Title 19 NYCRR Part 935

Title 19 NYCRR Part 935

Procedure for Requesting an Exemption From Filing a Financial Disclosure Statement

Sections

935.1   Definitions

935.2   Procedure

935.3   Commission Action


935.1 Definitions.

(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 Commission on Public Integrity.

(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.

935.2 Procedure.

(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 Commission’s determination of an Exemption request, such Employee is not required to file the Financial Disclosure Statement. If the Commission denies the Exemption request, such Employee has 15 days from receipt of the denial to file the Financial Disclosure Statement with the Commission.

(f) 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.

(g) The request for Exemption must be signed by the individual requesting such Exemption or by the authorized representative of the Employee Organization or State Agency that is requesting such an Exemption on behalf of Title(s) or Job Classification(s).

(h) (1) An individual who files a request for Exemption, must also file a copy of such request with his or her Appointing Authority and an Employee Organization that files a request for Exemption must also file a copy with all agencies where the Title(s) or Job Classification(s) are located.

(2) The Appointing Authority, or any State Agency where the Title or Job Classification exists, within seven working days, may file a written objection to such a request with the Commission based solely on the grounds that the duties of the Title(s) or Job Classification(s) do not permit an Exemption to be granted. The objection shall also be filed with the individual or Employee Organization, as appropriate.

(3) The individual or Employee Organization, as appropriate, may, within seven working days, file a written response to the objection of the Appointing Authority or State Agency with the Commission. The written response shall also be filed with the Appointing Authority.

(4) Should no filing under paragraph (2) or (3) of this Subpart occur within the time limits provided, the Commission may act upon the request for Exemption based on the material available to it.

935.3 Commission action.

(a) Upon receipt of a request for an Exemption from filing a Financial Disclosure Statement, the Commission shall review the material filed to determine whether the duties of the Title(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 Commission shall render its decision on the request before it.

(b) (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 Commission shall, if it 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 (3) of this subdivision.

(2) Upon a determination that the Title(s) or Job Classification(s) do include such duties, the Commission shall deny the request for an Exemption.

(c)The Commission shall notify the requesting individual or the Employee Organization or State Agency, as appropriate, of its determination on a request for Exemption.

(d) Once an Exemption has been granted to an individual, or to a Title or Titles, or to a Job Classification, an individual, as long as he or she serves in that Title or Job Classification, will not be required to submit a Financial Disclosure Statement in any subsequent year for which one would otherwise be required unless:

(1) the individual is appointed or promoted to a new Title or Job Classification in which such a filing is required; or

(2) the duties of the Title or Job Classification change to include duties that would preclude an Exemption from filing a Financial Disclosure Statement; or

(3) the individual serves in a position that is designated as policymaking by his or her Appointing Authority; or

(4) the Commission, upon review of its determination to grant such exception, determines the Exemption is no longer appropriate under the law or this rule and regulation.