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NYC Conflicts of Interest Board

Legal Analysis of Section 12-110

  Below you will find links to materials that examine various aspects of the Financial Disclosure Law.

Legal Analysis
  

●  "Annual Disclosure" Section from the Board's Current Monograph (in PDF)
●  Ethics in Gov't Act - Financial Disclosure (Article) (in PDF)
●  The January 1, 2004 NYC Financial Disclosure Law (Article) (in PDF)
●  Annual Disclosure FAQs (plain language leaflet) (in PDF)


Annual Disclosure Appeal Decisions

On February 11, 2016, the Board found that a DOT attorney whose suggested contract language which altered the criteria for bidders was required to file a financial disclosure report because his suggested changes could have affected the agency’s choice of contractors. See Board order 2016-2 (in PDF).      

 On March 24, 2015, the Board found that two DCAS employees with the civil service and office titles of Assistant Architect/Director of Roofs and Scaffolds and Landscape Architect II/Project Manager, respectively, are required to file annual disclosure reports because they have contracting responsibilities. See Board order 2015-1 (in PDF).     

Pursuant to the Financial Disclosure Appeals Process, appeals granted on default are granted only for that calendar year, and the agency may place the employee on the list of required filers the following year.  On March 19, 2014, the Board dismissed the agency’s motion for reconsideration of its November 7, 2013, decision, finding that the only remedy in the Financial Disclosure Appeals Process for an appeal being granted on default was for the agency to place the employee on the list of required filers the following year.  See Board order 2014-1 (in PDF).     

On November 7, 2013, the Board found that an agency’s failure to provide employees with the full 14-day period to submit written materials in support of their appeals resulted in the appeals being granted on default. See Board order 2013-4 (in PDF).

On September 26, 2013, the Board found that certain Special Consultants employed by the Department of Health and Mental Hygiene are required to file an annual disclosure report because they have contracting responsibilities but other Special Consultants who do not have such duties are not required to file.  See Board order 2013-3 (in PDF).

On August 22, 2013, the Board ruled that an agency's premature determination of an appeal, failure to provide reasons for its decision, or failure to timely determine an appeal in and of itself will result in an appeal being granted on default. See Board order 2013-2 (in PDF).

On April 10, 2013, the Board ruled that DCAS Project Architects were not required to file annual disclosure reports but those with other titles (e.g., Project Manager, Assistant Director, Mechanical Engineer, and Associate Project Manager) were required to file annual disclosure reports. See Board order 2013-1 (in PDF).

On September 20, 2012, the Board ruled that tax conciliators in the Department of Finance are required to file annual disclosure reports. See Board order 2012-3 (in PDF).

On August 28, 2012, the Board held that the 14-day period in which an agency must render its decision commences 14 days after the date of the filing of the Notice of Appeal, i.e, the date the written statements are due, and that the agency must wait until expiration of this period before rendering its decision on a annual disclosure appeal. See Board order 2012-2 (in PDF).

On April 19, 2012, the Board found that an agency’s failure to set forth any reasons for its denial of an employee’s appeal is a failure to respond within the required time frame and granted the employees’ appeals on default. See Board order 2012-1 (in PDF).

The Board’s order finding that claims specialists in the Office of the Comptroller were required to file annual disclosure reports was upheld in State Supreme Court. Click the links to view the Board order and the Court Decision (in PDF).

● Financial Disclosure Appeals Process Agreed to by the City and DC37 (in PDF)

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