In Advisory Opinion No. 90-15, dated June 21, 1990, the New York State Ethics Commission ("Commission") determined that academic employees of the City University of New York ("CUNY") could meet the financial disclosure filing requirements of Public Officers Law §73-a by filing a short form with their respective appointing authorities. In Advisory Opinion No. 93-06, the Commission permanently adopted the short form process for CUNY academic employees. The ruling resulted in the inclusion of one question on CUNY's pre-existing Multiple Position Report Form. The Commission delegated to the individual CUNY campuses the responsibility for collecting and auditing the information received, to identify conflicts or potential conflicts of interest.

In Advisory Opinion 03-06, the Commission revisited these earlier opinions, including the rationale which lead to the short form filing process and determined that it would end the financial disclosure process applied to academic employees of the State University of New York ("SUNY") created by Advisory Opinion No, 90-15 and rendered as permanent in Advisory Opinion No. 93-06.. The Commission delayed application of the opinion to academic employees of the CUNY system, pending discussions with the CUNY administration and the Professional Staff Congress, the labor representative to CUNY academic employees.

As CUNY academics are similarly situated to their SUNY counterparts and because there. appears to be no convincing rationale, as discussed in Advisory Opinion No. 03-06, for retaining the short form filing process, the Commission concludes that the financial disclosure process created and embodied in Advisory Opinion Nos. 90-15 and 93-06 is hereby discontinued for academic employees of CUNY.

Beginning with the 2003 filing year*, academic employees of the CUNY system, who earn in excess of the filing rate, will be required to complete the statutorily mandated financial disclosure statement set forth in Public Officers Law §73-a, by November 15, 2004**. Electronic filing of the financial disclosure statements, currently available to all State employees, will be made available to all academic employees of CUNY. In addition, any CUNY academic employee who is not engaged in obtaining grants or any other activity as specified in Executive Law §94(9)(k), may seek an exemption from filing the statutory disclosure statement.
*** The Commission will no longer require a supplemental financial disclosure filing for grant applicants. Nothing contained in this opinion will affect those CUNY employees who have been designated as policymakers and non-academic employees who earn in excess of the filing threshold who annually file with the Commission by May 15th.

This opinion, unless and until amended or revoked, is binding on the Commission in any subsequent proceeding concerning the person who requested it and who acted in good faith, unless material facts were omitted or misstated by the person in the request for opinion or related supporting documentation.

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* Public Officers Law §73-a(l)(c)(ii) requires employees of State agencies who are designated as policy-makers by their appointing authority or who earn an annual salary in excess of the job rate of State Grade 24 [See, Public Officers Law §73-a(1)(1)] to file the annual statement of financial disclosure. The term "State agency" includes CUNY [See, Public Officers Law §73(1)(g)].

** The Commission is extending the statutory deadline for submission of the statements by CUNY academics to November 15' for reasons attendant to the academic calendar year [See, Public Officers Law §73-a(2)(a)].

*** Policymaking employees may not seek such an exemption [See, Executive Law §94(9)(k)].

As you probably know from reading the edition of "CUNY e-News" sent out electronically on September 7, 2004, the New York State Ethics Commission has issued a ruling that beginning this fall semester, academic employees (faculty) of the CUNY system will be required to file the statutorily mandated financial disclosure statement set forth in Public Officers Law Section 73-a. The State Ethics Commission required SUNY faculty to begin filing last year.

The financial disclosure statement for the 2003 calendar year will be due by November 15, 2004. We have been working with the State Ethics Commission to insure a smooth transition. In addition, we have eliminated question "D" from the CUNY multiple position form on all paid employment for the prior academic year. Not every faculty member will have to file the financial disclosure form. Faculty members at or under the threshold salary of $70,851 will not be required to file. In addition, those over the threshold salary will be able to apply for exemptions which arc likely to be granted by the State Ethics Commission except to faculty members who are receiving grants, are department chairs or program heads, or are involved with purchasing or contracting activity. If your annual salary is less than or equal to $70,851, you will not have to file a financial disclosure form and should therefore not request an exemption.

You may download the exemption form and page 2 of the instructions which applies to academic employees (faculty) here. All requests for exemption must be postmarked no later than November 1, 2004. Exemptions granted to faculty are effective for one year only, and exemption requests must therefore be made annually. You are not required to and should not file a copy of the form with your college or the University. While the exemption form asks for a copy of your job description, you need not include copies of the CUNY Bylaw descriptions since they have already been provided to the State Ethics Commission. Consistent with the General Instructions for Academic Employees attached to the form, you only need to provide the State Ethics Commission with a description of any (1) purchasing or contracting activities, (2) administrative duties such as chair or director of a department or program, and (3) whether you are receiving externally funded grants.

Faculty members earning over the threshold salary of $70,851 will be receiving notices from the State Ethics Commission, probably in early October, informing them of their obligation to file, providing instructions and giving them their Password and User ID (user identification code) necessary to file electronically. Under the electronic filing system, once the initial year's form is filed, subsequent annual filings only require changes to be made to the prior year's farm.

If you wish to review the Financial Disclosure Form,
click here: Financial Disclosure Statement for 2003

To print out forms and instructions,
click here: Instructions for Financial Disclosure Statement for 2003

To print out application,
click here: Exemption from FDS Filing Requirement

You may also call the State Ethics Commission, at 1-800-87ETHICS to request a form and instructions.