[HISTORY: Adopted by the Common Council of the City of Glens
Falls 2-20-1997 by L.L. No. 2-1997.[1] Amendments noted where applicable.]
This chapter of the Code of the City of Glens Falls shall be
known as the "Code of Ethics of the City of Glens Falls."
Pursuant to the provisions of § 806 of the General
Municipal Law, the Common Council of the City of Glens Falls recognizes
that there are rules of ethical conduct for public officers or employees
which must be observed if a high degree of moral conduct is to be
obtained and a 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
City of Glens Falls. These rules shall serve as a guide for official
conduct of the officers and employees of the City of Glens Falls.
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 ethical conduct and interest in contracts of municipal
officers and employees.
The Common Council of the City of Glens Falls does hereby enact
the Code of Ethics of the City of Glens Falls pursuant to the authority
and provisions of § 806 of the General Municipal Law. All
prior local laws, ordinances or resolutions or parts of local laws,
ordinances or resolutions of the City of Glens Falls inconsistent
with the provisions of this chapter are hereby repealed; provided,
however, that such repeal shall be only to the extent of such inconsistency,
and in all respects this chapter shall be in addition to other legislation
regulating and governing the subject matter covered by this chapter.
A.
APPEARANCE OF IMPROPRIETY
CHILD
CONFLICT OF INTEREST
DOMESTIC PARTNER
EMPLOYEE or OFFICIAL
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
(12)
(13)
(14)
(15)
(16)
(17)
(18)
(19)
(20)
(21)
(22)
(23)
(24)
(25)
(26)
(27)
(28)
(29)
(30)
(31)
(32)
(33)
(34)
(35)
(36)
(37)
(38)
(39)
(40)
INTEREST
(1)
(2)
(3)
SPOUSE
UNETHICAL CONDUCT
As used in this chapter, the following terms shall have the meanings
indicated:
Conduct which, while not constituting an immediate violation of § 15-5, Code of Ethics, exhibits characteristics of a violation of the Code of Ethics and raises doubt as to the independence of the individual's judgment.
Any son, daughter, stepson or stepdaughter.
Any beneficial personal interest an official or employee
may have in any matter or transaction which may result in an unnecessary
expense or loss to the city or may be adverse to or detrimental to
and not in the best interests of the city.
Any adult mate living in the same household.
Any elected or appointed official or employee of the City
of Glens Falls, 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 capacity listed below. The Glens Falls Common
Council reserves the right to add new classes of officials or employees
under this definition (as deemed appropriate).
Common Council.
Cemetery Commission.
Board of Health.
Board of Public Safety.
Ethics Board.
Planning Board.
Board of Water/Sewer Commissioners.
Zoning Board of Appeals.
Local Development Corp.
Urban Renewal Agency.
IDA.
Assessor.
City Clerk.
Deputy City Clerk.
Police Department Chief.
Fire Department Chief.
Treasurer.
Budget Coordinator
City Electrician.
Recreation Superintendent.
Human Resources Director.
[Amended 1-11-2011 by L.L. No. 2-2011]
Water and Sewer Dept. Superintendent.
Building Inspector & Code Enforcement Officer.
Transportation Director.
Public Works Superintendent.
Community Development Director.
Safety Director.
Data Processing Director.
Health Officer.
Mayor's Assistant.
City Attorney.
Assistant City Attorney.
Cemetery Superintendent.
Purchasing Officer.
Economic Development Director.
Insurance Coordinator.
City Forester.
Recreation Commission.
Tree Commission.
Conservation Commission.
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 City of Glens
Falls. For the purpose of this article, an official or employee will
be deemed to have an interest in the affairs of the following:
His or her spouse, domestic partner, children, parents, and
siblings.
A firm, partnership or association of which he or she is a member
or employee.
A corporation of which he or she is an officer, director, employee
or in which he or she owns 5% or more of any outstanding shares in
any class of stock.
The husband or wife of the employee or official unless living
separate and apart from the employee or official.
Conduct in violation of the provisions of § 15-5, Code of Ethics.
B.
Incorporated herein by reference are all other definitions set forth
in §§ 800 and 810 of Article 18 of the General Municipal
Law.
A.
Prohibited activities. It is the policy of the City of Glens Falls
that all officials and employees must 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 city or that adversely affects the individual's judgment
in the discharge of his or her responsibilities to the city. Therefore,
officials or employees:
(1)
Shall not take any action or participate in any matter whatsoever
in his or her official capacity in the negotiation or awarding of
any contract or in business or professional dealings with the City
of Glens Falls or any agency thereof in which the official or employee
has or will have an interest, direct or indirect.
(2)
Shall not engage in, solicit, negotiate for or promise to accept
private employment or render services for his or her personal benefit
when such employment or service creates a conflict or impairs the
proper discharge of his or her duties.
(3)
Shall not solicit, directly or indirectly, any gift or receive any
gift, whether in any form or money, service, loan, travel, entertainment,
hospitality, or any form under circumstances in which it could reasonably
be inferred that the gift was intended to influence the performance
of his or her duties or would be intended as a reward for any official
action on his or her part.
(4)
Shall not appear, after termination of service or employment with
the City of Glens Falls, before any board or agency 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;
however, he or she may appear before the applicable board or agency
if so requested.
(5)
Shall not disclose confidential information acquired in the course
of his or her official duties or use such information to further his
or her personal interests.
(6)
Shall not accept employment or engage in any business which will
require him or her to disclose confidential information which he or
she gained by reason of his or her position or authority.
(7)
Shall not take action on a matter before the Common Council 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 not pursue a course of conduct which will raise suspicions
among the public that he or she is likely to engage in acts that are
in violation of his or her public trust.
B.
Disclosure of interest. In cases of conflict of interest or the possibility
of a conflict of interest, a city official or employee must make a
full disclosure of that conflict of interest for the official record.
C.
Annual Code of Ethics review.
(1)
Every official and employee, defined in § 15-4 is required to attest on an annual basis that he or she has reviewed the Code of Ethics of the City of Glens Falls. Such attestation shall be made on or before April 1 each year.
(2)
Newly appointed or elected officials or employees whose duties commence
after April 1 filing deadline will be required to submit a Code of
Ethics review form within 30 days after commencement of duties.
A.
All officials and employees, as listed in § 15-4, of the City of Glens Falls shall file a statement of disclosure containing the information asked for on the statement of disclosure form contained herein. The form will be filed with the Glens Falls Ethics Board no later than April 1. The City Clerk's office shall constitute the repository of the Glens Falls Ethics Board, where all such forms referred to herein shall be filed.
B.
Newly appointed or elected officials or employees, whose duties commence
after the April 1 filing deadline, will be required to submit a disclosure
form within 30 days after the commencement of duties. The disclosure
will cover the twelve-month period prior to the date of filing.
C.
Within 30 days of any change in the information contained in his
or her most recently filed statement, the official or employee will
file a signed amendment to the statement reflecting that change.
D.
The Mayor's office will verify that each official or employee
subject to this chapter has filed his or her statement and will forward
these forms to the Ethics Board Chairperson.
E.
Upon termination of any official's or employee's employment or position with the city, the official or employee shall be entitled to retain his/her file containing all original disclosure materials provided pursuant to this code. The City shall not retain any material so provided by the official or employee unless the official or employee receives an affirmative sanction for conduct in violation of this Code pursuant to § 15-7E of this code.
A.
The Board of Ethics shall consist of at least five members to be
appointed by the Common Council, all of whom reside in the City of
Glens Falls, and who shall serve without compensation and at the pleasure
of the Common Council of the City of Glens Falls. A majority of such
members shall be persons other than city employees, but shall include
at least one member who is an elected or appointed employee of the
City of Glens Falls.
B.
Functions. The Board of Ethics shall render advisory opinions to
the city employees and Common Council upon written request, as well
as make recommendations to the Common Council as to any amendments
to this chapter. The opinion of the Board of Ethics shall be confidential.
In no event shall the identity of the city employee be disclosed except
to authorized Glens Falls city officials and agencies. Such opinions
shall be on the advice of counsel employed by the Board of Ethics
or, if none, of the City of Glens Falls Attorney.
C.
Responsibilities.
(1)
The Ethics Board will meet as necessary. At its meetings, the Ethics
Board will receive and consider complaints of conflicts of interest
or instances of unethical conduct.
(2)
Where the Ethics Board deems a conflict of interest or other conduct
adversely reflecting on the integrity of the city government does
exist, and, if in the opinion of the majority of the members of the
Ethics Board such conflict warrants it, the Ethics Board will cause
and direct relevant information pertaining to the conflict of interest
or unethical conduct of the official or employee to be filed with
the Common Council.
(3)
Prior to the filing of the opinion of the Ethics Board with the Common
Council, a copy will 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 Ethics Board in person
before the Board at a time and place specified by the Board. The failure
by the official or employee to respond within 30 days from the date
the opinion is received will constitute a waiver by that official
or employee. The Ethics Board, by majority vote, may, at its discretion,
amend, revise, or rewrite its opinion or rescind its initial decision.
(4)
In addition, the Ethics Board 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 decision of the Ethics Board. The affidavit must be
delivered to the Board at the time and place set forth in the Board's
certified, return-receipt-requested letter to the official or employee.
If the official or employee fails to follow the recommendations of
the Ethics Board in resolving the conflict, that fact will be disclosed
to the Common Council as well.
(5)
Pending the response of the official or employee and final resolution
of an issue, the Ethics Board will not disclose any information to
the Common Council.
(6)
The Ethics Board will have the power and duty to conduct any necessary
investigations. All such investigations will be conducted in executive
session.
(7)
The only records of the Ethics Board which will be available for
public inspection are the minutes of open meetings.
(8)
Out-of-pocket expenses and undertakings incurred by the Ethics Board
or its members in carrying out its function may be submitted to the
Common Council for reimbursement or payment as the case may be via
whatever voucher procedures are then applicable.
E.
Complaint procedures.
(1)
Any officer or employee of the City of Glens Falls who would like
to raise a complaint must file six copies of said complaint with the
Ethics Board on the forms provided for that purpose. A member of the
public wishing to make a complaint must seek sponsorship of a complaint
through any officer or employee of the City of Glens Falls, including
but not limited to members of the Common Council.
(2)
The Board will review and respond within 30 days of receipt of the
complaint forms. At this point, a vote on whether the scope of the
complaint falls within the Board's function will be taken, with
the person(s) being notified of any action taken. If no action is
taken, only the person(s) initiating the complaint will be notified
of the inaction.
(3)
If the complaint falls within the Board's function, within 30
days of the Board's initial response the person(s) will be scheduled
to appear before the Board to address the complaint. This phase will
be an initial fact-finding meeting with the persons initiating the
complaint. The Board will call for another vote on whether to further
investigate the complaint. The person(s) filing the complaint will
be notified of the Board's decision. Failure to appear with result
in the automatic dismissal of the complaint.
(4)
If an investigation is warranted, the person(s) under investigation
will be notified that such an action is underway. The Board will schedule
a meeting with the person(s) mentioned in the complaint within 30
days of the mailing of the notice. Following the scheduled meeting,
the Board will take a vote on whether to continue with a full investigation,
with all parties given written notification of the Board's decision.
(5)
Upon completion of the investigation, the Board will issue a recommendation
to the Common Council in executive session, along with the Board's
advise on the proper course of action.
(6)
All relevant documents (including but not limited to original complaint
forms, notification forms, decision forms with explanation) will be
kept on permanent file.
(7)
All correspondence to the Board must be sent registered mail.
A.
Any official or employee who engages in any action that violates
any provision of this Code of Ethics 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
applicable penalty contained in any other provision of law. The appointing
authority or person authorized by law to impose the sanctions described
in this section shall be guided by the requirements otherwise described
in this Code of Ethics.
B.
If any official or employee files a statement with the intent to
deceive, intentionally misrepresent, or otherwise to withhold fraudulently
any information asked for or demanded in the statement, and if any
deception or misrepresentation is found by the Ethics Board to be
both intentional and material, then such official or employee shall
be terminated immediately as provided by law.
C.
Nothing in this section will be construed as precluding the prosecution
of officials or employees for violations of any offense, criminal
or civil, pursuant to the laws, statutes or ordinances of the State
of New York.
