[HISTORY: Adopted by the Town Board of the Town of Lansing 3-17-2021 by L.L. No. 1-2021[1]. Amendments noted where applicable.]
[1]
Editor's Note: This local law superseded former, Ch. 18, Ethics,
adopted 1-21-2009 by L.L. No. 1-2009.
This chapter is adopted pursuant to the authority granted the
Town of Lansing by § 10 of the Municipal Home Rule Law and
General Municipal Law Article 18. The Town of Lansing recognizes that
there is a need for clear and reasonable standards of ethical conduct.
Public officers and employees must observe a high degree of moral
conduct to maintain public confidence. It is the purpose of this chapter
to set forth these rules of ethical conduct for the officials and
employees of Town of Lansing. These rules shall serve as a guide for
official conduct with regard to disclosure of interests in legislation
before the local governing body, holding of investments in conflict
with official duties, future employment, and such other standards
as may be deemed advisable. It is the purpose of this chapter to implement
these objectives through the establishment of standards of conduct,
to provide for punishment of violations of such standards, and to
create a Board of Ethics to render advisory opinions to the Town's
officers and employees, as provided for herein.
This chapter shall be known as the "Town of Lansing Ethics Law."
The standards, prohibited acts, and procedures established herein
are in addition to:
A.
Any rules about prohibited acts and applicable conflicts of interest
provisions or procedures prescribed by statute of the State of New
York; and
B.
Common law rules and judicial decisions relating to the conduct of
Town officers to the extent that the same are more restrictive in
their application than this chapter.
A.
CONFIDENTIAL INFORMATION
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
DISCLOSURE STATEMENT (or Ethics Form, and similar terms)
GIFT
INTEREST
INTERESTED PERSON
RELATIVE
SPOUSE
TOWN
TOWN EMPLOYEE
TOWN RESOURCES
Definitions. The following terms and phrases shall have the following
meaning(s) under this chapter:
Includes any information that would:
Affect current or imminent contract awards or collective bargaining
negotiations; or
Interfere with law enforcement investigations or judicial proceedings;
or
Deprive a person of his or her right to a fair trial or impartial
adjudication; or
Constitute an unwarranted invasion of privacy; or
Endanger the life or safety of any person; or
Provide civil service examination questions or answers or answers
prior to administration of the examination; or
Reveal computer access codes; or
Provide any information that is specified as nondisclosable
by federal or state law.
A questionnaire concerning contracts, affiliations, and property
interests of Town employees and certain other designated persons or
companies, in a form as approved and updated from time to time by
the Town, that must be annually prepared and submitted.
Includes anything of value, whether in the form of money,
services, loans, travel, entertainment, hospitality, or another thing
or promise of value, in whatever form as proffered, conveyed, or received.
Any direct or indirect financial or material benefit, but
not including any benefit arising from the provision or receipt of
any services generally available to the residents or taxpayers of
the Town, or an area of the Town, or a lawful class of such residents
or taxpayers, generally. A Town employee is deemed to have an interest
in any private organization when he or she, his or her spouse, or
a member of his or her household, is an owner, partner, member, director,
officer, employee, or otherwise directly or indirectly owns or controls
more than 5% of the organization's outstanding stock (or other
indicia of equity ownership). This definition shall not apply to a
person serving as a nonremunerated member, director, or officer of
a not-for-profit organization.
Such individual's 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.
The husband, wife, or domestic partner of the reporting individual,
unless living separate and apart from the reporting individual with
the intention of terminating the marriage or union by providing for
permanent separation, or unless separated pursuant to: (a) a judicial
order, decree or judgment, or (b) a legally binding separation agreement.
The Town of Lansing and any board, commission, district,
council, committee, or other agency, department, or unit of the government
of the Town of Lansing.
Any officer or employee of the Town, whether paid or unpaid,
and whether serving in a part-time, full-time, or advisory capacity.
Includes, but is not limited to, Town personnel and the Town's
money, vehicles, equipment, materials, supplies, or other property.
B.
Conflicts of interest. No Town employee shall have any interest,
direct or indirect, or other interest, engage in any business or transaction
or professional activity, or incur any obligation of any nature which
is in substantial conflict with the proper discharge of the duties
of the Town employee.
C.
Standards of conduct. The following standards of conduct apply to
all Town employees:
(1)
General prohibition on use of office or employment for private gain.
(a)
A Town employee shall not use his or her position or office,
or take or fail to take any action, in a manner that he or she knows
or has reason to know may result in a personal financial benefit for
any of the following persons:
[1]
The Town employee;
[2]
His or her outside employer or business;
[3]
A direct or indirect prospect, customer, or client of the Town
employee;
[4]
A relative or any member of his or her household;
[5]
A person or entity with which the Town employee has had a financial
relationship within the previous 12 months;
[6]
Any person or entity from which the Town employee has received
a gift, or any goods or services for less than fair market value,
during the previous 12 months; or
[7]
Any person from whom the Town officer or employee has received
aggregate election campaign contributions of more than $500 during
the previous 24 months.
(b)
A Town employee shall not use his or her official position to
advance his or her private interest or those of interested persons,
nor to obtain any unwarranted privileges, exemptions, or advantages
for any interested persons.
(c)
A Town employee shall not use or permit the use of Town resources
for personal or private purposes; nor shall a Town employee use or
utilize Town letterhead, personnel, equipment, supplies, or resources
for a nongovernmental purpose, or engage in personal or private activities
during times when he or she is required to work for the Town. However,
this subsection shall not be construed as prohibiting:
[1]
Any use of Town resources authorized by law or Town policy;
[2]
The use of Town resources for personal or private purposes when
provided to a Town employee as part of his or her compensation;
[3]
The occasional and incidental use during the business day of
Town telephones and computers for personal matters, such as family
care and changes in work schedule in accordance with any established
Town policy.
(d)
No Town employee shall knowingly cause the Town to spend more
than is reasonably necessary for transportation, meals, or lodging
in connection with official travel.
(e)
No Town employee shall misuse his or her position to obtain
a benefit for the employee or any interested persons.
(f)
Whenever any doubt arises for any Town employee as to: (i) whether
any person or entity is an interested person; (ii) whether any situation,
facts, transaction, determination, or process is prohibited, potentially
prohibited, or a violation of this chapter or any applicable ethics
or conflict of interest laws or rules; (iii) whether any matter is
one for which the Town employee may be imputed as having had a reason
to know of a conflict or prohibition; or (iv) where there are questions
as to what is a personal financial benefit, whether direct or indirect;
then any such Town employee may consult with the Board of Ethics and,
if the Board of Ethics shall make a determination or declaration,
or issue guidance to avoid ethical or legal violations, the Town employee
who both discloses such potential conflict and follows the guidance
and advice of the Board of Ethics shall not be deemed or held to be
in violation of this chapter.
(2)
Recusal, abstention, disclosure of conflicts of interest.
(a)
A Town employee, whether paid or unpaid, who participates in
the discussion of, consideration of, or who gives an opinion upon
any legislation or approval before the Town must publicly disclose
on the record the nature and extent of any direct or indirect financial
or other private interest that the Town employee knows exists.
(b)
A Town employee may seek and obtain an advisory opinion from
the Board of Ethics, including advice upon issues of recusal and ethics,
as well as advise upon the disclosure or management of potential conflicts
and prohibited transactions.
(c)
A Town employee shall promptly recuse himself or herself from
acting on or discussing a matter before the Town when acting on the
matter, or failing to act on the matter, may financially affect any
interested person, unless he or she has received a written opinion
from the Board of Ethics advising that there is no conflict and no
need for a recusal, but only so long as the Town employee follows
any advice or direction provided by such Board of Ethics.
(d)
Nothing in this subsection shall automatically prohibit seeking
and relying upon advice from the Town's legal counsel, the New
York State Attorney General's Office, the New York State Comptroller's
Office, Counsel for the Committee on Open Government, or other similar
authority, so long as:
[1]
Such advice is disclosed to the Town (or applicable board, body
or Town employee) prior to acting, not acting, or discussion upon
such matter as is before the Town; and
[2]
Such advice or counsel is in writing or has been reviewed by
or approved by the Town employee's immediate supervisor or the
Town's legal counsel and confirmed or approved, as the case may
be.
(3)
Confidential information.
(a)
For the purposes of the Code of Ethics, all information generally
falls into one of three categories: that class of information which
is never confidential; that class of information that is always confidential;
and those classes of information that may be confidential. Nothing
in these definitions is intended to alter or vary matters defined
as confidential or privileged under state or federal law, nor to alter
any requirements of Article 6, 6-A, or 7 of the New York Public Officers
Law.
(b)
(c)
Always confidential:
[1]
Information, the disclosure of which would generally:
[a]
Impair current or imminent contract awards or collective bargaining
negotiations; or
[b]
Interfere with law enforcement investigations or judicial proceedings;
or
[c]
Deprive a person of his or her right to a fair trial or impartial
adjudication; or
[d]
Constitute an unwarranted invasion of privacy; or
[e]
Endanger the life or safety of any person; or
[f]
Reveal civil service examination questions or answers prior
to the administration of the exam; or
[g]
Reveal computer access codes; or
[h]
Reveal information that is specified as nondisclosable by federal
or state law.
[2]
No Town employee may disclose or use such confidential information,
including to further a personal interest or those of interested persons.
(d)
Any information that does not clearly fall into just one of the above categories [Subsection C(3)(b) and (c)] may be confidential. To be certain of complying with this chapter and legal obligations regarding protected and confidential information, all Town employees must first request and receive an official determination from the Town Ethics Board or Town Counsel that a given piece of information is not confidential before disclosing or making personal use of it.
(e)
The restrictions on disclosure and use of confidential information
described herein apply without regard to the circumstances in which
the information was acquired, and include information gained through
means other than the possessor's association with the Town.
(f)
Nothing in this subsection shall automatically prohibit seeking
and relying upon advice from the Town's legal counsel, the New
York State Attorney General's Office, the New York State Comptroller's
Office, Counsel for the Committee on Open Government, or other similar
authority, so long as:
(4)
Nepotism. Except as otherwise required by law:
(a)
No Town employee, either individually or as a member of any
board, committee, or council, may participate in any decision to appoint,
hire, promote, discipline, or discharge any relative in respect of
any Town position of employment or appointment, or the granting of
any compensation or remuneration to any such relative.
(b)
No Town employee may directly or indirectly supervise a relative
in the performance of the relative's duties.
(5)
Gifts and gratuities.
(a)
A Town employee shall not solicit a gift from any person who
or any entity that has received or sought a financial or material
benefit from the Town, nor accept a gift from any person who the Town
employee knows or has reason to know has received or sought a financial
or material benefit from the Town, or who will be seeking such a benefit
in the future. A financial or material benefit shall include land
use and other approvals and permits issuable by the Town or by any
Town employee.
(b)
A Town employee shall not request or accept anything from any
person or entity other than the Town for doing his or her Town job.
(c)
A Town employee shall not accept or receive any gifts having
a value of $75 or more, whether in the form of money, services, loan,
travel, entertainment, hospitality, or any thing or promise of value,
under circumstances in which it could reasonably be expected to influence
the performance of official duties or was intended as a reward for
any official action.
(d)
Whenever any doubt arises in respect to any matter that is or
may be considered as a gift or prohibited gift, the Town employee
may consult with the Board of Ethics and, if the Board of Ethics shall
make a determination or declaration, or issue guidance to avoid ethical
or legal violations, the Town employee who both discloses such potential
conflict and follows the guidance and advice of the Board of Ethics
shall not be deemed or held to be in violation of this chapter.
(6)
Political solicitations.
(a)
Exclusive of mass advertising or solicitations, a Town employee
shall not directly or indirectly solicit, compel, or induce any other
Town employee to make or promise to make any political contribution,
whether by gift of money, service, or any other thing of value.
(b)
A Town employee may not:
[1]
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 Town employee, or any
applicant for a position as a prospective Town employee; or
[2]
Seek to support, promote, deny, or award any contract, permit,
or approval, or like thing of value, to any vendee, contractor, applicant,
or similarly situated person or entity, on the basis of the making
(or denying), or promise of making (or denying), of any vote, support,
or contribution of money, services, or any other thing of value for
any candidate or political cause, party, platform, proposition, or
purpose.
(c)
Whenever any doubt arises for any Town employee as to involvement
in respect of political solicitations, the Town Employee may consult
with the Board of Ethics and, if the Board of Ethics shall make a
determination or declaration, or issue guidance to avoid ethical or
legal violations, the Town employee who both discloses such potential
conflict and follows the guidance and advice of the Board of Ethics
shall not be deemed or held to be in violation of this chapter.
(7)
Investments in conflict with official duties.
(a)
A Town employee shall not invest or hold any investment directly
or indirectly in any financial, business, commercial, or other private
transaction that creates a conflict with official duties. An investment
in which a Town employee has an interest shall be exempt if such interest
was acquired prior to the time he or she became a Town employee, but
this subsection shall in no event authorize a renewal of any such
contract or investment, and such contract or investment remains subject
to the disclosure and recusal provisions of this chapter.
(b)
This subsection does not prohibit a Town employee from acquiring
a financial, business, commercial, or other private transactional
interest or investment in the following:
[1]
Real property located within the Town used as a personal residence;
[2]
Less than 5% of the stock (or other indicia of equity) of a
publicly traded corporation (or other registered entity); or
[3]
Bonds or notes issued by the Town and acquired more than one
year after the date on which the bonds or notes were originally issued.
(c)
Whenever any doubt arises for any Town employee as to an investment
interest, the Town employee may consult with the Board of Ethics and,
if the Board of Ethics shall make a determination or declaration,
or issue guidance to avoid ethical or legal violations, the Town employee
who both discloses such potential conflict and follows the guidance
and advice of the Board of Ethics shall not be deemed or held to be
in violation of this chapter.
(8)
Representation. A Town employee shall not represent any person or
entity in any matter that is before or directly involves the Town.
Excluded from this prohibition is a legislator performing his or her
normal duty of constituent representation, and the Town Attorney performing
his or her official duties.
(9)
Private employment. A Town employee shall not engage in, solicit,
negotiate for, or promise to accept private employment, nor render
services for private interests, when such employment or service creates
a conflict with or impairs the proper discharge of official duties.
(10)
Future employment. A Town employee shall not, after the termination
of service or employment with the Town, appear before any board or
agency of the Town in relation to any case, proceeding, or application
in which such Town employee personally participated during the period
of the Town employee's service or employment, or which was subject
to his active consideration or review.
A.
The Town employees and persons and companies listed below shall annually
complete and file an accurate disclosure statement, which shall be
reviewed by the Board of Ethics. The form of the disclosure statement
shall be approved and updated from time to time by the Town Board,
and shall be distributed annually by the Town Clerk in April.
(1)
All elected officials.
(2)
All department heads.
(3)
Deputy Highway Superintendent.
(4)
Planning Board members.
(5)
ZBA members.
(6)
The chairperson of any board or committee, including advisory committees.
(7)
Any counsel or attorneys employed by the Town on a regular or special
basis.
(8)
Any engineer or architect employed by the Town on a regular or special
basis.
(9)
Any other professional service provider, contractor, vendor, bidder,
or provider of goods and services designated by contract approved
by the Town, by resolution of the Town Board, or by bid specifications.
(10)
Any other Town employee when so designated by resolution of the Town
Board.
B.
Any Town employee, person, or company newly hired, appointed, or
elected shall, when required by this chapter or New York law, and
within 30 days of hiring, appointment, or taking the oath of office,
promptly prepare, complete and submit a current disclosure statement,
which shall be submitted to the Town Clerk and transmitted by the
Town Clerk to the Board of Ethics for prompt review.
C.
All disclosure statements shall be completed and returned within
30 days of delivery by the Town Clerk, unless for good cause the Board
of Ethics extends the time during which a response may be submitted.
There is hereby established a Board of Ethics consisting of
five members, to be appointed by the Town Board, all of whom shall
reside in the Town, and all of whom shall serve without compensation
and at the pleasure of the Town Board. No member of the Board of Ethics
shall be a Town employee or a relative of any Town employee. Ethics
Board members will have staggered five-year terms, and appointments
will be initially made for terms of members running for one year to
five years, so that one appointment arises for consideration or renewal
annually. Ethics Board members may be reappointed at the expiration
of their term. The Attorney for the Town shall be an ex officio member
of said Board without voting privileges, for the purposes of providing
legal guidance and advice to allow the Board of Ethics to efficiently
perform its functions. The Board of Ethics shall have the following
powers and observe the following procedures:
A.
The Board of Ethics established hereunder shall:
(1)
Render advisory opinions to Town employees about situations they
are facing, or are potentially facing, upon written request. The Chair
of the Board of Ethics shall convene the Ethics Board within 15 days
after receipt of a written request, and thereafter render any advisory
opinion or reply as promptly as is reasonable under the circumstances.
(2)
Hear or receive complaints of alleged unethical practices and violations
of this chapter when submitted in writing by any person or entity.
The Chair of the Board of Ethics shall convene the Ethics Board within
15 days after receipt of a written request, and thereafter render
any advisory opinion or reply as promptly as is reasonable under the
circumstances.
(3)
Make recommendations to the Town Board relating to amendments to
this chapter or Town policies. Any recommendations to the Town Board
about changes to laws or policies shall be in a separate document
that the Town Board shall make public upon receipt.
(4)
No later than August 1 of each year, review the disclosure statements
and the attestations that have been submitted, and determine if any
are not timely filed, incomplete, or facially inaccurate. The Ethics
Board, or its designee, may grant limited extensions of time in which
to file disclosure statements due to justifiable cause or undue hardship,
and the Board of Ethics may inquire about any information contained
in or missing from any disclosure statement, including through by
calling any submitting person or entity to a meeting of the Board
of Ethics for an interview or for testimonial purposes.
(5)
Within 30 days of submission of any disclosure statement by any newly
hired, appointed, or elected Town employee, person, or company, review
the disclosure statement submitted by such persons or entities to
the Town Clerk.
B.
The opinions of the Board of Ethics may be advisory and they may
or may not be confidential. In no event shall the identity of the
person under review be disclosed except to authorized persons and
agencies, or except when authorized or required by law. Such opinions
shall be on the advice of the Attorney for the Town, or if he or she
is recused or has a conflict, then from counsel so employed or consulted
by the Board of Ethics.
C.
The Board of Ethics shall interpret and enforce this chapter and General Municipal Law Article 18, as well as such other laws, rules, provisions, procedures, and decisions as the Board of Ethics deems relevant, applicable, or controlling by virtue of § 18-3 of this chapter.
D.
Any Town employee who requests an opinion, or is the subject matter
of a review, inquiry, investigation, or opinion (an "opinion") before
the Board of Ethics, shall be granted the right to be heard by said
Ethics Board prior to the making or issuance of any opinion.
E.
The Board of Ethics shall have the authority to take testimony under
oath and to issue subpoenas, or cause subpoenas to be issued, to compel
the attendance of witnesses and to require the production of any document,
things, books, or records.
F.
It is the intent of this chapter that complaints be resolved promptly,
and therefore a written decision should be filed within 90 days after
the conclusion of the fact-gathering process. The Board of Ethics
shall state in writing the disposition of every request for opinion
and every investigation it conducts, and set forth in reasonable detail
the bases for its conclusions, recommendations, or dispositions.
G.
All statements, complaints, written requests, evidence, recordings
or transcripts of testimony, and documents material to the matter,
shall, together with all opinions and advice rendered, be and remain
Town records, kept on file by the Town Clerk and subject to archival
and related rules for disclosable and nondisclosable public records.
H.
The Board of Ethics shall promulgate its own rules and regulations
as to its form and procedures, and may update the same from time to
time, keeping the same as also being a material part of its records
of opinions and proceedings.
A.
Penalties for offenses. In addition to any penalty contained in any
other provision of law, any such Town employee who shall knowingly
and intentionally violate any of the provisions of this chapter may
be fined, suspended, or removed from office or employment in the manner
provided by law. Similarly, any Town employee who (i) refuses to cooperate
with any matter under review by, or being investigated, by the Board
of Ethics; or (ii) improperly or materially interferes with any such
review or investigation; or (iii) commits any act of spoilation with
respect to any documents or evidence, or who supplies or suborns any
false statements or perjury may be fined, suspended, or removed from
office or employment in the manner provided by law.
B.
Distribution and posting. Upon the adoption of this chapter the Town
Supervisor shall cause a copy hereof to be distributed to every Town
employee. The failure to distribute any such copy or failure of any
Town employee to receive such copy shall have no effect on the duty
of compliance with this chapter, nor upon the enforcement of provisions
hereof. The Town Supervisor shall further cause a copy of this chapter
to be kept posted conspicuously in each public building under the
jurisdiction of the Town. Failure to so post this chapter shall have
no effect on the duty of compliance herewith, nor upon the enforcement
hereof.
C.
Filing with New York State. Within 10 days of the adoption of this
chapter, the Town Clerk shall file a copy thereof in the office of
the State Comptroller and the Office of the Secretary of State.
D.
Appropriation of funds. The Town Board may appropriate moneys from
general Town funds for the costs and expenses of, the maintenance
of, and for personnel or advisory services incurred by or provided
to the Board of Ethics. However, such Board of Ethics may not commit
the expenditure of Town money except within the limit of appropriations
provided by the Town Board.
