[HISTORY: Adopted by the Town Board of the
Town of Malta 6-6-2016 by L.L. No. 7-2016.[1] Amendments noted where applicable.]
GENERAL REFERENCES
Personnel — See Ch. 29.
[1]
Editor's Note: This local law also repealed former Ch. 11,
Code of Ethics, adopted 1-3-1989 by Ord. No. 1-89.
Officers and employees of the Town of Malta have an obligation
to serve and benefit the public, and not to pursue or obtain personal
or private gain in the exercise and performance of their official
powers and duties, other than as provided by law, contract or resolution
of the Town Board of the Town of Malta. Officers and employees shall
strive to pursue the best interest of the Town of Malta, act within
the limits of their positional authorities and deal forthrightly and
constructively with the public and each other. Officers and employees
shall not make use of misleading or untrue information in the course
of their official duties. The Town Board recognizes that, in furtherance
of these fundamental principles, there is a need for clear and reasonable
standards of ethical conduct. This local law establishes those standards.
As used in this chapter, the following terms shall have the
meanings indicated:
The Town Board, Zoning Board of Appeals, Town Planning Board
or Board of Assessment Review.
A group of volunteers serving at the pleasure of the Town
Board to perform a specified governmental function (e.g., Trails Committee,
Youth Commission, Ethics Committee).
Any claim, account or demand against or agreement with a
municipality, express or implied, and shall include the designation
of a depository of public funds and the designation of a newspaper,
including, but not limited to, an official newspaper, for the publication
of any notice, resolution, ordinance, or other proceedings where such
publication is required or authorized by law. See General Municipal
Law § 800(2). "Contract" shall also mean an agreement between
two or more persons which creates an obligation to do or not to do
a particular thing. Its essentials are competent parties, subject
matter, a legal consideration, mutuality of agreement, and mutuality
of obligation. (See Black's Law Dictionary.)
Any person paid a wage or salary by the Town of Malta. Receipt
of benefits by members of the Malta Ambulance Corps, Malta Ridge Fire
Co. or Round Lake Hose Company No. 1 does not constitute a wage or
salary as defined herein, and such members are not, by virtue of such
volunteer service, officers or employees.
A direct or indirect financial or material benefit, but does
not include any benefit arising from the provision or receipt of any
services generally available to the residents or taxpayers of the
municipality or an area of the municipality, or a lawful class of
such residents or taxpayers. A municipal officer or employee is deemed
to have an interest in any private organization when he, his spouse,
or a member of his household, is an owner, partner, member, director,
officer, employee, or directly or indirectly owns or controls more
than 5% of the organization's outstanding stock.
All members of a Board; all elected persons; and all appointed
persons required to sign an oath of office.
A spouse, domestic partner, child, grandchild, sibling or
parent.
This Code of Ethics applies to the officers, employees and committee
persons of the Town of Malta, and shall supersede any prior Town law
or Code of Ethics. The provisions of this Code of Ethics shall apply
in addition to all applicable state and local laws relating to conflicts
of interest and ethics including, but not limited to, Article 18 of
the General Municipal Law, and all rules, regulations, policies and
procedures of the Town of Malta. In the event of a conflict with another
local law, rule, regulation or procedure of the Town of Malta, this
chapter shall control.
Other than as provided by law, contract or resolution of the
Town Board, no municipal officer, employee or committeeperson shall
use his municipal position or official powers or duties, or information
received exclusively due to his municipal position, to secure a financial
or material benefit for himself, a relative, or any organization in
which he has an interest. Officers and employees shall strive to pursue
the best interests of the Town of Malta, act within the limits of
their positional authorities and deal forthrightly and constructively
with the public and each other.
A.
Whenever a matter requiring the exercise of discretion comes before
a municipal officer, employee or committeeperson, either individually
or as a member of a board or committee, and disposition of the matter
could result in a direct or indirect financial or material benefit
to himself or herself, a relative, or any private organization in
which he or she is deemed to have an interest, such person shall disclose,
in writing or on the written record, the nature of the interest.[1]
B.
The disclosure shall be made when the matter requiring disclosure
first comes before the board or committee, or at the first meeting
of the board or committee after the officer, employee or committeeperson
first acquires knowledge of the interest requiring disclosure, whichever
is earlier, and re-disclosure shall be made each time the matter comes
before that Board or Commission.
A.
No municipal officer or employee may vote, engage in discussion,
make any decision, or take any official action, with respect to any
matter requiring the exercise of discretion, when he knows or has
reason to know that the action could confer a direct or indirect financial
or material benefit on himself, a relative, or any organization in
which he has an interest. However, such person may physically join
the audience and speak as a member of the general public if the public
is heard.
B.
In the event that this section prohibits a municipal officer or employee
from exercising or performing a power or duty:
(1)
If the power or duty is vested in a municipal officer as a member
of a board, then the power or duty shall be exercised or performed
by the other members of the board or, if there is an alternate, by
such alternate; or
(2)
If the power or duty that is vested in a municipal officer individually,
then the power or duty shall be exercised or performed by his deputy,
or if the officer does not have a deputy, the power or duty shall
be performed by another person to whom the officer may lawfully delegate
the function.
(3)
If the power or duty is vested in a municipal employee other than
an officer, he must refer the matter to his immediate supervisor,
and the immediate supervisor shall designate another person to exercise
or perform the power or duty.
A.
This code's prohibition on use of a municipal position (See § 11-4), disclosure requirements (See § 11-5), and requirements relating to recusal and abstention (See § 11-6), shall not apply with respect to the following matters:
No municipal officer or employee, during his tenure as a municipal
officer or employee, may engage in any private employment, including
conducting any business, commercial, professional or other types of
services, when the employment:
A.
Can be reasonably expected to require more than sporadic recusal and abstention pursuant to § 11-6 of this chapter;
B.
Can be reasonably expected to require disclosure or use of confidential
information gained by reason of serving as a municipal officer or
employee;
C.
Violates Section 805-a(1)(c) or (d) of the General Municipal Law;
or
D.
Requires representation of a person or organization other than the
municipality in connection with litigation, negotiations or any other
matter to which the municipality is a party.
A.
No municipal officer or employee may ask for, pursue or accept a
private post-government employment opportunity with any person or
organization that has a matter requiring the exercise of discretion
pending before the municipal officer or employee, either individually
or as a member of a board, while the matter is pending, or within
the 30 days following final disposition of the matter.
B.
No municipal officer or employee, for the two-year period after serving
as a municipal officer or employee, may represent or render services
to a private person or organization in connection with any matter
involving the exercise of discretion before the municipal office,
board, department or comparable organizational unit for which he or
she serves.
C.
No municipal officer or employee, at any time after serving as a
municipal officer or employee, may represent or render services to
a private person or organization in connection with any particular
transaction in which he or she personally and substantially participated
while serving as a municipal officer or employee.
D.
Subsections A, B, and C, above notwithstanding, no nonmanagement employee shall be prohibited from seeking or accepting such employment, unless he has had access to confidential information (including the making of policies related to such employer) or has had discretion over matters submitted by such employer to the Town within the last two years.
This code shall not be construed as prohibiting a municipal
officer or employee from:
A.
Municipal resources shall only be used for lawful municipal purposes.
Municipal resources include, but are not limited to, municipal personnel,
and the municipality's money, vehicles, equipment, materials,
supplies, Town logo, physical or intellectual property.
B.
No municipal officer or employee may use or permit the use of municipal
resources for personal or private purposes, but this provision shall
not be construed as prohibiting:
(1)
Any use of municipal resources authorized by law or written municipal
policy;
(2)
The use of municipal resources for personal or private purposes when
provided to a municipal officer or employee as part of his compensation;
or
(3)
The occasional and incidental use during the business day of municipal
telephones and computers for necessary personal matters such as family
care and changes in work schedule.
C.
No municipal officer or employee shall cause the municipality to
spend more than is reasonably necessary for transportation, meals,
lodging or incidental expenses in connection with official travel.
A.
No municipal officer or employee may have an interest in a contract
that is prohibited by Section 801 of the General Municipal Law, that
is: "Except as provided in [General Municipal Law § 802],
(1) no municipal officer or employee shall have an interest in any
contract with the municipality of which he is an officer or employee,
when such officer or employee, individually or as a member of a board,
has the power or duty to (a) negotiate, prepare, authorize or approve
the contract or authorize or approve payment thereunder; (b) audit
bills or claims under the contract; or (c) appoint an officer or employee
who has any of the powers or duties set forth above, and (2) no chief
fiscal officer, treasurer, or his deputy or employee, shall have an
interest in a bank or trust company designated as a depository, paying
agent, registration agent or for investment of funds of the municipality
of which he is an officer or employee. The provisions of this section
shall in no event be construed to preclude the payment of lawful compensation
and necessary expenses of any municipal officer or employee in one
or more positions of public employment, the holding of which is not
prohibited by law."
B.
As set forth in General Municipal Law § 803: "Any municipal
officer or employee who has, will have, or later acquires an interest
in or whose spouse has, will have, or later acquires an interest in
any actual or proposed contract, purchase agreement, lease agreement
or other agreement, including oral agreements, with the municipality
of which he or she is an officer or employee, shall publicly disclose
the nature and extent of such interest in writing to his or her immediate
supervisor and to the governing body thereof 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 body," except as provided in General Municipal
Law § 802(2).[1]
Except as otherwise required by law:
A.
No municipal officer or employee may participate in any decision
to appoint, hire, establish or modify salary or wages, promote, discipline
or discharge a relative for any municipal position.
B.
No municipal officer or employee may supervise a relative in the
performance of the relative's official powers or duties.
A.
No municipal officer or employee shall, directly or indirectly, request,
compel or induce a subordinate, municipal officer, employee or an
applicant for a position as a municipal officer or employee, to make,
or promise to make, any political contribution or vote, whether by
gift of money, service or other thing of value.
B.
No municipal officer or employee may act or decline to act in relation
to appointing, hiring or promoting, discharging, disciplining, or
in any manner changing the official rank, status or compensation of
any municipal officer or employee, or an applicant for a position
as a municipal officer or employee, on the basis of the giving or
withholding or neglecting to make any contribution of money or service
or any other valuable thing for any political purpose.
No municipal officer or employee who acquires confidential information
(e.g., information protected by New York State and federal privacy
laws, social security numbers, medical information, employment evaluations
and disciplinary records) in the course of exercising or performing
his official powers or duties may disclose or use such information
unless the disclosure or use is required by law or in the course of
exercising or performing his official powers and duties.
A.
No municipal officer or employee shall solicit, accept or receive
a gift in violation of Section 805-a(1)(a) of the General Municipal
Law.
B.
No municipal officer or employee may directly or indirectly solicit
any gift for himself or a relative which would be a violation to receive
under this paragraph.
C.
No municipal officer or employee may accept any gift of any value
when:
(1)
The gift reasonably appears to be intended to influence the officer
or employee in the exercise or performance of his official powers
or duties;
(2)
The gift could reasonably be expected to influence the officer or
employee in the exercise or performance of his official powers or
duties; or
(3)
The gift is intended as a reward for any official action on the part
of the officer or employee.
D.
For purposes of this section, a "gift" includes anything of value,
whether in the form of money, service, loan, travel, entertainment,
hospitality, thing or promise, or in any other form.
E.
This section does not prohibit:
(1)
Gifts made to the municipality, if accepted by the Town Board;
(2)
Gifts from a person with a family or personal relationship with the
officer or employee when the circumstances make it clear that the
personal relationship, rather than the recipient's status as
a municipal officer or employee, is the primary motivating factor
for the gift;
(3)
Gifts given on special occasions, such as marriage, illness, or retirement,
which are modest, reasonable and customary;
(4)
Unsolicited advertising or promotional material of nominal value,
such as pens, pencils, note pads, and calendars;
(5)
Awards and plaques having a value of $75 or less, which are publicly
presented in recognition of service as a municipal officer or employee,
or other service to the community;
(6)
Meals and refreshments of less than $50 in value; or
(7)
Permissible contributions under the New York State Election Law.
A.
The Ethics Committee is authorized and empowered to develop its own procedures, including the use of an executive committee for procedural matters, or virtual meetings (e.g., conference call, email), provided these procedures are not inconsistent with this chapter, and provided such procedures shall include, at a minimum, specified procedural safeguards, including notice of the entire allegation of the purported violation, presumption of innocence, the standard of proof required for a finding of guilt, the right to counsel or union representation, the right to adequate time to prepare a defense, and the right to call witnesses and procure documentary evidence. Two-thirds of the Ethics Committee shall constitute a quorum; however, actions of the Committee shall be taken only by majority vote of the entire Committee. Except as otherwise set forth in this chapter, or as otherwise required by law, all records of the Ethics Committee, and all deliberations related to inquiries or complaints under § 11-18, shall be confidential.
B.
Any municipal officer or employee may submit a question regarding
his past (within the past year), present or contemplated future conduct
by written request delivered to the Chair of the Ethics Committee,
and requesting that the Ethics Committee be convened for the purpose
of rendering an opinion as to whether such conduct was, is, or would
be in contravention of this local law, Article 18 of New York's
General Municipal Law, or New York common law. Such a request shall
be in writing, signed, and contain all relevant information, including
the identities and contact information for third persons who may have,
or be reasonably expected to have, relevant information for the Committee.
No officer, employee or other person may be penalized by the Town
for engaging in conduct which has been approved by the Committee.
C.
Any person may request that the Ethics Committee convene to determine
whether the past (within the past year), present or reasonably anticipated
future conduct of a municipal officer or employee is in contravention
of this local law, Article 18 of New York's General Municipal
Law, or New York common law. Such request shall be in writing and
be delivered to a member of the Ethics Committee. The written request
must contain the requestor's name and address, be signed by the
requestor under penalty of perjury, and contain the specific conduct
alleged to be unethical and/or illegal. The reason(s) for the request
(information, facts, dates, times and places of the alleged conduct),
together with any known witnesses, must be provided. The requestor
shall use his best efforts to allege the specific policy or law which
the requestor believes has been violated. No officer, employee or
other person may be penalized by the Town for submitting a request
to the Committee unless the Committee makes a specific finding that
the request was submitted without adequate factual basis and in bad
faith.
D.
Upon actual receipt of a request made pursuant to Subsection C, above, the Chair of the Committee shall convene the Committee within one month. The Committee may request that the Town Board provide it with legal counsel with respect to an issue before it, but an attorney need not be present at all meetings of the Committee.
E.
The Ethics Committee is empowered only to render determinations as to whether past (within the past year), present or reasonably anticipated future conduct of a municipal officer or employee is in contravention of this local law, Article 18 of New York's General Municipal Law, or New York common law. All determinations made after requests made pursuant to Subsection B shall be provided to the requestor. All determinations made after requests made pursuant to Subsection C shall be provided to the Town Board, the requestor, and the individual whose conduct was the subject of the referral. Should the Committee determine that past or present conduct is in violation of law or this policy, it shall include with its determination proposed action by the Town Board. The Ethics Committee shall require clear and convincing evidence before determining that a violation has occurred. The Town Board shall accept, modify or reject the recommendations of the Committee in open session within 45 days, stating the basis for its determination. Nothing herein shall be construed to limit the Town Board's ability to discuss the issue in executive session prior to placing its determination and basis therefore on the record.
In addition to any penalty contained in any other provision
of law, any such town officer or employee who shall knowingly and
intentionally violate any of the provisions of this chapter may be
given a letter of counsel, letter of reprimand, fined, suspended or
removed from office or employment in the manner provided by law, collective
bargaining agreement or terms and conditions of Town employment, including
§ 75 of New York's Civil Service Law.
