[HISTORY: Adopted by the Common Council of
the City of Middletown 9-27-1999 by L.L. No. 1-1999 (Ch. 30 of the 1971
Code). Amendments noted where applicable.]
Pursuant to the provisions of § 806
of the General Municipal Law, the Common Council of the City of Middletown
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 officers and employees
of the City of Middletown. These rules shall serve as a guide for
official conduct of the officers and employees of the City of Middletown.
The rules of ethical conduct of this chapter, as adopted, shall not
conflict with, but shall be in addition to, any prohibition of Chapter
24, 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.
A.
INTEREST
(1)
(2)
(3)
(4)
MUNICIPAL OFFICER OR EMPLOYEE
As used in this chapter, the following terms shall
have the meanings indicated:
A pecuniary or material benefit accruing to a municipal officer
or employee, or a pecuniary or material benefit accruing to:
The municipal officer's or employee's spouse,
minor children and dependents;
A firm, partnership or association of which
such officer or employee is a member, owner or employee;
A corporation or limited liability company of
which such officer or employee is an officer, director, member or
employee; and
A corporation or limited liability company any
stock or ownership interest of which is accrued or controlled directly
or indirectly by such officer or employee.
An officer or employee of the City of Middletown, whether
paid or unpaid, including members of any administrative board, commission
or other agency thereof. No person shall be deemed to be a municipal
officer or employee solely by reason of being a volunteer fireman
or civil defense volunteer, except a fire chief or assistant fire
chief. No person shall be deemed to be a municipal officer or employee
solely by reason of being a seasonal part-time employee.
[Amended 4-23-2007 by L.L. No. 1-2007; 10-20-2020 by L.L. No.
4-2020]
B.
The use of the masculine shall be deemed to mean the
feminine, and the use of the singular shall be deemed to mean the
plural, as the individual case may require or as the same may be appropriate.
Every officer or employee of the City of Middletown
shall be subject to and abide by the following standards of conduct:
A.
Gifts. He shall not directly or indirectly solicit
any gift, or accept or receive any gift having a value of $75 or more,
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 him, or could reasonably be expected to influence him,
in the performance of his official duties or was intended as a reward
for any official action on his part.
B.
Confidential information. He shall not disclose confidential
information acquired by him in the course of his official duties or
use such information to further his personal interest.
C.
Representation before one's own board or agency. He
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 board or agency of which he is an officer, member
or employee or of any municipal board or agency over which he has
jurisdiction or to which he has the power to appoint any member, officer
or employee.
D.
Representation before any board or agency for a contingent
fee. He 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 board or agency of his municipality whereby
his compensation is to be dependent or contingent upon any action
by such board or 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 he knows thereof, a member of the Common Council and any officer
or employee of the City of Middletown, 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 he has in such legislation.
F.
Investments in conflict with official duties. He shall
not invest or hold any investment, directly or indirectly, in any
financial, business, commercial or other private transaction which
creates a conflict with his official duties.
G.
Private employment. He 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 his official duties.
H.
Future employment. He shall not, after the termination
of service or employment with such municipality, appear before any
board or agency of the City of Middletown in relation to any case,
proceeding or application in which he personally participated during
the period of his service or employment or which was under his active
consideration.
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 Middletown,
or any board or 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 right or benefit authorized or permitted by law.
[Amended 4-23-2007 by L.L. No. 1-2007; 1-7-2008]
The Mayor of the City of Middletown shall cause
a copy of this Code of Ethics to be distributed to every officer and
employee of the City of Middletown within 30 days after the effective
date of this chapter. Each officer and employee elected or appointed
thereafter shall be furnished a copy before entering upon the duties
of his office or employment. Each recipient shall sign a certificate
acknowledging his receipt of said Code of Ethics, which certificate
shall be filed with the City Clerk. Failure to distribute any such
copy or failure of any officer or employee to receive such copy shall
have no effect on the duty of compliance with such code, nor the enforcement
of provisions thereof.
A.
Establishment of Board of Ethics. There is hereby
established a Board of Ethics consisting of five members to be appointed
by the Mayor and approved by the Common Council; all of the members
of the Board of Ethics shall reside in the City of Middletown. A majority
of such members shall be persons other than officers or employees
of the City of Middletown, but there shall be at least one member
who is an elected or appointed officer or employee of the City. The
City's Corporation Counsel, or a City Attorney designated by him,
shall be a member ex officio of such Board, but without the power
to vote, and shall be the legal adviser to such Board. The members
of such Board shall receive no salary or compensation for their services
as members of such Board and shall serve a term of three years each,
with the initial appointments being one member for a term of one year,
two members for a term of two years, and two members for terms of
three years. After the initial terms have expired, all members shall
be appointed for three-year terms. Such Board shall be constituted
so that no more than two members shall belong to the same political
party. The Board of Ethics each year shall elect from its membership
its Chairman and Secretary, and upon its formation it shall promulgate
its own rules and regulations as to its forms and procedures (other
than as may be specified in this chapter) and maintain proper records
of its opinions and proceedings, for which expenses it shall be reimbursed
by the City for actual and necessary expenses incurred in the performance
of its duties.
B.
Powers of the Board of Ethics. The Board of Ethics
shall have the powers and duties prescribed in this chapter and in
Article 18 of the General Municipal Law and shall render advisory
opinions to officers and employees of the City of Middletown with
respect to Article 18 of the General Municipal Law and any Code of
Ethics adopted pursuant to such article under such rules and regulations
as the Board may prescribe; in addition, the Board may make recommendations
with respect to the drafting and adoption of amendments to this chapter,
or the drafting and adoption of a new Code of Ethics, upon request
of the Common Council of the City. Any such advisory opinions or other
proceedings of the Board of Ethics shall not be made public or disclosed
unless required by the New York Freedom of Information Law (Article
6 of the Public Officers Law) or required for use in a disciplinary
proceeding involving an officer or employee of the City of Middletown
who requested the advisory opinion.
C.
Cooperation with Board of Ethics. All agencies and
boards of the City of Middletown and all officers, employees and agency
or board members shall furnish to the Board of Ethics such data, information
and statements as may in the opinion of the Board be necessary for
the proper exercise of its functions, powers and duties as set forth
in the General Municipal Law or in this chapter.
A.
Applicability. The following classes of officers or
employees of the City of Middletown shall file disclosure statements
as provided under this section:
(1)
All elected officials;
(2)
All commissioners and deputy commissioners;
(3)
All department heads and assistant department heads;
and
(4)
All members of the Zoning Board of Appeals, Planning
Board, Board of Ethics and Board of Assessment Review, as well as
members of all licensing boards in the City of Middletown.
(5)
All members of the Police Commission and the Recreation
Commission.
[Added 6-9-2008 by L.L. No. 2-2008]
B.
General disclosure. The disclosure statement to be
filed by all officers or employees to whom this section is applicable
shall contain the following information:
[Added 6-9-2008 by L.L. No. 3-2008]
(1)
A statement describing blood and marriage relationships
with officials and board members required to file disclosure statements.
(2)
A statement describing corporate, partnership, landlord-tenant
or other business relationship with officials and board members required
to file disclosure statements or with the City itself.
(3)
A statement indicating whether the declarant, or his/her
spouse or minor children, purchased or sold any goods or services,
in an amount exceeding $5,000, from or to any official or board member
required to file disclosure statements or from or to the City itself.
(4)
A statement indicating whether the declarant, or his/her
spouse or minor children, purchased or sold any goods or services,
in an amount exceeding $5,000, except for a consumer transaction or
consumer credit transaction, from or to any person or entity providing
goods and services to the City of Middletown in an amount of $5,000
or greater in the past calendar year.
(5)
A statement indicating whether the declarant, or his/her
spouse or minor children, participated in any loan or credit transaction,
except a consumer credit transaction, the outstanding balance of which,
during the past year, is in excess of $5,000, with any person or entity
providing goods and services to the City of Middletown in an amount
of $5,000 or greater in the past calendar year.
(6)
A statement indicating whether the declarant, or his/her
spouse or minor children, is an employee, officer, owner, director,
member, trustee, partner of or consultant to any entity providing
goods and services to the City of Middletown in an amount of $5,000
or greater in the past calendar year.
(7)
A statement indicating whether the declarant, or his/her
spouse or minor children, owns or has a contractual interest in any
real property located within the City of Middletown, other than personal
residence.
(8)
A statement indicating whether the declarant, or his/her
spouse or minor children, made any application, petition or request
for a site plan, special use permit, variance, amendment, change of
zoning, approval of a subdivision plat, exemption for a plat or Official
Map, or any license or permit pursuant to the provisions of, in or
in connection with any ordinance, local law, rule or regulation of
the City of Middletown or any of its agencies or boards.
(9)
A statement
describing blood and marriage relationships with members of any negotiating
team for the City of Middletown’s collective bargaining agreements.
[Added 4-13-2009 by L.L.
No. 2-2009]
C.
Filing date. The disclosure statement shall be made annually by those to whom this section applies and shall be filed with the Board of Ethics on or before January 31 each year with respect to the preceding calendar year. Said statement shall be prepared under oath on a form containing the information contained in Subsection D below or on such other form as may be approved by the Common Council of the City of Middletown. The Board of Ethics shall, subject to the provisions of Subsection E below, transmit the same to the City Clerk within 30 days after its receipt thereof. Any changes involving any of the matters set forth in Subsection B above shall be reported in the same manner within 30 days of such change.
[Amended 1-7-2008; 4-13-2009 by L.L. No. 4-2009]
D.
Form of disclosure statement. The annual disclosure statement to be filed in accordance with Subsection C above shall be in the following form, unless changed by the Common Council of the City of Middletown.[1]
[1]
Editor's Note: The disclosure statement form is included at the end of this chapter.
E.
Privacy claims. At the time of the filing of any disclosure
statement, the employee or officer filing the same may simultaneously
file with the Board of Ethics a written claim of privacy specifying
with particularity those portions of said statement which the employee
or officer requests be deleted therefrom in the record thereof to
be maintained by the City Clerk. The Board of Ethics, prior to transmission
of such statement to the City Clerk, shall delete any such item upon
a finding that the same is of a highly personal nature, does not in
any way relate to the duties of the position held by such person and
does not create an actual or potential conflict of interest. The employee
or officer shall have an opportunity to appear before the Board of
Ethics in accordance with written procedures to be established by
the Board of Ethics and filed with the Common Council and the City
Clerk.
[Amended 1-7-2008]
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 chapter may be fined, suspended
or removed from office or employment, as the case may be, in the manner
provided by law.
