Guidelines for Determination of Persons in Policy-Making Positions
Pursuant to §94 of the Executive Law, the State Ethics Commission promulgates the following guidelines to assist appointing authorities in determining those persons who hold policy-making positions for the purposes of filing a financial disclosure statement under §73-a of the Public Officers Law. Individuals designated as policy-makers must file financial disclosure statements and are not eligible to seek an exemption from such filing.
Definitions
- "Appointing Authority" shall mean that individual or body which has the authority by law, rule or regulation to appoint a person to a policy-making position or that individual or body to whom such authority may be properly delegated by law, rule or regulation.
- "Policy-making position" shall mean a position to which an individual has been appointed regardless of annual compensation and either in which
- a person has been determined to be managerial pursuant to subdivision 7 of §201 of the Civil Service Law because he or she formulates policy; or
- is in the non-competitive class under §2.2 of the classified service of the State of New York and, in Appendix 2 of the rules and regulations of the Department of Civil Service, is designated by the symbol Ø on the basis that it requires the performance of functions influencing policy; or
- a person exercises responsibilities of a broad scope in the formulation of plans for the implementation of goals or policy for a state agency or acts as an advisor to an individual in such a position.
- "State agency" shall be defined as that term is defined in §73(l)(g) of the Public Officers Law.
- "Commission" shall mean the State Ethics Commission created by §94 of the Executive Law.
Procedure
- The appointing authority of a state agency shall file a written statement with the Commission by the last day of February of each year containing the name, title and home address of each person who holds a policy-making position in that state agency determined by the appointing authority.
- Such appointing authority shall file an amended written statement with the Commission within thirty (30) days after the undertaking of policy-making responsibilities by a new employee or by any other employee whose name did not appear on the most recent written submission. The amended statement shall contain the name, title and home address of each such employee.
- Each appointing authority shall notify in writing each employee (whom he or she designated) as policy-making in accordance with these guidelines.