[HISTORY: Adopted by the Town Board of the Town of Yorktown 5-16-2010 by L.L. No. 3-2010.[1] Amendments noted where applicable.]
[1]
Editor's Note: This local law also repealed former Ch. 45,
Ethics, adopted 2-2-1993 by L.L. No. 3-1993, as amended.
This chapter shall be known as the "Town of Yorktown Code of
Ethics" a chapter adopting a code of ethics setting forth, for the
guidance of the Town's officials and employees, the standards of ethical
conduct reasonably expected of them.
This chapter is enacted pursuant to § 806 of the General
Municipal Law of the State of New York and any and all applicable
laws, rules and regulations of the State of New York; nothing contained
herein shall be deemed to conflict with any such laws, rules or regulations.
A.
The
Town Board of the Town of Yorktown declares that it is the public
policy of the Town and the purpose of this chapter to establish standards
and guidelines for ethical conduct of officials and employees of the
Town. These policies are best effectuated by:
(1)
Prescribing high ethical standards in an established Code of Ethics.
(2)
Requiring public disclosure by Town officials and employees, as herein
provided.
(3)
Creating a Board of Ethics to render advisory opinions and otherwise
assist in the administration of this chapter.
(4)
Prescribing meaningful sanctions and remedies to be imposed upon
Town officials and employees who violate the public trust.
B.
It
is the further intent and purpose of the rules set forth herein to
prevent the abuse of approving authority of the various Town boards
and agencies who are in the unique position of exercising discretionary
authority over the public's rights and privileges.
As used in this chapter, the following terms shall have the
meanings indicated:
Communicating in any form, including but not limited to personally,
through another person, by letter, electronic submission or by telephone.
Any member of a board having authority over applications
for approval, limited to the Planning Board, Town Board and Zoning
Board of Appeals.
Claim, account or demand against or agreement with the Town,
express or implied.
Any person to whom a Town official or employee or his or
her outside employer or business has supplied goods or services during
the previous 24 months having, in the aggregate, a value greater than
$500, but only if the official or employee knows or has reason to
know that the outside employer or business supplied the goods or services.
Spouse, child, child's spouse, stepchild, parent, grandparent,
sibling, sibling's spouse, and/or domestic partner defined as someone
18 years or older living with the Town employee or official in a financially
interdependent and lifetime relationship.
Includes, without limitation, money, services and entertainment
provided in exchange for less than fair market value, licenses, permits,
contracts, authorizations, loans, travel, any other gratuity, or any
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. Gifts and financial benefits shall not include authorized
election campaign contributions.
A participation, connection or involvement of any sort which
may result in a direct or indirect pecuniary 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 Town or an area of the Town, or a lawful class of such residents
or taxpayers. For the purposes of this chapter, the interests of a
Town official or employee shall be deemed to include the interests
of:
[Amended 5-14-2024 by L.L. No. 3-2024]
A family member.
Any person, other than a bank, trust company or other lending
institution, with whom he or she has a substantial debtor-creditor
or other financial relationship.
Any person by whom he or she is employed or of which he or she
is an officer, director, or member.
Any entity of which the stock or other legal or beneficial ownership
is owned by him or her; provided, however, that if the business dealings
of such entity with the Town form an insubstantial part of the total
business dealings, then this definition shall only apply to such an
entity if the Town official or employee owns more than 5% of the stock
or other legal or beneficial ownership of such entity.
Any action performed in an official capacity, in a prescribed
manner, without the exercise of judgment or discretion as to the propriety
of the act.
Any legislative, administrative, quasi-judicial, appointive
or discretionary act of a Town official or employee or a Town body.
Any activity, other than service to the Town, from which
the Town official or employee receives compensation; or any entity,
other than the Town, of which the Town official or employee is a member,
officer or employee and from which he or she receives compensation;
or any entity in which the Town official or employee has an ownership
interest, except a corporation of which that interest is less than
5% of the total. For the purposes of this definition, compensation
shall not include reimbursement for necessary expenses.
That an official or employee may not deliberate, vote, or
participate in a matter in which there is a conflict of interest.
[Added 5-14-2024 by L.L. No. 3-2024]
Any individual or individuals, firm, partnership, association,
corporation, company, organization or other legal entity of any kind.
[Amended 5-14-2024 by L.L. No. 3-2024]
The Town or any board, commission, district, council or other
agency, department or unit of the government thereof.
Any official or employee of the Town, whether paid or unpaid,
including, without limitation, all members of any office, board, body,
advisory board, council, commission, agency, department, district,
administration, division, bureau or committee of the Town and all
former officials and employees acting as independent consultants.
The terms "town official" or "employee" shall not include Town Justice.
[Amended 5-14-2024 by L.L. No. 3-2024]
[Amended 6-7-2011 by L.L. No. 5-2011; 5-14-2024 by L.L. No. 3-2024]
A.
No Town official or employee may participate in any decision or take any official action with respect to any matter requiring the exercise of discretion, including discussing the matter and voting on it, when he or she knows or has reason to know that the action could confer a direct financial or material benefit on himself or herself, a family member, or any private organization in which he or she is deemed to have an interest as defined in § 45-4.
B.
No Town official or employee shall engage in any business or profession
or accept private employment or render any service for private interests
which creates a conflict with his or her official duties.
C.
No Town official or employee shall use or attempt to use his or her
official position to give or secure privileges or exemptions for himself
or herself or a family member.
D.
No Town official or employee shall use any confidential information
received by him or her in the course of his or her duties as a Town
official or employee to further the interests of himself or herself
or others, nor shall any Town official or employee divulge any confidential
information so received.
E.
No Town official or employee shall, with or without compensation,
represent, directly or indirectly, any person or entity in connection
with any transaction or contract before any Town body or court.
F.
No Town official or employee shall, directly or indirectly, solicit or receive cash or any gift more than once a year having a value of $75 or more, whether in the form of service, loan, travel, entertainment, hospitality, thing or promise, or in any other form and from any person under circumstances in which it could reasonably be inferred that the gift was intended to influence him or could reasonably be expected to influence him in the performance of his official duties or was intended as a reward for any official action on his part. Exclusions pursuant to § 45-6C shall apply.
G.
A Town official or employee shall not request or authorize anyone
else to request any subordinate of the Town official or employee to
participate in any election campaign or contribute to any political
entity.
H.
The chairperson or vice chairperson of a political committee shall
not serve as an approval board member.
I.
Revolving door. It shall be a presumptive conflict of interest for any former elected Town official, within one year after leaving office, to represent another person or corporation before any Town body. It shall be a presumptive conflict of interest for any former Town official or employee, within one year after leaving service, to represent another person or corporation before any Town body. A former Town official or employee may obtain relief from this presumption by providing evidence that he or she did not work on or influence such application to the degree that such representation before the Town would be a conflict of interest. Nothing in this Subsection I shall be deemed to prohibit former Town officials or employees from appearing before the Town Court.
J.
Conflicts of interest and violations regarding applications:
(1)
It shall be deemed a conflict of interest requiring recusal for any
approval board member to sit in judgment over an application in which
he or she has an interest. The official or employee should disclose
the conflict and leave the room, area or meeting while the matter
is being considered.
(2)
Any board member who by his or her official position is acting upon
an application in which he or she has no interest but such application
involves a family member, a person having previously executed a contract
with the board member, or a person having previously transacted business
with the board member shall fully disclose this relationship to the
public prior to taking any action for an application.
K.
No Town official or employee shall use or attempt to use his or her
official position to secure unwarranted privileges or exemptions for
himself or herself or others, including but not limited to the misappropriation
to himself, herself or to others of the property, services or other
resources of the Town for private business or other compensated nongovernmental
purposes.
The provisions of § 45-5 of this Code of Ethics shall not prohibit or require abstention as a result of any of the following events:
A.
Authorized
actions. An action specifically authorized by statute, rule or regulation
of the Town, the State of New York or of the United States of America,
such as voting on the Town budget.
[Amended 5-14-2024 by L.L. No. 3-2024]
B.
Ministerial
acts.
C.
Certain
gifts. Gifts received by a Town official or employee:
(1)
From a family member.
(2)
Accepted on behalf of the Town and immediately transferred to the
Town.
(3)
Having a value of $100 or less for the solemnization of a marriage
by that Town official or employee at a place or hour other than his
or her normal place or hours of business.
(4)
Participation in social functions, dinners or programs of any public
or private organization where the Town official or employee is attending
in his or her official capacity as a representative of the Town.
D.
Awards
presented to the Town official or employee by charitable, civic or
educational organizations.
E.
Public
facilities. Receipt of Town services or benefits or use of Town facilities
that are generally available on the same terms and conditions to Town
residents.
F.
Ministerial employees. Former Town officials or employees appearing
or practicing before the Town or receiving compensation for working
on a matter before the Town after termination of Town service or employment
where they performed only ministerial acts while working for the Town.
No Town official shall attempt to induce, induce or aid a Town
official or employee to violate any of the provisions of the Code
of Ethics.
[Amended 6-7-2011 by L.L. No. 5-2011; 5-14-2024 by L.L. No. 3-2024]
A.
Transactional disclosure.
(1)
Whenever a matter requiring the exercise of discretion comes before
a Town official or employee, either individually or as a member of
an approval board, and disposition of the matter could result in a
direct financial or material benefit to himself or herself, a family
member, or any private organization in which he or she is deemed to
have an interest, the Town official or employee shall disclose in
writing the nature of the interest.
(2)
The disclosure shall be made when the matter requiring disclosure
first comes before the Town official or employee.
(3)
In the case of an elected Town official, the disclosure shall be
filed with the Town Board. In all other cases, the disclosure shall
be filed with the Town Clerk. In addition, in the case of an approval
board member, a copy of the disclosure shall be filed with the appropriate
board and any disclosure made to the board shall be made publicly
at a meeting of the board and shall be included in the minutes of
the meeting.
B.
Applicant-related disclosure. Where any person requests the Town
or any Town official or employee to take or refrain from taking any
action, other than a ministerial act, that may result in a financial
benefit both to the requester and to any Town official or employee,
the requestor shall disclose, in writing to the Town Clerk, the name
of any such person and the extent of such benefit, to the extent known
to the requester at the time of the request.
C.
Annual disclosure. An annual disclosure statement shall be submitted
by each of the following Town officials or employees:
(1)
Elected officials.
(2)
Head of any board, department or persons authorized to act on their
behalf. In relation to the Police Department, this requirement shall
extend only to the Chief of Police, Captains and Lieutenants.
(3)
Town officials or employees holding policy-making positions, including
members of Town boards.
(4)
Notwithstanding the foregoing, the individuals holding the following
titles or positions (including persons acting in such titles or positions
by appointment of the Town Board) shall file an annual disclosure
statement:
(b)
The individuals holding the following positions:
[1]
Assessor.
[2]
Town Attorney.
[3]
Building Inspector.
[4]
Court Clerk.
[5]
Environmental Inspector.
[6]
Deputy Town Clerk.
[7]
Town Engineer.
[8]
Superintendent of Environmental Conservation.
[9]
Comptroller.
[10]
Deputy Comptroller.
[11]
Human Resources Specialist.
[12]
Director, Section 8 Housing Program.
[13]
Library Director.
[14]
Director, Nutrition Center.
[15]
Superintendent of Parks and Recreation.
[16]
Director of Planning.
[17]
Police Chief.
[18]
Police Captain.
[19]
Police Lieutenant.
[20]
Receiver of Taxes.
[21]
Distribution Superintendent (Water Department).
[22]
Deputy Highway Superintendent.
D.
Annual disclosure; timing and content. The annual disclosure shall
be provided to Town officials and employees by February 15 and returned
to the Town Clerk no later than April 15 of each year and amended
within 30 days of any material change in the information so disclosed.
The annual disclosure shall contain the information required in the
disclosure form set forth below:[1]
[1]
Editor's Note: Said disclosure form is included as an attachment to this chapter.
E.
Confidentiality of disclosure forms.
(1)
All forms are to be kept confidential subject to applicable law.
(2)
The Town Clerk will hold filed financial disclosure forms in a sealed
envelope in a locked cabinet and shall provide forms to the Ethics
Board for annual review. Once the envelopes are opened by the Ethics
Board, the annual disclosure forms shall remain in the custody of
the Board of Ethics. The Board of Ethics shall promptly make available
to the Town Attorney all documents in its possession, including annual
disclosure forms, upon written request, in order for the Town Attorney
to fulfill official duties of the Town.
(3)
When a FOIL request is made seeking disclosure of a financial disclosure
form, the response to the FOIL request is to be forwarded to the Ethics
Board for determination as to what must be redacted.
(4)
The Ethics Board shall redact any information that poses no conflict
of interest and has no relationship to official duties of the employee
or Town official.
[Amended 5-14-2024 by L.L. No. 3-2024]
There is hereby established a Board of Ethics to consist of
five members. Board of Ethics members shall reside in the Town. No
more than a majority minus one shall be registered in the same political
party. Members shall be appointed by the Town Board and shall serve
for a term of three years commencing January 1 until December 31,
with the terms staggered such that no more than the terms of two members
begin in the same year. Consecutive service shall not exceed three
full terms. When a vacancy occurs, it shall be filled within 60 days
for the unexpired portion of the term. However, members shall serve
until his or her successor has been appointed. The members shall receive
no salary or compensation for their services as members of such Board
and shall serve at the pleasure of the Town Board.
[Amended 6-7-2011 by L.L. No. 5-2011; 5-14-2024 by L.L. No. 3-2024]
A.
Jurisdiction. The Board shall act only with respect to officials
and employees of the Town of Yorktown.
B.
Meetings. The Board shall meet at a minimum of once a year to review
the annual disclosure form, when matters are referred to it, and to
fulfill its duties.
C.
Powers and duties. The Board shall render advisory opinions to the
Town Board under such rules and regulations as the Board may prescribe.
Such advisory opinions shall be rendered pursuant to a written request
of the Town Board or an employee or official of the Town, or a written
signed complaint concerning an alleged violation of the Ethics Code
from any person. In the case of such a written complaint, the Board
may only review the matters raised in said complaint — it may
not review matters outside the four corners of the complaint. However,
if during the investigation of a written complaint, the Board has
a good faith basis to believe that violations not raised in the written
complaint exist, it may refer such matters to the Town Attorney without
taking any investigative action on its own. The Board may seek the
advice of the Town Attorney. In addition, the Board shall have the
following powers and duties:
(1)
Make recommendations to the Town Board with respect to the drafting
and adoption of amendments to the Code of Ethics.
(2)
Render advisory opinions to the Town Board, Town officials and employees.
Such advisory opinions shall be rendered pursuant to the written request
of any Town official or employee under such rules and regulations
as the Board of Ethics may prescribe and shall have the advice of
the Town Attorney.
(3)
Subject to approval of the Town Board, prescribe rules and regulations
governing its own internal organization and procedures in a manner
consistent with this chapter.
(4)
Periodically review the laws governing the conduct of Town officials
and employees and recommend changes to those laws.
(5)
Review annual disclosure statements to determine whether any person
required to file such a statement has failed to do so, has filed a
deficient statement or has filed a statement that reveals a possible
or potential violation of this chapter.
(6)
Notify the Town Board where review of an annual disclosure statement
finds a deficiency or a potential violation of this chapter.
(7)
Investigate all complaints and referrals concerning possible violations
of this chapter.
(8)
Elect its own Chairperson.
The Board of Ethics shall have no power to grant any waiver
of any provisions of this chapter.
[Amended 5-14-2024 by L.L. No. 3-2024]
The Board of Ethics, with the assistance of the office of the
Town Attorney, shall lead all investigations necessary to enforce
this chapter. If the complainant or the target of an ethics complaint
is a Town Board member or the Town Supervisor, the Town Attorney determines
that his or her involvement in the investigation is inappropriate,
and the Ethics Board requires the assistance of legal counsel to complete
the investigation, the Ethics Board may request that the Town Board
appoint outside counsel for that purpose. The Ethics Board shall render
its advisory opinion concerning the investigation to the Town Board.
The Town Board shall announce at a public meeting said advisory opinion
within 60 days of the receipt of the advisory opinion. At the discretion
of the Town Board, the name and identifying information of the subject
of the investigation may be redacted.
[Amended 5-14-2024 by L.L. No. 3-2024]
A.
Meetings of the Board of Ethics shall be open to the public unless
expressly provided otherwise herein or by applicable law or when the
Board is in closed/executive session. Board of Ethics discussions
and proceedings about specific complaints concerning potential violations
and recommended disciplinary action, annual disclosure statements,
advisory opinions (draft and final form), and the substance thereof
shall be kept confidential.
The Board of Ethics shall assist the Town in conducting training
programs on compliance with this chapter and make informational and
educational materials available to the public.
A.
Where the Board of Ethics finds and determines that an official or
employee has violated this chapter, it shall make a recommendation
to the Town Board as to the appropriate disciplinary action to be
taken.
[Amended 6-7-2011 by L.L. No. 5-2011]
B.
The Town Board shall consider, but need not follow, the recommended
disciplinary action as advised by the Board of Ethics. The Town Board
shall warn, censure or reprimand any person who violates, disobeys
or disregards any provision of this chapter or any rule or regulation
adopted pursuant to this chapter. Additionally, the Town Board may
take proper and appropriate action to suspend without pay or remove
from office or employment any nonelected Town official or employee
who violates, disobeys or disregards any provision of this chapter.
No existing right or remedy shall be lost, impaired or affected
by reason of this chapter.
Nothing in this chapter shall be deemed to bar or prevent a
present or former Town official or employee from timely filing any
claim or suit against the Town on behalf of his or her family arising
out of personal injury or property damage or any lawful benefit authorized
or permitted by law.
The Town Attorney shall be a nonvoting member ex officio of
the Board of Ethics and upon request of the Board shall render advice
and help in the administration of the Code.
[Amended 5-14-2024 by L.L. No. 3-2024]
A.
The Town Clerk shall cause copies of this chapter to be distributed
to every Town official and make them readily available to the public.
The Human Resources Office shall cause copies of this chapter to be
distributed to every employee.
B.
Every Town official or employee elected, appointed or hired shall
be delivered a copy of this chapter within 10 days after entering
upon the duties of his or her position. Failure to have been delivered
a copy of this chapter shall have no effect in the duty of compliance
or the enforcement of the provisions of this chapter.
C.
Within 10 days of receiving a copy of this chapter, all officials
and employees shall sign a form indicating that they have received
and read this chapter and shall return said form to the Town's
Human Resources office for inclusion in their personnel file or, in
the event they do not have a personnel file, to the Town Clerk.
[Added 5-14-2024 by L.L. No. 3-2024]
Any unauthorized disclosure of confidential information, by
a Town official or employee, shall constitute a violation of this
chapter.
