New (Proposed) Outside Employment Policy

1 Chapter 1, Section 18 May 2014

PERSONNEL MANAGEMENT Outside Activities Chapter 1 – Section 18 I. GENERAL

This section outlines the Office of Temporary and Disability Assistance's (OTDA) policy and procedures which all employees are to follow in requesting approval to engage in outside activities. Outside Activities may include outside employment, dual employment, extra service employment or volunteer service. APPM Chapter 3, Section 9 regarding Political Activity should be referred to in conjunction with this article to ensure that employees are in compliance with all applicable policies.

II. PRIMARY RESPONSIBILITY

The Bureau of Human Resources is responsible for coordinating OTDA’s review of all requests. It is also responsible for determining the appropriateness of scheduling, time and attendance and related issues. The Division of Legal Affairs (Counsel’s Office) is responsible for determining OTDA policy under such relevant standards as may be set by the New York State Joint Commission on Public Ethics (JCOPE) related to conflict of interest under the Public Officers Law and reviewing all requests for any such conflicts.

III. DEFINITIONS

A. Outside Employment refers to employment performed with private industry or a government agency other than New York State during off-duty hours or self-employment, including the rental of real estate in which the employee has an interest.

B. Dual Employment refers to employment of an OTDA employee in another State agency where the combined number of hours worked is less than or equal to 37.5 hours per week.

C. Extra Service Employment refers to employment performed by an OTDA

employee in another State agency when the combined number of hours worked is in excess of 37.5 hours per week. Extra Service Employment is usually performed after normal working hours, i.e., evenings, weekends and holidays or during an approved vacation leave.

D. Volunteer Service refers to any work or activity performed with a private entity, a

governmental or non-governmental agency or organization or group, either profit or non-profit, during off-duty hours for which no compensation is received, except that activities involving a religious, social, fraternal or recreational organization shall not constitute volunteer service for purposes of this policy unless:


(a) The activity or the position held in the organization requires the provision of “professional services” which are defined for purposes of this policy as services, including the rendering of advice or consultation, which involve the skills ordinarily expected of a person with specialized knowledge obtained through a regimented, intensive course of instruction in the skills and methods particular to the occupation; or

(b) The position held in the organization is one of an Officer, Director or Board Member, or

(c) It reasonably appears that the activity interferes or is in conflict with the proper

and effective discharge of an individual’s official duties or responsibilities. The following examples are illustrative of these definitions: Example # 1 - Unpaid coaching activity for a child’s sports team which occurs outside of

regularly scheduled work hours does not constitute “volunteer services” within the meaning of Part III.D and, therefore, need not be reported.

- Paid coaching for a child’s sports team is outside employment within the meaning of Part III.A.

Example # 2 - An attorney working for OTDA would be providing “professional services” within

the meaning of Part III.D.(a) if she provides legal advice to her church but not when playing piano for a church service.

- An accountant would not be providing “professional services” when acting as a

Den Leader for a Boy Scout troop, but would be if he were to act as the Treasurer for the troop.

Example # 3 - An OTDA employee who delivers meals for Equinox on Thanksgiving Day is

participating in an exempt volunteer activity which need not be reported. Example # 4 - An employee who works in OBFDM may be allowed to do volunteer work for a

homeless shelter but an employee of CSS who provides programmatic oversight to homeless shelters or an AQI employee who audits homeless shelters may not be able to perform this work based upon the intersection of that employee’s job duties with his/her type and level of involvement with the shelter. Under such circumstances, review is necessary to determine whether the work meets the definition of “volunteer services” pursuant to Part III.D.(c), in which case, approval must be requested and received before such work is performed.


Please note that any outside activity which will occur in whole or in part within an employee’s regularly scheduled work hours cannot be engaged in without the employee first receiving supervisory approval to either modify his or her work schedule or to charge leave accruals accordingly. Employees with questions about whether their volunteer activity is exempt from the reporting requirement are encouraged to contact OTDA’s Bureau of Human Resources.

IV. POLICY

A. No OTDA employee may engage in outside activities without first having received permission for such activity pursuant to the procedures set forth in this policy.

B. No OTDA employee shall accept or begin employment in any position or title, full-time or part-time, in the classified or unclassified service, in another State agency for which employment compensation is paid, without prior written consent by OTDA. Newly hired employees cannot continue in outside activities without the written consent of OTDA.

C. Employees may not engage in paid employment or voluntary service with a private

entity or a governmental or non-governmental agency or organization which conflicts with their duties or responsibilities in OTDA.

D. Employees who have been designated as policymakers in accordance with Section

73-a (1)(c)(ii) of the Public Officers Law, who anticipate receiving more than nominal compensation, as defined in the Rules and Regulations of JCOPE (19 NYCRR Section 932.1(d)), must obtain approval from JCOPE as well as OTDA prior to accepting outside activities. No person designated as a policymaker may serve as an officer or otherwise have a substantial interest in any entity which is licensed or supervised by OTDA.

E. OTDA employees are to pursue a course of conduct which will not raise suspicion

among the public that they are likely to be engaged in acts that are in violation of their public trust. OTDA employees should not accept paid employment including the rental of real estate or perform services on a voluntary basis which will impair, or give the appearance that their action will impair, the independence of their judgment in the exercise of their official duties.

The following guidelines are intended to assist employees and supervisors in identifying some potential conflicts of interest:

1. The outside employment or voluntary service may not create, or appear to create, a conflict of interest with policies and programs of OTDA.

2. The outside, dual, extra service employment or voluntary service may not diminish the employee's effectiveness in performing his/her duties as an OTDA employee or in any way discredit the program objectives of OTDA.


3. Outside employment or voluntary service shall not occur during normal working hours without appropriate charge to leave credits, or to leave without pay.

Such leaves may not interfere with carrying out the regular duties of an OTDA position. Refer to the Administrative Policies and Procedures Manual sections on Use of Leave Credits or Leave Without Pay. All such leaves are granted at OTDA discretion.

4. The rental of real estate in which the employee has an interest may create, or

appear to create, a conflict of interest in certain situations. For example, such a conflict would exist if an employee had an interest in a property that was to be rented at a rate other than the fair market value to individuals or organizations with whom the employee has substantial dealings as part of the employee's performance of his/her official duties.

F. Approval to engage in outside, dual, extra service employment or volunteer activities

including self-employment will be based on Center/Division/Bureau needs. No such approval shall be effective for a period of more than one year.

If an employee's outside, dual, extra service employment or volunteer activities will continue beyond a year, it is the employee's responsibility to request a new approval at least four weeks prior to the expiration date of the current approval. Approval for continuation of the activity may not be assumed.

G. Employees whose duties change substantially---either within OTDA or in the dual,

extra service, outside employment or volunteer service---must obtain a new approval.

H. Failure to secure prior approval(s) for outside activities, or continuing to engage in

outside activities when such approval has been denied are violations of this policy and may subject employees to disciplinary action (subject, where applicable, to the disciplinary procedures contained in NYS Civil Service Law and the collective bargaining agreements). Additionally, all employees should be aware that violations of certain parts of Public Officers Law Section 74 – Code of Ethics - may subject the employee to being fined, suspended or removed from employment (also subject to the applicable disciplinary procedures contained in NYS Civil Service Law and the collective bargaining agreements), in addition to a civil penalty, and that violations of certain parts of Public Officers Law Section 73 – Business or professional activities by state officers and employees and party officers – could be subject to civil penalties as assessed by JCOPE, as well as a referral to the appropriate prosecutor and upon such conviction such violation shall be punishable as a Class A Misdemeanor.


V. PROCEDURE

A. Request for Outside Activities

Responsibility Action Employee 1. Completes Section A of form

OTDA-1320 (Request for Approval of Outside Activities), including description of duties performed in OTDA and a description of duties of outside activity.

2. If employee has been designated a

policymaker, as referred to in Part IV.D above, he/she must also complete the NYS JCOPES’ Outside Activity Request form the first time he/she requests approval of compensated employment. The required form and information on the approval process can be obtained from the Ethics Act Monitoring Section in the Bureau of Human Resources (BHR) at [email protected].

3. Submits form OTDA-1320 and

duties descriptions to supervisor at least four weeks prior to desired start date of outside activity. If request is for Dual or Extra Service Employment, must also complete the Office of the State Comptroller’s form AC-1588 (Dual Employment/ Extra Service Approval).

Supervisor 4. Reviews request against needs of

Center/Division/Bureau and criteria for determining if a conflict of interest exists as referred to in Part IV.E above.

5. If it appears there may be a conflict

of interest, contacts Counsel’s Office or BHR for an opinion prior to approving/disapproving the request.


6. Completes Section B of form OTDA-1320, recommending approval or disapproval and including reason(s) for any disapproval. a. If no conflict of interest exists

and Center/Division/Bureau operations permit, approves request.

b. If a conflict of interest exists or

Center/Division/Bureau operations will not permit, disapproves request stating reason(s) for disapproval.

Forwards form OTDA-1320 to Ethics Act Monitoring Section in BHR at [email protected].

Ethics Act Monitoring Section Counsel’s Office

7. 8. 9.

Receives form OTDA-1320, logs form in, reviews for completeness and forwards form to Counsel’s Office for review. Reviews form OTDA-1320 for conflicts of interest under Public Officers Law. Completes Section C of form OTDA-1320, recommending approval or disapproval and including reason(s) for any disapproval.

10. Forwards form OTDA-1320 to Ethics Act Monitoring Section.

Ethics Act Monitoring Section 11. Reviews form OTDA-1320 for

conflict with work schedule and time and attendance issues, as well as recommendation of Counsel’s Office and the Center/Division/ Bureau.


12. Completes Section D of form OTDA-1320, approving or disapproving request and indicating reason(s) for disapproval and signs the form.

a. If APPROVED, forwards a copy of the signed form OTDA-1320 with a cover memo and a copy of the Outside Activities policy statement to the employee with a copy to the administrative coordinator for the employee’s Center/Division/Bureau. If AC-1588 accompanies the request, signs form and faxes a copy to the Office of the State Comptroller.

b. If DISAPPROVED, forwards a

memo explaining reason(s) for disapproval with a copy of the disapproved form OTDA-1320 and the original unsigned AC-1588, if applicable, to the employee with a copy to the administrative coordinator for the employee’s Center/Division/ Bureau.

13. Places the original form OTDA-

1320 and all other related documents in the employee's Personal History Folder.

Employee 14. If required as discussed in step 2

above, ensures that JCOPES’ Outside Activity Request has been approved. Employees requiring JCOPES’ approval or outside activity may not begin such activity until JCOPES’ approval has been received. As discussed in Part IV.A above, no employee shall engage in outside activities without prior written consent from OTDA.


B. Appeal of Disapproved Request to Perform Outside Activities

Responsibility Action Employee 1. Submits a written appeal of

disapproval, all other related documents, including copies of form OTDA-1320, indicating disapproval, to Deputy Commissioner for Operations and Program Support (OPS) with a copy to the Director of Human Resources. Appeal must be submitted within two weeks of receipt of disapproval.

Deputy Commissioner for OPS 2. Reviews written record and grants

or denies appeal. 3. Notifies employee and Director of

Human Resources in writing of decision within three weeks of receipt of appeal.

Employee 4. Receives notice of action:

a. GRANTED: May undertake

employment or voluntary activity.

b. DENIED: May not undertake

employment or voluntary activity.

NOTE: It is the responsibility of the

employee to ensure that all required approvals for the performance of other employment or voluntary service activities are obtained and maintained in accordance with this policy.

April 2014

New (Proposed) Outside Employment Policy

Documents

Transcript of New (Proposed) Outside Employment Policy