Final Thesis 443

Daemen College By: Ebony Regine Fripp
December 8, 2015
A senior thesis submitted to the History and Political Science Department of Daemen College in
partial fulfillment of the requirements for the degree of Bachelor of Arts
“Operation Clean Up Albany”: An
Explanatory Case Study on Corruption and
Public Ethics Reform within New York State
Government

1
Introduction
“New York State is upside down and backwards; high taxes and low performance.
The New York State government was at one time a national model. Now, unfortunately,
it’s a national disgrace. Sometimes, the corruption in Albany could even make Boss
Tweed blush.”1 –Andrew Cuomo, 2010. This statement, made during the current
Governor of New York’s 2010 campaign announcement, gives an account of how New
York State’s government is seen around the country. For decades, New York State
officials have been caught up in political scandals and corruption charges. New Yorkers
have, in a way, begun to accept its rich history of corruption as just the way it is. In 2015
alone, both our Assembly and Senate Leaders have been arrested on corruption charges,
not to mention our governor is under threat of investigation for the disbanding of his
Moreland Commission on the basis of it being corrupt.
With all of this corruption going on it would seem that we as a state would be
implementing some serious ethics reform. In a logical world, high levels of public
corruption plus high levels of public dissatisfaction with corrupt officials would seem to
equal the perfect atmosphere for ethics reform. However, in New York State, this is not
1 This quote was stated duringGovernor Cuomo’s’ 2010 campaign announcement. In the speech, he
proposes a “New New York Agenda” based on a number of principles,Clean Government being one of
them. He also proposes a “Clean Up Albany Plan,”which would outli nestrictnew ethics laws,requirefull
disclosureof Legislators’outsideincome,new campaign financelaws,and other laws restrictinglegislative
outsidereach. http://alloveralbany.com/archive/2010/05/24/speed-reading-the-coverage-of-andrew-
cuomos-campai
WilliamM.Tweed or “Boss Tweed” is mostly remembered for his unfair political practiceas the leader of
Tammany Hall duringthe 1860’s and early 1870’s,in which he and his network of corruption,known as
the “Tweed Ring,” cheated the city of New York out of massivesums of money. Boss Tweed was tried and
convicted in 1873;charged with larceny and forgery. However, he escaped from prison in 1875 and fled to
Cuba and Spain.He was arrested in Spain,extradited to the US, and then died in prison frompneumonia
in 1878.

2
the case. Why is this? This thesis explores why serious ethics reform is not happening in
a state with such a need for it.
If you have high levels of public corruption within state government and high
levels of public dissatisfaction with corrupt state officials, why is serious ethics reform
not being passed? Corruption and public ethics violations within state government are
always an issue, mainly because the decisions of state officials affect everyone in their
respective state. Decisions made by government officials affect people’s daily lives and
the things they care about, like public health and safety measures, the raising or lowering
of property taxes, and what services are given and taken away from individuals and
communities. The people who elect these officials and give them their powers expect
them to act with honesty and integrity, because they have put trust in them. So, when you
have cases like Sheldon Silver (former Assembly leader) making headline news, and the
Governor implementing and then disbanding commissions made to help prevent public
ethics violations, citizens get concerned.2 It is important to identify what reforms have
been implemented in the past, so that we can evaluate them and their success or failure. It
is also important to find possible reasons why reform efforts have been shut down, or in
some cases, ignored. For the purpose of this paper, I am only looking at serious
legislative efforts. By doing this we can truly begin our efforts to “Clean Up” Albany’s
cesspool of corruption.
2 QuinnipiacUniversity Poll. https://cbsnewyork.files.wordpress.com/2015/03/ny03192015_nh54dfds.pdf
(accessed June 23, 2015). This poll expresses that89 percent of New York States voters say that
corruption is a serious problemwithin the state and that 84-13 percent of voters want government
officials and their spouses to disclosetheir outsideincome and investments.

3
I will be conducting an explanatory case study, in which my unit of analysis will
be New York State government. I am covering different high profile political corruption
cases from 2005 to the present, a 10-year timeframe, as well as past and present public
ethics reforms that have and are being implemented in New York State. I have used
concepts and definitions made by political science scholars. To define corruption, I am
using a broader definition given by Michael A. Genovese and Victoria A. Farrar-Myers in
Corruption in American Politics. They state that for something to count as political
corruption, it must have a public impact, be a part of some public violation of trust.3
Part I of this paper is a review of existing literature surrounding my topic,
political corruption. This includes studies from scholars on what corruption is, and why
some state officials feel comfortable enough to participate in public ethics violations. I
explain the literature I have read on why the public’s trust in government officials matter,
and how trust can shift the allocation of resources in a state. Lastly, I review literature on
New York State’s reform history, as well as its present case. Part II of this paper consists
of past and current ethics reforms and ideas, and where New York State stands now on
the basis of corruption and reform. I examine three major cases of government based
public ethics violations, two current and one former, providing an overview of the cases
and their effects on public trust. In addition, I provide a layout of Governor Cuomo’s
Moreland Commission, explaining why it is relevant to the study of reform and public
ethics commissions. Lastly, Part III of this paper consists of the conclusions I have gained
through my research, which have allowed me to answer the central question of this paper,
3 Michael A. Genovese and Victoria A. Farrar-Myers,Corruption and American Politics, (Cambria Press,
2010),3.

4
if there are high levels of public corruption within state government and high levels of
public dissatisfaction with corrupt state officials, why is serious ethics reform not being
passed?
Part I: LITERATURE REVIEW
The existing literature on political corruption focuses on the different definitions
and causes of corruption, as well as the process of reform. Because of the large amount of
power abuse and heavy government presence in less developed countries, there are many
existing theories on political corruption in these places. However, there is less research on
existing theories on corruption in New York State. Fortunately, the already existing
theories are generalizable, allowing them to be applied to New York as well as other
states.
In addition, there are theories that hint at different parts of my topic; Elazar’s
theory of political culture is one of them. Based on Elazar’s theory of political culture
there is a high tolerance for corruption in states with a dominant individualistic culture.4
In the individualistic culture, there is an “emphasis on limiting government intervention
into private activities.”5 Elazar theorizes that in states with this type of culture (mid-
Atlantic) there is a significant degree of cynicism about government, and people accept
dirty politics as a fact.6 New York is indeed one of the states said to have this
4 J. Wesley Leckrone, State and Local Political Culture, http://theamericanpartnership.com/tag/elazars-
political-culture/ (accessed June 12, 2015).
5 Sarah F. Liebschutz, New York Politics & Government: Competition and Compassion. (U of Nebraska
Press,1998),21.
6 Political Cultureof the United States. http://academic.regis.edu/jriley/421elazar.htm (accessed June 12,
2015).

5
“individualistic culture,” possibly explaining why corruption is primarily accepted as
normal among leaders and citizens.
Daniel Elazar felt that in order to understand the relationship of a government to
its people, and how those people are going to act towards that government, it is necessary
to study what those people believe about themselves and government.7 His idea was that
the attributes enshrined in a political culture were the result of ethnic and religious values
of settlers, in colonial America, in specific regions of the country.8 Political culture refers
to what people feel and believe about government and how they think people should act
towards it.9 According to Elazar, in the original thirteen colonies Puritans, followed by
Scandinavian and Northern Europeans, settled New England states. They embedded their
highly religious values creating a moralistic culture based on community and “good
society”. In southern states, due to slavery and a strong sense of family and social
hierarchy, there formed a traditionalistic culture where maintaining the status quo was
priority. Lastly, in Mid-Atlantic States with a highly German and English population
seeking wealth and individual prosperity, formed an individualistic culture; this is where
New York State falls. These settlers, during western expansion, migrated west and took
their political cultures with them to their new settlements. Migrational patterns of frontier
expansion transported these political cultures almost directly westwards, explaining why
for the most part Northern states have dominant moralistic cultures, southern states have
7 Political Cultureof the United States. http://academic.regis.edu/jriley/421elazar.htm (accessed June 12,
2015).
8 J. Wesley Leckrone, State and Local Political Culture,
http://theamericanpartnership.com/2013/12/18/state-and-local-political-culture/ (accessed June 12,
2015).
9 John T. Ishyama, Comparative Politics: Principles of Democracy and Democratization, (Wiley-Blackwell,
2011),94.

6
dominant traditionalistic cultures, and mid-Atlantic, mid-west states, mid-western states
have a dominant individualistic culture. These different political cultures help to explain
how government is seen by its citizens and what they expect from government officials,
as well as what the people in power feel their role and duty is as a public official.
From this idea, Elazar developed a theory, which states that political culture
subtly affects states government operations in three ways.10 First, it helps set the
perceptions of the purposes of politics and its range of permissible actions.11 Second, it
sets the boundaries of who can participate in politics and how much people involvement
it encouraged in the policy making process.12 Lastly, it affects the way that government is
practiced; this includes ethical tolerance of corruption as well as willingness to innovate
in public policy.13 This body of work gives me a better explanation of New York States
history and the cultural values that have been embedded within its society over time.
What Is Corruption, and Why Does Public Trust Matter?
In the book, Corruption and American Politics by Michael A. Genovese and
Victoria A. Farrar-Myers, the authors outline many different forms of corruption, as well
as how they relate to each other, individuals, and institutions. They set forth the idea of
individual corruption versus systemic corruption. The former refers to individual
misdeeds or wrongdoing, like an officeholder or a legislator who exchanges his vote for
10 J. Wesley Leckrone, State and Local Political Culture,
http://theamericanpartnership.com/2013/12/18/state-and-local-political-culture/ (accessed June 12,
2015).
11 Ibid.
12 Ibid.
13 Ibid.

7
money.14 The latter, in contrast, refers to a broader aspect: a bad system. Examples the
authors use are the undermining of democratic legitimacy and equality, and campaign
financing practices. This type of corruption runs deeper than just an individual crime. It
focuses on the imbedded error within the day-to-day operation of a system.15 In focusing
on the individual we often overlook the systemic issues because it is easier to “catch,
punish, and condemn” a state official rather than fix a whole institution.16
Chris Shortell, in his essay, draws a distinction between two different forms of
corruption, acute corruption versus systemic corruption. Acute corruption takes place
when an individual is acting immorally for their own personal interests or gain, such as
representatives taking a bribe. This form of systemic corruption differs from the former in
the way that there is a gain for a particular political part of government or regime, such as
the Nixon administration and election reform. James A. Thurber, in his essay, states that
he wonders if our efforts at reform are misplaced, and if current reform efforts deal more
with appearance than reality.17 In the book Corruption in America, Mark Warren explores
the connection between perception of corruption and the decline of trust in government in
his essay. He demonstrates that “perceptions matter,” and a “problem of trust… now
plagues the American polity.”18 He argues that this has a damaging effect on citizen’s
attitudes. He asks us to consider “corruption of the democratic process” as the most
damaging form of political corruption.19
14 Genovese and Farrar-Myers,Corruption and American Politics, 3.
15 Ibid.
16 Ibid.
17 Ibid.
18 Genovese and Farrar-Myers,Corruption and American Politics, 5.
19 Ibid.

8
Some of the ideas in this chapter mesh with the ideas in the book Why Trust
Matters: Declining Political Trust and the Demise of American Liberalism by Michael J.
Hetherington. In fact, he states that Americans have remained supportive of many federal
programs such as, Social Security, Medicare, public education, and environmental
protection. What has changed though, in his view, is that Americans are less supportive
of redistributive programs put through by government, which deal with efforts by
government to divide resources among broad classes or groups of the population. An
example of this would be the United States’ welfare program. He challenges the norm
and casts political trust as an independent variable rather than a dependent variable. By
doing this, he demonstrates that the fast decline in Americans’ political trust since the
1960’s is crucial to explaining the right turn in public policy. As people lost faith in the
federal government, they began to support progressive ideas much less believing that
government did not have the people’s interest in mind; so as political trust declined, so
did support for redistributive programs, such as welfare, food stamps, and race-targeted
programs. These two books shape my work by giving me a strong foundation in what
corruption is and what exactly counts as political corruption. They also explain why
public trust truly matters in a political system, and how it can affect the policy making
process. A firm knowledge of these two subjects allows me to understand why my topic
is important and what else needs to be answered regarding this topic.
Causes of Corruption and Dishonest Acts of State Officials
To really get a sense of why corruption happens and why state officials participate
in public ethics violations, I focused on the book Corruption, Inequality, and the Rule of

9
Law: The Bulging Pocket Makes the Easy Life by Eric M. Uslaner. Uslaner suggests that
the “roots” of corruption are firmly planted in economic and legal inequality and low
levels of generalized trust, which he states do not quickly or easily change. In addition,
these are accompanied by, poor policy choices, which may be more likely to change.
Economic inequality provides the perfect environment for corruption, and successively
leads to further inequalities. He expands this idea of inequality by introducing the
principle of the “inequality trap.”20 The basic nature of the inequality trap is that
corruption leads to less trust in other people and in turn to more inequality. This “trap” is
the reason why corruption carries on in societies over long periods of time and why it is
so difficult to clean up. Corruption becomes accepted as part of culture (referring back to
Elazar’s theory of political culture.) Uslaner provides a cross-state analysis of reporter’s
perceptions of corruption in state legislatures in the United States to help outline his case.
He states that “corruption is sticky,” and societies evolve into “cultures of corruption”
because they are stuck in the constant pattern of high inequality, low trust, and high
corruption.21 He suggests that people do not participate in dishonest acts because they
like to or want to, but simply because there is no other way to survive; there is no way
out.
New York’s Reforms (Past and Present)
A number of books helped in giving me a sense of where New York stands based
on past and current ethics reforms. The first was Honest Government: An Ethics Guide
20
Eric M. Uslaner,Corruption, Inequality, and the Rule of Law: The Bulging Pocket makes the easy life.
(Cambridge University Press,2010),4.
21 Eric M. Uslaner,Corruption, Inequality, and the Rule of Law: The Bulging Pocket makes the easy life.
(Cambridge University Press,2010),6.

10
for Public Service by W.J. Michael Cody and Richardson R. Lynn. In this text, the
authors examine and seek to answer the question of “how we should measure the routine,
day-to-day ethics of men and women in public service.”22 The authors express that, rather
than focusing on legislating ethics, they hoped to “make a case for reasonable statements
of duties owed by public officials to citizens and to the government itself.”23 One of the
authors, R. Lynn, writes that the biggest idea blocking widespread support and action on
making high standards for public ethics is “the feeling that it is a sign of “weakness” to
insist on high standards or point out unethical conduct by others.”24 This is a very
important statement because if officials feel that they are being demeaned or if reformers
feel that it is demeaning to impose restrictions on officials, widespread public ethics
standards will possibly never be set.
At the beginning of the book, Lynn gives a list of six basic principles that are
“self-evident” rules of conduct for all public servants.25 They are, (1) Public servants
must never lie, cheat, or steal in any official capacity and they must obey the law, and tell
the truth to the public, governmental bodies, and the press, except in limited
circumstances like war or national emergency, (2) Public officials must avoid all conflicts
of interests created by business, friendship, or family relationships and must always be
careful to avoid even the appearance of impropriety, (3) Public officials owe a fiduciary
duty to taxpayers and all citizens to ensure that public funds are used efficiently, (4)
22 W.J. Michael Cody and Richardson R.Lynn, Honest Government: An Ethics Guide for Public Service,
(Praeger, 1992), 17
(Praeger, 1992), 18
(Praeger, 1992),xiii
(Praeger, 1992),9

11
Public officials must not allow zeal for their duties to cause them to violate citizens’ legal
rights and public officials should not be rude or unresponsive when dealing with the
public, (5) Public officials should cooperate with other officials and agencies to
maximize the public good, rather than acting out of cronyism or advancing politicians or
a political machine, and lastly (6) Public officials must perform their duties based solely
on the public good, rather than their best political interests and they should not pressure
public employees to assist in the officials’ political career or reelection efforts.26 The
principles that are most applicable to my research are the first three, because the public
officials involved in the cases I present in this paper have broken at least two of these
three “self-evident” rules. I will come back to these rules as we explore further.
Cody and Lynn write on the importance of self-interest as a theme in ethics study.
They state, “the actions of an office holder to increase his or her net worth while in office
is exactly the kind of self-interest that leads to the most obvious ethical problems.”27
They argue that there is an absence of a “standard” for public service ethics, or a widely
approved statement or set of bylaws on what those rules and behaviors should be. “… if
we are to hold them truly accountable (public officials), the standards of behavior must
be as clear as possible.”28 There must be no room for an official to say they did not know
or “this does not apply.” In New York State, I believe we are lacking the clear “standard”
that the authors talk about, and this may be a potential answer to why corruption happens
so freely within our state.
26 Cody and Lynn, Honest Government: An Ethics Guide for Public Service, 9

12
The Shadowlands of Conduct: Ethics and State Politics, by Beth A. Rosenson,
talks about how New York was the first state to enact a general ethics law that set
standards to guide and restrict the behavior of public officials, including legislators in
1954.29 She looks closely at the many laws that have been enacted since the first, and the
reasons why many of them came to be. By using both qualitative historical sources and
statistical analysis, Rosenson seeks to answer when and why, from 1954 to 2005,
legislators have enacted laws that could possibly hurt themselves in the end. This book
focuses on the precise ways in which states have sought to regulate potential conflicts of
interest involving legislators,30 and seeks to answer two central questions. The first is
why lawmakers, despite their well-known dislike of ethics laws, nevertheless enacted
many such laws in the second half of the twentieth century. And the second, is why states
differ in the extensiveness of their legislative ethics regulation and how they enforce their
ethics laws.31 Rosenson comes up with her reasons for the second question, but I believe
that Elazars’ theory of political culture could definitely play a part in the answer to this
second question. This book shines a light on the conditions that help cause the passage of
ethics laws,32 and explains why despite major pullback from legislators, the job,
sometimes, still gets done.
Rosenson points out that ethics laws frequently restrict legislators’ relationships
with business people, potential clients, lobbyists, and others, all to prevent such
29 Beth A. Rosenson, “The Shadowlands of Conduct: Ethics and State Politics,” (Georgetown University
Press,2005),5.
30 Beth A. Rosenson,“The Shadowlands of Conduct: Ethics and State Politics,” (Georgetown University
Press,2005),4.
31 Ibid.
32 Ibid.

13
relationships from influencing their decision making.33 In my conclusions, I explain why
this very issue, the restriction of legislators outside reach, can be such an issue when
trying to get ethics laws passed. This book also addresses the question of why ethics
reforms fail sometimes and succeed other times.34 Moreover, it defines failure as a reform
proposal not being enacted, and success is the passage of the same or very similar
legislation.35 This book provides a view on reform actually being passed by legislators,
despite them not wanting to. I, however, am arguing that legislators in New York State
are not passing serious ethics reform because they do not want to pass it.
According to Rosenson, author of The Shadowlands of Conduct, in legislative
debates over ethics reform, two stances are typical, (1) only legislators themselves should
be the arbiters of legislative ethics, and (2) ethics regulation is merely a symbolic way of
appeasing misguided journalists, reformers, and the public.36 In New York an ethics
reform proposal that failed in 1985 and 1986 was enacted in 1987. This bill was known
as the Ethics in Government Act. Rosenson states that, the law strengthened existing
financial disclosure requirements for state lawmakers and limits on lawyer-legislators’
activities.37 This suggests that for New York, the period of failure was from 1985 to
1986, and the period of reform success for New York was 1987 to 1988.38 In 2005, when
this book was published, New York had strong disclosure laws for legislators, a relatively
strong gift restriction, a two-year “revolving door” limit on legislators becoming
33 Rosenson, The Shadowlands of Conduct: Ethics and State Politics, 8
34 Rosenson, The Shadowlandsof Conduct: Ethics and State Politics, 18

14
lobbyists after leaving office, and a ban on lawyer-representing clients before state
agencies.39
In The Scandal of Reform: The Grand Failures of New York’s Political Crusaders
and the Death of Nonpartisanship (2009), Francis S. Barry suggests that New York
State’s reform community does not wear a “white hat” like they like to make it seem, and
are sometimes perceived. In fact, this book claims “reformers are more self-righteous
than right and more interested in power than in democracy.” Barry examines the slow
growth of political reform and challenges us to reconsider our trust in reforms and
reformers, because he believes they are no longer serving the public’s interests. This
book builds its foundation off the controversy of nonpartisan elections. For decades
before 2003, New York State reformers, being led by Citizens Union, argued
unsuccessfully for non-partisan elections. However, when they finally got their chance to
make the change, when the mayor of New York City, Michael R. Bloomberg, appointed
the Charter Revision Commission putting the issue to voters in a 2003 referendum, every
reform group in the city opposed it, the very first being Citizens Union. From this,
nonpartisan elections have become hated and rejected in New York State’s contemporary
reform community. The question this book is trying to answer is, how did reformers go
from all in for nonpartisan elections to complete disgust about the idea alone? To answer
this question, the author begins by examining the “evolution of reform in New York,”
from the first days of the American Republic up until 2009, and reconsiders the
achievements reformers tend to hold dear, such as government subsidization of campaign

15
funding.40 By doing these two tasks, the author shows us that many of the factors that
characterize traditional corruption scandals have also been found to characterize past and
current reform movements. Here we see “reform opposed by reformers,” 41 This book
helped shape my perspective on a reason why reform does not happen in New York State.
Some New Yorkers and legislators, like Barry, do not trust reformers and do not believe
that reform is to serve the publics interests. Rather they believe reformers’ underlying
agenda is to get more political power and political arm.
Overview of the Moreland Commission
On July 2, 2013, current Governor on New York, Andrew M. Cuomo, appointed
the Commission to Investigate Public Corruption to probe systemic corruption and the
appearance of such corruption in state government, political campaigns and elections in
New York State.42 The Commission was given, by Cuomo, broad investigative authority
to carefully examine matters that “involve public peace, public safety and public
justice,”43 and to issue subpoenas and critically examine witnesses under oath. They were
tasked with among other things, reviewing the adequacy of existing state laws,
regulations and procedures involving unethical and unlawful misconduct by public
40 Francis S.Barry,The Scandal of Reform: The Grand Failures of New York’s Political Crusaders and the
Death of Nonpartisanship. (Rutgers University Press,2009),3.
41 Francis S.Barry,The Scandal of Reform: The Grand Failures of New York’s Political Crusaders and the
Death of Nonpartisanship. (Rutgers University Press,2009),4.
42 Moreland Commission to InvestigatePublic Corruption Releases Report.
http://publiccorruption.moreland.ny.gov/ (accessed February 22, 2015).
43 Ibid.

16
officials and the electoral process and campaign finance laws.44 Some areas where the
Commission was focusing its investigation on included but were not limited to, criminal
statutes for corruption and misconduct by public officials, such as bribery laws, and
campaign financing including but not limited to contribution limits and other
restrictions.45
Governor Cuomo abruptly disbanded the commission halfway through its,
proposed, 18-month time period, and when asked if it was a legal question by a reporter
he stated, “It is not a legal question.”46 He claimed that the Moreland Commission was
indeed his commission, and that he had the power to appoint it and disband it as he
pleased. Still, the conduct of the commission was severely criticized by the New York
Times. During the time of the disbanding, they had administered a 3-month examination
and found that the governor’s office had messed with the work of the panel, butting in
whenever the commission focused on groups with ties to Cuomo. This was an issue
because the governor publically vowed that the commission would be “totally
independent” and that the panel was free to pursue wrongdoing anywhere in the state
government, including his own office.47 The New York Times found that this was not true,
and provided the first full account of how deeply the governor’s aides were involved in
44 New York State Association of Counties,2013 State LegislativeSession Summary.
http://www.nysac.org/legislative-action/documents/LegislativeSummary2013-final.pdf (accessed March
24, 2015).
45 Moreland Commission. https://www.governor.ny.gov/news/governor-cuomo-appoints-moreland-
commission-investigate-public-corruption-attorney-general (accessed March 13,2015).
46 Chris Bragg,“Cuomo on Moreland tampering: It’s my commission.” The Insider, April 24,2014. Accessed
August 19, 2015. http://www.crainsnewyork.com/article/20140424/BLOGS04/140429924/cuomo-on-
moreland-tampering-its-my-commission
47 SusanneCraig,WilliamK.Rashbaum,and Thomas Kaplan,“Cuomo’s Office Hobbled Ethics Inquiries by
Moreland Commission.”The New York Times, July 23, 2014.
http://www.nytimes.com/2014/07/23/nyregion/governor-andrew-cuomo-and-the-short-life-of-the-
moreland-commission.html?_r=0 (accessed May 2, 2015).

17
the commission’s work and the level of disruption it caused.48 Many commissioners and
investigators within the panel saw the demands from the governor’s office as politically
motivated interference.49 In addition, a subpoena issued to a media-buying firm, listing
Cuomo as one of its clients, was withdrawn once news reached the governor’s office,
showing how the commission was fixed from the very beginning.
In response to the New York Times, governor Cuomo stated in an official letter,
“A commission appointed by and staffed by the executive cannot investigate the
executive,”50 once again contradicting his initial statement of an independent
commission. In the end, Cuomo got the legislature to agree to a package of ethics
reforms, claiming this as proof of the panel’s success. The commission was supposedly
made to help gain the trust of the citizens, but it failed. In fact, it lowered trust of citizens
and raised suspicion concerning the governor and the reasons he shut down the
commission so suddenly. Voters say almost unanimously that they do not think Cuomo is
doing a good job combating corruption, in fact, he is part of the problem.51
CORRUPTION: NEW YORK’S CURRENT STORY
Former Assembly Speaker Sheldon “Shelly” Silver
Sheldon Silver, who served as speaker of the New York Assembly for over
twenty years, was arrested in February 2015 on claims that he had exploited his position
48 Ibid.
49 SusanneCraig,WilliamK.Rashbaum,and Thomas Kaplan,“Cuomo’s Office Hobbled Ethi cs Inquiries by
Moreland Commission.”The New York Times, July 23, 2014.
http://www.nytimes.com/2014/07/23/nyregion/governor-andrew-cuomo-and-the-short-life-of-the-
moreland-commission.html?_r=0 (accessed May 2, 2015).
50 Ibid.
51 QuinnipiacUniversity Poll.
https://cbsnewyork.files.wordpress.com/2015/03/ny03192015_nh54dfds.pdf (accessed June 23, 2015).

18
of authority in order to obtain millions of dollars in bribes and kickbacks.52 He had been
telling people for years that his outside work consisted of him being a personal injury
lawyer, but according to the New York Times, a federal prosecutor said that he created
this lie in order to cover up $4 million in payoffs.53 Silver was charged with honest
services mail and wire fraud, conspiracy to commit honest services mail fraud, using his
official position to commit extortion, money laundering, and extortion conspiracy.54 The
investigation that led to the charges against Silver began after Governor Andrew M.
Cuomo unexpectedly shut down an anti-corruption commission he created in July of
2013. I will discuss this “Moreland Commission” later in this paper. Before Cuomo shut
down the panel, which was made to investigate the outside income of lawmakers,
Sheldon Silver was one of many legislative leaders who sued in order to stop further
inquiry.
Former Assembly Speaker Shelly Silver was reportedly receiving a portion of the
legal fees paid to a firm he referred to developers, called Goldberg & Iryami. In addition,
he purposely refused to list the payments from the firm on his annual financial disclosure
filings, which in the state of New York is required. One could say this is probably
because he had not actually done any work for the developers, which then means that the
income received from the firm was in fact a kickback. An even bigger moneymaking
scheme, according to prosecutors, involved clients who Silver referred to Weitz &
52 WilliamK.Rashbaumand Thomas Kaplan,“Sheldon Silver,Assembly Speaker, Took Millionsin Payoffs,
U.S. says,”New York Times, January 22,2015, http://www.nytimes.com/2015/01/23/nyregion/speaker-
of-new-york-assembly-sheldon-silver-is-arrested-in-corruption-case.html (accessed February 28,2015).
53 WilliamK.Rashbaumand Thomas Kaplan,“Sheldon Silver,Assembly Speaker, Took Millionsin Payoffs,
U.S. says,”New York Times, January 22,2015, http://www.nytimes.com/2015/01/23/nyregion/speaker-
of-new-york-assembly-sheldon-silver-is-arrested-in-corruption-case.html (accessed February 28,2015).
54 Ibid.

19
Luxenburg, an asbestos cancer law firm.55 He was said to have secretly funneled state
grants, worth $500,000 in total, to pay for the doctor’s research.56 By doing this, he
received more than $3 million in fees for the patients he referred to the law firm. By the
time of the investigation, Silver had spread $3.8 million among eight bank and asset-
management accounts. Silver resigned after his indictment and pleaded not guilty to the
charges made against him.
On November 30, 2015, ex-Assembly leader, Sheldon Silver was found guilty on
seven counts of corruption. Including four counts of honest services fraud, two counts of
extortion, and one count of money laundering.57 Silver now faces a maximum of 130
years in prison; reporters say he will however not likely get more than 20.58 Sheldon
Silvers sentencing has not yet taken place; however, he and his attorney do plan to
challenge the court’s decision. This being such a current case, it shows directly how
corruption is so prevalent in New York State. Looking back at the first three of R. Lynn’s
six basic principles that are “self-evident” rules of conduct for all public servants,
referred to earlier, Sheldon Silver has broken rule (1) public servants must never lie,
cheat, or steal in any official capacity and they must obey the law, and tell the truth to the
public, governmental bodies, and the press (2) public officials must avoid all conflicts of
interests created by business, friendship, or family relationships and (3) public officials
55 Ibid.
56 Ibid.
57 Sheldon Silver Found Guilty on all Counts in Corruption Trial,
http://newyork.cbslocal.com/2015/11/30/sheldon-silver-juror-corruption-trial/ (accessed December 1,
2015).
58 Dana Sauchelli,Kevin Sheehan, and Kate Sheehy, “Sheldon Silver Found Guilty on All Counts in
Corruption Trial,”New York Post, November 30, 2015, http://nypost.com/2015/11/30/sheldon-silver-
found-guilty-on-all-counts-in-corruption-trial/ (accessed December 1, 2015).

20
owe a fiduciary duty to taxpayers and all citizens to ensure that public funds are used
efficiently.59
Former Senate Majority Leader Dean G. Skelos
Sheldon Silver was not the only leading legislative officer arrested this year. May
2015 marked a month of family affairs, or “arrests.” Both Dean G. Skelos, former Senate
majority leader, and his son, Adam B. Skelos, were arrested and indicted by a grand jury
on charges of extortion, wire fraud, conspiracy and bribe solicitation.60 The indictment
also includes an additional accusation that states that the former senator secured over
$100,000 in payments and health benefits from a medical malpractice insurer that gave
his son a no-show job in return for lobbying the senator on legislative matters.61 At the
heart of the charges is the accusation that Skelos agreed to take official actions to benefit
a small Arizona environmental company, and a large New York developer, as long as the
companies agreed to pay his son.
The government argues that AbTech Industries, a storm-water company, only
hired Skelos’ son, Adam, after his father pressured Glenwood Management, a New York
City real estate developer with business before the state, to find him a job.62 Prosecutors
are saying that Glenwood needed Dean Skelos on their side in order for their business in
New York to prosper, so they did some quid pro quo action. The men have been charged
60 WilliamK.Rashbaum,“Grand Jury Indicts Dean Skelos,Ex-New York Senate Leader, and Son in
Corruption Case.” New York Times, May 28, 2015, http://www.nytimes.com/2015/05/29/nyregion/dean-
skelos-ex-senate-leader-and-son-are-indicted-in-corruption-case.html (accessed June 12, 2015).
61 Ibid.
62 SusanneCraig,“ Dean Skelos' Defense Minimizes Talks with Son’s Employer,” New York Times,
December 2, 2015, http://www.nytimes.com/2015/12/03/nyregion/dean-skeloss-defense-minimizes-
talks-with-sons-employer.html?_r=0

21
with, fraud conspiracy, extortion, and bribery.63 Wiretapped phone conversations as well
as email conversations revealing plenty of hard evidence are currently being used in court
to support the ongoing case. An executive of AbTech, also Adam Skelos’ supervisor,
Bjournulf White, cooperated with the FBI and wore a wire when meeting with him
exposing Skelos and his son to even more dirt. Compared to Sheldon Silver’s case this
one is a doozy for prosecutors. Literally all of the evidence is laying right at their feet.
The case has yet been brought to trial, but if I had to guess, I would say neither of these
men will be walking the streets of New York for a very long time. Skelos is now the fifth
straight state Senate majority leader in Albany to face criminal charges.64 With this
scheme, Dean Skelos has broken rule one and two of R. Lynns six basic principles that
are “self-evident” rules of conduct for all public servants.65
MY FINDINGS
My contribution, in this paper, is providing the answers as to why New York State
is not getting ethics reform passed in spite of high levels of public corruption and high
levels of public dissatisfaction with state officials. Based on the research I have
conducted, if these things are true, ethics reform is not likely to take place, (1)
Individualistic political culture (2) high levels of economic inequality, and (3) low trust in
reformers/ reform. Based on Elazar’s theory of political culture, states with embedded
63 Ibid.
64 Alan Greenblatt, “Congratulations,New York, You’re #1 in Corruption,” Politico Magazine, May, 5, 2015,
http://www.politico.com/magazine/story/2015/05/how-new-york-became-most-corrupt-state-in-
america-117652 (accessed May 23,2015).

22
individualistic cultures are more likely to accept corruption as just the way it is. Being so
corruption and scheming becomes a way of life, allowing government officials to feel
comfortable committing unethical acts. In addition, citizens are more likely to forgive
these actions, giving officials the chance to be re-elected after offenses as well as leeway
to repeat offenses. Being that New York has this individualistic culture embedded deep
into its society, corruption is more prone to continue, while reform stays on the back
burner. The same goes for other states with this individualistic culture.
Scholars know that at least part of legislators’ resistance to ethics laws is rooted in
economic interests.66 Government’s purpose is to be useful for those who participate in it,
not comfortable to those who sit back and watch it. Ethics laws also pose a potential
threat to legislators’ political security; some legislators’ find the very idea of ethics
regulation to be demeaning, “an insult to their integrity.”67 “Corrupt acts are almost
always hidden. If you are behaving honestly in either the public or the private sector, you
will rarely have a need to hide your actions.”68 However, transparency is a big issue in
New York State. This individualistic culture thrives off limiting community and
government intervention into private activities. State officials do not want to be
accountable to anyone but himself or herself. In the state of New York where we have
outside income disclosure laws this becomes a problem. Government officials feel like
they should not have to share how they make their money outside the office. The purpose
of these laws are to protect the citizens and lower possible corruption, yet there is
constant rebuttal from state officials when it comes to disclosing outside information.
67 Ibid.
68 Uslaner,Corruption, Inequality, and the Rule of Law: The Bulging Pocket makes the easy life, 8

23
And although providing documentation of outside employment is a requirement in New
York State, legislators, like Sheldon Silver, have refused to do so.
To add another idea, Richardson R. Lynn, states in his book “more than a hundred
of the honest, well-respected people who entered the highest levels of government
encountered the “sleaze factor” and left government under a cloud of suspicion because
they acted as if they were still in the private sector, without a specially heightened
sensitivity to ethical questions.”69 I believe this refers to people coming from the private
sector into the public sector, not knowing, or not truly understanding that once you enter
the “public” sector all your business becomes “public.” This then makes them not to fond
of the idea of disclosing outside information and being restricted from some outside
work, in the end not knowing how to function or act in this new position. Ethics laws
frequently restrict legislators’ relationships with business people, potential clients,
lobbyists, and others, all to prevent such relationships from influencing their decision
making. This restriction of officials outside reach can be an issue when trying to get
ethics laws passed. However, once a public official, your private business is done. For
one embedded in this individualistic culture, this is not okay.
When there are high levels of economic inequality within a state, ethics reform is
not likely to be passed, even when there is a strong need for it. The 2010 American
Community Survey conducted by the US Census Bureau shows that New York State just
behind DC has the largest income disparities between wage earners in all income
categories. In 2010, New York State held a Gini coefficient of 0.499 and DC held a
69 Richardson R.Lynn and W.J. Michael Cody. Honest Government: An Ethics Guide for Public Service.
(Praeger, 1992),5.

24
0.532.70 A Gini coefficient is a measure of inequality; a score of zero means complete
equality, while a score of one means complete inequality. Eric M. Uslaner demonstrates
in his book how high levels of economic inequality lead to less trust in government and
then to high levels of corruption. He shows how this cycle constantly repeats leaving no
room for reform to take place. This is the situation of New York State. Because New
York has such high levels of economic inequality, low trust and government, and high
levels of public corruption ethics reform is not likely to take place.
Reform does not happen because citizens and government officials like Francis S.
Barry, author of The Scandal of Reform, do not trust the reformers and do not believe that
reform is to serve the publics interests. Rather they believe it is to give reformers more
political power and political muscle. They say why combat corruption with more
corruption; instead let us just leave it the way it is. New York State is a prime example of
this notion. Governor Andrew Cuomo’s 2013 Moreland Commission left New York
citizens in a mental frenzy. The governor, acting as a reformer, put together a
commission to combat public corruption and then suddenly disbanded it, commenting
that it was his and he could do what he wanted with it. Actions like this show, just like
with reformers and non-partisan elections, demonstrated in The Scandal of Reform,
reformers fighting for a cause, ultimately getting what they want and then suddenly
changing their minds. This leaves the public questioning whether they should even trust
reform. Especially if untrustworthy reformers have their hands in it. This is where New
York fall concerning this issue, leaving the cycle of corruption untouched.
70 Amanda Noss, Household Income for States: 2010 and 2011,
https://www.census.gov/prod/2012pubs/acsbr11-02.pdf (accessed September 3, 2015).

25
CONCLUSION
This thesis has provided practical answers to the question “if you have high levels
of public corruption within state government and high levels of public dissatisfaction
with corrupt state officials, why is serious ethics reform not being passed?” It has
suggested that (1) one’s political culture (2) high levels of economic inequality, and (3)
low trust in reformers characterize some of the reasons why reform is not getting passed
in New York State, and these suggestions can be applied to other states with the same
issue. This thesis contributed to the knowledge of political science by helping answer the
question to why. Many scholars have identified countries dealing with the issue of
corruption but I provide an explanation to why a specific state within a country might be
caught up in corruption with slim chance of serious public ethics reform. Others have
looked at the causes of corruption and why public trust matters at a broad scale, looking
at a wide array of countries, mostly less developed. I, however, have presented a case
study on one state, New York, and have analyzed its history of corruption in a search to
find why reform has not taken place despite high levels of public corruption and high
levels of public dissatisfaction.
While this paper answers the question of why, it leaves this question “how do we
fix it” unanswered. What is left to find are solid solutions to the answers to why, and
solid ethics reform. If I had more time I would conduct a comparative analysis of the
similarities between New York State and states with similar political cultures, on the
basis of corruption and the blatant abuse of powers from state officials. I would examine
the current public ethics reforms implemented within these states, and hopefully find
elements that could be used as a laboratory for New York State Public ethics reform.

26
BIBLIOGRAPHY
I. Primary Sources
A. Government Documents/Reports
Attorney General Eric T. Schneiderman. A.G. Schneiderman Proposes Sweeping
Legislation to Reform New York State Government, May 27, 2015.
http://www.ag.ny.gov/press-release/ag-schneiderman-proposes-sweeping-
legislation-reform-new-york-state-government
Daniel J. Horwitz. Report From the New York State Joint Commission on Public
Ethics, February 2015. JCOPE.
http://www.jcope.ny.gov/pubs/POL/JCOPE%20Third%20Year%20Report
%20FINAL.pdf
Governor. “Governor Cuomo details comprehensive reforms to prevent public
Corruption, Modernize New York’s Voting Laws, and Reduce the
Influence of Money.” New York State. Last modified June 11, 2013.
Accessed May 23, 2015.
Governor. “Governor Cuomo details ethics reforms in 30-day budget
Amendments.” New York State. Last modified February 20, 2015.
Accessed February 24, 2015.
http://www.governor.ny.gov/news/governor-cuomo-details-ethics-
reforms-30-day-budget-amendments
Governor Andrew M. Cuomo. Video and Transcript: Governor Cuomo Outlines
2015 Ethics Reform Agenda at NYU School of Law, February 2, 2015.
New York State. https://www.governor.ny.gov/news/video-and-transcript-
governor-cuomo-outlines-2015-ethics-reform-agenda-nyu-school-law
Moreland Commission. Moreland Commission to Investigate Public Corruption
Releases Report, December 2, 2013. New York State.
http://publiccorruption.moreland.ny.gov/press-release/moreland-
commission-investigate-public-corruption-releases-report
NYS Joint Commission on Public Ethics. New York State Public Integrity Reform
Act (“PIRA”): An Overview for Public Officials.
http://www.jcope.ny.gov/training/NYSPIRA%20-
%20A%20Guide%20for%20Public%20Officials%20and%20State%20Em
ployees%20FINAL.pdf

27
The Center for Public Integrity. New York State Corruption Risk Report Card.
State Integrity Investigation.
http://www.stateintegrity.org/newyork_story_subpage
44th Street Blog. Albany Reform Tops City Bar’s 2015 Legislative Agenda –
Statement by President Debra L. Raskin. February 5, 2015. New York
City Bar. http://www.nycbar.org/44th-street-blog/2015/02/05/albany-
reform-tops-city-bar%E2%80%99s-2015-legislative-agenda-statement-by-
president-debra-l-raskin/
B. News Articles
Benjamin, Michael. “Andrew Cuomo’s ethics reforms are too weak.” New York
Post, February 6, 2014. Accessed February 6, 2015.
http://nypost.com/2014/02/06/andrew-cuomos-ethics-reforms-are-too-
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Blain, Glenn. “At Least 16 State lawmaker’s targets of ethics reform regarding
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lawmakers-targets-income-ethics-reform-article-1.2109066
Bragg, Chris. “Cuomo on Moreland tampering: It’s my commission.” The Insider,
April 24, 2014. Accessed August 19, 2015.
http://www.crainsnewyork.com/article/20140424/BLOGS04/140429924/c
uomo-on-moreland-tampering-its-my-commission
Burns, Alexander, and Susanne Craig. “Pushing Ethics Reforms, Cuomo wants
lawmakers to reveal income or lose it.” New York Times, February 2,
2015. Accessed February 13, 2015.
http://www.nytimes.com/2015/02/03/nyregion/cuomo-seeks-ethics-
reform-after-sheldon-silver-arrest.html?_r=0
Cheney, Brendan. “Capital Data: How Corrupt is Albany? Capital New York,
January 29, 2015. Accessed February 28, 2015.
http://www.capitalnewyork.com/article/albany/2015/01/8560720/capital-
data-how-corrupt-albany
Craig, Susanne, William K. Rashbaum, and Thomas Kaplan. “The Many Faces of
State Political Scandals.” New York Times, last modified January 22, 2015.
Accessed February 6, 2015.
http://www.nytimes.com/interactive/2014/07/23/nyregion/23moreland-
commission-and-new-york-political-scandals.html

28
Hamilton, Matthew. “Democrats pushing ethics reforms.” Times Union, February
20, 2015. Accessed February 10, 2015.
http://www.timesunion.com/news/article/Democrats-pushing-ethics-
reforms-6071708.php
Kaplan, Thomas. “Panel Appointed by Cuomo says Corruption is Commonplace
in Albany.” New York Times, December 2, 2013. Accessed February 28,
2015. http://www.nytimes.com/2013/12/03/nyregion/panel-appointed-by-
cuomo-calls-corruption-commonplace-in-albany.html
Lovett, Kenneth. “State pols say ethics package should include public disclosure
for Cuomo.” New York Daily News, February 23, 2015. Accessed
February 26, 2015. http://www.nydailynews.com/news/politics/lovett-
state-pols-ethics-package-cover-cuomo-article-1.2125601
O’Brien, Rebecca D., and Erica Orden. “Federal Prosecutors Launch Assault on
Public Corruption in New York State.” Wall Street Journal, last modified
March 6, 2015. Accessed March 6, 2015.
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corruption-in-new-york-state-1423534577
Orden, Erica. “Former N.Y. Senator Malcolm Smith Convicted of Bribery.” Wall
Street Journal, February 5, 2015. Accessed February 6, 2015.
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convicted-of-bribery-1423184469
Precious, Tom. “Corruption, scandal takes further toll in Albany.” Buffalo News,
last modified February 5th, 2015. Accessed February 6, 2015.
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Reisman, Nick. “Senate Republicans finds issue with Ethics Proposal.” Time
Warner Cable News, February 18, 2015. Accessed February 18, 2015.
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republicans-finds-issue-with-ethics-reform-proposal.html
Stashenko, Joel. “Ethics Reform is at the Top of City Bar Legislative Agenda.”
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The New York State Senate. Legislation. Albany, NY. Accessed September 4,
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Wilson, Reid. “The Most Corrupt State(s) in America.” Washington Post, January
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http://www.washingtonpost.com/blogs/govbeat/wp/2014/01/22/the-most-
corrupt-states-in-america/

29
II. Secondary Sources
A. Books
Armstrong, Michael F. They Wished They Were Honest: The Knapp Commission
and New York City Police Corruption. New York, NY: Columbia University
Press, 2012
Barry, Francis S. The Scandal of Reform: The Grand Failures of New York’s
Political Crusaders and the Death of Nonpartisanship. Piscataway, NJ:
Rutgers University Press, 2009
Collins, Patrick M. Challenging the Culture of Corruption: Game-Changing
Reform for Illinois. Edited by Gregory F. Augustine Pierce. Skokie,
Illinois: ACTA Publications, 2010.
Cooper, Terry. Handbook of Administrative Ethics: Public Administration and
Public Policy. Boca Raton, FL: CRC Press, 2000.
Etzioni, Amitai. The New Normal: Finding a Balance between Individual Rights
and the Common Good. New Brunswick, NJ: Transaction Publishers,
2015.
Genovese, Michael A., and Victoria A. Farrar – Myers. Corruption and American
Politics. Amherst, NY: Cambria Press, 2010.
Hetherington, Marc J. Why Trust Matters: Declining Political Trust and the
Demise of American Liberalism. Princeton, NJ: Princeton University
Press, 2005.
Lachman, Seymour P., and Robert Polner. Three Men in a Room: The Inside
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Lynn, Richardson R. and W.J. Michael Cody. Honest Government: An Ethics
Guide for Public Service. Westport, CT: Praeger, 1992
Nowlan, James D., and J. Thomas Johnson. Fixing Illinois: Politics and Policy in
the Prairie State. Champaign, IL: University of Illinois Press, 2014
Rosenson, Beth A. The Shadowlands of Conduct: Ethics and State Politics.
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Uslaner, Eric M. Corruption, Inequality, and the Rule of Law: The Bulging Pocket
makes the easy life. New York, NY: Cambridge University Press, 2010

30
B. Journal Articles
Meier, Kenneth J., and Thomas M. Holbrook. “I Seen My Opportunities and I
Took ‘Em: Political Corruption in the American States.” The Journal of
Politics 54, no.1, (1992):135-155. Accessed March 4, 2015.
Rosenson, Beth A. “The Impact of Ethics Laws on Legislative Recruitment and
the Occupational Composition of State Legislatures.” Political Research
Quarterly 59, no.4, (2006): 619-627. Accessed March 4, 2015.
Stengel, Andrew M. “Albany’s Decade of Corruption: Public Integrity
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Services Fraud Statute, and Remedial Criminal Law Reform.” Albany Law
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http://www.albanylawreview.org/Articles/Vol76_2/76.2.1357%20Stengel.
MLD.pdf
Crider, Kayla, and Jefrey Milyo. “Do State Ethics Commissions Reduce Political
Corruption? An Exploratory Investigation.” UCI Law Review 3, no. 3,
(2013): 717-732. Accessed March 8, 2015.
http://www.law.uci.edu/lawreview/vol3/no3/crider_milyo.pdf
C. Other
Dincer, Oguzhan, and Michael Johnston. “Measuring Illegal and Legal Corruption
in American States: Some Results from the Corruption in America
Survey.” Center for Ethics-Harvard University, December 1, 2014.
Accessed June 3, 2015.
http://ethics.harvard.edu/blog/measuring-illegal-and-legal-corruption-
american-states-some-results-safra
J. Wesley Leckrone, “State and Local Political Culture.” The American
Partnership, December 18, 2013. Accessed June 12, 2105.
http://theamericanpartnership.com/tag/elazars-political-culture/
Voters Want Leaders’, Spouses’, Live-Ins’, Income, Quinnipiac University New
York Poll Finds; No Budget Without Ethics Fix, Voters Say, Quinnipiac
University Poll, March 19, 2015. Accessed June 23, 2015.
https://cbsnewyork.files.wordpress.com/2015/03/ny03192015_nh54dfds.p
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