New York State Public Officers Law § 73-a requires that certain State officers or employees, the four statewide elected officials, members and certain staff of the State Legislature, and certain political party chairs file annual Financial Disclosure Statements ("FDS") with the Joint Commission on Public Ethics ("Commission"). This requirement applies to officers and employees of State departments, boards, divisions, and bureaus, and as well as members and staff of commissions, public benefit corporations or public authorities (other than multi-state authorities) at least one of whose members is appointed by the governor, as well as the State University of New York and City University of New York.
Pursuant to Executive Law § 94(12), individuals who are required to file an annual FDS with the Commission, yet fail to do so, will receive a confidential notice of their failure to file. Subsequent to that confidential notice and after a minimum 15-day period in which the filer may respond to the notice, the Commission shall send a Notice of Delinquency ("NOD") to the filer and to the filer's appointing authority, or the majority leaders of the two houses of the Legislature if the filer is a State elected official or legislative staff. Those NODs are publicly-available records of the Commission pursuant to Executive Law § 94(19)(a)(2) and may be requested by clicking HERE.
Subsequent to the issuance of an NOD, the Commission may initiate an enforcement proceeding against the filer. Any individual determined to have knowingly and willfully violated the provisions of Public Officers Law § 73-a may be subject to a civil penalty in an amount not to exceed $40,000. Click HERE for a listing of individuals who have been sent NOD's.
Candidates for statewide elected office and the Legislature are required, pursuant to Public Officers Law § 73-a(2)(a), to file a Statement of Financial Disclosure ("FDS") with the Joint Commission on Public Ethics ("JCOPE") or the Legislative Ethics Commission ("LEC"), respectively. All FDS filings are due to JCOPE or LEC within 10 days of becoming a candidate. Based on a review of information compiled by JCOPE and the LEC, candidates who have failed to timely file a statutorily-required FDS may be viewed by clicking HERE.