As used in this chapter, the following terms shall have the
meanings indicated:
ADMINISTRATIVE OFFICER
An employee with administrative responsibilities that may
include rendering ministerial acts or ministerial decisions.
AGENCY
Any Town authority, agency, board, bureau, commission, committee
or council created by law or appointed by the Town Board or Town Supervisor,
except for an advisory committee.
APPEAR and APPEAR BEFORE
Communicating in any form, including, without limitation,
personally, through another person, by letter, by telephone or by
electronic communication, with or without compensation.
BENEFIT
Any gain or advantage to the beneficiary, and includes any
gain or advantage to a third person pursuant to the desire or consent
of the beneficiary, and any promise thereof. The term "benefit" does
not include campaign contributions authorized by law.
CLIENT or CUSTOMER
A.
Any person to whom a Town officer or employee has supplied goods
or services during the previous 24 months having, in the aggregate,
a value greater than $1,000; or
B.
Any person to whom a Town officer's or employee's outside employer
or business has supplied goods or services during the previous 24
months having, in the aggregate, a value greater than $1,000 but only
if the officer or employee knows or has reason to know the outside
employer or business supplied the goods or services.
CONSULTANT
Any individual, association, partnership or corporation or
any employee or agent thereof who has been retained to assist any
board or agency in the discharge of its duties. "Consultant" shall
also include any business partner, employer or members of the consultant's
firm or company.
CONTRACT
As defined in Article 18 of the General Municipal Law, any
claim, account or demand against or agreement with the Town, express
or implied.
ETHICS BOARD
The Ethics Board of the Town of Riverhead established pursuant to §
105-30 of Chapter
105, Article
VII, Ethics Board, of the Code of the Town of Riverhead.
INTEREST
As defined in Article 18 of the General Municipal Law, a
direct or indirect pecuniary or material benefit accruing to a Town
officer or employee as the result of a contract with the Town which
such officer or employee serves. For purposes of this chapter, a Town
officer or employee shall be deemed to have an interest in the contract
of:
A.
His or her spouse or relative as defined herein, except a contract
of employment with the Town which such Town officer or employee serves.
B.
A firm, partnership or association of which such Town officer
or employee is an officer, member or employee.
C.
A corporation of which such Town officer or employee is an officer,
director, or employee.
D.
A corporation of which any stock is owned or controlled directly
or indirectly by such Town officer or employee.
OUTSIDE EMPLOYER OR BUSINESS OF A TOWN OFFICER OR EMPLOYEE
A.
Any activity, other than service to the Town, from which the
Town officer or employee receives compensation, or anticipates or
has reason to anticipate receiving compensation, for services rendered
or goods sold or produced; or
B.
Any person from whom or from which the Town officer or employee
receives compensation, or anticipates or has reason to anticipate
receiving compensation, for services rendered or goods sold or produced;
or
C.
Any entity, other than the Town, of which the Town officer or
employee is a member, officer, director, or employee, or with which
the Town officer or employee anticipates or has reason to anticipate
becoming a member, officer, director, or employee within the next
24 months; or
D.
Any entity in which the Town officer or employee has an ownership
interest, unless the Town officer or employee owns less than 5% of
such entity, and such interest is worth less than $10,000; or
E.
Any entity in which the Town officer or employee anticipates
or has reason to anticipate obtaining or receiving an ownership interest,
unless the ownership interest in question constitutes less than 5%
of such entity, and such interest is worth less than $10,000; or
F.
Any activity, person or entity described in Subsections
A through
E above with which the Town officer or employee ceased to have any involvement or participation, or ceased to hold any position, or from which the Town officer or employee ceased to receive any compensation within a period of less than 24 months from the date when the Town officer or employee disclosed the termination of the outside employer or business relationship to the Board of Ethics pursuant to §
113-9.
PARTICULAR MATTER
Any case, proceeding, application, request for a ruling or
benefit, determination, contract limited to the duration of the contract
as specified therein, investigation, charge, accusation, arrest or
other similar action which involves a specific party or parties, including
actions leading up to a particular matter, provided that a particular
matter shall not be construed to include the proposal, consideration
or enactment of local laws or resolutions by the Town Board, or any
action on the budget.
PERSON
A human being, a public or private corporation, an unincorporated
association, a partnership, a government or a governmental instrumentality.
POLITICAL PARTY COMMITTEE
Any corporation or committee which operates to aid or promote
the success or defeat of a political party and/or the election or
defeat of any candidate, within the Town of Riverhead.
RELATIVE
A spouse, former spouse, child, stepchild, stepparent, or
any person who is a direct descendant of the grandparents of the reporting
individual or of the reporting individual's spouse, as well as any
person claimed as a dependent on the reporting individual's most recently
filed state personal income tax return.
SPOUSE OF A TOWN OFFICER OR EMPLOYEE
As defined in Article 18 of the General Municipal Law, the
husband or wife of the Town officer or employee unless living separate
and apart 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.
TOWN
The Town of Riverhead, but shall not be construed to include
a Town Judge, Town Justice or officer of the Unified Court System.
TOWN OFFICER OR EMPLOYEE
An officer or employee of the Town of Riverhead, whether
paid or unpaid, elected or appointed, including members of any administrative
board, commission or other agency thereof. No person shall be deemed
to be a Town officer or employee solely by reason of being a volunteer
fireman or civil defense volunteer. A Town officer or employee shall
not include a Judge, Justice or officer of the Unified Court System.
UNEMANCIPATED CHILD OF A TOWN OFFICER OR EMPLOYEE
As defined in Article 18 of the General Municipal Law, any
son, daughter, stepson or stepdaughter who is under age 18 years,
unmarried and living in the household of the Town officer or employee.
Whenever this chapter requires any person to file documents
or information with the Town Clerk, such filing shall be made in duplicate.
The Town Clerk shall stamp both copies with the date received, retain
one copy, and forward the second copy immediately to the Board of
Ethics.
When any Town officer or employee, or any contracting party, has been found to have violated §
113-4,
113-5 or
113-10 of this chapter in connection with any contract or agreement entered into by or with the Town, such contract shall be void unless ratified by the Town Board after full disclosure of the facts and circumstances of all violations. No vote to ratify any contract pursuant to this section shall be taken without a report and recommendation of the Ethics Board pursuant to §
105-35D. However, any contract that violates § 801 of Article 18 of the General Municipal Law cannot be ratified and is void.
The provisions of §§
113-4 and
113-5 of this chapter shall not prohibit or require recusal or transactional disclosure as a result of:
A. An action specifically authorized by statute, rule, or regulation
of the United States or by the State of New York; or
C. Gifts to the Town officer or employee which are:
(1) Received from his or her parent, spouse, or child; or
(2) Valued at less than $75 in aggregate from any person during any twelve-month
period; or
(3) Accepted on behalf of the Town and transferred to the Town; or
(4) Benefits having a value of $75 or less that are received by a Town
officer or employee listed in § 11 of the Domestic Relations
Law of the State of New York for the solemnization of a marriage by
the Town officer or employee at a place other than his or her normal
public place of business or at a time other than his or her normal
hours of business; or
D. Receipt of Town services or benefits, or use of Town facilities,
on the same terms and conditions as such services or benefits are
available to residents or a class of residents in the Town; or
E. Representation of constituents by elected Town officials without
compensation in matters of public advocacy.
[Amended 7-3-2007 by L.L. No. 21-2007]
A. Town officers and employees required to file an annual financial
and conflict disclosure statement. All elected officials, all Town
department heads, Planning Board members, Zoning Board of Appeals
members, Architectural Review Board members, Conservation Advisory
Council members, Deputy Town Supervisor, Town Attorney, Deputy Town
Attorneys, persons who are certified as Code Enforcement Officials
as provided by Title 19 of the New York Code of Rules and Regulations
Part 434, Building Inspectors, the Ethics Board, the Board of Assessment
Review, the Industrial Development Agency, the Farmland Preservation
Committee, the Open Space/Park Preserve Committee, Accessory Apartment
Review Board, and certain Town officers and employees and members
of appointed boards and committees, as determined by the Town Board
by resolution, are required to file a signed annual financial disclosure
and conflict statement, which must be signed by the individual Town
officer or employee.
[Amended 4-15-2008 by L.L. No. 14-2008; 8-5-2008 by L.L. No. 29-2008; 6-16-2009 by L.L. No.
36-2009; 5-7-2013 by L.L. No. 7-2013]
B. Time and place for filing.
(1) Annual financial disclosure and conflict statements shall be filed
with the Town Clerk on or before March 15 of each year.
[Amended 11-18-2008 by L.L. No. 46-2008]
(2) Newly elected officials shall file their first annual financial disclosure
and conflict statement with the Town Clerk within 30 days after appointment
and on or before each subsequent March 15 thereafter.
[Amended 11-18-2008 by L.L. No. 46-2008]
(3) Additional time to file. Town officials and employees who are required
to file an annual financial disclosure and conflict statement may
request from the Ethics Board an extension of time to file upon a
showing of justifiable cause or hardship; provided, however, that
such extension may not exceed 60 days.
(4) Public inspection. Annual financial disclosure and conflict statements
required to be filed pursuant to this chapter shall be available for
public inspection in the office of the Town Clerk.
C. Contents of the annual financial disclosure and conflict statement.
The annual financial disclosure and conflict statement shall be upon
the form established by the Riverhead Town Board and on file in the
Town offices, which requires a sworn statement by the Town officers
and employees required to file said statement as provided herein.
D. Amendments, corrections and update.
(1) A Town officer or employee who becomes aware of any changes necessary, misstatement or a deficiency in his or her annual financial disclosure and conflict statement shall file an amendment or correction thereof within 30 days of the date when he or she learns of the misstatement or deficiency. Timely filing of an amendment or correction pursuant to this subsection shall include disclosure of a possible misstatement or deficiency in connection with a request for an advisory opinion pursuant to §
105-37 and shall be deemed a complete defense to any allegation of unethical conduct in connection with the initial misstatement or deficiency.
(2) Within 30 days of any change in information disclosed pursuant to Subsection
C of this section, the Town officer or employee shall file an updated annual financial disclosure and conflict statement. This subsection may be satisfied by a letter specifying the specific change or changes, filed with the Town Clerk pursuant to §
113-3.
E. Failure to disclose.
(1) If a person required to file an annual financial disclosure and conflict
statement has failed to file a disclosure statement or has filed a
deficient statement, the Ethics Board 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 make such filing or cure such
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 Ethics Board shall send a notice
of delinquency to the reporting person and to the Town Board. Any
officer or employee who is required to file annual financial disclosure
and conflict statements and fails to do so following the notification
and cure period set forth in this section may be fined an amount not
to exceed $1,000.
(2) A finding and the imposition of a fine may only be made by the Town
Board upon a referral to and recommendation from the Ethics Board.
This section applies to applicants seeking approvals from Town
agencies or ministerial acts.
A. Where a person requests the Town or a Town officer or employee to take or refrain from taking any action (other than a ministerial act) that may result in a benefit to the applicant and to any officer or employee of the Town or any other person listed in §
113-4B, the applicant shall disclose the names of any such persons, to the extent known to the applicant at the time of the request.
B. If the request is made in writing, the disclosure shall accompany
the request. If the request is oral and made at a meeting of a public
body, the disclosure shall be set forth in the public record. If the
request is not made at a meeting of a public body, the Town officer
or employee to whom it is directed shall take no action upon the request
until it has been submitted in writing, together with the necessary
disclosure, and filed with the Town Clerk.
This section applies to applicants seeking approvals from Town
agencies or ministerial acts.
A. Every application, petition or request submitted for a variance,
amendment, change of zoning, approval of a subdivision map, site plan,
special exception use, request for exemption from a subdivision map
or Official Map, license or permit or grant requiring approval from
the Town Board or a Town agency, pursuant to the provisions of any
ordinance, local law, rule or regulation constituting the zoning and
planning regulations of the Town shall state the name, residence and
the nature and extent of the interest of any state officer, any officer
or employee of the Town or of a municipality of which the Town is
a part, or any executive board member of any political party committee
in the person, partnership or association making such application,
petition or request (hereinafter called the "applicant") to the extent
known to such applicant as is required by § 809 of the General
Municipal Law of the State of New York.
B. For the purpose of this section, an officer or employee shall be
deemed to have an interest in the applicant when he, his spouse or
their brothers, sisters, parents, children, grandchildren or the spouse
of any of them:
(2) Is an officer, director, partner or employee of the applicant; or
(3) Legally or beneficially owns or controls stock of a corporate applicant
or is a member of a partnership or association applicant; or
(4) Is a party to an agreement with such an applicant, express or implied,
whereby he may receive any payment or other benefit, whether or not
for services rendered, dependent or contingent upon the favorable
approval of such application, petition or request.
C. Ownership of less than 5% of the stock of a corporation whose stock
is listed on the New York or American Stock Exchanges shall not constitute
an interest for the purposes of this section.
D. A person who knowingly and intentionally violates this section shall
be guilty of a misdemeanor as provided in § 809 of the General
Municipal Law.
E. The affidavit form to be submitted pursuant to Subsection
A above shall be as follows:
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STATE OF NEW YORK
COUNTY OF SUFFOLK
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)
) ss.:
)
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____________________________ being duly sworn deposes and says
that he (or) she is ___________________ (Owner or Agent for Owner)
for the property above described. That all statements made in this
application are true to the best of his (or) her knowledge and belief,
except as to any matter therein stated to be alleged on information
and belief; as to such matters he (or) she believes the same to be
true, and that any accompanying or attached map is subsequently correct.
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STATE OF NEW YORK
COUNTY OF SUFFOLK
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)
) ss.:
)
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The undersigned further states that no state officer, executive board member of any political party committee, or employee of the Town of Riverhead (nor any such officer's, board member's or employee's spouse, brother, sister, parent, child, grandchild or the spouse of any of them), has an interest, direct or indirect, in the person, partnership or association making the application. (If such an interest exists, the nature and extent of the interest must be stated. "Interest" is further defined in § 113-2 of the Riverhead Town Code.)
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Signature
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Print Name
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Sworn to before me this _____ day of _______________, 20 ____.
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Notary Public, Suffolk County
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[Amended 7-3-2007 by L.L. No. 21-2007; 11-18-2008 by L.L. No.
46-2008]
Within 90 days after the effective date of this chapter, and
during the month of January each year thereafter, the Town Supervisor
shall:
A. Cause to be filed with the Ethics Board a list of the names and offices or positions of all Town officers and employees required to file annual financial disclosure and conflict statements pursuant to §
113-10 of this chapter; and
B. Notify all such officers and employees of their obligation to file
an annual financial disclosure and conflict statement on the current
year's form; and
C. Notify all new officers and employees, subject to §
113-10, within 10 days of appointment of their obligation to file an annual financial disclosure and conflict statement on the current year's form within 30 days and on or before March 15 of each year thereafter.
The Ethics Board shall index and maintain on file for at least
seven years all disclosure statements and records filed with the Ethics
Board pursuant to this chapter. The records must be stored in a Town-owned
and -operated facility within the Town of Riverhead.
This chapter shall take effect upon filing with the Secretary of State and Office of the State Comptroller pursuant to the Municipal Home Rule Law. The specific provisions of §
113-4I, Revolving door, shall apply only to those Town officers or employees employed by the Town on or after January 1, 2005.