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Ethics:

Frequently Asked Questions:

Financial Disclosure Statement Filers

Who has to file an Annual Statement of Financial Disclosure?

All employees designated as policy makers by their appointing authority, regardless of annual compensation, and employees with an annual compensation exceeding the filing rate

When do I have to file my Annual Statement of Financial Disclosure?

You will receive an advance email notice from Human Resource Services, followed by an email notice from the New York State Joint Commission on Public Ethics (JCOPE). Unless notified otherwise by JCOPE, the filing deadlines are as follows:

  • Faculty must file no later than November 15th of each year;
  • Policy-makers and other full-time employees, with limited exceptions, earning above the filing rate must file no later than May 15th of each year.

What is the definition of a "policy maker"?

At Stony Brook University the 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.

I am a faculty member and policy maker. Do I have to file twice?

You are only required to file one Annual Statement of Financial Disclosure annually.

I was hired this year. Do I have to file?

If you received a notice to file, then you must file.

If I am on sabbatical, or a paid/unpaid leave during the filing period, must I file?

You are required to file within 30 days of returning to active status.

How can I be excused from the requirement to file an Annual Statement of Financial Disclosure?

All employees, with the exception of policy makers, can request an exemption from the Joint Commission on Public Ethics. Go to jcope.ny.gov to complete the Individual Exemption Application.

What is an exemption?

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

How do I request an exemption?

To request an exemption, go to jcope.ny.gov to complete the Individual Exemption Application.

  • Policy Makers cannot be granted an exemption.
  • Faculty must provide a recent annual report or self-prepared written description of duties which includes whether or not 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.

How long will my exemption be valid?

Your exemption is valid as long as you remain in the same title and agency without any changes.

If I applied for an exemption and I have not received a decision by the filing deadline, must I file?

If you applied for an exemption by the filing deadline, then you can wait for a response from the Joint Commission on Public Ethics (JCOPE). If your request is denied they will provide you with a new filing due date.

I was granted an exemption previously, do I have to file?

As long as you continue to serve in the same title and agency without change you will not have to file.

Post Employment Restrictions for State Employees

What is the 2 Year Bar?

The two year bar, also known as the "revolving door restriction", prohibits former employees, including Graduate Assistants and Teaching Assistants, from appearing, practicing or rendering compensated services on behalf of a client on any matter before his/her former State agency within two years after terminating state employment.

What is the Lifetime Bar?

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.

Which employees are covered under the 2 Year Bar statute?

The "revolving door restriction" applies to all former state officers and employees, including seasonal and temporary employees, without regard to level of responsibility or exercise of discretion.

Can we hire a former Stony Brook State employee as an independent contractor if he/she left Stony Brook employment less than two years ago?

Former State employees are prohibited from appearing before their former agency for two years from their termination date, or the last date on the payroll.

Can we hire a former State employee, not employed by Stony Brook University, as an independent contractor if he/she left their employment less than two years ago?

Yes. You would be able to hire them provided they meet the guidelines of the IRS for independent contractors. The post-employment restriction only prohibits former employees from returning to their former agency. In this case, the former agency is not Stony Brook.

If we want to hire an employee working at another SUNY campus as an independent contractor, are we permitted to do that?

No. Current SUNY employees cannot be hired as independent contractors by another SUNY agency. However, they can be paid through the extra service process. Additional information can be found on our website. stonybrook.edu/hr/misc/es/

Is the Research Foundation permitted to hire a former Stony Brook State employee as an independent contractor if he/she left Stony Brook employment less than two years ago?

There is no law, rule or regulation that prohibits a former SUNY employee from joining the Research Foundation as an employee or working for them as an independent contractor (if the IRS test for Independent Contractor is confirmed). This would include Graduate/Teaching Assistants who worked as State employees. (Participants in the Stony Brook Voluntary Separation Program may have limitations.)

Does the 2 Year Bar apply to students?

Student Assistants, who meet the IRS test for independent contractors, may be paid as independent contractors. However, former Graduate or Teaching Assistants cannot be hired as independent contractors for a period of two years from date of termination.