New York Courts dot gov
New York StateUnified Court System

Rules


SECTION 7400.1

REQUESTING EXEMPTIONS FROM FILING

FINANCIAL DISCLOSURE STATEMENTS

7400.1(a) Definitions

(1) "Annual compensation" shall mean the basic annual salary which an individual receives to perform the duties of the position in which he or she serves. Annual salary shall not include location pay, payment of overtime, retroactive salary benefits, uniform or clothing allowance, reimbursements, or any one time payment, bonus or award.

(2) "Commission" shall mean the Ethics Commission for the Unified Court System.

(3) "Employee" shall mean a state-paid judge, justice, officer or employee of the Unified Court System.

(4) "Employee organization" shall mean an employee organization that is recognized or certified pursuant to section 204 of the Civil Service Law to represent public employees of a public employer.

(5) "File" shall mean to make delivery to the offices of the Commission personally, electronically or by mail. The filing date shall be the date the document filed is received in the offices of the Commission.

(6) "Financial disclosure statement" shall mean the annual statement approved by the Chief Judge pursuant to subdivision 4 of section 211 of the Judiciary Law.

(7) "Job title" shall mean the title of the position to which an employee has been elected or appointed.

(8) "Rule" shall mean Part 40 of the Rules of the Chief Judge of the State of New York (22 NYCRR).

7400.1(b) Scope

Pursuant to section 40.1(i)(8) of the Rule, the Commission shall permit an employee who is not a policy maker pursuant to section 40.2 of the Rule, and who is required to file a financial disclosure statement, to request an exemption from filing. This request will be granted if, in the discretion of the Commission, the public interest does not require disclosure and the employee's duties do not involve any of the duties set forth in section 40.1(i)(8) of the Rule.

7400.1(c) Procedure

(1) An employee individually, or an employee organization on behalf of persons who share the same job title, may request an exemption from filing a financial disclosure statement by filing a written request with the Commission on or before:

i) March 1st of the year in which the exemption is requested if he or she is employed by the Unified Court System on January 1st, or commences employment from January 2nd through April 15th, of that year;

or

ii) Fifteen days from the date that the employee commences employment (which includes a change to a new job title that requires him or her to file) if he or she commences employment with the Unified Court System from April 16th through December 31st of the year in which the exemption is requested.

(2) The request for the exemption shall include:

(i) the name, work address, home address, work telephone number and job title of the employee if the request is on an individual basis, or the name of the employee organization, and name, address and telephone number of its authorized representative filing on behalf of persons who share the same job title;

(ii)the job title for which an exemption is requested where the request is by an employee organization;

(iii)a copy of the title specifications of the job title for which an exemption is requested;

(iv)a statement in support of the claim of the filing employee or employee organization that the public interest does not require disclosure and that the job title for which the exemption is requested does not involve any of the duties set forth in section 40.1(i)(8) of the Rule, giving specific reasons and justifications therefor. Documentation supporting this statement may be annexed to the request.

(3) The request for an exemption must be signed by the employee, if requesting an individual exemption, or by the authorized representative of the employee organization requesting an exemption on behalf of persons who share the same job title.

7400.1(d) Commission Action

(1) 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 public interest requires disclosure and whether the duties of the job title include any of the duties set forth in section 40.1(i)(8) of the Rule.

(2) If the Commission determines that additional information would be useful, it may obtain such information from the Office of Court Administration, from the individual employee requesting an exemption, from the employee organization requesting an exemption on behalf of persons who share the same job title, or from any source deemed appropriate by the Commission. The Commission, in its discretion, may request a meeting with the individual employee or the representative of an employee organization to discuss the exemption request.

(3) If the Commission requests additional information from an individual employee or an employee organization, such additional information must be filed with the Commission within the time limit set forth in the Commission's written request. If the Commission does not receive such information within the said time limit, it may render a decision on the information available.

(4) Unless the Commission decides that the public interest does not require disclosure and that a job title does not involve the duties set forth in section 40.1(i)(8) of the Rule, the Commission shall deny the request for an exemption from filing a financial disclosure statement.

In applying the public interest standard, the Commission considers the duties the employee may be called upon to perform. The Commission weighs the strong public interest in disclosure against the employee's privacy rights. In this weighing process, the Commission considers the employee's role in the judicial, administrative or managerial process of the Unified Court System. The Commission also considers the potential for conflict of interest and use of public office for personal gain in the performance of the employee's actual or potential job duties.

Judiciary Law 211(4) and 22 NYCRR Part 40 establish a strong public policy favoring disclosure. Thus employees otherwise required to file, who have requested an exemption from filing, must demonstrate that an individual exception to this policy is warranted.

(5) The Commission shall give written notification of its decision to the employee and/or the employee organization, as appropriate, and to the Chief Administrator of the Courts.

(6) Once an exemption has been granted for a job title, an employee, as long as he or she holds that job title, will not be required to file a financial disclosure statement in any subsequent year for which one would otherwise be required unless:

(i)the duties of the job title change; or

(ii)it is determined that the employee holds a policymaking position by: the Chief Judge of the Court of Appeals, as to personnel of that Court; the Presiding Justice of each Appellate Division, as to personnel of that Court; or the Chief Administrator of the Courts, as to all other state-paid personnel of the Unified Court System; or

(iii)the Commission, upon review of its decision to grant such exemption, determines the exemption is no longer appropriate.

SECTION 7400.2

REQUESTING AN EXTENSION OF TIME TO FILE A FINANCIAL DISCLOSURE STATEMENT, AND AUTOMATIC EXTENSIONS OF TIME TO FILE SUPPLEMENTARY FINANCIAL DISCLOSURE STATEMENTS.

7400.2(a) Definitions

(1) "Commission" shall mean the Ethics Commission for the Unified Court System.

(2) "Employee" shall mean a state-paid judge, justice, officer or employee of the Unified Court System.

(3) "File" shall mean to make delivery to the offices of the Commission personally, electronically or by mail. The filing date shall be the date the document filed is received in the offices of the Commission.

(4) "Financial disclosure statement" shall mean the annual statement approved by the Chief Judge pursuant to subdivision 4 of section 211 of the Judiciary Law.

(5) "Job title" shall mean the title of the position to which an employee has been elected or appointed.

(6) "Rule" shall mean Part 40 of the Rules of the Chief Judge of the State of New York (22 NYCRR).

7400.2(b) Scope

(1) Pursuant to section 40.1(i)(3) of the Rule, the Commission shall permit an employee who is required to file a financial disclosure statement to request an additional period of time within which to file such statement. This request will be granted if the Commission finds that there is justifiable cause for the extension or that the timely filing of the statement would cause undue hardship.

(2) Pursuant to section 40.2(a)(2)(i) of the Rule, the Commission shall allow an employee who has timely filed an application for automatic extension with the Internal Revenue Service to file a supplementary statement of financial disclosure.

7400.2(c) Procedure For Requesting An Extension Of Time To File A Financial Disclosure Statement

(1) An employee required to file a financial disclosure statement:

(i) on or before May 15th may request an extension of time to file his or her statement by filing a request with the Commission on or before May 15th of the year in which such extension is requested;

or

(ii) within thirty days of the date that the employee commences employment (which includes a change to a new job title that requires him or her to file) may request an extension of time to file his or her statement by filing a request with the Commission within thirty days of the date the employee commences employment.

(2) The request for the extension can be made by letter, telephone or email, and shall include:

(i)(a) if the request is made by letter, the name, home address, work address, work telephone number, and job title of the employee requesting the extension;

or

(i)(b) if the request is made by telephone or email, the name, work telephone number and job title of the employee requesting the extension;

(ii) a statement in support of the employee's claim that an extension of time to file a financial disclosure statement is necessary due to justifiable cause or undue hardship, giving specific reasons and justifications therefor. Documentation supporting this statement may be annexed to the request, if the request is made by letter or email.

(iii) the date certain by which the employee will file his or her financial disclosure statement.

(3) The request for an extension must by signed by the employee requesting the extension, if the request is made by letter.

7400.2(d) Commission Action

(1) Upon receipt of a request for extension of time to file a financial disclosure statement, the Commission shall review the material filed to determine if there has been a showing of justifiable cause or undue hardship.

(2) If the Commission determines that additional information would be useful, it may request such information from the employee requesting the extension. The Commission, in its discretion, may request a meeting with the employee to discuss the extension request.

(3) Unless the Commission decides that there is justifiable cause for an extension of time to file a financial disclosure statement, or that timely filing of such statement would cause undue hardship, the Commission shall deny the request for an extension of time to file a financial disclosure statement.

(4) The Commission shall give notice of its decision to the employee requesting an extension of time to file in the same format in which the request was received. If the extension is granted, the decision shall include the date certain on or before which the employee's financial disclosure statement must be filed.

(5) Vacation periods, and the ordinary and necessary tasks, routines, and obligations of an employee's personal and work life shall not constitute undue hardship or justifiable cause for an extension of time to file a financial disclosure statement.

(6) No extension of time to file a financial disclosure statement shall be granted:

(i) beyond August 31st in the current filing year, if the filing due date is in May in the current filing year; or

(ii) beyond October 31st in the current filing year, if the filing due date is in June or July in the current filing year; or

(iii) beyond November 30th in the current filing year, if the filing due date is in August or September in the current filing year; or

(iv) beyond December 31st in the current filing year, if the filing due date is in October or November in the current filing year; or

(v) beyond February 28th in the year after the current filing year, if the filing due date is in December in the current filing year or January in the year after the current filing year.

7400.2(e) Supplementary Financial Disclosure Statements

(1) An employee who timely filed with the Internal Revenue Service an application for automatic extension of time in which to file his or her income tax return for the immediately preceding calendar or fiscal year is required to file a financial disclosure statement:

(i) on or before May 15th of the year that filing is required, if he or she is employed by the Unified Court System on January 1st, or commences employment from January 2nd through April 15th, of that year;

or

(ii) thirty days from the date that the employee commences employment (which includes a change to a new job title that requires him or her to file) if he or she commences employment with the Unified Court System from April 16th through December 31st of the year that filing is required.

The employee may, however, indicate on the timely filed financial disclosure statement that information regarding a particular item of disclosure is lacking and will be supplied in a supplementary statement of financial disclosure to be filed on or before the seventh day after the expiration of the period of such automatic extension of time within which to file such tax return.

(2) The employee must submit a written statement with the timely filed financial disclosure statement. This written statement shall include:

(i)the name, home address, work address, work telephone number and job title of the employee;

(ii)a copy of the application filed with the Internal Revenue Service for an automatic extension of time in which to file the employee's individual income tax return for the immediately preceding calendar or fiscal year;

(iii)a description of the nature of the information which cannot be timely provided on the financial disclosure statement, including the question number(s) where the information would otherwise be reported; and

(iv)the date that the employee's automatic extension expires.

(3) Failure to file a supplementary financial disclosure statement, or the filing of an incomplete or deficient supplementary financial disclosure statement, shall be subject to the notice and penalty provisions of the Rule as if the supplementary statement were an annual statement of financial disclosure.

SECTION 7400.3

REQUESTING AN EXEMPTION FROM REPORTING ONE OR MORE ITEMS OF INFORMATION WHICH PERTAIN TO AN EMPLOYEE'S SPOUSE OR UNEMANCIPATED CHILDREN

7400.3(a) Definitions

(1) "Commission" shall mean the Ethics Commission for the Unified Court System.

(2) "Employee" shall mean a state-paid judge, justice, officer or employee of the Unified Court System.

(3) "File" shall mean to make delivery to the offices of the Commission personally, electronically or by mail. The filing date shall be the date the document filed is received in the offices of the Commission.

(4) "Financial disclosure statement" shall mean the annual statement approved by the Chief Judge pursuant to subdivision 4 of section 211 of the Judiciary Law.

(5) "Job Title" shall mean the title of the position to which an employee has been elected or appointed.

(6) "Rule" shall mean Part 40 of the Rules of the Chief Judge of the State of New York (2 NYCRR).

(7) "Spouse" shall mean husband or wife of the employee filing a financial disclosure statement.

(8) "Unemancipated child" shall mean any son, daughter, stepson or stepdaughter of the employee filing a financial disclosure statement who is under the age of eighteen (18) and unmarried at the time the financial disclosure statement is filed.

7400.3(b) Scope

Pursuant to section 40.1(i)(7) of the Rule, the Commission shall permit an employee who is required to file a financial disclosure statement to request an exemption from the requirement to report one or more items of information which pertain to the employee's spouse or unemancipated children. This request will be granted by the Commission upon a finding by a majority of the total number of its members without vacancy that the employee's spouse, on his or her own behalf or on behalf of an unemancipated child, or the employee on behalf of an unemancipated child, objects to providing the information necessary to make such disclosure, and that the information that would otherwise be required to be reported will have no material bearing on the discharge of the employee's official duties.

7400.3(c) Procedure

(1) An employee may request an exemption from any requirement to report one or more items of information that pertain to his or her spouse or unemancipated children by filing a written request with the Commission on or before:

(i) April 1st of the year in which such exemption is requested, if he or she is employed by the Unified Court System on January 1st, or commences employment from January 2nd through April 15th, of that year;

or

(ii) Fifteen days from the date that the employee commences employment (which includes a change to a new job title that requires him or her to file) if he or she commences employment with the Unified Court System from April 16th through December 31st of the year in which the exemption is requested.

(2) The request for the exemption shall include:

(i)the name, home address, work address, work telephone number, and job title of the employee requesting the exemption;

(ii)the specific information the spouse or employee objects to reporting on the employee's financial disclosure statement;

(iii)a statement that the employee or his or her spouse objects to reporting the information on the financial disclosure statement, giving specific reasons and justifications therefor;

(iv)a statement in support of the employee's claim that the information that would otherwise be required to be reported on the financial disclosure statement will have no material bearing on the discharge of the employee's official duties, giving specific reasons and justifications therefor;

(v)documentation supporting the aforesaid statements may be annexed to the request.

(3) The request for exemption must be signed by the employee requesting the exemption.

7400.3(d) Commission Action

(1) Upon receipt of a request for an exemption from the requirement to report one or more items of information which pertain to an employee's spouse or unemancipated children, the Commission shall review the material filed to determine whether an objection has been made by the appropriate person to the reporting of the information, and whether the information for which an exemption is requested will have a material bearing on the discharge of the employee's official duties.

(2) If the Commission determines that additional information would be useful, it may request such information from the employee requesting the exemption. Such additional information must be filed with the Commission within the time limit set forth in the Commission's written request. If the Commission has not received such information within the said time limit, it may render its decision on the information available. The Commission, in its discretion, may request a meeting with the employee, or his or her spouse, to discuss the exemption request.

(3) Unless the Commission decides by a majority of the total members of the Commission without vacancy that the employee or his or her spouse objects to providing the information necessary to make disclosure, and that the information that would otherwise be required to be reported will have no material bearing on the discharge of the employee's official duties, the Commission shall deny the request for exemption.

In applying the material bearing standard to decide exemption requests, the Commission weighs competing public and private interests including the following:

(i)Whether the disclosure of the information could pose a safety threat to the employee or his or her family, and the nature of that threat, including its seriousness and imminence;

(ii)Whether the information may relate in a substantial and important way to the employee's official duties;

(iii)Whether the information could reveal or relate to an actual or potential conflict of interest;

(iv)The employee's role in the judicial, administrative or managerial process of the Unified Court System;

(v)In the case of a spousal/child exemption request, whether the filer has access, or can obtain access, to the information required to be reported;

(vi)Whether the standard is being applied in the case of a spousal/child exemption request or a deletion request. The employee's burden is far greater when seeking an exemption request. The granting of an exemption request means that the relevant information will not be reported at all on the financial disclosure statement, while the granting of a deletion request means that the information will be reported on the financial disclosure statement, but deleted from the copy made available to the public;

(vii)Such other factors as may be relevant.

If an employee requests a spousal exemption on the grounds that he or she has no knowledge of his or her spouse's assets or income, and that his or her spouse refuses to supply this information to him or her, the employee must so state specifically in the form of an affidavit. The employee must, at a minimum, convince the Commission that his or her spouse refuses to provide the information, that he or she has no other source regarding this information, and that he or she has made a bona fide attempt to obtain, and cannot obtain, the information. Other potentially relevant, but not necessarily controlling, matters include the circumstances of, and reasons for, a spouse's refusal to provide the employee with the relevant information, the duration and consistency over time of his or her spouse's refusal to disclose such information to the employee, and whether the employee and his or her spouse file or have filed joint federal, state or local tax returns. If the employee and his or her spouse have filed a joint tax return, the employee must at a minimum report such information as is available from that return.

Judiciary Law 211(4) and 22 NYCRR Part 40 establish a strong public policy favoring disclosure. Thus employees otherwise required to file, who have requested exemptions, must demonstrate that an individual exception to this policy is warranted.

(4) The Commission shall give written notice of its decision to the employee requesting the exemption.

7400.3(e)Separation From Spouse

An employee is not required to report any information pertaining to his or her spouse, other than the spouse's name, if at the time the employee files his or her financial disclosure statement he or she is living separate and apart from his or her spouse:

(i)pursuant to a judicial order, decree or judgment

or a legally binding separation agreement; or

(ii)with the intention of terminating the marriage or remaining permanently separated.

SECTION 7400.4

DELETION OF ONE OR MORE ITEMS OF INFORMATION

FROM THE COPY OF THE FINANCIAL DISCLOSURE STATEMENT MADE AVAILABLE TO THE PUBLIC.

7400.4(a) Definitions

(1) "Commission" shall mean the Ethics Commission for the Unified Court System.

(2) "Employee" shall mean a state-paid judge, justice, officer or employee of the Unified Court System.

(3) "File" shall mean to make delivery to the offices of the Commission personally, electronically or by mail. The filing date shall be the date the document filed is received in the offices of the Commission.

(4) "Financial disclosure statement" shall mean the annual statement approved by the Chief Judge pursuant to subdivision 4 of section 211 of the Judiciary Law.

(5) "Job title" shall mean the title of the position to which an employee has been elected or appointed.

(6) "Rule" shall mean Part 40 of the Rules of the Chief Judge of the State of New York (22 NYCRR).

7400.4(b) Scope

Pursuant to section 40.1(i)(6) of the Rule, the Commission shall permit an employee who is required to file a financial disclosure statement to request that the Commission delete from the copy of the financial disclosure statement made available for public inspection one or more items of information. This request will be granted by the Commission upon a finding by a majority of the total number of its members without vacancy that the information that would otherwise be required to be made available for public inspection will have no material bearing on the discharge of the employee's official duties.

7400.4(c) Procedure

(1) An employee may request deletion of one or more items of information from the copy of the financial disclosure statement made available to the public by filing a written, or electronic, request with the Commission on or before:

(i) May 15th of the year in which the deletion is requested, if he or she is employed by the Unified Court System on January 1st, or commences employment from January 2nd through April 15th, of that year;

or

(ii) Thirty days from the date that the employee commences employment (which includes a change to a new job title that requires him or her to file) if he or she commences employment with the Unified Court System from April 16th through December 31st of the year in which the deletion is requested.

(2) The request for the deletion shall include:

(i)the name, home address, work address, work telephone number, and job title of the employee requesting the deletion;

(ii)the information which the employee seeks to have deleted;

(iii)a statement in support of the employee's claim that the information that would otherwise be made available for public inspection will have no material bearing on the discharge of the employee's official duties, giving specific reasons and justifications therefor. Documentation supporting this statement may be annexed to a written request. If a request requires documentation, it can not be filed electronically.

(3) A written request for deletion must be signed by the employee requesting the deletion. All requests, written or electronic, must be filed with a complete financial disclosure statement containing the information sought to be deleted.

7400.4(d) Commission Action

(1) Upon receipt of a request for deletion of one or more items of information from the copy of the financial disclosure statement made available to the public, the Commission shall review the material filed to determine if the information will have a material bearing on the discharge of the employee's official duties.

(2) If the Commission determines that additional information would be useful, it may request such information from the employee requesting the deletion. The Commission, in its discretion, may request a meeting with the employee to discuss the deletion request.

(3) Unless the Commission decides by a majority of the total members of the Commission without vacancy that the information that would otherwise be required to be made available for public inspection will have no material bearing on the discharge of the employee's official duties, the Commission shall deny the request for deletion.

In applying the material bearing standard to decide deletion requests, the Commission weighs competing public and private interests including the following:

(i)Whether the disclosure of the information could pose a safety threat to the employee or his or her family, and the nature of that threat, including its seriousness and imminence;

(ii)Whether the information may relate in a substantial and important way to the employee's official duties;

(iii)Whether the information could reveal or relate to an actual or potential conflict of interest;

(iv)The employee's role in the judicial, administrative or managerial process of the Unified Court System;

(v)Whether the standard is being applied in the case of a spousal/child exemption request or a deletion request. The employee's burden is far greater when seeking an exemption request. The granting of an exemption request means that the relevant information will not be reported at all on the financial disclosure statement, while the granting of a deletion request means that the information will be reported on the financial disclosure statement, but deleted from the copy made available to the public;

(vi)Such other factors as may be relevant.

Judiciary Law 211(4) and 22 NYCRR Part 40 establish a strong public policy favoring disclosure. Thus employees otherwise required to file, who have requested deletions, must demonstrate that an individual exception to this policy is warranted.

(4) The Commission shall give written notice of its decision to the employee requesting the deletion.

SECTION 7400.5

PUBLIC INSPECTION OF FINANCIAL DISCLOSURE STATEMENTS

7400.5(a) Definitions

(1) "Commission" shall mean the Ethics Commission for the Unified Court System.

(2) "Employee" shall mean a state-paid judge, justice, officer or employee of the Unified Court System.

(3) "File" shall mean to make delivery to the offices of the Commission personally, electronically or by mail. The filing date shall be the date the document filed is received in the offices of the Commission.

(4) "Financial disclosure statement" shall mean the annual statement approved by the Chief Judge pursuant to subdivision 4 of section 211 of the Judiciary Law.

(5) "Rule" shall mean Part 40 of the Rules of the Chief Judge of the State of New York (22 NYCRR).

7400.5(b) Scope

Pursuant to section 40.1(p) of the Rule, the Commission shall make available for public inspection the information set forth in annual statements of financial disclosure required to be filed for the seven reporting years prior to and including the current year, except that categories of value or amount and the names of unemancipated children, and any other item of information deleted from public inspection by the Commission pursuant to section 40.1(I)(6) of the Rule, shall remain confidential and not available for public inspection. The Commission shall also make Notices of Delinquency available for public inspection.

7400.5(c) Statement Inspection Officer

(1) The Executive Director of the Commission is designated as the Statement Inspection Officer.

(2) The Statement Inspection Officer shall:

(i)maintain a current list of financial disclosure statements available for public inspection;

(ii)respond to all inquiries regarding public inspection of financial disclosure statements;

(iii)receive and process requests for public inspection of financial disclosure statements;

(iv)insure that information deleted from public inspection pursuant to law and regulation is not made available for public inspection;

(v)maintain a schedule of copying fees;

(vi)designate one or more members of the staff of the Commission to serve as Assistant Statement Inspection Officer; such Assistant(s) shall have the same function and responsibilities as the Statement Inspection Officer except as to the designation of other Assistants.

7400.5(d) Public Inspection of Statements

(1) Financial disclosure statements shall be available for public inspection, by appointment, at the Commission office at 25 Beaver Street, New York, New York, every day the office is open for business during the hours 10:00 A.M. through 12:00 P.M. and 2:00 P.M. through 4:00 P.M. Statements may be made available for public inspection at other times at the discretion of the Statement Inspection Officer.

(2) A person may obtain a copy of a financial disclosure statement in person, by mail, or by e-mail upon the payment of copying fees. The copying fee is $.25 per statement page for each statement copy obtained in person from the Commission office and an additional mailing fee of $1.00 for each statement copy mailed from the office. The same fees will apply to a filer's purchase of a copy of his or her own statement. The fees will be waived for all federal, state or local government agencies and departments.

(3) The financial disclosure statement of an employee who has filed an exemption or deletion request, or whose statement has been returned for revision, shall not be available for public inspection pending a decision on the request, or the receipt of the revised statement. The fact that an exemption or deletion request has been made will be kept confidential; the record and substance of the request will also be confidential and not available for public inspection.

(4) If the Commission has denied an exemption or deletion request, the financial disclosure statement of the employee who made the request shall not be available for public inspection for twenty-one (21) days from the date on which notice of the denial is mailed to the employee by the Commission.

(5) No documents pertaining to a request for public inspection shall be available for public inspection. The identities of public inspectors, and the fact that a statement has been inspected, are confidential and will not be made available to the public or to filers.

SECTION 7400.6

INVESTIGATION BY COMMISSION

7400.6(a) Definitions

(1) "Commission" shall mean the Ethics Commission for the Unified Court System.

(2) "Executive Director" shall mean the executive director of the Ethics Commission for the Unified Court System as appointed pursuant to section 40.1 (i)(1) of the Chief Judge's Rule.

(3) "Employee" shall mean a state-paid judge, justice, officer or employee of the Unified Court System.

(4) "File" shall mean to make delivery to the office of the Commission personally, electronically or by mail. The filing date shall be the date the document filed is received in the office of the Commission.

(5) "Financial disclosure statement" shall mean the annual statement approved by the Chief Judge pursuant to subdivision 4 of section 211 of the Judiciary Law.

(6) "Rule" shall mean Part 40 of the Rules of the Chief Judge of the State of New York (22 NYCRR).

7400.6(b) Scope

Pursuant to section 40.1(o)(2) of the Rule, the Commission is authorized to conduct any investigation necessary to carry out its responsibilities under the provisions of section 40.1. In the course of an investigation, the Commission is authorized to administer oaths or affirmations, subpoena witnesses, compel their attendance and require the production of any books or records or other materials which it may deem relevant or material.

7400.6(c) Procedure

(1) The subjects of a Commission investigation may include but are not limited to the timeliness or accuracy of an employee's filing of a financial disclosure statement, an employee's request for an extension of time to file, an employee's request for an exemption from the requirement to file, an employee's request for an exemption from reporting information pertaining to his or her spouse or child, or an employee's request for deletion of certain information from the copy of his or her statement made available to the public, or such other matters as arise in connection with the discharge of the Commission's duties.

(2) The Commission may contact the employee who did file, or should have filed, the financial disclosure statement that is the subject of the investigation, another employee, or any other person, to obtain information relevant to the investigation. This contact may be by telephone or by letter.

(3) If the employee or other person fails or refuses to respond to the telephone call or letter, or if the Commission has reasonable cause to believe that it is necessary or appropriate, the Commission may require the appearance of the employee or other person before the Commission, or, if so authorized by the Commission, one or more of its members, in which event the employee or other person shall be notified in writing of his or her required appearance either personally, at least ten days prior to such appearance, or by certified mail, to be deposited in the U.S. mail at least ten days prior to such appearance. Such written notice shall set forth the time and place of the appearance, the nature of the information the Commission is seeking, and the books, records or other materials that the employee or other person must present to the Commission.

(4) If the employee or other person fails to appear or secure an adjournment in response to such written notice, or fails to produce the sought after books, records or other materials, the Commission may compel his or her appearance and/or the production of the required books, records or other materials with a subpoena and/or subpoena duces tecum issued pursuant to CPLR 2303.

(5) The employee or other person may request, in writing, an adjournment of his or her appearance. An adjournment will be granted for good cause only. If the request is granted, the Commission will notify the employee or other person in writing of the new date.

7400.6(d) Appearance Before the Commission

(1) An employee or other person appearing before the Commission shall answer questions and produce the books, records or other materials sought by the Commission. He or she shall have the right to be represented by an attorney and to make an oral statement and to present relevant data and material, including a written statement. The attorney shall be permitted to advise the employee or other person and otherwise confer with her or him.

(2) At the commencement of the appearance, the Chair of the Commission, or his or her designee, may swear in the employee or other person by administering an oath or affirmation.

(3) The appearance may be recorded in any way permitted by the CPLR. If the appearance is recorded, a transcript shall be provided to the employee or other person without fee upon his or her written request.

7400.6(e) Commission Action

If the Commission finds that further action is necessary or appropriate, it may give written notification to the Chief Administrator of the Courts, the Commission on Judicial Conduct, or any other appropriate agency or authority of the results of its investigation and request that further action be taken. The Commission shall give written notification to the employee who was the subject of the investigation that it has determined that further action is necessary and that the matter has been referred to the Chief Administrator of the Courts, the Commission on Judicial Conduct, or other appropriate agency or authority.

SECTION 7400.7

FILING REQUIREMENTS FOR CERTAIN JUDICIAL CANDIDATES

7400.7(a) Definitions

(1) "Candidate" shall mean a candidate for public election to judicial office, who is required to file an annual statement of financial disclosure pursuant to 22 NYCRR Part 100. "Candidate" shall not mean a candidate for judicial office in the town and village courts.

(2)"Commission" shall mean the Ethics Commission for the Unified Court System.

(3)"File" shall mean to make delivery to the offices of the Commission personally or by mail. The filing date shall be the date the document filed is received in the offices of the Commission.

(4)"Financial disclosure statement" shall mean the annual statement of financial disclosure approved by the Chief Judge pursuant to subdivision 4 of section 211 of the Judiciary Law.

7400.7(b) Scope

(1)Pursuant to 22 NYCRR Section 100.5(A)(4)(g), a judge or a non-judge who is a candidate for public election to judicial office shall file a financial disclosure statement with the Commission within twenty days following the date on which he or she becomes a candidate. However, a judge or non-judge who is an officer or employee of the Unified Court System required to file an annual statement of financial disclosure pursuant to 22 NYCRR Part 40 is not required to file pursuant to 22 NYCRR Part 100.

(2)The Commission shall permit a candidate to request an additional period of time within which to file. This request will be granted if the Commission finds that there is justifiable cause for the extension or that the timely filing of the statement would cause undue hardship.

(3)The Commission shall permit a candidate to request that the Commission delete one or more items of information from the copy of his or her financial disclosure statement made available for public inspection. This request will be granted by the Commission upon a finding by a majority of the total number of its members without vacancy that the information that would otherwise be required to be made available for public inspection will have no material bearing on the discharge of the candidate's official duties should he or she be elected.

(4)The Commission shall make available for public inspection the information set forth in financial disclosure statements required to be filed for the seven reporting years prior to and including the current year, except that categories of value or amount and the names of unemancipated children, and any other item of information deleted from public inspection by the Commission pursuant to 22 NYCRR Section 40.1(1)(6) shall remain confidential and not available for public inspection.

7400.7(c) Procedure Regarding Filing Extension

(1) A candidate may request an extension of time to file a financial disclosure statement more than twenty days after he or she becomes a candidate by filing a written request with the Commission on or before the 20th day after he or she becomes a candidate.

(2) The request for the extension shall include:

(i)the name, home address, work address, work telephone number, and job title of the candidate requesting the extension;

(ii)a statement in support of the candidate's claim that an extension of time to file a financial disclosure statement is necessary due to justifiable cause or undue hardship, giving specific reasons and justifications therefor. Documentation supporting this statement may be annexed to the request;

(iii)the date certain by which the candidate will file his or her financial disclosure statement.

(3) The request for an extension must by signed by the candidate requesting the extension.

7400.7(d) Commission Action Regarding Extension Requests

(1) Upon receipt of a request for extension of time to file a financial disclosure statement, the Commission shall review the material filed to determine if there has been a showing of justifiable cause or undue hardship.

(2) If the Commission determines that additional information would be useful, it may request such information from the candidate requesting the extension. The Commission, in its discretion, may request a meeting with the candidate to discuss the extension request.

(3) Unless the Commission decides that there is justifiable cause for an extension of time to file a financial disclosure statement, or that timely filing of such statement would cause undue hardship, the Commission shall deny the request for an extension of time to file a financial disclosure statement.

(4) The Commission shall give written notice of its decision to the candidate requesting an extension of time to file. If the extension is granted, the decision shall include the date certain on or before which the candidate's financial disclosure statement must be filed. In the event the Commission determines that such written notice of its decision would not reach the candidate requesting the extension before the 20th day after he or she becomes a candidate, the Commission shall notify the candidate of its decision by telephone, to be followed by written notice of decision.

(5) Vacation periods, and the ordinary and necessary tasks, routines, and obligations of a candidate's personal and work life shall not constitute undue hardship or justifiable cause for an extension of time to file a financial disclosure statement.

(6) No extension of time to file a financial disclosure statement shall be granted to a candidate beyond thirty-five days after he or she becomes a candidate.

7400.7(e) Procedure Regarding Deletion Requests

(1) A candidate may request deletion of one or more items of information from the copy of the financial disclosure statement made available to the public by filing a written request with the Commission together with his or her financial disclosure statement.

(2) The request for the deletion shall include:

(i)the name, home address, work address, and work telephone number of the candidate requesting the deletion;

(ii)the information which the candidate seeks to have deleted;

(iii)a statement in support of the candidate's claim that the information that would otherwise be made available for public inspection will have no material bearing on the discharge of the candidate's official duties, if he or she is elected, giving specific reasons and justifications therefor. Documentation supporting this statement may be annexed to the request.

(3) The request for deletion must be signed by the candidate requesting the deletion, and must be filed with a complete financial disclosure statement containing the information sought to be deleted.

7400.7(f) Commission Action Regarding Deletion Requests

(1) Upon receipt of a request for deletion of one or more items of information from the copy of the financial disclosure statement made available to the public, the Commission shall review the material filed to determine if the information will have a material bearing on the discharge of the candidate's official duties, if he or she is elected.

(2) If the Commission determines that additional information would be useful, it may request such information from the candidate requesting the deletion. The Commission, in its discretion, may request a meeting with the candidate to discuss the deletion request.

(3) Unless the Commission decides by a majority of the total members of the Commission without vacancy that the information that would otherwise be required to be made available for public inspection will have no material bearing on the discharge of the candidate's official duties, if he or she is elected, the Commission shall deny the request for deletion.

In applying the material bearing standard to decide deletion requests, the Commission weighs competing public and private interests including the following:

(i)Whether the disclosure of the information could pose a safety threat to the candidate or his or her family, and the nature of that threat, including its seriousness and imminence;

(ii)Whether the information may relate in a substantial and important way to the candidate’s official duties, if he or she is elected;

(iii)Whether the information could reveal or relate to an actual or potential conflict of interest;

(iv)Such other factors as may be relevant.

Judiciary Law 211(4) and 22 NYCRR Part 40 establish a strong public policy favoring disclosure. Thus candidate otherwise required to file, who have requested deletions, must demonstrate that an individual exception to this policy is warranted.

(4) The Commission shall give written notice of its decision to the candidate requesting the deletion, by overnight mail. The Commission shall also advise the candidate of its decision by telephone.

7400.7(g) Public Inspection of Statements

(1) Financial disclosure statements shall be available for public inspection, by appointment, at the Commission office at 25 Beaver Street, New York, New York, every day the office is open for business during the hours 10:00 A.M. through 12:00 P.M. and 2:00 P.M. through 4:00 P.M. Statements may be made available for public inspection at other times at the discretion of the Statement Inspection Officer.

(2) A person may obtain a public inspection copy of a financial disclosure statement in person, by mail, or by e-mail upon the payment of copying fees. The copying fee is $.25 per statement page for each statement copy obtained in person from the Commission office and an additional mailing fee of $1.00 for each statement copy mailed from the office. The fees will be waived for all federal, state or local government agencies and departments.

(3) The financial disclosure statement of a candidate who has filed a deletion request shall not be available for public inspection pending a decision on the request.

The fact that a deletion request has been made will be kept confidential; the record and substance of the request will also be confidential and not available for public inspection.

(4) If the Commission has denied a deletion request, the financial disclosure statement of the candidate who made the request shall not be available for public inspection for three days from the date on which notice of the denial is mailed to the candidate by the Commission.

(5) No documents pertaining to a request for public inspection shall be available for public inspection. The identities of public inspectors, and the fact that a statement has been inspected, are confidential and will not be made available to the public or to filers.

(6) Pursuant to section 40.1 of the Chief Judge's Rule, the Commission shall make available for public inspection the information set forth in statements of financial disclosure required to be filed for the seven reporting years prior to and including the current year, except that categories of value or amount and the names of unemancipated children, and any other item of information deleted from public inspection by the Commission pursuant to section 40.1(I)(6) of the Rule, shall remain confidential and not available for public inspection.