[Ord. No. 133, 7-7-1993]
The following terms, whenever used or referred to in this division,
shall have the following respective meanings set out in this section,
unless a different meaning clearly appears from the context:
CITY AGENCY
Includes any authority, district corporation and public benefit
corporation for which a City employee or board appoints the members
or to which City officers or employees are ex officio members. This
includes, for example, the Utica Planning Board, the Zoning Board
of Appeals, Utica Golf Commission, Utica Auditorium Commission, Board
of Assessment and Review and Civil Service Commission. It also includes
agencies that are normally considered to be separate from City government
such as: the Utica Parking Authority, the Utica Transit Authority,
the Utica Urban Renewal Agency, the Downtown Utica Development Association,
the Municipal Housing Authority and the Utica Industrial Development
Agency.
DEPENDENT CHILD
Any son, daughter, stepson or stepdaughter who is under the
age of 18, unmarried and living in the household of the reporting
individual.
INTEREST
A direct or indirect pecuniary or material benefit accruing
to the reporting individual as a result of a contract with the City
or City agency in which the reporting individual serves. For the purpose
of this form, the reporting individual shall be deemed to have an
interest in the contract of:
(1)
His spouse, minor children and dependents, except a contract
of employment with the City of Utica or a City agency;
(2)
A firm, partnership or association of which such officer or
employee is a member or employee;
(3)
A corporation, of which such officer or employee is an officer,
director or employee; and
(4)
A corporation, any stock of which is owned or controlled directly
or indirectly by such officer or employee.
INVOLVEMENT WITH AND REGULATED BY THE CITY OF UTICA
Includes the situation such as: the business regulated or
licensed by the City; does business with the City or a City agency;
has applied for or there is outstanding a loan or some form of financial
assistance from the City or City agency and the like.
RELATIVE
Such individual's spouse, child, stepchild, stepparent, aunt
or uncle, brother or sister or first cousin of the reporting individual
or of the reporting individual's spouse.
REPORTING INDIVIDUAL
The heads (other than local elected officials) of any agency,
department, division, council, board, commission or bureau of the
City of Utica and their deputies and assistants, and the officers
and employees of the City, departments, divisions, boards, bureaus,
commissions or councils who hold policy-making positions, as determined
by the common council and set forth in Appendix A attached to this
ordinance; except that the term "local officer or employee" shall
not mean a judge, justice, officer or employee of the unified court
system.
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:
(1) A judicial order, decree or judgment; or
(2) A legally binding separation agreement.
[Ord. No. 133, 7-7-1993]
The Board of Ethics shall have the power to:
(a) Adopt, amend and rescind rules and regulations to govern procedures
of the Board of Ethics. The Board of Ethics may utilize or modify
such rules and regulations or adopt separate rules and regulations
for the purposes of Paragraph (d) of Subdivision 1 of Section 811
of the General Municipal Law.
(b) Promulgate guidelines to assist the Common Council determining which
persons hold policy-making positions for purposes of Sections 811
and 812(3) of the General Municipal Law and this law.
(c) Make available forms for annual statements of financial disclosure
required to be filed pursuant to this division.
(d) Review completed financial disclosure statements in accordance with
the provisions of this law, the rules and regulations of the Board
of Ethics and any local law, ordinance, Code of Ethics established
by the Common Council of the City of Utica.
(e) Receive complaints alleging a violation of this division or a violation
of the criteria for reporting requirements established by this division,
any Code of Ethics of the City, or local law, ordinance or resolution
regarding the filing of completed statements with the Board of Ethics.
(f) 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 or 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 adjudicator proceedings and appeals adopted
pursuant to this law 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) Permit any person required to file a financial disclosure statement
to request an exemption to any requirement to report one or more items
of information which pertain to such person's spouse or emancipated
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 spouse, on his
or her own behalf or on behalf of a dependent 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 material
bearing on the discharge of the reporting person's official duties.
(h) 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) Permit any person who has not been determined by the Common Council
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 Section 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 rules or regulation having the
force and effect of law.
(j) Prepare an annual report to the Mayor and the Common Council 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 City covered by this act.
(k) Act as a repository for completed financial disclosure forms filed
pursuant to this division.
(l) Upon certification of a question by the Common Council to the Ethics
Board, the Board may 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 division.
(m) The Corporation Counsel shall act as legal counsel to advise the
Board on any matter arising under this law.
(n) 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 has 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 any
such person, and may be introduced and shall be a defense, in a 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 any other identifying details shall not be included
in the publication.
(o) The Board of Ethics shall be empowered to request support staff,
assistance from the Common Council or Mayor in furtherance of its
duties and responsibilities.
(p) The City may appropriate moneys from the general City funds for maintenance
of and for personal services to the Board of Ethics established hereunder,
but such Board of Ethics may not commit expenditures of City funds
except within the appropriations provided therein.
(q) In the performance of its duties above, the Board of Ethics may,
with the approval of the Common Council, subpoena witnesses, compel
their attendance and require the production of any books or records
which it may deem relevant or material.
(r) The ministerial duties of the Board of Ethics, including, but not limited to, the duties set forth in Subsections
(c),
(d),
(k) shall, in the first instance, be performed by the Corporation Counsel. In addition, the Corporation Counsel shall be responsible, as agent to the Board, for the notifications for failure to file report or filing incomplete reports provided for in Section
2-2-85 below, and regarding requests for public disclosure. In addition, the Corporation Counsel shall act as agent of the Board for the purpose of receiving any applications or notices to the Board. Upon receipt of such notice, the Corporation Counsel shall immediately forward same to the Chairman of the Board, and if requested by the Chairman, the other Board members. The Board of Ethics may, at any reasonable time, review the procedures and records of the Corporation Counsel related to the performance of these functions.
[Ord. No. 133, 7-7-1993]
If a person required to timely file a financial disclosure statement
with the Board of Ethics has failed to file a disclosure statement
or has filed a deficient statement, the Corporation Counsel 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 Corporation
Counsel shall send a notice of delinquency:
(2) To the appointing authority for such person; and
[Ord. No. 133, 7-7-1993]
A reporting individual who knowingly and willfully fails to
file an annual statement of financial disclosure or who knowingly
and willfully 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 division shall be assessed
a civil penalty in an 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 subdivision, other than for conduct which constitutes a violation
of Subdivision 12 of Section 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, such violation shall
be punishable as a Class A misdemeanor. A civil penalty for false
filing may not be imposed hereunder in the event a category of value
or amount reported hereunder is incorrect unless such reported information
is falsely understood. 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 appointing authority of the violator 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 relating to the assessment
of civil penalties herein authorized. Such rules, which shall not
be subject to the approval requirements of the State Administrative
Procedure Act, shall provide for a due process procedural mechanism
substantially similar to those set forth in such Article 3, but such
mechanisms need to be identical in terms or scope. Assessment of a
civil penalty shall be final unless modified, suspended or vacated
within 30 days of imposition, with respect to the assessment of such
penalty, 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.
[Ord. No. 133, 7-7-1993]
Upon the adoption of this division, the Mayor shall cause a
copy thereof to be distributed to every person required to file an
annual statement of financial disclosure. Failure to distribute such
copy or failure of any City employee to receive such copy shall have
no effect on the duty of compliance with this Code, nor the enforcement
of the provisions hereof. The Mayor shall further cause a copy of
this ordinance to be kept posted conspicuously in each public building
under the jurisdiction of the City. Failure to so post this ordinance
shall have no effect on the duty of compliance herewith, nor the enforcement
provisions hereof.