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ETHICS IN
STATE GOVERNMENT
A Guide for New York State Employees
Introduction
Every officer and employee in State service is bound by the provisions of the State ethics laws, which establish specific standards of conduct, restrict certain business and professional activities -- both while in State service and after leaving government -- and require financial disclosure of policymakers and other higher level officials. Violators face serious penalties.
Although the underlying principles of the laws are fairly simple -- preventing conflicts of interest and encouraging ethical behavior -- the law's specific provisions can be quite technical. This brochure outlines what is expected of State officers and employees. It is intended only as a brief introductory guide, and should not be considered as a comprehensive legal document.
History
In 1987, New York State adopted the Ethics in Government Act, a sweeping reform of the State’s laws intended to maintain the integrity of State government.
The Act created the New York State Ethics Commission and gave it jurisdiction over officers and employees of the executive branch and entities with at least one member appointed by the Governor. Its five members are appointed by the Governor; one of the members is nominated by the State Attorney General and another by the State Comptroller.
Duties
The Commission's duties include:
- receiving complaints alleging violations of Public Officers Law §§73, 73-a and 74; investigating complaints on its own initiative;
- rendering advisory opinions which interpret and apply the laws as they pertain to present and former State officers and employees;
- distributing, collecting and auditing financial disclosure statements;
- issuing rules and regulations to implement and enforce the Ethics in Government Act; and
- preparing legislation to reform and strengthen the requirements of the ethics law.
Financial Disclosure
Annual statements of financial disclosure are required of all policymakers and of those who -- unless exempted by the Commission -- earn compensation in excess of the job rate of a Salary Grade 24, which is $60,235 in 1998.
The statement requires filers to list major assets, sources of income, liabilities, names of spouses and unemancipated children, whether they are licensed by or do business with a State agency, offices held with a political party, sources of gifts, reimbursements, trusts, deferred income, real property, and other information.
All policymakers must file, but the Commission can exempt from filing individuals at Salary Grade 24 or higher who are not policymakers and who do not perform certain job duties.
Conflicts of Interest
Officers and employees of State government are restricted in the activities in which they may engage while in State service. Basically, they may not engage in activities that would create or appear to create a conflict with their public duties. Some of the specific restrictions are:
- they may not sell goods or services to the State or any agency of the State except through a competitively bid contract;
- they may not appear before any State agency or render services for compensation in a matter before any State agency in connection with such subjects as the purchase or sale of goods, ratemaking, funding or licensing.
- More generally, State officers and employees should not have any interest in or engage in any business or activity "in substantial conflict" with the discharge of their public duties. This restriction prohibits them from:
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- disclosing confidential information acquired in the course of their official duties or using such information to further their personal interests;
- using or attempting to use their official positions to secure unwarranted privileges or exemptions for themselves or others;
- giving reasonable basis for the impression that any person can improperly influence them or unduly enjoy their favor in the performance of their official duties, or that they are affected by the kinship, rank, position or influence of any party or person.
Finally, State officers and employees should endeavor to pursue a course of conduct which will not raise suspicion among the public that they are likely to be engaged in acts that are in violation of their public trust.
Outside Activities
The Commission's regulations restrict the outside activities of State officers and employees as follows:
- certain high level officials, including all policymakers, are barred from serving as an officer of any political party or organization or serving as a member of a political party committee, including district leader or member of a national committee;
- no salaried State officers or employees may engage in any outside activity which interferes or is in conflict with their duties.
For policymakers, prior agency approval is required before engaging in any outside activity if the amount to be earned is more than $1,000 annually; and prior Ethics Commission approval is required if the amount is more than $4,000.
Honoraria
To avoid conflicts of interest and the appearances of such conflicts, State officers and employees may accept reimbursement of travel expenses or honoraria only under certain circumstances. The source of the payment is critical.
In addition, the Commission's regulations require prior approval or subsequent reporting depending upon the nature of the payment and the position of the individual receiving the payment.
Gifts
State officers and employees may not accept or solicit a gift valued at $75 or more under circumstances in which it could be inferred that the gift was intended to influence or reward the recipient for performing official duties. Gifts under $75 may be unlawful if they are in substantial conflict with an employee's official duties. In 1994, the Commission issued Advisory Opinion No. 94-16 outlining its interpretation of these provisions of the law.
Post-employment Restrictions
Although these restrictions do not apply while an individual is in State service, every State officer and employee should keep in mind that when he or she leaves State service, the following restrictions apply:
- Two-year bar -- Former State officers or employees may not, within a period of two years after leaving State service, appear or practice before their former agency or receive compensation for any services rendered in relation to any case, proceeding, application or other matter before their former agency.
- Lifetime bar -- Former State officers and employees may not appear, practice, communicate or otherwise render services before any State agency, or receive compensation for such services in relation to any case, proceeding, application or transaction with which they were directly concerned and in which they personally participated while in public service, or which was under their active consideration.
Investigations
The State Ethics Commission undertakes investigations of alleged violations of the law within its jurisdiction upon complaint or upon its own initiative. Complaints may be made anonymously.
The Commission has the power to subpoena witnesses and require the production of any relevant books or records.
Penalties
Individuals who violate certain provisions of Public Officers Law §73 are subject to a civil penalty not to exceed $10,000. In lieu of a civil penalty, the Commission may refer violations to an appropriate prosecutor for prosecution as a Class A misdemeanor.
Individuals who violate Public Officers Law §74 may also be subject to disciplinary action, including a fine, suspension or dismissal by their appointing authority.
Legal Authority
- Executive Law §94 created the State Ethics Commission.
- Public Officers Law §73 includes restrictions on the activities of current and former State officers and employees.
- Public Officers Law §73-a contains the contents of the annual statement of financial disclosure and sets forth the requirements for filing.
- Public Officers Law §74 establishes the State Code of Ethics which prohibits conflicts of interest.
Copies of these laws are available from any State personnel office or from the Commission.
The regulations of the Commission are found in Volume 19 of the Official Compilation of Codes, Rules and Regulations of the State of New York. (Parts 930-941)
Getting Advice
The State Ethics Commission offers advice on applications of the law in individual circumstances. Individuals with questions may contact the Commission by letter or telephone. The phone numbers are 518-432-8207 or 800-87-ETHICS. The address is 39 Columbia Street, Albany, New York 12207.
The Commission's assistance is always confidential.
