NEW YORK STATE ETHICS LAW OFFICE OF GENERAL SERVICES Presenter: Richard Reed OGS Deputy Commissioner and Counsel 11/29/2018

Introduction What are Ethics? New York State has a statutory scheme Public Officers Law BOB 11/29/2018

Agenda Financial Disclosure Outside Employment Political Activities Gifts Conflicts of Interest Post Employment Restrictions Where to Get More Information BOB 11/29/2018

Financial Disclosure Policy Makers Salary Thresholds: Over SG-24 File Annually by May 15 or within 30 Days of Joining State Service Currently available on-line at www.dos.state.ny.us/ethc/ethics.html RICH Public Officers Law section 73-a imposes the filing requirement on statewide elected officials; State officers and employees who either have been designated a policymaker by their appointing authority or who earn annual compensation at or above the job rate of Salary Grade 24, which is $70,851 this year; members or directors of public authorities; and others. More than 18,000 State employees file each year. The annual statement provides the Ethics Commission and the public with information about the activities and investments of filers which might indicate a conflict of interest or potential violation of the public trust. Fines: Civil Penalty of an amount up to $10,000. Categories of value of income, investments, gifts, etc., are deleted from public inspection of a statement. You can now file your financial disclosure statement electronically through the website listed above. 11/29/2018

Outside Employment Compensation Conflicts Dual Employment Honoraria OGS Requires Annual Application BOB Conflicts: Identify Issue, State Work, Commonality Parties in Interest - Example: Architect/Engineering Supervising Contractors who may perform work for agency Appearance of Impropriety - Example: Maintenance Supervisor encouraging janitorial service contractor to hire a friend. Matters before State Agencies Misuse of Office Outside Employment Forms are available on the OGS Now site. 11/29/2018

Political Activities 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 Don’t Even Imply that the State or Your Agency Endorses Your Candidacy or Positions RICH There are restrictions on political activities by candidates and by those who participate in campaigns. Candidates: Consider whether this is a conflict with your state position. Example: DEC Commissioner running for Town Supervisor. Ethics Opinion 92:16 Public Officers Law section 74 details restrictions on political activities by State officers and employees. Civil Service Law section 107 protects State employees from discriminatory practices based on their political affiliations. Election Law sections 17–158 prohibits those who hold public office, or those nominated or seeking a nomination, from using or promising to use any official authority or influence to help secure any office or public employment. Federal Hatch Act restricts the political activity of government employees employed in connection with activity financed in whole or part by federal government. Your state authority or position may not be used to intimidate, coerce or otherwise influence other State employees to give money or service for a political purpose, influence anyone’s political actions, or interfere with an election. State offices cannot be used to solicit or collect political contributions. 11/29/2018

Gifts Gifts Over $75 are prohibited Multiple Gifts Over 12-Month Period Disqualified Source Public Officers Law, § 73 & 74 NYS Ethics Opinion No. 94-16 Violations BOB Examples of Gifts: Money, food, travel, tickets, etc. Appearance of Impropriety I can’t be bought for a lunch defense. Acceptable: meals received when you serve as a participant or speaker in a job-related professional or educational program and the meals are available to all participants. 11/29/2018

Conflicts of Interest Potential Conflicts and how to handle them. Your responsibilities. Your responsibilities as a Supervisor. Personal Investments Non-Competitive Bidding Categories Emergency Contracts Single Source Sole Source Real Property Leasing RICH No sale by a State employee to a State agency of goods or services greater than $25 without competitive bid. Public Officers Law section 73 (4 (a (i. Ethics Opinion 91-19: Public Officers Law section 74 (3 (i does not apply to real property leases; not competitive. Not only conflicts of interest. Outside activities, acceptance of gratuities, and post-employment restrictions also come into play. No participation in any procurement action which involves a company that you or a family member have a significant financial interest in, or that you or a family member have a personal interest in. Never discuss future employment with a contractor or bidder. Never seek or accept a gratuity from a contractor or bidder. Never attempt to acquire or disclose proprietary information regarding a procurement, unless necessary to your role in the procurement process. For emergency contracts, there must be a determination in the procurement record that the procurement was conducted in a fair and equitable manner. Single source procurement also required documentation of rationale for selecting a specific vendor and basis upon which it was determined that cost was reasonable. 11/29/2018

Post Employment Restrictions Two-Year Bar Lifetime Bar Government to Government Exceptions BOB Public Officers Law: Revolving Door Restrictions Two Year: May not appear before your former state agency or receive pay for services in a matter pending before your former agency for two years. Lifetime: May not appear before agency or receive pay in matters you personally worked on. 11/29/2018

Where to Get More Information NYS Public Officers Law Agency Code of Conduct Agency Ethics Officer NYS Ethics Commission at 1-800-87-ETHICS or 518-432-8207 RICH Disclosure Evaluation Two minds are better than one. 11/29/2018