Annual Disclosure Appeals

 

One April 19, 2019, the Board granted the appeals of nine DOF Tax Auditors and determined they were not required to file for calendar year 2017. See Board Order 2019-04.

On March 12, 2019, the Board found that a DEP employee was directly and substantially involved in the discretionary process of recommending to whom a micro-purchase was awarded and denied his appeal. See Board Order 2019-03.

On March 12, 2019, the Board granted the appeal of a DEP employee stating that her duties were ministerial in nature as per Board Rules § 4-04(b). See Board Order 2019-02.

On January 31, 2019, the Board determined that a claims specialist in the Comptroller’s Officer was required to file an annual disclosure report for calendar year 2017. The employee’s filing requirement was based on her involvement in the negotiation and determination of the terms of claim settlements, not the dollar amount of her settlement authority. See Board Order 2019-01.

On November 30, 2018, the Board determined that an SCA employee with the civil service title of Project Officer II was required to file an annual disclosure report for calendar year 2017 based on his substantive and direct recommendations on change orders and payment requisitions relating to SCA construction projects. See Board Order 2018-01.

On May 17, 2017 the Board determined that six Senior Construction Assessment Specialists at the School Construction Authority (SCA) were required to file Annual Disclosure Reports for calendar year 2015. See Board Order 2017-03.

On March 7, 2017 the Board granted the appeals of two DOB employees on default. See Board Order 2017-01 & Board Order 2017-02.

On December 16, 2016, the Board found that the duties of two DCAS employees did not change sufficiently since the Board denied their appeals in 2013 (see FD Order 2013-01) to require the filing of a financial disclosure report for calendar year 2015. See Board order 2016-03.

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.

On January 28, 2016, the Board granted on default the appeal of a DCAS employee because the agency failed to provide requested information. See Board order 2016-01.

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.    

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.    

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.

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.

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.

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.

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.

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.

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.

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.

‚óŹ Financial Disclosure Appeals Process Agreed to by the City and DC37