N.Y. Comp. Codes R. & Regs. tit. 19 § 942.3

Current through Register Vol. 46, No. 45, November 2, 2024

Section 942.3 - Procedure

(a) Pursuant to Executive Law § 94(9) and questions 8(b-1), 8(b-2) and 8(c) on the Financial Disclosure Statement set forth in Public Officers Law § 73-a, the Commission permits a Covered Person to make a confidential request, in accordance with this Section, for an Exemption from the requirement to publicly disclose Client Information. If requesting an Exemption from the Commission, such Covered Person shall file the Exemption request with the Commission on or before the deadline to file a Financial Disclosure Statement that applies to said Covered Person pursuant to Public Officers Law section 73-a(2). A Covered Person may not file an Exemption request with the Commission for a Client matter which the Covered Person has previously addressed in an Exemption request filed with the Office of Court Administration.

(b) The filing of an Exemption request pursuant to this Part shall not toll a deadline to file a Financial Disclosure Statement. A Financial Disclosure Statement filed during the pendency of a request for Exemption shall include all required information except the Client Information.

(c) In response to questions 8(b-1), 8(b-2) and 8(c) of the Financial Disclosure Statement, a Covered Person need not report Clients or customers with respect to matters for which the Covered Person (or his or her firm) was retained before entering public office in accordance with § 73-a(3)(8) of the Public Officers Law.

(d) The Exemption request shall be made in writing, signed by the Covered Person requesting such Exemption, and sent to the Commission via email at jcope@jcope.ny.gov . The Exemption request shall be deemed to be a part of his or her Financial Disclosure Statement and subject to all applicable enforcement and penalty provisions of Public Officers Law § 73-a, including without limitation subdivisions 4 and 6 of said section, and Executive Law § 94.

(e) In the request for Exemption, the Covered Person shall state that:

"My Client is not currently receiving my services or seeking my services in connection with:

(1) A proposed bill or resolution in the senate or assembly during the reporting period;

(2) A contract in an amount totaling $10,000 or more from the state or any state agency for services, materials, or property;

(3) A grant of $10,000 or more from the state or any state agency during the reporting period;

(4) A grant obtained through a legislative initiative during the reporting period; or

(5) A case, proceeding, application or other matter that is not a Ministerial Matter before a state agency during the reporting period," and

(f) The request for Exemption should include but need not be limited to the following information:

(1) the name and work address of the Covered Person;

(2) the Title of the Covered Person;

(3) a description of the specific duties and responsibilities of the Covered Person;

(4) the Client Information for which the Covered Person seeks an Exemption, and with respect to each matter on which the Covered Person has provided or will provide services to the Client, a description of the services rendered or to be rendered, the actual or estimated fee amount, and the actual or estimated duration of such services;

(5) a general description of the business activities in which the Client engages;

(6) to the best of the Covered Person's knowledge, a description of any specific business the Client has before the state;

(7) to the best of the Covered Person's knowledge, a description of any particularized interest the Client has in any pending legislation;

(8) if applicable, a description of any action taken by the Covered Person relating to the Client and any interaction the Covered Person has had with the Client in the course of performing the Covered Person's official duties;

(9) a statement explaining why the Covered Person should receive the requested Exemption rather than be required to disclose the Client Information;

(10) a description of any public disclosure of the Client Information in any other public filing or public appearance including regulatory filings and litigation papers and appearances;

(11) a description of any prior applications submitted by the Covered Person to the Commission or the Office of Court Administration for an Exemption from public disclosure of Client Information for the Client on any matter (including pending applications) and the results of such applications; and

(12) any other relevant information which may support the Exemption request.

N.Y. Comp. Codes R. & Regs. Tit. 19 § 942.3

Adopted New York State Register April 12, 2017/Volume XXXIX, Issue 15, eff. 4/12/2017

Amended New York State Register June 6, 2018/Volume XL, Issue 23, eff. 6/6/2018