[Amended 3-2-2022 by L.L.
No. 1-2022]
A. The Code of Ethics which follows deals with procedures to address
conflicts of interest on the part of Town elected officials, Town
officers, Town employees, Town consultants and certain volunteers.
This Code of Ethics seeks to make clear the requirements for disclosure
by these individuals of any actual, potential or perceived conflicts
of interest. In addition, this Code seeks to safeguard the dissemination
of confidential information and establish standards of conduct.
B. We recognize that the vast majority of public officials and employees
are men and women of great integrity. However, we have seen nationwide
too many instances where public trust has been violated for personal
gain. The New Windsor Code of Ethics is designed to preclude, insofar
as possible, taking advantage of one's position or access to
information for one's self and/or others and to protect public
officials from untoward pressures.
C. The Code does not seek to restrain or expose individuals so as to
discourage participation or employment in government. The major concern
is to provide for appropriate disclosure of any information that might
result in a potential conflict of interest or be viewed by another
to constitute a conflict of interest so that all factors are open
and aboveboard and the situations can be subject to the judgment of
governing bodies in the light of public awareness.
This chapter shall be known as the "Code of Ethics of the Town
of New Windsor."
[Amended 5-5-2004 by L.L.
No. 1-2004; 3-14-2018 by L.L. No. 3-2018; 3-2-2022 by L.L. No. 1-2022]
As used in this chapter, the following terms shall have the
meanings indicated:
CONTRACT
Any claim, account or demand against, or agreement with,
the Town of New Windsor, 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 or other proceeding
where such publication is required or authorized by law.
IMMEDIATE FAMILY MEMBER
Includes grandparents, parents, spouse/domestic partner,
children, grandchildren, brothers, sisters, dependents or any household
members of a reporting officer or employee, Town elected official,
Town officer, Town employee, or Town consultant.
INTEREST
A direct or indirect pecuniary or material benefit accruing
to a reporting officer or employee, Town elected official, Town officer,
Town employee, Town consultant, or to any of the foregoing's
spouse, child or dependent, whether as the result of a contract with
the town or otherwise. For the purpose of this chapter, any of these
parties shall be deemed to have an "interest" in the contract of:
A.
Their spouse, children and dependents, except for contracts
of employment with the Town;
B.
A firm, partnership or association of which they are a member
or employee;
C.
A corporation, or any other business entity, of which they are
an officer, director or employee; and
D.
A corporation, or any other business entity, of which they own
more than 5% of the outstanding capital stock.
RELATIVE
Includes all immediate family members, as defined above,
as well as stepparents, stepsiblings, stepchildren, uncles, aunts,
nephews, nieces, first cousins or household members of all reporting
officers or employees, Town elected officials, Town officers, Town
employees, or Town consultants, and individuals having any of these
relationships to the spouse/domestic partner and/or children or step
children of same.
REPORTING OFFICER OR EMPLOYEE
Any Town elected official, Town officer or Town employee who is required to complete and file an annual statement of financial disclosure pursuant to §
25-6 of this chapter. Such term shall also include any candidates for Town elected office.
TOWN CONSULTANT
Any individual, group or firm that renders services on behalf
of the Town.
TOWN ELECTED OFFICIAL
The Town Supervisor, Town Council members, Highway Superintendent,
Town Clerk, Receiver of Taxes and Town Justices.
TOWN OFFICER or TOWN EMPLOYEE
Includes anyone hired or appointed by the Town to work for
the Town, whether full time or part time, paid or unpaid, including,
but not limited to, members of any administrative board, commission
or other agency thereof, such as members of the Planning Board, Zoning
Board of Appeals, Board of Assessment Review, Board of Ethics and/or
Fire Prevention Bureau. No person shall be deemed to be a Town officer
or employee solely by reason of being a volunteer fireman, ambulance
corpsman or civil defense volunteer.
[Amended 3-2-2022 by L.L.
No. 1-2022]
Should any reporting officer or employee, Town officer, Town
employee, Town elected official or Town consultant be subject to another
code of ethics or professional conduct (i.e., Town Justice), that
individual shall be subject to the conditions of both codes and the
more stringent standards will apply.
[Amended 3-14-2018 by L.L. No. 3-2018; 3-2-2022 by L.L. No. 1-2022]
A. No Town officer, Town employee, Town elected official or Town consultant
shall have any interest, financial or otherwise, direct or indirect,
or engage in any business or transaction or professional activity,
or incur any obligation of any nature which is in conflict with or
might reasonably tend to conflict with the proper discharge of his
duties in the public interest.
B. If such a conflict occurs, that Town officer, Town employee, Town
elected official or Town consultant shall make known to all concerned
parties the nature of such conflict and shall refrain from any participation
whatsoever in the matter so as to avoid the conflict. In all cases
of potential conflict, the Town Supervisor and all Councilpersons
shall be made aware, in writing, of the situation by the person in
conflict and any concerned parties, including the Town Board of Ethics.
C. No Town officer, Town employee, Town elected official or Town consultant
shall represent private interests before any agency, department, officer
or other entity of the Town of New Windsor Town government to which
he/she is a member, by which he/she is employed, or to which he/she
renders services.
D. No Town elected official, Town officer, Town employee, Town consultant,
or member of any administrative board, commission or other agency
thereof serving the Town of New Windsor shall:
(1) Serve as attorney or counsel or representative of another party against
the interests of the Town in any matter in which the Town is a party
or complainant, without the written consent of the Town Board; or
(2) Compel any other Town elected official, officer, employee, consultant
or member of a Town administrative board, commission or other agency
thereof to make, or promise to make, any political contribution, whether
by gift of money, service, or thing of value.
E. No relative of any Town elected official or department head shall
be hired to work for the Town, with the following recognized exceptions:
(1) Any individual that was employed by the Town before the effective
date of this section can retain their position;
(2) Any individual that was hired by the Town before the Town elected
official or department head took office or position of authority can
retain their position;
(3) Any individual that was employed by the Town before becoming a relative
of any Town elected official or department head can retain their position;
(4) Any individual can be employed by the Town to fill a seasonal or
temporary position, which is a position that shall not exceed six
months in any given calendar year, irrespective of their relationship
to any Town elected official or department head;
(5) Any individual for which "good cause" exists for their hire, as determined
by a vote of the Town Board, with the benefit of guidance to be issued
by the Board of Ethics. In general, "good cause" may be found if there
is a showing that the Town would either suffer hardship as a result
of the general prohibition, there is a lack of otherwise qualified
applicants to fill the specific job title, or other similar set of
circumstances; and
(6) Any individual that is eligible for hire based on their performance
on a Civil Service Open Competitive Test can be hired, irrespective
of their relationship to any Town elected official or department head.
If any such individual is hired off the New Windsor residency list,
they shall be required to remain domiciled in the Town of New Windsor
for at least five years from the date of initial hire. If any individual
is hired off the Town list and, during their initial five years of
employment with the Town, they request a waiver from such residency
requirement for a documented hardship, such request must be made in
writing to the Town Board, which may consider and allow same by majority
vote.
F. No Town elected official, Town officer or employee, either individually
or as a member of a board, may participate in any decision to appoint,
hire, promote, discipline or discharge a relative for any position
at, for, or within the Town of New Windsor. In the event such Town
elected official, Town officer or employee is employed in a supervisory
role over a relative, that Town elected official, Town officer or
employee's deputy supervisor, the Town Supervisor or the Town
Board shall be authorized to promote, discipline and discharge the
subject relative, subject to any relevant provisions in law or a collective
bargaining agreement.
G. No Town elected official, Town officer or Town employee may supervise a relative in the performance of the relative's official powers or duties, subject to the recognized exceptions discussed above in §
25-5E.
H. Subject to any legal requirements for the provision of benefits,
no Town elected official may propose or vote on any measure, resolution
or law that would provide a benefit to that elected Town official
when that benefit will not be available to Town residents generally,
or to a substantial class of residents to which the public servant
belongs.
I. No elected Town official can be the Chairperson/Vice Chairperson
of their political party committee.
J. No Town elected official shall hold another paid position of employment
with the Town of New Windsor, during his or her term of elected office,
unless he or she was elected prior to the effective date of this section.
In the case of any elected official elected prior to the effective
date of this section, they shall only be permitted to hold both positions
until such time as their present elected term in office expires or
they resign their other paid position of employment with the Town,
whichever occurs first.
K. Future employment.
(1) After termination of service or employment with the Town, no former
reporting officer or employee, on his or her own behalf or as an employee,
agent or representative of another, may appear before the Town Board
or any administrative board of the Town in relation to any contract,
case, proceeding or application with which he or she personally rendered
substantial services during the period of his or her service to or
employment with the Town for a period of one year following such termination;
nor shall any such former reporting officer or employee appear before
the Town Board or any administrative board of the Town in connection
with any other matter for a period of one year following such termination.
(2) No paid reporting officer or employee shall accept present or future
employment, within one year following termination of service to the
Town, with any person, firm or corporation which furnished goods or
services to the Town during such person's service to the Town
unless such potential employment is disclosed to the Town Board before
being accepted by the officer or employee and is approved prospectively
by such board.
(3) A reporting officer or employee shall disclose, in writing, to an
immediate supervisor, any offer of employment received by such person
from any person, firm or corporation which, to the knowledge of such
officer or employee, is furnishing or seeking to furnish goods or
services to the Town, whether or not such offer is verbal or written
and whether or not it is accepted.
[Amended 3-2-1994 by L.L.
No. 1-1994; 3-2-2022 by L.L. No. 1-2022]
A. All reporting officers and employees, as listed in this section below,
shall disclose, in writing, to the Board of Ethics, by way of an Ethics
Board disclosure form to be provided or made available to all such
reporting officers and employees, which shall require the disclosure
of information, including, but not limited to the following:
(1) Any financial interest, direct or indirect, in any contract with
the Town;
(2) Any financial interest in the sale of any land, materials, supplies
or services to the Town;
(3) Any financial interest in any contractor or vendor supplying materials,
supplies or services to the Town;
(4) All personal land or property holdings;
(5) All commercial or business interests located in or serving the Town,
whether held personally or jointly with a spouse or domestic partner,
or by a spouse or domestic partner, a spouse or domestic partner's
employer, their children or stepchildren, or by other immediate family
members (to the best of one's knowledge), jointly in partnership
with others or as a corporation or trust;
(6) The name of any partnerships, corporations, entities or trusts of
which they or their spouse or domestic partner is an officer, director
or employee, or of which they or their spouse or domestic partner
legally or beneficially owns or controls more than 5% of the outstanding
stock or interest; and
(7) An account of exactly what their position is in the aforementioned
partnership, corporation, entity or trust, and what their spouse or
domestic partner's position is with same.
B. All of the following positions are reporting officers and employees:
(3) Code Enforcement Officer.
(6) Town Planning Board member.
(7) Zoning Board of Appeals member.
(10) Consulting engineer to the Planning Board and the Zoning Board of
Appeals.
(11) Consulting attorney to the Planning Board and the Zoning Board of
Appeals.
(14) Assessment Board of Review members.
C. The aforementioned disclosure shall be made to the Board of Ethics
by each of the above listed individuals no later than April 1 of each
year, except any newly elected Town official shall provide such disclosure
no later than 30 days after taking office and any other reporting
officer or employee listed above, who is hired or assumes their position
after April 1 of any year, shall file such disclosure no later than
30 days after they start employment.
D. Each reporting official listed above shall be responsible for updating
their disclosure whenever there is a change in the status of their
land or property interests and/or financial interests, as discussed
above, or if there are any changes to the information provided in
their previously submitted Ethics Board disclosure form. Notice of
any such changes must be provided to the Board of Ethics within 30
days knowledge of same.
[Amended 3-2-2022 by L.L.
No. 1-2022]
A. No Town elected official, Town officer, Town employee or Town consultant,
whether paid or unpaid, shall disclose any Town related confidential
information they acquire or learn of, including, but not limited to,
that revealed by way of the aforementioned Ethics Board disclosure
forms, nor use such information in an attempt to advance their financial
or other private interests, or those of any other persons.
B. All Ethics Board disclosure forms filed pursuant to this Code of
Ethics shall be sealed, indexed, and maintained on file for five years
in an appropriate manner by the Board of Ethics.
C. Such disclosure statements shall be available for public inspection
in accordance with the New York State Freedom of Information Law.
D. Such disclosure statements shall be destroyed upon the expiration
of this five-year period.
[Amended 3-14-2018 by L.L. No. 3-2018; 3-2-2022 by L.L. No. 1-2022]
A. No reporting officer or employee, Town officer, Town employee, or
Town consultant, shall accept other employment which may unduly influence
or otherwise bias his/her independence of judgment in the exercise
of his/her official Town duties.
B. No reporting officer or employee, Town officer, Town employee, or
Town consultant shall accept employment or engage in business or professional
activity which may require him/her to disclose confidential information
gained by reason of official position or authority.
C. No reporting officer or employee, Town officer, Town employee, or
Town consultant shall use or attempt to use his/her official position
to secure unwarranted privileges or exemptions for himself/herself
or others.
D. No reporting officer or employee, Town officer, Town employee, or
Town consultant, acting as a representative of the Town of New Windsor
or any subdivision thereof, shall engage in any transaction with any
business entity in which he/she has a direct or indirect financial
interest that might reasonably tend to conflict with the proper discharge
of his/her official duties. Should any immediate family member hold
any financial interest in any firm involved in such transaction, that
information shall be disclosed, in writing, to the Board of Ethics,
the Town Supervisor, the Town Board and the Town Attorney, before
such transaction is initiated, provided that it is known.
E. No reporting officer or employee, Town officer, Town employee, or
Town consultant shall, by his/her conduct, give reasonable basis for
the impression that another can improperly influence him/her or unduly
enjoy his/her favor in the performance of his/her official duties,
or that he/she is affected by kinship, rank, position or influence
of any party or person.
F. Personal investments made by an immediate family member which, if
made by a reporting officer or employee, Town officer, Town employee,
or Town consultant, would create a conflict of interest, shall be
made known to the Board of Ethics.
G. No reporting officer or employee, Town officer, Town employee, Town
consultant, or immediate family member of any such individuals, shall
accept any gift or gratuity in any way relating to his/her official
duties. The recipient of such gift or gratuity shall immediately return
the same to the giver and notify the Town of New Windsor Board of
Ethics regarding same.
H. No reporting officer or employee, Town officer, Town employee, or
Town consultant, 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 that reporting
officer or employee or Town consultant, either individually or as
a member of a board, while the matter is pending or within 30 days
following final disposition of the matter.
I. No reporting officer or employee, Town officer, Town employee, or
Town consultant, for a one-year period after serving the Town, 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 served the Town.
J. No reporting officer or employee, Town officer, Town employee, or
Town consultant, 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
the Town.
[Amended 3-14-2018 by L.L. No. 3-2018; 3-2-2022 by L.L. No. 1-2022]
A. The Town Board shall establish the Town Board of Ethics, consisting
of five members. No member shall be an appointed or elected officer
or employee of the Town. No more than two members shall be registered
in the same political party. No member shall hold office in a political
party or be employed by or act as a lobbyist for any business entity,
group or organization. No elected official may serve as a member.
B. There shall be appropriated adequate funds for the Board's maintenance
and operation, including a paid secretary who should not be a board
member.
C. All members of the Board of Ethics shall reside within the Town.
Of the initial appointed members, two shall be appointed for a term
of three years, two shall be appointed for a term of four years, and
one shall be appointed for a term of five years. Subsequently, members
shall be appointed to five-year terms.
D. The Town Attorney shall provide such legal and advisory services
to the Board of Ethics as it may require in the performance of its
duties. If the Town Attorney has a potential conflict of interest,
the Town will make additional funds available for the Board of Ethics
to obtain the services of outside counsel.
[Amended 3-14-2018 by L.L. No. 3-2018]
A. Members of the Board of Ethics shall not receive compensation for
the performance of their official duties, but shall be reimbursed
for reasonable and necessary expenses, provided that said expenses
receive prior written approval from the Town Board.
A Board of Ethics member may be removed by unanimous vote of
the Town Board for substantial neglect of duty, gross misconduct in
office, inability to discharge the powers or duties of office, or
violation of this code, after written notice and opportunity for reply
to the Town Board following the recommendation of the majority vote
of the Board of Ethics.
[Amended 3-14-2018 by L.L. No. 3-2018]
At its first meeting each year, the Board of Ethics shall elect
a Chairman from among its membership. Three members of the Board shall
constitute a quorum. A vote of at least three members shall be required
for the Board to take any action. The Board shall hold at least one
meeting a year, to be held before May 30, to review the annual disclosure
statements and any other business. The Chairman, or any three members,
may call a meeting of the Town Board of Ethics at any time when needed.
All meetings shall be noticed and conducted in accordance with New
York State Public Officer's Law, Article 7, a/k/a the "Open Meetings
Law."
[Amended 3-2-2022 by L.L.
No. 1-2022]
The Board of Ethics shall have the following powers and duties:
A. Prescription and promulgation of rules and regulations governing
its own organization and procedures, in a manner consistent with this
Code;
B. Cause to be filed with the State Ethics Commission a copy of the form for any disclosure statements required to be filed pursuant to §
25-6 of this Code;
C. Review of disclosure statements filed pursuant to §
25-6 of this Code;
D. Conduct of investigations pursuant to §
25-15 of this Code;
E. Conduct hearings, make recommendations of disciplinary action or penalties, and/or initiate appropriate actions and proceedings pursuant to §§
25-15 and
25-16 of this Code;
F. Issue advisory opinions pursuant to §
25-17 of this Code;
G. Refer matters, as deemed necessary and pursuant to §
25-15 below, to the County Board of Ethics, the State Board of Ethics, or any other appropriate board, association, or society that provides ethical oversight of its members;
H. Provide training and education to all reporting officers or employees,
and all Town consultants on the provisions of this Code of Ethics;
and
I. Prepare an annual report for the Town Board, which summarizes the
activities of the Board of Ethics and provides any recommendations
for changes to the Code of Ethics.
[Amended 3-14-2018 L.L.
No. 3-2018; 3-2-2022 by L.L. No. 1-2022]
A. Issuance of waivers. The Board of Ethics shall grant a waiver in
those situations in which the Board of Ethics believes the exception
would serve the public interest, upon a unanimous vote of the Board
of Ethics. Waivers shall be in writing and state the grounds on which
they are granted.
B. Filing of a complaint. Any person may file a complaint alleging a violation of this Code by writing to the Town Board of Ethics, care of the Town Hall. Any complaint must have an identifiable sworn complainant in order for the Board of Ethics to initiate an investigation and any such complaint shall be kept confidential until the Board of Ethics completes an investigation and renders a final written disposition, as discussed below in §
25-15.
[Amended 3-2-2022 by L.L.
No. 1-2022]
A. Upon receipt of a sworn complaint by any identifiable person, alleging
any violation of this chapter or of any local ethics law, or upon
determining on its own initiative that a violation of this chapter
or of any local ethics law may exist, the Board of Ethics shall have
the power and duty to conduct any investigation necessary to carry
out the provisions of this chapter. The Board of Ethics may administer
oaths or affirmations, subpoena witnesses or otherwise seek to compel
the attendance of witnesses, and require the production of any books
or records which it may deem relevant and material to the investigation
being conducted.
B. The accused shall be notified, in writing, regarding the existence
and nature of the complaint and shall have the right to appear before
the Board of Ethics to explain or defend his/her position regarding
the complaint.
C. The Board of Ethics is not permitted to investigate of any of its
members. Should the Board of Ethics receive notification alleging
that the Board or any of its members has violated any provision of
this Code, or that of any County or State Board of Ethics, the complaint
shall be forwarded to the County or State Board of Ethics.
D. The Board of Ethics shall state, in writing, the disposition of every
sworn complaint it receives and of every investigation it conducts,
and shall set forth the reasons for the disposition. Upon the final
disposition of a complaint, the Board's written disposition and
all sworn complaints shall become public record and shall be indexed
and maintained on file by the Board of Ethics. Prior to final disposition,
all complaints, statements or other evidence shall remain confidential.
E. Upon receipt of a complaint alleging a violation of this chapter
by an individual that is a member of an association or society that
maintains a grievance committee and has a grievance procedure in effect,
the Board of Ethics shall forward said complaint to said grievance
committee for an advisory opinion of any violation of the association
or society code of ethics. Upon receipt of the advisory opinion, the
Board of Ethics shall either adopt, reject, or adopt in part the advisory
opinion of the association or society and thereafter render its own
written disposition.
F. All dispositions of the Board of Ethics shall be reviewable by the
filing of a petition pursuant to Article 78 of the New York State
Civil Practice Laws and Rules in the Supreme Court of the State of
New York.
In its discretion and after a hearing, the Board of Ethics may
recommend appropriate disciplinary action to an authority or person
or body authorized by law to impose such sanctions. The Board of Ethics
shall conduct and complete the hearing with reasonable promptness
unless, in its discretion, the Board of Ethics refers the matter to
the authority or person or body authorized by law to impose disciplinary
actions or to the appropriate prosecutor. If such a referral is made,
the Board of Ethics may adjourn its hearing pending determination
by such authority, person, body or prosecutor.
[Amended 3-2-2022 by L.L.
No. 1-2022]
A. Upon written request of any board, department or individual Town
officer, Town employee or any applicant, the Town Board of Ethics
may render written advisory opinions with respect to the interpretation
or application of any provision of this Code.
B. Opinions and requests for opinions shall be public records and shall
be indexed and maintained on file in an appropriate manner by the
Town Board of Ethics, along with all other Town Board of Ethics records,
in the office of the Town Clerk.
[Added 5-5-2004 by L.L.
No. 1-2004; amended 3-2-2022 by L.L. No. 1-2022]
The Town Supervisor shall cause a copy of this Code of Ethics
to be distributed, whether by hard copy or electronic copy, to every
reporting officer and employee, every Town elected official, every
Town officer and employee, and every Town consultant that may be governed
by this Code. Failure to distribute same shall, however, have no effect
on one's duty to comply, nor on the enforcement of provisions
provided herein.