERS LAW) › Section 933.6 - Enforcement

Current through Register Vol. 46, No. 28, July 10, 2024
The commission is authorized pursuant to Executive Law
				  section 94 to investigate possible violations of Public Officers Law sections
				  73 and 74 and their corresponding regulations and take appropriate action as
				  authorized in these statutes.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 933 - GIFTS (PURSUANT TO PUBLIC OFFICERS LAW) › Section 933.7 - Minimum Requirements

Current through Register Vol. 46, No. 28, July 10, 2024
Nothing contained in this Part shall prohibit any State
				  agency from adopting or implementing its own rules, regulations, or procedures
				  that are more restrictive than the requirements of this Part.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 934 - GIFTS (PURSUANT TO LEGISLATIVE LAW ARTICLE 1-A) › Section 934.1 - Purpose and Effect of Regulation

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The purpose of these regulations is to
				effectuate the statutory provisions of sections 1-c(j) and 1-m of article 1-A
				of the Legislative Law.
(b) The
				effect of these regulations is to supersede prior advisory opinions issued by
				predecessor agencies to the Joint Commission on Public Ethics to the extent
				they are inconsistent with this Part.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 934 - GIFTS (PURSUANT TO LEGISLATIVE LAW ARTICLE 1-A) › Section 934.2 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Bona
				fide charitable event
shall mean a function the primary purpose of
				which is to provide financial support to a charitable organization.
(b)
Bona fide political
				event
shall mean a function the primary purpose of which is to provide
				financial support to political organization(s) or political
				candidate(s).
(c)
Charitable organization
shall mean:
(1) an entity as defined in Executive Law
				section 171-a(1) that is registered with the Office of the Attorney General, as
				required by Executive Law section 172, unless otherwise exempted from filing
				pursuant to Executive Law section 172-a; or
(2) an entity organized and operated
				exclusively for charitable purposes and qualified as an exempt organization by
				the United States Department of Treasury under section
				501(c)(3) of the Internal
				Revenue Code; or
(3) a person who
				requests contributions for the relief of any individual, specified by name at
				the time of the solicitation, if all of the contributions collected, without
				any deductions whatsoever, are paid to or for the benefit of the named
				beneficiary, provided the individual has submitted a form entitled "charitable
				solicitation for the relief of an individual" with the Charities Bureau of the
				Office of Attorney General prior to the event.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 934 - GIFTS (PURSUANT TO LEGISLATIVE LAW ARTICLE 1-A) › Section 934.3 - Gifts

Current through Register Vol. 46, No. 28, July 10, 2024
(a) It is
				presumptively impermissible for a lobbyist or client to offer or give a gift to
				any public official. Such a gift is only permissible if, under the
				circumstances, all of the following criteria are met:
(1) it is not reasonable to infer that the
				gift was intended to influence the public official; and
(2) the gift could not reasonably be expected
				to influence the public official, in the performance of his or her official
				duties; and
(3) it is not
				reasonable to infer that the gift was intended as a reward for any official
				action on the public official's part.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 934 - GIFTS (PURSUANT TO LEGISLATIVE LAW ARTICLE 1-A) › Section 934.5 - Enforcement

Current through Register Vol. 46, No. 28, July 10, 2024
The commission is authorized pursuant to Executive Law
				  section 94 to investigate possible violations of section 1-m of article 1-A of
				  the Legislative Law and its corresponding regulations and take appropriate
				  action as authorized in these statutes.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 935 - Procedure For Requesting An Exemption From Filing A Financial Disclosure Statement › Section 935.1 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Annual
				Compensation shall mean that basic annual salary that an individual receives to
				perform the duties of the position in which he or she serves. Payment of
				overtime, a one-time bonus, a performance award that does not become part of
				the basic annual salary, a lump sum payment for whatever purpose including
				retroactive payment for a salary increase, uniform or clothing allowance,
				tuition reimbursement or payment or similar one-time payment that does not
				become part of the individual's basic annual salary shall not be included in
				determining Annual Compensation.
(b) Appointing Authority shall mean that
				individual or body that has the authority by law, rule or regulation to appoint
				a person to a position, or that individual or body to whom such authority may
				be properly delegated by law, rule or regulation.
(c) Commission shall mean the New York State
				Joint Commission on Public Ethics.
(d) Employee shall mean a State officer or
				employee of a State Agency, as defined in subdivision (h) of this Section, who
				serves in a position that has not been designated policymaking pursuant to
				section 73-a  of the Public Officers Law and who earns Annual Compensation in
				excess of the Filing Rate.
(e)
				Exemption shall mean a waiver from filing a Financial Disclosure Statement
				pursuant to section 73-a  of the Public Officers Law.
(f) Filing Rate shall mean the job rate of
				SG-24 as set forth in section 130 (1) (a)  of the Civil Service Law as of April 1
				of the year in which an annual Financial Disclosure Statement shall be
				filed.
(g) Financial Disclosure
				Statement shall mean the annual statement that must be filed pursuant to
				section 73-a  of the Public Officers Law.
(h) State Agency shall mean any State
				department, or division, board, commission, or bureau of any State department,
				any public benefit corporation, public authority or commission at least one of
				whose members is appointed by the Governor, or the State University of New York
				or the City University of New York, including all their constituent units
				except community colleges of the State University of New York and the
				independent institutions operating statutory or contract colleges on behalf of
				the State.
(i) Title shall mean the
				name of the position or job in which an Employee serves.
(j) Job Classification shall mean a series of
				Titles that may be included under one classification standard or may be part of
				a promotional series that may be considered for Exemption.
(k) Employee Organization shall mean an
				employee organization that is recognized or certified pursuant to section 204 
				of the Civil Service Law to represent public employees of a public
				employer.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 935 - Procedure For Requesting An Exemption From Filing A Financial Disclosure Statement › Section 935.3 - Commission action

Current through Register Vol. 46, No. 28, July 10, 2024
(a) All
				requests for Exemption shall be reviewed and decided in the initial instance by
				the Executive Director. A denial of a request for Exemption may be appealed to
				the Commission for reconsideration as described in Section
				935.2.
(b) Upon receipt of a request for an
				Exemption from filing a Financial Disclosure Statement, the Executive Director
				shall review the material filed to determine whether the duties of the Title(s)
				or Job Classification(s) include any of the duties that are set forth in
				section 94 (k)  of the Executive Law, without further inquiry. If no further
				information is required, the Executive Director shall render a decision on the
				request.
(c)
(1) Upon a determination that the Title(s) or
				Job Classification(s) do not include the duties that would otherwise exclude
				such an Exemption, the Executive Director shall, if he determines it is in the
				public interest, grant such Exemption on an individual, Title or Job
				Classification basis as requested, except as provided in paragraph (e)(3) of
				this subdivision.
(2) Upon a
				determination that the Title(s) or Job Classification(s) do include such
				duties, the Executive Director shall deny the request for an
				Exemption.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 936 - Time Extension For Filing A Financial Disclosure Statement Due To Justifiable Cause Or Undue Hardship Or Automatic Extension Of Time To File › Section 936.1 - Applicability

Current through Register Vol. 46, No. 28, July 10, 2024
This part shall apply to the following individuals:
(a) The four statewide elected
				officials;
(b) State officers or
				employees; and
(c) Political party
				chairmen;
who are required to file an annual statement of financial
				  disclosure pursuant to section 73-a  of the Public Officers
				  Law.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 936 - Time Extension For Filing A Financial Disclosure Statement Due To Justifiable Cause Or Undue Hardship Or Automatic Extension Of Time To File › Section 936.2 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Commission
				shall mean the New York State Joint Commission on Public Ethics.
(b) Covered Individual shall mean an
				individual who is required to file an annual statement of financial disclosure
				with the Commission pursuant to section 73-a  of the Public Officers
				Law.
(c) Filing Rate shall mean the
				job rate of SG-24 as set forth in section 130 (1)(a)  of the Civil Service Law as
				of April first of the year in which a Financial Disclosure Statement shall be
				filed.
(d) Financial Disclosure
				Statement shall mean the annual statement of financial disclosure required to
				be filed pursuant to section 73-a  of the Public Officers Law.
(e) Political Party Chairman shall have the
				same meaning ascribed to such term by section 73 (1)(k)  of the Public Officers
				Law.
(f) State Officer or Employee
				shall mean:
(1) Heads of State departments
				and their deputies and assistants;
(2) Officers and employees of statewide
				elected officials, officers and employees of State departments, boards,
				bureaus, divisions, commissions, councils or other State agencies, who:
(i) receive annual compensation in excess of
				the Filing Rate; and
(ii) have not
				been exempted from filing a Financial Disclosure Statement; or
(iii)hold policymaking positions as
				determined by the appropriate appointing authority; and
(3) Members or directors of public
				authorities, other than multistate authorities, public benefit corporations and
				commissions at least one of whose members is appointed by the Governor, and
				those employees of such authorities, corporations and commissions, who:
(i) receive annual compensation in excess of
				the Filing Rate; and
(ii) have not
				been exempted from filing a Financial Disclosure Statement; or
(iii)who hold policymaking positions as
				determined by the appropriate appointing authority.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 936 - Time Extension For Filing A Financial Disclosure Statement Due To Justifiable Cause Or Undue Hardship Or Automatic Extension Of Time To File › Section 936.3 - Basis for extension

Current through Register Vol. 46, No. 28, July 10, 2024
A Covered Individual may be granted an extension of time
				  within which to file a Financial Disclosure Statement with the Commission only
				  upon a showing of:
(a) Justifiable
				cause; or
(b) Undue
				hardship.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 936 - Time Extension For Filing A Financial Disclosure Statement Due To Justifiable Cause Or Undue Hardship Or Automatic Extension Of Time To File › Section 936.4 - Procedure

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A covered
				individual may request an extension of time within which to file the Financial
				Disclosure Statement by sending a written request to the Commission via mail,
				email or facsimile in accordance with this Section.
(b) A person who is or becomes a Covered
				Individual on or before May 15 of any year shall file the extension request
				with the Commission on or before May 15 of the same year. If the Commission
				grants the extension, such Covered Individual shall file the Financial
				Disclosure Statement no later than June 30 of the same year.
(c) A person who becomes a Covered Individual
				after May 15 of any year shall file the extension request with the Commission
				within 30 days of becoming a Covered Individual. If the Commission grants the
				extension, such Covered Individual shall file the Financial Disclosure
				Statement within 45 days of the date that the statement is otherwise
				required.
(d) The extension request
				must contain the following information:
(1)
				The name of the Covered Individual, home address and work address;
(2) The title(s) of the position or job
				classification(s) under which the individual is employed, and the appropriate
				title code; and
(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.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 936 - Time Extension For Filing A Financial Disclosure Statement Due To Justifiable Cause Or Undue Hardship Or Automatic Extension Of Time To File › Section 936.5 - 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 in which
				to file a Financial Disclosure Statement, the Commission shall review the
				material filed to determine whether there has been a showing of justifiable
				cause or undue hardship.
(b) The
				Commission may request additional information from the Covered Individual who
				submitted the request. Such individual shall submit the additional information
				to the Commission within seven business days. In the event the Commission does
				not receive the additional information within 7 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 extension
				to file the Financial Disclosure Statement.
(1) If the Commission approves the extension
				request, the Covered Individual shall file the Financial Disclosure Statement
				within the applicable time period set forth in 936.4 (b) or (c) of this
				Section.
(2) If the Commission
				denies the extension request, such Financial Disclosure Statement shall be
				filed with the Commission within 15 days from receipt of such denial.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 936 - Time Extension For Filing A Financial Disclosure Statement Due To Justifiable Cause Or Undue Hardship Or Automatic Extension Of Time To File › Section 936.6 - Automatic extension

Current through Register Vol. 46, No. 28, July 10, 2024
(a) In the
				event a Covered Individual 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, such individual shall file with the Commission, with respect to any item
				of the annual statement, a written statement that such information is lacking
				from such annual statement but will be supplied in a supplementary Financial
				Disclosure Statement on or before the seventh day after the expiration of the
				period of such automatic extension of time to file such income tax return.
(b) The written statement filed
				with the Commission concerning an automatic extension of time to file must
				contain the following information:
(1) The
				name of the Covered Individual, home address and work address;
(2) The title(s) of the position or job
				classification(s) under which the individual is employed, and the appropriate
				title code;
(3) A copy of the
				application for automatic extension to file an income tax return; and
(4) A description of the information that is
				lacking in the filed annual statement due to the application of an automatic
				extension to file an income tax return with the Internal Revenue
				Service.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 937 - Publicly Available Information and Documents and Records Access Requests › Section 937.1 - Purpose and Scope

Current through Register Vol. 46, No. 28, July 10, 2024
This Part contains information concerning the information,
				  documents and records that are made publicly available by the Commission on
				  Ethics and Lobbying in Government (the "Commission") and sets forth the
				  procedures by which such records and information may be obtained from the
				  Commission pursuant to Executive Law § 94 and article six of Public
				  Officers Law, known as the Freedom of Information Law.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 937 - Publicly Available Information and Documents and Records Access Requests › Section 937.2 - Information and Documents Publicly Available

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Pursuant to
				Executive Law section 94(13)(b), the following documents of the Commission are
				available on the Commission's website:
(1) The
				information set forth in annual statements of financial disclosure filed by
				statewide elected officials and members of the State legislature pursuant to
				Public Officers Law § 73-a, except information that has been deleted
				pursuant to Executive Law § 94(9)(h);
(2) Notices of Delinquency issued pursuant to
				Executive Law § 94(9);
(3)
				Notices of Civil Assessments imposed pursuant to Executive Law § 94, which
				include a description of the nature of the alleged wrongdoing, the procedural
				history of the complaint, the findings and determinations made by the
				Commission, and any sanction imposed;
(4) The terms of any Settlement Agreement or
				compromise of a complaint or referral that includes a fine, penalty, or other
				remedy;
(5) Those documents
				required to be held or maintained publicly available pursuant to article one-A
				of the Legislative Law; and
(6)
				Non-confidential reports issued by the Commission pursuant to Executive Law
				§ 94.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 937 - Publicly Available Information and Documents and Records Access Requests › Section 937.3 - Records Access

Current through Register Vol. 46, No. 28, July 10, 2024
(a) In addition
				to documents and information referenced in section
				937.2 of this Part, other records,
				as defined in Public Officers Law § 86(4), may be made available for
				public inspection pursuant to article six of the Public Officers Law, subject
				to the exemptions and exceptions therein.
(b) Pursuant to Public Officers Law §
				87(2), records and/or information made confidential or otherwise exempted or
				excepted from disclosure pursuant to Executive Law §§ 94(6)(d),
				(7)(b), 94(9)(f), 94(9)(g), 94(9)(j), 94(10)(m) and 94(11)(b) shall not be
				available for public inspection.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 937 - Publicly Available Information and Documents and Records Access Requests › Section 937.4 - Designation of Records Access Officer

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The Commission
				shall designate an individual to be the Commission's records access
				officer.
(b) The records access
				officer shall within five business days of receipt of a request:
(1) approve the request and authorize
				inspection and copying of the record and certification of correctness of such
				copy; or
(2) deny the request and
				state the reason therefor; or
(3)
				if requested records are maintained on the internet, inform the requester that
				the records are accessible via the internet and in printed form either on paper
				or other information storage medium; or
(4) if the request does not clearly identify
				the records sought, seek additional information from the requester;
				or
(5) acknowledge receipt of the
				request and provide a statement of the approximate date when the request will
				be granted or denied in whole or in part.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 937 - Publicly Available Information and Documents and Records Access Requests › Section 937.5 - Location and Hours for Public Inspection of Records

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Records
				shall be available for public inspection and copying on days that the
				Commission is regularly open for business between the hours of 9:00 am and 4:00
				pm at: Commission on Ethics and Lobbying in Government 540 Broadway Albany, NY
				12207
(b) Records shall be
				available for public inspection and copying by appointment at: Commission on
				Ethics and Lobbying in Government 25 Beaver Street, 5th Floor New York, NY
				10004
(c) Requesters reviewing
				records onsite shall create a list, for the Commission to retain, of any
				records the requester copies, including photographs taken on a personal
				device.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 937 - Publicly Available Information and Documents and Records Access Requests › Section 937.6 - Requests for Public Access to Records

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A requester
				shall submit a request for records by completing the Records Request Form on
				the Commission's website or by other writing. A request shall reasonably
				describe the information or record sought and the medium in which the requestor
				would like to receive such records Oral requests for records will not be
				accepted.
(b) If records cannot be
				released in the medium requested, the Records Access Officer will assist the
				requestor with identifying a reasonable alternative for access to such
				records.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 937 - Publicly Available Information and Documents and Records Access Requests › Section 937.7 - Subject Matter List

Current through Register Vol. 46, No. 28, July 10, 2024
The Commission shall develop a record finding list in
				  conformity with the requirements of the Freedom of Information Law.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 937 - Publicly Available Information and Documents and Records Access Requests › Section 937.8 - Denial of Access to Records

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A denial of
				access to records shall be in writing, stating the reason therefor and advising
				the requester of the right to appeal to the Executive Director of the
				Commission or their designee.
(1) The
				Executive Director or their designee shall determine appeals regarding denial
				of access to records under the Freedom of Information Law. The request for an
				appeal shall be sent to:
Commission on Ethics and Lobbying in Government
540 Broadway
Albany, NY 12207
(2) Any person denied access to records may
				appeal, in writing, within thirty days of a denial.
(3) The written appeal shall include:
(i) the date of request for
				records;
(ii) a description, to the
				extent possible, of the records that were denied; and
(iii) the name and return address of the
				person denied access.
(4)
				The time for deciding an appeal shall commence upon receipt of a written
				appeal.
(5) Copies of all appeals
				shall be transmitted to the Committee on Open Government upon
				receipt.
(6) The appellant and the
				Committee on Open Government shall be informed in writing of the determination
				of the appeal within ten business days of receipt of such
				appeal.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 937 - Publicly Available Information and Documents and Records Access Requests › Section 937.9 - Fees

Current through Register Vol. 46, No. 28, July 10, 2024
(a) No
				photocopy charge will be made for the first five pages not larger than 9 inches
				by 14 inches. No charge will be made to certify a record or to certify a denial
				of a request for a record and the reason therefor.
(b) A charge will be made of 25 cents per
				page of photocopy of pages not larger than 9 inches by 14 inches apart from the
				aforementioned five pages furnished without charge.
(c) Charges for materials or services not
				specified by statute or regulation shall be based on the actual cost thereof to
				the department.
(d) Payment for
				information services should be made by check or money order payable to "New
				York State Commission on Ethics and Lobbying in Government."
(e) Where it is anticipated that the fees
				chargeable for records on a single request will amount to more than $25 and the
				requester has not indicated in advance their willingness to pay fees in such
				amount, the requester shall be notified of the amount of the anticipated fee or
				such portion thereof as can readily be estimated. Such notice shall offer to
				the requester an opportunity to confer with Commission personnel in order to
				revise the request if they so desire.
(f) The Commission may require that the fee
				for copying or reproducing a record be paid in advance of the preparation of
				such copy.
(g) Upon affirmation of
				financial hardship, the Commission may waive an otherwise imposed fee in whole
				or in part when making copies of records available.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 937 - Publicly Available Information and Documents and Records Access Requests › Section 937.10 - Public Notice

Current through Register Vol. 46, No. 28, July 10, 2024
The Commission's website shall contain the contact
				  information for the records access officer, the procedure for appeal of a
				  records request, and the location where records can be viewed.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 937 - Publicly Available Information and Documents and Records Access Requests › Section 937.11 - Severability

Current through Register Vol. 46, No. 28, July 10, 2024
If any provision of these regulations or the application
				  thereof to any person or circumstances is adjudged invalid by a court of
				  competent jurisdiction, such judgment shall not affect or impair the validity
				  of the other provisions of these regulations or the application thereof to
				  other persons and circumstances.
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 938.1 - Intent and Purpose

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The Public
				Integrity Reform Act of 2011 ("PIRA") (Chapter 399, Laws of 2011) established
				the Joint Commission on Public Ethics ("Commission"). The Commission regulates
				lobbyists and their clients in New York State through the disclosure and
				enforcement provisions set in Legislative Law article one-A. PIRA amended
				Legislative Law article one-A by enacting unprecedented disclosure requirements
				to better inform the public about efforts to influence governmental
				decision-making through increased transparency, including the source of funding
				disclosure requirement set forth in Legislative Law § 1-h(c)(4) and
				§1-j(c)(4). Effective June 1, 2012, the source of funding amendments
				required lobbyists who lobby on their own behalf and clients, who devote
				substantial resources to lobbying activity in New York State, to make publicly
				available each source of funding over $5,000 for such lobbying. The legislation
				intended for these new disclosures to provide the public with more information
				regarding the actual entities and individuals that support lobbying campaigns
				in New York State.
(b) PIRA also
				required that the Commission issue regulations implementing the new law's
				source of funding provisions. These regulations will clarify the source of
				funding reporting requirements, the procedure by which individuals and
				organizations may apply to the Commission for an exemption from disclosure, and
				the procedure by which they may appeal the Commission's denial from exemption
				through a review by an independent judicial hearing officer. To fulfill the
				legislative intent, the Commission has sought the broadest determination
				possible of what must be disclosed pursuant to statute and as allowed by
				law.
(c) Part D of S.8160/A.10742
				(2016) decreases the filing threshold for total lobbying expenditures to
				$15,000, from $50,000, and the minimum contribution amount for disclosing a
				source to $2,500, from $5,000. Further, it excluded funds received for
				membership dues, fees, and assessments from the contributions that must be
				disclosed, while continuing to require the donor to be identified as a
				source.
(d) The provisions of
				section 938.11 of this Part apply only to
				the Client Semi-Annual Report due January 15, 2017. For purposes of the January
				15, 2017 Client Semi-Annual Report, all definitions and provisions of section
				938.11 of this Part supersede any
				parallel definitions or provisions contained in this Part.
(e) The amended terms of this regulation
				shall become effective upon the effective date of Part D, S. 8160/A.10742
				(2016).