[HISTORY: Adopted by the Town Board of the
Town of Rochester 10-12-2004 by L.L. No. 5-2004.[1] Amendments noted where applicable.]
Pursuant to the provisions of § 806
of the General Municipal Law, the Town Board of the Town of Rochester
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
local government. It is the purpose of this article to promulgate
these rules of ethical conduct for the officers and employees of the
Town of Rochester, so that they may know the standards of conduct
reasonably expected of them. These rules shall serve as a guide for
official conduct of the officers and employees of the Town of Rochester.
The rules of ethical conduct of this article as adopted shall not
conflict with, but shall be in addition to, those rules promulgated
in Article 18 of the General Municipal Law and any other general or
special law relating to ethical conduct and interest in contracts
of municipal officers and employees as may, from time to time, be
promulgated by the State of New York.
As used in this article, the following terms
shall have the meanings indicated:
A pecuniary or other material benefit accruing to officers and employees, or to their relatives, as defined in Subsection K of § 17-3 of this article; or where there is a material or pecuniary benefit accruing to a firm, partnership or association of which such officers or employees are members or employees; a corporation of which such officers or employees are officers, directors or employees; or a corporation any stock of which is accrued or controlled directly or indirectly by such officers or employees.
An officer or employee of the Town of Rochester, whether
paid or unpaid, including, without limitation, all members of any
administrative or advisory, council, board, or commission or other
agency or department thereof. For purposes of this article, officers
and employees shall not include any judge, justice, officer or employee
of the court system; nor any volunteer firefighter or civil defense
volunteer, except a Fire Chief or Assistant Fire Chief ; nor any member
of an advisory board of the Town of Rochester if, but only if, the
advisory board has no authority to implement its recommendations or
to act on behalf of the Town or to restrict the authority of the Town
to act. No entity established pursuant to the General Municipal Law
of the State of New York shall be deemed an advisory board for purposes
of this subsection.
Officers or employees of the Town of Rochester
shall be subject to and abide by the following standards of conduct:
A.
Recusal. Officers and employees shall promptly recuse themselves from acting on a matter before the Town, when acting on the matter, or failing to act on the matter, may benefit themselves or any of their relatives as defined in Subsection K of § 17-3 of this article, financially or otherwise, or give the reasonable appearance of a conflict of interest or impropriety. Whenever officers or employees are required to recuse themselves, they must refrain from further participation in the matter. Failure to recuse themselves may result in a preliminary finding of a violation of this Code.
B.
Gifts. Officers and employees shall not, directly
or indirectly, solicit any gift, or accept or receive any gift having
a value of $25 or more, whether in the form of money, services, loan,
travel, entertainment, hospitality, material 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 them in the performance of their official duties
or was intended as a reward for any official action on their part.
C.
Confidential information. Officers and employees shall
not disclose any confidential information acquired by them in the
course of their official duties or use such information to further
anyone's private interests.
D.
Representation before one's own agency. Officers and
employees 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 officers,
members or employees or of any municipal agency over which they have
jurisdiction or to which they have the power to appoint any member,
officer or employee.
E.
Representation before any agency for a contingent
fee. Officers and employees 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 the Town of Rochester,
whereby their compensation is to be dependent or contingent upon any
action by such agency with respect to such matter. This subsection
shall not prohibit the fixing at any time of fees based upon the reasonable
value of the services rendered.
F.
Disclosure of interest in legislation. All members
of the Town Board and officers and employees of the Town of Rochester,
whether paid or unpaid, who participate in the discussion or give
official opinion to the Town Board on any legislation before the Town
Board 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 or in any action of the Town Board in
accordance with § 803 of the General Municipal Law.
G.
Investments in conflict with official duties. Officers
and employees shall not invest or hold any investment directly or
indirectly in any financial, business, commercial or other private
transaction which creates or would create a conflict with their official
duties. Officers and employees shall publicly disclose on the official
record any and all such investments and divest themselves of any and
all such investments prior to acceptance of public office or public
employment or prior to any official action that may affect such investment.
H.
Interest in contracts with the Town.
(1)
Prohibited interests. Officers and employees shall
not hold an interest in a contract with the Town, or any interest
in a bank or trust company, that is prohibited by § 801
of the General Municipal Law. 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 the General Municipal Law.
(2)
Disclosure of interests. Officers and employees who have, will have, or may later acquire an interest in any actual or proposed contract with the Town shall publicly disclose the nature and extent of that interest in accordance with § 17-5 of this article. The Town Clerk shall immediately file such disclosure with the Ethics Board.
(3)
Violations. Officers and employees who are found to
have violated the provisions of this section shall be guilty of a
misdemeanor, to the extent provided by § 805 of the General
Municipal Law.
I.
Private employment. Officers and employees 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; and they shall not use the powers of their offices or the
powers of their official duties to obtain outside employment.
J.
Future employment. For a period of one year after termination of his/her term of office or employment with the Town, other than acting on behalf of himself/herself pursuant to § 17-4 of this Code, no former officer or employee may appear before the Town, including on any boards and commissions on which the former officer or employee has represented the Town, in relation to any matter upon which they he/she had discretionary power during his/her term of office or employment with the Town, unless requested to provide information by the Town Board.
K.
Employment of relatives. Members of officers' or employees'
immediate families may be considered for employment by the Town if
the applicant possesses all of the qualifications for employment.
An immediate family member may not be hired, however, if the employment
would create either a direct or indirect supervisory/subordinate relationship
with the family member; or create either an actual conflict of interest
or the appearance of a conflict of interest. These criteria will also
be considered when assigning, transferring or promoting an employee.
As used herein, "immediate family" includes any officer's or employee's
spouse, partner or significant other, brother, sister, parents, children,
step-children, father-in-law, mother-in-law, sister-in-law, brother-in-law,
daughter-in-law, son-in-law, and any other member of the officer's
or employee's household. Employees who marry or become members of
the same household may continue employment as long as there is not
a direct or indirect interest or the appearance of a conflict of interest.
Should one of the above situations occur, the Town will attempt to
find a suitable position with the Town to which one of the affected
employees may be appointed. Such appointment must be in accordance
with applicable state and local statutes, including Civil Service
Law and related rules and regulations. If accommodations of this nature
are not feasible, the employees will be permitted to determine which
one of them will resign.
L.
Discrimination. Town Board members, officers and employees,
or any services or other organizations chartered by or directly or
indirectly sponsored or supported by the Town of Rochester shall not:
(1)
Permit, directly or indirectly, the use of any Town
property, equipment or services by any person or persons, organizations,
corporations, or any other group which directly or indirectly discriminates
based upon creed, color, national origin, gender, sexual preference,
veteran status, marital status, disability, or any other federal or
state legally protected class; or
(2)
Allow the Town to knowingly have any financial or
business dealing with any organization which discriminates as set
forth above.
M.
Use of public property. Officers and employees shall
not request or permit the use of Town-owned vehicles, equipment, materials
or property for personal convenience or profit except when such services
are available to the public generally or are provided as municipal
policy for the use of such officers and employees in the conduct of
their official duties.
N.
Political solicitation. Officers and employees shall
not direct, request or authorize any other officers or employees,
nor any subordinates of any officers or employees, to participate
in an election campaign or contribute to a political committee.
Nothing herein shall be deemed to bar or prevent
the timely filing by present or former officers or employees of any
claim, account, demand or suit against the Town of Rochester or any
agency thereof on behalf of themselves or any members of their families
arising out of any personal injury or property damage or for any lawful
benefit authorized or permitted by law.
The Supervisor of the Town of Rochester shall
cause a copy of this Code of Ethics to be distributed to every officer
and employee of the Town within 15 days after the effective date of
this article, or its amendment, or at such other times as the Supervisor
deems necessary. All officers and employees elected or appointed thereafter
shall be furnished a copy before entering upon the duties of their
office or employment. 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 or the enforcement of provisions
thereof.
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.
[Amended 4-3-2008 by L.L.
No. 2-2008]
A.
There shall be a Board of Ethics consisting of five members to be
appointed by a majority of the Town Board, who shall serve without
compensation and at the pleasure of the Town Board. A majority of
such members shall be persons other than officers or employees of
the Town of Rochester, except that at least one member may be an elected
or appointed officer or employee of the Town of Rochester.
B.
Ethics Board members shall reside in the Town and shall not hold
an office in any political organization. Members shall serve for a
term of five years.
(1)
The three membership positions already existing on the Town Board
of Ethics shall continue, with those positions expiring at the end
of the original term of appointment. At the expiration of those terms,
future appointments to those positions shall be for terms of five
years.
(2)
Two new members shall be appointed upon enactment of this section,
one who shall serve until December 31, 2012, and one shall serve until
December 31, 2013.
(3)
Consecutive service shall not exceed two full terms. When a vacancy
occurs, it shall be filled within 60 days for the unexpired portion
of the term. However, members shall serve until their successors have
been appointed.
A.
The Board of Ethics shall have jurisdiction only with
respect to officers and employees of the Town of Rochester. The Board
shall render advisory opinions to the Town Board, officers and employees
of the Town. Such advisory opinions shall be rendered pursuant to
the written request of the Town Board and any such officer or employee
under such rules and regulations as the Board may prescribe and shall
have the advice of the Attorney for the Town.
B.
The Board of Ethics may make recommendations to the
Town Board with respect to the drafting and adoption of amendments
to the Code of Ethics; prescribe its own rules and regulations governing
its own internal organization and procedures in a manner consistent
with this chapter; review and maintain on file lists of officers and
employees and annual disclosure statements; and periodically review
the laws governing the conduct of Town officers and employees and
recommend changes to those laws. The Ethics Board shall, further,
prepare and submit an annual report to the Town Board summarizing
its activities and listing any recommended changes to the text or
administration of this Code.
C.
Public inspection of certain records. The Ethics Board
shall make available for public inspection only those records whose
disclosure is required by Article 6 of the Public Officers Law of
the State of New York or by some other state or federal law or regulation.
No meeting or proceeding of the Ethics Board concerning misconduct,
nonfeasance, or neglect in office by any officers or employees shall
be open to the public, except upon the request of the officers or
employees or as required by the provisions of Article 7 of the Public
Officers Law or by some other state or federal law or regulation.
D.
The Board shall convene upon complaint of any individual
who, having filed a written complaint with the Town of Rochester,
alleges a violation of the Town of Rochester Code of Ethics by an
officer or employee of the Town. This complaint must be signed by
the complainant. The complaint shall be forwarded by the Town Supervisor
to the Board of Ethics within five business days. Upon convening,
the Board of Ethics shall examine the complaint and may call individuals
to testify relative to the complaint. The Board shall have access
to any material held by the Town of Rochester government that the
Board determines is relevant to the matter before the Board. All material
requested by the Board shall be provided within five business days.
If the Board is not in receipt of the material within the specified
time, it will notify the Town Board for further action. The Town Board
will make this action as part of the next scheduled agenda. After
reviewing all material and hearing all individuals concerned with
the matter, the Board of Ethics shall render an advisory opinion.
The Board shall not disclose the identity of any person who files
a complaint.
E.
In the event a member of the Board of Ethics is the
subject of the complaint, that member shall remove him/herself from
the Board of Ethics during consideration of the complaint and an alternate
member shall be appointed by the Town Board.
F.
If there is a finding of violation of the Code of
Ethics, the Town Board shall take further action within the confines
of power delegated to the Town Board pursuant to New York State law.
If the determination of the Board of Ethics establishes that there
is reason to believe that a crime may have been committed, then the
Town Board, after reviewing the determination, shall forward the determination
to the Ulster County District Attorney's office for any and all further
action.
G.
The Ethics Board shall monitor officers' and employees'
compliance with decisions and recommendations made by the Ethics Board.
The Town Board may allocate funds for support
staff, maintenance and personal services required in connection with
the activities of the Board of Ethics.
A.
If a written complaint pursuant to this article shall
be submitted to the Town Board, the Ethics Board shall open a file
and initiate an investigation into the allegations, including but
not limited to reviewing any relevant meeting minutes and any relevant
documentation and calling such witnesses as it deems appropriate.
These proceedings shall be confidential until and unless the Ethics
Board makes a finding to the Town Board that a violation has occurred.
[Amended 6-2-2005 by L.L. No. 1-2005]
B.
If the Ethics Board makes a reasonable cause finding
that a violation of this chapter has occurred, the Ethics Board shall
send a notice of reasonable cause to the reported/applicable person,
the complainant, if any, and the Town Supervisor and the Town Board.
[Amended 6-2-2005 by L.L. No. 1-2005]
C.
If the Ethics Board makes a preliminary finding of
reasonable cause that a violation of this chapter has occurred, the
Board shall:
(1)
Notify in writing the affected person as to the possible
or alleged violation;
(2)
Afford the affected person an opportunity to submit
in writing a response setting forth such information as said affected
person deems relevant to the activities cited by the Board; and
(3)
Upon written request, afford the affected person a
hearing wherein the said person may provide either a written or oral
response setting forth such information as the person deems necessary
or appropriate in response to the preliminary findings of the Board.
D.
Hearing procedure and representation. All hearings
required to be conducted pursuant to this section shall be conducted
to the maximum extent practicable in accordance with the provisions
of Article 3 of the State of New York Administrative Procedure Act
(Chapter 82 of the Consolidated Laws of the State of New York). Any
person compelled to appear or who voluntarily appears before the Ethics
Board shall be accorded the right to be accompanied, represented by,
and/or advised by counsel.
E.
Disciplinary action. In its discretion, after a hearing
pursuant to this section and a finding of reasonable cause that a
violation of this section has occurred, the Ethics Board may recommend
disciplinary actions to the Town Board, which is authorized to impose
such sanctions. Sanctions may include a warning, a reprimand, or suspension
or removal from office or employment or any other sanction authorized
by law or collective bargaining agreements.
[Amended 6-2-2005 by L.L. No. 1-2005[1]]
[1]
Editor's Note: This local law also repealed
former § 17-11F, Waivers, which immediately followed.
Any person aggrieved by a decision of the Ethics
Board may seek judicial review and relief pursuant to Article 78 of
the Civil Practice Law and Rules of the State of New York.
A.
Wherever the requirements of this article are inconsistent
with the provisions of § 808 of the General Municipal Law,
the more restrictive provision, or those imposing higher standards,
shall govern.
B.
If any provision of this article is held by a court
of competent jurisdiction to be invalid, that decision shall not affect
the validity and effectiveness of the remaining provisions of this
article.
