[HISTORY: Adopted by the Town Board of the
Town of Marlborough 1-12-2009 by L.L. No. 1-2009.[1] Amendments noted where applicable.]
GENERAL REFERENCES
Communications policy — See Ch. 7.
Defense and indemnification — See Ch. 9.
Officers and employees — See Ch. 26.
Personnel policies — See Ch.
29.
[1]
Editor's Note: This local law also superseded former Ch. 13,
Ethics, Code of, adopted 3-28-1977 by L.L. No. 3-1977 as Ch. 10 of
the 1976 Code of the Town of Marlborough, as amended.
A.
This chapter is enacted pursuant to Article 18, § 806 of
the General Municipal Law of the State of New York and § 10
of the Municipal Home Rule Law and is not intended to authorize any
conduct prohibited by Article 18 of the General Municipal Law.
B.
Public officers and employees are agents of the public good, hold
office for the benefit of the public and must ensure that they avoid
circumstances that compromise their ability to make impartial judgments
solely in the public interest.
C.
The purposes of the chapter are to:
(1)
Establish standards of ethical conduct for all officers and employees
of the Town;
(2)
Provide officers and employees of the Town, whether elected or appointed,
paid or volunteer, with clear guidance on such standards;
(3)
Promote public confidence and integrity in the agencies and administrative
offices of our local government;
(4)
Facilitate the consideration of potential ethical problems before
they arise, to minimize any appearance of impropriety and to enhance
the accountability of government to the people by requiring public
disclosure of interests that may influence or be perceived to influence
the actions of Town officers and employees;
(5)
Provide for the fair and effective administration of this chapter.
Unless otherwise stated or unless the context requires, the
following terms shall, for the purpose of this chapter, have the meanings
herein indicated:
Communications in any form without limitation.
Any information which by law or practice is not available
to the public.
When an officer or employee has a duty or obligation to,
or has an involvement with, a party other than the Town (which may
be him- or herself) and such duty, obligation or involvement compromises
his or her ability to make decisions solely in the public interest.
This includes, but is not limited to, conflicts of interest prescribed
under Article 18 of the General Municipal Law.
Any claim, account or demand against, or agreement with,
the Town, express or implied.
Grandparents, parents, spouse, significant other, children,
grandchildren, brothers, sisters, dependents or any household members
of a Town officer, Town board member, or Town employee. (See "Town
officer or employee.")
A participation, connection or involvement of any sort whether
direct or indirect, pecuniary or nonpecuniary, personal or professional,
which may result in a benefit. For the purposes of this chapter, the
"interests" of a Town officer or employee shall be deemed to include
the interest of:
An immediate family member as defined herein above.
Any person other than a bank, trust company or other lending
institution with whom he/she has a substantial debtor-creditor or
other financial relationship.
Any person by whom he/she is employed or of which he/she is
an officer, director or member having a controlling interest in any
business or enterprise in which the Town officer holds stock or has
any other profit-bearing or beneficial relationship.
An officer or employee shall also be deemed to have an interest
in a matter if he/she or any person described in A through C above
is a party to an agreement, expressed or implied, with any applicant
before any Board of the Town, whereby he/she may receive any payment
or other benefit whether or not for services rendered, dependent or
contingent upon the favorable approval of any such application, petition
or request by any Town body.
An action performed in a prescribed manner that does not
allow for the exercise of personal discretion. See New York Public
Officers Law § 73.
Any elected, appointed or voluntary position held in any
party, club, association, society or committee that is politically
oriented as the rules of the particular body may provide.
Any legislative, administrative, quasi-judicial, appointive
or discretionary act of a Town official or employee of a Town body.
An individual of the opposite or same sex living in shared
quarters for the purpose of constituting a family unit.
("Municipal Officer or Employee") shall include any officer
or employee of the Town of Marlborough ("Town") paid by the municipality,
elected or appointed, and includes without limitation all members
of any office, board, body, advisory board, council, commission, department,
division, bureau, district of the Town.
[Amended 7-12-2010 by L.L. No. 6-2010]
Every Town officer and employee shall be subject to and abide
by the following standards of conduct:
A.
General
prohibition/conflict of interest. No Town officer or employee shall
have any interest, or engage in any business or transaction or professional
activity or incur any obligation of any nature, which is in conflict
with, or might reasonably tend to conflict with, the proper discharge
of his or her duties in the public interest.
B.
Recusal.
(1)
Town officers and employees who have decision-making authority directly on the matter in question are to recuse themselves as appropriate and/or required when their interests, as defined herein and in Subsection A above, could affect their ability to act impartially or create an appearance of impropriety. Such interests must be disclosed in writing in accordance with this chapter. Town officers and employees are reminded that it is not necessary that a specific provision of the General Municipal Law or chapter be violated for a conflict of interest to exist and that the Town of Marlborough may prohibit conflicts other than those prohibited by the General Municipal Law in an effort to maintain public confidence in the Town.
(2)
Town officers or employees who recuse themselves may not actively
participate in deliberations or voting. Such officers or employees
may be excluded from discussions in executive session as permitted
by law.
C.
Gifts.
No Town officer or employee shall accept any gift of $50 or more,
whether in the form of money, service, loan, travel, entertainment,
hospitality, thing or promise, or in any other form, from any person,
firm or corporation which is interested directly or indirectly, in
any manner whatsoever, in business dealings with the Town or under
circumstances in which it could reasonably be 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 from any one person as defined in this Code. No Town officer
or employee shall, in the discharge of his or her duties, grant any
improper favor, service or material object of value. Nothing contained
herein shall be deemed to prohibit any Town officer or employee from
personally borrowing money from any bank or banks designated as depositories
by the Town Board. The fifty-dollar limit applies to an aggregate
total of gifts made over a period of 12 months from any one person
as defined in this Code.
D.
Disclosure
of confidential information. No Town officer or employee or former
Town officer or employee shall disclose any confidential information
acquired by him/her in the course of exercising his/her official duties
or use such information to further his or her personal interests.
E.
Representation and appearance. No Town officer or employee shall represent or appear to further his or her interests before any board, department, committee, office or agency of the Town, nor represent or appear to further his or her interest, as defined herein and in Subsection A above, in any action, petition, request or proceeding against the interests of the Town or in any litigation to which the Town is a party. The preceding sentence shall not preclude any such Town officers or employees from appearing before any board, department, committee, office or other agency of the Town in the performance of public or civic obligations or on their own behalf with respect to matters of a personal nature. All appearing Town officers or employees shall disclose their interest in writing as provided below. In addition, every application, submitted for a variance, amendment, change of zoning, approval of a plat, exemption from a plat or official map, license or permit pursuant to the provisions of any ordinance, local law, rule or regulation constituting the Planning and Zoning Regulations of the Town, in which a Town officer or employee has an interest as defined herein and in Subsection A above shall state the name, residence and the nature and extent of the interest of any Town officer or employee to the extent known to such applicant.
F.
Disclosure
of interest. If any Town officer or employee has a potential or actual
conflict of interest in any matter which he/she encounters in the
performance of his or her official Town duties, he/she shall immediately
make known to all concerned parties the nature of such conflict and
shall abstain from voting or otherwise acting in the matter so as
to avoid an actual conflict. In all cases of a potential or actual
conflict, the affected Town officer or employee appearing before a
decision-making body of the Town shall disclose the exact nature of
the conflict in writing to the decision-making body of the Town that
the officer or employee serves. This disclosure shall be made part
of that decision-making body's official record, disclosing the
exact nature of the conflict in detail.
G.
Private
employment. No Town 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 official duties.
H.
Future
employment. For a period of one year after his/her term of office
or employment with the Town has ended, no former Town officer or employee
shall appear, practice or personally represent before any board or
agency of the town in relation to any case, proceeding or application
in which he or she participated or considered while in the course
of discharging his/her official duties during the period of his or
her service or employment. Notwithstanding this section, a former
Town officer or employee may appear before any board or agency of
the Town with respect to matters of a personal nature.
[Amended 7-12-2010 by L.L. No. 6-2010]
I.
Nepotism:
(1)
Every Town officer and employee related closer in degree, by blood or by marriage, than first cousin to any person(s) seeking employment within any department, section or function of the Town shall disclose such relationship as provided for pursuant to Subsection I(3).
(2)
Every member of any Town municipal board, agency, commission or other municipal body (exclusive of committees) related closer in degree, by blood or by marriage, than first cousin to any applicant for appointment to or to any person seeking employment by or on behalf of such Town board, agency, commission or other municipal body (exclusive of committees) shall disclose such relationship as provided for pursuant to Subsection I(3).
(3)
The disclosures required by this section shall be made in writing,
directed to the Town Clerk, and shall be made at the earliest opportunity
next following the date when such Town officer, employee or member
of any municipal body first learns or acquires knowledge of the application
for such appointment and/or employment.
J.
Avoidance of conflicts. No Town officer and employee shall knowingly
acquire, solicit, negotiate for, or accept any interest, employment,
or anything of value which would create a conflict of interest with
respect to their duties with the Town.
K.
Inducement of others. No Town officer or employee shall induce or
aid another Town officer or employee to violate any of the provisions
of the chapter.
L.
Use of public property. No Town officer or employee shall request
or permit the use of Town-owned vehicles, equipment, materials or
property for personal convenience or profit except when provided with
the primary purpose of furthering a public interest approved by the
Town Board. Notwithstanding this section, a Town employee or officer
may request to use Town property that has been authorized by the Town
Board for use by the general public.
M.
Waiver. A Town officer or employee may apply for a waiver of any
of these standards upon showing of compelling need. A waiver request
form, created by the Ethics Board will be available from the Town
Clerk or the Ethics Board chair, and may be modified by the Ethics
Board from time to time as deemed necessary. However, no such waivers
shall be granted if doing so would contravene any state or local law.
A.
Establishment.
(1)
A Board of Ethics composed of five members is hereby established,
pursuant to § 808 of the General Municipal Law. The members
shall be appointed by the Town Board, the majority of whom are not
otherwise officers or employees of the Town. Such board shall include
at least one member who is a municipal employee.
[Amended 7-12-2010 by L.L. No. 6-2010]
(2)
The term of office shall be three years, running on a calendar-year
basis. One member shall serve until December 31 of the year in which
the Board is established; two shall serve until December 31 of the
following year and two shall serve until December 31 of the third
year.
(3)
Support staff and operating funds may be appropriated annually by
the Town Board for the Ethics Board's maintenance and operation.
(4)
The Town Attorney or Attorney for the Town shall provide legal and
advisory services to the Ethics Board as it may require in the performance
of its duties. If the Town Attorney or Attorney for the Town has a
potential conflict of interest, the Town shall make funds available
for outside counsel. The Ethics Board shall be given access to other
advisory services as needed from both the Town officials and outside
resources.
(5)
Members shall serve without compensation and will be reimbursed for
all reasonable and necessary expenses, provided they receive prior
approval for such spending from the Town Board.
(6)
The Ethics Board shall elect a Chair from among its members. The
Chair or a majority of the Board may call a meeting of the Board.
The Ethics Board shall meet a minimum of two times a year.
(7)
A person appointed to fill a vacancy shall serve the unexpired term
of the member he/she replaces.
(8)
The Town Board shall have the authority to remove, after a public
hearing, any member of the Board of Ethics for cause.
(9)
Three members of the Board are required for the purpose of conducting
a meeting.
[Amended 7-12-2010 by L.L. No. 6-2010]
B.
Qualifications.
(1)
All members of the Ethics Board shall reside in the Town of Marlborough.
(2)
No more than two members of the Ethics Board may be enrolled in the
same political party. No member shall hold office in a political party
or hold any local elective office.
(3)
A member may make campaign contributions but not otherwise participate
in any Town election campaign.
(4)
Consecutive service on the Ethics Board shall not exceed two full
three-year terms.
C.
Powers and duties. The Ethics Board in accordance with § 808
of the General Municipal Law and § 10 of the Municipal Home
Rule Law shall have the following powers and duties:
(1)
To enforce the provisions of this chapter and recommend penalties
appropriate for violations thereof;
(2)
To recommend to the Town Board rules and regulations governing its
own organization and procedures;
(3)
To review, index and maintain on file and hear all signed complaints
which the Board determines to have merit alleging violation(s) of
this chapter upon the written request of any individual. Any such
complaint shall be signed by the individual filing the complaint,
including his/her address and telephone numbers, and mailed to the
Town of Marlborough Board of Ethics, P.O. Box 305, Milton, New York
12547. The Board of Ethics may, on its own motion, conduct an inquiry
of a Town officer or employee's alleged noncompliance with the
provisions of the Code of Ethics upon receipt of substantial evidence,
including, but not limited to, documents, written material, or other
forms of proof. The Board of Ethics shall also have the power to initiate
complaints as a result of information discovered during the course
of its duties;
(4)
To render, index and maintain on file advisory opinions on the requirements
of this chapter. Upon the written request of any Town officer or employee,
the Ethics Board may render a written advisory opinion with respect
to the interpretation or application of this chapter or Article 18
of the General Municipal Law of the State of New York;
(5)
To prepare and submit an annual report to the Town Board summarizing
the activities of the Ethics Board listing recommended changes to
the text or administration of this chapter;
(6)
The only records of the Ethics Board which shall be available for
public inspection are those whose disclosure is required by applicable
law(s) and/or regulations;
(7)
Except as required by law or regulation, no meeting or proceeding
of the Ethics Board concerning misconduct, or neglect in office by
a Town officer or employee shall be open to the public, except upon
the request of the officer or employee under investigation;
(8)
To make recommendations to the Town Board as to the appropriate sanction,
discipline or other action to be taken or imposed with respect to
any finding or determination of reasonable cause to believe that a
violation of this chapter has occurred;
(9)
The Ethics Board shall not carry out the powers and duties as defined
in this section if it is determined that more than one of such Board
has a conflict of interest. In this event, the duties of the Ethics
Board shall be administered by the Ethics Board of Ulster County;
D.
In its discretion, after an investigation and/or hearing and subject
to any applicable provisions of law and collective bargaining agreements,
the Ethics Board may recommend that disciplinary action be carried
out regarding any Town officer or employee who engages in any activity
for whom the Board of Ethics has determined that a Town officer or
employee violated this chapter or Article 18 of the General Municipal
Law;
E.
Hearing procedure and representation. The Board shall have the authority
to administer oaths or affirmations, to take proof, and issue subpoenas
for the production of witnesses, documents or other material evidence.
The Town Counsel will assist the Board in the preparation and issuance
of subpoena(s). Any person compelled to appear in person or who voluntarily
appears before the Ethics Board shall be accorded the right to be
accompanied; represented by and/or advised by counsel and shall receive
a copy of the transcript of his or her testimony, if any, at no cost.
Ample notice will be required to have the Town Attorney present.
F.
Receipt and investigation of complaints.
(1)
Any person may file a written sworn complaint with the Ethics Board
which must include the individual complainant's address and telephone
numbers, and set forth reasonable detail and documentation, if any,
of the facts alleged to constitute the violation(s).
(2)
Upon receipt of said sworn complaint, the Board of Ethics shall forward
the complaint to the person who is the subject of the complaint and
the Town Counsel for possible consultation.
(3)
Upon the receipt of a sworn complaint by any person alleging any
violation of this chapter or of any local ethics law, or upon determining
on its own initiative that a violation of this chapter or of any local
ethics act may exist. The Ethics Board shall have the power and duty
to conduct any investigation including holding a hearing if necessary
to carry out the provision of this chapter.
(4)
After the complaint has been filed and prior to any investigation
undertaken of a complaint before the Board of Ethics, no member of
the Board of Ethics or any of the Board's authorized agents may
communicate directly or indirectly with any party or other persons
about any issue of fact or law regarding the complaint, except that:
(a)
The members of the Board of Ethics may obtain legal advice from
the Town Counsel or special counsel as the case may be; and
(b)
The members of the Board of Ethics may discuss the complaint
among themselves; and
(c)
If any person attempts to influence a Board of Ethics member
regarding the pending complaint, the Board member shall report the
substance of the communication to the Board of Ethics at the next
regular meeting of the Board of Ethics.
G.
At the conclusion of its investigation and/or hearing on said complaint,
the Board of Ethics shall state in writing its advisory opinion or
disposition of every sworn complaint it receives and of every investigation
it conducts and shall set forth the reasons for the disposition. Upon
the final disposition of a complaint, the Ethics Board shall furnish
the filer of the complaint, the subject of the complaint, the Town
Counsel and the Town Board a copy of its advisory opinion or disposition,
and all such statements and all sworn complaints shall be public records
and shall be indexed and maintained on file by the Town Ethics Board.
Prior to final disposition, all complaints, statements or other evidence
shall remain confidential.
H.
All actions, decisions, and recommendations of the Board of Ethics
shall be by majority vote of the entire membership.
I.
The Town of Marlborough Board of Ethics shall have such other powers
and duties as shall be provided by or pursuant to Article 18 of the
General Municipal Law of the State of New York.
J.
Discussions held in Executive Session shall remain confidential and
will only address the specific complaint before them.
K.
The members of the Board of Ethics shall have the right to obtain
opinions from qualified people other than themselves provided that
the majority of the members of the Board of Ethics agree with such
a course of action and the names of the individuals involved in the
complaint are withheld.
L.
Members of the Board of Ethics have no authority to make public statements
regarding Board of Ethics proceedings except to indicate that no such
statements will be made.
Any person aggrieved by a decision of the Ethics Board may seek
judicial review and relief pursuant to Article 78 of the Civil Practice
Law and Rules of the State of New York.
Copies of the Code shall be available to the public and posted
in each of the Town's buildings in a place conspicuous to the
Town's officers and employees. The Town Supervisor shall ensure
that a copy of the Code of Ethics is provided to each Town officer
and employee of the Town. However, the failure to so distribute or
post the Code of Ethics shall have no effect on the duty to comply
with this chapter, the Public Officers Law, or the General Municipal
Law.
