N.Y. Comp. Codes R. & Regs. tit. 9 § 3.10

Current through Register Vol. 46, No. 16, April 17, 2024

Section 3.10 - Executive order no. 10: directing filing of financial statements by certain officers and employees within the executive department

I. All officers or employees in exempt, non-competitive, or unclassified positions within the Executive Department or any other State department or agency the head of which is appointed or nominated by the Governor, who earn $30,000 per year or more or who hold policy-making positions as determined by the Governor, and any other State officers appointed or nominated by the Governor, as the Governor may determine, shall, upon the filing of an oath of office and annually on May fifteenth thereafter, file with the Board of Public Disclosure, hereinafter established:

1. A current sworn statement of assets and liabilities;

2. A sworn statement of income sources for the period of holding office, specifying amounts in excess of $1,000.

Until such time as the Board shall issue a form for such statements, which in no event shall be later than January 15, 1976, the form for such statements is appended hereto and is made a part of this Order [see below]. The Board shall receive the completed forms and review them prior to public inspection to assure adequate compliance and to evaluate any claims of privacy. The Board shall report to the Governor any conflict of interest or violation of this Order.

The Board shall file these statements for public viewing with the Department of State in Albany, and shall establish a procedure, to be implemented by the Secretary of State, by which the statements so filed may be viewed by the public.

Any person required to file such statements may request the Board to delete an item, which may be deleted by the Board only upon a finding that any such item is of a highly personal nature, does not in any way relate to the duties of the position held by such person, and does not create an actual or potential conflict of interest.

II. No officer or employee of the Executive Department or of any other State department or agency the head of which is appointed or nominated by the Governor, who earns $30,000 per year or more or who holds a policy-making position as determined by the Governor, will engage in any activity which interferes or is in conflict with the proper and effective discharge of such person's official duties.

To this end, any such officer or employee may not:

--Hold any other public office or public employment for which compensation, direct or indirect, is received;

--Expend time or otherwise engage in any private employment, profession, business or other activity from which compensation, direct or indirect, is derived;

--Serve as director or officer of any profit-making corporation or institution;

--Serve as an officer of any political party or political organization, or serve as a member of any political party committee; including political party district leader (however designated), or member of a political party's National Committee.

Any request to deviate from the foregoing may only be allowed by the Board of Public Disclosure hereinafter established, upon written application to the Board, and after a specific finding by the Board that such particular activity does not violate the intent of this Order and in no way interferes or conflicts with the proper and effective discharge of the official duties of the person making the request. In reaching its determination, the Board shall also apply the provisions of Sections 73 and 74 of the Public Officers Law. The Board shall make a determination in each such case, which shall be final. The determination of the Board in every such case shall be filed for public inspection with the Department of State in Albany. The Board may promulgate rules governing the procedure by which such requests will be considered.

III. There is hereby established in the Department of State a Board of Public Disclosure consisting of the Secretary of State, the Secretary to the Governor, the Counsel to the Governor and four persons to be appointed by the Governor. One of the four public members shall be designated by the Governor as Chairman. The public members shall serve during the term of the Governor, and shall receive no compensation, but shall receive reimbursement for any necessary expenses in connection with the performance of their duties. None of the public members may hold any public office, elected or appointed, nor may they hold any office in any political party.

IV. The Board shall examine financial information submitted to the Governor by prospective appointees and shall evaluate the financial interests of these prospective appointees to determine whether there are any actual or potential conflicts of interest. The Board shall advise the Governor on any such matters prior to his making any appointment.

V. The public members of the Board shall within six months report to the Governor on the subject of public disclosure and conflict of interest, including recommendations for administrative and legislative action.

Signed: Hugh L. CareyDated: May 22, 1975

PROCLAMATION

STATE OF NEW YORK

FINANCIAL DISCLOSURE STATEMENT

I hereby submit the following Financial Disclosure Statement under oath, listing the assets, liabilities and sources of income of myself and my spouse.

Date of Statement: ________

a. General Information:

Name: ____________

Address: ____________

____________

Date of

Title: ________ Appointment: ____________

Department

Department: ________ Telephone No. ____________

Name of Spouse: ____________

Occupation of Spouse: ____________

b. Please list any office, trusteeship, directorship or position of any nature, whether compensated or uncompensated, held by you or your spouse with any firm, corporation, association, partnership, or other organization which does business or has any matter pending with, or is licensed or regulated by, any State agency or authority. (Indicate whether held by you or spouse, and what State agency or authority)

____________

c. Please list any occupation, trade, business or profession presently engaged in by you or your spouse which does business or has any matter pending with, or is licensed or regulated by a State agency or authority. (Indicate whether engaged in by you or spouse and what State agency or authority)

____________

d. STATEMENT OF ASSETS AND LIABILITIES AS OF ________, 1975

NOTE: Whenever the category of Asset or Liability is not applicable to you or your spouse, please indicate by inserting the word "NONE" in the column headed "AMOUNT"

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e. Please list below all sources of income for you and your spouse for the year, 1975, commencing with the date you filed an oath of office or January 1, 1975, whichever is later. Please also provide the amounts of such income if it is in excess of $1000

Public

Official Spouse

1. All Compensated Continuing Employment of Whatever Nature:

____________ ________ ________

2. All Directorships and Other Fiduciary Positions for Which Compensation Has or Will be Claimed:

____________ ________ ________

3. All Contractual Arrangements Producing or Expected to Produce Income:

____________ ________ ________

4. All Honorariums, Lecture Fees and Other Miscellaneous Sources of Income:

____________ ________ ________

(1) Have you and your spouse filed all required Federal, State and City income tax returns for 1974? ________

(2) As of the date of this Statement, do you or your spouse have any outstanding tax liabilities for 1974? ________

Please list on Schedule E

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ATTESTATION

I hereby certify that I have read the foregoing ________ page Statement and the ________ page Addendum thereto and that to the best of my knowledge and belief, they are true, correct and complete and that I have not and will not transfer any asset, interest or property for the purpose of concealing it from disclosure while retaining an equitable interest therein

______________

(Signed)

SWORN AND SUBSCRIBED TO

BEFORE ME THIS ____________

DAY OF ____________

____________

Notary Public

I. The Board of Public Disclosure established by my Executive Order No. 10, dated May 22, 1975, is hereby continued, as set forth in Paragraph III thereof. In all other respects, the provisions of Executive Order No. 10 are hereby revoked

II. Any officer or employee of the Executive Department or of any other State department, division, board, commission, council, authority, public benefit corporation or agency, the head of which is appointed or nominated by the Governor, whose State salary is $30,000 per year or more, or who holds a non-secretarial or non-clerical position which has been classified as managerial or confidential pursuant to Section 201.7(a) of the Civil Service Law (or the equivalent thereof as determined by the Board), shall, upon the filing of an oath of office and annually on July first thereafter, file with the Board a Financial Disclosure Statement in the form prescribed by the Board, including a sworn statement of assets and liabilities, and income sources

Any member of the governing body of any State board, commission, council, authority, public benefit corporation, or similar entity, appointed or nominated by the Governor, who receives compensation from the State, the amount of which exceeds $15,000 per year shall, upon the filing of an oath of office and annually on July first thereafter, file with the Board a Financial Disclosure Statement in the form prescribed by the Board, including a sworn statement of assets and liabilities, and income sources

No such person shall serve as an officer of any political party or political organization, or serve as a member of any political party committee, including political party district leader (however designated), or member of a political party's National Committee

No such person shall engage in any activity which interferes or is in conflict with the proper and effective discharge of such person's official duties, as determined by the Board

Except upon a specific determination by the Board that any such activity will not interfere or conflict with the proper and effective discharge of any such person's official duties, no such person shall:

-- Hold any other public office or public employment for which compensation, direct or indirect, is received;

-- Expend time or otherwise engage in any private employment, profession, business or other activity from which compensation, direct or indirect, is derived;

-- Serve as director or officer of any profit making corporation or institution

The Board may allow such activity only upon written application, and after a specific finding that such activity does not violate the intent of this Order and in no way interferes or conflicts with the proper and effective discharge of the official duties of the person making the request. In reaching its determination, the Board shall also apply the provisions of Sections 73 and 74 of the Public Officers Law. The Board shall make a determination in each such case, which shall be final. The determination of the Board in every such case shall be filed for public inspection with the Department of State in Albany. The Board shall promulgate rules governing the procedure by which such application will be considered

The Board is hereby empowered to make such determinations with respect to defined categories of activities or defined categories of persons, which shall be applicable to all such persons

III. Any member of the governing body of any State board, commission, council, authority, public benefit corporation, or similar entity, appointed or nominated by the Governor, who receives compensation from the State, the amount of which is $15,000 per year or less, shall, upon the filing of an oath of office and annually on July first thereafter, file with the Board a Financial Disclosure Statement, in the form prescribed by the Board

No such person shall engage in any activity which interferes or is in conflict with the proper and effective discharge of such person's official duties, as determined by the Board

IV. The Board shall review Financial Disclosure Statements to assure adequate compliance and to evaluate any claims of privacy. The Board shall report to the Governor any conflict of interest or violation of this Order

Any person required to file a Financial Disclosure Statement may request the Board to delete an item, which may be deleted by the Board only upon a finding that any such item is of a highly personal nature, does not in any way relate to the duties of the position held by such person, and does not create an actual or potential conflict of interest

The Board shall file Financial Disclosure Statements for public viewing with the Department of State in Albany, and shall establish a procedure, to be implemented by the Secretary of State, by which the Statements may be viewed by the public

V. The provisions of this Order shall not apply to the members of the governing body of any State board, commission, or council which performs solely advisory functions, as determined by the Board

VI. Upon request of the Governor, the Board shall review information submitted to the Governor by any prospective appointee, and shall advise the Governor whether any actual or potential conflicts of interest exist

VII. Any procedure, opinion or determination of the Board in effect on the date of this Order, shall remain in effect, unless modified by action of the Board

VIII. Every State agency shall develop appropriate disclosure requirement and standards for conflict of interest, for application within the agency. Such requirements and standards shall make specific reference to employees who are not covered by the provisions of this Order. Such requirements and standards shall be submitted to the Board prior to January 15, 1977. The Board shall review these submissions and report to the Governor

Signed: Hugh L. CareyDated: October 22, 1976

I. The Board of Public Disclosure established by my Executive Order No. 10, dated May 22, 1975, and as continued by my Executive Order No. 10.1, dated October 22, 1976, is hereby continued, as set forth in Paragraph III of Executive Order No. 10. In all other respects, the provisions of Executive Order No. 10.1 are hereby revoked

II. Any officer or employee serving at the pleasure of the Governor, whose State salary is $25,000 per year or more, or who holds a non-secretarial or non-clerical position which has been classified as managerial or confidential pursuant to section 201.7(a) of the Civil Service Law (or the equivalent thereof as determined by the Board), shall, upon the filing of an oath of office and annually on May first thereafter, file with the Board a Financial Disclosure Statement in the form prescribed by the Board, including a sworn statement of assets and liabilities, and income sources

Any member of the governing body of any State board, commission, council, authority, public benefit corporation, or similar entity, serving at the pleasure of the Governor, who receives compensation from the State, the amount of which exceeds $25,000 per year, shall, upon the filing of an oath of office and annually on May first thereafter, file with the Board a Financial Disclosure Statement in the form prescribed by the Board, including a sworn statement of assets and liabilities and income sources

No such person shall serve as an officer of any political party or political organization, or serve as a member of any political party committee, including political party district leader (however designated) or member of a political party's national committee

No such person shall engage in any activity which interferes or is in conflict with the proper and effective discharge of such person's official duties, as determined by the Board

-- Hold any other public office of public employment for which compensation, direct or indirect, is received;

-- Expend time or otherwise engage in any private employment, profession, business or other activity from which compensation, direct or indirect, is derived;

-- Serve as director or officer of any profit-making corporation or institution

The Board may allow such activity only upon written application, and after a specific finding that such activity does not violate the intent of this Order and in no way interferes or conflicts with the proper and effective discharge of the official duties of the person making the request. In reaching its determination, the Board shall also apply the provisions of sections 73 and 74 of the Public Officers Law. The Board shall make a determination in each such case, which shall be final. The determination of the Board in every such case shall be filed for public inspection with the Department of State in Albany. The Board shall promulgate rules governing the procedure by which such application will be considered

The Board is hereby empowered to make such determination with respect to defined categories of activities or defined categories of persons which shall be applicable to all such persons

III. Any member of the governing body of any State board, commission, council, authority, public benefit corporation, or similar entity, serving at the pleasure of the Governor, who receives compensation from the State, the amount of which is $25,000 per year or less, shall, upon the filing of an oath of office and annually on May first thereafter, file with the Board a Financial Disclosure Statement, in the form prescribed by the Board

No such person shall engage in any activity which interferes or is in conflict with the proper and effective discharge of such person's official duties, as determined by the Board

V. The provisions of this Order shall not apply to the members of the governing body of any State board, commission or council which performs solely advisory functions, as determined by the Board

VII. Any procedure, opinion or determination of the Board in effect on the date of this Order shall remain in effect, unless modified by action of the Board

Signed: Hugh L. CareyDated: March 12, 1979

I. Executive Order No. 10.2, dated March 12, 1979, is hereby revoked

II. There is hereby established in the Department of State a Board of Public Disclosure ("the Board") consisting of the Secretary of State, the Secretary to the Governor, the Counsel to the Governor and four public members to be appointed by the Governor. One of the four public members shall be designated by the Governor as Chairman. The public members shall serve at the pleasure of the Governor, and shall receive no compensation, but shall receive reimbursement for any necessary expenses in connection with the performance of their duties. None of the public members may hold any public office, elected or appointed, or any office in any political party

III. The head of every State department, division or agency who is appointed or nominated by the Governor; their deputies and assistants and, as determined by the appropriate department, division or agency heads in consultation with the Board, the officers and employees in such departments, divisions or agencies who hold policy-making positions; senior officers and employees in the Executive Department who hold policy-making positions and are appointed by the Governor; and every member of the governing body of any State board, commission, council, authority, public benefit corporation or similar entity, serving at the pleasure of the Governor, who receives compensation from the State, shall, upon the filing of an oath of office and annually as of December 31st and within 30 days thereafter, file with the Board a Financial Disclosure Statement which shall be substantially in the form of the Executive Personnel Financial Disclosure Report (SF 278, Rev. 4/80) established pursuant to the Ethics in Government Act of 1978 ( Public Law 95-521 ), with such changes therein as may from time to time be prescribed by the Board. Each such annual report shall include a statement confirming that the person making such report has at all times, to and including the date of the report, complied with the provisions of Public Officers Law section 74 to the extent such provisions apply to such person

IV. No such person referred to in Part III of this Order, shall serve as an officer of any political party or political organization, or serve as a member of any political party committee, including political party district leader (however designated) or member of a political party's national committee

No such person shall become a candidate either in a party primary or in a general election, or campaign in connection with such person's candidacy therein, or solicit or accept campaign funds, or solicit publicly stated support for such person's candidacy

No such person shall engage in any other activity which interferes or is in conflict with the proper and effective discharge of such person's official duties, as determined by the Board

V. No such person referred to in Part III of this Order shall hold any other public office or public employment for which compensation, direct or indirect, is received; expend time or otherwise engage in any private employment, profession, business or other activity from which compensation, direct or indirect, is derived; or serve as director or officer of any profit-making corporation or institution, without, in each such case, first advising the Board, in an application whose form the Board shall prescribe, of such person's plans to engage in such activity. The Board shall promulgate rules governing the procedure by which such applications will be considered. The Board shall review all such applications. In connection with such review, the Board may require the person planning to engage in the activity to submit such additional information as the Board may deem appropriate

The Board shall advise such persons whether the proposed activity violates the intent of this Order or interferes or conflicts with the proper and effective discharge of the official duties of the person planning to engage in the activity. In reaching its determination, the Board shall also consider the provisions of sections 73 and 74 of the Public Officers Law

The Board shall make a determination in each such case. The application to the Board and the determination of the Board in every such case shall be private and advisory only; provided that the Board may provide to the Governor such information with respect to such applications and determinations as it from time to time deems appropriate

VI. The Board shall review Financial Disclosure Statements to assure adequate compliance. The Board shall report to the Governor any conflict of interest or violation of this Order

Any person required to file a Financial Disclosure Statement may request the Board to delete from the copy thereof made available for public viewing one or more items, which may be deleted by the Board upon the finding that any such item is of a highly personal nature, does not in any way relate to the duties of the position held by such person, and does not create an actual or potential conflict of interest. In addition, the Board may determine, with respect to all such statements, or statements of defined categories of persons, that one or more items shall be deleted from the copies thereof made available for public viewing upon a similar such finding

The Board shall review the Governor's previous legislative proposals with respect to financial disclosure requirements for persons within the Executive branch, and make recommendations to the Governor with respect to the appropriate level and scope of disclosure requirements for persons within the Executive branch, such recommendations to include such revised legislative proposals as the Board may deem appropriate

VII. Upon request of the Governor, the Board shall review information submitted to the Governor by any prospective appointee, and shall advise the Governor whether any actual or potential conflicts of interest exist

VIII. The provisions of this Order shall not apply to the members of the governing body of any State board, commission, council or similar entity, which performs solely advisory functions, as determined by the Board

Signed: Hugh L. CareyDated: July 31, 1981

[FN*] [Revoked and superseded by Executive Order No. 3 (Mario M. Cuomo) § 4.3,infra.]

N.Y. Comp. Codes R. & Regs. Tit. 9 § 3.10