New York Codes, Rules and Regulations (NYCRR)
Title 19 Part 937
Department of State
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6 sections
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19 NYCRR 937.1 - Purpose and Scope
A matched Register action is not later than the compiled-text reference date.
Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Sep 30, 2026
- Related Register notice
- ELG-15-23-00007-A · Adopted rule
- Related notice published
- Aug 9, 2023
- Related notice effective date
- Aug 9, 2023
Purpose and Scope
This Part contains information concerning the information, documents and records that are made publicly available by the Commission on Ethics and Lobbying in Government (the “Commission”) and sets forth the procedures by which such records and information may be obtained from the Commission pursuant to Executive Law §94 and article six of Public Officers Law, known as the Freedom of Information Law.
19 NYCRR 937.2 - Information and Documents Publicly Available
A matched Register action is not later than the compiled-text reference date.
Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Sep 30, 2026
- Related Register notice
- ELG-15-23-00007-A · Adopted rule
- Related notice published
- Aug 9, 2023
- Related notice effective date
- Aug 9, 2023
Information and Documents Publicly Available
(a)Pursuant to Executive Law section 94(13)(b), the following documents of the Commission are available on the Commission’s website:
(1)The information set forth in annual statements of financial disclosure filed by statewide elected officials and members of the State legislature pursuant to Public Officers Law §73-a, except information that has been deleted pursuant to Executive Law § 94(9)(h);
(2)Notices of Delinquency issued pursuant to Executive Law § 94(9);
(3)Notices of Civil Assessments imposed pursuant to Executive Law § 94, which include a description of the nature of the alleged wrongdoing, the procedural history of the complaint, the findings and determinations made by the Commission, and any sanction imposed;
(4)The terms of any Settlement Agreement or compromise of a complaint or referral that includes a fine, penalty, or other remedy;
(5)Those documents required to be held or maintained publicly available pursuant to article one-A of the Legislative Law; and
(6)Non-confidential reports issued by the Commission pursuant to Executive Law § 94.
(b)In addition to the documents enumerated in subdivision (a) of this section, the Commission, at its discretion, may make additional documents available on the Commission’s website.
(c)In addition to the documents available pursuant to subdivision (a) of this section, the following additional information related to annual statements of financial disclosure is available upon request:
(1)With respect to a particular annual statement of financial disclosure:
(i)The date of submission;
(ii)Whether deletions have been made to the filing pursuant to Executive Law § 94(9)(h);
(a)This will not include information that is routinely redacted from all annual statements of financial disclosure by the Commission as a matter of course such as addresses of primary residence, names of minor children, email addresses, and account numbers.
(iii)If a particular filing is unavailable, the status of that filing, i.e., whether it is pending, overdue, or unavailable for some other reason such as an extension of time to file, an exemption from filing, or a pending application for deletion or exemption pursuant to Executive Law § 94(9).
(2)With respect to a particular individual, whether such individual is required to file an annual statement of financial disclosure, including:
(i)Whether the individual has been designated a Policy Maker or meets the filing rate pursuant to Public Officers Law § 73-a.
(a)This shall include the date that the reporting individual’s appointing authority amended the written instrument required under Public Officers Law § 73-a(1)(c)(ii) to include the individual as a required filer.
(ii)Whether such individual has sought or received an exemption from filing pursuant to Executive Law § 94(9)(k). NB: responses to subparagraphs (i) and (ii) of paragraph (2) may vary depending on the filing year in question.
(3)For a specific state agency (as defined by subsection 1(b) of Public Officers Law § 73-a), a list of individuals who are required to submit an annual statement of financial disclosure and whether each individual has been designated as a Policy Maker by their appointing authority.
(4)A list of job titles and employment classifications that have been exempted from the requirement to file an annual statement of financial disclosure pursuant to Executive Law § 94(9)(k).
(d)In addition to the documents enumerated in subdivision (a) of this section, the Commission shall make available, pursuant to a request for information and/or request for records in accordance with this Part, the name, public office address, title and salary of all Commission staff.
(e)Requests for information, documents and/or records pursuant to this section shall be recorded in a Record Access Request Log, which shall include the date of the request, the identity of the individual or entity that made such request, the identity of the Commission staff recording the request, and identify the record or records requested and provided. The Record Access Request Log shall be made available upon a request for information and/or access to records in accordance with this Part.
19 NYCRR 937.3 - Records Access
A matched Register action is not later than the compiled-text reference date.
Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Sep 30, 2026
- Related Register notice
- ELG-15-23-00007-A · Adopted rule
- Related notice published
- Aug 9, 2023
- Related notice effective date
- Aug 9, 2023
Records Access
(a)In addition to documents and information referenced in section 937.2 of this Part, other records, as defined in Public Officers Law § 86(4), may be made available for public inspection pursuant to article six of the Public Officers Law, subject to the exemptions and exceptions therein.
(b)Pursuant to Public Officers Law § 87(2), records and/or information made confidential or otherwise exempted or excepted from disclosure pursuant to Executive Law §§ 94(6)(d), (7)(b), 94(9)(f), 94(9)(g), 94(9)(j), 94(10)(m) and 94(11)(b) shall not be available for public inspection.
19 NYCRR 937.4 - Designation of Records Access Officer
A matched Register action is not later than the compiled-text reference date.
Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Sep 30, 2026
- Related Register notice
- ELG-15-23-00007-A · Adopted rule
- Related notice published
- Aug 9, 2023
- Related notice effective date
- Aug 9, 2023
Designation of Records Access Officer
(a)The Commission shall designate an individual to be the Commission’s records access officer.
(b)The records access officer shall within five business days of receipt of a request:
(1)approve the request and authorize inspection and copying of the record and certification of correctness of such copy; or
(2)deny the request and state the reason therefor; or
(3)if requested records are maintained on the internet, inform the requester that the records are accessible via the internet and in printed form either on paper or other information storage medium; or
(4)if the request does not clearly identify the records sought, seek additional information from the requester; or
(5)acknowledge receipt of the request and provide a statement of the approximate date when the request will be granted or denied in whole or in part.
(c)If receipt of the request was acknowledged by the records access officer in writing with a stated date by which the request would be granted or denied in whole or in part, but circumstances prevent the records access officer from doing so on or before the stated date, the records access officer shall, on or before such stated date, provide a written statement specifying the reason for the delay and provide a further date, within a reasonable period under the circumstances of the request, by which the request will be granted or denied in whole or in part.
(d)The records access officer shall, in authorizing issuance of copies of records, direct such omissions or redactions as may be required to protect the personal privacy of individuals in accordance with the requirements of the Freedom of Information Law, or any other applicable law, or regulation, including the provisions of section 94 of the Executive Law and of this Part.
19 NYCRR 937.5 - Location and Hours for Public Inspection of Records
A matched Register action is not later than the compiled-text reference date.
Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Sep 30, 2026
- Related Register notice
- ELG-15-23-00007-A · Adopted rule
- Related notice published
- Aug 9, 2023
- Related notice effective date
- Aug 9, 2023
Location and Hours for Public Inspection of Records
(a)Records shall be available for public inspection and copying on days that the Commission is regularly open for business between the hours of 9:00 am and 4:00 pm at: The Commission on Ethics and Lobbying in Government 540 Broadway Albany, NY 12207
(b)Records shall be available for public inspection and copying by appointment at: The Commission on Ethics and Lobbying in Government 25 Beaver Street, 5th Floor New York, NY 10004
(c)Requesters reviewing records onsite shall create a list, for the Commission to retain, of any records the requester copies, including photographs taken on a personal device.
19 NYCRR 937.6 - Requests for Public Access to Records
A matched Register action is not later than the compiled-text reference date.
Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Sep 30, 2026
- Related Register notice
- ELG-15-23-00007-A · Adopted rule
- Related notice published
- Aug 9, 2023
- Related notice effective date
- Aug 9, 2023
Requests for Public Access to Records
(a)A requester shall submit a request for records by completing the Records Request Form on the Commission’s website or by other writing. A request shall reasonably describe the information or record sought and the medium in which the requestor would like to receive such records Oral requests for records will not be accepted.
(b)If records cannot be released in the medium requested, the Records Access Officer will assist the requestor with identifying a reasonable alternative for access to such records.