[Adopted 12-18-1990 by L.L. No. 7-1990]
The purpose of this article is to:
A.
Promulgate a form of annual statement of financial
disclosure which is designed to assure disclosure by certain municipal
officers and employees and to assure disclosure by elected officials
of such financial information as is determined by this Town Board.
B.
Continue the use of an authorized form of annual statement
of financial disclosure in use on the date such article is adopted.
C.
Designate the Board of Ethics of the Town of Greece
as the Board to receive and review such filing.
This article is being enacted pursuant to § 811,
Subdivision 1, and § 812, Subdivision 3, of the General
Municipal Law and any other applicable section of the General Municipal
Law of the State of New York and is enacted pursuant to the authority
granted therein by the State of New York to the Town of Greece.
As used in this article, the following terms
shall have the meanings indicated.
An elected official of the Town, except judges or justices
of the unified court system.
The heads (other than local elected officials) of any agency,
department, division, council, board, commission or bureau of the
Town of Greece and their deputies and assistants, and the officers
and employees of the Town, departments, divisions, boards, bureaus,
commissions or councils who hold policymaking positions, as annually
determined by the Town of Greece and set forth in a written instrument
which shall be filed with the Board of Ethics during the month of
February; except that the term "local officer or employee" shall not
mean a judge, justice, officer or employee of the unified court system.
Such individual's spouse, child, stepchild, stepparent or
any person who is a direct descendant of the grandparents of the reporting
individual or of the reporting individual's spouse.
The husband or wife of the reporting individual unless living
separate and apart from the reporting individual 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 reporting
individual.
[Amended 4-21-2009 by L.L. No. 1-2009]
The Town of Greece recognizes that matters of
finance do exist which are so personal in nature and are so unrelated
to the performance of public employees' duties that no useful purpose
can be served by such disclosure. Nonetheless, certain financial information
may be relevant to a public official or employee's duties and impact
the integrity of the Town government. To that extent:
A.
The following Town officers and elected officials
shall file with the Board of Ethics of the Town of Greece annually,
on or before February 28 of every year following the enactment of
this article during the term of their office, a statement of their
financial holdings, assets, liabilities and net worth. The time for
filing such statement may be extended, pursuant to the rules of the
Board of Ethics, for justifiable cause and for undue hardship upon
application to the Board of Ethics pursuant to the rules and regulations
set forth in this article and, if applicable, to §§ 811
and 812 of the General Municipal Law of the State of New York:
[Amended 4-21-2009 by L.L. No. 1-2009]
(1)
The Town Attorney, Deputy Town Attorney and Assistant
Town Attorney.
(2)
The Town Engineer and Deputy Town Engineer.
(3)
The Director of the Department of Development Services
and any Deputy Director of Development Services.
(4)
The Chief of Police and any Deputy(s) Chief of Police.
(5)
The Director of Public Safety and any deputies to
the Director of Public Safety.
(6)
The Building Inspector and any Deputy Building Inspector.
(7)
The Code Enforcement Official.
(8)
The Director of Technical Services and any deputies.
(9)
The Highway Superintendent and/or Commissioner of
Public Works, Deputy Highway Superintendent and/or Deputy Commissioner
of Public Works.
(10)
The Deputy Supervisor.
(11)
Director of Constituent and Human Services.
(12)
The Director of Finance and any Deputy Director
of Finance.
(13)
The Town Clerk and Deputy Town Clerk.
(14)
The Town Assessor and Deputy Town Assessor.
(15)
The Director of Personnel and any Deputy Director
of Personnel.
(16)
The Library Director and any Deputy Library
Director.
(17)
The Fire Marshal and Deputy Fire Marshal.
(18)
The Clerk to the Town Justice and Deputy Clerk
to the Town Justice.
(19)
All Planning Board members.
(20)
All Board of Zoning Appeals members.
(21)
All Library Board members.
(22)
All Environmental Board members.
(23)
All Board of Assessment Review members.
(24)
Any local officer or employee the Town Board
from time to time decides is a policy maker or involved in negotiations,
authorization or approval of any matters listed in the General Municipal
Law § 813, Subdivision 9K(i) through (iv).[1]
[1]
Editor's Note: Section 813 of the General
Municipal Law expired 12-31-1992.
(26)
The Chief Court Clerk.
The Board of Ethics shall have the following
powers and duties:
A.
To Adopt, amend and rescind rules and regulations
to govern procedures of the Board of Ethics, which shall include,
but not be limited to, the procedure whereby a person who is required
to file an annual financial disclosure statement with the Board of
Ethics may request an additional period of time within which to file
such statement, due to justifiable cause or undue hardship; such rules
and regulations shall provide for a date beyond which in all cases
of justifiable cause or undue hardship no further extension of time
will be granted. The Board of Ethics may utilize or modify such rules
and regulations or adopt separate rules and regulations for the purposes
of Subdivision 1(d) of § 811 of the General Municipal Law.
B.
To promulgate guidelines to assist the Town Board
in determining which persons hold policy-making positions for purposes
of §§ 811 and 812, Subdivision 3, of the General Municipal
Law and this article.
C.
To make available forms for annual statements of financial
disclosure required to be filed pursuant to this article.
D.
To review completed financial disclosure statements
in accordance with provisions of this article, the rules and regulations
of the Board of Ethics and any local law, ordinance or Code of Ethics
established by the Town Board of the Town of Greece.
E.
To receive complaints alleging a violation of this
article or a violation of the criteria for reporting requirements
established by this article, any Code of Ethics of the Town of Greece,
local law, ordinance or resolution regarding the filing of completed
statements with the Board of Ethics.
F.
To permit any person required to file a financial
disclosure statement to request the Board of Ethics to delete from
the copy thereof made available for public inspection one or more
items of information, which may be deleted by the Board of Ethics,
upon a finding that the information which would otherwise be required
to be disclosed will have no material bearing on the discharge of
the reporting person's official duties. If such request for deletion
is denied, the Board of Ethics, in its notification of denial, shall
inform the person of his right or her right to appeal the Board's
determination pursuant to the rules governing adjudicatory proceedings
and appeals adopted pursuant to this article and any applicable section
of the General Municipal Law. The Board of Ethics shall promulgate
rules and regulations governing the issuance of written decisions
in connection with appeals.
G.
To permit any person required to file a financial
disclosure statement to request an exemption from any requirement
to report one or more items of information which pertain to such person's
spouse or unemancipated children, which item or items may be exempted
by the Board of Ethics upon a finding by the majority of the total
members of the Board of Ethics without vacancy that the reporting
individual's spouse, on his or her own behalf or on behalf of an unemancipated
child, objects to providing the information necessary to make such
disclosure and that the information which would otherwise be required
to be reported will have no material bearing on the discharge of the
reporting person's official duties. If such request for exemption
is denied, the Board of Ethics, in its notification of denial, shall
inform the person of his or her right to appeal the Board of Ethics'
determination pursuant to its rules governing adjudicatory proceedings
and appeals adopted pursuant to this article. The Board of Ethics
shall promulgate rules and regulations governing the issuance of written
decisions in connection with appeals from this section of this article.
H.
To advise and assist any local official in establishing
rules and regulations relating to possible conflicts between private
interests and official duties of present or former elected officials,
local party officials and local officers and employees.
I.
To permit any person who has not been determined by
the Town Board to hold a policy-making position but who is otherwise
required to file a financial disclosure statement to request an exemption
from such requirement in accordance with the rules and regulations
governing such exemptions. Such rules and regulations shall provide
for exemptions to be granted either on the application of the individual
or on behalf of persons who share the same job title or employment
classification which the Board of Ethics deems to be comparable for
purposes of this section. Such rules and regulations may permit the
granting of an exemption where, in the discretion of the Board of
Ethics, the public interest does not require disclosure and the applicant's
duties do not involve the negotiation, authorization or approval of:
(1)
Contracts, leases, franchises, revocable consents,
concessions, variances, special permits or licenses as defined in
§ 73 of the Public Officers Law;
(2)
The purchase, sale, rental or lease of real property,
goods or services, or a contract therefor;
(3)
The obtaining of grants of money or loans; or
(4)
The adoption or repeal of any rule or regulation having
the force and effect of law.
J.
To prepare an annual report to the Supervisor and
the Town Board summarizing the activities of the Board of Ethics and
recommending changes in the laws governing the conduct of local elected
officials and officers and employees of the Town covered by this article.
K.
To act as a repository for completed financial disclosure
forms filed pursuant to this article.
L.
Upon certification of a question by the Town Board
to the Board of Ethics, to determine a question common to a class
or defined category of persons or items of information required to
be disclosed, where determination of the question will prevent undue
repetition of requests for exemption or deletion or prevent undue
complication in complying with the requirements of this article.
M.
To inspect all financial disclosure statements filed
with the Board of Ethics to ascertain whether any person subject to
the reporting requirements of this article, the Code of Ethics or
any local law, ordinance or resolution has failed to file such a statement,
has filed a deficient statement, or has filed a statement which reveals
a possible violation of this article, the Code of Ethics or any law,
ordinance or resolution of the Town of Greece.
N.
To enforce such filing requirements, including the
authority to promulgate rules and regulations of the same import as
those which the temporary state commission on local government ethics
enjoys under § 813 of the General Municipal Law.[1] The Board of Ethics shall be authorized to review requests
for exceptions with respect to complying with timely filing of such
disclosure statements due to justifiable cause or undue hardship.
[1]
Editor's Note: General Municipal Law § 813
expired 12-31-1992.
If a person required to file a financial disclosure
statement with the Board of Ethics has failed to file a disclosure
statement or has filed a deficient statement, the Board of Ethics
shall notify the reporting person, in writing, state the failure to
file or detail the deficiency, provide the person with a fifteen-day
period to cure the deficiency and advise the person of the penalties
for failure to comply with the reporting requirements. Such notice
shall be confidential. If the person fails to make such filing or
fails to cure the deficiency within the specified time period, the
Board of Ethics shall send a notice of delinquency to the reporting
person and to the appointing authority for such person.
A.
If a reporting person has filed a statement which
reveals a possible violation of the duly adopted Code of Ethics of
the Town of Greece or any local law, ordinance or resolution, or the
Board of Ethics receives a sworn complaint alleging such a violation,
or if the Board of Ethics determines on its own initiative to investigate
a possible violation, the Board of Ethics shall notify the reporting
person, in writing, describe the possible or alleged violation of
such Code of Ethics, local law, ordinance or resolution or this article
and provide the person with a fifteen-day period in which to submit
a written response setting forth information relating to the activities
cited as a possible or alleged violation of law. If the Board of Ethics
thereafter makes a determination that further inquiry is justified,
it shall give the reporting person an opportunity to be heard. The
Board shall also inform the reporting individual of its rules regarding
the conduct of adjudicatory proceedings and appeals and the due process
procedural mechanisms available to such individual. If the Board determines
at any stage of the proceeding that there is no violation or that
any potential conflict of interest violation has been rectified, it
shall so advise the reporting person and the complainant, if any.
All of the foregoing proceedings shall be confidential.
B.
If the Board determines that there is reasonable cause
to believe that a violation has occurred, it shall send a notice of
reasonable cause to the reporting person, to the complainant, if any,
and to the Town Board of the Town of Greece.
A reporting individual who knowingly and wilfully
fails to file an annual statement of financial disclosure or who knowingly
and wilfully with intent to deceive makes a false statement or gives
information which such individual knows to be false on such statement
of financial disclosure filed pursuant to this article shall be assessed
a civil penalty in any amount not to exceed $10,000. Assessment of
a civil penalty hereunder shall be made by the Board of Ethics with
respect to the persons subject to its jurisdiction. For a violation
of this section, other than for conduct which constitutes a violation
of Subdivision 12 of § 73 of the Public Officers Law, the
Board of Ethics may, in lieu of a civil penalty, refer a violation
to the appropriate prosecutor, and, upon such conviction, but only
after such referral, such violation shall be punishable as a class
A misdemeanor. A civil penalty for false filing may not be imposed
hereunder in the event that a category of value or amount reported
hereunder is incorrect unless such reported information is falsely
understated. Notwithstanding any other provision of law to the contrary,
no other penalty, civil or criminal, may be imposed for a failure
to file, or for a false filing, of such statement, except that the
Town Board of the Town of Greece may impose disciplinary action as
otherwise provided by law. The Board of Ethics shall be deemed to
be an agency within the meaning of Article 3 of the State Administrative
Procedure Act and shall adopt rules governing the conduct of adjudicatory
proceedings and appeals taken pursuant to a proceeding commenced under
Article 78 of the Civil Practice Law and Rules relating to the assessment
of civil penalties herein authorized, and Board of Ethics denials
of requests for certain deletions or exemptions to be made from a
financial disclosure statement as authorized by this article. Such
rules, which shall not be subject to the approval requirements of
the State Administrative Procedure Act, shall provide for due process
procedural mechanism substantially similar to those set forth in such
Article 3, but such mechanisms need not be identical in terms or scope.
Assessment of a civil penalty or Board of Ethics denial of such request
shall be final unless modified, suspended or vacated within 30 days
of imposition, with respect to the assessment of such penalty, or
unless such denial of request is reversed within such time period,
and upon becoming final shall be subject to review at the instance
of the affected reporting individuals in a proceeding commenced against
the Board of Ethics pursuant to Article 78 of the Civil Practice Law
and Rules.
A copy of any notice of delinquency or notice
of reasonable cause sent pursuant to this article shall be included
in the reporting person's file and be available for public inspection.
Upon written request from any person who is
subject to the jurisdiction of the Board of Ethics, the Board of Ethics
shall render advisory opinions on the requirements of said provisions.
An opinion rendered by the Board of Ethics, until and unless amended
or revoked, shall be binding on the Board of Ethics in any subsequent
proceeding concerning the person who requested the opinion and who
acted in good faith, unless material facts were omitted or misstated
by the person in the request for an opinion. Such opinion may also
be relied upon by such person, and may be introduced and shall be
a defense, in any criminal or civil action. Such requests shall be
confidential, but the Board of Ethics may publish such opinions, provided
that the name of the requesting person and other identifying details
shall not be included in the publication.
In addition to any other powers and duties specified
by this article, the Board of Ethics shall have the power and duty
to:
A.
Administer and enforce all the provisions of this
article.
B.
Conduct any investigation necessary to carry out the
provisions of this article. Pursuant to this power and duty, the Board
may administer oaths or affirmations, subpoena witnesses, compel their
attendance and require the production of any books or records which
it may deem relevant or material.
A.
Notwithstanding the provisions of Article 6 of the
Public Officers Law, the only records of the Board of Ethics which
shall be available for public inspection are:
B.
Notwithstanding the provisions of Article 7 of the
Public Officers Law, no meeting or proceeding of the Board of Ethics
shall be open to the public, except if expressly provided otherwise
by the Board of Ethics.
Members of the Board of Ethics shall not receive
compensation but shall be reimbursed for reasonable expenses incurred
in the performance of their official duties.
The Board of Ethics shall be empowered to request
a support staff and assistance from the Town Board or Supervisor in
furtherance of its duties and responsibilities.
[Amended 8-17-2010 by L.L. No. 3-2010]
Upon the adoption of this article, the Town
Supervisor shall cause a copy thereof to be distributed to every Town
officer or employee of this Town. Failure to distribute such copy
or failure of any Town officer or employee to receive a copy shall
have no effect on the duty of compliance with this article, nor the
enforcement of the provisions hereof. The Town Supervisor shall further
cause a copy of this article to be kept posted conspicuously in each
public building under the jurisdiction of the Town. Failure to so
post this article shall have no effect on the duty of compliance herewith,
nor of enforcement of provisions hereof.
The Town Board may appropriate moneys from the
general Town funds for the maintenance of and for personal services
to the Board of Ethics established hereunder, but such Board of Ethics
may not commit expenditures of Town moneys except within the appropriations
provided herein.
[1]
Editor's Note: Former § 12-27, Filing,
was deleted 4-21-2009 by L.L. No. 1-2009.
