Reports: Foundation Documents:

New York State Archives Partnership Trust Code of Ethics

Adopted:


March 28, 2007

Amended:


October 8, 2009
May 26, 2011

Be it Resolved, That the Archives Partnership Trust’s Code of Ethics, Section I.C., as adopted March 28, 2007, be amended as follows in order reflect a regulatory change:

This Code of Ethics shall apply to all Board members, officers and employees of the New York State Archives Partnership Trust (the “Trust”).In addition to the Trust’s Code of Ethics, all Trust Board members and personnel shall comply with the applicable provisions of the New York State Public Authority Law.

These policies shall serve as a guide for official conduct and are intended to recognize the ethical and professional performance of the Trust's Board members, officers, and employees and to preserve public confidence in the Trust’s mission.

1. Responsibility of Board Members, Officers, and Employees

A. Board members, officers, and employees shall perform their duties with transparency and without favor.

B. Board members, officers, and employees shall not directly or indirectly, make, advise, or assist any person to make any financial investment based upon information available through the Board member’s, officer’s or employee's official position that could create any conflict between their public duties and interests and their private interests.

C. Pursuant to Public Employees Ethics Reform Act of 2007 Board members, officers, and employees are prohibited from accepting gifts or gratuities (whether in the form of money, service, loan, travel, lodging, meals, refreshment, entertainment, or discount) of more than nominal value where the circumstances would permit the inference that: (a) the gift was intended to influence the individual in the performance of official business; or (b) the gift constituted a tip, reward, or sign of appreciation for any official act by the employee.  Board members, officers, and employees shall not use or attempt to use their official position with the Trust to secure unwarranted privileges for themselves, members of their family or others, including employment with the Trust or contracts for materials or services with the Trust.

D. Board members, officers, and employees must conduct themselves at all times in a manner that avoids any appearance that they can be improperly or unduly influenced, that they could be affected by the position of or relationship with any other party, or that they are acting in violation of their public trust.

E. Board members, officers, and employees may not engage in any official transaction with an outside entity in which they have a direct or indirect financial interest that may reasonably conflict with the proper discharge of their official duties.

F. Board members, officers, and employees shall manage all matters within the scope of the Trust’s mission independent of any other affiliations or employment. Board members, including ex officio board members, officers, and employees employed by more than one government shall strive to fulfill their professional responsibility to the Trust without bias and shall support the Trust’s mission.

G. Board members, officers, and employees shall not use Trust property or resources or disclose information acquired in the course of their official duties in a manner inconsistent with State or local law and the Trust’s mission and goals.

2. Implementation of Code of Ethics



This Code of Ethics shall be provided to all Board members, officers, and employees upon commencement of employment or appointment and shall be reviewed annually by the Board.

3. Penalties



In addition to any penalty contained in any other provision of law, a Trust Board member, officer, or employee who knowingly and intentionally violates any of the provisions of this code may be removed in the manner provided for in law, rules or regulations.

4. Reporting Unethical Behavior

A. Employees, officers, and Board members are required to report possible unethical behavior by a Board member, officer, or employee of the Trust to the Trust Executive Officer and, in the case of Board members, additionally to the suspected Board member's appointing authority. Ethics complaints may also be filed with the State Inspector General’s office.

B. Employees, officers, and Board members may file ethics complaints anonymously and are protected from retaliation by the policies adopted by the Trust. While complainants are not required to identify themselves, identification is encouraged in the event additional questions arise during the course of the investigation. Complainants’ identities will be protected, unless they consent to disclosure or unless disclosure is compelled by law or pursuant to a court order.

C. To file an anonymous ethics complaint:

i. For complaints concerning employees and officers, other than the Trust Executive Officer, contact the Trust Executive Officer, Archives Partnership Trust, 9C49 Cultural Education Center, Albany, NY 12230; 518-473-7091.
ii. For complaints concerning the Trust Executive Officer write (mark the envelope “Confidential”) either the:

a. Trust Board Chair, Archives Partnership Trust, 9C49 Cultural Education Center, Albany, NY 12230, or
b. Deputy Commissioner for Cultural Education, 10A33 Cultural Education Center, Albany, NY 12230.

iii. For complaints concerning a Board member, contact the Trust Executive Officer or the Board member’s appointing authority (go to: www.archives.nysed.gov/apt/about/aboutapt_boardmembers.shtml).
iv. For any complaints, contact the State Inspector General, Empire State Plaza, Agency Building 2, 16th Floor, Albany, NY 12223; 1-800-367-4448.