Conflicts of Interest

RCNY tit. 53, ch. 1

in effect

53 RCNY § 1-01 Valuable Gifts.

§ 1-01 Valuable Gifts. (a) What is a Valuable Gift. (1) For the purposes of Charter § 2604(b)(5), a "valuable gift" is any gift to a public servant that has a value of $50.00 or more, whether in the form of money, service, loan, travel, entertainment, hospitality, promise, or item of value in any other form. (2) For the purposes of Charter § 2604(b)(5), a "valuable gift" does not include: i. An unsolicited discount available to the general public, all government employees, or all City employees. ii. A prize from raffles or giveaways made available irrespective of whether the participants are public servants and where participation in the raffle or giveaway does not use City resources or identify the participant as a public servant. iii. Free attendance at labor union conferences and events, and any attendant meals or refreshments, offered by such union for the purposes of conducting union business. iv. Travel expenses paid by a prospective employer for a public servant to interview for a position, provided that the travel expenses are reasonable, the trip is no longer than necessary to complete the interview, and the public servant complies with City Charter § 2604(d)(1). (3) For the purposes of Charter § 2604(b)(5), two or more gifts to a public servant will be considered a single gift if they are given to the public servant within a twelve-month period by the same person or persons who the public servant knows or should know are: i. family members of one another; or ii. directors, trustees, or employees of the same firm or affiliated firms. (b) Definitions. As used in this section: (1) The term "family member" means: i. a spouse, domestic partner, child, grandchild, parent, sibling, and grandparent; ii. a parent, child, or sibling of a spouse or domestic partner; and iii. a spouse or domestic partner of a parent, child, or sibling. (2) The terms "child," "grandchild," "parent," "grandparent," and "sibling" include a step-child, step-grandchild, step-parent, step-grandparent, and step-sibling. (3) Firms are "affiliated" if: i. one is a subsidiary of the other; or ii. a single person or firm owns at least 25 percent of each firm. (c) Gifts from Family Members or Close Personal Friends. For the purposes of Charter § 2604(b)(5), a public servant may accept gifts that are customary on family or social occasions from a family member or close personal friend who the public servant knows is or intends to become engaged in business dealings with the City, when: (1) it can be shown under all relevant circumstances that it is the family or personal relationship rather than the business dealings that is the controlling factor; and (2) the public servant's receipt of the gift would not result in or create the appearance of: i. using their office for private gain; ii. giving preferential treatment to any person or entity; iii. losing independence or impartiality; or iv. accepting gifts or favors for performing official duties. (d) For the purposes of Section 2604(b)(5) of the Charter, a public servant may accept awards, plaques and other similar items which are publicly presented in recognition of public service, provided that the item or items have no substantial resale value. (e) Meals and Refreshments at Meetings. For the purposes of Charter Section 2604(b)(3) and Charter Section 2604(b)(5), a public servant may accept free meals or refreshments otherwise prohibited as valuable gifts at a meeting attended in the course of and for the purpose of conducting City business, provided that: (1) the public servant did not solicit the meal or refreshments; (2) the meal or refreshments are available to all participants without charge; (3) the meal or refreshments are not separable from the meeting at which the City business is being conducted; and (4) the meeting at which the City business is being conducted was not scheduled for the purpose of obtaining the meal or refreshments. (f) For the purposes of Section 2604(b)(5) of the Charter, a public servant may: (1) accept meals or refreshments when participating as a panelist or speaker in a professional or educational program and the meals or refreshments are provided to all panelists; (2) be present at a professional or educational program as a guest of the sponsoring organization; (3) be a guest at ceremonies or functions sponsored or encouraged by the City as a matter of City policy, such as, for example, those involving housing, education, legislation or government administration; (4) attend a public affair of an organization composed of representatives of business, labor, professions, news media or organizations of a civic, charitable or community nature, when invited by the sponsoring organization, provided that this exception does not apply when the invitation is from an organization which has business dealings, as defined in Section 2601(8) of the Charter, with, or a matter before, the public servant's agency; (5) be a guest at any function or occasion where the attendance of the public servant has been approved in writing as in the interests of the City, in advance where practicable or within a reasonable time thereafter, by the employee's agency head or by a deputy mayor if the public servant is an agency head. (g) For the purposes of Section 2604(b)(5) of the Charter, a public servant who is an elected official or a member of the elected official's staff authorized by the elected official may attend a function given by an organization composed of representatives of business, labor, professions, news media or organizations of a civic, charitable or community nature, when invited by the sponsoring organization. For the purpose of this subdivision, the authorizing elected official for the central staff of the council is the speaker of the council. (h) Travel and Travel-Related Expenses. (1) For the purposes of Section 2604(b)(3) of the Charter and Section 2604(b)(5) of the Charter, a public servant may accept travel-related expenses from a third party as a gift to the City provided that the following conditions are met: i. the trip is for a City purpose and therefore could properly be paid for with City funds; ii. the travel arrangements are appropriate to that purpose; iii. the trip is no longer than reasonably necessary to accomplish the governmental business which is its City purpose; iv. the public servant received agency head approval in advance upon presenting such agency head with a detailed itinerary which reflects the trip's City purpose; and v. all solicitation for and reporting of travel-related expenses are made in accordance with 53 RCNY § 1-14. (2) An elected official whose trip includes both City governmental activities and political activities may accept as a gift to the City travel-related expenses from a third party only to cover the percentage of the costs equal to the time spent on City governmental business. A public servant working in an agency or office headed by an elected official may accompany such elected official on a mixed-purpose trip and use his or her personal time for the political purposes of the trip, but may accept as a gift to the City travel-related expenses from a third party only to cover the percentage of the costs equal to the time spent on governmental business. (3) A public servant may use his or her own funds and accrued leave for personal travel before or after a trip taken for a City purpose provided that: i. any increased or additional costs resulting from the personal travel are borne solely by the public servant; and ii. such personal travel receives agency head approval in advance. (4) A public servant may not accept compensation for personal use from a common carrier for the voluntary or involuntary surrender of a seat on a trip taken for a City purpose. A public servant offered compensation for the surrender of the seat must: i. request the compensation offered be issued in a form payable or transferable to the City; and ii. transfer such compensation to the City. (5) A public servant may accept and use vouchers for food, accommodations, and ground transportation offered by a common carrier in connection with delayed City travel, provided that the public servant does not use his or her City position to obtain additional compensation from the common carrier. (6) A public servant may accumulate reward points or frequent flyer miles for personal use while traveling on City business, provided that the public servant does not make a travel selection based on receiving or increasing frequent reward points or flyer benefits that result in additional expense to the City. (7) For the purposes of this subdivision, agency head approval must be by the head of the agency served by the public servant, or by a deputy mayor if the public servant is an agency head. A public servant who is an elected official, including a District Attorney, is the agency head for the public servants employed by the official's agency or office. A public servant who is an elected official, including a District Attorney, may provide agency head approval for himself or herself. (i) Gifts to Enhance Employee Morale. (1) For the purposes of Section 2604(b)(3) of the Charter and Section 2604(b)(5) of the Charter, tickets to an entertainment, sporting, or cultural event may be accepted as a gift to the City for use by City employees provided that: i. the attending public servants are not required to file annual disclosure reports pursuant to New York City Administrative Code § 12-110; ii. the offer of the free attendance is unsolicited by any public servant; iii. the public servants attending the event are selected according to a method that receives agency head approval in writing; and iv. the public servants attending the event are not involved in the consideration of any pending particular matter, legislative proposal, action on the City budget, or text of the zoning resolution in which the offeror of tickets or the host of the event is a party or has an interest. (j) Donations for Personal Emergencies. (1) For the purposes of Section 2604(b)(3) of the Charter and Section 2604(b)(5) of the Charter, donations may be solicited to alleviate a public servant's immediate and serious financial need caused by a personal emergency such as an accident, sickness, or being the victim of a crime, provided that no donations are solicited from: i. any subordinate of the beneficiary public servant or soliciting public servant; ii. any firm or individual that has a particular matter, legislative proposal, action on the City budget, or text of the zoning resolution pending before the beneficiary public servant or soliciting public servant; or iii. any firm with which the beneficiary public servant or soliciting public servant deals in their City work. (2) For the purposes of Section 2604(b)(3) of the Charter and Section 2604(b)(5) of the Charter, a public servant may accept donations to alleviate such public servant's immediate and serious financial need caused by a personal emergency, provided that the donors' identities are not in any way revealed to the public servant and the donations directly address the immediate and serious financial need caused by the personal emergency. (k) Gifts Between Public Servants. (1) Section 2604(b)(3) of the Charter does not prohibit a public servant from giving: i. a gift to a subordinate; or ii. a gift to or receiving a gift from a public servant who is not a superior or a subordinate. (2) Pursuant to Section 2604(b)(3) of the Charter, a public servant may not accept or solicit a gift from a subordinate or group of subordinates except: i. a public servant may accept a gift from a subordinate or group of subordinates in connection with a special occasion marking a major life event, such as a wedding, the birth or adoption of a child, or retirement, provided that the gift is of the type and value customary to the occasion in question; and ii. a public servant may accept a gift from a subordinate or group of subordinates in connection with a holiday, birthday, or other event if the total value of the gift does not exceed $10 and the gift is not cash or a cash equivalent. (l) Disposition of Impermissible Gifts. (1) If a public servant receives a gift not addressed by any of the exceptions set forth in this section, the public servant must return the gift to the giver. (2) If a gift cannot be returned, the public servant's agency head may, after providing written notice to the inspector general of the public servant's agency: i. donate the item to the agency, to an entity as defined in 53 RCNY § 1-14(a)(1)(iii), or to the Mayor's Fund to Advance New York; ii. share the item within the agency; or iii. destroy the item. (m) Compatibility with Other Laws. (1) City agencies may establish rules concerning gifts for their own employees that may not be less restrictive than the requirements set forth in Section 2604(b)(3) of the Charter and Section 2604(b)(5) of the Charter as interpreted by this section. (2) Nothing in this section will be deemed to authorize a public servant to act or accept a gift of any value in violation of any applicable federal, state, or local law, including criminal laws, City agency rules, or Mayoral Executive Orders (including, but not limited to, Executive Order No. 16 of 1978 (as amended)), which may impose additional requirements to report gifts and offers of gifts to the agency's inspector general, whether or not a gift is accepted or returned. (3) This section must be read in conjunction with the provisions of Section 2604(b)(2) of the Charter and 53 RCNY § 1-13; Section 2604(b)(13) of the Charter; and Section 2604(b)(14) of the Charter and 53 RCNY § 1-10. (Amended City Record 4/3/2020, eff. 5/3/2020; amended City Record 3/1/2021, eff. 3/31/2021; amended City Record 5/27/2021, eff. 6/26/2021; amended City Record 4/26/2022, eff. 5/26/2022)

53 RCNY § 1-02 Public Servants Charged with Substantial Policy Discretion.

§ 1-02 Public Servants Charged with Substantial Policy Discretion. (a) Definition. For purposes of Charter Sections 2604(b)(12) and 2604(b)(15), and Administrative Code §§ 3-1102(e)(6) and 12-110, a public servant charged with substantial policy discretion includes: (1) public servants with major responsibilities and who exercise independent judgment in connection with determining important agency matters; (2) agency heads, deputy agency heads, assistant agency heads, and public servants in charge of any major office, division, bureau, or unit of an agency; (3) members of boards and commissions other than community boards. (b) Reporting. By February 7 and August 7 each year, agency heads must provide to the Board a list of the public servants at their agencies charged with substantial policy discretion. The list must include a current agency organizational chart and the name; office title; agency office, division, or unit; and email address of each public servant charged with substantial policy discretion. (1) If the Board determines that a public servant should be added to or removed from this list, the Board shall notify the agency head of that determination. Within 30 days of receipt of the Board determination, an agency head may submit to the Board a written request for reconsideration of the Board’s determination. (2) Within 30 days of receipt of an agency’s list, the Board will post on its website the name; office title; agency; and office, division, or unit of those public servants charged with substantial policy discretion. If the Board determines that a public servant should be added to or removed from this list, the Board shall promptly post an updated list on the Board’s website. (c) Notification. Within 30 days of receipt of an agency’s list, the Board will notify in writing those public servants charged with substantial policy discretion that they are subject to the restrictions set forth in Charter Section 2604(b)(12) and Section 2604(b)(15). If the Board determines that a public servant should be added to or removed from this list, the Board will promptly notify such public servant. (Amended City Record 10/24/2019, eff. 11/23/2019; amended City Record 5/31/2024, eff. 6/30/2024)

53 RCNY § 1-03 Definition of Lesser Political Office Than That of Assembly District Leader Which May be Held by Members of the City Council.

§ 1-03 Definition of Lesser Political Office Than That of Assembly District Leader Which May be Held by Members of the City Council. For purposes of Section 2604(b)(15) of the Charter, the definition of a political office which is a "lesser political office" than that of assembly district leader includes: (a) membership on a county committee; (b) membership on a county executive committee; (c) membership on a state committee; and (d) membership on a national committee.

53 RCNY § 1-04 Investments in Publicly Traded Securities.

§ 1-04 Investments in Publicly Traded Securities. (a) Definition of a Firm Whose Shares are Publicly Traded. For purposes of Section 2604(a)(1)(b) of the Charter, "a firm whose shares are publicly traded" means a firm that offers or sells its shares to the public and is listed and registered with the Securities Exchange Commission for public trading on national securities exchanges or over-the-counter markets. (b) Investments Held in IRAs. For purposes of Charter Section 2601(16), an "ownership interest" includes investments in firms held in an individual retirement account ("IRA"), Roth IRA, Simplified Employee Pension IRA, or Keogh plan, provided that the investment is not otherwise excluded from the definition of "ownership interest." (c) Public Debt Obligations. (1) Except as provided in paragraph (2) of this subdivision, for purposes of Charter Section 2604(a)(1) and Section 2601(11), a public servant is not prohibited from owning debt obligations issued by the City or "other similar entities" as defined in 53 RCNY § 1-08. (2) For purposes of Charter Section 2604(b)(2), Section 2604(b)(3), and Section 2604(b)(4), a public servant, prior to becoming personally and substantially involved in the issuance and/or management of City debt obligations, must divest their ownership in such debt obligations, and for the duration of such involvement may not buy or hold such City debt obligations on behalf of the public servant or an associated person or firm. For purposes of Charter Section 2604(b)(3), a public servant who is personally and substantially involved in the issuance and/or management of City debt obligations may not trade, or participate in trading, City debt obligations on behalf of, or for the account of, an associated person or firm. (Amended City Record 2/22/2021, eff. 3/24/2021)

53 RCNY § 1-05 Definition of Blind Trust.

§ 1-05 Definition of Blind Trust. (a) For purposes of Section 2601(6) of the Charter, the term "blind trust" means a trust in which a public servant, or the public servant's spouse, domestic partner, as defined in New York City Administrative Code § 1-112(21), 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, as defined in New York City Administrative Code § 1-112(21), and unemancipated child have no knowledge, and which meets the following requirements: (1) The trust is under the management and control of a trustee who is a bank or trust company authorized to exercise fiduciary powers, a licensed attorney, a certified public accountant, a broker or an investment advisor, who is: (i) independent of any interested party; (ii) is not or has not been an employee of any interested party or any firm in which any interested party has a substantial investment, and is not a partner of, or involved in any joint venture or other investment with any interested party; and (iii) is not a relative of any party. (2) The trust instrument provides that: (i) the trustee in the exercise of his or her authority and discretion to manage and control the assets of the trust shall not consult or notify any interested party; (ii) the trust tax return shall be prepared by the trustee or his or her designee and such return and any information relating thereto (except as such information may be needed by an interested party in order to complete a personal tax return) shall not be disclosed to any interested party; (iii) no interested party shall receive any report on the holdings and sources of income of the trust, except periodic reports with respect to the total cash value of the trust or the net income or loss of the trust; (iv) there shall be no communications, direct or indirect, between the trustee and an interested party with respect to the trust unless such communication is in writing. Except as provided elsewhere in this subdivision, such written communications shall be limited to the general financial interest and needs of the interested party, including requests for distribution of cash or other unspecified assets of the trust; (v) the interested parties shall make no effort to obtain, and shall take appropriate action to avoid, receiving information with respect to the holdings and the sources of income of the trust including obtaining a copy of any trust tax return file or any information relating thereto except as such information may be needed by an interested party in order to complete a personal tax return. (3) For purposes of this subdivision, the term "interested party" means a public servant, or the public servant's spouse, domestic partner, as defined in New York City Administrative Code § 1-112(21), or unemancipated child. (b) Existing trusts. (1) Any trust existing as of the effective date of these Regulations shall be deemed a blind trust for purposes of these Regulations if the trust instrument is amended to comply with the requirements of paragraph 2 of subdivision (a) of this section and the trustee of the trust meets the requirements of subdivision (a) of such section, or, in the case of a trust instrument which does not by its terms permit amendment, if the trustee and the trust beneficiary (or, if the trust beneficiary is a dependent child, any other interested party) agree in writing that the trust shall be administered in accordance with the requirements of paragraph 2 of subdivision (a) of this section and the trustee of the trust meets the requirement of paragraph 1 of subdivision (a) of this section. (c) Establishment and dissolution of blind trust. (1) The preparer of a blind trust instrument, or agreement entered into pursuant to subdivision (a) of this section shall, within thirty days of the establishment of such trust or agreement, file an affidavit with the Conflicts of Interest Board stating that the blind trust instrument or trust as agreed to be administered pursuant to agreement, as the case may be, conforms to the requirements set forth in paragraph 2 of subdivision (a) of this section and that the trustee meets the requirements of subdivision (a) of such section. (2) Within thirty days of the dissolution of blind trust, the beneficiary of such trust or other interested party shall file an affidavit with the Conflicts of Interest Board stating that such blind trust has been dissolved and identifying the date of such dissolution.

53 RCNY § 1-06 Definition of Primary Employment with the City.

§ 1-06 Definition of Primary Employment with the City. (a) For purposes of Section 2601(20) of the Charter, "primary employment with the City" means the employment of those public servants who receive compensation from the City and are employed on a full-time basis or the equivalent or who are regularly scheduled to work the equivalent of 20 or more hours per week. (b) "Primary employment with the City" shall not mean employment of: (i) members of the City Planning Commission, except for the Chair; (ii) interns employed in connection with a program at an educational institution or full-time students; (iii) persons employed for a period not to exceed six consecutive months; or (iv) persons employed on special projects, investigations or programs, in excess of six months but of limited duration, as the Board shall determine. (c) For purposes of Section 2601(20) of the Charter, the term "compensation" shall not mean reimbursement for expenses or per diem payments to members of commissions and boards.

53 RCNY § 1-07 Post-Employment.

§ 1-07 Post-Employment. (a) Post-employment appearances. (1) For the purposes of the restrictions set forth in Charter § 2604(d) on appearances by a former public servant before their former City agency, or branch of City government, or the City, such prohibited appearances include compensated communications with representatives of that former agency or branch of City government sitting as members of City boards, commissions, or other governmental entities. (2) The restrictions set forth in Charter § 2604(d) on appearances by a former public servant do not include appearances related to non-City matters. (b) Date of termination of City service. (1) For purposes of Charter § 2604(d)(2), the date of termination of a former public servant's City service is the later of the last day a former public servant performed official City duties or the last day they received benefits conditioned upon current City employment. (2) A former public servant who has served more than one City agency within one year prior to the termination of such public servant's service with the City may not appear before each such City agency for a period of one year after the termination of service from each such agency. (c) Waivers of the post-employment restrictions. (1) In determining whether to issue a waiver pursuant to Charter § 2604(e) of the post-employment restrictions of Charter § 2604(d) the Board will consider the totality of the circumstances, including, but not limited to: (i) whether the City shares an identity of interest with, or controls or effectively controls, the former public servant's private employer; (ii) whether the former public servant is uniquely suited to perform work that would benefit the City because: 1. the private employer has no other employees able to engage in the proposed appearances or work; or 2. the former public servant has rare or unique technical or professional expertise necessary to engage in the proposed appearances or work; (iii) whether the former public servant is unlikely to exercise undue influence on government decision-making because they were a public servant for only a short period of time; and (iv) whether the former public servant's proposed appearances or work do not pose a risk of harm to firms similar to, or in competition, with the former public servant's private employer. (2) The Board will not grant requests for waivers of Charter § 2604(d): (i) made after undue delay; or (ii) for former public servants who were not fully and formally recused from all particular matters involving the private employer from the time of soliciting or negotiating for employment with the private employer through the termination of their City service. (d) Consulting for a former City agency. (1) Pursuant to Charter § 2604(d)(6), with the written approval of the agency head, a former public servant may be directly retained by their former City agency as a consultant within one year of the termination of their City service, and may work on particular matters with which they were personally and substantially involved, provided that: (i) the consulting arrangement is made for the purpose of continuing or completing work left unfinished by the former public servant at the time their City service terminated, or for training their replacement, or for filling a vacancy until a replacement can be hired; (ii) the duration of the consulting arrangement is no longer than reasonably necessary; (iii) the former public servant has technical, professional, or other subject-matter expertise or skills not otherwise available among the agency's employees; (iv) the compensation is comparable to what the former public servant last earned at the agency; and (v) within 30 days the written approval of the agency head is disclosed to the Conflicts of Interest Board, which approval will be posted on the Board's website. (2) Where a proposed consulting arrangement between a City agency and a former public servant does not meet all of the requirements set forth in paragraph (1) of this subdivision and is therefore not covered by Charter § 2604(d)(6), a waiver may be sought for such a proposed arrangement pursuant to 53 RCNY § 1-07(c). (3) Pursuant to Charter § 2604(e), a consulting arrangement between a former public servant and their former agency that meets the requirements of paragraph (1) of this subdivision but under which the former public servant is retained through a private firm for the administrative convenience of the City may be entered into if: (i) the former public servant played no role in the recommendation or selection of the private firm in his or her work as a public servant; and (ii) after receiving written approval of the head of the City agency, the Board determines that the proposed consulting arrangement would provide a benefit to the City distinct from the benefit to the former public servant or to the private firm. (Amended City Record 10/27/2020, eff. 11/26/2020)

53 RCNY § 1-08 Definition of "Other Similar Entity" Within the Definition of "Firm".

§ 1-08 Definition of "Other Similar Entity" Within the Definition of "Firm". (a) For the purposes of Section 2601(11) of the Charter, the term "other similar entity" includes, but is not limited to, any of the following entities: (1) local, state, and federal governments and their agencies; (2) New York State public authorities; (3) New York local public authorities; (4) the United Nations; (5) the United States Postal Service; (6) the State University of New York, the City University of New York, and the public university systems of the United States or any United States state, municipality, or territory; (7) the Brooklyn Public Library; (8) the Queens Public Library; and (9) charter schools created, pursuant to New York State Education Law Article 56. (b) For the purposes of Section 2601(11) of the Charter, the term "local development corporation" includes only local development corporations affiliated with, sponsored by, or created by New York State government or by a New York county, city, town, or village. (Added City Record 12/21/2018, eff. 1/20/2019; amended City Record 3/1/2021, eff. 3/31/2021) Editor's note: Former section renumbered as 53 RCNY § 4-01.

53 RCNY § 1-09 Prohibited Appearances by City Planning Commissioners Before City Agencies.

§ 1-09 Prohibited Appearances by City Planning Commissioners Before City Agencies. (a) For the purposes of Section 192(b) of the Charter, no member of the City Planning Commission shall appear, within the meaning of Section 2601(4) of the Charter, directly or indirectly on any matter before: (1) the Mayor, Deputy Mayor, and their staffs; (2) the Mayor's Office of Environmental Coordination; (3) the offices of the Borough Presidents; (4) the City Council, including any individual Council Members and their staffs; (5) Community Boards; (6) the Art Commission/Public Design Commission; and (7) the Landmarks Preservation Commission. (b) For the purposes of Section 192(b) of the Charter, no member of the Commission shall appear, within the meaning of Section 2601(4) of the Charter, directly or indirectly on any matter involving zoning or land use before: (1) the Department of Buildings, provided that a member of the Commission shall not be barred from filing plans with the Department of Buildings or from making appearances related to the filing of such plans, except that appearances in reconsideration proceedings before a Borough Commissioner, the Commissioner, or a Deputy Commissioner of the Department of Buildings shall be prohibited; (2) the Board of Standards and Appeals; (3) the Department of Consumer Affairs; (4) the Economic Development Corporation; and (5) the Department of Small Business Services and any local development corporation or business improvement district that has entered into a contract with the City to perform services on behalf of the Department of Small Business Services. (c) For the purposes of Section 192(b) of the Charter, no member of the Commission shall appear, within the meaning of Section 2601(4) of the Charter, before any City agency with respect to planning, environmental, financial or other aspects of a matter that can reasonably be expected to come before the Commission for approval or other formal action, including, but not limited to, the acquisition or disposition of City-owned land; an application for a zoning change or special permit; action pursuant to the Uniform Land Use Review Procedure; or action on major concessions and franchises. (Amended City Record 8/25/2020, eff. 9/24/2020)

53 RCNY § 1-10 Prohibited Business or Financial Relationships Between a Superior and a Subordinate.

§ 1-10 Prohibited Business or Financial Relationships Between a Superior and a Subordinate. (a) For purposes of Section 2604(b)(14) of the Charter, the term "business or financial relationship" between a superior and subordinate includes but is not limited to: (1) outstanding loans collectively amounting to $25.00 or more; (2) a purchase or sale of any property valued at $25.00 or more; (3) the leasing of any property; (4) cohabitation; (5) participation in a lottery pool; (6) participation in a savings club; (7) shared ownership of real property or any other property worth more than $100.00; (8) shared ownership of financial instruments; (9) shared ownership interest in a firm other than a publicly traded company; (10) shared ownership interest in a cooperative apartment building with fewer than six units; (11) employer-employee, consultant, contractor, attorney-client, agent-principal, brokerage, or other similar relationships; (12) establishing a trust or serving as a trustee of a trust in which one of them or a person associated with one of them has a beneficial interest; and (13) payment of each other's recurring expenses such as rent or payments for a vehicle. (b) Expenses for activities related to public servants' City jobs which are shared between public servants, including superiors and subordinates, such as expenses related to a carpool or a coffee club, will not be deemed a "business or financial relationship" within the meaning of Section 2604(b)(14) of the Charter if: (1) the benefit is shared by the participants; and (2) each public servant bears a fair proportion of the expense or effort involved for the activity. (Added City Record 12/21/2018, eff. 1/20/2019) Editor's note: Former section renumbered as 53 RCNY § 4-02.

53 RCNY § 1-11 Adjustment of Dollar Amount in Definition of "Ownership Interest".

§ 1-11 Adjustment of Dollar Amount in Definition of "Ownership Interest". Effective as of January 1, 2026, the dollar amount in the definition of "Ownership Interest" in subdivision (16) of Section 2601 of the Charter shall be adjusted from $55,000 to $64,000. (Amended City Record 2/9/2018, eff. 3/11/2018; amended City Record 1/26/2022, eff. 2/25/2022; amended City Record 1/7/2026, eff. 2/6/2026)

53 RCNY § 1-12 Definition of "Particular Matter" for Tax Commissioners and Certain Other Public Servants in the Tax Commission, Department of Finance, Comptroller's Office, and Law Department in Relation to Real Estate Tax Assessments.

§ 1-12 Definition of "Particular Matter" for Tax Commissioners and Certain Other Public Servants in the Tax Commission, Department of Finance, Comptroller's Office, and Law Department in Relation to Real Estate Tax Assessments. (a) Pursuant to Section 2604(d)(4) of the Charter, no former public servant who has served on or been employed by the Tax Commission, the Department of Finance, the Comptroller's Office, or the Law Department shall appear, whether paid or unpaid, before the City, or receive compensation for any services rendered, in relation to a proceeding involving a tax year or the immediately subsequent tax year for a given parcel of property with respect to which the public servant engaged in one or more of the activities described in subdivision (b). (b) Subdivision (a) shall apply with respect to a parcel and tax year about which the former public servant: (1) heard an application for correction of assessment for taxation ("protest") from any real estate tax assessment; or (2) reviewed any proposal to settle or offer to reduce the assessment with respect to any such protest; or (3) participated personally and substantially in (i) the preparation or review of an appraisal, (ii) the review, analysis, or recommendation of a real estate tax assessment, or (iii) the conducting of a tax certiorari proceeding, which shall include but not be limited to its negotiation, settlement, trial, or review.

53 RCNY § 1-13 Use of City Time and City Resources.

§ 1-13 Use of City Time and City Resources. (a) Except as provided in subdivision 3 of this section, it shall be a violation of Section 2604(b)(2) of the Charter for any public servant to pursue personal and private activities during times when the public servant is required to perform services for the City. (b) Except as provided in this section, it shall be a violation of Section 2604(b)(2) of the Charter for any public servant to use City letterhead, title, personnel, equipment, resources, supplies, or technology assets for any non-City purpose. For purposes of this subdivision "technology assets" includes but is not limited to e-mail accounts, internet access, and official social media accounts. (c) (1) A public servant may perform volunteer services on behalf of a not-for-profit entity during times when such public servant is required to perform work for the City and may use City personnel, equipment, resources, supplies, and technology assets, but not City letterhead, their title or City email account(s), provided that (i) the public servant's agency head approves in writing the proposed volunteer services; and (ii) the Board determines that the proposed volunteer services advance the public servant's professional development, further the purposes and interests of the City, or benefit the public at large. (2) The agency head approval required by paragraph (1) of this subdivision must be by the head of the agency served by the public servant, or by a deputy mayor if the public servant is an agency head. A public servant who is an elected official, including a District Attorney, is the agency head for the public servants employed by the elected official's agency or office. Public servants who are elected officials, including District Attorneys, may approve their own activities as agency heads pursuant to paragraph (1). (d) A public servant engaging in a personal and private activity may use, or permit the use of, their City title in connection with print or online published work, teaching, or paid speaking engagements, under either of the following circumstances: (1) their City title is one of several biographical details used to identify such public servant; or (2) their City title is used to demonstrate such public servant's relevant professional qualifications provided that their City title is accompanied by a reasonably prominent disclaimer stating that the views expressed in the work, teaching, or speaking engagement do not necessarily represent the views of the agency or the City. (e) (1) An agency head may designate a public servant to perform work on behalf of a not-for-profit corporation, association, or other such entity that operates on a not-for-profit basis, including serving as a board member or other position with fiduciary responsibilities provided that: (i) there is a demonstrated nexus between the proposed activity, the public servant's City job, and the mission of the public servant's agency; and such work furthers the agency's mission and is not undertaken primarily for the benefit or interests of the not-for-profit; (ii) the designated public servant takes no part in the entity's business dealings with the City at the entity or at his or her agency, except that Council Members may sponsor and vote on discretionary funding for the entity; and (iii) within 30 days the written designation is disclosed to the Conflicts of Interest Board and will be posted on the Board's website. (2) A public servant designated in accordance with paragraph (1) of this subdivision may take part in such entity's business dealings with the City at the entity and/or at his or her agency if, after written approval of the agency head, the Board determines that there is a demonstrated nexus between the proposed participation, the public servant's City job, and the mission of the public servant's agency; and that such participation furthers the agency's mission and is not undertaken primarily for the benefit or interests of the not-for-profit entity. (3) The designation made pursuant to paragraph (1) and approval made pursuant to paragraph (2) of this subdivision must be by the head of the agency served by the public servant, or by a deputy mayor if the public servant is an agency head. A public servant who is an elected official, including a District Attorney, is the agency head for the public servants employed by the official's agency or office. A public servant who is an elected official, including a District Attorney, may provide the designation pursuant to paragraph (1) and the agency head approval pursuant to paragraph (2) for him or herself. (f) An elected official, including a District Attorney, may use or permit the use of their City title in an endorsement of a candidate for elective office. No other public servant may use, or permit others to use, their City title to endorse another person's campaign for elective office. (Amended City Record 2/8/2019, eff. 3/10/2019; amended City Record 12/16/2019, eff. 1/15/2020; amended City Record 6/22/2020, eff. 7/22/2020)

53 RCNY § 1-14 Official Fundraising.

§ 1-14 Official Fundraising. (a) For purposes of Section 2604(b)(2) of the Charter and Section 2604(b)(3) of the Charter, a public servant may use his or her position as a public servant to solicit a donation provided that all of the following conditions are met: (1) The solicitation seeks a donation for one of the following: (i) the City agency or office served by the public servant; (ii) another City agency or office designated by the public servant's agency head, with the written approval of the head of the other agency or office; (iii) a not-for-profit organization subject to Chapter 9 of Title 3 of the Administrative Code over which the public servant's agency head exercises control as part of his or her City position; or (iv) a not-for-profit organization designated by the public servant's agency head pursuant to Subdivision (b) of this section, provided that the public servant is not associated, within the meaning of Section 2601(5) of the Charter, with the organization or an employee of the organization. (2) The solicitation is directed either to the general public or to an individual or firm that does not have a particular matter pending before the public servant. (3) The solicitation is accompanied by a disclaimer that a contribution will not affect any business dealings with the City or provide special access to City officials. (b) An agency head may designate in writing one or more not-for-profit organizations for solicitations made by agency or office employees pursuant to Subdivision (a) of this section, provided that both of the following conditions are met: (1) the not-for-profit organization has a clear and direct nexus to the City and its residents and with the mission or duties of the City agency or office; and (2) the agency head is not associated, within the meaning of Section 2601(5) of the Charter, with the organization or an employee of the organization. (c) Pursuant to Section 2604(b)(2) of the Charter, each agency head must report to the Board annually by February 28: (1) the name of any individual or firm that made one or more donations totaling $5,000 or more to the agency during the previous calendar year, the total amount of these donations, and whether the donation was cash or an in-kind donation; and (2) the name of any not-for-profit organization designated by the agency head pursuant to Subdivision (b) of this section for which agency employees solicited donations during the previous calendar year. (d) An agency head may submit to the Board a written request that disclosure, pursuant to Subdivision (c)(1) of this section, of one or more of its donors and/or the amount of donation not be made public. The written request must be submitted no later than January 31 for the previous calendar year and must explain why the release of such information to the public may cause harm, threats, harassment, or reprisals to the donor or to individuals or property affiliated with the donor. Whether or not an agency head has submitted a request pursuant to this subdivision, the Board may on its own initiative grant privacy as to any information submitted by an agency head, upon a finding by the Board that the release of such information would pose a risk to the safety or security of any person. (e) For purposes of this section, an elected official, including a District Attorney, is the agency head of the staff members in his or her office. The Speaker of the New York City Council is the agency head of the central staff of Council, and a Council Member is the agency head of the staff of his or her office. (Added City Record 5/17/2019, eff. 6/16/2019) Editor's note: Former section renumbered as 53 RCNY § 4-03.

53 RCNY § 1-15 Special Rules for Community Board Members.

§ 1-15 Special Rules for Community Board Members. (a) Voting and Private Interests. For purposes of Sections 2604(b)(1)(b) and 2604(b)(2) of the Charter, a community board member shall not vote at a community board meeting on any matter that may result in a personal and direct economic gain to the member or to any person or firm associated with the member, within the meaning of Section 2601(5) of the Charter, but the member may participate in discussion about such matter at a community board meeting after the member discloses at such meeting his or her private interest. (1) For purposes of this paragraph, a "personal and direct" economic gain means a specific economic gain that would flow to the member or an associated person or firm as an anticipated result of the matter's ultimate approval or rejection. (2) For purposes of this paragraph, "economic gain" includes the mitigation of a loss. (3) For purposes of Section 2601(5) of the Charter, the definition of "a business or other financial relationship" includes, but is not limited to, a relationship with: (i) any person who, in the context of the member's private employment, may hire or terminate the member, assign work to the member, approve the member's leave, or evaluate the member's work performance; or (ii) any person who or firm that donates to the member's not-for-profit employer in an amount of 10% or more of the not-for-profit's annual operating budget. (b) Other Government and Quasi-Government Service. For purposes of Section 2604(b)(2) of the Charter, a community board member who serves any entity listed in 53 RCNY § 1-08 as an official, officer, or employee: (1) may not appear, whether paid or unpaid, on behalf of such entity before the member's community board; (2) may not vote at a community board meeting on any matter involving such entity; and (3) may participate in discussion at a community board meeting on matters involving such entity only after the member discloses at the meeting his or her position with such entity. (c) Service as Chair of a Community Board or Its Committees or Subcommittees. (1) For purposes of Sections 2604(b)(1)(b) and 2604(b)(2) of the Charter, a community board member: (i) shall not chair any meeting of the community board, a community board committee, or a community board subcommittee where any matter particularly affecting the member's private employer, financial interest, or other private interest is being considered; and (ii) shall not chair a community board committee or subcommittee that regularly reviews matters particularly affecting the member's private employer, financial interest, or other private interest, including the interest of any person or firm associated with such member. (iii) For purposes of this subparagraph, a committee or subcommittee of a community board "regularly reviews" matters involving the member's private employer, financial interest, or other private interest if the committee or subcommittee considers or expects to consider a matter involving the member's employer or interest three or more times within a twelve-month period. (2) For purposes of Section 2604(b)(2) of the Charter, a community board member who serves another government or quasi-government entity listed in 53 RCNY § 1-08 as an official, officer, or employee: (i) shall not chair any meeting of the community board, committee, or subcommittee that considers any matters involving that entity; and (ii) shall not chair a committee or subcommittee that regularly reviews matters involving that entity. (iii) For purposes of this subparagraph, a committee or subcommittee of a community board "regularly reviews" matters involving a government or quasi-government entity if either (A) the committee or subcommittee has jurisdiction over matters within the entity's responsibilities or (B) the committee or subcommittee considers or anticipates considering matters involving that entity three or more times within a twelve-month period. (d) Public Members of Community Board Committees. A public member of a community board committee, appointed pursuant to Section 2800(i) of the Charter, is not a public servant within the meaning of Section 2601(19) of the Charter. (e) Community Board Staff. For purposes of Sections 2604(b)(2), 2604(b)(3), 2604(b)(9)(b), 2604(b)(11)(c), and 2604(b)(14) of the Charter, and 53 RCNY § 1-10, a public servant employed by the community board is a subordinate public servant of each community board member. (f) Agency Head Designations. A community board member serves as the agency head for any agency head designation or approval for himself or herself required by Section 2604(e) of the Charter or the Board Rules. The chair of a community board is the agency head for the public servants employed by the community board. (Added City Record 10/24/2019, eff. 11/23/2019) Editor's note: Former section renumbered as 53 RCNY § 4-04.

53 RCNY § 1-16 Prohibited Gifts from Lobbyists and Exceptions Thereto.

§ 1-16 Prohibited Gifts from Lobbyists and Exceptions Thereto. (a) Pursuant to Administrative Code § 3-225, no person required to be listed on a statement of registration pursuant to § 3-213(c)(1) of the Administrative Code shall offer or give a gift to any public servant. (b) For purposes of this section: (1) the persons required to be listed on a statement of registration pursuant to § 3-213(c)(1) of the Administrative Code include (i) the lobbyist, (ii) the spouse or domestic partner of the lobbyist, (iii) the unemancipated children of the lobbyist, and (iv) if the lobbyist is an organization, the officers or employees of such lobbyist who engage in any lobbying activities or who are employed in such lobbyist's division that engages in lobbying activities and the spouse or domestic partner and unemancipated children of such officers or employees; (2) the term "lobbyist" shall have the same meaning as used in § 3-211 of the Administrative Code; (3) the term "offer" shall include every (i) attempt or offer to give a gift, or (ii) attempt or offer to arrange for the making of a gift; (4) the term "give" shall include every (i) tender of a gift, or (ii) action as an agent in the making of a gift, or (iii) arrangement for the making of a gift; (5) the term "gift" shall include any gift which has any value whatsoever, whether in the form of money, service, loan, travel, entertainment, hospitality, thing or promise, or in any other form. (c) For purposes of Administrative Code § 3-225 and this section, the following gifts shall not be prohibited: (1) de minimis promotional items having no substantial resale value such as pens, mugs, calendars, hats, and t-shirts which bear an organization's name, logo, or message in a manner which promotes the organization's cause; (2) gifts that are customary on family or social occasions from a family member or close personal friend, when it can be shown under all relevant circumstances that it is the family or personal relationship rather than the lobbying activity that is the controlling factor and the public servant's receipt of the gift would not result in or create the appearance of: (i) using his or her office for private gain; (ii) giving preferential treatment to any person or entity; (iii) losing independence or impartiality; or (iv) accepting gifts or favors for performing official duties; (3) awards, plaques, and other similar items which are publicly presented in recognition of public service, provided that the item or items have no substantial resale value; (4) free meals or refreshments in the course of and for the purpose of conducting City business under the following circumstances: (i) when offered during a meeting which the public servant is attending for official reasons; (ii) when offered at a company cafeteria, club or other setting where there is no public price structure and individual payment is impractical; (iii) when a meeting the public servant is attending for official reasons begins in a business setting but continues through normal meal hours in a restaurant, and refusal to participate and/or individual payment would be impractical; (iv) when the free meals or refreshments are provided by the host entity at a meeting held at an out-of-the-way location, alternative facilities are not available and individual payment would be impractical; or, (v) when the public servant would not have otherwise purchased food and refreshments had he or she not been placed in such a situation while representing the interests of the City; (5) meals or refreshments when participating as a panelist or speaker in a professional or educational program and the meals or refreshments are provided to all panelists; (6) invitation to attendance at professional or educational programs as a guest of the sponsoring organization; (7) invitation to attendance at ceremonies or functions sponsored or encouraged by the City as a matter of City policy, such as, for example, those involving housing, education, legislation or government administration; (8) invitation to attendance at a public affair of an organization composed of representatives of business, labor, professions, news media or organizations of a civic, charitable or community nature, when invited by the sponsoring organization; (9) invitation to attendance by a public servant who is an elected official, a member of the elected official's staff authorized by the elected official, or a member of the central staff for the council authorized by the speaker of the council at a function given by an organization composed of representatives of business, labor, professions, news media or organizations of a civic, charitable or community nature, when invited by the sponsoring organization; (10) travel-related expenses from a private entity which is offered or given as a gift to the City rather than to the public servant, so long as: (i) the trip is for a City purpose and therefore could properly be paid for with City funds; (ii) the travel arrangements are appropriate for that purpose; and (iii) the trip is no longer than reasonably necessary to accomplish the business which is its purpose; (d) Nothing in this section shall be deemed to authorize a person required to be listed on a statement of registration pursuant to § 3-213(c)(1) of the Administrative Code to offer or give a gift to any public servant in violation of any other applicable federal, state or local law, rule or regulation, including but not limited to the New York State Lobbying Act.

53 RCNY § 1-17 Accomplice Liability.

§ 1-17 Accomplice Liability. (a) It shall be a violation of Section 2604(b)(2) of the Charter for any public servant to intentionally or knowingly: (1) solicit, request, command, importune, aid, induce, or cause another public servant to engage in conduct that violates any provision of Section 2604 of the Charter; or (2) agree with one or more persons to engage in or cause conduct that violates any provision of Section 2604 of the Charter. (b) For the purposes of this section, "any provision of Section 2604 of the Charter" shall not include a violation of Section 2604(b)(2) of the Charter that does not also violate a rule of the Board. (Added City Record 6/22/2020, eff. 7/22/2020) Editor's note: Former section renumbered as 53 RCNY § 4-06.

53 RCNY § 1-18 Use of City Title in Promotional Materials.

§ 1-18 Use of City Title in Promotional Materials. (a) Pursuant to Section 2604(b)(2) of the Charter and Section 2604(b)(3) of the Charter, a public servant may use or permit the use of his or her City title and/or City agency in promotional materials produced by or on behalf of a non-City product, program, or entity provided that all of the following conditions are met: (i) a demonstrable nexus exists between the product, program, or entity and the mission of the public servant's agency; (ii) neither the agency head nor the public servant is associated, within the meaning of Section 2601(5) of the Charter, with either the person or entity or an employee of the person or entity that is the subject of the endorsement or whose product or program is the subject of the endorsement; (iii) the public servant's agency head approves in writing the use of the public servant's City title and/or City agency; and (iv) if the promotional materials solicit donations for a not-for-profit organization, the public servant and public servant's agency comply with the requirements of 53 RCNY § 1-14. (b) For purposes of this section, an elected official, including a District Attorney, is the agency head of the staff members in their office. The Speaker of the New York City Council is the agency head of the central staff of Council, and a Council Member is the agency head of the staff of their office. (Added City Record 8/25/2020, eff. 9/24/2020)

Source: City of New York, Charter, Administrative Code and Rules (American Legal Publishing XML export, codelibrary.amlegal.com)URL: https://codelibrary.amlegal.com/codes/newyorkcity/latest/NYCrules/0-0-0-86448Fetched: 10/24/2026