[HISTORY: Comes from L.L. No. 100-2017, adopted 12-12-2017, effective 1-8-2018[1]]
A.
There shall be in the Town of Hempstead an Office of Compliance Officer.
The executive officer of such office shall be the Compliance Officer.
The Compliance Officer shall be vested with control and authority
over the Office.
B.
The initial annual budget of the office shall be $250,000, exclusive
of fringe benefits.
A.
The Compliance Officer shall review all Town of Hempstead contracts
and procurements to ensure no elected official, commissioner, department
head, or employee has any conflicts of interest involving said procurements
and/or said contracts entered into between outside entities and the
Town of Hempstead. The Compliance Officer shall also review such procurements
and/or contracts for waste and/or corruption. The Compliance Officer
shall have an annual salary of $150,000 and shall be appointed by
the Town Board to serve a term of two years. A vacancy of the Compliance
Officer shall be filled by the Town Board for the unexpired term.
B.
The Compliance Officer shall have the power and authority to appoint
and remove a Deputy Compliance Officer, with the consent of the Town
Board, at such salary as may from time to time be fixed by the Town
Board, who shall have all of the rights, powers, obligations and responsibilities
of the Compliance Officer and the authority to act in his place and
stead.
C.
The Compliance Officer, only when specifically authorized to do so
by the Town Board, may from time to time employ special, technical,
fiscal and legal consultants as may be necessary in the discharge
of his or her duties.
D.
The Compliance Officer shall be appointed on the basis of his or
her experience and qualifications for the duties of such office. Compliance
Officer candidates shall possess at the time of appointment at least
one of the following credentials or professional qualifications:
(1)
Three years as either a United States Attorney or Assistant United
States Attorney or District Attorney or Assistant District Attorney;
(2)
Three or more years of experience of full-time judicial service;
(3)
Three years' experience as a detective in a department with
over 500 sworn officers;
(4)
Not less than three years' experience as an investigator for
a federal law enforcement agency.
E.
Before entering upon the duties of the office, the Compliance Officer
shall execute and file an official undertaking, if the same shall
be required by the Town Board, in such sum as prescribed by the Town
Board and in such form as approved by the Town Attorney. Except as
otherwise provided for herein, the Compliance Officer shall have charge
of the administration of the department.
The Compliance Officer for the Town of Hempstead shall have
the following powers and duties related to Town of Hempstead government
contracts and/or procurement:
A.
Review contracts and provide recommendations as to policy and direction
for investigations as he or she deems necessary relating to allegations
of waste, fraud, and corruption in Town government contracts and/or
procurement of said contracts;
B.
Recommend policies to promote economy and efficiency in the administration
of, or preventing and detecting fraud and abuse as it relates to,
government contracts and/or procurement;
C.
Ensure compliance with all mandatory procurement requirements of
federal, state and local laws, including mandatory procurement requirements
of the Code of the Town of Hempstead and resolutions adopted by the
Town Board;
D.
Make recommendations to the Town Board on ways to standardize the
Town's purchasing and contract administration, and review the
Town's procurement policy and surplus policy and suggest revisions
or amendments thereto;
E.
Receive and review allegations, as they may relate to the letting
of Town of Hempstead government contracts and/or procurement of said
contracts, concerning the possible existence of an activity constituting
a violation of law, rules, regulations, mismanagement, gross waste
of funds, abuse of authority or a substantial and specific danger
to public health and safety;
F.
Submit to the Town Board for inspection no later than the 15th day
of June and the 15th day of December of each year, beginning in 2018,
semiannual reports summarizing the activities of the office of Compliance
Officer during the immediately preceding six-month periods ending
the 30th day of April and the 31st day of October. Any requests under
Public Officers Law Article 6 (the Freedom of Information Law) for
access and/or copies of reports generated pursuant to this section
shall be reviewed and acted upon by the Town Attorney's office
to ensure proper compliance with such law and, if necessary, proper
redaction of protected information prior to the granting of access
to such report(s).
The Compliance Officer and staff shall avoid any appearance
of bias or impropriety, and shall adhere to the highest ethical standards.
Except as otherwise provided by law, the Compliance Officer, Deputy
Compliance Officer and their subordinate officers shall not:
A.
Hold an office in any political organization;
B.
Publicly endorse or oppose a candidate for any public office;
C.
Solicit funds for, pay an assessment to, or make a contribution to
a political organization, a sitting public officer, or a candidate
for public office;
D.
Attend or purchase tickets for dinners or other events sponsored
by a political organization, a sitting public officer, or a candidate
for public office;
E.
Knowingly, or with reckless disregard to the truth, make any false
or misleading statement as may concern any case, review, complaint,
or other matter currently or previously before the office of the Compliance
Officer;
F.
Make any statement that would reasonably be expected to affect the
outcome or impair the fairness of a matter pending or impending before
the Compliance Officer.
A.
In addition to the powers and duties otherwise provided in this chapter,
the Compliance Officer, in carrying out the provisions of this chapter,
is authorized, subject to applicable laws:
(1)
To have access to all records, reports, audits, reviews, documents,
papers, recommendations, or other material available to the Town department
which relate to Town of Hempstead government contracts and/or procurement
of said contracts;
(2)
To make such reports relating to the administration of the programs
and operations concerning Town of Hempstead government contracts and/or
procurement of said contracts as are, in the judgment of the Compliance
Officer, necessary or desirable;
(3)
To request such information or assistance as may be necessary for
carrying out the duties and responsibilities provided by this chapter
from a federal, state or local government agency;
(4)
To require the production of all information, documents, reports,
answers, records, accounts, papers, and other data in any medium (including
electronically stored information, as well as any tangible thing)
and documentary evidence necessary in the performance of the functions
assigned by this chapter, which, in the case of contumacy or refusal
to obey, shall be enforceable by order of any court of competent jurisdiction;
(5)
To have direct and prompt access to the Commissioner or department
head involved when necessary for purposes pertaining to the performance
of functions and responsibilities which the Compliance Officer has
under this chapter.
B.
Upon request from the Compliance Officer for information or assistance
under Subsection (A)(3), the Commissioner or head of any Town department
involved shall, insofar as is practicable and not in contravention
of any existing statutory restriction or regulation of the Town department
from which the information is requested, furnish to the Compliance
Officer or to an authorized designee such information or assistance.
(1)
Every department of Town government and every employee, official
and vendor of the Town shall fully cooperate with the Compliance Officer
in any review which relates to Town of Hempstead government contracts
and/or procurement programs and operations with respect to which the
Compliance Officer has duties and responsibilities under this chapter.
C.
The Compliance Officer shall report to the Town Board any vendor,
Town employee, or Town official that is not cooperating in the Compliance
Officer's review.
D.
Nothing herein contained shall be construed to delegate or transfer
any power of the Town Supervisor contained in §§ 29,
52, and 125 of the Town Law of the State of New York or any other
powers, which may be lawfully exercised by said Supervisor.
E.
Nothing herein contained shall be construed to transfer any power
of the Town Board which must be lawfully exercised by said Town Board.
A.
The Compliance Officer may receive and review complaints which relate
to Town of Hempstead government contracts and/or procurement programs
and operations with respect to which the Compliance Officer has duties
and responsibilities under this chapter.
B.
Any such complaint, as specified in Subsection A of this Section, to the Compliance Officer must be by sworn affidavit and contain facts with reasonable specificity and particularity or it shall be deemed null and void.
C.
The Compliance Officer shall, upon receiving a valid complaint that meets the criteria specified in Subsections A and B of this section, fully review, and within 120 days of receiving such complaint, act within his or her discretion to either:
(2)
Make a recommendation to the applicable appointing authority, subject
to due process requirements and subject to any applicable provision
of law and collective bargaining agreements, that the applicable appointing
authority take any of the following actions:
(a)
Impose appropriate disciplinary action;
(b)
Initiate an action in the Supreme Court of the State of New
York to obtain monetary damages;
(c)
Initiate an action or special proceeding, as appropriate, in
the Supreme Court of the State of New York to obtain civil forfeiture;
(d)
Recommend an action or special proceeding, as appropriate, in
the Supreme Court of the State of New York for injunctive relief to
enjoin a violation of appropriate law or to compel compliance with
applicable law or code;
(e)
Suspension or termination of an employee;
(f)
Debarment of vendor from doing business with the Town for a
period of not less than two years and not more than seven years.
D.
The Compliance Officer shall maintain the confidentiality of any
complainant and/or witness and shall not disclose the identity of
any complainant or witness unless required by law or obtains the written
consent of the complainant.
E.
No person making a complaint under this section shall be subject
to reprisal for making said complaint.
F.
The Compliance Officer in his/her discretion may limit the number
of complaints an individual can make.
G.
For items, (2), (3), (4) and (6), in Subsection B2 of this section,
the standard of proof for the Compliance Officer's decision shall
be preponderance of the evidence, which standard shall be that as
may be determined by the most recent case law.
H.
Appeals. The Town Board shall establish a three-member panel to hear
appeals as they relate to items (2), (3), (4) and (6) in Subsection
B2 of this section. The per diem shall be $700 per day, and two votes
are needed for any decision. Notice of appeal must be filed with the
Town Attorney within 30 days of receipt by subject of written notice
of Compliance Officer's decision or it is waived. Notice shall
contain a brief summary of grounds for appeal.
I.
Confidentiality. To the extent required by law or imposed by a court
of competent jurisdiction, the Compliance Officer shall keep all information
and documentation in his/her possession confidential.
J.
There shall be no internal appeal from determinations made under § 65-6G herein. An aggrieved party may seek judicial relief by Article 78 or other suitable remedy.
K.
A person or vendor shall be entitled to have at their sole cost and
expense legal counsel in any interview with the Compliance Officer
or its staff, and in the case where a collective bargaining agreement
with the Town is relevant, all the protections afforded therein shall
be applied to the Town employee.
L.
Nothing in this section shall be construed to permit the Compliance
Officer to conduct an investigation of himself or herself or of any
of his or her staff. If the Compliance Officer receives a complaint
alleging that the Compliance Officer or any of his or her staff has
violated any provision of law, the Compliance Officer shall promptly
transmit to the Board of Ethics a copy of the complaint.
A.
There shall be established on the homepage of the website of the
Town a direct link to the website for the Office of the Compliance
Officer. The direct link shall be obvious and facilitate accessibility
to the website of the Office of the Compliance Officer.
B.
The Compliance Officer shall publish or cause to be published to
the website of the Compliance Officer:
(1)
The redacted final reports for any review to the extent permissible
by law not later than three days after any report (or portion of any
report) is made publicly available; ensuring that any posted report
(or portion of that report):
(a)
Is easily accessible from a direct link on the homepage of the
website of the Office of Inspector General/Compliance Officer;
(b)
Includes a summary of the findings of the Compliance Officer;
(c)
Is in a format that is searchable and downloadable; and facilitates
printing by individuals of the public accessing the website;
(2)
The redacted semiannual reports submitted to the Town Board for inspection as described under § 65-3;
(3)
A direct link on the homepage of the website of the Compliance Officer
for individuals to report fraud, waste, and abuse. Individuals reporting
fraud, waste, or abuse using the direct link established under this
subsection shall not be required to provide personally identifying
information relating to that individual.
Any Town elected official, employee, designee, vendor, those
acting on behalf or in the name of the Town or any other person who
knowingly commits, takes part in or assists with intent to avoid,
evade, prevent, or obstruct compliance, in whole or in part, with
any demand by the Compliance Officer duly and properly made under
this chapter, or willfully withholds, misrepresents, removes from
any place, conceals, covers up, destroys, mutilates, alters, or by
other means falsifies any documentary material, answers to written
interrogatories, or oral testimony, which is the subject of such demand;
or attempts to do so or solicits another to do so; or by threats or
force, or by any threatening letter or communication influences, obstructs,
or impedes or endeavors to influence, obstruct, or impede the due
and proper administration of the law under which any pending review
is being had before the Compliance Officer, or the due and proper
exercise of the power of inquiry under which any inquiry or review
is being had, shall, if said allegation is true, be guilty of a Class
A misdemeanor punishable by a fine of up to $1,000 or one year in
prison.
Upon adoption of this chapter, the Supervisor of the Town shall
act to ensure that each Town elected official, employee, vendor, designee
and others acting on behalf of or in the name of the Town shall receive
a copy hereof, except that failure to receive a copy shall not absolve
any person from his or her obligation to fully comply with its provisions.
Upon receipt thereof, each person shall sign an acknowledgment that
he or she has received this chapter, and has fully read and understands
its provisions. Additionally, upon adoption of this chapter, the Supervisor
of the Town shall cause the contents hereof to be published upon the
Town website.
