Dear Colleagues, 

Many of you have asked questions about the new requirement to fill out the New York State Ethics Commission Financial Disclosure Form.  The first thing you should know is that if you make over $70,851 you must take one of the following two courses of action: 

1) Apply for an exemption immediately, before November 1, 2004.

2) File the financial disclosure form no later than November 15, 2004. 

For those members making over $70,851, New York State law requires you to either seek an exemption or file the financial disclosure form.  Filing is done directly with the New York State Ethics Commission and failure to file may subject you to fines. 

You should have received communications from Frederick Schaffer, CUNY Vice Chancellor for Legal Affairs, explaining how to file the exemption and the disclosure forms.  I have asked PSC’s legal counsel to provide you with further guidance to help you complete the financial disclosure form.  Please find Stuart Lichten’s memorandum to me enclosed. 

If you choose to file the exemption, please do so immediately so that you will have reasonable assurance that the Ethics Commission will be able to respond to your request by the November 15^th filing deadline.  Our attorneys advise us that the law requires you to either have received an exemption or filed the financial disclosure form by the November 15^th deadline.  If you have not received an exemption by the November 15^th deadline, our attorneys advise you to file the financial disclosure form by that date. 

            Helpful Websites: 

            http://www.dos.state.ny.us/ethc/SUNY.html

            http://www.dos.state.ny.us/ethc/pdfs/individualform.pdf 

Visit the PSC/CUNY website (www.psc-cuny.org)  for the above links and other helpful instructions. 

What can we do about it?  At this point, our legal counsel believes changing the procedure requires a change in the law.  We have begun conversations with the CUNY Chancellory, our sister union, UUP, and our state affiliate, NYSUT, to explore ways to change the law so that we can return - at the very least - to the status quo ante. 

Meanwhile, the PSC will be as helpful as possible in providing you with assistance in filling out this form.  If you still have questions about completing this form, please call Clarissa Weiss at (212) 354-1252. 

In solidarity, 

Steve London
PSC First Vice President

printer friendly version (pdf)

MEMO TO: Steve London
FROM: Stuart Lichten
RE: Financial Disclosure

DATE: October 11, 2004

            New York State law provides that all “state employees” must complete a financial disclosure form.  The wording of the form itself is part of the statute.  Until recently, the State Ethics Commission allowed academic filers to submit a “short form,” but the Commission is no longer accepting less than the statutorily mandated statement.  This requirement, however, may not be as onerous as it initially appears, if employees carefully read the questions and provide only the requested information. 

            First of all, “state employee” is defined as employees whose salary is at or above the SG-24 Civil Service level.  Therefore, anybody who now earns less than $70,851, and is not a policymaker, does not have to file at all.  Even those earning more than $70,851 may apply for an exemption from the State Ethics Commission, and exemptions will probably be granted unless the employee is a policymaker, is applying for or receiving grants, or is involved in purchasing.  A request for an exemption must be submitted by November 1.  If an exemption request is denied, the employee has 20 days from the denial or until November 15, whichever is later, to file the financial disclosure form.  An exemption request must be filed every year. 

            Employees in “policymaking positions” must file whatever their salary.  To be in a policymaking position, CUNY must have filed by February 28 a written statement with the Ethics Commission designating specific employees, by name, as policymakers.  CUNY also must notify the specified employees, in writing, of their designation. 

            Employees are not, of course, required to supply more information than what is requested.  For example:

            Question 4:  Outside Positions:  You only have to give outside “offices” or other types of “positions.”  You do not have to list memberships in organizations. 

            Question 5:  Outside Employment:  You only have to list employment of spouse or “unemancipated” children (under 18 who live at home) if they regularly do business with State or local government or if their business is regulated by the State. 

            Question 7:  Political Activities:  You only need to list “officer” positions with a “party” or “independent body” as defined by the N.Y. Election Law.  “Party” is defined as parties whose most recent gubernatorial candidate received at least 50,000 votes, i.e., the Democratic, Republican, Working Families, Green, Conservative, and Right to Life Parties.  “Independent body” is defined as any organization that nominates candidates for elections. 

            You do not, therefore, have to list party memberships or registrations, participation in campaigns, or anything at all regarding nonpartisan political organizations, such as antiwar groups or the ACLU.  You only have to list party positions, such as Republican District Leader, Democratic State Committee member, or Green Party Secretary-Treasurer. 

            Question 9:  Gifts:  You do not have to report gifts from relatives or inheritances. 

            The disclosure statements, by law, are public, except for:  (1) your address, and (2) dollar amounts.  You can also apply to the Ethics Commission’s Public Advisory Council to keep other portions of the form confidential.

printer friendly version (pdf)