[HISTORY: Adopted by the Town Board of the
Town of Ballston 9-6-1994 by L.L. No. 1-1994. Amendments noted where
applicable.]
GENERAL REFERENCES
Officers and employees — See Ch. 26.
Sexual harassment policy — See
Ch. 39.
The governing body of the Town of Ballston does
hereby adopt a Code of Ethics for the guidance of its officers and
employees, setting forth herein the standards of conduct reasonably
expected of them and, pursuant to Subdivision 3 of § 812
of the General Municipal Law, the Town of Ballston does hereby require
that the officers and employees are required to file completed annual
statements of financial disclosure containing the information as asked
for in Form 200, entitled "Town of Ballston Disclosure Statement."
As used in this chapter, the following terms
shall have the meanings indicated:
A direct or indirect pecuniary or material benefit accruing
to an official or employee as the result of a contract, business,
professional transaction or other relationship with the Town of Ballston.
For the purpose of this chapter, an official or employee will be deemed
to have an interest in the affairs of:
His or her spouse and unemancipated children.
A firm, partnership or association of which
an official or employee is a member or employee.[1]
A corporation of which such official or employee
is a member, officer, director or employee or in which the official
or employee owns any outstanding shares of any class of stock.[2]
An official or employee of the Town of Ballston government,
whether paid or unpaid, who is a member of one or more of the boards,
commissions, departments or agencies which serve the Town of Ballston,
as set forth in Exhibit A.[3] The Town Board reserves the right by resolution of such
Board to add new classes of officials or employees under this definition
as deemed appropriate.[4]
The husband or wife of the employee or official unless living
separate and apart from the employee or official with the intention
of terminating the marriage or providing for permanent separation
or unless separated pursuant to a judicial order, decree or judgment
or a legally binding separation agreement.
Any son, daughter, stepson or stepdaughter who is under the
age of 18, unmarried and living in the household of the official or
employee.
[3]
Editor's Note: Exhibit A is located at the
end of this chapter.
A.
Prohibited activities. It is the policy of the Town
of Ballston that all officials and employees must avoid conflicts
or potential conflicts of interest. A conflict or a potential conflict
exists whenever an official or employee has an interest, direct or
indirect, which conflicts with his or her duty to the town or which
could adversely affect an individual's judgment in the discharge of
his or her responsibilities. No official or employee shall:
(1)
Take action or participate in any manner whatsoever
in his or her official capacity in the discussion, negotiation or
the awarding of any contract or in any business or professional dealings
with the Town of Ballston or any agency thereof in which the official
or employee has or will have an interest, direct or indirect, in such
contract or professional dealings.
(2)
Engage in, solicit, negotiate for or promise to accept
private employment or render services for his or her personal benefit
when such employment or service creates a conflict or impairs the
proper discharge of his or her official duties.
(3)
Solicit, directly or indirectly, any gifts having
the value of $75 or more, whether in the form of money, services,
loan, travel, entertainment, hospitality, thing or promise, or in
any other form, under circumstances in which it could be reasonably
inferred that the gift was intended to influence him or her, or could
reasonably be expected to influence him or her, in the performance
of his or her official duties or was intended as a reward for any
official action on his or her part. Nothing in this section shall
be construed to prohibit any public officer listed in § 11
of the Domestic Relations Law from accepting any gift or benefit having
a value of $75 or less for the solemnization of a marriage by that
public officer at a place other than the public officer's normal place
of business or at a time other than the officer's normal hours of
business. For purpose of this section a campaign contribution made
to any candidate or political party in accord with appropriate laws
shall not be considered a gift prohibited by this subsection.[1]
(4)
Disclose confidential information acquired in the
course of his or her official duties or use such information to further
his or her personal interest.
(5)
Accept employment or engage in any business or activity
which will require him or her to disclose confidential information
which he or she has gained by reason of his or her official position
or authority.
(6)
Take action on a matter before the Town of Ballston
or any instrumentality thereof when, to his or her knowledge, the
performance of that action would provide a pecuniary or material benefit
to himself or herself.
B.
Disclosure of interest.
(1)
Any official who has, will have or intends to acquire
a direct or indirect interest in any matter being considered by the
Town of Ballston or by any other official, board, agency, officer
or employee of the Town of Ballston and who participates in the discussion
before or who gives an opinion or gives advice to any board, agency
or individual considering the same shall publicly disclose on the
official record the nature and the extent of such interest.
(2)
Any official or employee of the Town of Ballston who
has knowledge of any matter being considered by any board, agency,
officer or employee of the Town of Ballston, in which matter he or
she has or will have or intends to acquire any direct or indirect
interest, shall be required immediately to disclose, in writing, his
or her interest to such board, agency, officer or employee and the
nature and the extent thereof.
C.
Annual Code of Ethics review.
(1)
Every official and employee is required to attest
on an annual basis that he or she has reviewed the Code of Ethics
of the Town of Ballston, and such attestation shall be made on or
before the first of February each year.
(2)
The penalties for failing to comply with this subdivision will be the same as those provided for in § 14-8. The Attestation Form shall provide as follows:
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TOWN OF BALLSTON
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CODE OF ETHICS REVIEW FORM
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NAME:
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ADDRESS:
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TITLE:
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DATE OF APPOINTMENT:
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I, the undersigned, hereby attest
that I have reviewed the Local Law providing for the filing of Financial
Disclosure Statements by certain Town officials and employees and
the Code of Ethics. I further attest that I understand the provisions
of such Code of Ethics and, to the best of my knowledge, I am not
in violation of any of its precepts or requirements.
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_______________________________________
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Subscribed and Sworn to
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before me this __________________
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day of _______ , 19_____
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______________________
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Notary Public
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State of New York
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A.
All officials and employees of the Town of Ballston
shall file a statement of disclosure (Form 200) containing the information
as required by the annual statement of disclosure form which follows.
The statement shall be filed in the office of the Town Supervisor
no later than the first day of February each year and shall cover
the preceding calendar year. Newly appointed or elected officials
or employees whose duties commence after the first of January will
be required to submit a statement of disclosure within 30 days after
the commencement of their duties. Such disclosure will cover the twelve-month
period prior to the date of filing. Within 30 days of any material
change in the information contained in his or her most recently filed
statement, the official or employee shall file a signed amendment
to the statement reflecting such change. It shall be the duty of the
Ethics Board to verify that each official or employee subject to this
chapter has filed his or her statement, and the Ethics Board shall
notify the Town Board of any instances of failing to file.
B.
Disclosure statements shall be maintained for a minimum
period of seven years from the date of filing.
C.
The form of the disclosure statement shall be as follows:
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TOWN OF BALLSTON
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FORM 200
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DISCLOSURE STATEMENT
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I hereby submit the following Disclosure Statement,
under oath, listing the assets and liabilities and sources of income
of me, my spouse and my unemancipated children with respect to entities
doing business of any kind with the Town of Ballston.
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Date of Statement:______________________
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For the Period Ended:___________________
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(1)
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General Information:
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Name: _________________________________
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Address: ______________________________
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Title: ________________________________
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Office Telephone: _____________________
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Date of Appointment: ___________________
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Marital Status: _______________________
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Name of Spouse: _______________________
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Occupation of Spouse: _________________
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(2)
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List any office, trusteeship, directorship or
position of any nature, whether compensated or uncompensated, held
by you or your spouse, with any proprietorship, partnership, corporation
or other organization, which at present or during the prior twelve
(12) months does business with the Town of Ballston:
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(3)
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List any occupations, trade, business or profession
presently engaged in by you or your spouse [presently or during the
prior twelve (12) months] which does business or has any matter pending
with or is licensed or regulated by a Town Agency or Department:
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_________________________________________________________________
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_________________________________________________________________
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(4)
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List all sources of income received by you,
your spouse or unemancipated children from entities doing business
with the Town of Ballston at present or during the prior twelve (12)
months' period or which you anticipate will engage in business with
the Town in the future:
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(a)
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All compensated continuing employment of whatever
nature with an entity doing business with the Town of Ballston:
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(b)
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All directorships or other fiduciary positions
for which compensation has or will be paid by an entity doing business
with the Town of Ballston:
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(c)
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All contractual arrangements producing or expected
to produce income from entities doing business with the Town of Ballston:
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(5)
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List the names and address of any proprietorship,
partnership or corporation doing business with the Town of Ballston,
or any instrumentality thereof, in which you, your spouse or your
unemancipated children presently have or have had in the prior twelve
(12) months, an interest of 5% or more:
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Company Name:
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Address:
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ATTESTATION CLAUSE
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I, the undersigned, being duly sworn,
hereby state that I have personally completed the above Disclosure
Statement, and that such Disclosure Statement is true and complete.
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Subscribed and Sworn to
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before me this
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day of _______, 19_________.
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Notary Public
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State of New York
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The Town of Ballston recognizes that public
access to the disclosure statements which are filed by town officials
and employees will enhance the public confidence thereof and shall
deter conflicts of interest and assist in their uncovering.
A.
Any person or news media desiring to review the disclosure
statement of any official or employee shall submit as a request pursuant
to the Freedom of Information Law[1] or written request to the Town of Ballston's Town Board
which shall include the following:
(1)
Name and address.
(2)
Name and address of any person or organization on
whose behalf the statement is being requested.
(3)
A form of identification to verify that an accurate
name and address has been given by the person requesting such information.
(4)
The payment of a fee of $0.25 per page if a copy of
the disclosure statement is desired.
[1]
Editor's Note: See Public Officers Law § 84
et seq.
B.
Any official or employee whose disclosure statement
has been inspected or copied shall be notified of the identity and
the address of the person(s) who or organization(s) which requested
to view or to copy such statement.
A.
The Ethics Board of the Town of Ballston shall consist
of five members, each appointed by a majority vote of the Town of
Ballston Town Board. Each appointee must be a resident of the Town
of Ballston. The Chairman of said Ethics Board shall be selected by
the Town Supervisor for a term of one year. Only one elected official
of the Town of Ballston shall be allowed to serve on the Ethics Board.
B.
Town of Ballston's Ethics Board members shall serve
a term of four years; however, two of the original appointees shall
be appointed to serve an initial term of two years.
C.
Four members of the Ethics Board shall constitute
a quorum, with a vote of at least three members being required for
action by the Board.
D.
The members of the Ethics Board shall not be compensated;
however, they may be reimbursed for reasonable expenses incurred in
the performance of their duties.
E.
Responsibilities.
(1)
The Ethics Board will meet as necessary or when called
upon to convene by the Town Board. At its meetings, the Ethics Board
shall receive and consider complaints of unethical practices or instances
of alleged impropriety which have been presented to it and shall render
advisory opinions when requested to do so by any town employee or
elected official.
(2)
When the Ethics Board determines that a conflict of
interest or that other impropriety exists, the Ethics Board will cause
and direct that relevant information pertaining to the conflict or
impropriety of a particular official or employee be filed with the
Supervisor of the Town of Ballston, together with a recommendation
for a penalty, if any, to be imposed. The filing will constitute a
public record to be made available to anyone who makes application
to examine such record. The Town Board shall accept such statements
and shall maintain separate files for them.
(3)
Prior to any disclosure to the Town Board, the Ethics
Board shall set forth its findings of fact and its conclusions and
the reasons which justify its decision to make public such information.
Prior to the filing of such findings of fact and conclusions, a copy
of such shall be mailed to the official or the employee by certified
mail, return receipt requested. The official or employee may respond,
rebut or otherwise refute the findings of the Ethics Board either
in writing, personally, by counsel or any combination thereof, at
a time and place specified by the Ethics Board. The failure of the
official or employee to respond within 21 days from the date of the
Ethics Board's letter shall constitute a waiver by the official or
employee. The Ethics Board may, in its discretion, amend, revise or
rewrite its findings or it may rescind its initial decision by a majority
vote of its total membership.
(4)
In addition to all the other powers conferred upon
the Ethics Board, the Ethics Board may recommend to the official or
employee a manner in which the conflict of interest or appearance
of impropriety may be resolved. An affidavit by the official or employee
detailing his or her compliance with the recommendations may be sufficient
reason to rescind the Ethics Board's decision to disclose the statement
or portion of such statement to the Town Board of the Town of Ballston.
The affidavit must be delivered to the Ethics Board at a time and
place which shall be set forth in the Board's certified, return receipt
requested letter to such official or employee. If the official or
employee fails to follow the recommendations of the Ethics Board in
curing the conflict of interest or appearance of impropriety, such
fact shall also be disclosed to the Town Board of the Town of Ballston.
(6)
In addition to any other powers and duties specified
by this chapter, the Ethics Board will have the power and duty to
conduct any investigations necessary to carry out its responsibilities.
Pursuant to this power and duty, the Ethics Board may administer oaths
or affirmations, subpoena witnesses and compel the attendance of witnesses
and require the production of any books or records which the Ethics
Board deems relevant or material.
(7)
Notwithstanding the provisions of Article 6 of the
Public Officers Law, the only records of the Ethics Board which will
be available for public inspection are:
(8)
The Ethics Board shall hold a meeting in April of
each year to review all financial statements to ascertain said statements
are filed in compliance with this chapter.
[Amended 5-6-1997 by L.L. No. 2-1997]
F.
The Town Attorney shall be the legal advisor to the
Ethics Board.
Complaints against any official or employee of the town for any violation of this chapter shall be submitted to the Town Ethics Board in care of its Chairman and must contain sworn allegations of fact setting forth the name and title of the official or employee; the nature of the alleged violation and the name and address of the complainant. The Town Ethics Board shall receive such complaint and act upon it in accordance with the procedures set forth in § 14-6 of this chapter.
A.
Any town officer or employee who engages in any action
that violates any provision of this chapter may be warned or reprimanded
or suspended or removed from office or employment by the appointment
authority or person or body authorized by law to impose such sanctions.
A warning, reprimand, suspension or removal may be imposed in addition
to any other penalty contained in this chapter or in any other provision
of law.
B.
Any town officer or employee who violates any provision
of this chapter shall be subject to a civil fine of up to $1,500 for
each violation, as may be determined by the Town Board.
C.
Any town officer or employee who violates any provision
of this chapter shall be liable in damages to the town for any losses
or increased costs incurred by the town as a result of the violation.
Such damages may be imposed in addition to any other penalty contained
in this chapter or in any other provision of law.
D.
Any town officer or employee who has knowingly or intentionally violated any provision of this chapter shall be subject to a civil forfeiture to the town of a sum equal to three times the value of any financial benefit he or she received as a result of the conduct that constituted the violation. A civil forfeiture may be imposed in addition to any other penalty contained in this chapter other than a civil fine pursuant to Subsection B or damages pursuant to Subsection C or in any other provision of law.
E.
If an official or employee filed a statement with
intent to deceive or intentionally misrepresent, or otherwise fraudulently
answers any questions set forth in the statement or intentionally
withholds any information requested or demanded in the statement,
and if such deception or misrepresentation is found to be both intentional
and material, then such official or employee may be assessed a civil
penalty of not more than $2,500 by the Town Board. An assessment of
a civil penalty will be final unless suspended or vacated within 30
days of imposition by the Town Board.
F.
It will be a violation of this chapter for any individual,
except the individual who files such statement, to disclose any information
contained on a financial disclosure statement, except as authorized
by this chapter. A civil action may be brought by the Ethics Board
against any person or organization that violates this subsection.
G.
Any penalty imposed pursuant to this section shall
be so imposed by the Town Board after considering the recommendation,
if any, of the Ethics Board.
H.
Nothing in this section shall be construed as precluding
the prosecution of officials or employees for violations of any offense,
criminal or civil, pursuant to the laws or statutes of the State of
New York.
