Ethics

Financial Disclosure Statements ("FDS")

Financial Disclosure Statements ("FDS") are publicly available filings for certain public officers and employees. Completion of this form is required by Section 73a of thePublic Officers Law.

Who has to file?

• All employees designated as policymakers by their appointing authority, regardless of their annual compensation.
• Employees with an annual compensation that exceeds the Salary Threshold.
• If you meet both the Salary Thresholdand policymaker criteria, you only need to file once.
• Regardless of your hire date, if you received a notice to file then you must file.
  
  

Who is a Policymaker?

At Stony Brook University, policy-makers are members of the University Council, Vice Presidents, Associate Vice Presidents, Deans, and Associate Deans, including anyone who serves "Interim" in any of these positions.

How do I file?

If you are required to file, you will receive an email notice from our Human Resources office as well as an email notice from ethel@ethics.ny.gov outlining the most up-to-date FDS Filing Deadlinesand your next steps.

If you applied for an exemption by the FDS Filing Deadlinesand have not received a decision, then you can wait for a response from the NYS Commission on Ethics and Lobbying in Government (COELIG). If your request is denied, they will provide you with a new filing due date.

Need an Extension?

If you require an additional extension of time to file your FDS, you may make that request through your COELIG profile. Extensions must be received or postmarked on or before the FDS Filing Deadlines; COELIG does not accept late requests.

Need Help? For FDS help, call (800) 87-ETHICS (800-873- 8442) and press option 3 to speak to an FDS Filings Specialist.

Need to Request an Exemption?

An exemption excuses the individual from the requirement to file an Annual Statement of Financial Disclosure.

Who can request an exemption?

All employees, except policymakers, can request an exemption from the NYS Commission on Ethics and Lobbying in Government. Policymakers cannot be granted an exemption.

How to apply for an exemption?

Complete the Individual Exemption Applicationby the FDS Filing Deadlines.Exemption requests must be received or postmarked on or before the FDS Filing Deadlines; COELIG does not accept late requests.

• Faculty must provide a recent annual report or self-prepared written description of duties which includes whether you are involved in:

a) Purchasing or contracting activities
b) Administrative duties such as chair or director of a department or program
c) Whether you receive externally funded grants

• Non-faculty must provide an official job description. If unavailable, then include a copy of your most recent performance evaluation.

Already applied for an exemption?

If you applied for an exemption by the FDS Filing Deadlinesand have not received a decision, then you can wait for a response from COELIG.

Approved?

You will receive an email from ethel@ethics.ny.gov. As long as you continue to serve in the same title and agency without change you will not have to file again.

Denied?

You will receive an email from ethel@ethics.ny.gov and they will provide you with a new filing due date.

Need Help? For further information, please contact the Commission directly at (518)408-3976 or ethel@ethics.ny.gov, or visit the website at https://ethics.ny.gov/.

Post-employment Restrictions

An overview of the restrictions that apply to state officers and employees when they leave State service.

The purpose of the post-employment restrictions is to prevent you from using the knowledge, experience, and professional contacts gained throughout your career in State service to benefit either yourself or someone, thereby securing unwarranted privileges, consideration, or action.

Who is covered?

Also known as the "revolving door restriction," the 2-year bar applies to all former state officers and employees, including seasonal and temporary employees, without regard to level of responsibility or exercise of discretion.

Post-Employment Restrictions

Public Officers Law Handbook

Two-Year Bar: Appear or Practice

The two-year bar applies once you leave State service and prohibits you from:

⇒appearing or practicing before your former agency, and;

⇒rendering services for compensation, in relation to any case, proceeding, application, or other matter before your former agency.

The Lifetime Bar

The lifetime bar will prohibit you from ever working on a matter that was handled by top level agency staff.

The lifetime bar prohibits a former state officer or employee from providing services regardless of compensation and from rendering services for compensation, in relation to any case, proceeding, application or transaction with respect to which the former employee was directly concerned and in which he or she personally participated or which was under his or her active consideration while in State service.

Ethics Laws & Regulations