Presenters Contact Information

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Presenters Contact Information
Anne Phillips Associate Counsel Office of
General Services anne.phillips_at_ogs.state.ny.us (
518) 474-5607
OGS Website www.ogs.state.ny.us
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Agenda

• Public Officers Law
• Conflicts of Interest
• Outside Employment
• Gifts
• Political Activities
• Financial Disclosure

• Post Employment Restrictions
• Reporting Misconduct
• Where to Get More Information
• Questions

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Public Officers Law

• Public Officers Law 73, Business or professional
  activities by state officers and employees and
  party officers
• Public Officers Law 74, Code of Ethics (also
  referred to as Code of Conduct)
• Public Officers Law 73-a, Financial Disclosure

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OGS Code of Conduct

• Interprets Public Officers Law
• Provides Additional Information in the Context of
  OGS Business Practices

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Conflicts of Interest

• (Public Officers Law 74 establishes the State
  Code of Ethics which prohibits conflicts of
  interest)
• Potential conflicts of interest can arise in
• a number of different situations
• You have responsibilities as a public
• sector employee that differ from those of
• private sector employees

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• General rule is that officers and employees of
  State government may not engage in activities
  that would create or appear to create a conflict
  with their public duties, nor raise suspicion
  among the public that they are likely to be
  engaged in acts that are in violation of their
  public trust.

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• Public Officers Law 74 sets out a series of
  standards to determine if there is a conflict of
  interest, including the concept of appearance of
  impropriety.

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Potential Areas for Conflict of Interest

• Personal outside employment or investments
• Employment of, contracts to, or benefits for
  family members
• Release of confidential information
• Gifts

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Outside Employment or Investments
Public Officers Law 73 74

• Prohibits accepting other employment that will
  impair independence of judgment or require
  disclosure of confidential information
• Prohibits engaging in transactions with any
  business entity where employee has financial
  interest that can conflict with duties
• Must abstain from investments that may be
  directly related to the employees decisions or
  which otherwise create a substantial conflict
  with duties

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• Concept of employment is broadly defined
• Policies and forms on OGSNow Policy Manual
• There is no general prohibition against employees
  engaging in outside employment or compensated
  activity
• However, prior approval for such employment must
  be obtained from OGS and in some instances from
  the State Ethics Commission
• Violation of the laws and policy, as well as of
  the following guidelines may be grounds for
  disciplinary action

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Employment of, Contracts to, or Benefits For
Family Members or Others
(Public Officers Law 74)

• POL standards prohibiting use of official
  position to secure unwarranted privileges for
  self or others
• Cannot give reasonable basis for appearance that
  employee is affected by kinship, rank, position
  or influence of any party or person
• Cannot raise suspicion among public that you are
  likely to be engaged in actions in violation of
  trust
• Cannot give reasonable basis for impression that
  any person can improperly influence you or unduly
  enjoy your favor in the performance of your
  official duties

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Employment of Current State Employees

• Public Officers Law 73(4)(i) prohibits sales of
  goods or services greater than 25 to a State
  agency by a State employee or a firm where the
  employee has more than 10 stock unless there is
  a competitive bid.
• Important to make inquiry and document in the
  procurement record.

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Release of Confidential Information (Public
Officers Law 74)

• Code of Conduct has several prohibitions about
  release of confidential information
• Information confidential to the agency
  (information about the agency or decisions by the
  agency not otherwise known)
• Information confidential to the process
• Information obtained from a vendor either as part
  of the procurement process or as the result of
  the procurement

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Gifts

• (Public Officers Law 73(5) and 74)
• While some would argue that public employees
  cant be bought for a lunch, it is an issue of
  perception, the appearance of impropriety or
  fairness.
• Look at it from the perspective of the other
  vendors and the general public and the message
  that it sends other agency employees.
• There are circumstances under which a state
  employee can accept a gift.

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Gifts

• You are prohibited from soliciting or accepting
  any gift worth 75 or more, when it could be
  reasonably inferred that the gift was intended to
  influence you or could reasonably be expected to
  influence you in the performance of your official
  duties or was intended as a reward for any
  official action.

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• However, there are circumstances where the gift
  giver may be a disqualified source and all
  gifts are prohibited.
• For example, if making a decision about awarding
  a contract, the potential vendor is a
  disqualified source, as is any person or entity
  that is regulated by, does business with, appears
  before or negotiates with your agency lobbies or
  has litigation adverse to your agency applies
  for or receives funds from your agency or
  contracts with your agency or another agency when
  your agency receives the benefit of the contract.

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• You are prohibited from soliciting or accepting a
  gift of any value if it would constitute a
  substantial conflict with the proper discharge of
  your State duties.
• It is also a violation of law to offer or make
  such a gift.

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• A gift may include money, food, travel, tickets,
  etc. It can be anything with a monetary value.
• The value of a gift is the retail cost to
  purchase it or its face value.
• The 75 value is determined by aggregating the
  gifts received over 12-month period
• Reciprocity does not reduce the value of a gift
  given to you.
• You may not designate a friend, family member or
  entity (for example, a charity) to receive a gift
  that you cannot receive.

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• Public Officers Law 73 Penalties
• State officers and employees 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 Ethics
  Commission may refer violations to an appropriate
  prosecutor for prosecution as a Class A
  misdemeanor. Also, such officers and employees
  can be suspended or removed from their jobs.

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• Although the Ethics Commission has no authority
  to impose penalties on a private company or
  individual, it can refer such cases to the
  appropriate prosecuting authority when a
  violation is punishable by law. The Commission
  can publicize the names of private persons or
  entities involved in a state employees violation
  of law.

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• Individuals who violate Public Officers Law 74
  may also be subject to disciplinary action,
  including a fine, suspension, or dismissal by
  their appointing authority.
• More Information is available in Advisory Opinion
  94-16 issued by the State Ethics Commission.

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Political Activities

• (Public Officers Law 73 and 74 and
• Civil Service Law 107)
• Policy Makers/Non-Policy Makers
• Soliciting Campaign Contributions
• Use of State Position to Gain Advantage in a
  Political Campaign
• Use of State Resources, etc.
• Campaign on Your Own Time
• Dont Even Imply that the State or Your Agency
  Endorses Your Candidacy or Positions

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Financial Disclosure

• (Public Officers Law 73-a)
• Policy Makers or
• Salary Threshold Over SG-24
• Subject to certain exemptions
• File Annually by May 15 or within 30 Days of
  Joining State Service
• Financial Disclosure Statements currently
  available on-line at
• www.dos.state.ny.us/ethc/ethics.html

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Post Employment Restrictions

• (Public Officers Law 73 (8))
• Two-Year Bar on activities before employees
  former agency.
• Lifetime Bar on transactions that the employee
  worked on while in state service-agency is
  irrelevant.
• Government-to-Government Exceptions
• Solicitations or discussions of employment
  opportunities with an individual or entity that
  has a pending matter before the state employee is
  prohibited.

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Report Misconduct

• Executive Law 55 requires state officers and
  employees to report promptly to the State
  Inspector General any information concerning
  corruption, fraud, criminal activity, conflicts
  of interest or abuse by another state officer or
  employee relating to his or her office or
  employment, or by a person having business
  dealings with a covered agency relating to those
  dealings.
• The knowing failure of any officer or employee to
  report shall be cause for removal from office or
  employment or other appropriate penalty.

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Report Misconduct

• Complaints may be filed confidentially to the
  Inspector General.
• If you do choose to identify yourself when filing
  a complaint, the Inspector General has a strict
  policy regarding protection of the identity of a
  complainant.

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Limited Whistle-Blower Protection

• (Executive Law 55 and Civil Service Law
  75-b)
• In addition, Executive Law 55 affords
  whistle-blower protection to State employees
  who report, to the Office of the State Inspector
  General, any action by a public employer or
  employee, or their agents which is in violation
  of any federal, state or local law, rule or
  regulation. This means that you cannot be
  disciplined, dismissed or subjected to adverse
  personnel action because you have reported such
  actions.

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Where to Get More Information

• OGS Code of Conduct
• OGS Ethics Officer
• Howard L. Zwickel
• Deputy Commissioner and Counsel
• NYS Ethics Commission at
• 1-800-87-ETHICS or 518-432-8207
• or website
• http//www.dos.state.ny.us/ethc/ethics.html
• NYS Public Officers Law

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Governor Spitzers Executive Order No. 1

• Establishes Higher Standards
• Prohibition Against the Receipt of Gifts
• Prohibition Against the Use of State Property
• Prohibition Against Nepotism in Hiring and
  Contracting
• Penalties

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Questions and Answers
?
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Presenters Contact Information
Anne Phillips Associate Counsel Office of
General Services anne.phillips_at_ogs.state.ny.us (
518) 474-5607
OGS Website www.ogs.state.ny.us