[HISTORY: Adopted by the City Council of the City of Saratoga
Springs 4-11-2006 by L.L. No. 1-2006;[1] readopted 4-4-1994 by L.L. No. 1-1994; amended in its entirety 12-15-2015 by L.L. No. 2-2015.[2] Subsequent amendments noted where applicable.]
GENERAL REFERENCES
Defense and indemnification — See Ch. 9.
Pursuant to the provisions of § 806 of the General
Municipal Law, the City Council of the City of Saratoga Springs recognizes
that there are standards of ethical conduct for public officers and
employees which must be observed if a high degree of moral conduct
is to be expected and if public confidence is to be maintained by
our City government. It is the purpose of this chapter to promulgate
these rules of ethical conduct for officers and employees of the City
of Saratoga Springs. These rules shall serve as a guide for official
conduct of officers and employees of the City of Saratoga Springs.
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.
As used in this chapter, the following terms shall have the
meanings indicated:
Communicating in any form, including, without limitation,
personally, through another person, by letter, telephone, facsimile,
electronic mail, social media or by other means.
Includes the City Council and all departments, offices, boards,
committees, bureaus and instrumentalities of the government of the
City of Saratoga Springs.
Either:
Any data acquired through the course of employment or public
office which is protected from disclosure by law and/or through the
City's Red Flag Policy adopted by the City Council on January
4, 2011.
Any person to whom an officer or employee of the City of Saratoga
Springs has supplied goods or services, including, but not limited
to, professional services, during the previous 24 months, having,
in the aggregate, a value greater than $1,000; or
Any person to whom an officer's or employee's outside
employer or business has supplied goods or services, including, but
not limited to, professional 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.
Includes spouse, domestic partner, sibling, parent, children
(including children of spouse or domestic partner), grandchildren
and the spouses of any of them, and any member of the individual's
household.
Includes anything of value, including, but not limited to,
money, services, referrals, discounts, licenses, permits, contracts,
authorizations, loans, travel, entertainment, hospitality, or any
other gratuity or promise thereof. A financial transaction may be
a financial benefit but shall not be a gift unless it is on terms
not available to the general public. "Gift" and "financial benefit"
do not include campaign contributions authorized by law.
Any and all persons who reside in the same dwelling unit
as the officer or employee.
A legal entity created under the Not-for-Profit Corporation
Law of the State of New York.
An officer or employee of the City of Saratoga Springs, whether
paid or unpaid, including, without limitation, all officers, employees,
volunteers, interns and members of any advisory and/or decisionmaking
board, body, council, commission, agency, department, district, administration,
bureau, or committee of the City of Saratoga Springs. "Officer or
employee of the City of Saratoga Springs" shall not include a judge,
justice, officer, or employee of the Unified Court System.
Any activity, other than service to the City of Saratoga Springs,
from which the officer or employee of the City of Saratoga Springs
receives compensation, or the promise of compensation, for work performed,
services rendered or goods sold or produced while a City officer or
employee; or
Any entity, other than the City of Saratoga Springs, of which
the officer or employee of the City of Saratoga Springs is a member,
owner, principal, shareholder, officer, or employee and from which
he or she receives compensation for services rendered or goods sold
or produced; or
Any entity in which an officer or employee of the City of Saratoga
Springs has an ownership interest, except a corporation of which the
officer or employee of the City of Saratoga Springs owns less than
5% of the outstanding stock. For purposes of this definition, "compensation"
shall not include reimbursement for necessary expenses, including
travel expenses.
Includes both individuals and entities.
Any person serving or acting as the Chair, Vice Chair, First
Vice Chair, Secretary, Treasurer, delegate, or equivalent officers
by whatever name or title known, of any political party or committee
organized for the purpose of nominating persons for elective office
in the government of the City of Saratoga Springs.
Another officer or employee of the City of Saratoga Springs
over whose activities he or she has direction, supervision, or control.
A.
General prohibition. A City 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 personal financial benefit for any of the following persons:
(1)
The City officer or employee;
(2)
His or her outside employer or business;
(3)
A member of his or her household;
(4)
A customer or client;
(5)
A member of his or her family; or
(6)
Any firm, corporation, association, partnership or other organization
in which the City officer or employee, or a member of his or her family,
serves as an officer or director, whether compensated or not compensated.
B.
Specific City officers and employees.
(1)
Responsibilities.
(a)
Officers or employees who are professionally licensed. All City
officers and employees with professional licenses are prohibited from
knowingly exercising any discretion in any matter of City business
which shall involve any person or entity which is a client of his
or her business or firm or a business partner, contractor or subcontractor
in a business endeavor of his or her business or firm.
(b)
Officers or employees who are authorized to review engineering
drawings, conduct inspections and issue permits.
[1]
No City officer or employee who is authorized to review and
approve engineering drawings, conduct inspections or issue permits
shall engage in a business within the City or have a financial interest
in any firm engaged in a business within the City if said business
conducts, as a regular and significant part of its business, matters
requiring such inspections or such permits.
[2]
No officer or employee who is authorized to review and approve
engineering drawings, conduct inspections and/or issue permits shall
act as an expert witness for any entity other than the City, under
circumstances where all or part of his or her expert testimony is
based on certifications or credentials provided and/or paid for by
the City, while employed by the City.
[3]
Any such City officer and/or employee shall recuse himself/herself
from reviewing any engineering drawings, conducting any such inspection
or issuing any necessary permits that directly pertain to any person
or entity which is a customer or client of his or her business or
firm, or a person materially involved in a business endeavor of his
or her business or firm.
(c)
Public safety. No public safety officer shall have any interest
in or be employed in the City by any company, corporation, partnership,
association or individual for the purpose of providing private investigations,
accident reconstruction, fire prevention, fire inspection or any other
activity reasonably related to such public safety officer's employment
with the City. However, this subsection shall not be construed as
prohibiting membership or service in volunteer fire or emergency medical
organizations. Additionally, public safety officers may be employed
in the City for the purpose of providing security or traffic services
consistent with City policies.
(d)
The foregoing City officers and employees are listed due to
the unique nature of their offices and positions which, in turn, raises
ethical conflicts unique to those offices and positions. This list
is not to be deemed all-inclusive. Every City officer and employee
shall endeavor to pursue a course of conduct consistent with the spirit
of this chapter as well as the actual provisions and strive to act
so as not to raise suspicion among the public that he or she is likely
to be engaged in activities that are in violation of his or her trust.
C.
Gifts. Except as set forth below, a City officer or employee shall
not directly or indirectly solicit, accept or agree to accept any
gift or favor, whether in the form of money, services, loans, travel,
entertainment, hospitality, material items, promise or any other form,
under circumstances in which it could reasonably be inferred that
the gift was intended to influence such City officer or employee,
or could reasonably be expected to influence such City officer or
employee, in the performance of his or her official duties or was
intended as a reward for any official action taken by such City officer
or employee. This restriction shall not be construed as applying to
the following situations in which gifts or benefits are:
(1)
Received by the officer or employee from his or her parent, spouse,
child or sibling;
(2)
Accepted on behalf of the City and transferred to the City;
(3)
Received as refreshments or meals at a widely attended gathering;
(4)
Received for the solemnization of a marriage by an officer or employee
of the City of Saratoga Springs listed in § 11 of the Domestic
Relations Law at a place other than his or her normal place of business
or at a time other than his or her normal hours of business and which
have a value of $75 or less;
(5)
Received as nonmonetary awards from charitable organizations; or
(6)
Received as City services or benefits, or the use of City facilities,
generally available on the same terms and conditions to residents
or a class of residents in the municipality.
D.
Confidential information. He or she shall not disclose confidential
information acquired by him or her in the course of his or her official
duties or use such information to further his or her personal interest
or the personal interest of other individuals or entities for personal
gain or profit.
E.
Representation before one's own agency. He or she shall not
receive or enter into any agreement, express or implied, for compensation
for services to be rendered in relation to any matter before any municipal
agency of which he or she is an officer, member or employee or of
any municipal agency over which he or she has jurisdiction or to which
he or she has the power to appoint any member, officer or employee.
F.
Representation before any agency for a contingent fee. He or she
shall not receive or enter into any agreement, express or implied,
for compensation for services to be rendered in relation to any matter
before any agency of his or her municipality whereby his or her compensation
is to be dependent or contingent upon any action by such agency with
respect to such matter, provided that this subsection shall not prohibit
the fixing at any time of fees based upon the reasonable value of
the services rendered.
G.
Disclosure of interest in legislation. To the extent that he or she
knows thereof, any officer or employee of the City Council and any
officer or employee of the City, whether paid or unpaid, who participates
in the discussion or gives official opinion to the City Council on
any legislation before the City Council shall publicly disclose on
the official record at an open meeting the nature and extent of any
direct or indirect financial or other private interest he or she has
in such legislation, including any involvement in current or past
litigation.
H.
Investments in conflict with official duties. Officers and/or employees
shall not invest or hold any investment, directly or indirectly, in
any financial, business, commercial or other private transaction which
creates a conflict with their official City duties.
I.
Outside employer or business. Officers and/or employees shall not
engage in, solicit, negotiate for or promise to accept work for an
outside employer or business who does business with the City which
creates an implied conflict with or impairs the proper discharge of
his official duties or results in personal gain.
J.
Future employment. No officer and/or employee shall, after the conclusion
of service or employment with the City, appear before any board or
agency of the City in relation to any case, proceeding, project or
application in which he or she personally participated during the
period of his or her service or employment or which was under his
or her active consideration.
K.
Right to engage in political activity; prohibition on coercion; prohibition
on political solicitation in a City workplace.
(1)
Officers or employees shall not use City workplace to influence any
person to participate in an election campaign or political event or
to contribute to a political party, committee, campaign or candidate.
(2)
Officers or employees shall not use a City workplace to influence,
or authorize or request another to influence, any officer or employee
to support or refuse to support a political party, committee, campaign
or candidate.
(3)
Officers or employees shall not display, distribute or otherwise
utilize election campaign literature or materials at a City workplace;
however, this prohibition shall not be construed as prohibiting the
wearing of small lapel pins by any person.
(4)
Nothing in this subsection shall be construed to deny any officer
or employee the right to support or refuse to support any political
party, committee, campaign or candidate outside of the workplace.
L.
Inducement of others. No officer or employee of the City shall induce,
threaten or coerce or aid another officer or employee of the City
to violate any of the provisions of this Code of Ethics.
M.
City employees. No officer or employee of the City shall direct or
cause any subordinate officer or employee to do or perform any service
or work outside of the scope of his or her public work responsibilities
or employment.
N.
City property. No officer or employee shall use, request or permit
the use of City-owned property, including, but not limited to, vehicles,
equipment, materials or supplies, for personal convenience, use or
profit, except when such goods or services are available to the public
generally or are used by the officer or employee in compliance with
City policy for such use, or where the use of City-owned property
for personal use is part of the officer or employee's compensation.
O.
Conflict with other codes of conduct.
(1)
Because of the need for professional integrity and the fact that
various professional associations have adopted standards of ethics
and/or conduct for their members, the City hereby recognizes that
each City officer or employee who is affected by a professional Code
of Ethics and/or conduct be bound, in addition to this chapter, by
said Codes of Ethics and/or conduct. Any conflict between the provisions
of this chapter and a given professional code of conduct of a City
officer or employee shall be resolved by the Ethics Board. An officer
or employee's professional code of conduct shall be examined
in the context of the City Code of Ethics and the New York State Public
Officers Law for relevance and applicability as issues arise.
(2)
The Ethics Board is authorized and required to obtain advisory opinions
from the appropriate professional association to clarify any given
situation.
P.
Interest in contracts with the City.
(1)
Prohibited interests. No City officer or employee shall have any
financial interest in a business relationship, financial instrument,
contract with the City, or an interest in a bank or trust company,
that is prohibited by § 801 of the General Municipal Law
of the State of New York. Any contract willfully entered into by or
with the City in which there is an interest prohibited by that section
shall be null, void, and wholly unenforceable, to the extent provided
by § 804 of that law.
(2)
Disclosable interests. Any City officer or employee who has, will
have, or later acquires an interest in any actual or proposed contract
with the City shall disclose, in writing, the nature and extent of
that interest in accordance with § 803 of the General Municipal
Law and promptly file such written disclosure with the City Clerk.
The City Clerk shall cause a copy of that disclosure to be filed promptly
with the Ethics Board.
(3)
Violations. Any City officer or employee who willfully and knowingly
violates the provisions of this section shall be subject to penalties
as provided by § 805 of the General Municipal Law.
Q.
Recusal. When a City officer or employee is required to recuse himself
or herself under this Code of Ethics, he or she must state that he
or she is doing so at a public meeting on the public record. The officer
or employee shall immediately refrain from participating in the matter
further and must physically remove himself or herself from the room
where the matter is being discussed.
[Added 7-5-2017]
In addition to and not in limitation of other standards in this
chapter, the following standards shall apply to appointed members
of the Planning Board, Zoning Board of Appeals, and Design Review
Commission, hereinafter referred to as "land use boards":
A.
Required recusal. An appointed member of a land use board shall publicly
disclose on the official record at an open meeting, and shall recuse
himself or herself from participating further in reviewing an application
before his or her board, under any of the following circumstances:
(1)
During the 12 months preceding the filing of the application before
the member's board, the member has been employed, with or without
compensation, by either the applicant or the property owner named
in the application.
(2)
During the 12 months preceding the filing of the application before
the member's board, either the applicant or the property owner
named in the application has supplied goods and/or services to the
applicant, including but not limited to professional services, having
an aggregate value greater than $2,000.
(3)
During the 12 months preceding the filing of the application before
the member's board, the member has received from either the applicant
or the property owner named in the application a gift or gifts having
an aggregate value greater than $75.
(4)
At any time following the filing of the application before the member's
board, the member has received from either the applicant or the property
owner a gift valued at any amount.
(5)
The member is the owner of record of real property situated within
100 feet of the property that is the subject of the filed application.
(6)
Any
member of the member's family is presently employed by either
the applicant or the property owner named in the application.
(7)
The member is an officer of a financial institution that will be
financing, in whole or in part, the project that is the subject of
the application.
B.
Required disclosure. An appointed member of a land use board shall
publicly disclose on the official record at an open meeting any of
the following:
(1)
That during the 12 months preceding the filing of the application
before the member's board, the member was employed, with or without
compensation, by any agent representing the applicant or assisting
in the application.
(2)
Any ex parte communication between the member and an applicant who
has an application before the member's board, and/or an applicant's
representative, and/or any interested party. The member shall disclose
who he or she communicated with and the substance of what was communicated.
(3)
That the member is the owner of record of real property situated
within 500 feet of the property that is the subject of the application.
(4)
That the member is an officer or board member of any organization
that has submitted or will submit comments or input on the application.
(5)
That the member has a close personal relationship with the applicant
or the property owner named in the application.
C.
Recommended standards
(1)
Public comments and statements to news media should be communicated
by board chairs or by City staff. Such comments should be as brief
and limited as possible.
(2)
Former land use board members should not accept employment with applicants
who have appeared before their boards within 12 months after the member's
departure.
A.
Every official and employee listed in § 13-4C hereinafter must file an Annual Disclosure Form with the Board of Ethics. Annual Disclosure Forms shall be due for filing by February 15. Annual Disclosure Forms shall be maintained in the office of the City Attorney.
B.
With respect to members of boards, committees, commissions, task
forces and groups, if any person required to file a Disclosure Form
fails to do so by the required date, that person shall thereafter
be disqualified from serving as a member of his or her board until
such form shall be filed.
C.
Employees and officers who must file Annual Disclosure Forms:
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City Council members
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Deputy Commissioners and Deputy Mayor
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City Attorney
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Assistant City Attorney
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Members of Boards:
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Planning Board, Zoning Board of Appeals, Design Review Commission,
Board of Assessment Review, Board of Ethics, Civil Service Commission,
Recreation Commission, and Special Assessment District Boards, and
any and all other boards, committees, commissions, task forces, and
groups established by Charter or by local law, ordinance, or resolution
of the City Council
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Director of Finance
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City Tax Revenue Supervisor
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Assistant to Purchasing Agent
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Secretary to City Council
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Secretary to Civil Service Commission
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Building and Zoning Inspector
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Assistant Building and Zoning Inspectors
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Code Enforcement Officers
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Senior Planner
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Principal Planner
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City Engineer
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Assistant City Engineer
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Assistant Assessor
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Administrative Director of Recreation
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Director of Public Works
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Police Chief
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Assistant Police Chief
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Fire Chief
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Assistant Fire Chief
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Fire Inspectors
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Administrator of Planning and Economic Development
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Human Resource Administrator
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Director of Risk and Safety
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Administrator of Parks, Recreation and Open Space
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A.
Ethics Board established. The Board of Ethics for the City of Saratoga
Springs, which shall consist of five members, is hereby established,
one of whom shall be an officer or employee of the City. The City
Attorney, or Assistant City Attorney in his or her stead, shall serve
as counsel to the Board of Ethics.
B.
Qualifications of members of Ethics Board.
(1)
No Ethics Board member shall hold office in a political party or
hold elective office in the City.
(2)
At any given time, no more than two Ethics Board members may be registered
in the same political party, except that this requirement shall not
apply to the City officer or employee.
(3)
Ethics Board members must be residents of the City throughout their
tenure as Board members; provided, however, that a member appointed
because he or she is an officer or employee of the City shall not
be subject to this requirement.
C.
Appointment of Ethics Board members; term of office.
(1)
The Mayor shall appoint the members of the Ethics Board, with the
consent of a majority of the City Council. The Board of Ethics shall
select its Chairperson annually.
(2)
Each Board member shall be appointed to a five-year term.
(3)
An Ethics Board member shall serve until his or her successor has
been appointed. Consecutive service on an Ethics Board shall not exceed
two full terms.
D.
Ethics Board vacancies. Vacancies on the Board of Ethics shall be
filled by Mayoral appointment with City Council approval for the unexpired
term of the member.
E.
Removal of Ethics Board members. An Ethics Board member may be removed
from office by the City Council for failure to meet the qualifications
set forth in this chapter, substantial neglect of duties of office,
or violation of this chapter, after written notice and opportunity
for reply.
F.
Ethics Board meetings. The Ethics Board shall meet at least quarterly.
A quorum shall be three members, and a majority of the full Board
shall be required for the Ethics Board to take formal action. The
Chair or any member may call a meeting of the Ethics Board.
G.
Jurisdiction, powers and duties of Ethics Board.
(1)
The Ethics Board may only act with respect to officers and employees
of the City of Saratoga Springs.
(2)
The termination of a municipal officer's or employee's
term of office or employment with the City (on a voluntary or involuntary
basis) shall not affect the jurisdiction of the Ethics Board with
respect to the requirements imposed by this chapter or by the Act,
if any, on a former officer or employee. However, in no event shall
the Ethics Board have jurisdiction over a former officer or employee
where a hearing has not been commenced pursuant to the provisions
of this chapter within one year of the termination of a City officer's
or employee's term of office or employment with the City.
(3)
The City Ethics Board shall have the following powers and duties:
(a)
To prescribe and promulgate rules and regulations by resolution
of the Board, governing its own internal organization and procedures
in a manner consistent with this chapter, and to cause to be filed
with the office of the City Clerk and the office of the City Attorney
a copy of those rules and regulations and any amendments thereto;
(b)
To request that the Mayor appoint such staff as is necessary
to carry out its duties under this chapter;
(c)
To review, index, and maintain on file lists of officers and
employees and annual and other disclosure statements filed with the
Ethics Board pursuant to this chapter;
(d)
To review, index, maintain on file, and dispose of written complaints
and to make notifications and conduct inquiries pursuant to this chapter;
(e)
To conduct hearings, recommend disciplinary action to the appropriate
appointing authority, pass resolutions, make referrals, and initiate
appropriate actions and proceedings pursuant to this chapter;
(f)
To render, index, and maintain on file advisory opinions pursuant
to this chapter;
(g)
To provide for training, assistance, and education to officers
and employees pursuant to this chapter, including the development
and distribution of a plain-language ethics guide for use by City
employees and officers, including all forms developed by the Ethics
Board;
(h)
To report annually to the Mayor and the City Council regarding
the Board's operations of the previous year and to make recommendations
to the Mayor and the City Council, as needed, for changes to this
chapter.
H.
Review of lists and disclosure statements.
(2)
If the Ethics Board determines that a filed annual disclosure statement
is deficient or reveals a possible or potential violation of this
chapter, the Ethics Board shall notify the person in writing, state
the deficiency or possible or potential violation, provide the person
with a thirty-day period to cure the deficiency, and advise the person
of the penalties for failure to comply with this chapter. Such notice
shall be confidential to the extent permitted by the Public Officers
Law. If the person fails to cure the deficiency within the specified
time period, the Commission shall send a notice of delinquency:
I.
Inquiries and hearings.
(1)
Upon receipt of a written inquiry, or on its own initiative, the
Ethics Board shall have the power and duty to conduct any hearing
necessary to carry out the provisions of this chapter. The Ethics
Board may administer oaths or affirmations. In conducting any hearing
pursuant to this section, the Ethics Board may subpoena witnesses
and require the production of any books or records which it may deem
relevant and material.
(2)
Nothing in this section shall be construed to permit the Ethics Board
to conduct a hearing with respect to itself or any of its members
or staff. In the event the Ethics Board receives an inquiry alleging
that the Ethics Board or any of its members or staff has violated
any provision of this chapter, or any other law, the Board shall promptly
transmit a copy of the complaint to the Mayor and City Council.
(3)
The Ethics Board shall state, in writing, the disposition of every
written inquiry it receives and of every hearing it conducts and shall
set forth the reasons for the disposition. All such statements and
all written inquiries shall be indexed and maintained on file by the
Ethics Board.
(4)
Any person filing a written inquiry with the Ethics Board shall be
notified in writing of its disposition.
J.
Referrals by Ethics Board.
(1)
Disciplinary action. In the case of a hearing held by the Board, the due process procedural mechanisms shall be substantially similar to those set forth in Article 3 of the State Administrative Procedure Act. The Ethics Board shall conduct and complete the hearing with reasonable promptness, unless, in its discretion, the Ethics Board refers the matter to the authority or person or body authorized by law to impose disciplinary action or unless the Ethics Board refers the matter to the appropriate prosecutor. If such a referral is made, or if a matter is the subject of another governmental inquiry investigation or judicial proceeding, the Ethics Board may adjourn the matter pending a final determination of such matter by the other authority, person, body, or law enforcement agency.
(2)
Law enforcement. The Ethics Board shall refer to the appropriate
law enforcement agency any facts or evidence that comes into its possession
that reasonably indicates possible criminal violations.
(3)
Construction as to Ethics Board. Nothing in this section shall be
construed to permit an Ethics Board to take any action with respect
to any alleged violation of this chapter, or of any other law, by
an Ethics Board member or members. Any inquiries regarding Ethics
Board members shall be conducted by the City Council under procedures
consistent with the procedures set forth in this chapter.
K.
Advisory opinions.
(1)
Upon the written request of any person, the Ethics Board may render
a written advisory opinion with respect to the interpretation or application
of this chapter.
(2)
Advisory opinions and requests for advisory opinions shall be indexed
and maintained on file by the Ethics Board in the City Attorney's
office.
L.
Public inspection of records; public access to meetings.
Nothing herein shall be deemed to bar or prevent the timely
filing by a present or former municipal officer or employee of any
claim, account, demand or suit against the City of Saratoga Springs,
or any agency thereof, on behalf of himself, herself or any member
of his or her family arising out of any personal injury or property
damage or for any lawful benefit authorized or permitted by law.
The Mayor of the City of Saratoga Springs shall cause a copy
of this Code of Ethics to be distributed to every officer and employee
of the City within 30 days after the effective date of this chapter.
Each officer and employee elected or appointed thereafter shall be
furnished a copy before entering upon the duties of his office or
employment. Failure to distribute any such copy or failure of any
officer or employee to receive such copy shall have no effect on the
duty of compliance with such code or the enforcement of provisions
thereof.
[1]
Editor's Note: The Annual Disclosure Form is included as an attachment to this chapter.
