Town of Riverhead, NY
Suffolk County
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Table of Contents
Table of Contents
[HISTORY: Adopted by the Town Board of the Town of Riverhead 11-16-2004 by L.L. No. 52-2004 (Ch. 18, §§ 18-1 through 18-17 and 18-29 through 18-33, of the 1976 Code). Amendments noted where applicable.]
GENERAL REFERENCES
Town officers and employees — See Ch. 103.
Defense and indemnification — See Ch. 111.
A. 
The proper administration of government requires Town officers and employees, whether elected or appointed, paid or unpaid and/or serving as a member of any administrative board, commission or other agency, to act fairly, impartially and without taint of conflict of interest in fulfilling their public responsibilities. It is the purpose of this chapter to provide standards of conduct, in addition to those set forth in Article 18 of the General Municipal Law, to assist Town officers and employees in discharging their duties in a proper and ethical manner and to provide for annual disclosure and/or transactional disclosure by elected officials and applicants in order to ensure impartiality and fairness in the administration of local government.
B. 
Purposes. Specifically, the purposes of this chapter are:
(1) 
To enable and require the officers and employees of the Town to act fairly, impartially, without taint of conflict of interest and without any appearance of conflict of interest in fulfilling their public responsibilities;
(2) 
To set high standards for ethical conduct by officers and employees of the Town;
(3) 
To afford officers and employees of the Town clear guidance concerning such standards, including specific guidance in the form of advisory opinions;
(4) 
To promote public confidence in the integrity of the government and administration of the Town and its agencies and administrative offices;
(5) 
To facilitate consideration of potential ethical problems before they arise, minimize unwarranted suspicion, and enhance the accountability of government to the people;
(6) 
To provide fair and speedy resolution of questions and complaints concerning the conduct of officers and employees of the Town;
(7) 
To protect the public from unethical conduct and to protect the officers and employees of the Town from frivolous claims;
(8) 
To educate the public, officers and employees of the Town regarding this Code of Ethics.
C. 
Construction with other provisions. Any requirements or standards set forth in this chapter are in addition to other requirements, prohibitions or rules governing ethical conduct set forth in Article 18 of the General Municipal Law or any other general or special law relative to ethical conduct and interests in municipal contracts.
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.
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.
FORMER TOWN OFFICER OR EMPLOYEE
Any person who held at any time in the past any position described in the definition of a "Town officer or employee."
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.
MINISTERIAL ACT or MINISTERIAL DECISION or MINISTERIAL MATTER
An administrative action performed in a prescribed manner not allowing for substantial personal discretion.
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.
SUBORDINATE OF A TOWN OFFICER OR EMPLOYEE
Any other Town officer or employee over whose activities he or she has direction or control, either directly or indirectly.
SUPERVISOR OF A TOWN OFFICER OR EMPLOYEE
Any other Town officer or employee who has direction or control, either directly or indirectly, over the activities of that Town officer or employee.
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.
A. 
Ethical conduct. In fulfilling their public responsibilities, Town officers and employees shall act fairly, impartially, without taint of conflict of interest and without any appearance of conflict of interest.
B. 
General prohibitions.
(1) 
Except as provided for in Subsection B(3) below, a Town officer or employee shall not use his or her official position or office, or take or fail to take any action, in a manner which he or she knows or has reason to know may result in a benefit to any of the following persons:
(a) 
The Town officer or employee who shall have taken or failed to take said action; or
(b) 
The outside employer or business of the Town officer or employee; or
(c) 
Any person who shares the residence of the Town officer or employee; or
(d) 
A customer or client of the Town officer or employee; or
(e) 
A relative of the Town officer or employee; or
(f) 
A person from whom the Town officer or employee has received election campaign contributions to his or her individual campaign committee aggregating more than $1,000 during either the officer's most recent or current campaign for public office.
(2) 
A Town officer or employee shall not use his or her official position or office, or induce any of the persons listed above, to impose financial detriment or harm upon any person without reasonable justification.
(3) 
Recusal. A Town officer or employee shall promptly recuse himself or herself from acting on a matter before the Town when acting on the matter, or failing to act on the matter, may benefit any of the persons listed in Subsection B(1) above. Recusal is not required by an elected Town official so long as any relationship described in Subsection B(1) above is disclosed as part of the public record, in accordance with the provisions of this chapter.
C. 
Gifts.
(1) 
In accordance with § 805-a of Article 18 of the General Municipal Law, a Town officer or employee shall not directly or indirectly solicit any gift, nor accept any gift having a value of $75 or more from any person, 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 or could reasonably be expected to influence him or her in the performance of official duties or was intended as a reward for any official action on his or her part.
(2) 
In particular, it is a conflict of interest for a Town officer or employee to accept anything worth more than $75 from any of the following:
(a) 
A person who is currently seeking a benefit from the Town; or
(b) 
A person who the Town officer or employee knows, or has reason to know, will seek a benefit from the Town within the 12 months following the solicitation or acceptance; or
(c) 
A person who the Town officer or employee knows or has reason to know has received or sought a benefit from the Town within the 12 months preceding the solicitation or acceptance.
D. 
Confidential information.
(1) 
In accordance with § 805-a of Article 18 of the General Municipal Law, a Town officer or employee, and a former Town officer or employee, shall not disclose any confidential or privileged information that he or she has acquired in the course of his or her official duties, except as provided for in Subsection D(3) of this subsection.
(2) 
A Town officer or employee, and a former Town officer or employee, shall not use any confidential or privileged information that he or she has acquired in the course of his or her official duties to further or to harm the interests of any person or further his or her personal interests.
(3) 
A Town officer or employee may disclose confidential or privileged information in the following situations:
(a) 
If the Town officer or employee is acting in furtherance of his or her official duties; or
(b) 
Pursuant to the order of a court of competent jurisdiction; or
(c) 
When authorized to do so pursuant to an advisory opinion of the Board of Ethics.
E. 
Representation; appearances. To supplement the provisions of § 805-a of Article 18 of the General Municipal Law, which prohibits representation before a Town agency over which the Town officer or employee has jurisdiction and also prohibits representation before any Town agency on any matter for a contingent fee, a Town officer or employee shall not:
(1) 
Represent any other person in any matter before any Town agency in which the Town officer or employee is, or may be, called upon to render any decision on behalf of the Town; or
(2) 
Represent any other person in any matter against the interest of the Town; or
(3) 
Appear before any agency of the Town, except on behalf of the Town, or on his or her own behalf.
F. 
Investment in conflict with official duties. Whenever a Town officer or employee holds an investment, directly or indirectly, in any financial, business, commercial or other private transaction which creates a conflict with his or her official duties, he or she shall provide public disclosure in accordance with § 113-5D and shall refrain from involvement in the matter which creates such conflict with his or her official duties.
G. 
Private employment. A Town officer or employee 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 his or her official duties. This shall not be construed to apply to private employment outside of the jurisdictional limits of the Town, or whenever a Town officer or employee has provided public disclosure in accordance with § 113-5B and has acted in accordance with § 113-5D.
H. 
Political solicitation. No Town officer or employee shall, with undue influence, individually request, or knowingly authorize anyone else to individually request, any other Town officer or employee to participate in an election campaign or contribute to a political party committee. This shall not be construed to prevent requests which are mailed and are in form and substance the same as those mailed to nonemployees.
I. 
Revolving door.
(1) 
For a period of six months following service on a Town agency, a former Town officer or employee shall not appear or practice before his or her former Town agency, except on his or her own behalf; provided, however, that nothing contained herein shall be deemed to prohibit a former Town officer or employee from making communications with the agency served by the Town officer or employee which are incidental to an otherwise permitted appearance in an adjudicative proceeding before another agency or body or a court, unless the proceeding was pending in the agency served during the period of the Town officer or employee's service with that agency.
(2) 
No former Town officer or employee shall, at any time, appear before any Town agency, or perform any work, whether paid or unpaid, for any person, in connection with any particular matter on which the Town officer or employee personally participated in and substantially worked on during the period of his or her employment with the Town or which was under his or her active consideration.
(3) 
No former Town officer or employee shall, after leaving Town service, disclose or use for private advantage any confidential information gained from public service which is not otherwise made available to the public; provided, however, that this shall not prohibit any former Town officer or employee from disclosing any information concerning conduct which he or she knows or reasonably believes to involve waste, inefficiency, corruption, criminal activity or conflict of interest.
(4) 
The prohibitions on appearances and practice after leaving Town employment, as described in Subsection I(1) and (2) above, shall not apply to positions with or representation on behalf of any local, county, state or federal agency.
(5) 
Nothing contained in this subsection shall prohibit a former Town officer or employee from being associated with or having a position in a firm which appears before a Town agency on any matter or from acting in a ministerial manner on any matter regarding business dealings with the Town.
J. 
Consultants.
(1) 
Except as provided in Subsection J(2), (3) and (4) below, to avoid potential conflicts of interest, a Town consultant shall not appear on behalf of any other client before the Town or any agency thereof during the period of service to the Town by the consultant. The Town shall specify the restriction in any written contracts entered into between the Town and consultants. However, failure of the contract to state the restriction shall not affect the enforcement of this section of the Town's Ethics Code.
(2) 
The restrictions contained in this chapter shall not apply to consultants which:
(a) 
Operate a business located within the Town and have been retained by the Town to perform a contract valued at $25,000 or less; or
(b) 
Have a written contract with the Town in which the Town Board has expressly authorized an exemption for the consultant from the provisions of the Town's Ethics Code; or
(c) 
Have received a special waiver from the Town's Ethics Board pursuant to Subsection J of this section.
(3) 
Nothing in this subsection shall be construed to prohibit a consultant from:
(a) 
Appearing on his own behalf, or on behalf of the Town, before a Town agency;
(b) 
Seeking or obtaining a ministerial act from an administrative officer; or
(c) 
Receiving a Town service or benefit, or using a Town facility, on the same terms on which such service, benefit or facility is available to the public.
(4) 
Special waiver. A consultant may make appearances before Town agencies otherwise prohibited by this section, upon written approval of the Ethics Board and the consent of the involved Town agencies. The Ethics Board shall consider such approval on a case-by-case basis taking into account for such findings the following criteria:
(a) 
The general expertise of the consultant.
(b) 
The expertise of the consultant relative to the particular matter.
(c) 
The extent of the consultant's involvement both for the Town and for the private client(s).
(d) 
The extent of the fees, past or future, to be paid to the consultant by the Town.
(e) 
The impact such appearances may have on the public trust.
(f) 
The statement of necessity from the involved Town agency.
(g) 
The standard for this waiver is intended to be less stringent than that contained in § 105-36 of this Code. Such findings shall be detailed in writing by the Ethics Board and filed with the office of the Town Clerk.
K. 
Avoidance of conflicts.
[Amended 7-21-2015 by L.L. No. 12-2015]
(1) 
A Town officer or employee shall not knowingly acquire, solicit, negotiate for, or accept any benefit, interest, employment, or other thing of value that would put him or her in violation of this Code of Ethics.
(2) 
No person who, by appointment or election, shall serve as an executive board member of a Town, county, state or national committee of a political party committee or any subdivision thereof shall hold appointive office on the Planning Board, Zoning Board of Appeals, Architectural Review Board, Board of Assessment Review, Conservation Advisory Council or Ethics Board or be a member of or be the Executive Director of the Town of Riverhead Industrial Development Agency or be a Town of Riverhead department head.
(3) 
No person, by appointment or election, shall serve as an executive board member of a Town, county, state or national committee of a political party committee or any subdivision thereof if he or she is an elected official of the Town of Riverhead.
(a) 
Any person who is a member of the executive board of one of the aforementioned political party committees detailed in Subsection K(2) and (3) shall deliver to the Town Clerk, within five days of his or her appointment to one of the Town boards listed above, evidence of his or her resignation from the executive board of said political party committee.
(b) 
Any person who is currently a member of any aforementioned appointive board, an executive director, a department head or a Town of Riverhead elected official and currently is a member of an aforementioned executive board of a political party committee shall deliver to the Town Clerk such documentation establishing compliance with Subsection K(2) and (3) within 20 days of the date of enactment of this chapter.
A. 
Prohibited interests in contracts. No Town officer or employee shall have an interest in a contract with the Town, or an interest in a bank or trust company, as prohibited by § 801 of Article 18 of the General Municipal Law of the State of New York. 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 Article 18 of the General Municipal Law.[1]
[1]
Editor's Note: Amended at time of adoption of Code (see Ch. 101, General Provisions, Art. I).
B. 
Disclosable interests in contracts or legislation.
(1) 
In accordance with § 803 of the General Municipal Law, whenever a Town officer or employee has, will have, or later acquires an interest in any actual or proposed contract with the Town, he or she shall publicly disclose the nature and extent of such interest in writing to the relevant Town agency as soon as he or she has knowledge of such actual or prospective interest. Such written disclosure shall be made part of and set forth in the official record of the proceedings of such Town agency.
(2) 
To the extent that the Town officer or employee knows thereof, that a relative of the Town officer or employee has, will have or later acquires an interest in any actual or proposed contract with the Town, the Town officer or employee shall publicly disclose the nature and extent of such interest in writing to the relevant Town agency as soon as he or she has knowledge of such actual or prospective interest. Such written disclosure shall be made part of and set forth in the official record of the proceedings of such Town agency.[2]
[2]
Editor's Note: Amended at time of adoption of Code (see Ch. 101, General Provisions, Art. I).
(3) 
To the extent that the Town officer or employee knows thereof, that any relative of the Town officer or employee has an interest gained by the sale of a service or property to the Town, the Town officer or employee shall publicly disclose the nature and extent of such interest in writing to the relevant Town agency as soon as he or she has knowledge of such actual or prospective interest. Such written disclosure shall be made part of and set forth in the official record of the proceedings of such Town agency.
(4) 
To the extent that the Town officer or employee knows thereof, the Town officer or employee, whether paid or unpaid, shall publicly disclose the nature and extent of any direct or indirect financial or other private interest in any matter, application, petition, or pending legislation in writing to the relevant Town agency. Such written disclosure shall be made part of and set forth in the official record of the proceedings of such Town agency.
(5) 
To the extent that the Town officer or employee knows thereof that any relative of the Town officer or employee has any direct or indirect financial or other private interest in any matter, application, petition, or pending legislation before any Town agency, the Town officer or employee shall publicly disclose the nature and extent of any direct or indirect financial or other private interest in any matter, application, petition, or pending legislation in writing to the relevant Town agency. Such written disclosure shall be made part of and set forth in the official record of the proceedings of such Town agency.
(6) 
The Town Clerk shall cause a copy of that written disclosure to be filed promptly with the Ethics Board.
C. 
Violations. Any Town officer or employee who willfully and knowingly violates any provision of Subsection A of this section, Prohibited interests in contracts, shall be guilty of a misdemeanor pursuant to § 805 of Article 18 of the General Municipal Law.
D. 
Actions upon disclosure or refusal.
(1) 
Whenever a Town officer or employee makes a public disclosure pursuant to Subsection B of this section or is otherwise required to recuse himself or herself pursuant to § 113-4B(3) of this chapter, he or she shall immediately:
(a) 
Refrain from any further involvement in the matter; and
(b) 
Inform his or her immediate supervisor, if any; and
(c) 
Shall immediately disclose in writing to the Town Clerk and orally on the record the reason for said recusal.
(2) 
A Town officer or employee shall not be required to file a public disclosure statement pursuant to this section if he or she, with respect to the same matter, has filed with the Town Clerk an annual disclosure statement complying with requirements of § 113-10 of this chapter.
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
B. 
A ministerial act; 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.
A. 
No person, whether or not a Town officer or employee, shall solicit, importune, direct, induce, attempt to induce, aid or abet a Town officer or employee to violate any provisions of this chapter.
B. 
This section applies to all persons, whether or not a Town officer or employee. Pursuant to this chapter, any person found to have violated this section shall be subject to the imposition by the Town Board of civil fines pursuant to § 113-13B of this chapter and subject to debarment pursuant to § 113-14 of this chapter. Any person found to have violated this section may be further subject to additional sanctions, penalties, forfeitures and damages as provided by this chapter and any other applicable law.
A. 
Except as provided in Subsection C below, the outside employer or business of a Town officer or employee shall not appear before the Town agency in which the Town officer or employee serves or by which the Town officer or employee is employed.
B. 
Except as provided in Subsection C below, the outside employer or business of a Town officer or employee shall not appear before any Town agency if the Town officer or employee has the authority to appoint any officer, employee or member of the agency or to review, approve, audit or authorize any budget, bill, payment or claim of the agency.
C. 
Nothing in this section shall be construed to prohibit the outside employer or business of a Town officer or employee from:
(1) 
Appearing on its own behalf, or on behalf of the Town, before a Town agency; or
(2) 
Seeking or obtaining a ministerial act; or
(3) 
Receiving a Town service or benefit, or using a Town facility, on the same terms on which such service, benefit or facility is available to the public.
[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.[1]
[1]
Editor's Note: Amended at time of adoption of Code (see Ch. 101, General Provisions, Art. I).
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:
(1) 
Is the applicant; or
(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:
STATE OF NEW YORK
COUNTY OF SUFFOLK
)
) ss.:
)
____________________________ 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.
STATE OF NEW YORK
COUNTY OF SUFFOLK
)
) ss.:
)
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.)
Signature
Print Name
Sworn to before me this _____ day of _______________, 20 ____.
Notary Public, Suffolk County
A. 
Disciplinary action.
(1) 
Any Town officer or employee who engages in any action that violates any provision of this chapter may be warned, reprimanded, suspended, removed from office or employment, and may 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 penalty contained in this chapter or in any other provision of law.
(2) 
In its discretion, after a hearing providing for the due process procedural mechanisms and subject to any applicable provisions of law and collective bargaining agreements, the Ethics Board may recommend disciplinary action pursuant to this section. The recommendation of the Ethics Board shall be made to the Town Board, which is authorized by law to impose such sanctions. The Ethics Board shall conduct and complete the hearing with reasonable promptness, unless in its discretion the Ethics Board waives its opportunity to make a recommendation and instead refers the matter in writing to the Town Board. If such a referral is made, the Ethics Board shall close the matter.
B. 
Civil fine.
(1) 
Any person who violates any provision of this chapter may be subject to a civil fine not to exceed $1,500 for each violation. A civil fine may be imposed in addition to any other penalty contained in any other provision of law or in this chapter, other than a civil forfeiture pursuant to Subsection D of this section. A fine may only be imposed by the Town Board or appropriate court of law. A civil fine may not be imposed for a violation of § 113-5A.
(2) 
In its discretion, after a hearing providing for the due process procedural mechanisms and subject to any applicable provisions of law and collective bargaining agreements, the Ethics Board may recommend a civil fine not to exceed $1,500 for each violation upon any person found by the Ethics Board to have violated this chapter. The recommendation of the Ethics Board shall be made to the Town Board and shall be public. The Ethics Board shall conduct and complete the hearing with reasonable promptness, unless in its discretion the Ethics Board, without recommendation, refers the matter to the appropriate appointing authority, person or body for such action as the Town Board deems appropriate. If such a referral is made, the Ethics Board shall close the matter. The Town Board, in its discretion, is authorized to impose such fine subject to a hearing and any applicable provisions of law and collective bargaining agreements.
C. 
Damages.
(1) 
Any person who violates any provision of this chapter shall be liable in damages to the Town for any losses or increased costs incurred by the Town as a result of the violation. Such damages may be imposed in addition to any other penalty contained in any other provision of law or in this chapter, other than a civil forfeiture pursuant to Subsection D of this section.
(2) 
A finding of damages may only be made by the Town Board or an appropriate court of law.
D. 
Civil forfeiture.
(1) 
Any person who intentionally or knowingly violates any provision of this chapter may be subject to a civil forfeiture to the Town of a sum equal to three times the value of any financial benefit he or she received as a result of the conduct that constituted the violation. A civil forfeiture may be imposed in addition to any other penalty contained in any other provision of law or in this chapter, other than a civil fine pursuant to Subsection B of this section or damages pursuant to Subsection C. Civil forfeiture shall not be available for a violation of § 113-5A. Treble damages and/or civil forfeiture may only be imposed by a court of competent jurisdiction.
(2) 
The Town Board may initiate an action or special proceeding, as appropriate, in a court of competent jurisdiction to obtain civil forfeiture, pursuant to this section.
E. 
Misdemeanor. Any person, whether or not a Town officer or employee, who intentionally violates any provision of this chapter shall be guilty of a Class A misdemeanor and, upon conviction thereof, if a Town officer or employee, shall forfeit his or her Town office or employment, subject to any applicable provisions of law and collective bargaining agreements. This subsection shall not apply to a violation of § 113-5A.
F. 
Prosecutions. The Ethics Board may refer any information that it receives concerning a possible criminal violation to the appropriate prosecutor or other law enforcement agency. Nothing contained in this chapter shall be construed to restrict the authority of any prosecutor to prosecute any violation of this chapter or of any other law.
G. 
Limit on Ethics Board. Nothing in this section shall be construed to permit the Ethics Board to take any action with respect to any alleged violation of this chapter, or of any other law, by the Ethics Board or by any member or staff member thereof.
H. 
Town Board response to the Ethics Board. The Town Board shall, within 45 days of receipt of a written referral pursuant to this section from the Ethics Board, respond in writing and state in sum and substance the Town Board's intention with respect to the referral.
A. 
Any person, whether or not a Town officer or employee, who intentionally or knowingly violates any provision of this chapter shall be prohibited from entering into any contract with the Town for a minimum period of six months but not to exceed three years.
B. 
No person, whether or not a Town officer or employee, shall enter into a contract in violation of a bar imposed pursuant to Subsection A of this section.
C. 
Nothing in Subsections A or B above shall be construed to prohibit any person from receiving a service or benefit, or from using a facility, that is generally available to the public.
D. 
Any person, whether or not a Town officer or employee, who intentionally or knowingly violates any provision of this chapter shall be prohibited for a minimum period of six months but not to exceed three years from applying to the Town for any benefit except for benefits granted by ministerial act of Town officers or employees upon proof of residence.
E. 
Under this section, a corporation, partnership, or other entity shall not be held vicariously liable for the actions of an employee. A corporation, partnership, or other entity shall not be debarred because of the actions of an employee unless the employee acted in the execution of company policy or custom. A store, region, division, or other unit of an entity shall not be debarred because of the actions of an employee of that unit unless the employee acted at the direction, or with the actual knowledge or approval, of the manager of the unit.
F. 
In its discretion and after a hearing providing for due process procedural mechanisms and subject to any applicable provisions of law, the Ethics Board may recommend that the Town Board issue an order of debarment, pursuant to this section.
A. 
Any resident, officer, or employee of the Town may initiate an action or special proceeding, as appropriate, in the court of competent jurisdiction for injunctive relief to enjoin an officer or employee of the Town from violating this chapter or to compel an officer or employee of the Town to comply with the provisions of this chapter. In lieu of, or in addition to, injunctive relief, the action or special proceeding, as appropriate, may seek a declaratory judgment.
B. 
No action or special proceeding shall be prosecuted or maintained pursuant to Subsection A of this section unless:
(1) 
The plaintiff or petitioner shall have filed with the Ethics Board a sworn complaint alleging the violation by the Town officer or employee; and
(2) 
It shall appear by and as an allegation in the complaint or petition filed with the court that at least six months have elapsed since the filing of the complaint with the Ethics Board and that the Ethics Board has failed to file a determination in the matter; and
(3) 
The action or special proceeding shall be commenced within 10 months after the alleged violation occurred.
[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.[1]
[1]
Editor's Note: Original § 18-29 of the 1976 Code, Completion of present term by Town officer or employee, which immediately followed this section, was repealed at time of adoption of Code (see Ch. 101, General Provisions, Art. I).
A. 
No existing right or remedy shall be lost, impaired, or affected by reason of this chapter.
B. 
Nothing in this chapter shall be deemed to bar or prevent a present or former Town officer or employee from timely filing any claim, account, demand, or suit against the Town on behalf of himself or herself or any member of his or her family arising out of personal injury or property damage or any lawful benefit authorized or permitted by law.
A. 
Every Town officer or employee elected or appointed thereafter shall be furnished a copy of this chapter within 10 days after entering upon the duties of his or her position.[1]
[1]
Editor's Note: Amended at time of adoption of Code (see Ch. 101, General Provisions, Art. I).
B. 
Failure of the Town to comply with the provisions of this section or failure of any Town officer or employee to receive a copy of the provisions of this chapter shall have no effect on the duty of compliance with this chapter or on the enforcement of its provisions.
C. 
Posting. In accordance with § 807 of the General Municipal Law, the Town Supervisor shall cause a copy of §§ 800 through 809 of Article 18 of said law to be kept posted in each public building under the jurisdiction of the Town, in a place conspicuous to its officers and employees. Failure to post any such copy shall have no effect on the duty of compliance with said law nor with the enforcement of the provisions thereof.[2]
[2]
Editor's Note: Amended at time of adoption of Code (see Ch. 101, General Provisions, Art. I).
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.