Section 2600.
§ 2600. Preamble. Public service is a public trust. These prohibitions
on the conduct of public servants are enacted to preserve the trust
placed in the public servants of the city, to promote public confidence
in government, to protect the integrity of government decision-making
and to enhance government efficiency.
Section 2601.
§ 2601. Definitions. As used in this chapter,
1. "Advisory committee" means a committee, council, board or similar
entity constituted to provide advice or recommendations to the city and
having no authority to take a final action on behalf of the city or take
any action which would have the effect of conditioning, limiting or
requiring any final action by any other agency, or to take any action
which is authorized by law.
2. "Agency" means a city, county, borough or other office, position,
administration, department, division, bureau, board, commission,
authority, corporation, advisory committee or other agency of
government, the expenses of which are paid in whole or in part from the
city treasury, and shall include but not be limited to, the council, the
offices of each elected official, the board of education, community
school boards, community boards, the financial services corporation, the
health and hospitals corporation, the public development corporation,
and the New York city housing authority, but shall not include any court
or any corporation or institution maintaining or operating a public
library, museum, botanical garden, arboretum, tomb, memorial building,
aquarium, zoological garden or similar facility.
3. "Agency served by a public servant" means (a) in the case of a paid
public servant, the agency employing such public servant or (b) in the
case of an unpaid public servant, the agency employing the official who
has appointed such unpaid public servant unless the body to which the
unpaid public servant has been appointed does not report to, or is not
under the control of, the official or the agency of the official that
has appointed the unpaid public servant, in which case the agency served
by the unpaid public servant is the body to which the unpaid public
servant has been appointed.
4. "Appear" means to make any communication, for compensation, other
than those involving ministerial matters.
5. A person or firm "associated" with a public servant includes a
spouse, domestic partner, child, parent or sibling; a person with whom
the public servant has a business or other financial relationship; and
each firm in which the public servant has a present or potential
interest.
6. "Blind trust" means a trust in which a public servant, or the
public servant's spouse, domestic partner, or unemancipated child, has a
beneficial interest, the holdings and sources of income of which the
public servant, the public servant's spouse, domestic partner, and
unemancipated child have no knowledge, and which meets requirements
established by rules of the board, which shall include provisions
regarding the independent authority and discretion of the trustee, and
the trustee's confidential treatment of information regarding the
holdings and sources of income of the trust.
7. "Board" means the conflicts of interest board established by this
chapter.
8. "Business dealings with the city" means any transaction with the
city involving the sale, purchase, rental, disposition or exchange of
any goods, services, or property, any license, permit, grant or benefit,
and any performance of or litigation with respect to any of the
foregoing, but shall not include any transaction involving a public
servant's residence or any ministerial matter.
9. "City" means the city of New York and includes an agency of the
city.
10. "Elected official" means a person holding office as mayor,
comptroller, public advocate, borough president or member of the
council.
11. "Firm" means sole proprietorship, joint venture, partnership,
corporation and any other form of enterprise, but shall not include a
public benefit corporation, local development corporation or other
similar entity as defined by rule of the board.
12. "Interest" means an ownership interest in a firm or a position
with a firm.
13. "Law" means state and local law, this charter, and rules issued
pursuant thereto.
14. "Member" means a member of the board.
15. "Ministerial matter" means an administrative act, including the
issuance of a license, permit or other permission by the city, which is
carried out in a prescribed manner and which does not involve
substantial personal discretion.
16. "Ownership interest" means an interest in a firm held by a public
servant, or the public servant's spouse, domestic partner, or
unemancipated child, which exceeds five percent of the firm or an
investment of twenty-five thousand dollars in cash or other form of
commitment, whichever is less, or five percent or twenty-five thousand
dollars of the firm's indebtedness, whichever is less, and any lesser
interest in a firm when the public servant, or the public servant's
spouse, domestic partner, or unemancipated child exercises managerial
control or responsibility regarding any such firm, but shall not include
interests held in any pension plan, deferred compensation plan or mutual
fund, the investments of which are not controlled by the public servant,
the public servant's spouse, domestic partner, or unemancipated child,
or in any blind trust which holds or acquires an ownership interest. The
amount of twenty-five thousand dollars specified herein shall be
modified by the board pursuant to subdivision a of section twenty-six
hundred three.
17. "Particular matter" means any case, proceeding, application,
request for a ruling or benefit, determination, contract limited to the
duration of the contract as specified therein, investigation, charge,
accusation, arrest, or other similar action which involves a specific
party or parties, including actions leading up to the particular matter;
provided that a particular matter shall not be construed to include the
proposal, consideration, or enactment of local laws or resolutions by
the council, or any action on the budget or text of the zoning
resolution.
18. "Position" means a position in a firm, such as an officer,
director, trustee, employee, or any management position, or as an
attorney, agent, broker, or consultant to the firm, which does not
constitute an ownership interest in the firm.
19. "Public servant" means all officials, officers and employees of
the city, including members of community boards and members of advisory
committees, except unpaid members of advisory committees shall not be
public servants.
20. "Regular employee" means all elected officials and public servants
whose primary employment, as defined by rule of the board, is with the
city, but shall not include members of advisory committees or community
boards.
21. a. "Spouse" means a husband or wife of a public servant who is not
legally separated from such public servant.
b. "Domestic partner" means persons who have a registered domestic
partnership pursuant to section 3-240 of the administrative code, a
domestic partnership registered in accordance with executive order
number 123, dated August 7, 1989, or a domestic partnership registered
in accordance with executive order number 48, dated January 7, 1993.
22. "Supervisory official" means any person having the authority to
control or direct the work of a public servant.
23. "Unemancipated child" means any son, daughter, step-son or
step-daughter who is under the age of eighteen, unmarried and living in
the household of the public servant.
Section 2602.
§ 2602. Conflicts of interest board. a. There shall be a conflicts of
interest board consisting of five members, appointed by the mayor with
the advice and consent of the council. The mayor shall designate a
chair.
b. Members shall be chosen for their independence, integrity, civic
commitment and high ethical standards. No person while a member shall
hold any public office, seek election to any public office, be a public
employee in any jurisdiction, hold any political party office, or appear
as a lobbyist before the city.
c. Each member shall serve for a term of six years; provided, however,
that of the three members first appointed, one shall be appointed for a
term to expire on March thirty-first, nineteen hundred ninety, one shall
be appointed for a term to expire on March thirty-first, nineteen
hundred ninety-two and one shall be appointed for a term to expire on
March thirty-first, nineteen hundred ninety-four, and of the remaining
members, one shall be appointed for a term to expire on March
thirty-first, nineteen hundred ninety-two and one shall be appointed for
a term to expire on March thirty-first, nineteen hundred ninety-four. If
the mayor has not submitted to the council a nomination for appointment
of a successor at least sixty days prior to the expiration of the term
of the member whose term is expiring, the term of the member in office
shall be extended for an additional year and the term of the successor
to such member shall be shortened by an equal amount of time. If the
council fails to act within forty-five days of receipt of such
nomination from the mayor, the nomination shall be deemed to be
confirmed. No member shall serve for more than two consecutive six-year
terms. The three initial nominations by the mayor shall be made by the
first day of February, nineteen hundred eighty-nine, and both later
nominations by the mayor shall be made by the first day of March,
nineteen hundred ninety.
d. Members shall receive a per diem compensation, no less than the
highest amount paid to an official appointed to a board or commission
with the advice and consent of the council and compensated on a per diem
basis, for each calendar day when performing the work of the board.
e. Members of the board shall serve until their successors have been
confirmed. Any vacancy occurring other than by expiration of a term
shall be filled by nomination by the mayor made to the council within
sixty days of the creation of the vacancy, for the unexpired portion of
the term of the member succeeded. If the council fails to act within
forty-five days of receipt of such nomination from the mayor, the
nomination shall be deemed to be confirmed.
f. Members may be removed by the mayor for substantial neglect of
duty, gross misconduct in office, inability to discharge the powers or
duties of office or violation of this section, after written notice and
opportunity for a reply.
g. The board shall appoint a counsel to serve at its pleasure and
shall employ or retain such other officers, employees and consultants as
are necessary to exercise its powers and fulfill its obligations. The
authority of the counsel shall be defined in writing, provided that
neither the counsel, nor any other officer, employee or consultant of
the board shall be authorized to issue advisory opinions, promulgate
rules, issue subpoenas, issue final determinations of violations of this
chapter, or make final recommendations of or impose penalties. The board
may delegate its authority to issue advisory opinions to the chair.
h. The board shall meet at least once a month and at such other times
as the chair may deem necessary. Two members of the board shall
constitute a quorum and all acts of the board shall be by the
affirmative vote of at least two members of the board.
Section 2603.
§ 2603. Powers and obligations. a. Rules. The board shall promulgate
rules as are necessary to implement and interpret the provisions of this
chapter, consistent with the goal of providing clear guidance regarding
prohibited conduct. The board, by rule, shall once every four years
adjust the dollar amount established in subdivision sixteen of section
twenty-six hundred one of this chapter to reflect changes in the
consumer price index for the metropolitan New York-New Jersey region
published by the United States bureau of labor statistics.
b. Training and education. 1. The board shall have the responsibility
of informing public servants and assisting their understanding of the
conflicts of interest provisions of this chapter. In fulfilling this
responsibility, the board shall develop educational materials regarding
the conflicts of interest provisions and related interpretive rules and
shall develop and administer an on-going program for the education of
public servants regarding the provisions of this chapter.
2. (a) The board shall make information concerning this chapter
available and known to all public servants. On or before the tenth day
after an individual becomes a public servant, such public servant shall
be provided with a copy of this chapter and shall sign a written
statement, which shall be maintained in his or her personnel file, that
such public servant has received and read and shall conform with the
provisions of this chapter.
(b) Each public servant shall undergo training provided by the board
in the provisions of this chapter on or before the sixtieth day after he
or she becomes a public servant, and periodically as appropriate during
the course of his or her city service. Every two years, each agency
shall develop and implement an appropriate agency training plan in
consultation with the board and the mayor's office of operations. Each
agency shall cooperate with the board in order to ensure that all public
servants in the agency receive the training required by this subdivision
and shall maintain records documenting such training and the dates
thereof. The training required by this subdivision may be in person,
provided either by the board itself or by agency personnel working in
conjunction with the board, or through an automated or online training
program developed by the board.
(c) The failure of a public servant to receive the training required
by this paragraph, to receive a copy of this chapter, or to sign the
statement required by this paragraph, or the failure of the agency to
maintain the required statement on file or record of training completed,
shall have no effect on the duty of such public servant to comply with
this chapter or on the enforcement of the provisions thereof.
c. Advisory opinions. 1. The board shall render advisory opinions with
respect to all matters covered by this chapter. An advisory opinion
shall be rendered on the request of a public servant or a supervisory
official of a public servant and shall apply only to such public
servant. The request shall be in such form as the board may require and
shall be signed by the person making the request. The opinion of the
board shall be based on such facts as are presented in the request or
subsequently submitted in a written, signed document.
2. Advisory opinions shall be issued only with respect to proposed
future conduct or action by a public servant. A public servant whose
conduct or action is the subject of an advisory opinion shall not be
subject to penalties or sanctions by virtue of acting or failing to act
due to a reasonable reliance on the opinion, unless material facts were
omitted or misstated in the request for an opinion. The board may amend
a previously issued advisory opinion after giving reasonable notice to
the public servant that it is reconsidering its opinion; provided that
such amended advisory opinion shall apply only to future conduct or
action of the public servant.
3. The board shall make public its advisory opinions with such
deletions as may be necessary to prevent disclosure of the indentity of
any public servant or other involved party. The advisory opinions of the
board shall be indexed by subject matter and cross-indexed by charter
section and rule number and such index shall be maintained on an annual
and cumulative basis.
4. Not later than the first day of September, nineteen hundred ninety,
the board shall initiate a rulemaking to adopt, as interpretive of the
provisions of this chapter, any advisory opinions of the board of ethics
constituted pursuant to chapter sixty-eight of the charter heretofore in
effect, which the board determines to be consistent with and to have
interpretive value in construing the provisions of this chapter.
5. For the purposes of this subdivision, public servant includes a
prospective and former public servant, and a supervisory official
includes a supervisory official who shall supervise a prospective public
servant and a supervisory official who supervised a former public
servant.
d. Financial disclosure. 1. All financial disclosure statements
required to be completed and filed by public servants pursuant to state
or local law shall be filed by such public servants with the board.
2. The board shall cause each statement filed with it to be examined
to determine if there has been compliance with the applicable law
concerning financial disclosure and to determine if there has been
compliance with or violations of the provisions of this chapter.
3. The board shall issue rules concerning the filing of financial
disclosure statements for the purpose of ensuring compliance by the city
and all public servants with the applicable provisions of financial
disclosure law.
e. Complaints. 1. The board shall receive complaints alleging
violations of this chapter.
2. Whenever a written complaint is received by the board, it shall:
(a) dismiss the complaint if it determines that no further action is
required by the board; or
(b) refer the complaint to the commissioner of investigation if
further investigation is required for the board to determine what action
is appropriate; or
(c) make an initial determination that there is probable cause to
believe that a public servant has violated a provision of this chapter;
or
(d) refer an alleged violation of this chapter to the head of the
agency served by the public servant, if the board deems the violation to
be minor or if related disciplinary charges are pending against the
public servant.
3. For the purposes of this subdivision, a public servant includes a
former public servant.
f. Investigations. 1. The board shall have the power to direct the
department of investigation to conduct an investigation of any matter
related to the board's responsibilities under this chapter. The
commissioner of investigation shall, within a reasonable time,
investigate any such matter and submit a confidential written report of
factual findings to the board.
2. The commissioner of investigation shall make a confidential report
to the board concerning the results of all investigations which involve
or may involve violations of the provisions of this chapter, whether or
not such investigations were made at the request of the board.
g. Referral of matters within the board's jurisdiction. 1. A public
servant or supervisory official of such public servant may request the
board to review and make a determination regarding a past or ongoing
action of such public servant. Such request shall be reviewed and acted
upon by the board in the same manner as a complaint received by the
board under subdivision e of this section.
2. Whenever an agency receives a complaint alleging a violation of
this chapter or determines that a violation of this chapter may have
occurred, it shall refer such matter to the board. Such referral shall
be reviewed and acted upon by the board in the same manner as a
complaint received by the board under subdivision e of this section.
3. For the purposes of this subdivision, public servant includes a
former public servant, and a supervisory official includes a supervisory
official who supervised a former public servant.
h. Hearings. 1. If the board makes an initial determination, based on
a complaint, investigation or other information available to the board,
that there is probable cause to believe that the public servant has
violated a provision of this chapter, the board shall notify the public
servant of its determination in writing. The notice shall contain a
statement of the facts upon which the board relied for its determination
of probable cause and a statement of the provisions of law allegedly
violated. The board shall also inform the public servant of the board's
procedural rules. Such public servant shall have a reasonable time to
respond, either orally or in writing, and shall have the right to be
represented by counsel or any other person.
2. If, after receipt of the public servant's response, the board
determines that there is no probable cause to believe that a violation
has occurred, the board shall dismiss the matter and inform the public
servant in writing of its decision. If, after the consideration of the
response by the public servant, the board determines there remains
probable cause to believe that a violation of the provisions of this
chapter has occurred, the board shall hold or direct a hearing to be
held on the record to determine whether such violation has occurred, or
shall refer the matter to the appropriate agency if the public servant
is subject to the jurisdiction of any state law or collective bargaining
agreement which provides for the conduct of disciplinary proceedings,
provided that when such a matter is referred to an agency, the agency
shall consult with the board before issuing a final decision.
3. If the board determines, after a hearing or the opportunity for a
hearing, that a public servant has violated provisions of this chapter,
it shall, after consultation with the head of the agency served or
formerly served by the public servant, or in the case of an agency head,
with the mayor, issue an order either imposing such penalties provided
for by this chapter as it deems appropriate, or recommending such
penalties to the head of the agency served or formerly served by the
public servant, or in the case of an agency head, to the mayor;
provided, however, that the board shall not impose penalties against
members of the council, or public servants employed by the council or by
members of the council, but may recommend to the council such penalties
as it deems appropriate. The order shall include findings of fact and
conclusions of law. When a penalty is recommended, the head of the
agency or the council shall report to the board what action was taken.
4. Hearings of the board shall not be public unless requested by the
public servant. The order and the board's findings and conclusions shall
be made public.
5. The board shall maintain an index of all persons found to be in
violation of this chapter, by name, office and date of order. The index
and the determinations of probable cause and orders in such cases shall
be made available for public inspection and copying.
6. Nothing contained in this section shall prohibit the appointing
officer of a public servant from terminating or otherwise disciplining
such public servant, where such appointing officer is otherwise
authorized to do so; provided, however, that such action by the
appointing officer shall not preclude the board from exercising its
powers and duties under this chapter with respect to the actions of any
such public servant.
7. For the purposes of this subdivision, the term public servant shall
include a former public servant.
i. Annual report. The board shall submit an annual report to the mayor
and the council in accordance with section eleven hundred and six of
this charter. The report shall include a summary of the proceedings and
activities of the board, a description of the education and training
conducted pursuant to the requirements of this chapter, a statistical
summary and evaluation of complaints and referrals received and their
disposition, such legislative and administrative recommendations as the
board deems appropriate, the rules of the board, and the index of
opinions and orders of that year. The report, which shall be made
available to the public, shall not contain information, which, if
disclosed, would constitute an unwarranted invasion of the privacy of a
public servant.
j. Revision. The board shall review the provisions of this chapter and
shall recommend to the council from time to time such changes or
additions as it may consider appropriate or desirable. Such review and
recommendation shall be made at least once every five years.
k. Except as otherwise provided in this chapter, the records, reports,
memoranda and files of the board shall be confidential and shall not be
subject to public scrutiny.
Section 2604.
§ 2604. Prohibited interests and conduct. a. Prohibited interests in
firms engaged in business dealings with the city.
1. Except as provided in paragraph three below,
(a) no public servant shall have an interest in a firm which such
public servant knows is engaged in business dealings with the agency
served by such public servant; provided, however, that, subject to
paragraph one of subdivision b of this section, an appointed member of a
community board shall not be prohibited from having an interest in a
firm which may be affected by an action on a matter before the community
or borough board, and
(b) no regular employee shall have an interest in a firm which such
regular employee knows is engaged in business dealings with the city,
except if such interest is in a firm whose shares are publicly traded,
as defined by rule of the board.
2. Prior to acquiring or accepting an interest in a firm whose shares
are publicly traded, a public servant may submit a written request to
the head of the agency served by the public servant for a determination
of whether such firm is engaged in business dealings with such agency.
Such determination shall be in writing, shall be rendered expeditiously
and shall be binding on the city and the public servant with respect to
the prohibition of subparagraph a of paragraph one of this subdivision.
3. An individual who, prior to becoming a public servant, has an
ownership interest which would be prohibited by paragraph one above; or
a public servant who has an ownership interest and did not know of a
business dealing which would cause the interest to be one prohibited by
paragraph one above, but has subsequently gained knowledge of such
business dealing; or a public servant who holds an ownership interest
which, subsequent to the public servant's acquisition of the interest,
enters into a business dealing which would cause the ownership interest
to be one prohibited by paragraph one above; or a public servant who, by
operation of law, obtains an ownership interest which would be
prohibited by paragraph one above shall, prior to becoming a public
servant or, if already a public servant, within ten days of knowing of
the business dealing, either:
(a) divest the ownership interest; or
(b) disclose to the board such ownership interest and comply with its
order.
4. When an individual or public servant discloses an interest to the
board pursuant to paragraph three of this subdivision, the board shall
issue an order setting forth its determination as to whether or not such
interest, if maintained, would be in conflict with the proper discharge
of the public servant's official duties. In making such determination,
the board shall take into account the nature of the public servant's
official duties, the manner in which the interest may be affected by any
action of the city, and the appearance of conflict to the public. If the
board determines a conflict exists, the board's order shall require
divestiture or such other action as it deems appropriate which may
mitigate such a conflict, taking into account the financial burden of
any decision on the public servant.
5. For the purposes of this subdivision, the agency served by
(a) an elected official, other than a member of the council, shall be
the executive branch of the city government,
(b) a public servant who is a deputy mayor, the director of the office
of management and budget, commissioner of citywide administrative
services, corporation counsel, commissioner of finance, commissioner of
investigation or chair of the city planning commission, or who serves in
the executive branch of city government and is charged with substantial
policy discretion involving city-wide policy as determined by the board,
shall be the executive branch of the city government,
(c) a public servant designated by a member of the board of estimate
to act in the place of such member as a member of the board of estimate,
shall include the board of estimate, and
(d) a member of the council shall be the legislative branch of the
city government.
6. For the purposes of subdivisions a and b of section twenty-six
hundred six, a public servant shall be deemed to know of a business
dealing with the city if such public servant should have known of such
business dealing with the city.
b. Prohibited conduct. 1. A public servant who has an interest in a
firm which is not prohibited by subdivision a of this section, shall not
take any action as a public servant particularly affecting that
interest, except that
(a) in the case of an elected official, such action shall not be
prohibited, but the elected official shall disclose the interest to the
conflicts of interest board, and on the official records of the council
or the board of estimate in the case of matters before those bodies,
(b) in the case of an appointed community board member, such action
shall not be prohibited, but no member may vote on any matter before the
community or borough board which may result in a personal and direct
economic gain to the member or any person with whom the member is
associated, and
(c) in the case of all other public servants, if the interest is less
than ten thousand dollars, such action shall not be prohibited, but the
public servant shall disclose the interest to the board.
2. No public servant shall engage in any business, transaction or
private employment, or have any financial or other private interest,
direct or indirect, which is in conflict with the proper discharge of
his or her official duties.
3. No public servant shall use or attempt to use his or her position
as a public servant to obtain any financial gain, contract, license,
privilege or other private or personal advantage, direct or indirect,
for the public servant or any person or firm associated with the public
servant.
4. No public servant shall disclose any confidential information
concerning the property, affairs or government of the city which is
obtained as a result of the official duties of such public servant and
which is not otherwise available to the public, or use any such
information to advance any direct or indirect financial or other private
interest of the public servant or of any other person or firm associated
with the public servant; provided, however, that this shall not prohibit
any public servant from disclosing any information concerning conduct
which the public servant knows or reasonably believes to involve waste,
inefficiency, corruption, criminal activity or conflict of interest.
5. No public servant shall accept any valuable gift, as defined by
rule of the board, from any person or firm which such public servant
knows is or intends to become engaged in business dealings with the
city, except that nothing contained herein shall prohibit a public
servant from accepting a gift which is customary on family and social
occasions.
6. No public servant shall, for compensation, represent private
interests before any city agency or appear directly or indirectly on
behalf of private interests in matters involving the city. For a public
servant who is not a regular employee, this prohibition shall apply only
to the agency served by the public servant.
7. No public servant shall appear as attorney or counsel against the
interests of the city in any litigation to which the city is a party, or
in any action or proceeding in which the city, or any public servant of
the city, acting in the course of official duties, is a complainant,
provided that this paragraph shall not apply to a public servant
employed by an elected official who appears as attorney or counsel for
that elected official in any litigation, action or proceeding in which
the elected official has standing and authority to participate by virtue
of his or her capacity as an elected official, including any part of a
litigation, action or proceeding prior to or at which standing or
authority to participate is determined. This paragraph shall not in any
way be construed to expand or limit the standing or authority of any
elected official to participate in any litigation, action or proceeding,
nor shall it in any way affect the powers and duties of the corporation
counsel. For a public servant who is not a regular employee, this
prohibition shall apply only to the agency served by the public servant.
8. No public servant shall give opinion evidence as a paid expert
against the interests of the city in any civil litigation brought by or
against the city. For a public servant who is not a regular employee,
this prohibition shall apply only to the agency served by the public
servant.
9. No public servant shall,
(a) coerce or attempt to coerce, by intimidation, threats or
otherwise, any public servant to engage in political activities, or
(b) request any subordinate public servant to participate in a
political campaign. For purposes of this subparagraph, participation in
a political campaign shall include managing or aiding in the management
of a campaign, soliciting votes or canvassing voters for a particular
candidate or performing any similar acts which are unrelated to the
public servant's duties or responsibilities. Nothing contained herein
shall prohibit a public servant from requesting a subordinate public
servant to speak on behalf of a candidate, or provide information or
perform other similar acts, if such acts are related to matters within
the public servant's duties or responsibilities.
10. No public servant shall give or promise to give any portion of the
public servant's compensation, or any money, or valuable thing to any
person in consideration of having been or being nominated, appointed,
elected or employed as a public servant.
11. No public servant shall, directly of indirectly,
(a) compel, induce or request any person to pay any political
assessment, subscription or contribution, under threat of prejudice to
or promise of or to secure advantage in rank, compensation or other
job-related status or function,
(b) pay or promise to pay any political assessment, subscription or
contribution in consideration of having been or being nominated, elected
or employed as such public servant or to secure advantage in rank,
compensation or other job-related status or function, or
(c) compel, induce or request any subordinate public servant to pay
any political assessment, subscription or contribution.
12. No public servant, other than an elected official, who is a deputy
mayor, or head of an agency or who is charged with substantial policy
discretion as defined by rule of the board, shall directly or indirectly
request any person to make or pay any political assessment, subscription
or contribution for any candidate for an elective office of the city or
for any elected official who is a candidate for any elective office;
provided that nothing contained in this paragraph shall be construed to
prohibit such public servant from speaking on behalf of any such
candidate or elected official at an occasion where a request for a
political assessment, subscription or contribution may be made by
others.
13. No public servant shall receive compensation except from the city
for performing any official duty or accept or receive any gratuity from
any person whose interests may be affected by the public servant's
official action.
14. No public servant shall enter into any business or financial
relationship with another public servant who is a superior or
subordinate of such public servant.
15. No elected official, deputy mayor, deputy to a citywide or
boroughwide elected official, head of an agency, or other public servant
who is charged with substantial policy discretion as defined by rule of
the board may be a member of the national or state committee of a
political party, serve as an assembly district leader of a political
party or serve as the chair or as an officer of the county committee or
county executive committee of a political party, except that a member of
the council may serve as an assembly district leader or hold any lesser
political office as defined by rule of the board.
c. This section shall not prohibit:
1. an elected official from appearing without compensation before any
city agency on behalf of constituents or in the performance of public
official or civic obligations;
2. a public servant from accepting or receiving any benefit or
facility which is provided for or made available to citizens or
residents, or classes of citizens or residents, under housing or other
general welfare legislation or in the exercise of the police power;
3. a public servant from obtaining a loan from any financial
institution upon terms and conditions available to members of the
public;
4. any physician, dentist, optometrist, podiatrist, pharmacist,
chiropractor or other person who is eligible to provide services or
supplies under title eleven of article five of the social services law
and is receiving any salary or other compensation from the city
treasury, from providing professional services and supplies to persons
who are entitled to benefits under such title, provided that, in the
case of services or supplies provided by those who perform audit, review
or other administrative functions pursuant to the provisions of such
title, the New York state department of health reviews and approves
payment for such services or supplies and provided further that there is
no conflict with their official duties; nothing in this paragraph shall
be construed to authorize payment to such persons under such title for
services or supplies furnished in the course of their employment by the
city;
5. any member of the uniformed force of the police department from
being employed in the private security field, provided that such member
has received approval from the police commissioner therefor and has
complied with all rules and regulations promulgated by the police
commissioner relating to such employment;
6. a public servant from acting as attorney, agent, broker, employee,
officer, director or consultant for any not-for-profit corporation, or
association, or other such entity which operates on a not-for-profit
basis, interested in business dealings with the city, provided that:
(a) such public servant takes no direct or indirect part in such
business dealings;
(b) such not-for-profit entity has no direct or indirect interest in
any business dealings with the city agency in which the public servant
is employed and is not subject to supervision, control or regulation by
such agency, except where it is determined by the head of an agency, or
by the mayor where the public servant is an agency head, that such
activity is in furtherance of the purposes and interests of the city;
(c) all such activities by such public servant shall be performed at
times during which the public servant is not required to perform
services for the city; and
(d) such public servant receives no salary or other compensation in
connection with such activities;
7. a public servant, other than elected officials, employees in the
office of property management of the department of housing preservation
and development, employees in the department of citywide administrative
services who are designated by the commissioner of such department
pursuant to this paragraph, and the commissioners, deputy commissioners,
assistant commissioners and others of equivalent ranks in such
departments, or the successors to such departments, from bidding on and
purchasing any city-owned real property at public auction or sealed bid
sale, or from purchasing any city-owned residential building containing
six or less dwelling units through negotiated sale, provided that such
public servant, in the course of city employment, did not participate in
decisions or matters affecting the disposition of the city property to
be purchased and has no such matters under active consideration. The
commissioner of citywide administrative services shall designate all
employees of the department of citywide administrative services whose
functions relate to citywide real property matters to be subject to this
paragraph; or
8. a public servant from participating in collective bargaining or
from paying union or shop fees or dues or, if such public servant is a
union member, from requesting a subordinate public servant who is a
member of such union to contribute to union political action committees
or other similar entities.
d. Post-employment restrictions. 1. No public servant shall solicit,
negotiate for or accept any position (i) from which, after leaving city
service, the public servant would be disqualified under this
subdivision, or (ii) with any person or firm who or which is involved in
a particular matter with the city, while such public servant is actively
considering, or is directly concerned or personally participating in
such particular matter on behalf of the city.
2. No former public servant shall, within a period of one year after
termination of such person's service with the city, appear before the
city agency served by such public servant; provided, however, that
nothing contained herein shall be deemed to prohibit a former public
servant from making communications with the agency served by the public
servant which are incidental to an otherwise permitted appearance in an
adjudicative proceeding before another agency or body, or a court,
unless the proceeding was pending in the agency served during the period
of the public servant's service with that agency. For the purposes of
this paragraph, the agency served by a public servant designated by a
member of the board of estimate to act in the place of such member as a
member of the board of estimate, shall include the board of estimate.
3. No elected official, nor the holder of the position of deputy
mayor, director of the office of management and budget, commissioner of
citywide administrative services, corporation counsel, commissioner of
finance, commissioner of investigation or chair of the city planning
commission shall, within a period of one year after termination of such
person's employment with the city, appear before any agency in the
branch of city government served by such person. For the purposes of
this paragraph, the legislative branch of the city consists of the
council and the offices of the council, and the executive branch of the
city consists of all other agencies of the city, including the office of
the public advocate.
4. No person who has served as a public servant shall appear, whether
paid or unpaid, before the city, or receive compensation for any
services rendered, in relation to any particular matter involving the
same party or parties with respect to which particular matter such
person had participated personally and substantially as a public servant
through decision, approval, recommendation, investigation or other
similar activities.
5. No public servant shall, after leaving city service, disclose or
use for private advantage any confidential information gained from
public service which is not otherwise made available to the public;
provided, however, that this shall not prohibit any public servant from
disclosing any information concerning conduct which the public servant
knows or reasonably believes to involve waste, inefficiency, corruption,
criminal activity or conflict of interest.
6. The prohibitions on negotiating for and having certain positions
after leaving city service, shall not apply to positions with or
representation on behalf of any local, state or federal agency.
7. Nothing contained in this subdivision shall prohibit a former
public servant from being associated with or having a position in a firm
which appears before a city agency or from acting in a ministerial
matter regarding business dealings with the city.
e. Allowed positions. A public servant or former public servant may
hold or negotiate for a position otherwise prohibited by this section,
where the holding of the position would not be in conflict with the
purposes and interests of the city, if, after written approval by the
head of the agency or agencies involved, the board determines that the
position involves no such conflict. Such findings shall be in writing
and made public by the board.
Section 2605.
§ 2605. Reporting. No public servant shall attempt to influence the
course of any proposed legislation in the legislative body of the city
without publicly disclosing on the official records of the legislative
body the nature and extent of any direct or indirect financial or other
private interest the public servant may have in such legislation.
Section 2606.
§ 2606. Penalties. a. Upon a determination by the board that a
violation of section twenty-six hundred four or twenty-six hundred five
of this chapter, involving a contract work, business, sale or
transaction, has occurred, the board shall have the power, after
consultation with the head of the agency involved, or in the case of an
agency head, with the mayor, to render forfeit and void the transaction
in question.
b. Upon a determination by the board that a violation of section
twenty-six hundred four or twenty-six hundred five of this chapter has
occurred, the board, after consultation with the head of the agency
involved, or in the case of an agency head, with the mayor, shall have
the power to impose fines of up to twenty-five thousand dollars, and to
recommend to the appointing authority, or person or body charged by law
with responsibility for imposing such penalties, suspension or removal
from office or employment.
b-1. In addition to the penalties set forth in subdivisions a and b of
this section, the board shall have the power to order payment to the
city of the value of any gain or benefit obtained by the respondent as a
result of the violation in accordance with rules consistent with
subdivision h of section twenty-six hundred three.
c. Any person who violates section twenty-six hundred four or
twenty-six hundred five of this chapter shall be guilty of a misdemeanor
and, on conviction thereof, shall forfeit his or her public office or
employment. Any person who violates paragraph ten of subdivision b of
section twenty-six hundred four, on conviction thereof, shall
additionally be forever disqualified from being elected, appointed or
employed in the service of the city. A public servant must be found to
have had actual knowledge of a business dealing with the city in order
to be found guilty under this subdivision, of a violation of subdivision
a of section twenty-six hundred four of this chapter.
d. Notwithstanding the provisions of subdivisions a, b and c of this
section, no penalties shall be imposed for a violation of paragraph two
of subdivision b of section twenty-six hundred four unless such
violation involved conduct identified by rule of the board as prohibited
by such paragraph.
Section 2607.
§ 2607. Gifts by lobbyists. Complaints made pursuant to subchapter
three of chapter two of title three of the administrative code shall be
made, received, investigated and adjudicated in a manner consistent with
investigations and adjudications of conflicts of interest pursuant to
this chapter and chapter thirty-four.
To the extent possible under law, Friends of Devin Balkind for Public Advocate has waived all copyright and related or neighboring rights to New York City Administrative Code. This work is published from: United States.
Special thanks to Benjarmin Kallos and Thom Neale who made this content publicly available as a bulk download.