1. Ethics and Compliance
For the Supervisor

2. Public Officers Law
Rules governing behavior and actions of all State Employees
Revised by the Public Integrity Reform Act of 2011
Joint Commission on Public Ethics
Applies to ALL state employees, without exception
Foundation for NYPA’s Code of Conduct

3. Nypa code of conduct Applies to ALL NYPA employees—no exceptions
Contains Standards of Conduct, certification expectations, remedies for breaches and reporting options
Last revised in March 2013 to incorporate guidance from the NYS Inspector General’s Office and the Joint Commission on Public Ethics
Greatly simplified version of the POL

4. Responsibilities Know what you know and what you don’t
Ask questions or refer your direct reports to those with knowledge, regardless of the topic

5. Outside employment/activities
2011 annual training
Must have supervisor/business unit’s approval
Must vet through E & C Office to ensure absence of Conflicts of Interest
If a policy maker, may need to be vetted by the Joint Commission on Public Ethics— dependent upon level of annual income
Must be reported on Financial Disclosure forms

6. Financial disclosure Salary threshold $90,020 annually Exemptions
Deadlines
Public Availability
Greatly expanded disclosure in PIRA 2011

7. Gifts One of the most frequently asked questions at NYPA Nominal value
No quid pro quo
Conference attendance
Meals
Raffles/drawings
No Gratuities/Rewards

8. Post Employment An upward trending issue for NYPA Two Year Bar
Lifetime Bar
“Re-Employment” by NYPA

9. Project Sunlight Appearances: Live or Video-Conference Subject Areas:
Procurement, ratemaking, adoption or repeal of a rule or reg, judicial or quasi-judicial, regulatory matters
5 business day reporting to E & C
On-line reporting via the E & C website
Meetings solely with other gov’t agencies/employees excluded

10. Open door policy
The Ethics & Compliance Office is your resource for guidance on ethics and compliance topics. Please feel free to call us at any time.
Joseph W. Gryzlo, VP & Chief Ethics & Compliance Officer: WPO 6939 or
Louise Nestler, Sr. Ethics Officer:
WPO 3724 or
Denise Baker, Sr. Compliance Officer:
ALB 6722, WPO 8027 or