Executive Order 6.1, Ethical Guidelines

Section 6.1 Executive Order-No. 1: Establishment of Ethical Conduct

Guidelines

 WHEREAS, government employment is a privilege rather than a right, and
is based upon the trust and confidence placed in the State's workers by
the public; and

 WHEREAS, all State employees therefore must act in a manner consistent
with that public trust, and must not take any actions that are intended,
or appear to be intended, to achieve personal gain or benefit; and

 WHEREAS, employees and officers of State agencies and public
authorities are subject to certain ethical statutes and rules, including
but not limited to the State Code of Ethics (Section 74 of the Public
Officers Law), statutory restrictions on business and professional
activities (Section 73 of the Public Officers Law), and opinions issued
by the State Ethics Commission; and

 WHEREAS, there are some areas where New York's existing statutes
governing ethical standards can and should be improved; and

 WHEREAS, until that occurs through legislative action, it is
appropriate to take steps to ensure that as many State employees and
officers as possible maintain the highest ethical and professional
standards;

 NOW, THEREFORE, I, Eliot Spitzer, Governor of the State of New York,
by virtue of the authority vested in me by the Constitution and Laws of
the State of New York, do hereby order as follows:

1. DEFINITIONS

 "Agency" shall mean any state agency, department, office, board,
commission or other instrumentality of the State, other than a public
authority.
 "Public authority" shall mean a public authority or public benefit
corporation created by or existing under any State law, at least one of
whose members is appointed by the Governor (including any subsidiaries
of such public authority or public benefit corporation), other than an
interstate or international authority or public benefit corporation.

2. APPLICATION

 This order shall apply to all State agency officers and employees who
serve at the pleasure of the Governor or their appointing authority, and
to all members of all public authorities who are appointed by the
Governor. Each public authority shall adopt policies or rules applying
the restrictions set forth below to all officers and employees who serve
at the pleasure of their appointing authority.

3. PROHIBITION AGAINST THE RECEIPT OF GIFTS

 Subject to the conditions set forth below, all individuals covered by
this executive order are prohibited from accepting gifts or gratuities
of more than normal value where the circumstances would permit the
inference that: (a) the gift was intended to influence the individual in
the performance of official business; or (b) the gift constituted a tip,
reward, or sign of appreciation for any official act by the employee.
This prohibition shall apply notwithstanding Public Officers Law Section
73(5), which provides that gifts up to $75 may be allowed in certain
circumstances.

4. PROHIBITION AGAINST THE USE OF STATE PROPERTY

 State supplies, equipment, computers, personnel and other resources
may not be utilized for non-governmental purposes, including for
personal purposes or for outside activities of any kind. This
prohibition includes but is not limited to the following:

 a. Official stationery may not be used for non-governmental purposes,
nor may State government resources by use to mail personal
correspondence. The designation "personal" on agency stationery means
only that the contents are meant for the personal viewing of the
addressee and not that the sender is acting unofficially. All letters
and other written materials printed on such official stationery are
considered official, and thus the designation "unofficial" has no
meaning and may not be used.

 b. Under no circumstances may State mail, postage, internal office
mail, or inter-city couriers be used for non-governmental purposes.

 c. State telephones may not be used for non-governmental long-distance
calls, except for toll-free calls, collect calls, and calls billed to a
personal telephone number. State telephones may be used for incidental
and necessary personal local calls that are of limited number and
duration and do not conflict with the proper exercise of the duties of
the State employee.

 d. State computers may be used for incidental and necessary personal
purposes, such as sending personal electronic mail messages, provided
that such use is in a limited amount and duration and does not conflict
with the proper exercise of the duties of the State employee.

 e. State vehicles shall be used for official business or incidental
use associated with official business away from an employee's official
work station. Individuals who are authorized by their agency or public
authority to use a vehicle for personal purposes shall keep records of
such use, and the value of such personal use shall be calculated and
reported as personal income to such individual for tax purposes.

5. PROHIBITION AGAINST NEPOTISM IN HIRING AND CONTRACTING

 a. No individual covered by this order may take part in any hiring or
employment decision relating to a family member. If a hiring or
employment matter arises relating to a family member, then the employee
must advise his or her supervisor of the relationship, and must be
recused from any and all discussions or decisions relating to the
matter.

 b. No individual covered by this order may take part in any
contracting decision: (i) relating to a family member; or (ii) relating
to any entity in which a family member is an officer, director or
partner, or in which a family member owns or controls 10% or more of the
stock of such entity.

 If a contracting matter arises relating to a family member, then the
employee must advise his or her supervisor of the relationship, and must
be recused from any and all discussions or decisions relating to the
matter.

 c. For the purposes of this paragraph, the term "family member" shall
mean any person living in the same household as the employee, and any
person related to the employee within the third degree of consanguinity
or affinity.

6. PROHIBITION AGAINST EXECUTIVE CHAMBER EMPLOYEES   LOBBYING STATE
AGENCIES AND PUBLIC AUTHORITIES

 The provisions of Public Officers Law Section 73(8) prohibiting former
State officers and employees from appearing or practicing before their
former agency for a period of two years shall, with respect to Executive
Chamber employees, extend to appearing or practicing before any
Executive Branch agency or public authority.

7.  PENALTIES

 Any violation of this order may result in dismissal or other
appropriate sanction as determined by the appointing authority of the
individual committing such violation.
                                              Signed:   Eliot Spitzer