As a public officer, you have a responsibility to act in an ethical manner in compliance
with New York state law and SUNY policy. By complying with the law, you avoid conflicts
of interest that undermine the public’s trust in our college and help to forge a community
built on shared values of honesty, trust and integrity.
Overview
As an employee of the college you are considered a public officer and are expected
to adhere to ethical standards outlined in New York state law. The information below
will help you better understand your role and responsibility as a public officer.
At the core of all ethical obligations is the prevention of actual and apparent conflicts
of interests between official duties and private interests.
About JCOPE
The Public Integrity Reform Act of 2011 (“PIRA”) became effective on August 15, 2011.
It established the Joint Commission of Public Ethics (“JCOPE”). JCOPE has jurisdiction
of all New York state and SUNY employees.
JCOPE’s role with ethics:
Oversees ethics within New York state agencies, include SUNY campuses.
This law refers to restrictions on the business or professional activities of current
and former state employees, excluding unpaid and per-diem employees (“Covered Employees”).
Activities covered include: Outside employment and professional activities, restriction
on political activities, nepotism, gifts, honorarium, travel, negotiations on future
employment and post-employment restrictions.
Public Officers Law Section 73-A
This law refers to the annual Financial Disclosure Statement ("FDS") required of certain
employees who are considered policymakers or whose salary is above certain thresholds.
This includes who is required to file a FDS, the questions to be answered on a Financial
Disclosure Statement, penalties for violating the section and how to apply for filing
exemptions or deletions.
Public Officers Law Section 74
This law refers to the state Code of Ethics and sets forth the standards to avoid
conflicts of interest.
This includes expectations of impartiality, maintaining confidentiality, properly
stewarding state resources without securing unwarranted privileges or favors, abstaining
from financial conflicts and avoiding conduct that calls into question your integrity.
Civil Service Law Section 107
This law, also known as the Little Hatch Act, prohibits certain political activities
and against improper influence.
The Code of Ethics, or Public Officers Law Section 74, is intended to prevent the
use of your official position or authority for the benefit of yourself or another.
The Code of Ethics not only addresses actual conflicts of interest, but also the appearance of such conflicts when performing the official duties. The Code of Ethics' guiding principles and what they mean for you are outlined below.
Impartiality
You should not accept outside employment that impairs your impartiality in performing
your state duties and responsibilities.
Confidentiality
You should not accept outside employment or engage in any business or professional
activity that requires you to disclose confidential information you have received
in your state position.
You should not disclose confidential information you have received in your state position.
In addition, you should not use such confidential information to further your personal
interests.
Stewardship of State Resources Avoiding Financial Conflicts
You should not use or attempt to use your state position to secure unwarranted privileges
or exemptions for yourself or others. This includes, but is not limited to, the misappropriation
to yourself or others of the property, services, or other resources of the state for
private business or other compensated nongovernmental purposes.
Avoiding Inappropriate Business with the State
If you are a full-time state employee, you are prohibited from contracting for the
provision of goods and services with entities regulated or licensed by your agency.
In addition, this prohibition applies to any entity in which you are a member, and
to any corporation a substantial portion of the stock of which is owned or controlled
directly or indirectly by you.
Avoiding Financial Conflicts
You should not engage in any transaction as representative or agent of the state with
any business entity in which you have direct or indirect financial interest that might
reasonably tend to conflict with the proper discharge of your state duties.
You should not make personal investments in enterprises that are directly related
to your state duties, or that would create a substantial conflict between your state
duties and your private interest.
Adhering to Integrity Standards
In your personal and professional life, you should not conduct yourself in such a
way that gives the reasonable impression that a person or entity can improperly influence
you, or enjoy your favor, in the performance of your state duties.
You should conduct yourself in a manner that does not raise suspicion that you are
engaged in personal or official acts that are in violation of the public trust.
Requests To Make In Advance
For certain activities, requests must be made in advance to comply with legal restrictions
in state law and principles of ethical conduct.
The campus ethics officers and JCOPE are here to help. When in doubt, ASK in advance!
An honorarium is any payment, which may take the form of a fee or any other compensation,
made to a covered person in consideration for a service performed that is not part
of his or her official duties. Such service includes, but is not limited to, delivering
a speech, writing, or publishing an article, or participating in any public or private
conference, convention, meeting, or similar event. Honorarium shall also include expenses
incurred for travel, lodging, and meals related to the service performed.
Request for approval must be submitted in writing to the campus ethics officers or
other designated persons before performing the service or activity. Statewide elected
officials and state agency heads (including civil department heads) must submit an
approval request to JCOPE.
Exception: Teaching Faculty are exempt from the honoraria approval procedures (including the
conditions for approval) provided that the service performed is within the subject
matter of their official academic or research discipline.
Please Note: State officers and employees who are required to file a FDS — even those who are exempt
from the honorarium approval requirements — are obligated to report any honorarium
in excess of $1,000 (or all honoraria, the total of which exceed $1,000 received from
a single offeror) in their Financial Disclosure Statement ("FDS") for the applicable
year.
Official Activity Expense Payment is a payment or reimbursement for the cost of attendance,
registration, travel, food or lodging related to a covered employee’s official activity.
Official activity is a person’s attendance or service at a meeting, conference, seminar,
convention or professional program that is part of his or her official duties and
benefits their state agency.
An outside activity is any interest or activity not related to your state employment.
An activity may be an occupation, whether paid or unpaid, membership on a board or
volunteer work, etc. An outside activity occurs outside of your regular work hours
and without utilizing any government resources.
All covered employees should evaluate whether the intended outside activity is appropriate
under the rules of Public Officers Law § 73 and is not a conflict of interest under
the rules of Public Officers Law § 74.
Prior to engaging in any outside activities, all covered employees should seek advice
from their agency ethics officer or JCOPE concerning the appropriateness of such activities
under the applicable laws and regulation.
Policymakers have an additional responsibility — they may require approval from their
campus, JCOPE or both before pursuing an outside activity. In general, the approval
process is based on how much they anticipate earning through their intended outside
activity.
Annual Compensation Threshold Amounts for Policymakers
Greater than $1,000 – Request must be approved by campus ethics officer.
Greater than $5,000 – Requires JCOPE approval as well as the agency’s prior approval
submitted in the Outside Activity Approval Form.
Generally, you may accept anything valued at $15 or less. If a gift is offered by
an “Interested Source,” the acceptance of the gift is generally prohibited.
A gift includes, but is not limited to, money, services, loans, travel, meal refreshments,
entertainment, forbearance or a promise having a monetary value.
There are a number of requirements and exceptions when it comes to accepting a gift,
so before doing so speak to a campus ethics officer to determine whether or not the
gift is prohibited.
Certain SUNY Plattsburgh employees are required to file an annual financial disclosure
statement (“FDS”) and participate in periodic ethics training. Employees will be notified
by a campus ethics officer or by the New York state JCOPE if they need to file and
complete the training.
With some exceptions, JCOPE requires state employees with an annual salary over the
salary threshold ($101,379 effective April 1, 2020) to file a FDS every year.
Individuals designated as policy makers by their agency. SUNY Plattsburgh’s policy
makers are the president, vice presidents, deans, associate vice presidents and associate
deans; and
Employees with an annual salary rate in excess of the “filing rate” of a SG-24 CSEA
equivalent ($101,379 in 2020).
In general, part-time employees who serve in a position with an annual full-time salary
that exceeds the “filing rate“ are still required to file an FDS even if they actually
receive less than the “filing rate” amount in any year.
All FDS filers must complete an Online Ethics Orientation (“OEO”) within three months
of becoming subject to the FDS filing requirement, and complete periodic ethics training
as outlined below.
Note:FDS Filers who are exempted from the requirement to file an FDS are not required to
take the OEO.
The OEO must be completed within three months of becoming subject to the FDS filing
requirement. The OEO is completed by watching a 40-minute video, which is available
on demand on JCOPE’s website, and then submitting an attestation to the campus ethics
officers who will keep a record of training completion.
Note: The OEO can also be satisfied by completing the Comprehensive Ethics Training Courses
within the three-month period.
The CETC must be completed within two years from the date of becoming subject to the
FDS filing requirement. The CETC is a live, two-hour, instructor-led training that
covers the Public Officers Law and other related ethics laws and regulations.
Everyone who has taken the CETC is required by law to take an ethics refresher every
three years thereafter. The Seminar is a live, one-hour instructor-led training session that guides FDS Filers
through the major statutory changes in ethics laws with respect to gifts, honoraria,
and outside activities since 2013. Conflicts of interest and other applicable ethics
laws are also covered. Participants will review real world examples as well as have
an opportunity for a question and answer period.
Note: Filers may choose to satisfy this requirement by retaking the CETC instead of the
Ethics Seminar.
As part of its responsibilities as a NYS Agency, SUNY Plattsburgh periodically offers
the comprehensive ethics training and ethics seminar courses for on-campus personnel
who need to complete the requirement. In addition, the University at Albany and JCOPE
offers opportunities to complete these courses.
Comprehensive Ethics Training Course (CETC)
Plattsburgh-Led Courses: Available upon request for Fall 2021
SUNY-Led Courses: 8.26.2021 from 12:00 - 2:00 PM, 9.7.2021 from 10:00 - 12:00 PM,
10.4.2021 from 2:00 - 4:00 PM, 11.4.2021 from 12:00 - 2:00 PM, and 12.6.2021 from
10:00 - 12:00 PM.
Ethics Seminar
Plattsburgh-Led Courses: Available upon request for Fall 2021