[HISTORY: Adopted by the Common Council of
the City of Oneonta 5-21-2024 by Ord. No. 2-2024.[1] Amendments noted where applicable.]
[1]
Editor's Note: This ordinance also repealed former Ch. 21,
Ethics, Code of, derived from Chapter 104 of the 1975 Compilation,
as amended through 1996.
Pursuant to the provisions of Article 18 of the General Municipal
Law, the Common Council of Oneonta, New York, recognizes that there
are rules of ethical conduct for public officers, appointed officials
and employees which must be observed if a high degree of moral conduct
is to be obtained and if public confidence is to be maintained in
our unit of local government. It is the purpose of this chapter to
promulgate these rules of ethical conduct for the officers, appointed
officials and employees of the City of Oneonta, New York. These rules
shall serve as a guide for official conduct of the officers, appointed
officials and employees of the City of Oneonta, New York. The rules
of ethical conduct of this chapter, as adopted, shall not conflict
with but shall be in addition to any prohibition of Article 18 of
the General Municipal Law or any other general or special law relating
to ethical conduct and interest in contracts of municipal officers
and employees.
As used in this chapter, the following terms shall have the
meanings indicated:
A comptroller, commissioner of finance, director of finance
or other officer possessing similar powers and duties, except that
in a school district the term shall not mean a member of the Board
of Education or a trustee thereof.
Any claim, account or demand against or agreement with a
municipality, express or implied, and shall include the designation
of a depository of public funds and the designation of a newspaper,
including but not limited to an official newspaper, for the publication
of any notice, resolution, ordinance, or other proceeding where such
publication is required or authorized by law.
A direct or indirect pecuniary or material benefit accruing
to a municipal officer or employee as the result of a contract with
the municipality which such officer or employee serves. For the purposes
of this article a municipal officer or employee shall be deemed to
have an interest in the contract of a spouse, minor children and dependents,
except: (1) a contract of employment with the municipality which such
officer or employee serves; (2) a firm, partnership or association
of which such officer or employee is a member or employee; (3) a corporation
of which such officer or employee is an officer, director or employee;
and (4) a corporation any stock of which is owned or controlled directly
or indirectly by such officer or employee.
An officer or employee of a municipality, whether paid or
unpaid, including members of any administrative board, commission,
or other agency thereof and in the case of a county, shall be deemed
to also include any officer or employee paid from county funds. No
person shall be deemed to be a municipal officer or employee solely
by reason of being a volunteer firefighter or civil defense volunteer,
except a fire chief or assistant fire chief.
A county, city, town, village, school district, consolidated
health district, county vocational education and extension board,
public library, board of cooperative educational services, urban renewal
agency, a joint water works system established pursuant to Chapter
654 of the laws of 1927, or a town or county improvement district,
district corporation, or other district or a joint service established
for the purpose of carrying on, performing or financing one or more
improvements or services intended to benefit the health, welfare,
safety or convenience of the inhabitants of such governmental units
or to benefit the real property within such units, an industrial development
agency but shall have no application to a city having a population
of one million[??] or more or to a county, school district, or other
public agency or facility therein.
A county treasurer, city treasurer, town supervisor, village
treasurer, school district treasurer, fire district treasurer, improvement
district treasurer, president of a board of health of a consolidated
health district, county vocational educational and extension board
treasurer, treasurer of a board of cooperative educational services,
public general hospital treasurer, or other officer possessing similar
powers and duties.
A.
No municipal officer, appointed official or employee shall have an
interest in any contract with the municipality of which they're
an officer, appointed official or employee, when such officer, appointed
official or employee, individually or as a member of a board, has
the power or duty to: (1) negotiate, prepare, authorize or approve
the contract or authorize or approve payment thereunder; (2) audit
bills or claims under the contract; or (3) appoint an officer, appointed
official or employee who has any of the powers or duties set forth
above; and
B.
No chief fiscal officer, treasurer, or their 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 municipality of which they're an officer, appointed
official or employee.
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The provisions of this section shall in no event be construed
to preclude the payment of lawful compensation and necessary expenses
of any municipal officer, appointed official or employee in one or
more positions of public employment, the holding of which is not prohibited
by law.
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The provisions of GML Article 18, § 801 shall not
apply to:
A.
The designation of a bank or trust company as a depository, paying
agent, registration agent or for investment of funds of a municipality
except when the chief fiscal officer, treasurer, or his deputy or
employee, has an interest in such bank or trust company; provided,
however, that where designation of a bank or trust company outside
the municipality would be required because of the foregoing restriction,
a bank or trust company within the municipality may nevertheless be
so designated;
B.
A contract with a person, firm, corporation or association in which
a municipal officer or employee has an interest which is prohibited
solely by reason of employment as an officer or employee thereof,
if the remuneration of such employment will not be directly affected
as a result of such contract and the duties of such employment do
not directly involve the procurement, preparation or performance of
any part of such contract;
C.
The designation of a newspaper, including but not limited to an official
newspaper, for the publication of any notice, resolution, ordinance
or other proceeding where such publication is required or authorized
by law;
D.
The purchase by a municipality of real property or an interest therein,
provided the purchase and the consideration therefor is approved by
order of the Supreme Court upon petition of the governing board;
E.
The acquisition of real property or an interest therein, through
condemnation proceedings according to law;
F.
A contract with a membership corporation or other voluntary nonprofit
corporation or association including, but not limited to, rural electric
cooperatives. For purposes of this paragraph, the term "rural electric
cooperative" shall have the same meaning as the term "cooperative"
as defined in Subdivision (a) of Section two of the Rural Electric
Cooperative Law;
G.
The sale of bonds and notes pursuant to § 60.10 of the
Local Finance Law;
H.
A contract in which a municipal officer or employee has an interest
if such contract was entered into prior to the time they were elected
or appointed as such officer or employee, but this paragraph shall
in no event authorize a renewal of any such contract;
I.
Purchases or public work by a municipality, other than a county,
located wholly or partly within a county with a population of 200,000
or less pursuant to a contract in which a member of the governing
body or board has a prohibited interest where:
(1)
The member of the governing body or board is elected and serves without
salary;
(2)
The purchases, in the aggregate, are less than $5,000 in one fiscal year and the governing body or board has followed its procurement policies and procedures adopted in accordance with the provisions of § 21-4B of this chapter and the procurement process indicates that the contract is with the lowest dollar offer;
(3)
The contract for the purchases or public work is approved by resolution
of the body or board by the affirmative vote of each member of the
body or board except the interested member who shall abstain.
(a)
A contract with a corporation in which a municipal officer or
employee has an interest by reason of stockholdings when less than
5% of the outstanding stock of the corporation is owned or controlled
directly or indirectly by such officer or employee;
(b)
A contract for the furnishing of public utility services when
the rates or charges therefor are fixed or regulated by the Public
Service Commission;
(c)
A contract for the payment of a reasonable rental of a room
or rooms owned or leased by an officer or employee when the same are
used in the performance of their official duties and are so designated
as an office or chamber;
(d)
A contract for the payment of a portion of the compensation
of a private employee of an officer when such employee performs part
time service in the official duties of the office;
(e)
A contract in which a municipal officer, appointed or employee
has an interest if the total consideration payable thereunder, when
added to the aggregate amount of all consideration payable under contracts
in which such person had an interest during the fiscal year, does
not exceed the sum of $750.
(f)
A contract with a member of a private industry council established
in accordance with the Federal Job Training Partnership Act[1] or any firm, corporation or association in which such
member holds an interest, provided the member discloses such interest
to the council and the member does not vote on the contract.
[1]
Editor's Note: See 29 U.SC.A. § 1501 et seq.
Any municipal officer, appointed official or employee who has,
will have, or later acquires an interest in or whose spouse has, will
have, or later acquires an interest in any actual or proposed contract,
purchase agreement, lease agreement or other agreement, including
oral agreements, with the municipality of which they are an officer,
appointed official or employee, shall publicly disclose the nature
and extent of such interest in writing to their immediate supervisor
and to the governing body thereof as soon as they have knowledge of
such actual or prospective interest. Such written disclosure shall
be made part of and set forth in the official record of the proceedings
of such body.
Any municipal officer or employee who willfully and knowingly
violates the foregoing provisions of this article shall be guilty
of a misdemeanor.
Every officer, appointed official or employee of the City of
Oneonta, New York, shall be subject to and abide by the following
standards of conduct:
A.
Gifts. They shall not, directly or indirectly, solicit any gift or
accept or receive any gift having a value as set by GML Article 18,
whether in the form of money, services, loan, travel, entertainment,
hospitality, thing or promise, or any other form, under circumstances
in which it could reasonably be inferred that the gift was intended
to influence them, or could reasonably be expected to influence, in
the performance of their official duties or was intended as a reward
for any official action on their part.
B.
Confidential information. They shall not disclose confidential information
acquired in the course of their official duties or use such information
to further personal interest.
C.
Representation before one's own agency. They shall not receive
or enter into any agreement, express or implied, for compensation
for services to be rendered in relation to any matter before any municipal
agency of which they are an officer, member or employee or of any
municipal agency over which has jurisdiction, or to which has the
power to appoint any member, officer or employee.
D.
Representation before any agency for a contingent fee. They shall
not receive or enter into any agreement, express or implied, for compensation
for services to be rendered in relation to any matter before any agency
of their municipality, whereby compensation is to be dependent or
contingent upon 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 upon the reasonable value of the services rendered.
E.
Disclosure of interest in legislation. To the extent that they know
thereof, a member of the Common Council and any officer, appointed
or employee of the City of Oneonta, whether paid or unpaid, who participates
in the discussion or gives official opinion to the Common Council
on any legislation before the Common Council shall publicly disclose
on the official record the nature and extent of any direct or indirect
financial or other private interest they have in such legislation.
F.
Investments in conflict with official duties. They shall not invest
or hold any investment, directly or indirectly, in any financial,
business, commercial or other private transaction which creates a
conflict with their official duties.
G.
Private employment. They shall not 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 their official duties.
H.
Future employment. They shall not, after the termination of service
or employment with such municipality, appear before any board or agency
of the City of Oneonta, New York, in relation to any case, proceeding
or application in which they personally participated during the period
of their service or employment, or which was under their active consideration.
Nothing herein shall be deemed to bar or prevent the timely
filing by a present or former municipal officer, appointed or employee
of any claim, account, demand or suit against the City of Oneonta,
New York, or any agency thereof, on behalf of themselves or any member
of their family arising out of any personal injury or property damage
or for any lawful benefit authorized or permitted by law.
The Mayor and/or the City Administrator of the City of Oneonta,
New York, shall cause a copy of this Code of Ethics to be distributed
to every officer, appointed official and employee of the City within
30 days after the effective date of this chapter. Each officer, appointed
and employee elected or appointed thereafter shall be furnished a
copy before entering upon the duties of their office or employment.
In addition to any penalty contained in any other provision
of law, any person who shall knowingly and intentionally violate any
of the provisions of this code may be fined, suspended, or removed
from office or employment, as the case may be, in the manner provided
by law.
There is hereby established a Board of Ethics consisting of
five members to be appointed by the Mayor with Common Council approval
and who shall serve without compensation and at the pleasure of the
Mayor. Initial appointments to the Board of Ethics will be staggered,
consisting of two three-year, two two-year and one one-year term.
Subsequent appointments will be in compliance with the Charter for
three-year terms. A majority of such members shall be persons other
than officers, appointed officials or employees of the City of Oneonta
but shall include at least one member who is an elected or appointed
officer or employee of the City of Oneonta.
A.
The City of Oneonta Board of Ethics is empowered to promulgate rules
and regulations in furtherance of the powers and duties enumerated
in the article. The following procedures are established through which:
(1)
Officers, employees and appointed officials of the City of Oneonta
may obtain an advisory opinion regarding their own conduct, including
specific matters pertaining to filing and reporting categories only
regarding their own requirements.
(2)
Persons may file complaints about alleged violations of the City
of Oneonta Ethics Law by officers, employees, and appointed officials
of the City. Prior to filing a complaint, people are encouraged, but
not required, to attempt to resolve the situation through the use
of certified mediation services provided upon request. If these means
fail or do not satisfactorily resolve the circumstances, the Board
of Ethics may be the appropriate vehicle for addressing the complaint.
(3)
The Board of Ethics has the authority to investigate a complaint,
mediate when possible; conduct a hearing on valid complaints; determine
the validity of complaints and dismiss invalid complaints; and recommend
and enforce a disposition on a valid complaint as authorized by the
City of Oneonta Ethics Law.
B.
General procedures. The Board of Ethics may not meet or act without
the presence of a quorum. Three members shall constitute a quorum.
The Board shall select a Chair, Vice Chair, and Secretary who each
shall serve a one-year term or until successors are selected. Determinations
that a violation of the City's Ethics Law has occurred must be
unanimous. Meetings are subject to the Open Meetings Law.[1] The Board of Ethics shall hold all information and communications
pertaining to the review process confidential. No information may
be given to any person unless such disclosure is required by the Freedom
of Information Law,[2] or all parties involved in the process consent. Failure
by any member of the Board to abide by the requirements of confidentiality
may be grounds for removal from the Board of Ethics by the City of
Oneonta Common Council. The Board of Ethics, in its discretion, may
grant requests for an extension to any party of the time required
to take an action during the process for reviewing alleged violations.
In the event the complainant withdraws the complaint, the Board of
Ethics reserves the right to proceed to consider the circumstances
in the interest of the City of Oneonta. All forms referred to are
available on the City's website (www.oneonta.ny.us) or by request
from the City Clerk's office.
C.
Advisory opinions. Advisory opinions shall be requested in writing
and only regarding the requestor's own conduct or obligations
under the City's Ethics Law. Any request for an advisory opinion
regarding the conduct or obligations of another person will not be
acted on. A requestor shall submit a written request to the City Clerk's
Office using the form provided by the Board of Ethics. If expedited
review is needed, the requestor shall indicate on the form.
D.
Violations of Ethics Law by filing a complaint. Any individual may
file a complaint alleging a violation of the City's Ethics Law
only against an officer, employee or appointed official of the City
of Oneonta by submitting a written complaint using the form provided
by the Board of Ethics which includes:
(1)
The full name and address of the complainant; and
(2)
The full name, address and any other contact information if known
of the respondent; and
(3)
A concise statement of the facts which clearly and accurately describes
the allegations against the respondent. Whenever possible, the complainant
shall identify the specific principle violated and any witnesses;
and
(4)
The complaint must be signed by the complainant and sent certified
mail or delivered to the City of Oneonta, Attn: City Clerk's
Office, 258 Main Street, Oneonta, NY, 13820. No action will be taken
on anonymous complaints.
E.
The City Clerk will review the complaint to determine whether it
is complete. If any of the required information is missing, the City
Clerk will contact the complainant within five business days of receiving
the complaint to obtain the missing information. If the missing information
is not provided within 90 days, the complaint will be deemed withdrawn.
Once the complaint is complete, the City Clerk will send the Board
of Ethics and the City Attorney a copy of the complaint via email.
F.
Handling of the filed complaint. If the complaint has been filed
in the proper form, the City Clerk, within five business days, will
acknowledge receipt of the complaint in writing via certified mail
to the complainant. The Board of Ethics shall convene within 30 calendar
days of the receipt of the fully completed complaint. The purpose
of this meeting will be to determine if the complaint alleges an action
or inaction that, if the allegations are true, might constitute a
violation of the City's Ethics Law and that at least one person
or entity accused of a violation is covered by the City's Ethics
Law. If the Board of Ethics determines that no such action or inaction
has been alleged or that no one accused is covered by the Ethics Law,
then it will dismiss the complaint. The City Attorney may obtain additional
information and documents needed to assist the Board of Ethics in
its consideration of the complaint. The Board of Ethics will notify
the complainant in writing by certified mail and first-class mail
within five business days of its determination. If the complaint is
further investigated or if the complaint has been dismissed, a detailed
statement of the reasons for the action taken will be included. If
the determination is made to further investigate, the respondent shall
be sent a copy of the complaint. The respondent will have 10 business
days from the date of the mailing to respond in writing to the complaint
and to advise whether the respondent wishes to request a hearing on
the complaint. Responses shall be filed with the City Clerk. If the
respondent does not respond within the time period or within any extension
granted, the Board of Ethics shall conduct such additional investigation
as it deems appropriate and shall make findings and a determination
based on the authority of the City Ethics Law. If the respondent does
not respond to the Board of Ethics, the Board of Ethics may make findings
of fact based on the allegations of the complaint and all other information
provided to the Board of Ethics. At any time, the Board of Ethics
may refer any allegations to the City Attorney.
G.
Hearing procedure. The hearing/investigation shall be held at a time
and place reasonably convenient to the respondent, complainant, and
the Board of Ethics. The complainant and respondent shall be given
30 calendar days' notice of the time, date, and location of the
hearing in writing via certified mail and first-class mail. The complainant
and respondent also shall be notified of their rights in relation
to the hearing. These rights include:
(1)
The right to be present and to present evidence.
(2)
The right to have witnesses present. Notification to witnesses and
obtaining their attendance at a hearing is the obligation of the party
to call the witnesses.
(3)
The right to be represented by counsel at one's own expense.
(4)
The right to file a written statement from a witness in lieu of appearing
at the hearing. The witness statement will be considered as the Board
of Ethics deems appropriate.
(5)
The right to be notified of the outcome of the hearing process and
to be notified of the disposition of the complaint.
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The hearing/investigation shall be conducted and moderated by
the Board of Ethics along with the advice of the legal counsel to
the Board of Ethics. Hearing/Investigation Policy: All written materials
and other records related to the complaint shall be maintained by
the City Clerk. All records shall remain confidential, subject only
to the requirements of the New York State Freedom of Information Law.
Failure of the complainant to appear or participate in the hearing
may result in the dismissal of the complaint. The Board of Ethics
may invite additional people to the hearings. The Board of Ethics
may also subpoena any person to attend a hearing, having received
prior authorization from the City of Oneonta Common Council to do
so.
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H.
Disposition. The Board of Ethics may:
I.
Appeals. Any party may challenge a determination of the Board of
Ethics by filing a proceeding under Article 78 of the Civil Actions
and Proceedings Law and Rules within the time periods specified by
that Article. Disqualifications: If a complaint contains an allegation
against any member of the Board of Ethics or legal counsel to the
Board of Ethics, such person shall be prohibited from taking any action
on the complaint. The City Clerk shall notify the Mayor and Common
Council that an Ethics Board member or legal counsel are prohibited
from acting on a complaint and the Mayor, with Common Council approval,
shall appoint, on a temporary basis, a person to serve as an Ethics
Board member only for purposes of reviewing and determining the complaint
in question. If legal counsel shall be prohibited from acting on a
complaint, the Mayor, with Common Council approval, shall obtain other
counsel to represent the Board of Ethics only for the complaint in
question.
Nothing herein shall be deemed to bar or prevent the timely
filing by a present or former municipal officer or employee of any
claim, account, demand or suit against the City of Oneonta, New York,
or any agency thereof, on behalf of himself or any member of his family
arising out of any personal injury or property damage or for any lawful
benefit authorized or permitted by law.
