The following activities are deemed to be inconsistent,
incompatible, in conflict with, or inimical to the duties of PERS officers or
employees:
(1) Using the prestige or
influence of the state or PERS for the officer's or employee's private gain or
advantage or the private gain of another.
(2) Using state time, facilities, equipment
(including but not limited to xerox machines, telephones, vehicles, postage
meters, data processing or word processing equipment, or personal computers) or
supplies for private gain or advantage.
(3) Using, or having access to, confidential
information available by virtue of state employment (including but not limited
to confidential data filed by a member or beneficiary with the board, and
confidential contract, financial, investment or legal information) for private
gain or advantage.
(4) Providing
confidential information (including but not limited to confidential data filed
by a member or beneficiary with the board, and confidential contract,
financial, investment or legal information) to persons to whom issuance of this
information has not been authorized.
(5) Receiving or accepting money or any other
consideration (including but not limited to entertainment, lodging, travel
expenses, services or other items) from anyone other than the state for the
performance of his or her job duties as a state officer or employee.
(6) Performance of an act in other than his
or her capacity as a state officer or employee knowing that the act may later
be subject, directly or indirectly to the control, inspection, review, audit,
or enforcement by the officer or employee.
(7) Receiving or accepting, directly or
indirectly, any gift, including money, or any service, gratuity, favor,
entertainment, hospitality, loan, or any other thing of value from anyone who
is doing or is seeking to do business of any kind with the Public Employees'
Retirement System or whose activities are regulated or controlled by PERS under
circumstances from which it reasonably could be substantiated that the gift was
intended to influence the officer or employee in his or her official duties or
was intended as a reward for any official actions performed by the officer or
employee.
(8) Subject to any other
laws, rules, or regulations as pertains thereto, not devoting his or her full
time, attention, and efforts to his or her state office or employment during
his or her hours of duty as a state officer or employee.
The following activities are specifically deemed to be
incompatible, inconsistent, in conflict with, or inimical to the duties of PERS
officers and employees due to the nature of the responsibilities of the Public
Employees' Retirement System:
(9) Accepting commercial transportation or
lodging of any type, or accepting direct or indirect payment or reimbursement
for lodging or transportation of any type from any person, business entity, or
organization doing or seeking to do business of any kind with PERS, except
where:
(A) the travel and/or accommodations
or payment or reimbursement for such are provided in connection with training,
or a meeting, seminar, or conference which the Executive Officer, or the Board
President where the proposed attendee is the Executive Officer, has determined
to be of educational value to the attendee; and
(B) the acceptance of the transportation,
lodging, payment or reimbursement for such is not prohibited by any other
section of this regulation or by any other provision of law.
PERS or the State of California shall pay for travel and
lodging expenses of PERS officers and employees on PERS-related business
whenever possible. Only if the system or the state is unable to pay the
officer's or employee's travel or lodging expenses may a PERS officer or
employee accept commercial transportation or lodging of any type, or
reimbursement or direct or indirect payment for lodging or transportation of
any type, from sources other than PERS or the State of California.
Prior to accepting commercial transportation or lodging
or payment or reimbursement for lodging and/or transportation of any type from
a source other than PERS or the State of California, the Assistant Executive
Officers and employees shall obtain written approval from the Executive
Officer, and the Executive Officer shall obtain prior written approval from the
Board President.
(10) Claiming travel expenses from PERS for
other than state business. No employee shall accept dual payment for travel
expenses.
(11) Initiating contact
with state administrators or legislative personnel for the purpose of
presenting PERS' policy or position on legislation or amendments thereto or
initiative or referendum petitions, unless such act is a part of the officer's
or employee's official duties. This prohibition does not preclude officers or
employees, as private citizens, from contacting legislative or administrative
personnel.
(12) Publishing any
writing or making any statement to the media which directly or indirectly
refers to his or her connection with PERS unless such an act is part of the
officer's or employee's official duties, or unless such writing or statement
contains an appropriate disclaimer indicating that the views expressed are his
or her own and do not necessarily reflect the views of PERS or the
Board.
(13) PERS employees and
officers shall report all gifts, gratuities and other considerations which are
not prohibited by this regulation, except those which are from family members
or which are clearly given in a personal or social setting. Such report shall
be on PERS' gratuity reporting form, in the month the gift was received. Even
gifts which have no monetary value or are of nominal value are to be
reported.
(14) All gifts,
gratuities and other consideration which are prohibited by the provisions of
this regulation are to be returned to the sender whenever possible. The return
of prohibited gifts and other consideration can be at PERS' expense, through
the mail room, and can include any insurance needed.
(15) For purposes of this regulation,
"outside employment" is defined as any services performed by a PERS employee or
officer on his or her own time, during other than normal working hours, for
which he or she receives any form of compensation.
Outside employment is deemed inconsistent, incompatible,
in conflict with, or inimical to the officer's or employee's duty to PERS if it
violates any of the provisions of this regulation, or any other law.
PERS officers and employees must obtain prior approval,
in the manner described below, before engaging in the types of employment
described in (A)-(C):
(A) Outside
employment with any person, organization or business entity of any type that
contracts with PERS to provide goods or services, or contracts with PERS for
any other purpose.
(B) Being a
partner in, or acting as an officer or board member of, or as a consultant or
contractor to, or owning more than a five percent ownership interest in any
business, institution, or any agency which he/she knows has financial dealings
with PERS.
(C) Any employment, the
nature of which is parallel to or closely allied with the services provided to
PERS by the officer or employee, including but not limited to, attorneys
performing outside legal work, investment officers providing outside investment
services, or actuaries providing outside actuarial services.
A PERS officer or employee who wishes to engage in
outside employment or an activity which meets the criteria set forth above in
subsection (C), must first make a written request for and receive a written
determination that such outside employment or activity is not inconsistent,
incompatible, or in conflict with the officer's or employee's duty to PERS. An
employee will obtain this determination from his or her Division Chief or
function head. Division Chiefs or function heads, and Assistant Executive
Officers, will obtain this determination from the PERS Executive
Officer.
The PERS Executive Officer shall not engage in such
outside employment which meets the criteria set forth above in subsection (C),
unless he or she has obtained prior approval from the Board by way of formal
Board action.
An officer or employee who is engaged in outside
employment on the effective date of this regulation may continue such
employment while the request for determination is being processed.
This regulation does not attempt to specify every
possible limitation on officer or employee activities that might be determined
incompatible under Government Code section
19990.
Nothing in this regulation shall exempt any person from
applicable provisions of any other laws of this state. The standards of conduct
set forth in this regulation are in addition to those prescribed in PERS'
Conflict of Interest Code.
If a PERS officer or employee violates any provision of
this regulation, he or she will be liable for disciplinary action to include
possible dismissal or removal from office.
If a PERS officer or employee is notified that he or she
has violated any provision of this regulation, or that a category of outside
employment is prohibited, the officer or employee may appeal through PERS'
personnel complaint procedure.
