[HISTORY: Adopted by the Town Board of the
Town of Poughkeepsie 5-16-2001 by L.L. No. 10-2001. This local law also
repealed former Ch. 15, Ethics, Code of, adopted 9-18-1968 by L.L. No. 4-1968, as amended. Amendments noted where applicable.]
This Code of Ethics is enacted pursuant to Article
18 of the General Municipal Law. It is the purpose of this code to
establish standards of ethical conduct for officers, employees, and
certain appointed officials of the Town of Poughkeepsie, to afford
them clear guidance as to these standards, and to ensure that Town
government is so free from improper influence as to assure public
confidence and trust. This code shall be in addition to all other
legal restrictions, standards and provisions pertaining to the conduct
of Town officers and employees.
Unless the context clearly provides otherwise,
the terms set forth below shall have the following meanings:
The Town of Poughkeepsie Board of Ethics, c/o Town of Poughkeepsie
Town Clerk, or Town Attorney, One Overocker Road, Poughkeepsie, New
York 12603.
Any unemancipated son, daughter, stepson, or stepdaughter.
A direct or indirect pecuniary or material benefit accruing
to an officer or employee, or his or her relative, whether as a result
of a contract with the Town or otherwise. For the purpose of this
chapter, a Town officer or employee shall be deemed to have an interest
in the contract of:
A relative, except as to a contract of employment
with the town;
A firm, partnership or association of which
such officer or employee is a member or employee;
A corporation of which such officer or employee
is an officer, director or employee;
A corporation of which more than 5% of the outstanding
stock is owned by any such officer, employee, or his or her relative.
A matter which appears on the agenda of the Town Board or
on a committee thereof, on which any official action will be taken
and shall include proposed or adopted acts, local laws, ordinances
or resolutions.
An elected or appointed officer or employee of the Town of
Poughkeepsie, whether paid or unpaid. No person shall be deemed to
be an officer or an employee of the Town solely by reason of being
a volunteer fireman or EMT volunteer except a fire chief or an assistant
fire chief.
A child, stepchild, parent, stepparent, brother, sister,
stepbrother, stepsister, or legal guardian of any of said persons
of an officer or employee or of the spouse of the officer or employee.
The husband or wife of an officer or employee, unless living
separate and apart pursuant to:
The Town of Poughkeepsie.
A child who is under the age of 18, unmarried and living
in the household of an officer or employee.
Every officer or employee of the Town shall
be subject to and abide by the following standards of conduct:
A.
Gifts. No officer or employee shall directly or indirectly
solicit or receive any money, whether in the form of cash, check,
loan, credit, or any other form in any amount, or solicit any gifts,
or accept or receive any individual annual gift, having a value of
$75 or more, whether in the form of services, loan, travel, entertainment,
hospitality, thing or promise, or any other form, under circumstances
in which it could be reasonably inferred that the money or gift was
intended to influence, or could be reasonably expected to influence,
him or her in the performance of official duties or was intended as
a reward for any official action.
B.
Confidential information. No officer or employee shall
disclose confidential information acquired in the course of official
duties or use such information to further a personal interest.
C.
Representation before one's own agency. No officer
or employee shall receive or enter into any agreement, express or
implied, for compensation, direct or indirect, for services to be
rendered in relation to any matter before any agency of which he or
she is an officer, member or employee or of any agency over which
he or she has jurisdiction or to which he or she has the power to
appoint any member, officer, or employee.
D.
Representation before any agency for a contingent
fee. No officer or employee shall receive or enter into any agreement,
express or implied, for compensation, direct or indirect, for services
to be rendered in relation to any matter before any agency of the
town, whereby his or her compensation is to be dependent or contingent
on any action by such agency with respect to such matter, provided
that this subsection shall not prohibit the fixing at any time of
fees based on the reasonable value of the services rendered.
E.
Disclosure of interest in legislation. To the extent
known, any officer or employee of the Town who participates in the
discussion or gives an official opinion to the Town Board on any legislation
before it shall publicly disclose on the official record the nature
and extent of any direct or indirect financial or other private interest
he or she may have in such legislation.
F.
Disclosure of interests in contracts. To the extent
known, any officer or employee of the Town who has, will have or subsequently
acquires any interest in any contract with the Town shall publicly
disclose the nature and extent of such interest in writing to the
Board of Ethics and Town Board as well as to his or her immediate
supervisor as soon as he or she has knowledge of such actual or prospective
interest.
G.
Investments in conflict with official duties. No officer
or employee shall invest or hold any investment directly or indirectly
in any financial, business, commercial or other private transaction,
which creates a conflict.
H.
Private employment. No officer or employee shall engage
in, solicit, negotiate for or promise to accept private employment
or render services for private interests when such employment or service
creates a conflict with or impairs the proper discharge of his or
her duties.
I.
Future employment. No officer or employee shall, within
a period of one year after termination of service of employment, appear
before any agency of the town, except on his or her own behalf. No
officer or employee shall, after termination of service or employment,
appear before any agency of the Town in relation to any matter, case,
proceeding, application or transaction with respect to which such
person was directly concerned or in which he or she personally participated
during his or her service or employment.
J.
Prohibited conflicts of interest. No Town officer
or employee shall have an interest in any contract between the Town
and a corporation or partnership of which he or she is an officer
or employee when such Town officer or employee has the power to negotiate,
prepare, authorize, or approve the contract or authorize or approve
payment thereunder; audit bills or claims under the contract; or appoint
an officer or employee who has any of the powers or duties set forth
above; and no chief fiscal officer, treasurer, or his or her deputy
or employee shall have an interest in a bank or trust company designated
as a depository, paying agent, registration agent or for investment
of funds of the Town of which he or she is an officer or employee.
The provisions of this section shall in no event be construed to preclude
the payment of lawful compensation and necessary expenses of any Town
officer or employee in one or more positions of public employment,
the holding of which is not prohibited by law.
K.
Certain interests prohibited. No officer or employee
of the Town who has an interest in any real property, either individually
or as an officer or employee of a corporation or partnership, shall
participate in the acquisition or plan for acquisition of said property
or any property adjacent to said property by the town. The term "participation"
shall include the promotion of the site as well as the negotiation
of the terms of acquisition.
L.
No municipal officer or employee shall use or permit
the use of property owned or leased to the Town for other than official
purposes or for activities not otherwise officially approved by the
Town Board.
M.
Except where required by law, no Justice of the Peace
or member of a quasi-judicial administrative board, including but
not limited to the Police Commission, Plumbing Board, Zoning Board
of Appeals and Board of Ethics, shall be an officer or a committee
member of a political party; provided, however, that this section
shall not be applicable to a quasi-judicial administrative board as
listed herein where the local law creating said Board requires membership
of at least one sitting Town Board member.
[Amended 4-19-2006 by L.L. No. 9-2006]
Nothing herein shall be deemed to bar or prevent
the appearance of a present or former officer or employee before any
agency on his or her own behalf, or on behalf of a relative, to express
an opinion or comment on a matter before that agency; nor prevent
the appearance or timely filing of any claim, account, demand or suit
against the Town or any agency thereof where the matter arises out
of any personal injury or property damage or for any lawful benefit
authorized or permitted by law.
Within 30 days of the effective date of this
chapter, the Town Attorney shall cause a copy of this Code of Ethics
to be distributed to every officer and employee required to file a
financial disclosure statement and shall further cause a copy of this
chapter to be posted in all town-owned or leased buildings. Thereafter,
each new officer and employee shall be furnished a copy of this chapter
within 60 days of being elected, appointed, or hired by the town.
Failure to distribute, post or receive a copy of this chapter shall
have no effect on the duty of compliance or the enforcement of the
provisions of this chapter.
A.
All officers and employees holding the positions set
forth below shall be responsible to complete and file a financial
disclosure statement in substantially the form set forth herein and
in accordance with the requirements of this chapter. On or before
March 15 of each year, the Town Attorney shall cause to be distributed
to those persons holding the positions set forth below said financial
disclosure statement.
B.
Each of the members of the following boards and commissions
shall be responsible to complete and file a financial disclosure statement
within 30 days of their initial appointment and annually thereafter.
The financial disclosure statement shall be substantially the form
set forth herein and in accordance with the requirements of this chapter.
On or before March 15 of each year, the Town Attorney shall distribute
such disclosure statement forms to the members of the specified boards
or commissions, which shall be filed by May 15 of each year:
(1)
Board of Assessment Review.
(2)
Conservation Advisory Commission.
(3)
Board of Ethics.
(4)
Historic Preservation Commission.
(5)
Planning Board.
(6)
Examining Board of Plumbers.
(7)
Records Management Advisory Board.
(8)
Tri Municipal Sewer Commission.
(9)
Voting machine custodians.
(10)
Joint City/Town Water Board.
(11)
Zoning Board of Appeals.
C.
Financial disclosure statements filed pursuant to
this Code of Ethics shall be sealed, indexed, and maintained on file
for five years in an appropriate manner by the Board of Ethics. Such
disclosure statements shall be available for public inspection in
accordance with the New York State Freedom of Information Law. Such
disclosure statements shall be destroyed upon the expiration of this
five-year period.
[Amended 8-21-2002 by L.L. No. 12-2002]
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Annual Statement of Financial Disclosure for
Calendar Year _____
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The
Code of Ethics of the Town of Poughkeepsie requires certain elected
or appointed officials and employees to file this statement prior
to May 15 for the preceding calendar year. Please answer all questions
completely. Indicate not applicable (N/A) where appropriate. Attach
additional pages if necessary.
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The filing of this statement is in addition to the obligation for continuous disclosure required by the Code of Ethics, § 15-3, Standards of conduct.
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Are you requesting a time-stamped receipt of
the filing of this document?
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Yes
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No
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1)
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Reporting Individual
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Name:
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Title of Town Position Held:
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Department, Agency, or Committee
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Office Address (Employees Only)
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Office Telephone Number and Extension (Employees
only)
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2)
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To the best of your knowledge and belief, do you, your spouse, your children, dependent(s) or any relatives, as defined in § 15-2 of the Code of Ethics, have any of the following relationships with the Town of Poughkeepsie?
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Yes
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No
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Do business with the Town of Poughkeepsie.
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Receive any benefits, payments or gifts in excess of that allowed, as defined in § 15-3A of the Code of Ethics, from any person, firm, company or organization either doing business with the Town of Poughkeepsie or licensed or regulated by the Town of Poughkeepsie.
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Own 5% per cent or more of stock in a firm doing
business with the Town of Poughkeepsie.
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Complete questions 3-6, only if you checked
any yes box in Question 2.
(Use separate paper if necessary)
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3)
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Identify the following for all boxes checked
in Question 2.
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a)
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The name of the individual
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b)
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The relationship with the Town of Poughkeepsie
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c)
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The value of relationship as best can be determined
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d)
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The dates the relationship began and ended (or
will end)
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4)
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For every individual identified in Question
3, including yourself, identify any gifts, payments or personal entertainment
having an annual cumulative value in excess of $75.00 directly from:
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a)
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Any person or entity doing business with the
Town of Poughkeepsie
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b)
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Any person or entity regulated or licensed by
the Town of Poughkeepsie.
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5)
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For every individual identified in Question
3, including yourself, identify any agreement or promise of future
employment or payment, including transfers of anything of a cumulative
value, in excess of $75.00 from:
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a)
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The Town of Poughkeepsie
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b)
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Any person or entity doing business with the
Town of Poughkeepsie
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c)
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Any person or entity regulated or licensed by
the Town of Poughkeepsie.
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6)
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For every individual identified in Question
3, including yourself, identify any real property* which each owns
either in or contiguous to the Town of Poughkeepsie. The identification
should include at a minimum the street address, municipality, property
size, property use and acquisition date. Include all property, whether
the interest is vested or contingent, where 50% or more of the equitable
interest is held by the reporting person or relatives.
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* Exclude any primary residence not exceeding
five acres.
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With respect to items reported concerning "relatives,"
as defined, a demonstration of good faith effort to the Ethics Board
shall be evidence of compliance.
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The reporting of information on this statement
is required by law. Improper use of the information contained in this
statement by any person or entity in violation of privacy or other
rights is separately punishable in accordance with law. No inference
of unethical or illegal conduct or behavior shall be drawn merely
from the lawful compliance with disclosure requirements.
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Individual Certification
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State of New York
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)
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ss:
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County of Dutchess
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)
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I hereby affirm under penalty of perjury that
the information on this statement set forth is true, accurate and
complete to the best of my knowledge.
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Dated: _________________
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Signature:
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Corporate Certification
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State of New York
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)
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ss:
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County of Dutchess
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)
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I, ____________________, being duly sworn, deposes
and says that I am
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of
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President/Secretary
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Name of Corporation
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and that the information on this statement set
forth is true, accurate and complete to the best of my knowledge.
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Poughkeepsie, New York
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Dated: _________________
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Signature:
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File the statement with:
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Board of Ethics
c/o The Town of Poughkeepsie Supervisor
One Overocker Road
Poughkeepsie, New York 12603
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A.
Any person required to file an annual statement of
financial disclosure pursuant to this chapter shall file such completed
statement on or before May 15 of each year for the preceding calendar
year directly with the appropriate body.
B.
Any person required to file such statement who is
employed after May 15 of any year shall file such statement within
30 days of such employment.
C.
A person who is subject to filing requirements from
more than one Town may satisfy the requirement of this section by
filing a financial disclosure form with the appropriate body of the
other Town and filing a copy of that form with this Town within the
time required, together with a notification to this Town of the name
of the other Town and the name and address of the appropriate body
for that town.
D.
Any person who is subject to the reporting requirements
of this chapter and who timely files with the Internal Revenue Service
an application for an extension of time in which to file his or her
individual income tax return for the immediately preceding calendar
or fiscal year shall be required to submit such financial disclosure
statement on or before the 15th day after the expiration of the period
of such extension of time within which to file such individual income
tax form.
E.
Any person who is required to file an annual financial
disclosure statement and who is granted an additional period of time
within which to file such statement due to justifiable cause or undue
hardship in accordance with the rules and regulations on the subject
adopted by the appropriate body shall file such statement within the
additional period of time granted.
F.
Upon filing of such annual disclosure statement, each
officer and employee may obtain a dated receipt of such filing by
checking the box on the first page of the disclosure form provided
for that purpose.
G.
Any person who is required to file an annual financial disclosure statement and who fails to file on or before May 15 of any year shall be notified by certified mail by the appropriate body and shall file such statement within 15 days of such notification subject to the penalty provided for in § 15-9A below.
H.
Any person required to file a financial disclosure
statement may request an exemption from any requirement to report
one or more items of information which pertain to such person's spouse
or relatives, which item or items which would otherwise be required
to be reported will have no material bearing on the discharge of the
reporting individual's official duties.
A.
Any officer or employee who is required to complete
and file an annual financial disclosure statement and has failed to
file within 15 additional days after having been given at least one
reminder, in writing, may be assessed a civil penalty not to exceed
$100 for the first such failure and not to exceed $150 for a second
such failure and not to exceed $250 for any failure to file thereafter.
In assessing any penalty, the Board of Ethics shall consider any mitigating
circumstances offered by the offending party. In addition to these
penalties, a persistent violator shall be subject to a fine not to
exceed $500. A persistent violator is one who fails to file the annual
statement of financial disclosure for three years.
B.
Any officer or employee who knowingly and willfully,
with intent to deceive, makes a false statement, or gives information
on such statement, which such individual knows to be false, shall
be assessed a civil penalty in an amount not to exceed $2,500.
C.
Any officer or employee who knowingly and willfully
violates any other provisions of the Town Ethics Law, or of Article
18 of the General Municipal Law, or any other law establishing rules
of conduct for public officers and employees, may be assessed a civil
penalty not to exceed $2,500 and may be subject to disciplinary action
by the appropriate body.
A.
Composition.
(1)
The Town of Poughkeepsie Board of Ethics, heretofore
created by Local Law No. 4 of 1968, is terminated effective upon adoption
of this chapter.
(2)
Pursuant to Article 18 of the New York General Municipal
Law, there is hereby established the Town of Poughkeepsie Board of
Ethics.
(3)
There is hereby created, pursuant to the provisions
of § 808 of the General Municipal Law of the State of New
York, a Board of Ethics, consisting of eight members, seven of whom
shall be appointed by the Town Board, and one of whom shall be the
Town Attorney. All members shall reside in the town, except that the
Town Attorney need not, and a least one member shall be a municipal
officer or employee. All members shall serve without compensation.
Of the initial appointed members, one shall be appointed for a term
of one year, one for a term of two years, one for a term of three
years, two for terms of four years and two for terms of five years.
No member shall be an officer or committee member of a political party.
The Town Attorney shall exercise an advisory function only and shall
have no vote.
(4)
Four members of the Board shall constitute a quorum.
(5)
The Town Board may appropriate monies for the maintenance
and personal services connected with the Board of Ethics.
(6)
The members of the Board of Ethics shall receive no
compensation for their services on such Board.
B.
Powers; duties; functions.
(1)
The Board of Ethics shall have the powers, duties
and functions provided by Article 18 of the General Municipal Law.
(2)
The Board of Ethics shall be the repository for completed
financial disclosure statements and such other written instruments,
affidavits, and disclosures as required by law. The Board shall inspect
all financial disclosure statements to ascertain whether a person
required to file a statement has failed to do so.
(3)
The Board of Ethics shall render advisory opinions
in writing to officers and employees of the Town of Poughkeepsie,
upon written request of the officer or employee with regard to his
or her own affairs. Such advisory opinions shall be with respect to
Article 18 of the General Municipal Law and any Code of Ethics adopted
pursuant thereto. The Town Board of Ethics may, at its option, refer
matters to the County Board of Ethics.
(4)
The Supervisor, members of the Town Board, Comptroller,
Police Chief and Town Clerk may request an advisory opinion with regard
to the affairs of any Town officer or employee. Such opinions shall
be rendered, if practicable, within 30 days of the written request.
The thirty-day time period may be extended an additional 30 days at
the Board's discretion. Thereafter, if deemed necessary by the Board,
the time period may be extended by an additional 90 days upon notification
to the Town Board that a particular matter is under investigation
and an additional extension is required. In any event, the Board shall
render its opinion no later than 150 days from the date of receipt
of the written request.
(5)
Unless specifically requested by the individual charged
with a violation, or the party requesting an advisory opinion, said
opinions shall not be made public or disclosed unless required by
the Freedom of Information Law, pursuant to judicial subpoena or required
in a disciplinary proceeding involving an officer or employee.
(6)
The Board of Ethics may make recommendations with
respect to the drafting and adoption of a Code of Ethics or amendments
thereto upon the request of the Town Board of the Town of Poughkeepsie.
C.
Complaints, hearings and assessment of penalties.
(1)
All complaints alleging a violation of the Town of
Poughkeepsie Code of Ethics must be in writing and include the signed
name and address of the complainant.
(2)
Upon receipt of a complaint, the Board of Ethics shall
make a determination as to whether, on its face, the complaint alleges
a violation of the Code of Ethics. If a determination is made that
a violation of the Code of Ethics is not alleged by the complainant,
the Board shall notify the complainant of its determination in writing.
(3)
If a determination is made that a violation of the
Code of Ethics is alleged by the complainant, the Board shall notify
in writing the person against whom the complaint is made of the nature
of the complaint and the provision of the code allegedly violated.
(4)
The officer or employee charged with a violation shall
have 15 days from receipt of notice of alleged violation to respond
in writing to the Board's notice of alleged violation. The fifteen-day
time period may be extended an additional 15 days at the Board's discretion.
The response shall either admit the violation or state facts supporting
a denial of the charge.
(5)
If the charge is denied, the Board shall either dismiss
the charge, if the facts presented so warrant, or conduct a hearing.
(6)
A fact hearing shall consist of sworn testimony, affidavit,
or such document evidence as the Board allows. The person charged
shall be allowed to be represented by legal counsel and allowed to
present evidence and to confront evidence presented against him or
her. Strict rules of evidence under the laws of New York State shall
not apply to the hearing. The Board may direct that a hearing be recorded
and transcribed.
(7)
After the hearing is conducted, the Board shall issue its decision in writing, indicating the reason therefor. Such decision shall be rendered, if practicable, within the time limits set forth for opinions as contained in § 15-10B(4) above. No determination may be based solely on hearsay evidence.
(8)
Upon the Board's determination that a violation of the Code of Ethics has occurred, and pursuant to § 15-9 of this Code of Ethics, the Board of Ethics may assess a penalty.
(a)
Any determination resulting in a fine or disciplinary
action by the Board of Ethics shall be subject to review by a special
proceeding in New York State Supreme Court. Such a proceeding must
be commenced within 30 days of receipt of notice of a determination.
The Supreme Court, in its review, may make its own findings of fact
based upon the record before it.
(b)
In instances where the Board of Ethics levies
a fine in excess of $1,000, the aggrieved party may seek review by
the Town Board. solely on the issue of excessive fine. The request
for Town Board review shall be in writing and filed with the Town
Clerk and the Board of Ethics within 10 days of receipt of notice
of said determination. Upon receipt of such request, the Town Clerk
shall refer the matter to the Personnel Committee of the Town of Poughkeepsie
for its review and recommendation. In conducting its review, the Personnel
Committee shall be restricted to only materials or testimony presented
to the Board of Ethics. The Personnel Committee shall recommend an
affirmance or reduction of the fine. The Personnel Committee's recommendation
shall be in the form of a resolution submitted for action by full
Town Board. The Town Board shall have 90 days from the date the Town
Clerk receives the notice within which to act on the request. The
failure by the Town Board to take action within the 90 days shall
be deemed an affirmance of the determination of the Board of Ethics.
(c)
The time within which to commence a special
proceeding in Supreme Court shall be tolled pending action by the
Town Board upon adoption of the resolution as provided by Town Law.
The provisions of this chapter are enacted pursuant
to the authority granted by Article 18 of the General Municipal Law.
Notwithstanding anything to the contrary, the Town of Poughkeepsie
hereby elects to remove itself from the ambit of all of the provisions
of § 812 of the General Municipal Law.
