Dear Filer:
It is time for non-academic Baruch College personnel in “policy-making” positions to file Annual
Financial Disclosure Statements (“FDS”) for calendar year 2013. Academic filers will file by November
15, 2014 and will receive a reminder email. It is also time for all academic and non-academic Baruch
College personnel, regardless of the “policy-making” designation, to file Honoraria Reports
(“Honoraria”) for the period April 1, 2013 to March 31, 2014. The deadline for filing the FDS is
Thursday, May 15, 2014 and the deadline for reporting Honoraria to the Baruch College Ethics Officer
is May 1, 2014. This memorandum and the attachments from the CUNY Office of General Counsel and
the New York State Joint Commission on Public Ethics (“JCOPE”) will provide you with the
information necessary to file in timely manner.
I.
Financial Disclosure Statements
Who Must File
Section §73-a of the Public Officers Law requires all employees in “policy-making” positions and all
non-exempt employees who earn $90,020 or greater in calendar year 2013 to file an FDS. The purpose of
requiring financial disclosures is to highlight any potential conflicts of interest that may exist for you as a
public employee. The FDS will request information about items such as major assets, sources of income,
sources of gifts, real property, liabilities, offices held with a political party, and outside employment.
A “policy-maker” is defined as an employee who: (1) manages a group of people or processes with
financial implications; (2) deals with vendors; administers contracts, grants, franchises, revocable
consents, concessions, variance, or special permits; (3) negotiates or approves leases, permits, or licenses;
or (4) is involved in the sale or rental of goods, services, or real property.
Department Chairs are included in the definition of “policy-maker” because they possess discretionary
policy-making authority, manage the department and support staff, and have purchasing authority
(however limited). Therefore, Department Chairs must file an FDS by May 15, 2014, even if they filed
as an Academic Filer by the November 15, 2013 deadline. JCOPE will not grant Department Chairs an
exemption from filing.
Newly hired employees must file an FDS within thirty (30) days of being appointed to a covered
position. Employees promoted into a policy-making position, newly designated a policy-maker, or
whose salary has now reached the $90,020 threshold, must also file an FDS within 30 days of the
qualifying event.
JCOPE Notification
You will soon receive an email from JCOPE on your CUNY email account. You will not receive
notification on your personal email account. This email will contain a link that will direct you to the
JCOPE filing site. If that link does not work, you can also go to the JCOPE webpage and select “Ethics
Online Financial Disclosure System.” Once you are there, you can obtain your password and file online. This is a change from previous years when your password was mailed in advance.
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Exemptions and Extensions
You can file directly for exemptions (non-policy-makers may apply for exemptions) & extensions (two
types of extensions – Justifiable Cause/Undue hardship & IRS extension) on the website or by printing
the appropriate form off the website and mailing it to the Commission (address on website). The
exemption and extension forms must be postmarked by May 15, 2014 to file for an exemption or
extension for the May 15, 2014 FDS filing. You may check the status of your exemption or extension
request on your profile on the JCOPE website. Please note that if you are filing for an exemption JCOPE
DOES NOT accept copies of the CUNY By-laws, which contains job titles. You must describe your job
per the instructions on the website and upload your official Baruch College job description or most recent
performance evaluation. Incomplete requests will not be accepted. You do not have to file annually for
exemptions if your circumstances have not changed (same title/duties).
Filing Deadline
As previously stated, the deadline for filing your Financial Disclosure Statement is May 15, 2014. The
on-line system is available 24 hours a day and can be accessed on the JCOPE webpage. Should you have
any questions about the electronic filing system, you should call the “Help Line” for financial disclosure
questions at (518) 474-3973. The office is open from 8:30 a.m. to 4:30 p.m. on business days.
Penalty for Non-Compliance
Each FDS will be reviewed by JCOPE for compliance. Employees who fail to file an FDS or who file a
deficient FDS will be notified by JCOPE of the non-compliance at their CUNY email addresses. All
notices of non-compliance will be posted on the JCOPE website and sent to Baruch College. If,
following a written notice, an employee fails to file an FDS or knowingly and willfully with intent to
deceive makes a false statement or provides information which the employee knows to be false, that
employee is subject a civil penalty of up to $40,000 and the posting of the employee’s name as a
delinquent filer on the JCOPE website.
III.
Honoraria
Who Must File
All CUNY employees in academic and non-academic titles must comply with the attached rules on the
“Limitations on the Receipt of Honoraria and Reimbursement for Travel Expenses.” JCOPE defines
honorarium as “a speaking fee or compensation received from writing an article, or reimbursement for
travel expenses not related to official duties.”
Non-Academic Titles
CUNY employees in non-academic titles must seek prior approval from the Baruch College President (in
consultation with the Ethics Officer at Baruch College) to accept honoraria. A copy of the approval is
sent to CUNY’s General Counsel. The receipt of the honoraria must be reported to the Ethics Officer at
Baruch College. Honoraria cannot be: (1) accepted for speaking or writing in an area that is related to the
CUNY employee’s duties; or (2) received from a disqualified source. A disqualified source is defined by
the Ethics Rules as an individual or entity seeking to do or actually doing business with CUNY, such as
current vendors, vendors courting our business, and unions.
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Academic Titles
CUNY faculty do not have to seek prior approval to receive honoraria and may receive honoraria from a
disqualified source “to the extent that the publication of books and articles, delivery of speeches or
attending meetings or conferences are within the discipline of the individuals involved.” See Section
930.7. However, all CUNY faculty must report the receipt of all honoraria and are not exempt from the
reporting requirement.
Reporting Honoraria
You should access http://www.cuny.edu/about/administration/offices/la/ethics/honoraria.html to
download the honoraria reporting form. All records of honoraria received by CUNY employees between
April 1, 2013 and March 31, 2014, must be recorded on the form. All reports must be forwarded to the
Ethics Officer at Baruch College by May 1, 2014. College Honoraria Reports are due to JCOPE by June
1, 2014.
Reporting Honoraria on the FDS
All CUNY employees in both academic and non-academic titles who are required to file an FDS must
report all honoraria received in excess of $1,000 on the FDS.
If you have any questions regarding this notification, please contact JCOPE at http://www.jcope.ny.gov
or my office at the number below.
Sincerely,
Stephanie Vullo
Ethics Officer
Tel: 646-312-3320
Stephanie.Vullo@baruch.cuny.edu
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