Ethics Rules for State Employees
As a University at Albany employee, you are considered a public officer and are expected to uphold the ethical standards established under the New York State Public Officers Law. Central to these standards is the obligation to avoid both actual and perceived conflicts of interest between your official responsibilities and personal interests.
Ethics laws address a variety of topics, including conflicts of interest, restrictions on the activities of current and former State employees, limitations on the acceptance of gifts and post-employment rules that apply after leaving State service.
Employees involved in research also need to be familiar with ethics related to research regulations.
When to Contact HR
Human Resources (HR) administers and coordinates comprehensive ethics training for State employees at UAlbany and serves as a resource for questions regarding New York State ethics requirements.
HR provides guidance and educational resources to help employees understand and meet their individual responsibilities and requirements set forth by the New York State Commission on Ethics & Lobbying in Government.
Chief Human Resources Officer Gary Evans and Employee Relations Associate Chelsea O’Hanlon serve as the University’s Ethics Officers.
When to Contact ORRC
The Office of Regulatory & Research Compliance (ORRC) coordinates institution-wide research compliance policies and procedures, in partnership with researchers and institutional stakeholders, to ensure the University meets its obligations to regulators, accreditors, employees and students.
ORRC provides guidance and resources for all researchers regardless of title or employer the responsible, secure, ethical, and compliant conduct of research.
Research Compliance Officer Laura McCullen and Research Security Officer Terrell D. Rabb serve as officers for the integrity and security of University research.
contact
Conflicts of Interest
The Public Officers Law Section 74 is the State Code of Ethics and sets forth the standards to avoid conflict of interest.
The Code of Ethics is intended to prevent you from using your State job and official position to benefit yourself or someone else.
The Code of Ethics not only addresses actual conflicts of interest but also conduct that can create the appearance of such conflicts when performing your State job. This applies to all officers and employees of New York State.
Financial Disclosure Statements (FDS)
A Financial Disclosure Statement (FDS) is a publicly available record containing financial and professional information about the filer and their spouse for a calendar year.
The following individuals are required to file an FDS:
- State officers and employees and other filers whose annual salary exceeds the reporting year’s salary threshold, equivalent to the CSEA Salary Grade 24 (SG-24) job rate, or whose agency has designated them as a policy maker
- Statewide elected officials, members of the Legislature and certain political party chairs.
The purpose of the FDS is to provide transparency about the private interests and activities of public officials and their relatives which could, among other things, help identify potential conflicts of interest.
Gifts
State officers and employees generally are prohibited from soliciting or accepting gifts of more than “nominal value” from individuals and entities that do business with the State. There are several exceptions to this prohibition. The rules on whether the acceptance of a gift is permissible are contained in the regulation 19 NYCRR Part 933.
The Commission on Ethics & Lobbying will generally consider something that has a fair market value of $15 or more to be a gift.
A gift includes, but is not limited to, money, services, loans, travel, lodging, meals, refreshments, entertainment, forbearance (agreeing to change the terms for repayment of a debt), or a promise having a monetary value.
Honoraria
An honorarium is any payment made in exchange for rendering a service or activity that is not part of your official duties.
Examples include delivering a speech, writing or publishing an article, or participating in a public or private conference, convention, meeting or similar event.
An honorarium may also include payment or reimbursement of expenses for travel, lodging and/or meal(s) related to the service performed.
A request for approval of an honorarium must be submitted in writing to the University's Ethics Officer, or their designated approving authority, before performing the service or activity. Request approval for an honorarium.
Academic faculty are exempt from the approval procedures (including the conditions for approval), provided that the service being performed is within the subject matter of their official academic or research discipline.
Statewide elected officials and State agency heads (including civil department heads) must submit an honorarium approval request to the Commission on Ethics and Lobbying.
Nepotism
Giving preferential treatment to a relative in the workplace may be considered nepotism.
Public Officers Law (POL) Section 73 (1)(m) defines a relative as “any person living in the same household as the (covered) individual or any person who is a direct descendant of that covered individual's grandparents or the spouse of such descendant.”
POL Section 73 prohibits State employees from:
- Participating in any decision to hire, promote, discipline or discharge a relative
- Awarding contracts to a relative or investing public funds in any security in which a relative has a financial interest
Recommended Best Practice: Recuse yourself from any personnel decisions that involve a family member (including extended family) or a close personal friend.
Outside Activities
An outside activity is generally an employment, business or professional activity that is not related to your official State duties.
An outside activity may be an occupation (whether paid or unpaid), ownership of a business, membership on a board, volunteer work or even a second job with the State.
An outside activity must occur outside of your regular work hours and without utilizing any government resources.
Both policymakers and non-policymakers should evaluate whether the intended outside activity is permissible under:
- The provisions of Public Officers Law (POL) Section 73
- The conflict of interest rules of POL Section 74
- The rules and policies of the University
Prior to engaging in any outside activity, all covered individuals should seek advice from the University’s Ethics Officer concerning the appropriateness of the activity. Request approval for an outside activity.
Policy makers may also require approval from the Commission on Ethics and Lobbying in Government for an outside activity.
Official Activity Expense Payments (Travel)
A State officer or employee may accept payment or reimbursement from third parties for travel and other expenses for an activity that is part of, and related to, their State job duties, provided certain conditions are met.
Payments or reimbursements for official activity expenses must be approved by the University. Requests for approval must be made in writing within a reasonable period of time prior to engaging in the official activity.
To request approval for outside activity expense payments, please contact Assistant Ethics Office Chelsea O’Hanlon at [email protected].
Political Activity
As a New York State employee, you must keep political activities separate from your official duties.
Civil Service Law Section 107, Public Officers Law (POL) Section 73 (17), POL Section 74 and the Commission's outside activity regulations restrict certain political activities both in the workplace and, for some employees, outside of work.
State employees may not use their position, authority or State resources to influence elections, support political candidates, solicit political contributions or pressure others to engage in political activity.
Applicants for State employment may not be questioned about their political affiliation, voting history or political contributions.
Examples of prohibited workplace activities include circulating campaign petitions, creating campaign materials using State equipment or distributing campaign-related communications through State systems (such as email).
Certain policymakers are subject to additional restrictions on political party leadership roles and other outside political activities.
Post-employment Restrictions
Public Officers Law (POL) Section 73 (8)(a) contains two types of post-employment restrictions: a “two-year bar” and a “lifetime bar.”
The purpose of the post-employment restrictions is to prevent you from using the knowledge, experience and professional contacts gained throughout your career in State service to benefit either yourself or someone else, thereby securing unwarranted privileges, consideration or action.
The post-employment restrictions may prevent you from accepting a job at a private company that does business with your former agency. It is important that you understand the post-employment restrictions prior to leaving State service for retirement or a transition to the private sector.
Training Requirements
All State employees at UAlbany are required to participate in the mandated State Ethics Training.
All new hires must complete the live version of this training within 90 days of starting employment. All employees must complete the training annually, with format alternating yearly the live version and the on-demand version.
Log into Skillsoft Precipio to see which training you’re assigned to complete this year.
- On-demand trainings are completed in Skillsoft Precipio.
- UAlbany regularly adds dates for live trainings, or employees can complete a live training offered by the Commission and send confirmation of completion to [email protected].