[HISTORY: Adopted by the Town Board of the Town of Wilton 12-6-2012 by L.L. No.
4-2012.[1] Amendments noted where applicable.]
[1]
Editor's Note: This chapter also superseded former Ch. 9,
Ethics and Disclosure, adopted 6-7-2007 by L.L. No. 2-2007.
This chapter shall be known as the "Town of Wilton Ethics and
Disclosure Law."
A.
Purposes.
The proper operation of a town government requires that its officers
and employees be independent, impartial, and accountable to the people.
All officers and employees shall conduct themselves in a professional
and respectable manner towards the public and one another. Though
assurance of such conduct will continue to rest primarily on personal
integrity and community vigilance, the establishment of standards
is another step toward ensuring government decisions are arrived at
free of conflict of interest. It is also the purpose of this chapter
to protect officials and employees from unwarranted accusations that
impugn their integrity by distinguishing material conflicts of interest
from those that are inconsequential, recognizing that for local government
to attract and hold competent and professional public servants, public
service must not require a complete divesting of all proprietary interests.
In recognition of these goals, there is hereby established an ethics
and disclosure law for all officers and employees in the Town of Wilton.
In the event of any conflict or inconsistency between the provisions
of this code and the provisions of Article 18 of the General Municipal
Law, this code shall prevail, except that nothing in this code shall
authorize conduct otherwise prohibited by Article 18 of the General
Municipal Law.
B.
Applicability.
This Ethics and Disclosure Law is enacted pursuant to § 806
of the General Municipal Law and § 10 of the Municipal Home
Rule Law. Officers and employees of the Town must comply with the
provisions of the Ethics and Disclosure Law, as well as the conflict
of interest standards prescribed by Article 18 of the General Municipal
Law. This Ethics and Disclosure Law is in addition to the standards
contained in Article 18, and is not intended to authorize any conduct
prohibited by Article 18 of the General Municipal Law.
As used in this chapter, the following terms shall have the
meanings indicated:
Information not subject to disclosure pursuant to the Freedom
of Information Law, found at NY Public Officers Law, § 85
et seq., or any other rule of law.
A parent, step-parent, sibling, step-sibling, spouse, child,
step-child, grandparent, household member, or domestic partner of
a municipal officer or employee, and individuals having any of these
relationships to the spouse of the officer or employee.
A direct or indirect pecuniary or material benefit accruing
to an official or employee as the result of a contract, business or
professional transaction or other relationship with the Town of Wilton.
For the purpose of this chapter, an official or employee will be deemed
to have an interest in the affairs of:
His or her spouse and unemancipated children.
A firm, partnership or association of which an official or employee
is a member or employee.
A corporation of which such official or employee is an officer,
director, employee or in which the official or employee owns 5% or
more of any outstanding shares of any class of stock.
A bank or other lending institution of which such official or
employee is an officer, director, employee or in which the official
or employee is vested with discretionary authority for the approval
and disapproval of applications for, including but not limited to
the following: residential or commercial real estate loans and mortgages,
consumer loans, automobile financing, commercial loans of any kind,
bank deposit interest rates, regular or special rates on investment
products.
Town of Wilton.
An official, officer or employee of the Town of Wilton, whether
paid or unpaid, who is a member of one or more of the boards, commissions,
departments or agencies listed below or who serves in any capacities
which follow:
Town Board.
Zoning Board.
Planning Board.
Highway Superintendent.
Ethics Advisory Board.
Independent Board of Assessment Review.
Town Clerk.
Town Attorney.
Town Engineer.
Assessors.
Building Inspector.
Assistant Building Inspector.
Recreation Coordinator.
Recreation Director.
Recreation Commission.
Town Comptroller.
Planning and Zoning Attorney.
The Town Board reserves the right to add new classes of officials
or employees under this definition as deemed appropriate.
Husband or wife of the employee or official unless living
separate and apart from the employee or official 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 or estranged.
Any son, daughter, stepson or stepdaughter who is under age
21 and living in the household of the official or employee.
A.
Prohibited
activities. It is the policy of the Town of Wilton that all officials
and employees should avoid potential conflicts of interest. A potential
conflict exists whenever an official or employee has an interest,
direct or indirect, which conflicts with his or her duty to the Town
or adversely affects the individual's judgment in the discharge of
his or her responsibilities. Therefore, no official or employee shall:
(1)
Take action in his or her official capacity in the discussion, negotiation
or awarding of any contract or in business or professional dealings
with the Town of Wilton or any agency thereof in which the official
or employee has or will have an interest, direct or indirect, in such
contract or business or professional dealings.
(2)
Engage in, solicit, negotiate for or promise to accept private employment
or receive services for his or her personal benefit when such employment
or service creates a conflict or impairs the proper discharge of his
or her official duties.
(3)
Solicit directly or indirectly any gift or receive or accept 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 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.
(4)
After the termination of service or employment with the Town of Wilton,
appear before any board or agency of the Town of Wilton in relation
to any case, proceeding or application in which he or she personally
participated during the period of his or her service or employment,
or which was under his or her active consideration, unless so requested
specifically by the Town Board.
(5)
Disclose confidential information acquired in the course of his or
her official duties or use such information to further his or her
personal interest.
(6)
Accept employment or engage in any business or activity which will
require him or her to disclose confidential information which he or
she has gained by reason of his or her official position or authority.
(7)
Take action on a matter before the Town or any instrumentality thereof
when, to his or her knowledge, the performance of that action would
provide a pecuniary or material benefit to himself or herself.
(8)
Shall cause the municipality to expend more money and/or Town resources
than is reasonably necessary for transportation, meals or lodging
in connection with official travel.
(9)
Shall participate in the discussion or vote on any matter, exercise
or perform any other official powers or duties in connection with
any matter, when he or she has an interest in the matter and knows
or should know that a family member has an interest in the matter.
(a)
If the person is an employee, he or she must refer the matter to
their immediate supervisor, and the immediate supervisor shall designate
another person to exercise or perform the power or duty.
(10)
Shall have interest in a contract that is prohibited by § 801
of the General Municipal Law.
(11)
Shall participate in any decision whether to appoint, hire, promote,
discipline or discharge a family member from any position at, for
or within the Town of Wilton or an administrative board, commission
or other agency of the municipality.
(12)
Shall use Town monies for any political campaign or political activities.
B.
Disclosure
of interest.
(1)
Any official, employee, or family member of the official or employee
who has, will have or intends to acquire a direct or indirect interest
in any matter being considered by the Town of Wilton or by any other
official board, agency, officer or employee of the Town of Wilton,
and who participates in discussion before or gives opinions or advice
to any board, agency or individual considering the same, the official
or employee shall publicly disclose on the official record the nature
and extent of such interest.
(2)
Any official or employee of the Town of Wilton who has knowledge
of any matter being considered by any board, agency, officer or employee
of the Town of Wilton in which he or she or his or her family members
will have or intends to acquire any direct or indirect interest shall
disclose, in writing, his or her interest to such board, agency, officer
or employee and the nature and extent thereof.
(3)
Every official and employee shall disclose interests in contracts
with the municipality at the time and in the manner required by § 803
of the General Municipal Law.
A.
All
officials and employees of the Town of Wilton shall file an attestation
and statement of disclosure on the disclosure form contained herein.[1] The statement will be filed with the office of the Town
Clerk no later than the first of April (4/1) of each year.
[1]
Editor's Note: The Disclosure Statement is included at the end of this chapter.
B.
Newly
appointed or elected officials or employees whose duties commence
after the first of April (4/1) filing deadline shall submit a disclosure
statement within 30 days after the commencement of their duties.
C.
Within
30 days of any change in the information contained in his or her most
recently filed statement, the official or employee shall file a signed
amendment to the statement reflecting that change.
D.
The
Town Clerk shall verify that each official or employee subject to
this chapter has filed his or her statement and shall notify the Ethics
Board of any instance of noncompliance.
E.
Disclosure
statements shall be preserved for not less than seven years from the
date of filing by the Town Clerk.
The Town Board recognizes that public access to disclosure statements
filed by Town officials and employees enhances public confidence and
deters or uncovers conflicts of interest or corruption. All disclosure
statements are accessible to the public pursuant to the New York State
Freedom of Information Law.[1]
[1]
Editor's Note: See Public Officers Law, § 85 et
seq.
[Amended 6-5-2014 by L.L.
No. 2-2014]
A.
The
Ethics Advisory Board (EAB) shall consist of five members, each appointed
by the affirmative vote of at least four members of the Town Board.
Each appointee must reside in the Town of Wilton. The Chair shall
be selected by a majority vote of the Town Board.
(1)
The initial board shall have three members, including the Chair,
serve three-year terms and two members serve two-year terms. The Board
shall also have one alternate member for a one-year term. Thereafter,
all members serve two-year terms.
(2)
The Ethics Board in existence at the time of the enactment of the
Town of Wilton Ethics and Disclosure Law shall be dissolved.
B.
No
member of the EAB shall be a constituted party committee person as
defined in New York State Election Law or as a member or officer in
any Town-wide candidate's campaign committee or hold elective office
in the Town of Wilton. No member shall be a Town employee, officer,
or official. EAB members are prohibited from accepting the endorsement
of any constituted party committee or accepting the designation of
any party or independent body that files petitions on their behalf
with the County or the State Board of Elections. Violation of this
clause automatically disqualifies the member from the EAB or from
participating in its deliberations.
C.
Not
more than two members of the EAB shall be members of the same political
party.
D.
The
members of the EAB shall receive no compensation but shall be reimbursed
for reasonable expenses incurred in the performance of their duties
as approved by the Town Board.
E.
A
member of the EAB may be removed from office by a majority-plus-one
vote of the Town Board for failure to fulfill the duties of the office
or for violation of this chapter. The Town Board must give the member
written notice and an opportunity to reply.
F.
If
an EAB member is a complainant in an action before the EAB, that member
must recuse his or herself from any participation in that complaint.
G.
Powers
and duties.
(1)
The EAB shall meet at least once annually on or about the first day
of May. The EAB shall hear or receive complaints or comments brought
by any citizen. The EAB shall review filed disclosure statements which
have been submitted by officials and employees.
(2)
The EAB shall review all filed statements and complaints to determine
whether a conflict of interest or impropriety exists between the public
duties of the official or employee and his or her private activities
pursuant to this chapter.
(3)
The EAB may prescribe and promulgate rules and regulations governing
its own internal organization and procedures in a manner not inconsistent
with this section or state or federal law. The EAB shall have the
power to conduct hearings, determine violations, and submit advisory
opinions to the Town Board. The EAB may also offer advice, conduct
training and education to Town officials and employees, and suggest
changes to the Town of Wilton Ethics and Disclosure Law.
(4)
In addition to any other powers and duties specified by this chapter,
the EAB will have the power and duty to conduct any investigation
necessary to carry out the provisions of this section. Pursuant to
this power and duty, the EAB may administer oaths or affirmations,
subpoena witnesses, compel their attendance and require the production
of any books, documents or records, whether printed or electronic,
which it may deem relevant or material. The EAB shall be able to refer
any matter to a prosecutor. In all investigations, the accused shall
have the right to reasonably prompt and thorough due process before
an impartial EAB. The accused shall have the right to be promptly
informed of the nature and cause of the accusation; to be provided
with the names of the witnesses, any statements given and any evidence
considered by the EAB, and this shall include the prompt disclosure
of the name of any complainant against the accused; to have compulsory
process for obtaining witnesses in his or her favor, and to have the
assistance of counsel for his or her defense.
(5)
After considering the evidence and any rebuttal from the accused, the EAB shall make an initial determination as follows. First, it may conclude that no conflict of interest exists, it shall close its investigation and seal its files; secondly, it may recommend to the accused a manner in which the conflict or impropriety may be rectified, and as more fully set forth in Subsection G(7) hereinbelow; or, thirdly the EAB may decide if, in the sole opinion of the majority of the entire membership of the EAB, such conflict warrants a public disclosure, the EAB shall cause and direct only relevant information pertaining to the conflict or impropriety of the particular official or employee to be filed with the Town Board, subject first to the procedure set forth below in Subsection G(6), (7) and (8). The filing will constitute a public record to be made available to anyone who makes application to examine such record. The Town Board may vote to reject such records or statements by a majority-plus-one vote.
(6)
At least 30 days prior to filing of the opinion with the Town Board,
a copy shall be mailed to the official or employee by certified mail,
return receipt requested. The official or employee may respond, rebut
or otherwise refute the opinion of the EAB, either in writing or personally,
or both, before the EAB at a time and place specified by the EAB.
The failure of the official or employee to respond personally within
21 days from the date of opinion is received, without just cause,
shall constitute a waiver by that official or employee. The EAB may,
in its discretion, amend, revise or rewrite its opinion or rescind
by a majority vote of the entire membership its initial decision to
make a public disclosure.
(7)
In addition to all other powers conferred by this section, the EAB
may recommend to the official or employee a manner in which the conflict
of interest or appearance of impropriety may be rectified. An affidavit
by the official or employee detailing his or her compliance with the
recommendations may be sufficient reason to rescind the EAB's decision
to disclose the statement or portion of the statement to the Town
Board. The affidavit must be delivered to the EAB in the time and
place set forth in the EAB's certified, return receipt requested,
letter to the official or employee. If the official or employee fails
to follow the recommendations of the EAB in curing the conflict of
interest or appearance of impropriety, that fact will also be disclosed
to the Town Board.
(8)
Pending the response of the official or employee and final resolution
of an issue, the EAB shall not disclose any information to the Town
Board or public.
(9)
The EAB must prepare an annual report to the Town Board on its activities.
H.
Confidential
ethics advisory opinions.
(1)
The EAB shall render confidential advisory opinions only at the request
of officers, officials, and employees of the Town of Wilton with respect
to Article 18 of the General Municipal Law and this Ethics and Disclosure
Law. Officers, officials, and employees of the municipality are encouraged
to seek advisory opinions whenever they are uncertain whether their
conduct may violate the Ethics and Disclosure Law.
(2)
The EAB will prepare an advisory opinion, based on a thorough review
of the facts and applicable law. The EAB's opinion is based solely
on the facts presented in the request or subsequently submitted in
a written, signed document. The opinion will be rendered in writing
to the requester as expeditiously as is practicable, with special
attention to the time requirements of a given case.
(3)
An officer, official or employee of the municipality whose conduct
or action is the subject of an advisory opinion will not be subject
to penalties or sanctions by virtue of acting, or failing to act,
due to a reasonable reliance on the opinion, unless material facts
were omitted or misstated in the material submitted by the requester.
(4)
The EAB will maintain a confidential indexed file of all advisory
opinions issued.
A.
Failure
to file statement.
(1)
If any official or employee refuses or fails, either knowingly or
intentionally, to file a statement as required by this chapter, the
EAB shall notify the Town Board that said individual has not filed
a statement. Upon such notification, the Town Board may suspend the
official or employee without pay (if compensated). In addition, the
official or employee shall also be notified by certified mail that
no statement has been filed.
(2)
Once a statement has been filed, the EAB shall promptly notify the
Town Board that the official or employee has complied with the filing
requirement of this chapter, reinstate the official or employee and
release all moneys withheld.
(3)
Notwithstanding any other penalties imposed by this section, if any
official or employee does not file a statement within 45 days after
being notified by the EAB that said official or employee has failed
to file, or if the official or employee files a statement which the
EAB determines was filed with the intent to deceive, intentionally
misrepresent or otherwise fraudulently answered any question set forth
in the statement, or intentionally withheld any information asked
for or demanded in the statement, such action shall be deemed an act
of gross misconduct and shall be grounds for suspension or dismissal.
The EAB shall send a notice of reasonable cause to the Town Board
of such instances of misconduct. The Town Board may take whatever
action it deems appropriate to enforce a suspension or dismissal of
the offending individual.
B.
If
any official or employee files a statement with the intent to deceive,
intentionally misrepresent or to otherwise fraudulently answer any
question set forth in the statement, or to intentionally withhold
any information asked for or demanded in the statement, and if such
deception or misrepresentation is found to be intentional and material
or possibly criminal in nature, then such information may be disclosed
to an appropriate law enforcement agency.
C.
Nothing
in this section shall be construed as precluding the prosecution of
officials or employees for violations of any offense, criminal or
civil, pursuant to the laws, ordinances or statues of the State of
New York.
All officers and employees of the Town of Wilton and members
of the Ethics Advisory Board (EAB) must complete an ethics training
seminar on a biennial basis. Ethics training will be provided at the
direction of the Town Board, in conjunction with the EAB. Ethics training
will be provided by qualified professionals proficient in municipal
ethics, and will be designed to keep recipients knowledgeable of current
standards and issues in municipal ethics. The training seminar will
be made available each year. Scheduling and records documenting compliance
with this section will be performed and maintained by the Town Clerk.
