Pursuant to the provisions of Section 806 of the General Municipal Law, the Common Council of the City of Albany recognizes that there are rules of ethical conduct for public officers and employees which must be observed to maintain a high degree of moral conduct and public confidence in our municipality. The purpose of this chapter is to promulgate these rules of ethical conduct for the officers and employees of the City of Albany. These rules shall serve as the guide for official conduct of the officers and employees of the City of Albany. This Code shall be in addition to all other legal restrictions, standards and provisions pertaining to the conduct of City officers and employees.
The standards, prohibited acts and procedures established herein are in addition to any prohibited acts, conflicts of interest, provisions or procedures prescribed by statute by the State of New York and also in addition to the common law rules and judicial decisions relating to the conduct of municipal officers to the extent the same are more severe in their application than this chapter.
As used in this chapter, the following terms shall have the meanings indicated:
The City of Albany Board of Ethics.
The City of Albany.
A direct or indirect pecuniary or material benefit accruing to an officer or employee, or their relative. This includes a firm, partnership, association, or corporation, including a nonprofit corporation, of which such officer, employee, or relative exercises administrative discretion or has direct or indirect ownership of more than 5% of capital assets.
A matter which appears on the agenda of the Common Council, or on a committee thereof, on which any official action will be taken, and shall include proposed or adopted acts, local laws, ordinances or resolutions.
An officer or employee of the City of Albany, whether paid or unpaid, or those members, directors, officers, and employees of any not-for-profit organization if a majority of such organization's members or directors serve by reason of their City positions or if a majority of such organization's officers or directors are appointed by one or more City officers or bodies. In addition, such definition shall extend to any municipal officer's or employee's spouse and relatives.
A child, stepchild, parent, stepparent, sibling, stepsibling, or legal guardian of any of said persons, of an officer or employee or of the spouse of the officer or employee.
The husband, wife, or domestic partner of an officer or employee, unless living separate and apart pursuant to a judicial order, decree or judgment of separation or a legally binding written agreement of separation in accordance with the Domestic Relations Law.
A.
Conflict of interest. No municipal officer or employee shall have any interest or 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 their duties in the public interest.
B.
Disclosure of interest. Each municipal officer and employee shall, to the extent that they are cognizant thereof, disclose, in writing, any interest they may have in legislation or a decision pending before a governing body, department, or board. Such disclosure statement shall be filed with the City Clerk and with the governing body, department, or board to which the conflict relates.
C.
Gifts. No municipal officer or employee shall directly or indirectly solicit any gifts or accept and receive any gift having a value of $75 or more, whether in the form of money, services, loan, travel, entertainment, hospitality, thing or promise, or any other form, under circumstances in which it could reasonably be inferred that the gift was intended to influence them, or could reasonably be expected to influence then in the performance of their official duties or was intended as a reward for any official action on their part.
D.
Confidential information. No municipal officer or employee shall disclose or use confidential information acquired in the course of exercising or performing their official duties unless the disclosure or use is required by law or in the course of exercising or performing their official powers and duties. For the purpose of this section, confidential information shall include, but not be limited to:
E.
Other employment. No municipal officer or employee, during their tenure as a municipal officer or employee, shall accept other employment which shall be in conflict with their official duties.
F.
Representation before one's own agency. No municipal officer or employee shall receive or enter into any agreement, express or implied, for compensation for services to be rendered in relation to any matter before any municipal agency of which they are an officer, member or employee or of any municipal agency over which they have jurisdiction or to which they have the power to appoint any member, officer or employee.
G.
Future employment. No former municipal employee or officer shall personally represent any person, company, corporation or agency in a matter in which the former employee personally participated while employed by the City for two years, if such representation would be adverse to the interests of the City. This provision shall not, however, bar the timely filing by a current or former municipal officer or employee of any claim, account, demand, or suit arising out of personal injury, property damage, or any benefit authorized or permitted by law, nor shall it bar the City from hiring, contracting or retaining a former employee as a consultant.
A.
Purposes. The purpose of this section is to comply with Section 806 of Article 18 of the General Municipal Law of the State of New York to provide guidelines and criteria for financial disclosure for those persons to whom this section is applicable.
B.
Application. This section shall apply to the Mayor, members of the Common Council, the City Treasurer, the City Auditor, the City Clerk, the Corporation Counsel and the heads of the various offices and departments of the City.
C.
Filing. The Clerk's office shall be the official repository for completed annual statements of financial disclosure and shall provide a statement to that effect with the State Commission on Local Government Ethics. Any person required to file an annual statement by this section shall file the financial disclosure statement with the City Clerk by May 15 of each year for the preceding calendar years. The City Clerk shall retain each financial disclosure statement for six years. In its discretion, the Board of Ethics may grant exceptions with respect to complying with timely filing of such disclosure statements due to justifiable cause or undue hardship. Any such exception shall provide a date beyond which no further extension of time will be granted and be provided, in writing, to the City Clerk.
A.
Failure to file a financial disclosure.
(1)
Failure to file a financial disclosure statement by the deadline shall result in the City Clerk issuing an initial warning in writing. Failure to file a financial disclosure statement within 15 days of the issuance of the initial warning shall be deemed a violation of this Code punishable by a civil penalty not to exceed $100. The City Clerk shall issue an additional written warning.
(2)
Failure to file a financial disclosure statement within seven days of the issuance of an additional warning shall be deemed a violation of this Code punishable by a civil penalty not to exceed $200. The City Clerk shall issue a new additional written warning.
B.
Any person who knowingly and willfully makes a false statement or gives information on such statement that such individual knows to be false shall be assessed a penalty in an amount not to exceed $1,500, and such person may be subject to disciplinary action by the appropriate body.
C.
In addition to any penalty contained in any other provision of law, any current or former municipal officer or employee who knowingly and intentionally violates any of the provisions of this Code shall be subject to: a civil penalty up to $10,000 for each violation, as may be determined by the Board of Ethics. In making its determination as to the amount of the civil penalty to be imposed, the Board shall take into consideration the amount of the municipal officer's or employee's two most recent payments for work for or with the City.
D.
No person shall induce any other person to violate, attempt to induce any other person to violate, or aid any other person in violating, any provision of the Code of Ethics. Violation of this subsection shall subject such person to a penalty in an amount not to exceed $1,500, and such person may be subject to disciplinary action by the appropriate body.
A.
No municipal officer or employee shall retaliate against any City officer or employee or other person for submitting a complaint to the Board of Ethics or for acting, or refusing to act, as required by the Code of Ethics and Article 18 of the General Municipal Law.
B.
Any municipal officer or employee who violates Subsection A has committed an ethical violation subject to a penalty under this Code.
C.
In resolving a complaint alleging that a municipal officer or employee has violated this section, the Board of Ethics may recommend that a retaliatory personnel action be reversed.