Title 19 NYCRR Part 937
Public Inspection of Annual Statements of Financial Discosure
Sections
937.1 Scope
937.2 Statements access officer
937.3 List of statements
937.4 Requests for public inspection
937.5 Inspection
937.1 Scope.
Pursuant to subdivision (17)(a)(1) of section 94 of the Executive Law, the State Ethics Commission shall make available for public inspection the information set forth in an annual statement of financial disclosure filed pursuant to section 73-a of the Public Officers Law, except that the categories of value or amount set forth in the annual statement and any additional information which the Public Advisory Council to the commission or the commission shall have determined to delete from public disclosure and exclude from the annual statement (pursuant to section 94[18][h] of the Executive Law), shall remain confidential and not available for public inspection.
937.2 Statements access officer.
The administrative officer of the State Ethics Commission is hereby designated as the statements access officer. The statements access officer shall:
(a) coordinate the State Ethics Commission's response to requests for public inspection of annual statement(s) of financial disclosure;
(b) provide information concerning the location of the statements, maintain a current list of statements available for public inspection and response to all inquiries relating to the availability to the public of annual statement(s) of financial disclosure;
(c) receive and process requests for public inspection of annual statement(s) of financial disclosure in the manner provided in these guidelines; and
(d) designate one or more members of the staff of the commission, as necessary, to serve as assistant statements access officer(s), and such assistant(s) shall have those functions and responsibilities of the statements access officer, except to designate other assistants.
937.3 List of statements.
(a) The statements access officer shall maintain and make available for public inspection a current list of those statements which are available for public inspection. The list shall be sufficiently detailed to permit the requester to identify the statement sought. The list shall be updated periodically as required to add additional statements that have been filed.
(b) Upon termination from State service for whatever reason, or any other change in status which no longer makes the individual subject to section 73-a of the Public Officers Law, the statement of such individual will be available for public inspection for 90 days following the individual's termination from State service or change in status. Thereafter, the statement will be retained by the commission without being subject to public disclosure except that upon written request, the statements access officer may determine to allow public inspection for good cause shown balancing the public's interest in inspecting the statement with the individual's expectation to privacy following his or her separation from State service.
937.4 Requests for public inspection.
(a) A request for public inspection of annual statement(s) of financial disclosure within the possession of the State Ethics Commission shall be in writing on a form provided by the commission for such purpose and substantially identified as a request for public inspection under section 94(17) of the Executive Law. Such request shall be filed with the Statements Access Officer, State Ethics Commission, Suite 900, 11 North Pearl Street, Albany, NY 12207. *
(b) The statements access officer may permit individuals to act as agent for or authorized representative of a requester of public inspection of statement(s).
(c) (1) The statements access officer shall respond to a request for public inspection as soon as possible, but no later than 10 business days after the day of the receipt of the request.
(2) If more than 10 business days are required to act upon a request for public inspection, the statements access officer shall issue an acknowledgement of the receipt of the request within 10 business days after the request is received. The acknowledgement shall include an estimate of the date that the statement shall be available for public inspection.
(d) A request for public inspection shall contain the name of the individual whose statement is sought to be inspected and
(1) the State agency by which the State officer or employee is employed or with which he or she is affiliated; or
(2) the statewide elected office held; or
(3) the political party chairmanship held; or
(4) the statewide elected office for which the individual is a candidate.
937.5 Inspection.
(a) Statements may be inspected by the public at the office of the commission every day that these offices are open for business during the hours 9 a.m. through 12 noon, and 1 p.m. through 4 p.m. At the discretion of the statements access officer, the records may also be inspected at other times and at any other office or location determined by the commission.
(b) The statements access officer shall delete from public inspection the categories of value or amount contained in the annual statements of financial disclosure plus any information which the Public Advisory Council to the commission or the commission itself shall have determined to delete from public disclosure or excluded from reporting pursuant to section 94(18)(h) of the Executive Law. Information which is the subject of a request for deletion from public disclosure under review by either the Public Advisory Council or the commission will not be made available for public inspection pending the completion of that review.
(c) The statements are not available for photocopying, photographing or mechanical duplication in any manner. Handwritten notes may be taken.
(d) No statement shall be removed from the offices of the State Ethics Commission.
(e) An individual filer may inquire whether his or her annual statement of financial disclosure has been inspected. The commission shall indicate only whether an inspection(s) has taken place. Under no circumstances, shall the commission reveal by whom the statement was inspected.
As in the regulation. The commission's offices have since moved to 39 Columbia Street, Albany, NY 12207.