[HISTORY: Adopted by the Town Board of the
Town of Rhinebeck 6-28-2010 by L.L. No. 2-2010. Amendments noted where
applicable.][1]
Pursuant to the provisions of § 806 of the General
Municipal Law, the State of New York recognizes that there are rules
of ethical conduct for public officers 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 and employees of the Town of Rhinebeck (hereafter,
the "Town"). These rules shall serve as a guide for official conduct
of the officers and employees of the Town. 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 the ethical conduct
and interest in contracts of municipal officers and employees.
To the extent this chapter is inconsistent with the provisions
of § 808 of the General Municipal Law, this chapter shall
supersede those provisions. This chapter shall replace and repeal
the existing Code of Ethics for Town of Rhinebeck officers and employees
in its entirety.
A.
General prohibition. An officer or employee shall not use his or
her official position or office, or take or fail to take any action,
in a manner which he or she knows or has reason to know may result
in a personal financial benefit for any of the following persons:
(1)
The officer or employee;
(2)
His or her outside employer or business;
(3)
A member of his or her household;
(4)
A customer or client;
(5)
A relative; or
(6)
A person from whom the officer or employee has received election
campaign contributions of more than $1,000 in the aggregate during
the past 12 months.
B.
Recusal. An officer or employee shall promptly recuse himself from formally or informally acting on any matter before the Town if the officer or employee's involvement is prohibited pursuant to Subsection A hereof.
C.
Gifts. An officer or employee shall not solicit anything of value
from any person who has received or sought a benefit from the Town,
nor accept anything of value from any person who the officer or employee
knows or has reason to know has received or sought a benefit from
the Town, within the previous 24 months.
D.
Representation. An officer or employee shall not represent any other
person in any matter that person has before the Town nor represent
any other person in any matter against the interests of the Town.
E.
Appearances. An officer or employee shall not appear before any agency
of the Town except on behalf of himself or herself, an immediate family
member, or on behalf of the Town.
F.
Confidential information. Officers and employees and former officers
and employees shall not disclose any confidential information acquired
in the course of their official duties or use it to further a personal
interest. No officer or employee or former officers and employees
may accept employment or engage in business or professional activity
that the officer or employee might reasonably expect would require
or induce him or her by reason of his or her official position, to
disclose confidential information acquired by reason of his or her
official position.
G.
Political solicitation. An officer or employee shall not knowingly
request or knowingly authorize anyone else to request any subordinate
of the officer or employee to participate in an election campaign
or contribute to a political committee.
H.
Revolving door. An officer or employee shall not appear or practice
before the Town, except on his or her own behalf, or receive compensation
for working on any matter before the Town for a period of one year
after the termination of his or her Town service or employment. However,
the bar shall be permanent as to particular matters on which the officer
or employee personally worked while in the Town's service.
I.
Avoidance of conflicts. Officers and employees shall not knowingly
acquire, solicit, negotiate for, or accept any interest, employment,
or other thing of value which would put them in violation of this
Code of Ethics.
J.
Inducement of others. An officer or employee shall not induce or
aid another officer or employee to violate any of the provisions of
this Code of Ethics.
A.
Whenever an officer or employee is required to recuse himself or herself under the Code of Ethics set forth in § 17-3 of this chapter, he or she:
(1)
Shall immediately refrain from participating further in the matter;
(2)
Shall promptly inform his or her superior, if any; and
(3)
Shall promptly file with the Town of Rhinebeck Clerk a signed statement
disclosing the nature and extent of the prohibited action or, if a
member of any board, shall state that information upon the public
record of such board.
B.
The Town Clerk shall cause a copy of that disclosure to be filed
promptly with the Ethics Board.
The provisions of §§ 17-3 and 17-4 of this chapter shall not prohibit or require recusal or transactional disclosure as a result of:
A.
An action specifically authorized by statute, rule, or regulation
of the State of New York or of the United States.
B.
A ministerial act.
C.
Gifts:
(1)
Received by the officer or employee from an immediate family member;
or
(2)
Having an aggregate value of $75 or less during any twelve-month
period from all sources or individuals; or
(3)
Accepted on behalf of the Town of Rhinebeck and transferred to the
Town of Rhinebeck.
(4)
No actual cash payments.
D.
Awards from charitable organizations.
E.
Receipt of Town of Rhinebeck services or benefits, or use of Town
of Rhinebeck facilities, that are generally available on the same
terms and conditions to residents or a class of residents in the Town
of Rhinebeck.
F.
Representation of constituents by elected officials without compensation
in the proper discharge of official duties.
G.
Officers or employees appearing or practicing before the Town or
receiving compensation for working on a matter before the Town after
termination of their Town service or employment where they performed
only ministerial acts while working for the Town.
A.
Prohibited interests. No officer or employee, or spouse of same officer
or employee, shall have an interest in any contract with the Town,
or an interest in a bank or trust company, that is prohibited by § 801
of the General Municipal Law of the State of New York. Any contract
willfully entered into by or with the Town in which there is an interest
prohibited by that section shall be null, void, and wholly unenforceable
to the extent provided by § 804 of that law.
B.
Disclosable interests. Any officer or employee, or his or her spouse,
who has or has reasonable expectation that he or she will have an
interest in any actual or proposed contract with the Town shall publicly
disclose the nature and extent of that interest in accordance with
§ 803 of the General Municipal Law. The Town Clerk shall
cause a copy of that disclosure to be filed promptly with the Ethics
Board.
C.
Violations. Any officer or employee who willfully and knowingly violates
the provisions of this section shall be guilty of a Class A misdemeanor,
punishable by imprisonment of greater than 15 days or $1,000, to the
extent provided by § 805 of the General Municipal Law.
D.
Exceptions. Officers or employees may avail themselves of exceptions
to this section afforded by § 802 of the General Municipal
Law.
Unless otherwise stated or unless the context otherwise requires,
when used in this chapter, the following terms shall have the meanings
indicated:
Communicating in any form, whether personally or through
another person.
Any person to whom an officer or employee has supplied goods
or services during the previous 24 months having, in the aggregate,
a value greater than $1,000; or
Any person to whom an officer's or employee's outside
business has supplied goods or services during the previous 24 months
having, in the aggregate, a value greater than $1,000, but only if
the officer or employee knows or has reason to know the outside business
supplied the goods or services.
The Ethics Board of the Town of Rhinebeck established pursuant to § 17-18 of this chapter.
Any pecuniary or material benefit derived by oneself or an
immediate family member, including, without limitation, any money,
service, license, permit, contract, authorization, loan, travel, entertainment,
hospitality, or any promise thereof, or any other gratuity or promise
thereof or anything of value in excess of $75. A financial transaction
may be a financial benefit but shall not be a gift unless it is on
terms not available to the general public.
Parent, spouse, minor child, or sibling.
An action performed in a prescribed manner without exercise
of judgment or discretion as to the propriety of the act.
Any officer or employee of the Town of Rhinebeck, whether
paid or unpaid, and includes, without limitation, all members of any
office, board, body, advisory board, council, commission, agency,
department, district, administration, division, bureau, or committee
of the Town. "officer or employee" shall not include:
A judge, justice, officer or employee of the unified court system;
A volunteer firefighter or civil defense volunteer;
A member of an advisory board of the Town of Rhinebeck, but
only if the advisory board has no authority to act on behalf of its
recommendations; or
An outside paid consultant providing professional services to
the Town on an annual or contract basis, such as an engineer, attorney,
planner, or accountant.
Any activity, other than service to the Town of Rhinebeck, from
which the officer or employee receives compensation for services rendered
or goods sold or produced;
Any entity, other than the Town of Rhinebeck, of which the officer
or employee is a member, officer, director, or employee and from which
he or she receives compensation for services rendered or goods sold
or produced; or
Any entity in which the officer or employee has an ownership
interest, except a corporation of which the officer or employee owns
less than 5% of the outstanding stock.
Shall not include the Town Court.
A.
Except as provided in Subsection C of this section, the outside employer or business of an officer or employee shall not appear before the particular agency in which the officer or employee serves or by which he or she is employed.
B.
Except as provided in Subsection C of this section, the outside business of an officer or employee shall not appear before any Town agency or board if the officer or employee has the authority to appoint any officer, employee, or member of the agency or to review, approve, audit or authorize any budget, bill, payment, or claim of such agency or board.
C.
Nothing in this section shall be construed to prohibit the outside
business of an officer or employee from:
A.
Where an officer or employee requests that the Town or any other officer or employee take, or refrain from taking, any action (other than a ministerial act) that may result in a financial benefit to both the requestor and to such official or one of the persons listed in § 17-3A of this chapter, the requestor shall disclose the names of any such persons to the extent known to the requestor at the time of the request.
B.
If the request is made in writing, the disclosure shall accompany
the request. If the request is oral and made at a meeting of a public
body, the disclosure shall be set forth in the public record of the
body. If the request is oral and not made at a meeting of a public
body, the disclosure shall be set forth in a writing filed with the
Town Clerk.
A.
Disclosure. Every application, petition or request 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 zoning
and planning regulations of the Town, shall state the information
required, to the extent required, by § 809 of the General
Municipal Law of the State of New York.
B.
Violations. Any person who willfully and knowingly violates the provisions
of this section shall be guilty of a misdemeanor to the extent provided
by § 809 of the General Municipal Law.
To the extent known, any officer or employee who participates
in a 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.
Any contract or agreement entered into by or with the Town which results in or from a violation of any provisions of §§ 17-3, 17-4 or 17-9 of this chapter shall be void unless ratified by the Town Board. Such ratification shall not affect the imposition of any criminal or civil penalties pursuant to this chapter or any other provision of law.
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 with his or her
official duties.
A.
Disciplinary action. Any officer or employee who engages in any action
that violates any provision of this chapter may be warned or reprimanded
or suspended or removed from office or employment, or be subject to
any other sanction authorized by law or collective bargaining agreement,
by the appointing authority or person or body authorized by law to
impose such sanctions. A warning, reprimand, suspension, removal,
or other authorized sanction may be imposed in addition to any other
penalty contained in this chapter or in any other provision of law.
B.
Civil fine. Any officer or employee who violates any provision of this chapter may be subject to a civil fine of up to $1,500 for each violation. A civil fine may be imposed in addition to any other penalty contained in any other provision of law or in this chapter, other than a civil forfeiture pursuant to Subsection D of this section. A civil fine may not be imposed for a violation of § 17-7 of this chapter.
C.
Damages. Any officer or employee who violates any provision of this chapter shall be liable in damages to the Town for any losses, increased costs, or costs of administration of this chapter incurred by the Town as a result of the violation. Such damages may be imposed in addition to any other penalty contained in any other provision of law or in this chapter, other than a civil forfeiture pursuant to Subsection D of this section.
D.
Civil forfeiture. Any officer or employee who intentionally or knowingly violates any provision of this chapter may be subject to a civil forfeiture to the Town of a sum equal to three times the value of any financial benefit he or she received as a result of the conduct that constituted the violation. A civil forfeiture may be imposed in addition to any other penalty contained in any other provision of law or in this chapter, other than a civil fine pursuant to Subsection B or damages pursuant to Subsection C of this section. Civil forfeiture shall not be available for a violation of § 17-7 of this chapter.
A.
Any officer or employee who intentionally or knowingly violates any provision of this chapter shall be prohibited from entering into any contract with the Town for a period not to exceed three years, as provided in Subsection G of § 17-25 of this chapter. Debarment may not be imposed for a violation of § 17-7 of this chapter. The terms of this § 17-16 shall also apply to any outside business of any officer or employee.
B.
Nothing in this section shall be construed to prohibit any person
from receiving a service or benefit or from using a facility which
is generally available to the public.
C.
Under this section, a corporation, partnership, or other entity shall
not be held vicariously liable for the actions of an employee. A corporation,
partnership, or other entity shall not be debarred because of the
actions of an employee unless the employee acted in the execution
of a company policy or custom or at the direction of a principal,
officer or director of said company or the employee holds a controlling
interest in such corporation, partnership, or other entity. A store,
region, division, or other unit of an entity shall not be debarred
because of the actions of an employee of that unit unless the employee
acted at the direction, or with the actual knowledge or approval,
of the manager of the unit.
A.
Pursuant to the provisions of § 808 of the General Municipal
Law of the State of New York, there is hereby established an Ethics
Board, consisting of five members appointed by the Town Board.
B.
Of the total membership of the Board, no more than two shall be registered
in the same political party.
C.
All Ethics Board members shall reside within the Town.
D.
No Ethics Board member shall be an officer in a political party.
No Ethics Board member shall be employed or act as a lobbyist in the
Town of Rhinebeck. An Ethics Board member may make campaign contributions
but may not participate in any election campaign.
E.
Within 60 days after the effective date of this chapter, and no later
than December 31 each year thereafter, the Town Board shall appoint
the members of the Ethics Board.
F.
The term of office of Ethics Board members shall be three years and
shall run from January 1 through December 31, except that of the members
first appointed, one member shall serve until December 31 of the year
in which the Board is established, two shall serve until the second
December 31, and two shall serve until the third December 31.
G.
Consecutive service on the Board shall not exceed two full terms.
H.
The members of the Ethics Board shall not receive compensation.
I.
The Attorney to the Town shall serve as counsel to the Ethics Board
except in any matter where the Attorney determines he or she is not
able to serve the Ethics Board due to a conflict of interest. In such
event, the Ethics Board may retain separate counsel of its choosing,
or if a conflict attorney has been appointed by the Town Board, the
Ethics Board shall retain such conflict attorney if the advice of
counsel is sought.
J.
The Town Board may appropriate monies for the maintenance and personal
services connected with the Ethics Board.
When a vacancy occurs in the membership of the Ethics Board, the vacancy shall, within 60 days, be filled for the unexpired portion of the term in the same manner as the original appointment. Any person appointed to fill a vacancy on the Ethics Board shall meet the qualifications set forth in § 17-18 of this chapter.
Pursuant to General Municipal Law § 808, members of the Ethics Board shall serve at the pleasure of the Town Board. An Ethics Board member may be removed from office in the same manner in which he or she was appointed after written notice and opportunity for reply. Grounds for removal shall be failure to meet the qualifications set forth in § 17-18 of this chapter, substantial neglect of duty, gross misconduct in office, inability to discharge the powers or duties of office, or violation of this chapter.
At its first meeting each year, the Ethics Board shall elect
a Chair, and may elect a Deputy Chair, from among its members. A majority
of the Board shall be required for the Board to take any action. The
Chair or a majority of the Board may call a meeting of the Board.
A.
The Ethics Board may only act with respect to officers and employees
of the Town.
B.
The termination of an officer's or employee's term of office
or employment with the Town shall not affect the jurisdiction of the
Ethics Board with respect to the requirements imposed on him or her
by this chapter.
C.
The Ethics Board shall have the following powers and duties:
(1)
To prescribe and promulgate rules and regulations governing its own
internal organization and procedures in the manner consistent with
this chapter;
(4)
To conduct hearings, recommend disciplinary action, assess penalties, make referrals, and initiate appropriate actions and proceedings pursuant to § 17-25;
(6)
To provide training and education to Town of Rhinebeck officers and employees pursuant to § 17-27;
(8)
The Ethics Board shall prepare and submit an annual report to the
Town Board, summarizing the activities of the Board. The report may
also recommend changes to the text or administration of this chapter.
The Ethics Board shall review all transactional disclosure statements.
If the Board determines that a disclosure statement is deficient or
reveals a possible or potential violation of this chapter, the Board
shall notify the person in writing of the deficiency and possible
or potential violation and of the penalties for failure to comply
with this chapter.
A.
Upon receipt of a sworn complaint by any person alleging a violation
of this chapter, or upon determining on its own initiative that a
violation of this chapter may exist, the Ethics Board shall have the
power and duty to conduct any investigation necessary to carry out
the provisions of this chapter. In conducting any such investigation,
the Ethics 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 and material.
B.
The Ethics Board shall state, in writing, the disposition of every
sworn complaint it receives and of every investigation it conducts
and shall set forth the reasons for the disposition. All such statements
and all sworn complaints shall be indexed and maintained on file by
the Board.
C.
Any person filing a sworn complaint with the Ethics Board shall be
notified in writing of the disposition of the complaint.
D.
Nothing in this section shall be construed to permit the Ethics Board
to conduct an investigation of itself or of any of its members or
staff. If the Ethics Board receives a complaint alleging that the
Board or any of its members or staff has violated any provision of
this chapter or any other law, the Board shall promptly transmit a
copy of such complaint to the Town Clerk and Town Board.
A.
Conduct of hearings. Except in the case of a conflict of interest,
the Chair of the Ethics Board shall preside over any hearing as Hearing
Officer. If the Chair has a conflict of interest that may impair his
or her ability to fairly conduct the hearing, the Chair shall recuse
himself or herself and the Deputy Chair, if there be one, shall preside
for that matter. In the event a Deputy Chair has not been appointed,
an alternate member of the Ethics Board shall be chosen, by majority
vote of the remaining members of the Ethics Board, to preside for
that matter. The Hearing Officer shall have the power and authority
of presiding officers or hearing officers as defined by the State
Administrative Procedure Act (SAPA) and any other pertinent statute,
local law, ordinance or resolution and regulations promulgated therefrom.
B.
Findings of fact. Within 30 days following the close of a hearing,
the Ethics Board shall issue findings of fact, and a determination
based on same, recommending an appropriate penalty or civil fine to
be assessed or any other action the Ethics Board deems appropriate
pursuant to this chapter.
C.
Disciplinary action. In its discretion, after a hearing providing for due process procedural mechanisms and subject to any applicable provisions of law and collective bargaining agreements, the Ethics Board may recommend that the Town Board take appropriate disciplinary action pursuant to Subsection A of § 17-15 of this chapter. The Ethics Board shall conduct and complete the hearing with reasonable promptness unless, in its discretion, the Ethics Board refers the matter to the Town Board or to the appropriate prosecutor if it determines that criminal charges may be appropriate. If such a referral is made, the Ethics Board may adjourn the matter pending determination by the Town Board or prosecutor.
D.
Civil fine. In its discretion and after a hearing providing for due
process procedural mechanisms, the Ethics Board may assess a civil
fine, not to exceed $1,500 for each violation, upon any officer or
employee found by the Ethics Board to have violated this chapter.
The Ethics Board shall conduct and complete the hearing with reasonable
promptness. The civil fine shall be payable to the Town of Rhinebeck.
G.
Debarment. Upon the recommendation of the Ethics Board, the Town Board may initiate an action or special proceeding, as appropriate, in a court of appropriate jurisdiction, for an order of debarment, as provided in § 17-16 of this chapter.
H.
Prosecutions. The Ethics Board may refer possible criminal violations
under this chapter to the appropriate prosecutor. Nothing contained
in this chapter shall be construed to restrict the authority of any
prosecutor to prosecute any violation of this chapter or of any other
law.
I.
Judicial review. Any person aggrieved by any action of the Ethics
Board or Town Board under this chapter may seek judicial review and
relief pursuant to Article 78 of the Civil Practice Law and Rules
of the State of New York.
A.
The Ethics Board may render written advisory opinions with respect
to the interpretation or application of this chapter or of Article
18 of the General Municipal Law of the State of New York upon the
written request of any member of the Town Board or of the Town Supervisor.
Any other person may similarly request an advisory opinion, but only
with respect to whether his or her own action might violate a provision
of this chapter or Article 18.
B.
Advisory opinions and requests for advisory opinions shall be indexed
and maintained on file by the Ethics Board.
C.
The Ethics Board shall diligently resolve any request that is appropriately
filed pursuant to this section.
The Ethics Board shall make information concerning this chapter
and Article 18 of the General Municipal Law available to the officers
and employees of the Town, to the public, and to persons interested
in doing business with the Town.
A.
The only records of the Ethics Board which shall be available for
public inspection are those whose disclosure is required by Article
6 of the Public officers Law of the State of New York or by some other
law or regulation.
B.
No meeting or proceeding of the Ethics Board concerning misconduct,
nonfeasance, or neglect in office by an officer or employee shall
be open to the public except upon the request of the accused officer
or employee or as required by the provisions of Article 7 of the Public
officers Law or by some other state or federal law or regulation.
A.
No existing right or remedy shall be lost, impaired, or affected
by reason of this chapter.
B.
If any provision of this chapter is held by a court of competent
jurisdiction to be invalid, that decision shall not affect the validity
and effectiveness of its remaining provisions.
C.
This chapter shall take effect immediately upon filing in the office
of the Secretary of State and in compliance with all applicable provisions
of law.
D.
All gender references herein are for convenience only and shall in
every instance be read as including individuals of both genders.
E.
All references to the singular or plural contained herein shall be
read to include the other.
If any part of this chapter is declared to be invalid by any
court of competent jurisdiction, such decision shall not affect or
impair the validity of said chapter as a whole or any other part of
said chapter. The Town Board hereby declares that it would have adopted
this chapter and each part thereof irrespective of the fact that any
one or more of the parts may be declared invalid.
This chapter is intended to supersede, repeal and annul the provisions of Chapter 17 of the Town of Rhinebeck Code, adopted 12-9-1970 and amended thereafter.
