New York regulations
Title 9 Part 9976
Executive Department
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9 NYCRR 9976.1 - Definitions
No later Register activity identified in this check.
Dates and status
- Compiling agency
- Executive Department
- Text status
- Phase2b Dequote Reversal
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- May 19, 2026
(a)Annual statement shall mean the annual statement of financial disclosure filed with the commission pursuant to local law, ordinance, or resolution or filed pursuant to General Municipal Law, section 811 or 812.
(b)Appointing authority shall mean that individual or body which has the authority by law, rule, or regulation to appoint a person to a position, or that individual or body to whom that authority may be properly delegated by law, rule, or regulation.
(c)Commission shall mean the Temporary State Commission on Local Government Ethics, established under General Municipal Law, section 813.
(d)Exemption shall mean a waiver of the requirement that an individual file an annual statement.
(e)Local agency shall have the same meaning ascribed to that term by General Municipal Law, section 810(12).
(f)Employee shall mean any municipal officer or employee, as that term is defined in General Municipal Law, section 800(5), who is neither:
(1)a local elected official; nor
(2)a local officer or employee.
For purposes of this definition, the terms local elected official and local officer or employee shall have the meanings ascribed to those terms by subdivisions (2) and (3), respectively, of General Municipal Law, section 810.
(g)Title shall mean the name of the position or job in which an employee serves.
(h)Job classification shall mean a series of titles which may be included under one classification standard or may be part of a promotional series which may be considered together for purposes of these regulations.
(i)Employee organization shall mean an employee organization which is recognized or certified pursuant to Civil Service Law, section 204 to represent public employees of a public employer.
(j)Disqualifying duties shall mean duties, performed by an employee, involving the negotiation, authorization, or approval of those matters listed in General Municipal Law, section 813(9)(k)(i)-(iv).
9 NYCRR 9976.2 - Procedures
No later Register activity identified in this check.
Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- May 15, 2022
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
(a)A request for an exemption may be made either by an individual employee or by an employee organization or local agency acting on behalf of employees who share the same title or job classification. The request shall be filed with the commission by April 1st of the year for which the exemption is requested. However, in the event that an employee files pursuant to local law, ordinance, or resolution, and that local law, ordinance, or resolution prescribes a date for filing the annual statement which is earlier than May 15th, then that request shall be made at least 45 days before that filing date.
(b)The request for an extension shall be mailed to the commission by certified mail, or shall be delivered by hand. Upon request, a receipt shall be issued for a hand delivery.
(c)The request for exemption shall include the following information:
(1)if the request is made on an individual basis, the name and home and business address of the employee; if the request is made on behalf of employees sharing the same title or job classification, the name of the employee organization or local agency making the request and the name and address of the individual authorized to make the request for that employee organization or local agency;
(2)the title or job classification of the position for which the exemption is sought;
(3)if the request is being made by a local agency or employee organization, a list of all local agencies within the political subdivision where the title or job classification is located;
(4)a copy of the job description or specification for the title or job classification for which the exemption is requested;
(5)a statement, accompanied by supporting documentation, that the title or job classification does not involve the performance of disqualifying duties.
(d)The request for exemption must be signed by the employee requesting the exemption or by the authorized representative of the employee organization or local agency making the request on behalf of employees with the same title or job classification.
(e)
(1)An individual or employee organization which files a request for exemption must also file a copy of the request with the appointing authority of the local agency or agencies where the title or job classification is located.
(2)Within seven working days the appointing authority may file a written objection to the request with the commission, based solely on the ground that the duties of the title or job classification do not permit an exemption to be granted. The appointing authority shall also send forthwith a copy of the objection to the individual or employee organization, as appropriate.
(3)The individual or employee organization, as appropriate, may within seven working days file a written response to the objection of the appointing authority with the commission. The written response shall also be filed with the appointing authority.
(4)Should no filing under paragraph (2) or (3) of this section occur within the time limits provided, the commission may act upon the request for exemption based on the material available to it.
9 NYCRR 9976.3 - Commission action
No later Register activity identified in this check.
Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- May 15, 2022
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
(a)Upon receipt of a request for an exemption from filing a financial disclosure statement, the commission shall review the material filed to determine whether the duties of the title or job classification include any disqualifying duties. If no further information is required, the commission shall render its decision on the request.
(b)If the commission determines that additional information is necessary before making a determination, it may request the assistance of any employee or official of the municipality, and that employee or official shall furnish that assistance in a timely manner.
(c)
(1)Upon a determination that the title or job classification does not involve the performance of disqualifying duties, the commission shall, if it determines it is in the public interest, grant the exemption on an individual, title, or job classification basis, as requested.
(2)Upon a determination that the title or job classification does involve the performance of disqualifying duties, the commission shall deny the request for an exemption.
(3)Where the commission determines that it is in the public interest to request that an individual file an annual statement, even though the duties may not exclude an exemption, the commission may require the employee who serves in the title or job classification to file a short-form financial disclosure statement, which shall contain only that information which the commission determines is appropriate and necessary for that title or job classification.
(d)The commission shall give written notification of its determination to the requesting employee or employee organization or local agency, as appropriate. Any determination, other than a determination to grant the request, shall contain written findings of fact in support of the determination.
(e)A request for an exemption does not extend the deadline for filing the annual statement. The party requesting the exemption may, under compelling circumstances, apply to the commission for an extension to submit an annual statement until the exemption requested is acted upon by the commission. Only in special circumstances, as determined by the commission, will an extension for submission of an annual statement be granted because of a pending exemption request.
(f)Once an exemption is granted, all employees covered by the exemption shall not be required to submit annual statements for subsequent years unless:
(1)the employee is appointed or promoted to a new title or job classification for which filing is required;
(2)the duties of the title or job classification change to include disqualifying duties; or
(3)the commission, upon review of its determination to grant the exemption, determines that the exemption is no longer allowable under the law or this regulation or is no longer in the public interest. However, no such determination shall be made without giving the original parties to the request an opportunity to submit written objections. In addition, any such determination shall be in writing and supported by written findings of fact.