[HISTORY: Adopted by the Town Board of the Town of Gardiner 8-14-2018 by L.L. No. 2-2018.[1] Amendments noted where applicable.]
[1]
Editor's Note: This local law also superseded former Ch. 26,
Ethics, Code of, adopted 10-13-2009 by L.L. No. 9-2009.
The present text of Chapter 26 of the Town Code of the Town of Gardiner as adopted by Local Law No. 9-2009 and as thereafter amended is hereby deleted and replaced as follows. This chapter shall be known as the "Ethics and Disclosure Law of the Town of Gardiner."
The purposes of this chapter are to:
A.
Promote public confidence and integrity in the agencies and administrative
offices of our local government;
B.
Establish standards of ethical conduct for officers, employees and
consultants of the Town;
C.
Provide officers, employees, and Board and committee members and
consultants of the Town, whether elected or appointed, paid or volunteer,
with clear guidance on such standards;
D.
Facilitate the consideration of potential ethical problems before
they arise, to minimize unwarranted suspicion, and to enhance the
accountability of government to the people by requiring public disclosure
of financial and other interests that may influence or be perceived
to influence the actions of Town officers and employees; and
E.
Provide for the fair and effective administration of this chapter.
A.
This chapter is enacted pursuant to § 10 of the Municipal
Home Rule Law and is not intended to authorize any conduct prohibited
by Article 18 of the General Municipal Law.
B.
The standards, prohibited acts and procedures established within
this chapter are in addition to any prohibited acts, conflicts of
interest, provisions or procedures prescribed by statutes of the State
of New York and also in addition to common-law rules and judicial
decisions relating to the conduct of Town officers to the extent that
the same are more severe in their application than this chapter.
Unless otherwise stated or unless the context otherwise requires,
the following terms shall, for the purpose of this chapter, have the
meanings herein indicated:
Customer or client means any person or entity to which an
official 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 $10,000. Minor retail sales shall be excluded
from this provision.
An individual contracted to perform services to the Town
for remuneration.
The Ethics Board of the Town of Gardiner established pursuant
to Article IV of this chapter.
For purposes of this chapter, a person who is a spouse, child
or stepchild, sibling, parent, grandparent or grandchild of the officer
or employee, or a member of the household of the officer or employee.
Includes any money, service, license, permit, contract, authorization,
loan, travel, entertainment, hospitality, or any promise thereof,
or any other gratuity or promise thereof or anything of value. A financial
transaction may be a financial interest but shall not be a gift unless
it is on terms not available to the general public. "Gift" and "financial
interest" do not include campaign contributions authorized by law.
An action performed in a legally-prescribed manner, not requiring
the exercise of independent judgment and without the need for discretion.
Any of the following:
A person who is employed by the Town, whether full-time or part-time,
paid or unpaid; and
An elected or appointed official of the Town, including a compensated
or uncompensated board, committee, or commission member, who is required
to take and file an oath of office under the Public Officers Law.
A.
Prohibited conflicts of interest. In accordance with NYS General
Municipal Law Article 18 § 805-a, a Town officer or employee
shall not use his/her official position or office or take or fail
to take any action in a matter that he/she knows or has reason to
know may provide a personal financial benefit or secure privileges
or exemptions not generally available to the public at large for any
of the following persons:
B.
A Town officer or employee must avoid circumstances that compromise
or reasonably appear to compromise his or her ability to make decisions
solely in the public interest or that violate the spirit or intent
of this Ethics Code.
C.
Recusal and disclosure.
(1)
A Town officer or employee shall promptly recuse himself/herself from acting on a matter before the Town when acting on the matter, or failing to act on the matter, may financially benefit the persons listed above in Subsection A, in a manner generally not available to the public at large.
(2)
Whenever a Town officer or employee is required to recuse, he/she
must not deliberate, vote or participate in any way in such matter,
and should physically step away from the board and leave the room
while the matter is being discussed or deliberated. The officer or
employee should disclose the apparent conflict on the record of his
or her board or in writing filed with the Town Clerk, and refrain
from participation in the matter.
D.
Gifts.
(1)
A Town officer or employee shall not solicit any gifts whatsoever
nor shall a Town Officer or employee accept any gift valued over $75
in aggregate annually, whether financial or in any other form. A Town
officer or employee shall not request or accept anything from any
person or entity other than the Town for doing his or her municipal
job.
(2)
The following are examples of what can be accepted:
(a)
Reasonable and customary presents given on special occasions;
(b)
Gifts given by someone based on a personal or family relationship;
(c)
An invitation to attend a personal or private event with no
connection to the Town; meals received when the officer or employee
serves as a participant or speaker in a job-related professional or
educational program and meals are available to all participants;
(d)
Modest items of food or refreshment offered other than as part
of a meal;
(e)
Unsolicited advertisement or promotional material of little
intrinsic value;
(f)
Awards and plaques presented in recognition of service;
(g)
Rewards or prizes given to competitors in contests or events,
including random drawings open to the public;
(h)
Under some circumstances, meals, entertainment or hospitality,
but not travel or lodging, from an applicant, vendor or contractor
of the Town when participation in an event is for a Town purpose and
related to official duties, that is, when participation will further
Town programs, and the event is widely attended.
E.
Representation before one's own board. A Town officer or employee
shall not receive or enter into any agreement, express or implied,
for compensation for services to be rendered in relation to:
F.
This code shall not be construed as prohibiting a municipal officer
or employee from:
(1)
Representing himself or herself, or his or her family as defined
herein before the municipality; or;
(2)
Asserting a claim against the municipality on his or her own behalf,
or on behalf of his or her spouse or minor children; or
(3)
Receiving a salary for such services rendered to the Town pursuant
to an employment agreement or as an authority by the Town Board.
G.
Representation in litigation. A Town officer or employee shall not
represent any private interest in any litigation in which the Town
of Gardiner is a party or complainant.
H.
Confidential information. A Town officer or employee shall not disclose
confidential information gained by reason of his/her official position
or authority or use such information for any nonmunicipal purpose,
even after leaving municipal service.
I.
Political solicitation. A Town officer or employee shall not request
or authorize anyone else to request any subordinate of the officer
or employee to participate in an election campaign or contribute to
a political committee.
J.
Revolving door. For a period of one year after termination of his/her
term of office or employment with the Town, other than acting on behalf
of himself/herself, no former Town official or employee may appear
before any boards and commissions on which the former official or
employee has represented the Town, in relation to any matter upon
which he/she has had discretionary power during his/her term of office
or employment with the Town, unless requested to provide information
by the applicable board or commission. This prohibition shall include
any appearance that would be prohibited while the officer or employee
was in office.
K.
Avoidance of conflicts. Town officers and employees shall not knowingly
acquire, solicit, negotiate, or accept any interest, employment, or
anything of value that would put them in violation of this Code of
Ethics.
L.
Inducement of others. No person or entity shall induce or aid an
officer or employee of the Town to violate any of the provisions in
this Code of Ethics.
M.
Investments. A Town officer or employee shall not invest or hold
any investment directly or indirectly in any business, financial,
commercial or other private transaction that would create a conflict
with his or her official duties.
N.
Nepotism.
(1)
Every applicant related to a Town officer or employee shall disclose
such relationship in his or her application. Every Town officer or
employee related to any person seeking employment with the Town shall
disclose such relationship as provided in this section.
(2)
Any officer or employee of the Town related to any person(s) seeking
employment or making application before such officer or employee's
board or department shall disclose such relationship as provided in
this section.
(3)
For purposes of this provision on nepotism, "related" shall mean
a family member of the officer or employee as defined herein. Disclosure
required by this section shall be made in writing filed with the Town
Clerk and the person or board with appointing authority.
O.
Use of municipal resources.
(1)
Municipal resources shall only be used for lawful municipal purposes.
Municipal resources include, but are not limited to, personnel (while
on duty), and the municipality's money, vehicles, equipment,
materials, supplies or other property.
(2)
No municipal officer or employee may use or permit the use of municipal
resources for political, personal or private purposes, but this provision
shall not be construed as prohibiting:
(a)
Any use of municipal resources authorized by law or municipal
policy;
(b)
The use of municipal resources for personal or private purposes
when provided to a municipal officer or employee as part of his or
her compensation; or
(c)
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.
(3)
No municipal officer or employee shall cause the municipality to
spend more than is reasonably necessary for transportation, meals
or lodging in connection with official travel.
A.
Prohibited interests. Officers and employees are prohibited from
entering into certain contracts with the Town pursuant to Article
18 of the General Municipal Law. Except as expressly provided in § 802
of Article 18 of the New York State General Municipal Law, no Town
officer or employee shall have an interest in a contract that is prohibited
by § 801 of the General Municipal Law. Any contract 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 the General Municipal Law.
B.
Disclosure of interests. Except as expressly provided in § 802 of Article 18 of the General Municipal Law, any Town officer or employee who has, will have, or later acquires an interest in any actual or proposed contract with the Town or has a reasonable expectation of a financial interest or benefit from the contract, shall publicly disclose the nature and extent of that interest in accordance with § 803 of the General Municipal Law. The Town Clerk shall promptly provide a copy of any such disclosure to the Ethics Board. Town officers or employees are required to recuse themselves pursuant to § 26-5C from any matter requiring disclosure under this section.
C.
Violations. Any person who willfully and knowingly violates the provisions
of this section shall be guilty of a misdemeanor, to the extent provided
by § 809 of the General Municipal Law. Any such violation
shall be a violation of this Ethics Code.
A.
Disclosure. Every application, petition, or request submitted for
a variance, amendment, change of zoning, approval of plat, exemption
from a plat or official map, license, or permit, pursuant to the provisions
of any ordinance, local law, rule, or regulation constituting the
zoning and planning regulations of the Town, to the extent known to
such applicant shall disclose in its application, petition or request
the name, residence, and nature and extent of any interest of a Town
officer or employee and fully comply with § 809 of the General
Municipal Law. A Town officer or employee shall be deemed to have
an interest in such application if the application involves property
owned by or contiguous to property owned by the applicant.
B.
Violations. Any person who willfully and knowingly violates the provisions
of this section shall be guilty of a misdemeanor, to the extent provided
by § 809 of the General Municipal Law.
A.
Membership. The Ethics Board shall consist of five members appointed
by the Town Board.
B.
Term of office. There is hereby established a Board of Ethics consisting
of five members, to be appointed by the Town Board. The term of office
for a member is five years, with the exception of initial appointments.
Initial appointment terms will be staggered with members appointed
for one-, two-, three-, four- and five-year appointments so that one
member's term expires each year.
C.
Maintenance and operation. There shall be funds appropriated annually by the Town Board sufficient to meet the Ethics Board's maintenance and operation. Additional funds may be allocated as determined by the Town Board. The Ethics Board shall meet a minimum of two times a year to fulfill the duties described at § 26-10I and K. The Chairperson or a majority of the Board may call a meeting of the Board.
D.
Legal and advisory services.
(1)
The Town Attorney or Attorney for the Town is authorized to provide
legal and advisory services to the Ethics Board as it may require
in the performance of its duties and may represent member(s) of the
Ethics Board if a legal matter arises from members' work as a
member of the Ethics Board. If the Town Attorney or Attorney for the
Town has a potential conflict of interest, or is unable or unwilling
to represent the member, the Town shall make funds available for outside
counsel.
(2)
The Ethics Board shall be given access to other advisory services
as needed from both the Town officials and outside resources. The
Ethics Board shall determine when it requires outside, independent
advisors and may seek said advice.
E.
Compensation. Members shall serve without compensation but will be
reimbursed for all reasonable and necessary expenses incurred in the
performance of their duties within the appropriations made available
therefor.
F.
Board Chair. The Town Board shall annually designate the Chair of
the Board of Ethics.
G.
Vacancies. A person appointed to fill a vacancy shall serve the unexpired
term of the member he/she replaces.
H.
Quorum. Three members of the Board are required for the purpose of
conducting a meeting. A concurring vote of three members shall be
required for the Board to take action.
I.
Failure of duties or violations. An Ethics Board member may be removed
from office by a majority vote of the Town Board for failure to fulfill
the duties of the office or for violation of this chapter or other
good cause. Prior to any vote by the Town Board, the Ethics Board
member shall be given written notice of alleged acts or omissions
and an opportunity to reply in writing and/or be heard by the Town
Board before a vote is taken.
A.
Residency. All members of the Ethics Board shall reside in the Town
of Gardiner.
B.
High ethical standards. Members of the Ethics Board shall be chosen
for their independence, integrity, and high ethical standards.
(1)
No more than three members of the Ethics Board may be enrolled in
the same political party, at the time of appointment.
(2)
No member shall hold office in a political party and shall avoid
public displays of partisan support. A member may make campaign contributions
but not otherwise participate in any Town of Gardiner election campaign
or political controversy.
(3)
A member of the Ethics Board shall recuse her/himself if an inquiry
is brought before the Ethics Board and the member has taken a public
position related to that inquiry and/or the member feels her/his political
campaign contributions create an appearance of impropriety.
C.
Town affiliations. Not more than one member may, but need not, be
an appointed officer or employee of the Town. No members may hold
elective office in the Town of Gardiner.
D.
This section is intended to supplement the provisions of Article
18, § 808, of the General Municipal Law regarding the composition
of a municipal board of ethics.
The Board of Ethics shall have the powers and duties prescribed
by Article 18 of the General Municipal Law and shall render advisory
opinions only with respect to matters addressed in Article 18 of the
General Municipal Law and any Code of Ethics adopted pursuant to such
article, under such rules and regulations as the Ethics Board shall
prescribe. The goal of the Ethics Board is to support a culture of
ethical inquiry in the Town of Gardiner, offer guidance in the form
of advisory opinions, training and offer recommendations with respect
to this Code of Ethics or amendments thereto to the Town Board of
the Town of Gardiner.
A.
Authority. The Board of Ethics shall administer, and the Town Board
may enforce all the provisions of this chapter.
B.
Organization. The Board of Ethics shall prescribe and promulgate
rules and regulations governing its own organization and procedures,
including a formal written application process for advisory requests
and complaints.
C.
Advisory opinions on request. The Board of Ethics shall render written
advisory opinions to Town officers and employees only with respect
to the application of the Town Code of Ethics and GML Article 18 to
said member's own conduct.
(1)
When a request for an advisory opinion is received from an officer
or employee of the Town, the Board of Ethics shall index the request
and place it on a meeting agenda with reasonable promptness.
(2)
The Board of Ethics may request additional oral or written information
from the requesting officer or employee.
(3)
Advisory opinions shall be based on the applicable provisions of
the Town Ethics Code.
(4)
A copy of any written advisory opinion shall be provided to the requesting
officer or employee. Such advisory opinions shall be nonbinding and
shall be confidential to the extent permitted by law.
D.
Complaints. The Board of Ethics may review complaints within its
jurisdiction and render decisions with or without recommendations
to the Town Board with respect to a complaint by any person alleging
a violation of the Town Code of Ethics.
(1)
Any complaint must be signed and duly sworn, under penalty of perjury,
by the individual complainant and must include her or his residential
address.
(2)
When a complaint is received, the Board of Ethics shall index the
complaint and place it on a meeting agenda. The Board shall promptly
provide a copy of the complaint to the employee or officer who is
the subject of the complaint, except in the discretion of the Board
where the complaint has been summarily dismissed or where the matter
has been referred for criminal investigation.
E.
Board review on own motion. The Board may proceed on its own motion
to review compliance with the provisions of the Town Code of Ethics,
and may provide decisions in accordance with the procedure for the
consideration of complaints.
F.
Reasonable cause findings.
(1)
Before the Board finds "reasonable cause" to believe that a violation
of this Ethics Code or GML Article 18 has occurred, the Ethics Board
shall:
(a)
Notify, in writing, the affected officer or employee as to the
possible or alleged violation of this chapter;
(b)
Afford the affected officer or employee an opportunity to submit
a written response setting forth such information as said person deems
relevant to the alleged violation of this chapter; and
(c)
Afford both the complainant and person who is the subject of
the complaint a hearing wherein said person may provide either a written
or oral statement setting forth such information as they deem relevant
to the alleged violation. Members of the Ethics Board shall have the
right to make such inquiries as they deem appropriate. Notice of such
hearing shall be provided not less than 10 days prior to the hearing
and such hearing may be adjourned from time to time as determined
by the Ethics Board.
(2)
The Ethics Board shall maintain a record of the disposition of written
complaints.
(3)
The Board of Ethics may require additional oral or written information
from a complaining party or from the affected officer or employee.
Following a hearing, if requested, the Ethics Board may render an
advisory opinion to the Town Board regarding whether there is reasonable
cause to find that a violation of the Town Ethics Code has occurred
and remains unresolved. Advisory opinions shall be based on the applicable
provisions of the Town Ethics Code and the factual findings of the
Board of Ethics. A copy of any written advisory opinion of reasonable
cause shall be sent to the affected officer or employee and to the
Town Board.
G.
Town Board action. The Board of Ethics may make a written recommendation
to the Town Board as to the appropriate sanction, discipline or other
action to be taken or imposed with respect to any finding or determination
of reasonable cause to believe that a violation of this chapter has
occurred.
(1)
In the interests of transparency and guided by the purposes set forth in § 26-2, Purpose, of this chapter, the Town Board shall acknowledge receipt in writing to the Board of Ethics within 30 days, accept, reject, or modify any recommendation offered by the Ethics Board and notify a complainant and the subject of the complaint of the action taken by the Town Board within 90 days of receipt from the Board of Ethics.
H.
Annual report. The Ethics Board shall prepare and submit, by July
30 of each year, an annual report to the Town Board summarizing the
activities of the Ethics Board, listing any recommended changes to
the text or administration of this chapter and detailing budgetary
expenditures and requests.
I.
Public inspections. Records of the Ethics Board shall be centrally
maintained by the Town Clerk. At the conclusion of all hearings and/or
the disposition of all complaints, records shall be kept by the Town
Clerk. The Town Clerk shall provide for public inspection of certain
records through the Town's Records Access Officer:
(1)
The only records of the Ethics Board which shall be available for
public inspection are those whose disclosure is required by Article
6 of the Public Officers Law of the State of New York or by some other
state or federal law or regulation.
(2)
No meeting or proceeding of the Ethics Board concerning a particular
Town officer or employee shall be open to the public, unless required
by the provisions of Article 7 of the Public Officers Law or by some
other state or federal law or regulation.
J.
Education. The Board of Ethics shall annually conduct and/or arrange
for a qualified person to conduct annual training for Town officers
and employees regarding the provisions of this chapter.
K.
Designation of powers and duties. The Ethics Board shall not carry
out the powers and duties as defined in this section if it is determined
that two members of such Board have a conflict of interest. In this
event, the Ethics Board of Ulster County shall administer the duties
of the Ethics Board of the Town of Gardiner.
At its discretion, the Town Board may take disciplinary action,
including without limitation a warning, reprimand, or, pursuant to
legal process, suspension or removal from office or employment, impose
a civil fine as provided in this chapter, or subject the Town officer
or employee to any other sanctions permitted by law.
All hearings required to be conducted by the Board of Ethics
pursuant to this chapter shall be conducted in accordance with the
provisions of procedural rules approved by the Board of Ethics and
filed in the office of the Town Clerk. Any person compelled to appear
in person or who voluntarily appears shall be accorded the right to
be accompanied, represented by, and/or advised by counsel.
A.
Within 90 days after the effective date of this Ethics Code, and
thereafter as appropriate, the Town Board shall transmit to the Town
Clerk of the Town of Gardiner copies of this chapter. Within 10 days
after receipt of those copies, the Town Clerk shall cause the copies
to be posted conspicuously where public notices are generally posted.
B.
Within 90 days after the effective date of this section, and thereafter
as appropriate, the Town Board of Gardiner shall transmit to the officers
and employees, in a form suitable for distribution, copies of this
chapter to the officers and employees of the Town. The Town Board
shall cause the copies to be distributed to every officer and employee
of the Town and make them readily available to the public. Every Town
officer or employee elected or appointed thereafter shall be furnished
a copy of this Ethics Code within 10 days after entering upon the
duties of his or her position. Every Town officer or employee elected
or appointed shall upon receipt of said chapter sign a receipt stating
that he/she has received a copy of said chapter. This receipt shall
be filed with the Town Clerk.
C.
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.
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/herself or any
member of his/her family arising out of personal injury or property
damage or any lawful benefit authorized or permitted by law.
C.
If any provision of this chapter is held by a court of competent
jurisdiction to be invalid, that decision shall not affect the validity
and effectiveness of the remaining provisions of this chapter.
In addition to any penalty contained in any other provision
of this chapter, any person who shall knowingly and intentionally
violate any of the provisions of this chapter may be subject to a
fine not to exceed $1,000 per violation, and or suspension or removal
from office or employment.
