[First Reprint]
SENATE CONCURRENT RESOLUTION No. 38
STATE OF NEW JERSEY
INTRODUCED JANUARY 29, 1996
By Senators SCHLUTER, DiFRANCESCO,
Codey, Sacco and Adler
A Concurrent Resolution to adopt a Legislative Code of Ethics for 1996 and 1997.
Whereas, The "New Jersey Conflicts of Interest Law," P.L.1971, c.182 (C.52:13D-12 et seq.), directs the formulation of a code of ethics to govern and guide the conduct of members of the Legislature and officers and employees in the legislative branch and provides it shall not be effective unless first approved by concurrent resolution; now, therefore,
Be It Resolved by the Senate of the State of New Jersey (the General Assembly concurring):
The following Legislative Code of Ethics is adopted for 1996 and 1997 and the text thereof shall be reprinted:
LEGISLATIVE CODE OF ETHICS
1. DEFINITIONS
1:1. For the purposes of the New Jersey Conflicts of Interest Law and this Code of Ethics:
"State officer or employee" in the legislative branch of the State Government means a salaried officer or employee, other than a member of the Senate or General Assembly or a special State officer or employee, who spends the predominant part of his working time in the employ of the Legislature or either House thereof, or of an agency, commission or committee in the legislative branch;
"Special State officer or employee" in the legislative branch of the State Government means a part-time elected or appointed officer or employee, including a legislative aide, other than a member of the Senate or General Assembly, of the Legislature or either House thereof, or of an agency, commission or committee in the legislative branch, whether he is salaried or compensated by the hour, day or under contract or serves without compensation other than reimbursement for expenses;
"Interest" means (a) the ownership or control of more than 10% of the profits or assets of a firm, association, or partnership, or more than 10% of the stock in a corporation for profit other than a professional service corporation organized under the "Professional Service Corporation [Act" (N.J.S.14A:17-1 et seq.)]Act," P.L.1969, c.232 (C.14A:17-1 et seq.); or (b) the ownership or control of more than 1% of the profits or assets of a firm, association, or partnership, or more than 1% of the stock in any corporation, which is the holder of, or an applicant for, a casino license or in any holding or intermediary company with respect thereto, as defined by the "Casino Control Act," P.L.1977, c.110 (C.5:12-1 et seq.). The provisions of this code governing the conduct of individuals are applicable to shareholders, associates or professional employees of a professional service corporation regardless of the extent or amount of their shareholder interest in such a corporation. (As to attorneys, see N.J. Court Rules, 1:21-1A);
"Less than an interest" means (a) the ownership or control of 10% or less of the profits or assets of a firm, association, or partnership, or 10% or less of the stock in a corporation for profit other than a professional service corporation organized under the "Professional Service Corporation [Act" (N.J.S.14A:17-1 et seq.)]Act," P.L.1969, c.232 (C.14A:17-1 et seq.); or (b) the ownership or control of 1% or less of the profits or assets of a firm, association, or partnership, or 1% or less of the stock in any corporation, which is the holder of, or an applicant for, a casino license or in any holding or intermediary company with respect thereto, as defined by the Casino Control Act;
"Legislative aide" means any person appointed to serve with or without compensation as a staff aide or assistant to a member of the Senate or General Assembly[.];
"Member of immediate family" means a person's spouse, child, parent or sibling residing in the same household[.];
"Document" means any statement, report, form, or accounting which is required to be filed with the Joint Legislative Committee on Ethical Standards within a prescribed period or on or before a prescribed date pursuant to law or this code of ethics promulgated pursuant to the "New Jersey Conflicts of Interest Law," P.L.1971, c.182 (C.52:13D-12 et seq.); the term "within a prescribed period or on or before a prescribed date" includes any extension of time granted by the Joint Legislative Committee on Ethical Standards for filing a document.
2. MEMBERS OF THE LEGISLATURE
2:1. a. No member of the Legislature shall undertake any employment or act in any way that impairs the objectivity or independence of judgment of the member of the Legislature in the exercise of his or her duties or is violative of the public trust by an elected official or which creates a justifiable impression among the public that such trust is being violated (C.52:13D-12 and 52:13D-23).
b. No member of the Legislature shall accept from any person, directly or indirectly, whether by himself or through his spouse or a member of his family or through any partner or business or professional associate, any gift, favor, service, employment or offer of employment or any other thing of value, which he knows or has reason to believe is made or offered to him with the intent to influence him in the performance of his duties as a member of the Senate or General Assembly; but this section shall not apply to the acceptance of contributions to his campaign by a member of the Legislature who has announced his candidacy for any elective public office and the member has no knowledge or reason to believe that the campaign contribution is offered or given with the intent to influence the member in the performance of his public duties and responsibilities (C.52:13D-14).
2:2. Except as hereinafter provided in sections 2:3 and 2:4, no member of the Legislature nor any partnership or firm of which he is a member or any corporation in which he owns or controls an interest, nor any partner, officer or employee of any such partnership, firm or corporation, shall represent, appear for, or negotiate on behalf of, or agree to represent, appear for, or negotiate on behalf of, any person or party other than the State in connection with:
a. The acquisition or sale by the State or a State agency of any interest in real or tangible or intangible personal property (C.52:13D-15);
b. The acquisition by the State or a State agency of any interest in real property by condemnation proceedings (C.52:13D-15);
c. Any specific cause, proceeding, application or other matter before any State agency (C.52:13D-16).
2:3. a. The provisions of section 2:2 above shall not prohibit or restrict a member of the Legislature from:
(1) Representing himself in negotiations or proceedings concerning his own interest in real property, or
(2) 1[Making an inquiry of a State agency for information on behalf of a constituent, if no fee, reward or other thing of value is promised or given to, or accepted directly or indirectly by, the member therefor.] (a) Making an inquiry for information on behalf of a constituent, which may include ascertaining the status of a matter, identifying the statutes or regulations involved in a matter or inquiring how to expedite a matter; (b) assisting the constituent in bringing the merits of the constituent's position to the attention of a State agency; or (c) making a recommendation on a matter or indicating support for the constituent's position to a State agency; if no fee, reward, employment, offer of employment, or other thing of value is promised to, given to or accepted by the member, whether directly or indirectly, and the member does not endeavor to use his official position to improperly influence any determination. As used in this paragraph "constituent" shall mean any State resident or other person seeking legislative assistance. Nothing contained herein shall authorize contact with State agencies by members of the Legislature which is otherwise prohibited by the criminal law, by the "New Jersey Conflicts of Interest Law," P.L. 1971, c.182 (C. 52:13D-12 et seq.) or this code and nothing contained herein shall authorize contact with an administrative law judge or agency head during the hearing of a contested case.1
b. The provisions of section 2:2 above shall not prohibit or restrict a partnership or firm with which a member of the Legislature is associated or a corporation in which he owns or controls an interest from appearing before a State agency in any cause, proceeding or other matter on its own behalf (C.52:13D-16).
2:4. A member of the Legislature is authorized to represent, appear for or negotiate on behalf of, or agree so to do, any person other than the State in any proceeding before:
a. Any court of record;
b. The Division of Workers' Compensation;
c. The Division of Taxation in connection with the determination or review of transfer inheritance or estate taxes;
d. The Department of State in connection with the filing of corporate or other documents;
e. The Division on Civil Rights;
f. The New Jersey Board of Mediation;
g. The New Jersey Public Employment Relations Commission;
h. The Unsatisfied Claim and Judgment Fund Board, solely for the purpose of filing a protective notice of intention pursuant to P.L.1952, c.174, s.5 (C.39:6-65);
i. A State agency, other than the Legislature or any agency thereof, on behalf of a county, municipality or school district, or any authority, agency or commission of any thereof, except where the State is an adverse party in the cause, action or proceeding. The State shall not be considered an "adverse party" in a cause, action or proceeding where joinder of the State or a State agency as a party is required by law[, court rule] or order to protect possible incidental interests of the State (C.52:13D-16).
2:5. [Prior approval of the Joint Legislative Committee on Ethical Standards shall be obtained for a member of the Legislature, individually, through a partnership or firm with which he is associated or by a corporation in which he owns or controls an interest, to bid on and to accept awards of contracts let or awarded by a State agency where the dollar value thereof is $25.00 or more.
Where approval is desired to bid on and, if successful, to accept and undertake contracts to be awarded by a State agency after public notice and competitive bidding or to negotiate, accept and execute contracts of the types enumerated in P.L.1954, c.48, s.5 (C.52:34-10) awarded without advertising with the approval of the State Treasurer or contracts of insurance to be entered into pursuant to P.L.1944, c.112, s.10 (C.52:27B-62), an application to, and approval by, the joint committee]
a. No member of the Legislature shall knowingly himself, or by his partners or through any corporation which he controls or in which he owns or controls more than 1% of the stock, or by any other person for his use or benefit or on his account, undertake or execute, in whole or in part, any contract, agreement, sale or purchase of the value of $25.00 or more, made, entered into, awarded or granted by any State agency, except as provided in subsection b. of this section. The restriction contained in this subsection shall apply to the contracts of interstate agencies to the extent consistent with law only if the contract, agreement, sale or purchase is undertaken or executed by a New Jersey member to that agency or by his partners or a corporation in which he owns or controls more than 1% of the stock.
b. The provisions of subsection a. of this section shall not apply to (a) purchases, contracts, agreements or sales which (1) are made or let after public notice and competitive bidding or which (2), pursuant to section 5 of P.L.1954, c.48 (C.52:34-10) or such other similar provisions contained in the public bidding laws or regulations applicable to other State agencies, may be made, negotiated or awarded without public advertising or bids, or (b) any contract of insurance entered into by the Director of the Division of Purchase and Property pursuant to section 10 of P.L.1944, c.112 (C.52:27B-62), if the purchases, contracts or agreements, including change orders and amendments thereto, shall receive prior approval of the Joint Legislative Committee on Ethical Standards, which approval may be made for a period not in excess of the elective term of the member of the Legislature.
Upon the award of a contract by a State agency to a member of the Legislature, his partnership or firm or corporation described in this section he shall file with the joint committee a notice of the award, the name of the State agency involved and the dollar amount of the contract. Any amendment or change order to any such contract involving a change in the dollar amount involved shall likewise be reported to the joint committee[(C.52:13D-19)].
Within 15 days of receipt by the joint committee of a request by a member of the Legislature for approval to bid on or negotiate a State agency contract or contracts or notice of the award of a State agency contract or amendment of or change order to an approved State agency contract, the joint committee shall notify the member of its approval, disapproval or the time and place of a meeting to discuss the matter with the member. Any request so submitted to the joint committee shall be deemed to be approved after the expiration of 15 days from the receipt thereof unless the joint committee shall otherwise advise the member in writing (C.52:13D-19).
2:6. A member of the Legislature shall not act as an agent of the Legislature, either House thereof or agency in the legislative branch in connection with the transaction of any business with himself or with a corporation, company, association or firm in which he owns or controls an interest in its profits (C.52:13D-20).
2:7. Any member of the Legislature who engages in the conduct or practice of, or is employed in, a particular business, profession, trade or occupation which is subject to licensing or regulation by a particular State agency shall file a notice that he is the holder of a particular license or is engaged or employed in such activity with the Joint Legislative Committee on Ethical Standards within 60 days of the adoption of this code and, thereafter, within 10 days of such holding, engagement, employment, or service. Renewal of licenses need not be reported (C.52:13D-23(e)(2)).
2:8. a. No member of the Legislature, nor any member of his immediate family, nor any partnership, firm or corporation with which he is associated in any capacity, shall appear or practice in any capacity representing any person, firm, corporation or association before the Casino Control Commission or the Division of Gaming Enforcement.
b. No member of the Legislature, nor any member of his immediate family, nor any partnership, firm or corporation with which he is associated as an officer, director, employee or holder of an interest or less than an interest, as defined in section 1:1 of this code, shall represent, appear for, or negotiate on behalf of, the holder of, or applicant for, a casino license, or any holding or intermediary company with respect thereto, as the same are defined in the Casino Control Act.
c. No member of the Legislature, or any firm with which he is associated as an officer, director or holder of an interest, as defined in section 1:1 of this code, shall represent, appear for, or negotiate on behalf of, any person, firm, corporation or association with respect to any transaction between such person, firm, corporation or association and the holder of, or applicant for, a casino license, or any holding or intermediary company with respect thereto, as the same are defined in the Casino Control Act. A member of the Legislature who is an employee of, or who is the holder of less than an interest, as defined in section 1:1 of this code, in, any firm which represents, appears for, or negotiates on behalf of, any person, firm, corporation, or association with respect to any transaction between such person, firm, corporation or association and the holder of, or applicant for, a casino license, or any holding or intermediary company with respect thereto, as the same are defined in the Casino Control Act, shall, within 60 days of the adoption of this code and, thereafter, within 10 days of such representation, appearance, or negotiation, file a statement with the Joint Legislative Committee on Ethical Standards so indicating. If such statement is properly and timely filed, such employment or holding shall not, in and of itself and without more, be considered a "personal interest" for purposes of section 2:9 of this code, although the filing of such statement shall not relieve a member of the Legislature who shall have a personal interest in any legislation from complying with the requirements of section 2:9.
d. No member of the Legislature, nor any member of his immediate family, nor any partnership, firm or corporation with which he is associated as an officer, director, or holder of an interest, as defined in section 1:1 of this code, shall be an officer, director, employee, or holder of an interest, as defined in section 1:1 of this code, in any firm, corporation, or association, or holding or intermediary company with respect thereto, as the same are defined in the Casino Control Act, which is the holder of, or an applicant for, a casino license, except that a member of the immediate family of a member of the Legislature may hold employment with the holder of, or applicant for, a casino license if, in the judgment of the Joint Legislative Committee on Ethical Standards such employment will not interfere with the responsibilities of the member of the Legislature, and will not create a conflict of interest, or reasonable risk of the public perception of a conflict of interest, on the part of the member of the Legislature. A member of the Legislature who is the holder of less than an interest, as defined in section 1:1 of this code, in any firm, corporation, or association, or any holding or intermediary company with respect thereto, which is the holder of, or an applicant for, a casino license; or who is associated as an officer or director with any firm which is the holder of less than an interest, as defined in section 1:1 of this code, in any firm, corporation, or association, or any holding or intermediary company with respect thereto, which is the holder of, or an applicant for, a casino license; or who is an employee of any firm which is the holder of an interest or less than an interest, as defined in section 1:1 of this code, in any firm, corporation, or association, or holding or intermediary company with respect thereto, which is the holder of, or an applicant for a casino license; or who is the holder of less than an interest, as defined in section 1:1 of this code, in any firm which is the holder of an interest or less than an interest in any firm, corporation, or association, or any holding or intermediary company with respect thereto, which is the holder of, or an applicant for, a casino license; or who is the holder of an interest or less than an interest, as defined in section 1:1 of this code, in any firm which is the holder of less than an interest, as defined in section 1:1 of this code, in any firm, corporation, or association, or any holding or intermediary company with respect thereto, which is the holder of, or an applicant for, a casino license, shall, within 60 days of the adoption of this code and, thereafter, within 10 days of such association, such employment or the acquisition of such holding or the knowledge by the legislator of the acquisition of such holding, file with the Joint Legislative Committee on Ethical Standards a statement so indicating and, in the case of a holding, listing the nature and extent of such holding and date of acquisition thereof. If such statement is properly and timely filed, such association, employment, or holding shall not, in and of itself and without more, be considered a "personal interest" for purposes of section 2:9 of this code, although the filing of such statement shall not relieve a member of the Legislature who shall have a personal interest in any legislation from complying with the requirements of section 2:9.
e. No member of the Legislature, nor any member of his immediate family, nor any partnership, firm or corporation with which he is associated as an officer, director, or holder of an interest, as defined in section 1:1 of this code, shall be an officer, director, or holder of an interest, as defined in section 1:1 of this code, in any firm, corporation, or association, or holding or intermediary company with respect thereto, as the same are defined in the Casino Control Act, which is the holder of, or an applicant for, a casino service industry license or which is doing or seeking to do business, other than provision of goods and services as a licensed public utility or as a patron or on a casual basis, with a casino licensee or its affiliated hotel. A member of the Legislature who is an employee of, or who is the holder of less than an interest, as defined in section 1:1 of this code, in, such a firm, corporation, or association, or holding or intermediary company with respect thereto; or who is associated as an officer or director with any firm which is the holder of less than an interest, as defined in section 1:1 of this code, in such a firm, corporation, or association, or holding or intermediary company with respect thereto; or who is an employee of any firm which is the holder of an interest or less than an interest, as defined in section 1:1 of this code, in such a firm, corporation, or association, or holding or intermediary company with respect thereto; or who is the holder of an interest or less than an interest, as defined in section 1:1 of this code, in a firm which is the holder of less than an interest in such a firm, corporation, or association, or holding or intermediary company with respect thereto; or who is the holder of less than an interest, as defined in section 1:1 of this code, in a firm which is the holder of an interest or less than an interest, as defined in section 1:1 of this code, in such a firm, corporation or association, or holding or intermediary company with respect thereto, shall, within 60 days of the adoption of this code and, thereafter, within 10 days of such association, such employment or the acquisition of such holding or the knowledge by the legislator of the acquisition of such holding, file with the Joint Legislative Committee on Ethical Standards a statement so indicating and, in the case of a holding, listing the nature and extent of such holding and the date of acquisition thereof. Notwithstanding the foregoing, no such statement shall be required with respect to the ownership or control of a holding in a publicly traded corporation which is the holder of, or applicant for, a casino service industry license, or any holding or intermediary company with respect thereto; or which is doing or seeking to do business, other than provision of goods and services as a licensed public utility or as a patron or on a casual basis, with a casino licensee or its affiliated hotel; or which is the holding or intermediary company of any firm, corporation, or association which is doing or seeking to do such business. If such statement is properly and timely filed, such association, employment, or holding shall not, in and of itself and without more, be considered a "personal interest" for purposes of section 2:9 of this code, although the filing of such statement shall not relieve a member of the Legislature who shall have a personal interest in any legislation from complying with the requirements of section 2:9. For the purposes of this subsection and subsection g., business "on a casual basis" shall include, but not be limited to, business conducted with a casino licensee or its affiliated hotel by a firm, corporation, or association with which the licensee has or would have no separate or individual contract or agreement which is required to be approved by the Casino Control Commission pursuant to subsection b. of section 104 of the Casino Control Act (P.L.1977, c.110; C.5:12-104b.).
f. A member of the Legislature who is an officer, director, employee, or holder of an interest or less than an interest, as defined in section 1:1 of this code, in any firm, corporation, or association, or holding or intermediary company with respect thereto, which is doing or seeking to do business on a casual basis with a casino licensee or its affiliated hotel shall, within 60 days of the adoption of this code and, thereafter, within 10 days of becoming such an officer, director, employee, or holder of an interest or less than an interest, as defined in section 1:1 of this code, file with the Joint Legislative Committee on Ethical Standards a statement so indicating and, in the case of a holding, listing the nature and extent of such holding and the date of acquisition thereof. Notwithstanding the foregoing, no such statement shall be required with respect to the ownership or control of a holding in a publicly traded corporation which is doing or seeking to do business on a casual basis with a casino licensee or its affiliated hotel, or which is the holding or intermediary company of any such firm, corporation, or association. If such statement is properly and timely filed, such association as an officer, director, employee, or holder of an interest or less than an interest, as defined in section 1:1 of this code, shall not, in and of itself and without more, be considered a "personal interest" for purposes of section 2:9 of this code, although the filing of such statement shall not relieve a member of the Legislature who shall have a personal interest in any legislation from complying with the requirements of section 2:9. For the purposes of this subsection, "business on a casual basis" shall mean business conducted with a casino licensee or its affiliated hotel by a firm, corporation, or association with which the licensee has or would have no separate or individual contract or agreement which is required to be approved by the Casino Control Commission pursuant to subsection b. of section 104 of the Casino Control Act (P.L.1977, c.110; C.5:12-104b.), but shall not mean the provision of goods and services as a licensed public utility.
g. If a member of the immediate family of a member of the Legislature is the holder of an interest or less than an interest, as defined in section 1:1 of this code, in any firm, corporation, or association, or holding or intermediary company with respect thereto, which is the holder of, or an applicant for, a casino license or a casino service industry license, or which is doing or seeking to do business, other than provision of goods and services as a licensed public utility or as a patron or on a casual basis, with a casino licensee or its affiliated hotel, the family member shall, within 60 days of the adoption of this code and, thereafter, within 10 days of the knowledge by the legislator of the acquisition of such holding by the family member, file with the Joint Legislative Committee on Ethical Standards, a statement listing the nature and extent of such holding, the holder thereof and the date of acquisition thereof. Notwithstanding the foregoing, no such statement shall be required with respect to the ownership or control of a holding in a publicly traded corporation which is the holder of, or applicant for, a casino service industry license, or any holding or intermediary company with respect thereto; or which is doing or seeking to do business, other than provision of goods and services as a licensed public utility or as a patron or on a casual basis, with a casino licensee or its affiliated hotel; or which is the holding or intermediary company of any firm, corporation, or association which is doing or seeking to do such business. If such statement is properly and timely filed, such holding shall not, in and of itself and without more, be considered a "personal interest" for purposes of section 2:9 of this code, although the filing of such statement shall not relieve a member of the Legislature who shall have a personal interest in any legislation from complying with the requirements of section 2:9.
h. A member of the Legislature who has or enters into any financial relationship, whether as debtor, creditor, mortgagor, mortgagee, or otherwise, with a holder of or applicant for a casino license or with a holding or intermediary company with respect thereto, or a member of his immediate family who has or enters into any such relationship, shall, within 60 days of the adoption of this code and, thereafter, within 10 days of entering into such a relationship or of the knowledge by the legislator of such a relationship, file with the Joint Legislative Committee on Ethical Standards, a statement listing the nature of the relationship, the parties thereto and the terms thereof.
i. A member of the Legislature who owns or holds an interest in any land or building in any city in which casino gambling is authorized, or a member of his immediate family who owns or holds an interest in any land or building in any city in which casino gambling is authorized shall, within 60 days of the adoption of this code and, thereafter, within 10 days of the acquisition of such ownership or holding, file with the Joint Legislative Committee on Ethical Standards, a statement listing such ownership or control.
j. No member of the Legislature shall accept any complimentary service, discount, or credit from any casino applicant or licensee which he knows or has reason to know is other than such service, discount, or credit that is offered to the general public (C.52:13D-17.2). [(New.)]
k. No member of the Legislature or any member of his immediate family, nor any partnership, firm or corporation with which he is associated or in which he has an interest, nor any partner, officer, director or employee while he is associated with such partnership, firm or corporation, shall, within two years next subsequent to the termination of the office of the member of the Legislature 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 in connection with any cause, application or matter, or any holding or intermediary company with respect to such holder of, or applicant for, a casino license in connection with any phase of casino development, permitting, licensure or any other matter whatsoever related to casino activity, except that a member of the immediate family of a member of the Legislature may hold employment with the holder of, or applicant for, a casino license if, in the judgment of the Joint Legislative Committee on Ethical Standards such employment will not interfere with the responsibilities of the member of the Legislature and will not create a conflict of interest, or reasonable risk of the public perception of a conflict of interest, on the part of the member of the Legislature (C.52:13D-17.2).
2:9. No member of the Legislature shall participate by voting or any other action on the floor of either House, in committee or elsewhere, in the enactment or defeat of legislation in which he has a personal interest unless and until he files with the Secretary of the Senate or the Clerk of the General Assembly, as the case may be, and with the Joint Legislative Committee on Ethical Standards a statement that he has a personal interest in the legislation, identifying it by bill or resolution number, and that notwithstanding his interest, he is able to cast a fair and objective vote and otherwise participate in connection with and consideration of such legislation.
The Joint Legislative Committee on Ethical Standards is authorized to investigate the circumstances giving rise to the filing of a statement of personal interest and upon a finding, after a hearing thereon, that the member's participation with respect to the enactment or defeat of the legislation would constitute a violation of the public trust or create an impression among the public of a violation of the public trust, the joint committee shall direct the member to withdraw his sponsorship of, or participation in, the enactment or defeat of the legislation.
For the purpose of this section a "personal interest" means the member of the Legislature believes or has reason to believe he will derive a direct monetary gain or suffer a direct monetary loss by the enactment or defeat of the legislation; a "personal interest" does not mean that by enactment or defeat of the legislation no benefit or detriment to him could be expected to accrue to him, as a member of a business, profession, occupation or group, to any greater extent than any such benefit or detriment could be expected to accrue to any other member of such business, profession, occupation or group.
Statements filed pursuant to this section shall be entered verbatim in the Senate Journal or Minutes of the General Assembly, as the case may be (C.52:13D-18).
2:10. No 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 official duties, except reasonable fees for speeches or published works on matters within his 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. This section shall not apply to the solicitation or acceptance of contributions to the campaign of an announced candidate for elective public office and the member has no knowledge or reason to believe that the solicited campaign contribution, if accepted, would be given with the intent to influence the member in the performance of his public duties and responsibilities (C.52:13D-24).
2:11. No member of the Legislature shall willfully disclose to any person, whether or not for pecuniary gain, any information not generally available to members of the public which he receives or acquires in the course of and by reason of his official duties. No member of the Legislature shall use for the purpose of pecuniary gain, whether directly or indirectly, any information not generally available to members of the public which he receives or acquires in the course of and by reason of his official duties (C.52:13D-25).
2:12. If any person shall attempt to induce a member of the Legislature to violate any provision of the New Jersey Conflicts of Interest Law or this code, the member shall report the matter to the Attorney General in writing no later than 72 hours after the attempt and shall advise concurrently in writing the Joint Legislative Committee on Ethical Standards that he has made such a report to the Attorney General (C.52:13D-26).
2:13. Any member of the Legislature may request and obtain an advisory opinion of the Joint Legislative Committee on Ethical Standards as to whether or not the amount of a fee for a speech or published work is reasonable or that any proposed activity or conduct would in its opinion constitute a violation of the provisions of the New Jersey Conflicts of Interest Law or this code. Advisory opinions of the joint committee shall not be made public, except when the joint committee by the vote of three-fourths of all of its members directs that the same be made public or upon the request of the member seeking the advisory opinion. Public advisory opinions shall not disclose the name of any member of the Legislature unless the joint committee in directing that the same be made public so directs. All advisory opinions shall remain on file for 5 years from the date of issuance (C.52:13D-22 (g) and 52:13D-24).
2:14. a. Within 60 days of the adoption of this code and, thereafter, no later than May 15 of each year, each member of the Senate and General Assembly shall file with the Joint Legislative Committee on Ethical Standards or any successor thereto a financial disclosure statement, on a form to be prescribed by the Joint Legislative Committee on Ethical Standards or its successor, with respect to the member's, his spouse's and minor children's sources of income, received from sources other than the State, during the preceding calendar year. Without disclosing the amounts of income, reimbursements and gifts, the statement shall include an enumeration of:
(1) Each of the following categories of earned income totalling more than $1,000.00: salaries, bonuses, royalties, fees, commissions and profit sharing paid to the member or his spouse as an officer, employee, partner or consultant of a named corporation, professional association, partnership or sole proprietorship;
(2) Each of the following categories of unearned income totalling more than $1,000.00: rents, dividends and other income received by the member, his spouse or minor child from named investments, trusts and estates;
(3) Fees and honorariums totalling more than $100.00 for personal appearances, speeches or writings received by the member or his spouse from named payers;
(4) Reimbursements totalling more than $100.00 for travel, subsistence or facilities provided in kind received by the member, his spouse or minor child from named payers or providers other than the State, any political subdivision thereof, a principal employer, or a nonprofit organization; and
(5) Gifts having a value totalling more than $250.00, other than devises, bequests, intestate estate distributions or principal distributions of trusts or gifts from a spouse or other relative, received by the member, his spouse or minor child from named donors.
b. The financial disclosure statement filed pursuant to this section shall also include the address and brief description of all real property in the State in which the legislator, his spouse or dependent child held an interest during the preceding calendar year.
[b.] c. The failure of a member of the Legislature to file a statement as required by this section shall be reported to the President of the Senate or Speaker of the General Assembly.
[c.] d. The Joint Legislative Committee on Ethical Standards or its successor after review of statements filed pursuant to this section may by advisory opinion determine that in its opinion a particular category of income, reimbursements or gifts or real estate holding gives rise to an appearance of conflict with the member's service as a member of the Legislature.
[d.] e. Advisory opinions issued pursuant to subsection [c.]d. shall be public records and shall remain on file for 5 years from the date of issuance.
3. OFFICERS AND EMPLOYEES
IN THE LEGISLATIVE BRANCH
3:1. No State officer or employee or special State officer or employee shall accept from any person, directly or indirectly, whether by himself or through his spouse or a member of his family or through any partner or business or professional associate, any gift, favor, service, employment or offer of employment or any other thing of value, which he knows or has reason to believe is made or offered to him with the intent to influence him in the performance of his duties as a State officer or employee or special State officer or employee.
This section shall not apply to the acceptance of contributions to the campaign of an announced candidate for any elective public office by a special State officer or employee (C.52:13D-14).
3:2. Except as hereinafter provided in sections 3:4 and 3:5 no State officer or employee nor any partnership or firm of which he is a member or any corporation in which he owns or controls an interest, nor any partner, officer or employee of any such partnership, firm or corporation, shall represent, appear for, or negotiate on behalf of, or agree to represent, appear for, or negotiate on behalf of, any person or party other than the State in connection with:
a. The acquisition or sale by the State or a State agency of any interest in real or tangible or intangible personal property (C.52:13D-15);
b. The acquisition by the State or a State agency of any interest in real property by condemnation proceedings (C.52:13D-15);
c. Any specific cause, proceeding, application or other matter before any State agency (C.52:13D-16).
3:3. No special State officer or employee nor any partnership or firm of which he is a member or any corporation in which he owns or controls an interest, nor any partner, officer or employee of any such partnership, firm or corporation, shall represent, appear for, or negotiate on behalf of, or agree to represent, appear for, or negotiate on behalf of, any person or party other than the State in connection with any cause, proceeding, application or other matter pending before the Legislature or either House thereof or an agency, commission or committee in the legislative branch (C.52:13D-16a.).
3:4. [a.] 1a.1 The provisions of section 3:2 above shall not prohibit or restrict a State officer or employee from representing himself in negotiations or proceedings concerning his own interest in real property, or prohibit or restrict a partnership or firm with which a State officer or employee is associated or a corporation in which he owns or controls an interest from appearing before a State agency in any cause, proceeding or other matter on its own behalf (C.52:13D-16).
1b. The provisions of section 3:2 shall not prohibit or restrict an employee acting on the behalf of a member of the Legislature from (1) making an inquiry for information on behalf of a constituent, which may include ascertaining the status of a matter, identifying the status or regulations involved in a matter or inquiring how to expedite a matter; (2) assisting a constituent in bringing the merits of the constituent's position to the attention of a State agency; or (3) making a recommendation on a matter or indicating support for a constituent's position to a State agency; if no fee, reward, employment, offer of employment, or other thing of value is promised to, given to or accepted by the employee therefor, whether directly or indirectly, and the employee does not endeavor to use his official position to improperly influence any determination. As used in this subsection "constituent" shall mean any State resident or other person seeking legislative assistance. Nothing contained herein shall authorize contact with State agencies by employees which is otherwise prohibited by the criminal law, by the "New Jersey Conflicts of Interest Law," P.L.1971, c.182 (C.52:13D-12 et seq.) or this code and nothing contained herein shall authorize contact with an administrative law judge or agency head during the hearing of a contested case.1
3:5. A State officer or employee whose conditions of employment permit him to engage in private law practice is authorized to represent, appear for or negotiate on behalf of, or agree so to do, any person other than the State in any action, cause, proceeding or application before:
a. Any court of record, except where the State or a State agency is an adverse party;
b. The Division of Workers' Compensation, except in connection with a claim by a State employee;
c. The Division of Taxation in connection with the determination or review of transfer inheritance or estate taxes;
d. The Department of State in connection with the filing of corporate or other documents;
e. The Unsatisfied Claim and Judgment Fund Board, solely for the purpose of filing a protective notice of intention (C.52:13D-16).
3:6. No State officer or employee or special State officer or employee, subsequent to the termination of his office or employment in any State agency, shall represent, appear for [or], negotiate on behalf of, or provide information not generally available to members of the public or services to, or agree to represent, appear for, [or] negotiate on behalf of, or provide information not generally available to members of the public or services to, whether by himself or through any partnership, firm or corporation in which he [owns or controls] 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 office or employment (C.52:13D-17).
3:7. [Prior approval of the Joint Legislative Committee on Ethical Standards shall be obtained for a State officer or employee, individually, through a partnership or firm with which he is associated or by a corporation in which he owns or controls an interest, to bid on and to accept awards of contracts let or awarded by a State agency where the dollar value thereof is $25.00 or more.
Where approval is desired to bid on and, if successful, to accept and undertake contracts to be awarded by a State agency after public notice and competitive bidding or to negotiate, accept and execute contracts of the types enumerated in P.L.1954, c.48, s.5 (C.52:34-10) awarded without advertising with the approval of the State Treasurer or contracts of insurance to be entered into pursuant to P.L.1944, c.112, s.10 (C.52:27B-62), an application to, and approval by, the joint committee]
a. No State officer or employee shall knowingly himself, or by his partners or through any corporation which he controls or in which he owns or controls more than 1% of the stock, or by any other person for his use or benefit or on his account, undertake or execute, in whole or in part, any contract, agreement, sale or purchase of the value of $25.00 or more, made, entered into, awarded or granted by any State agency, except as provided in subsection b. of this section. No special State officer or employee having any duties or responsibilities in connection with the purchase or acquisition of property or services by the State agency where he is employed or an officer shall knowingly himself, by his partners or through any corporation which he controls or in which he owns or controls more than 1% of the stock, or by any other person for his use or benefit or on his account, undertake or execute, in whole or in part, any contract, agreement, sale or purchase of the value of $25.00 or more, made, entered into, awarded or granted by that State agency, except as provided in subsection b. of this section. The restriction contained in this subsection shall apply to the contracts of interstate agencies to the extent consistent with law only if the contract, agreement, sale or purchase is undertaken or executed by a New Jersey member to that agency or by his partners or a corporation in which he owns or controls more than 1% of the stock.
b. The provisions of subsection a. of this section shall not apply to (a) purchases, contracts, agreements or sales which (1) are made or let after public notice and competitive bidding or which (2), pursuant to section 5 of P.L.1954, c.48 (C.52:34-10) or such other similar provisions contained in the public bidding laws or regulations applicable to other State agencies, may be made, negotiated or awarded without public advertising or bids, or (b) any contract of insurance entered into by the Director of the Division of Purchase and Property pursuant to section 10 of P.L.1944, c.112 (C.52:27B-62), if the purchases, contracts or agreements, including change orders and amendments thereto, shall receive prior approval of the Joint Legislative Committee on Ethical Standards, which approval may be made for a period not in excess of one legislative year.
Upon the award of a contract by a State agency to a State officer or employee or special State officer or employee, his partnership or firm or corporation described in this section he shall file with the joint committee a notice of the award, the name of the State agency involved and the dollar amount of the contract. Any amendment or change order to any such contract involving a change in the dollar amount involved shall likewise be reported to the joint committee (C.52:13D-19).
3:7.1 (New section) Notwithstanding the provisions of P.L.1971, c.182 (C.52:13D-12 et seq.) and this code of ethics, 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 contract or agreement with a State agency where the contract or agreement is for the development of scientific or technological discoveries or innovations in which the State agency has a property right, if the State agency has a procedure in its code of ethics for authorizing these contracts or agreements which minimizes actual conflicts of interest and the code of ethics was approved in accordance with section 12 of P.L.1971, c.182 (C.52:13D-23) and the contract or agreement complies with that code procedure (C.52:13D-19.1).
3:7.2 (New section) Notwithstanding the provisions of P.L.1971, c.182 (C.52:13D-12 et seq.) and this code of ethics, 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 (C.52:13D-19.2).
3:8. A State officer or employee or special State officer or employee shall not act as an agent of the Legislature, either House thereof or agency in the legislative branch in connection with the transaction of any business with himself or with a corporation, company, association or firm in which he owns or controls an interest (C.52:13D-20).
3:9. Any State officer or employee or special State officer or employee whose conditions of employment so permit and who engages in the conduct or practice of a particular business, profession, trade or occupation which is subject to licensing or regulation by a particular State agency shall file a notice that he is the holder of a particular license or is engaged in such activity with the Joint Legislative Committee on Ethical Standards. A State officer or employee or special State officer or employee whose conditions of employment authorize him to engage in private law practice shall so report to the joint committee. Renewal of licenses need not be reported (C.52:13D-23(e)(2)).
3:10. 1[a. No State officer or employee or any special State officer or employee with responsibility for matters affecting casino activity, nor any member of his immediate family, nor any other special State officer or employee, or any partnership, firm or corporation with which he is associated or in which he holds an interest, shall represent, appear for, or negotiate on behalf of the holder of, or an applicant for, a casino license or any holding or intermediary company with respect thereto, as the same are defined in the Casino Control Act.
b. No State officer or employee or any special State officer or employee with responsibility for matters affecting casino activity, nor any member of his immediate family, nor any other special State officer or employee, or any partnership, firm or corporation with which he is associated or in which he holds an interest, shall be an officer, director, employee, or holder of an interest, as defined in section 1:1 of this code, in any holder of, or an applicant for, a casino license or any holding or intermediary company with respect thereto, as the same are defined in the Casino Control Act, except that a member of the immediate family of a State officer or employee, or special State officer or employee with responsibility for matters affecting casino activity may hold employment with the holder of, or applicant for, a casino license if, in the judgment of the Joint Legislative Committee on Ethical Standards such employment will not interfere with the responsibilities of the State officer or employee, and will not create a conflict of interest, or reasonable risk of the public perception of a conflict of interest, on the part of the State officer or employee.
c. No State officer or employee or special State officer or employee, or any firm with which he is associated, shall appear or practice in any capacity representing any person, firm, corporation or association before the Casino Control Commission or the Division of Gaming Enforcement [(New).]
d. A special State officer or employee without responsibility for matters affecting casino activity may hold employment directly with any holder of or applicant for a casino license or any holding or intermediary company thereof and if so employed may hold, directly or indirectly, an interest in, or represent, appear for, or negotiate on behalf of, his employer, except as otherwise prohibited by law.
e. This section shall not apply to the spouse of a State officer or employee, which State officer or employee is without responsibility for matters affecting casino activity, who becomes the spouse subsequent to the State officer's or employee's appointment or employment as a State officer or employee and who is not individually or directly employed by a holder of, or applicant for, a casino license, or any holding or intermediary company.
f.] a. As used in this section "person" means any State officer or employee with responsibility for matters affecting casino activity, any special State officer or employee with responsibility for matters affecting casino activity or any full-time professional employee of the Legislature.
b. No State officer or employee, nor any person, nor any member of the immediate family of any State officer or employee, or person, nor any partnership, firm or corporation with which any such State officer or employee or person is associated or in which he has an interest, nor any partner, officer, director or employee while he 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 if, in the judgment of the Joint Legislative Committee on Ethical Standards, such employment will not interfere with the responsibilities of the State officer or employee, or person, and will not create a conflict of interest, or reasonable risk of the public perception of a conflict of interest, on the part of the State officer or employee, or person. No special State officer or employee without responsibility for matters affecting casino activity, shall hold, directly or indirectly, an interest in, 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. However, a special State officer or employee without responsibility for matters affecting casino activity may hold employment directly with any holder of or applicant for a casino license or any holding or intermediary company thereof and if so employed may hold, directly or indirectly, an interest in, or represent, appear for, or negotiate on behalf of, his employer, except as otherwise prohibited by law.
c. No person or any member of his immediate family, nor any partnership, firm or corporation with which such person is associated or in which he has an interest, nor any partner, officer, director or employee while he is associated with such partnership, firm or corporation, shall, within two years next subsequent to the termination of the office or employment of such person, 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 in connection with any cause, application or matter, or any holding or intermediary company with respect to such holder of, or applicant for, a casino license in connection with any phase of casino development, permitting, licensure or any other matter whatsoever related to casino activity, except that:
(1) a member of the immediate family of a person may hold employment with the holder of, or applicant for, a casino license if, in the judgment of the Joint Legislative Committee on Ethical Standards, such employment will not interfere with the responsibilities of the person and will not create a conflict of interest, or reasonable risk of the public perception of a conflict of interest, on the part of the person; and
(2) an employee who is terminated as a result of a reduction in the workforce at the agency where employed, other than an employee who held a policy-making management position at any time during the five years prior to termination of employment, may, at any time prior to the end of the two-year period, accept employment with the holder of, or applicant for, a casino license if, in the judgment of the Joint Legislative Committee on Ethical Standards, such employment will not create a conflict of interest, or reasonable risk of 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.
d. This section shall not apply to the spouse of a State officer or employee, which State officer or employee is without responsibility for matters affecting casino activity, who becomes the spouse subsequent to the State officer's or employee's appointment or employment as a State officer or employee and who is not individually or directly employed by a holder of, or applicant for, a casino license, or any holding or intermediary company.
e. No person shall solicit or accept, directly or indirectly, any complimentary service or discount from any casino applicant or licensee which he knows or has reason to know is other than a service or discount that is offered to members of the general public in like circumstance.1
3:11. No State officer or employee or special State officer or employee 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 official duties, except reasonable fees for speeches or published works on matters within his 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. This section shall not apply to the solicitation or acceptance of contributions to the campaign of an announced candidate for elective public office by a special State officer or employee; provided, the special State officer or employee has no knowledge or reason to believe that the contribution is solicited, offered or accepted with the intent to influence the special State officer or employee or the candidate to whose campaign it is offered or made in the performance of his public duties and responsibilities (C.52:13D-24).
3:12. No State officer or employee or special State officer or employee shall accept any complimentary service, discount, or credit from any casino applicant or licensee which he knows or has reason to know is other than such service, discount, or credit that is offered to the general public in like circumstance[(New)](C.52:13D-17.2).
3:13. No State officer or employee or special State officer or employee shall willfully disclose to any person, whether or not for pecuniary gain, any information not generally available to members of the public which he receives or acquires in the course of and by reason of his official duties. No State officer or employee or special State officer or employee shall use for the purpose of pecuniary gain, whether directly or indirectly, any information not generally available to members of the public which he receives or acquires in the course of and by reason of his official duties (C.52:13D-25).
3:14. If any person shall attempt to induce a State officer or employee or special State officer or employee to violate any provision of the New Jersey Conflicts of Interest Law or this code, the officer or employee shall report the matter to the Attorney General in writing no later than 72 hours after the attempt and shall advise concurrently in writing the Joint Legislative Committee on Ethical Standards that he has made such a report to the Attorney General (C.52:13D-26).
3:15. Any State officer or employee or special State officer or employee may request and obtain an advisory opinion of the Joint Legislative Committee on Ethical Standards as to whether or not the amount of any fee for a speech or published work is reasonable or any proposed activity or conduct would in its opinion constitute a violation of the provisions of the New Jersey Conflicts of Interest Law or this code.
Advisory opinions of the joint committee shall not be made public, except when the joint committee by the vote of three-fourths of all its members directs that the same be made public or upon the request of the officer or employee seeking the advisory opinion. Public advisory opinions shall not disclose the name of any State officer or employee or special State officer or employee unless the joint committee in directing that the same be made public so directs. All advisory opinions shall remain on file for 5 years from the date of issuance (C.52:13D-22(g) and 52:13D-24).
4. ADMINISTRATION AND ENFORCEMENT
4:1. Administration and enforcement of the New Jersey Conflicts of Interest Law, any supplements thereto and this code of ethics with respect to members of the Legislature [and], State officers [and] or employees and special State officers [and] or employees in the legislative branch of the State Government is vested in the Joint Legislative Committee on Ethical Standards which shall be exercised in accordance with the code of fair procedure governing State investigating agencies (P.L.1968, c.376, C.52:13E-1 et seq.), the New Jersey Conflicts of Interest Law, this legislative code of ethics and rules of procedure adopted by the joint committee.
4:2. The Legislative Services Commission may with respect to State officers [and] or employees and special State officers or employees in its employ prescribe additional conditions of employment, a copy of which shall be filed with the Joint Legislative Committee on Ethical Standards.
4:3. No action for removal or discipline of a member of the Legislature or a State officer or employee or a special State officer or employee in the legislative branch of the State Government for a violation of the New Jersey Conflicts of Interest Law or this code shall be taken except with the approval of the Joint Legislative Committee on Ethical Standards.
4:4. All notices or statements to be filed with the Joint Legislative Committee on Ethical Standards shall be public records. All such notices or statements shall be available for inspection by the public at the office where required to be filed, and shall remain on file for 5 years from the date of issuance.
4:5. The Joint Committee on Ethical Standards shall prepare and prescribe appropriate forms to be used for the filing of notices and statements required pursuant to this code.
4:6. (New section) Any document which is mailed shall be deemed to be timely filed if the postmark stamped on the cover, envelope or wrapper in which the document was mailed bears a date on or before the date of the last day prescribed for filing the document (C.52:13D-22.2).
4:7. (New section) When the date or the last day prescribed for filing a document falls on a Saturday, Sunday or legal holiday, the next succeeding business day shall be regarded as the date of the last day prescribed for filing the document (C.52:13D-22.3).
Adopts a permanent Legislative Code of Ethics for 1996 and 1997 and amends and supplements the temporarily adopted Code to conform to statutory and recommended changes.