N.Y. General Municipal Law § 811: Promulgation of form of annual statement of financial disclosure; authority of governing body with respect to persons subject thereto

§ 811. Promulgation of form of annual statement of financial

disclosure; authority of governing body with respect to persons subject

thereto. 1. (a) The governing body of each political subdivision may,

not later than January first, nineteen hundred ninety-one, and the

governing body of any other municipality may at any time subsequent to

the effective date of this section, adopt a local law, ordinance, or

resolution: (i) wherein it promulgates a form of annual statement of

financial disclosure which is designed to assure disclosure by municipal

officers and employees, which for the purposes of this section, the

definition for which shall be modified so as to also include a city with

a population of one million or more, and (in the case of a political

subdivision or any other county, city, town or village) which is

designed to assure disclosure by local elected officials and/or by local

political party officials of such financial information as is determined

necessary by the governing body, or (ii) wherein it resolves to continue

the use of an authorized form of annual statement of financial

disclosure in use on the date such local law, ordinance or resolution is

adopted. In either event, such local law, ordinance or resolution if and

when adopted shall specify by name of office or by title or

classification those municipal officers and employees and (in the case

of a political subdivision or any other county, city, town or village)

those local elected officials and/or those local political party

officials which shall be required to complete and file such annual

statement.

(a-1) In a city with a population of one million or more, such local

law, ordinance or resolution shall require, on two or more types of

forms for annual statements of financial disclosure, disclosure of

information that could reveal potential conflicts of interest as defined

by chapter sixty-eight of the New York city charter.

(i) The disclosure required by such law, ordinance or resolution of

such city shall, at a minimum, include information about any non-city

employment or interests that may give rise to a conflict of interest,

including, but not limited to, interests of the filer and his or her

spouse or registered domestic partner, and unemancipated children, in:

(A) real property located in such city, and (B) positions or business

dealings with, financial interests in, or gifts from, any persons or

firms or entities engaged in business dealings with such city.

(ii) In any such city, local elected officials and compensated local

officers and employees, as defined in subdivisions two and three,

respectively, of section eight hundred ten of this article, shall, at a

minimum, disclose in addition to the information required by

subparagraph (i) of this paragraph: (A) interests in a firm where the

value of the interest is ten thousand dollars or more; (B) where the

official, officer, or employee holds a policy-making position with such

city, membership in the national or state committee of a political party

or service as assembly district leader of a political party or service

as the chair or as an officer of the county committee or county

executive committee of a political party; (C) the names and positions of

any spouse or registered domestic partner, child, stepchild, brother,

sister, parent or stepparent holding a position with any such city; (D)

each volunteer office or position held by the filer or his or her spouse

or registered domestic partner with any not-for-profit organization

engaged in business dealings with such city, except where the person

volunteers only in a non-policymaking, non-administrative capacity; and

(E) agreements between the filer and any person or firm or entity

engaged in business dealings with such city for future payment to or

employment of the filer.

(iii) For purposes of this paragraph, the term "firm" shall have the

same meaning as set forth in subdivision eleven of section twenty-six

hundred one of the New York city charter.

(b) The governing body of a political subdivision or any other county,

city, town or village, which requires the completion and filing of

either of such forms of annual statements of financial disclosure by

local or municipal officers and employees and/or by local elected

officials shall have the power, if it so chooses, to require the

completion and filing of such annual statements of financial disclosure

by local political party officials as if such officials were officers or

employees of such county, city, town or village, provided however, that

a person who is subject to the filing requirements of both subdivision

two of section seventy-three-a of the public officers law and of this

subdivision may satisfy the requirements of this subdivision by filing a

copy of the statement filed pursuant to section seventy-three-a of the

public officers law with the appropriate body, as defined in section

eight hundred ten of this article, on or before the filing deadline

provided in such section seventy-three-a, notwithstanding the filing

deadline otherwise imposed by this subdivision.

(c) The governing body of a political subdivision or any other county,

city, town or village which requires any local or municipal officer or

employee or any local elected official or any local political party

official to complete and file either of such annual statements of

financial disclosure shall have, possess, exercise and enjoy all the

rights, powers and privileges attendant thereto which are necessary and

proper to the enforcement of such requirement, including but not limited

to, the promulgation of rules and regulations pursuant to local law,

ordinance or resolution, which rules or regulations may provide for the

public availability of items of information to be contained on such form

of statement of financial disclosure, the determination of penalties for

violation of such rules or regulations, and such other powers as are

warranted under the circumstances existing in its county, city, town or

village.

(d) The local law, ordinance or resolution, if and when adopted, shall

provide for the annual filing of completed statements with the board of

ethics of the political subdivision or other municipality and shall

contain the procedure for filing such statements and the date by which

such filing shall be required. If the board of ethics is designated as

the appropriate body, then such local law, ordinance or resolution shall

confer upon the board appropriate authority to enforce such filing

requirement, including the authority to promulgate rules and

regulations. Any such local law, ordinance or resolution shall authorize

exceptions with respect to complying with timely filing of such

disclosure statements due to justifiable cause or undue hardship. The

appropriate body shall prescribe rules and regulations related to such

exceptions with respect to extensions and additional periods of time

within which to file such statement including the imposition of a time

limitation upon such extensions.

(e) Nothing herein shall be construed to prohibit a political

subdivision or other municipality from promulgating the form of annual

financial disclosure statement set forth in section eight hundred twelve

of this article. Promulgation of the same form of annual financial

disclosure statement set forth in section eight hundred twelve of this

article shall not be deemed an automatic election to be subject to the

provisions of such section.

2. In the event that a political subdivision fails by January first,

nineteen hundred ninety-one to promulgate, or fails by such date to

elect to continue using, a form of annual statement of financial

disclosure in the manner authorized in subdivision one of this section

then the provisions of section eight hundred twelve of this article

shall apply on and after such date to any such political subdivision

subject to the provisions of subdivision three of such section eight

hundred twelve.