Center for the Study of Ethics in the Professions at IIT

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Table of Contents

I Purpose 2

II Definitions 2

III Supersedes 3

IV Basic Policy and Structure of the Code 4

V Use of State Property 4

VI Acceptance of Gifts 4

VII Conflict of Interest 7

VIIIMisuse of Official Position or Information 11

IX Internal Employment of Relatives 11

X Supervisor/Subordinate Ethics Conflicts 13

XI Outside Employment and Activities 13

XII Post-employment Restrictions 16

XIIISpecial Casino-related Considerations 17

XIVPolitical Activity 19

XV Violations and Sanctions 21

XVIReporting Complaints Alleging Violations 21

Appendix -Guidelines for Attendance at Outside Events/Functions,

Acceptance of Honorarium, and Compensation for

Published Works 22

DEPARTMENT OF TRANSPORTATION

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CODE OF ETHICS

I. PURPOSE

To state the Code of Ethics policy for the New Jersey Department of

Transportation (hereinafter referred to as the "Department").

This Code is intended to complement the New Jersey Conflicts of Interest

Law (N.J.S.A. 52:13D-12 et seq.) and to establish the general standards of

conduct necessary for the proper and efficient operation of the Department.

It is also intended to supersede all previous codes of ethics. This Code of

Ethics shall apply to all employees of the Department.

II. DEFINITIONS

Chain of Command - a hierarchial series of superior-subordinate

relationships wherein there is authority over the assignment of work

responsibilities, salary determination, awarding of overtime, discipline,

performance assessment, and/or influence over career progress.

Code - shall mean this Code of Ethics.

Employee - shall mean both State officer and employee and special officer

and employee holding an office or employment with the Department.

Ethics Liaison Officer - shall mean the Assistant Commissioner, Finance

and Administration or designee.

Immediate family - shall mean for purposes of Section XIII, the employee’s

spouse, child, parent, or sibling residing in the same household.

Reassignment - the in-title movement of an employee to a new job function,

shift, location, or supervisor within the Department.

Relative - shall mean for purposes of Sections IX and XI of this Code, a

spouse, child, parent, grandparent, grandchild, aunt, uncle, first cousin,

mother, father, brother, sister, in-law, step-parent, step-child, or step-sibling.

Special State officer or employee - means (1) any person holding an office

or employment in a State agency, excluding an interstate agency, for which

office or employment no compensation is authorized or provided by law, or

no compensation other than a sum in reimbursement of expenses, whether

payable per diem or per annum, is authorized or provided by law; (2) any

person, not a member of the Legislature, holding a part-time elective or

appointive office or employment in a State agency, excluding an interstate

agency.

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State officer or employee - means any person, other than a special State

officer or employee, (1) holding an office or employment in a State agency,

excluding an interstate agency, other than a member of the Legislature, or (2)

appointed as a New Jersey member to an interstate agency.

Vendor - is defined as any general contractor, subcontractor, consultant,

person, firm, corporation, or organization engaging in or seeking to do

business with the Department.

Work Unit - shall mean for purposes of Section IX of this Code, an

operational group of employees who have the same immediate supervisor

and together perform duties related to their unit’s mission.

All reference in this Code to "special Department officer or employee" shall

be deemed to incorporate the definitions of "special State officer or

employee" contained in N.J.S.A. 52:13D-13. All references in this Code to

"State agency," "person," "interest," "cause," "proceeding," "application or

other matter," "member of the immediate family," and other similar terms

shall be deemed to incorporate the definitions of those terms contained in

N.J.S.A. 52:13D-13.

III. SUPERSEDES

This policy supersedes Policy Number: 2.109-D

IV. BASIC POLICY AND STRUCTURE OF THE CODE

The New Jersey Department of Transportation, as a department of the State

government, exists to serve the public interest. All employees must therefore

conduct themselves in the course of their duties so as to hold the respect,

trust, and confidence of the public. They must avoid any activity or

association which is, or appears to be, a violation of the public interest.

To maintain public trust and confidence, this Code of Ethics is adopted. Its

purpose is to inform Department employees of the standards of conduct and

responsibilities that govern them.

This Code of Ethics differentiates among three types of activities that could

potentially undermine public trust and confidence in the Department.

A. Activities that so clearly constitute a conflict of interest and violation of

public trust that they are expressly prohibited. For example, the

acceptance of a gift or favor from anyone doing business with the

Department or the solicitation of a bribe.

B. Activities that may give rise to questions about an employee’s integrity.

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Although the employee may have done no wrong, he or she is under an

obligation to report such activities to the Department’s Ethics Liaison

Officer. For example, the receipt of an offer of a bribe or gift.

C. Activities that may appear to give rise to a conflict of interest.

Employees are required to notify the Department’s Ethics Liaison

Officer and, in some cases, obtain permission before engaging in such

activities. For example, receiving an invitation to an event from

someone doing business with the Department.

In any instance where an employee is not certain what the standard of

conduct should be, the employee should seek the advice of the

Department’s Ethics Liaison Officer in order to avoid the possibility of

violating this Code.

V. USE OF STATE PROPERTY

An employee shall use the property and funds under his or her official

control in strict accordance with prescribed procedures and not for personal

gain or benefit.

A. Department property, equipment, funds, or other assets shall be used

only for Department business and not for personal use.

B. Department employees shall not be directed to type personal

communications, make personal phone calls, or run personal errands.

VI. ACCEPTANCE OF GIFTS

It is the policy of the Department of Transportation that no employee

shall accept any gift or other item of value from any firm, organization,

association, or individual doing business with the Department or those

that could reasonably be expected to do business with the Department.

Any gift or other item of value offered by or received from a person,

firm, or corporation that a Department officer or employee has contact

with in his or her official capacity must be reported and remitted

immediately to the Department’s Ethics Liaison Officer who shall then

make a determination as to whether or not the gift, favor, employment,

offer of employment, or other thing of value can be accepted. The report

shall clearly describe the gift, identify the donor, and set forth the

circumstances under which the gift was offered. It is not necessary to

notify the Department’s Ethics Liaison Officer or designee upon receipt of

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unsolicited gifts or benefits of a trivial or nominal value, such as

complimentary pens or pencils, offered to the general business public

through mass mailings. Note, however, that if a gift or benefit of a nominal

value does create an impression of a conflict of interest or a violation of a

public trust, it cannot be accepted but must be transmitted to the Ethics

Liaison Officer for return to the sender.

A. With respect to the acceptance or solicitation of any gift, favor, service

at preferential rates, employment, offer of employment or any other

thing of value, all employees are subject to the provisions of N.J.S.A.

52:13D-24, which provide as follows:

No State officer or employee, special State officer or employee, or

member of the Legislature shall solicit, receive or agree to receive,

whether directly or indirectly, any compensation, reward, employment,

gift or other thing of value from any source other than the State of New

Jersey for any service, advice, assistance or other matter related to his

or her official duties, except reasonable fees for speeches or published

works on matters within his or her official duties and except, in

connection therewith, reimbursement of actual expenditures for travel

and reasonable subsistence for which no payment or reimbursement is

made by the State of New Jersey (N.J.S.A. 52:13D-24).

Reasonable fees for speeches or published works on matters within his

or her official duties and reimbursements for actual expenditures

connected therewith for travel and reasonable subsistence, which are not

paid by the Department, may be accepted only after approval by the

Assistant Commissioner for Finance and Administration.

Except as noted elsewhere, employees are responsible for full payment

of the costs of their meals, beverages, lodging, travel and entertainment

and may not accept the same from any entity, person, partnership or

corporation doing business with the Department, contemplating such

business, or seeking to influence official actions.

B. The acceptance of any gifts, preferential loans, services at preferential

rates, discounts, gratuities or anything of monetary value from a person

or organization doing business with the Department or the granting of

special treatment or favors to such persons or organizations for the

purpose of obtaining personal gain, is a conflict of interest. Under this

section, the term person includes employees or agents of organizations

doing business with the Department, contemplating doing business with

the Department or seeking to influence official actions.

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This section covers gifts, loans, services, discounts, gratuities or

anything of monetary value that are made directly or indirectly to an

employee. Made indirectly means made to an employee’s relative or

organization designated by the employee. Relative refers to the

immediate family of an employee or the immediate family of an

employee’s spouse.

C. Examples of gifts include cash, liquor, food, personal or household

goods, use of cars, lodging and other favored treatment. This section

also includes a special prohibition, with the limited exception of

subsection D below, against the acceptance of beverages or

entertainment from persons or firms doing business with the Department

or contemplating doing business with it or seeking to influence official

actions.

D. Any employee who receives an invitation to any business-related

function (a conference, ground breaking, ribbon cutting, meal, open

house, cocktail party, fund-raiser, holiday party or other social function

or appearance involving honorarium, etc.) from or with a firm or person

doing business with the Department or contemplating doing business

with the Department, shall report the invitation to the Department’s

Ethics Liaison Officer with a copy to his or her supervisor. A

determination in consultation with appropriate persons will then be

made, and the employee will be advised accordingly.

Detailed information and procedures with regard to employee attendance at

functions can be found in the Department’s Guidelines for Attendance at Outside

Events/Functions found in the Appendix at the end of this booklet.

E. Guidelines Regarding Retirement Gifts

Typically, retirement functions comprise a get-together, with or without

a meal, and the presentation of a gift or monetary token to the retiree, to

his or her spouse, and/or to his or her dependents(s). In planning such

events, the responsible group or individual must choose between two

approved alternatives with regard to funding and the value of any and

all gifts to be presented.

1. Gifts may be funded by a maximum contribution of $5 per person,

collected from invitees to the retirement function. If this method of

funding is used, no maximum value is set for the cost of the gifts, but

contributions of more than $5 per invitee are not permitted.

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2. The maximum value of retirement gifts cannot exceed $1,000. If

this method is used, there is no maximum set on individual

contributions, but the total value of retirement gifts and/or monetary

tokens to the retiree, spouse, and dependent(s) cannot exceed $1,000.

If, instead of presenting gifts and/or monetary tokens to the retiree,

spouse, and dependents(s), a decision is made to make a monetary

contribution to a qualified organization (under I.R.S. Code 501 (3), no

limit is placed on the maximum value of the contribution.

VII. CONFLICTS OF INTEREST

A. General

1. A Department employee shall not have any interest, financial or

otherwise, direct or indirect, or engage in any business, transaction

or professional activity that is in conflict or could appear to be in

conflict with the proper discharge of his or her duties.

2. No Department employee should knowingly act in any way that

might reasonably be expected to create an impression or suspicion

among the public that he or she may be engaged in conduct

violative of his or her trust as a State officer or employee.

B. Contracting with the State

1. The Conflicts of Interest Law prohibits an employee from

knowingly undertaking or executing (in whole or in part) any

contract, agreement, sale or purchase of the value of $25 or more

that is made, entered into, awarded or granted by any state agency.

Note, special State officers and employees are only prohibited from

such contracting activities if they have responsibilities in

connection with the purchase or acquisition of property or services

by the state agency where they are employed or hold an office.

The above prohibition also extends to partners and business

associates. An employee is prohibited from executing an

agreement of sale with a state agency through any corporation in

which he or she owns or has control of more than 1% of the stock.

Similarly, an employee is prohibited from using any other person

to execute an agreement or sale with a State agency for his or her

own use or benefit. (See N.J.S.A. 52:13D-19.)

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2. The New Jersey Conflicts of Interest Law exempts only three

categories of contracts from the general prohibition. Before

entering into a contract falling within any of these categories,

approval must be obtained from the Executive Commission on

Ethical Standards through the Department’s Ethics Liaison Officer.

The three categories of contracts are:

· those purchases, contracts, agreements, or sales that are made after

public notice and competitive bidding;

· those that may be awarded without public advertising and

competitive bidding pursuant to Section 5 of Chapter 48 of the

Laws of 1944 (N.J.S.A. 52:34-10); and

· any contract of insurance entered into by the Director of the

Division of Purchase and Property, Department of the Treasury,

pursuant to Section 10 of Article 6 of Chapter 112 of the Laws of

1944 (N.J.S.A. 52:27B-62).

3. The Law states that no employee shall act as an officer or agent for

a State agency for the transaction of any business with a

corporation, company, association, or firm in the pecuniary profits

of which he or she has an interest (except that ownership or control

of 10% or less of the stock of a corporation shall not be deemed an

interest within the meaning of the law). The codes of ethics of all

State agencies also contain a provision to the effect that an

employee shall not act in his or her official capacity in any matter

wherein he or she has a direct or indirect personal financial interest

that might be expected to impair his or her objectivity or

independence of judgment. There is also a rule of common law that

no government official or employee may act in any matter in which

he or she has a direct or indirect interest. (See N.J.S.A.

52:13D-20.)

4. No State officer or employee of the Department shall represent,

appear for, or negotiate on behalf of or agree to represent, appear

for, or negotiate on behalf of, whether by himself or herself or by

or through any partnership, firm, or corporation in which he or she

has an interest or by any partner, officer, or employee of any such

partnership, firm, or corporation any person or party other than the

State in any negotiations for the acquisition or sale by the State or

a State agency of any interest in real or tangible or intangible

personal property, or in any proceedings, relative to such

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acquisition or sale before a condemnation commission or court;

provided, however, nothing contained in this section shall be

deemed to prohibit any person from representing himself or herself

in negotiations or proceedings concerning his or her own interest

in real property. (See N.J.S.A. 52:13D-15.)

5. The Conflicts of Interest law provides that despite the other

provisions of the statute a State officer or employee or a special

State officer or employee or his partners or any corporation or firm

in which he owns or controls more than 1% of the stock, assets or

profits may enter into a rental agreement with a State agency which

operates a facility which rents space or provides services to assist

small businesses which employ 50 people or less, pursuant to the

same terms and conditions as those offered to members of the

public generally. (See, N.J.S.A. 52:13D-19.2.)

Also note that the Conflicts of Interest law does not alter or affect

any other laws regulating public contracts. Department employees

must, therefore, be mindful that this Code of Ethics and the

Conflicts of Interest law contracting provisions are not the only

public contracting provisions with which they must comply. (See,

N.J.S.A. 52:13D-19.3.)

C. Appearances Before the State/Department

1. State officers or employees are specifically prohibited from either

agreeing to, or in fact representing, appearing for, or negotiating on

behalf of any person or party, other than the State, in connection

with any cause, proceeding, application, or other matter pending

before any State agency other than those listed below. Special State

officers or employees are prohibited from the above activities only

in connection with any cause, proceeding, application, or other

matter pending before the particular office, bureau, board, council,

commission, authority, agency, fund, or system in which the special

Department employee or officer holds office or employment. This

prohibition extends to any partnership, firm, or corporation in

which the State officer or employee or special State officer or

employee has an interest or any partner, officer, or employee of any

such partnership, firm, or corporation.

As an example of the above, a licensed Department engineer would

be prohibited by law from submitting dam inspection reports,

surveys, etc., or otherwise making contacts on behalf of a private

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acquisition or sale before a condemnation commission or court;

provided, however, nothing contained in this section shall be

deemed to prohibit any person from representing himself or herself

in negotiations or proceedings concerning his or her own interest

in real property. (See N.J.S.A. 52:13D-15.)

5. The Conflicts of Interest law provides that despite the other

provisions of the statute a State officer or employee or a special

State officer or employee or his partners or any corporation or firm

in which he owns or controls more than 1% of the stock, assets or

profits may enter into a rental agreement with a State agency which

operates a facility which rents space or provides services to assist

small businesses which employ 50 people or less, pursuant to the

same terms and conditions as those offered to members of the

public generally. (See, N.J.S.A. 52:13D-19.2.)

Also note that the Conflicts of Interest law does not alter or affect

any other laws regulating public contracts. Department employees

must, therefore, be mindful that this Code of Ethics and the

Conflicts of Interest law contracting provisions are not the only

public contracting provisions with which they must comply. (See,

N.J.S.A. 52:13D-19.3.)

C. Appearances Before the State/Department

1. State officers or employees are specifically prohibited from either

agreeing to, or in fact representing, appearing for, or negotiating on

behalf of any person or party, other than the State, in connection

with any cause, proceeding, application, or other matter pending

before any State agency other than those listed below. Special State

officers or employees are prohibited from the above activities only

in connection with any cause, proceeding, application, or other

matter pending before the particular office, bureau, board, council,

commission, authority, agency, fund, or system in which the special

Department employee or officer holds office or employment. This

prohibition extends to any partnership, firm, or corporation in

which the State officer or employee or special State officer or

employee has an interest or any partner, officer, or employee of any

such partnership, firm, or corporation.

As an example of the above, a licensed Department engineer would

be prohibited by law from submitting dam inspection reports,

surveys, etc., or otherwise making contacts on behalf of a private

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acquisition or sale before a condemnation commission or court;

provided, however, nothing contained in this section shall be

deemed to prohibit any person from representing himself or herself

in negotiations or proceedings concerning his or her own interest

in real property. (See N.J.S.A. 52:13D-15.)

5. The Conflicts of Interest law provides that despite the other

provisions of the statute a State officer or employee or a special

State officer or employee or his partners or any corporation or firm

in which he owns or controls more than 1% of the stock, assets or

profits may enter into a rental agreement with a State agency which

operates a facility which rents space or provides services to assist

small businesses which employ 50 people or less, pursuant to the

same terms and conditions as those offered to members of the

public generally. (See, N.J.S.A. 52:13D-19.2.)

Also note that the Conflicts of Interest law does not alter or affect

any other laws regulating public contracts. Department employees

must, therefore, be mindful that this Code of Ethics and the

Conflicts of Interest law contracting provisions are not the only

public contracting provisions with which they must comply. (See,

N.J.S.A. 52:13D-19.3.)

C. Appearances Before the State/Department

1. State officers or employees are specifically prohibited from either

agreeing to, or in fact representing, appearing for, or negotiating on

behalf of any person or party, other than the State, in connection

with any cause, proceeding, application, or other matter pending

before any State agency other than those listed below. Special State

officers or employees are prohibited from the above activities only

in connection with any cause, proceeding, application, or other

matter pending before the particular office, bureau, board, council,

commission, authority, agency, fund, or system in which the special

Department employee or officer holds office or employment. This

prohibition extends to any partnership, firm, or corporation in

which the State officer or employee or special State officer or

employee has an interest or any partner, officer, or employee of any

such partnership, firm, or corporation.

As an example of the above, a licensed Department engineer would

be prohibited by law from submitting dam inspection reports,

surveys, etc., or otherwise making contacts on behalf of a private

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NOTE: If a reassignment of an employee cannot be made within a reasonable

period of time and in an accommodating manner, subsequent to a marriage,

promotion or other job move which causes a nepotism/conflict problem, then the

Ethics Liaison Officer should be contacted for advice.

B. Responsibilities

· All employees are responsible for expeditiously disclosing to their

immediate supervisors any personal employment situation which creates

a conflict or appearance of conflict as outlined in this policy.

Management is responsible for immediately bringing these matters to

the attention of the Ethics Liaison Officer for review and possible

referral to the Department Ethics Advisory Committee. Failure by

employees and managers to make timely disclosures may result in

disciplinary action.

· The Ethics Liaison Officer, or the Ethics Advisory Committee, will

review the specific situation and determine an appropriate course of

action. The Department will work to fashion a reasonable

accommodation that will be consistent with the Code, and which fully

considers the employee’s rights and interests.

· Management is directly responsible for ensuring that plans of action

identified to address specific situations are adhered to.

· The Ethics Liaison Officer is responsible for providing clarification

and interpretation of this Code of Ethics section on the Internal

Employment of Relatives. All questions or requests for advice on this

section should be forwarded to the Ethics Liaison Officer.

C. Exceptions

Due to an extreme circumstance, an exception to this Code section may

be granted when the appropriate Assistant Commissioner, with authority

over the affected employee, makes a written request to the Ethics

Liaison Officer prior to making a final determination.

X. SUPERVISOR/SUBORDINATE ETHICS CONFLICTS

Consistent with determinations of the New Jersey Executive Commission on

Ethical Standards, non-related employees who share the same household

(cohabitants) under circumstances where there is a financial

interdependence, shall not work together in a direct supervisor-subordinate

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relationship. There must be an intermediate supervisory level between the

two, and the higher placed employee should have no supervisory or signatory

authority regarding personnel matters affecting the subordinate employee.

Further, all employees must disclose any outside employment, business or

financial relationship with other Department employees, particularly

subordinates or supervisors in their chain of command. Questions on

supervisor/subordinate ethics conflicts should be referred to the

Department’s Ethics Liaison Officer.

For further information, refer to the Department’s Procedure 2.1091-C, as

amended.

XI. OUTSIDE EMPLOYMENT AND ACTIVITIES

A. Employment and Activities Prohibited

No employee shall accept employment or render services for any private

or public interest when that employment or service is incompatible or

in conflict with the discharge of his or her official duties or when that

employment may tend to impair his or her objectivity or independence

of judgment in the performance of such duties. In addition, the hours of

outside employment may not conflict with work hours needed for the

discharge of official duties.

No Department employee shall act in his or her official capacity in any

matter wherein he or she has a direct or indirect personal financial

interest that might reasonably be expected to impair his or her

objectivity or independence of judgment. (See N.J.S.A. 52:13D-23(e)4.)

1. Approval for All Employment

All employee outside employment, whether compensated or not,

must be disclosed in writing on the Department's PR-102 form

entitled Certification by Employee Regarding Outside

Employment/Activity, prior to being undertaken and is subject to

Department approval. Furthermore, under state law all Department

outside employment forms must be forwarded to the New Jersey

Executive Commission on Ethical Standards for review.

Service for any other State, county, regional or municipal

governmental body, agency, commission, department or board

whether compensated or not is also considered to be employment.

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In order to be approved, outside employment must be limited in

scope, so as to avoid the potential for having any dealings with

entities, individuals, subsidiaries or affiliates who have business

dealings with the Department or who are likely to have business

dealings with the Department. In this regard, business dealings

include direct dealings as a contractor or vendor and indirect

dealings as a subcontractor, architect, engineer, accountant,

attorney or any other role.

It is the policy of the Department to encourage employee growth

through participation in outside professional organizations.

Employees participating in such organizations should not, however,

utilize state equipment and time for professional organizational

activities that are not related to their jobs and not approved by

supervision. Furthermore, when participating in professional

organizations employees should ensure that there is no conflict of

interest or barrier to the fulfillment of their Department duties and

responsibilities.

Outside voluntary activities which do not pose a conflict of interest

with Department employment (e.g., CYO Director or Little League

coach) need not be reported.

2. Notification of Relative’s Employment

All employees are required to notify Department management

regarding any relative employed by a contractor, consultant, vendor

or any other company or firm doing business with the Department.

Such notification shall be provided in writing on Department form

PR-102.

3. Notification of License

An employee licensed by a specific agency of State government to

engage in any particular business, profession, trade or occupation

shall disclose that information on the Department's PR-102 form

which by law must be forwarded to the New Jersey Executive

Commission on Ethical Standards for review. Such licenses shall

include, but are not limited to, those for accountants, architects,

attorneys, electricians, insurance brokers, land surveyors, plumbers,

professional engineers, professional planners, real estate agents and

brokers, etc.

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In order to be approved, outside employment must be limited in

scope, so as to avoid the potential for having any dealings with

entities, individuals, subsidiaries or affiliates who have business

dealings with the Department or who are likely to have business

dealings with the Department. In this regard, business dealings

include direct dealings as a contractor or vendor and indirect

dealings as a subcontractor, architect, engineer, accountant,

attorney or any other role.

It is the policy of the Department to encourage employee growth

through participation in outside professional organizations.

Employees participating in such organizations should not, however,

utilize state equipment and time for professional organizational

activities that are not related to their jobs and not approved by

supervision. Furthermore, when participating in professional

organizations employees should ensure that there is no conflict of

interest or barrier to the fulfillment of their Department duties and

responsibilities.

Outside voluntary activities which do not pose a conflict of interest

with Department employment (e.g., CYO Director or Little League

coach) need not be reported.

2. Notification of Relative’s Employment

All employees are required to notify Department management

regarding any relative employed by a contractor, consultant, vendor

or any other company or firm doing business with the Department.

Such notification shall be provided in writing on Department form

PR-102.

3. Notification of License

An employee licensed by a specific agency of State government to

engage in any particular business, profession, trade or occupation

shall disclose that information on the Department's PR-102 form

which by law must be forwarded to the New Jersey Executive

Commission on Ethical Standards for review. Such licenses shall

include, but are not limited to, those for accountants, architects,

attorneys, electricians, insurance brokers, land surveyors, plumbers,

professional engineers, professional planners, real estate agents and

brokers, etc.

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he or she has an interest or through any partner, officer or employee thereof,

any person or party other than the State in connection with any cause,

proceeding, application or other matter with respect to which such State

officer or employee or special State officer or employee shall have made any

investigation, rendered any ruling, given any opinion or been otherwise

substantially and directly involved at any time during the course of his or her

office or employment. Any person who willfully violates the provisions of

this section is a disorderly person and shall be subject to a fine not to exceed

$500 or imprisonment not to exceed 6 months, or both.

As an example, under the above statutory section, a former Department

project manager could not represent, appear for or negotiate for a new

employer, e.g., a consultant, before the Department, on a project he/she

managed while employed with the Department. The former employee could,

however, work on a new project that has arisen since he/she left the state, or

on a project which he/she did not have direct or substantial involvement

while employed with the Department.

Direct and substantial involvement, as stated in this statute, may exclude

persons who have been engaged in a cause, issue or project on a routine,

non-decision-making basis.

Questions concerning possible post-employment conflicts should be

addressed to the Department’s Ethics Liaison Officer prior to termination of

employment.

XIII. SPECIAL CASINO-RELATED CONSIDERATIONS

A. Concurrent Employment Restrictions

No State officer or employee, nor any person, nor any member of their

immediate families, or any partnership, firm or corporation with which

any Department officer or employee is associated or in which he or she

has an interest, or any partner, officer, director or employee or person

while he or she is associated with such partnership, firm or corporation,

shall hold, directly or indirectly, an interest in, or hold employment

with, or represent, appear for or negotiate on behalf of any holder of or

applicant for a casino license, or any holding or intermediary company

with respect thereto, in connection with any cause, application or matter,

except that (1) a State officer or employee other than a State officer or

employee included in the definition of person, and (2) a member of the

immediate family of a State officer or employee, or of a person may

hold employment with the holder of, or applicant for, a casino license

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he or she has an interest or through any partner, officer or employee thereof,

any person or party other than the State in connection with any cause,

proceeding, application or other matter with respect to which such State

officer or employee or special State officer or employee shall have made any

investigation, rendered any ruling, given any opinion or been otherwise

substantially and directly involved at any time during the course of his or her

office or employment. Any person who willfully violates the provisions of

this section is a disorderly person and shall be subject to a fine not to exceed

$500 or imprisonment not to exceed 6 months, or both.

As an example, under the above statutory section, a former Department

project manager could not represent, appear for or negotiate for a new

employer, e.g., a consultant, before the Department, on a project he/she

managed while employed with the Department. The former employee could,

however, work on a new project that has arisen since he/she left the state, or

on a project which he/she did not have direct or substantial involvement

while employed with the Department.

Direct and substantial involvement, as stated in this statute, may exclude

persons who have been engaged in a cause, issue or project on a routine,

non-decision-making basis.

Questions concerning possible post-employment conflicts should be

addressed to the Department’s Ethics Liaison Officer prior to termination of

employment.

XIII. SPECIAL CASINO-RELATED CONSIDERATIONS

A. Concurrent Employment Restrictions

No State officer or employee, nor any person, nor any member of their

immediate families, or any partnership, firm or corporation with which

any Department officer or employee is associated or in which he or she

has an interest, or any partner, officer, director or employee or person

while he or she is associated with such partnership, firm or corporation,

shall hold, directly or indirectly, an interest in, or hold employment

with, or represent, appear for or negotiate on behalf of any holder of or

applicant for a casino license, or any holding or intermediary company

with respect thereto, in connection with any cause, application or matter,

except that (1) a State officer or employee other than a State officer or

employee included in the definition of person, and (2) a member of the

immediate family of a State officer or employee, or of a person may

hold employment with the holder of, or applicant for, a casino license

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the public perception of a conflict of interest, on the part of the

employee. In no case shall the restrictions of this subsection apply to a

secretarial or clerical employee. (See N.J.S.A. 52:13D-17.2(c) (1) and

(2).)

C. Expiration

In the event that the Legislature repeals or suspends Section 4 of P.L.

1981 c. 142 (C. 52:13D-17.2), in whole or in part, the companion

sections of this code shall, to the same extent, be deemed repealed or

suspended and of no effect.

XIV. POLITICAL ACTIVITY

DEFINITIONS

Elective Office - shall mean any office that is voted upon at a primary,

special or general election, but does not include political party office.

Employee - shall mean any person holding an office or employment with the

Department.

Nonpartisan Election - shall mean an election where none of the candidates

are representing a party any of whose candidates for Presidential elector

received votes in the last Presidential election at which Presidential electors

were selected.

State Officer or Employee - shall mean for purposes of Hatch Act coverage

an individual employed by a State agency whose principal employment is in

connection with an activity that is financed in whole or part by loans or

grants made by the United States or a Federal agency, but does not include:

1. An individual who exercises no functions in connection with that

activity; or

2. An individual employed by an educational or research institution,

establishment, agency or system that is supported in whole or in part by

a State or political subdivision thereof, or by a recognized religious,

philanthropic or cultural organization.

Department of Personnel regulation requires that:

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An employee shall not directly or indirectly use or seek to use his or her

authority or influence of his or her position to control or modify the political

action of another person. An employee during the hours of duty shall neither

engage in political activity; nor shall he or she at any other time participate

in political activities so as to impair usefulness in the position in which he or

she is employed. A State employee retains the right to vote as he or she

chooses and to express his or her opinions on political subjects and

candidates.

Hatch Act Prohibitions

There are certain constraints on the political activity of State employees

covered by the Hatch Act. Under the Hatch Act, Executive branch

employees in any State agency whose principal employment is in connection

with an activity financed in whole or in part by federal loans or grants:

· may be a candidate for public office in a nonpartisan election.

· may campaign for and hold elective office in political clubs and

organizations.

· may actively campaign for candidates for public office in partisan and

nonpartisan elections.

· may contribute money to political organizations or attend political

fund-raising functions.

· may participate in any activity not specifically prohibited by law or

regulation.

· may not be a candidate for public office in a partisan election.

· may not use official authority or influence for the purpose of

interfering with or affecting the results of an election or a nomination for

office.

· may not directly or indirectly coerce contributions from subordinates

in support of a political party or candidate.

A violation on the part of an employee may possibly subject such employee

to criminal prosecution under the Department of Personnel statutes and may

be cause for removal or a loss of Federal loans or grants to the Department.

20

Questions in this regard may be referred to the Department’s Ethics Liaison

Officer.

NOTE: Employees who intend to run for partisan elective public office must

submit an Outside Employment/Activities (PR-102) Form to supervision and

the Ethics Liaison Officer prior to becoming a candidate for such office.

XV. VIOLATIONS AND SANCTIONS

Any Department employee found guilty by the Executive Commission on

Ethical Standards of a violation of any provision of the Conflicts of Interest

law shall be fined not less than $100 nor more than $500, which penalty may

be collected in a summary proceeding pursuant to the Penalty Enforcement

Law (N.J.S.A. 2A:58-1), and may be suspended from his or her office or

employment by order of the Commission for a period not in excess of one

year. If the Commission finds that the conduct of the employee constitutes

a willful and continuous disregard of the provisions of the Conflicts of

Interest law or of a code of ethics promulgated pursuant to the provisions of

this law, it may order such person removed from his or her office or

employment and may further bar such person from holding any public office

or employment in this State in any capacity whatsoever for a period not

exceeding five years from the date on which he or she was found guilty by

the Commission. These penalties may be in addition to any other punishment

provided by law. (See N.J.S.A. 52:13D-21(i).)

In addition to the above, Department employees who violate this Code of

Ethics are subject to disciplinary action by the Department as detailed in the

Department’s Guidelines for Discipline.

NOTE: Any time there is a violation of the Department Code of Ethics, and

discipline is to be considered, approval must first be obtained from the New

Jersey Executive Commission on Ethical Standards. Unionized employees

who are the target of an ethics investigation have the right, upon their

request, to union representation at any investigatory interview or meeting.

XVI. REPORTING COMPLAINTS ALLEGING VIOLATIONS

Employees wishing to file a complaint regarding an alleged violation should

prepare a memorandum/letter describing the incident(s) and forward it to the

Department’s Ethics Liaison Officer.

NOTE: Under the New Jersey Conscientious Employee Protection Act,

N.J.S.A. 34:19-1 et seq., as outlined in Department Policy No. 1.1124, it is

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unlawful for a Department manager or supervisor to take an adverse

employment action against an employee who discloses, objects to, or refuses

to participate in certain activities that the employee reasonably believes are

either illegal or in violation of a clear public policy.

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APPENDIX

GUIDELINES FOR ATTENDANCE AT OUTSIDE EVENTS/FUNCTIONS,

ACCEPTANCE OF HONORARIUM, AND COMPENSATION FOR

PUBLISHED WORKS

I. ATTENDANCE AT OUTSIDE EVENTS AND FUNCTIONS

A. Approval Process

During the course of their careers, most state officials at one time or another

are invited to events or functions sponsored by persons or groups working

outside State government. These invitations, extended to the State official

because of his or her government position, must be carefully reviewed and

approved by the Department’s Ethics Liaison Officer prior to attendance to

avoid any possible ethics conflicts.

In determining whether employee attendance at an outside event or function

is appropriate, it is necessary for the Department to evaluate whether the

attendance serves a legitimate state purpose. Considerations which are

relevant to this determination generally include, but are not limited to:

 The purpose of the event or function (meeting, conference, seminar,

training course, ground breaking ceremony or social get-together).

ô The identity of the sponsor (Department contractor, consultant,

supplier, trade organization, professional association, etc.) and/or other

participants.

í Whether attendance/participation will assist the Department

employee in carrying out his or her official duties and will support the

Department’s mission.

÷ The monetary value and character of the costs, benefits and/or

honoraria provided by the sponsor, including whether the costs, benefits

and/or honoraria are comparable to those offered to or purchased by

other attendees.

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APPENDIX

GUIDELINES FOR ATTENDANCE AT OUTSIDE EVENTS/FUNCTIONS,

ACCEPTANCE OF HONORARIUM, AND COMPENSATION FOR

PUBLISHED WORKS

I. ATTENDANCE AT OUTSIDE EVENTS AND FUNCTIONS

A. Approval Process

During the course of their careers, most state officials at one time or another

are invited to events or functions sponsored by persons or groups working

outside State government. These invitations, extended to the State official

because of his or her government position, must be carefully reviewed and

approved by the Department’s Ethics Liaison Officer prior to attendance to

avoid any possible ethics conflicts.

In determining whether employee attendance at an outside event or function

is appropriate, it is necessary for the Department to evaluate whether the

attendance serves a legitimate state purpose. Considerations which are

relevant to this determination generally include, but are not limited to:

 The purpose of the event or function (meeting, conference, seminar,

training course, ground breaking ceremony or social get-together).

ô The identity of the sponsor (Department contractor, consultant,

supplier, trade organization, professional association, etc.) and/or other

participants.

í Whether attendance/participation will assist the Department

employee in carrying out his or her official duties and will support the

Department’s mission.

÷ The monetary value and character of the costs, benefits and/or

honoraria provided by the sponsor, including whether the costs, benefits

and/or honoraria are comparable to those offered to or purchased by

other attendees.

22

APPENDIX

GUIDELINES FOR ATTENDANCE AT OUTSIDE EVENTS/FUNCTIONS,

ACCEPTANCE OF HONORARIUM, AND COMPENSATION FOR

PUBLISHED WORKS

I. ATTENDANCE AT OUTSIDE EVENTS AND FUNCTIONS

A. Approval Process

During the course of their careers, most state officials at one time or another

are invited to events or functions sponsored by persons or groups working

outside State government. These invitations, extended to the State official

because of his or her government position, must be carefully reviewed and

approved by the Department’s Ethics Liaison Officer prior to attendance to

avoid any possible ethics conflicts.

In determining whether employee attendance at an outside event or function

is appropriate, it is necessary for the Department to evaluate whether the

attendance serves a legitimate state purpose. Considerations which are

relevant to this determination generally include, but are not limited to:

 The purpose of the event or function (meeting, conference, seminar,

training course, ground breaking ceremony or social get-together).

ô The identity of the sponsor (Department contractor, consultant,

supplier, trade organization, professional association, etc.) and/or other

participants.

í Whether attendance/participation will assist the Department

employee in carrying out his or her official duties and will support the

Department’s mission.

÷ The monetary value and character of the costs, benefits and/or

honoraria provided by the sponsor, including whether the costs, benefits

and/or honoraria are comparable to those offered to or purchased by

other attendees.

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On a related subject, a State official cannot use his or her official title in any way

in soliciting compensation and must indicate that his or her views do not represent

those of the Department.

Prior to accepting compensation for published works on a subject matter related to

but not part of his or her official duties, a State official must receive the permission

of the Assistant Commissioner for Finance & Administration or the Department

Ethics Liaison Officer.