Office of Faculty Affairs

Office of Faculty Affairs – Conflict of Interest Policies

For New York State Employees


Table of Contents:


                           Key Ethic Rules for Researchers & Staff at NYSPI

                                   Links to Fact Sheets for NYS Ethics Rules

                                   Additional Links


                                   Summary of Main Ethics Related Filing Requirements




New York State ethics rules apply to anyone at NYSPI who receives salary from New York State, regardless of percent effort.  They apply to activities conducted on work time and on personal time.  These rules are embodied in several state laws and regulations and have been interpreted with specific reference to commonly encountered situations and activities (Outside Employment, Gifts, Honoraria and Travel Reimbursement, Financial Disclosure, Nepotism, and Post-Employment Restrictions). Depending on job grade and responsibilities (see below) NY State employees are also required to file annual statements concerning: 1) Outside Employment; 2) Honoraria incuding travel reimbursement; and 3) Financial Disclosure.



Key Ethic Rules for Researchers and Staff at NYSPI

No state employee may receive travel reimbursement or honoraria from a drug or device maker (or other “disqualified source”).  This restriction does not apply to research scientists and others with a research parenthetic (psychiatrist II-research) who have academic appointments, however:

No member of the department of psychiatry may receive income (including reimbursement) of any sort and in any amount from, or have any outside financial relationship with, a company that sponsors his or her research or a company that owns, licenses, markets etc. a product studied in his or her research.

Prohibited income may not be assigned, donated, transferred to others, or deposited into University or Foundation accounts.



Links to Fact Sheets for NYS Ethics Rules

In addition to the above rules, all NYS Employees should familiarize themselves with the following Fact Sheets on: 

              Outside Employment pdf icon

              Honoraria and Travel Reimbursement pdf icon

              Gifts pdf icon

              Financial Disclosure pdf icon

              Nepotism pdf icon

              Post-Employment Restrictions pdf icon



Additional Links

New York State Commission on Public Integrity

(Online forms and filing for some procedures are available here)

NYSPI Institutional Review Board (IRB)




For questions about New York State Ethics rules or filing ethics related rules please first speak with your supervisor. If you or you and the supervisor still have questions, please contact Mr. Stuart Linder, Interim Deputy Director for Administration at NYSPI.



 Brief Summary of Main Ethics Related Filing requirements for New York State Employees


New York State employees are required to file several types of annual reports related to conflict of interest and ethics, depending on job and grade level. Here is a brief summary of the three main filings.  Please refer to the pdf above “Overview of State Ethics Rules” and to the NY State Commission on Public Integrity website for more complete information.



Honoraria and Travel Reimbursement

• Who files: All employees must file an annual disclosure of honoraria and travel reimbursement.

• When: Employees have a choice of requesting prior approval (OMH Form 95 ADM) for each occasion or filing an annual report on April 1 of each year listing honoraria and travel reimbursement for the previous 12 months. 


Outside Employment

• Who files:  There are three groups of employees who must file. Some employees will be part of more than one group:

                                             - Employees at Grade 23 and above

                                             - Any employee who is overtime ineligible

                                             - Policy makers regardless of grade of overtime eligibility

 • When:  Employees must file annually for work during next year. Specific filing date set by institution. At NYSPI it is usually:


Financial Disclosures

Who files:  There are two groups of employees who must file. Some employees will fall into both groups:

.                       - Those who earn annual compensation greater than job rate of Grade 24  

                        -  Designated policy makers regardless of grade or compensation                

 NOTE:  Part-time employees and employees on leave who could earn in excess of Grade 24 job rate if they were working full time must file if when working

When:   By May 15 of each year for the year ending the previous December 31.

 Website designed by the: Web
 Design Studio