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 935.2 - Procedure

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A person who is
				an Employee or becomes qualified as an Employee as defined in Section
				935.1(d) prior to
				May 15 in any year shall file a Financial Disclosure Statement for the
				preceding year on or before May 15. Pursuant to Executive Law section 94(9)(k),
				the Commission permits such an Employee to request an Exemption from this
				filing requirement in accordance with this Section. If requesting an Exemption,
				such Employee shall file the Exemption request with the Commission on or before
				May 15.
(b) A person who qualifies
				as an Employee as defined in this Section
				935.1(d) after
				May 15 of any year shall file the Financial Disclosure Statement for the
				preceding year within 30 days of commencing the qualifying employment. Pursuant
				to Executive Law section 94(9)(k), the Commission permits such an Employee to
				request an Exemption from this filing requirement in accordance with this
				Section. If requesting an Exemption, such Employee shall file the Exemption
				request with the Commission within 30 days of commencing the qualifying
				employment.
(c) The Exemption
				request shall be in writing and sent to the Commission via mail, email or
				facsimile.
(d) The Exemption
				request may be filed by the Employee individually, or by the Employee
				Organization or State Agency on behalf of persons who share the same Title or
				Job Classification.
(e) Pending the
				initial determination by the Executive Director, as prescribed under Section
				935.3 of this Title, any Employee
				who filed such request on an individual basis, or any person on behalf of which
				an Employee Organization or State Agency filed such request, is not required to
				file the Financial Disclosure Statement. If the Executive Director denies the
				individual Exemption request, the Employee who filed such request on an
				individual basis has 15 days from the receipt of the denial to file the
				Financial Disclosure Statement or appeal the determination to the Commission
				for reconsideration, in accordance with Part 941.17 of this Title. If the
				Executive Director denies the Title or Job Classification Exemption request,
				any person on behalf of which the Employee Organization or State Agency filed
				such request has 15 days from the receipt of the denial to file the Financial
				Disclosure Statement, or the authorized representative of the Employee
				Organization or State Agency that requested the Exemption has 15 days from the
				receipt of the denial to appeal the determination to the Commission for
				reconsideration, in accordance with Part 941.17 of this Title.
(f) If the Employee or authorized
				representative of the Employee Organization or State Agency appeals the
				Executive Director's denial of the Exemption Request, such Employee who filed
				such request on an individual basis, or any person on behalf of which an
				Employee Organization or State Agency filed such request, is not required to
				file the Financial Disclosure Statement until the Commission rules on the
				appeal, as described in Part 941 of this Title.
(g) If, pursuant to Part 941.17 of this
				Title, the Commission upholds the decision of the Executive Director to deny
				the Exemption request, such Employee, or any such person on behalf of which an
				Employee Organization or State Agency filed such request, has 15 days from
				receipt of the Commission's determination to file the Financial Disclosure
				Statement with the Commission.
(h)
				The request for Exemption shall include the following information:
(1) name and address of the Employee, if the
				request is on an individual basis, or the name of the Employee Organization
				filing or the name of State Agency filing and the address and name of the
				individual authorized to file on behalf of the Employee Organization or State
				Agency;
(2) the Title(s) of the
				position(s) or the Job Classification(s) and a list of each State Agency where
				such Title(s) or Job Classification(s) is located, if known
(3) a copy of the duties and specifications
				of the Title(s) or Job Classification(s) for which an Exemption is requested;
				and
(4) a statement to support the
				position of the filing individual or entity that the Title(s) or Job
				Classification(s) do not involve the duties that would otherwise preclude an
				Exemption from filing a Financial Disclosure Statement.