[Adopted 11-16-2004 by L.L. No. 52-2004 (Ch. 18, §§ 18-18
through 18-28, of the 1976 Code)]
A.
There is hereby established an Ethics Board consisting of five members.
The Town Board shall appoint the members of the Ethics Board.
B.
Of the total membership of the Ethics Board, no more than two shall
be registered to vote in the same New York State recognized political
party, nor shall more than two be nonaffiliated voters or unregistered
voters. An Ethics Board member may make campaign contributions and
attend benefits, but may not participate in activities such as passing
out literature, petitions, or wearing pins for an election. An individual
who has served as a campaign manager or treasurer for a political
party committee or individual election campaign committee shall be
ineligible to serve on the Ethics Board for the two-year period immediately
following the completion of his other service for the campaign or
political committee. Ethics Board members who opt to enter campaign
races for public office shall promptly resign from the Town's Ethics
Board.
C.
No person may be appointed as a member of the Ethics Board who is:
(1)
An officer or committee person of any local, county or state political
party, association, club or independent political committee subject
to the various regulations and reporting requirements of the State
Election Law; or
(2)
A campaign manager or treasurer for a political party committee or
individual election campaign committee; or
(3)
Currently serving as an elected Town officer; or
(4)
Currently a relative of an elected Town officer; or
(5)
Currently having business dealings with the Town or any Town agency,
directly or indirectly, personally or through some firm, association
or corporation in which he or she acts in an official capacity.
D.
One, but not more than one, member of the Ethics Board shall be an
appointed Town officer or employee or former Town officer or employee.
E.
The terms of office of the Ethics Board members shall be two years.
Terms shall run from January 1 through December 31. The members first
appointed following the effective date of this article shall be appointed
as follows: three to serve two-year terms, two to serve one-year terms.
Subsequent terms shall be staggered two-year terms.
F.
When the term of an Ethics Board member has expired, he or she shall
serve as a holdover until his or her successor has been appointed.
G.
The members of the Ethics Board shall not receive compensation but
may be reimbursed for reasonable expenses incurred in the performance
of their official duties, pending Town Board approval by resolution.
When a vacancy occurs in the membership of the Ethics Board, the vacancy shall, within 45 days, be filled for the unexpired portion of the term in the same manner as the original appointment. Any person appointed to fill a vacancy on the Ethics Board shall meet the qualifications set forth in § 105-29 of this article.
A.
An Ethics Board member may be removed from office upon any of the
following grounds:
B.
A member whose removal is under consideration by the Town Board shall
be given written notice of the allegations against him or her and
provided a reasonable opportunity to reply. A member whose removal
is under consideration by the Town Board shall, at the member's option,
continue to serve as a member of the Ethics Board unless and until
the Town Board has voted to remove him or her. A member whose removal
is under consideration by the Town Board shall, at the member's option,
be afforded a public hearing before the Town Board, at which such
member may be represented by counsel, call witnesses in his or her
own behalf, and cross-examine witnesses who testify against the member.
At its first meeting each year, the Ethics Board shall elect
a Chair from among its members. Any action of the Ethics Board must
be approved by a majority thereof. The Chair or a majority of the
Ethics Board may call a meeting of the Ethics Board.
A.
The termination of a Town officer's or employee's term of office or employment with the Town shall not affect the jurisdiction of the Ethics Board with respect to the requirements imposed on him or her by Chapter 113, Ethics, Code of.
B.
The Ethics Board shall have the following powers and duties:
(1)
To prescribe and promulgate rules and regulations governing its own internal organization and procedures in a manner consistent with this article and Chapter 113, Ethics, Code of.
(2)
As necessary to carry out its duties under this article and Chapter 113, Ethics, Code of, the Ethics Board may request the Town Board to designate certain Town staff to provide such clerical services. The Ethics Board may retain outside counsel, subject to approval by the Town Board for rates of compensation and total annual budget allocation.
(3)
To review, index, and maintain on file lists of Town officers and employees, and disclosure statements filed with the Ethics Board, pursuant to the applicable provisions of this article and Chapter 113, Ethics, Code of.
(5)
To conduct hearings, make recommendations for disciplinary actions and penalties, make referrals, and initiate appropriate actions and proceedings pursuant to § 113-13.
(8)
To provide training and education to Town officers and employees and to make information concerning Chapter 113, Ethics, Code of, and Article 18 of the General Municipal Law available to the public and to persons interested in doing business with the Town.
(9)
To develop educational materials and an education program for Town officers and employees concerning the provisions of Chapter 113, Ethics, Code of, and Article 18 of the General Municipal Law.
(10)
To prepare an annual report to the Town Supervisor and Town Board, summarizing the activities of the Ethics Board. The report may also recommend changes to the text or administration of this article and Chapter 113, Ethics, Code of. The Ethics Board shall periodically review this article and Chapter 113, Ethics, Code of, and the Board's rules, regulations, and administrative procedures to determine whether they promote integrity, public confidence, and participation in Town government and whether they set forth clear and enforceable, common sense standards of conduct.
(11)
To publish:
(a)
Its advisory opinions in a form that removes personal identifying
information concerning all persons who are the subjects of such advisory
opinions and decisions, provided that each such person approves the
form in which the advisory opinion is published; and
(b)
Its final decisions and referrals and recommendations for disciplinary actions and penalties. Any report and recommendation presented to the Town Board pursuant to this article and Chapter 113, Ethics, Code of; and
(c)
Its decisions disposing of complaints in which it reached a determination that no violation of Chapter 113, Ethics, Code of, occurred, provided that the published version of any such decision shall be in a form that removes personal identifying information concerning all persons who are the subjects of the complaint and that each such person approves the form in which the advisory opinion is published.
A.
The Ethics Board shall review:
(1)
The lists of Town officers and employees, prepared pursuant to § 113-16 of Chapter 113, Ethics, Code of, of the Code of the Town of Riverhead, to determine whether the lists are complete and accurate. The Ethics Board shall recommend to the Town Board the name of any other officer or employee who the Ethics Board determines should appear on the list pursuant to § 113-10.
(2)
All annual financial disclosure and conflict statements to ensure compliance with the standards as set forth in Chapter 113, Ethics, Code of, and to determine whether any person required to file such a statement has failed to file it, has filed a deficient statement, or has filed a statement that reveals a possible or potential violation of Chapter 113, Ethics, Code of.
[Amended 7-3-2007 by L.L. No. 21-2007]
(3)
All transactional disclosure statements.
B.
If the Ethics Board determines that an annual financial disclosure and conflict statement or a transactional disclosure statement is deficient or reveals a possible or potential violation of Chapter 113, Ethics, Code of, the Ethics Board shall notify the person in writing of the deficiency or possible or potential violation and of the penalties for failure to comply with Chapter 113.
[Amended 7-3-2007 by L.L. No. 21-2007]
A.
Upon receipt of a written complaint by any person alleging a violation of Chapter 113, Ethics, Code of, or upon determining on its own initiative that a violation of Chapter 113 may exist, the Ethics Board shall have the power and duty to conduct with reasonable promptness any investigation necessary to carry out the provisions of this article. Written complaints must be signed by the individual complainant, notarized, and must include his/her address. In conducting any such investigation, the Ethics Board may administer oaths or affirmations, compel attendance of witnesses, and require the production of any books or records that it may deem relevant and material. The Ethics Board shall make a reasonable effort to obtain voluntary cooperation prior to exercising or enforcing its right to compel testimony. Further, the Ethics Board shall take steps to ensure that every individual's right to due process is protected.
B.
The Ethics Board shall state in writing the disposition of every
sworn written complaint it receives and shall set forth the reasons
for the disposition. All such statements and all sworn complaints
shall be indexed and maintained on file by the Board.
C.
Any person filing a sworn complaint with the Ethics Board, and every
person who is named in such a complaint, shall be notified in writing
of the disposition of the complaint.
D.
Upon the written request of the Town Board of a Town officer or employee, or of any contracting party, the Ethics Board shall investigate and provide to the Town Board a written report and recommendation concerning any Town contract or agreement that may be void pursuant to § 113-6. Additionally, the Ethics Board may, in its discretion, undertake such an investigation upon its own initiative, in which case it may present a report and recommendation to the Town Board.
E.
Nothing in this section shall be construed to permit the Ethics Board to conduct an investigation of itself or of any of its members or staff. If the Ethics Board receives a complaint alleging that the Ethics Board or any of its members or staff has violated any provision of this article or Chapter 113, Ethics, Code of, or any other law, the Ethics Board shall promptly transmit to the Town Board a copy of the complaint.
A.
Upon written application and upon a showing of compelling need by the applicant, the Ethics Board may in exceptional circumstances grant the applicant a waiver of any of the provisions of § 113-4, 113-5, 113-9, 113-10, or 113-11 of Chapter 113, Ethics, Code of; provided, however, that no such waiver shall permit conduct otherwise prohibited by Article 18 of the General Municipal Law of the State of New York.
B.
Waivers shall be in writing and shall state the grounds upon which
they are granted. Within 10 days after granting a waiver, the Ethics
Board shall file with the Town Clerk a statement setting forth the
name of the person requesting the waiver and a general description
of the nature of the waiver. All applications, decisions, and other
records and proceedings relating to waivers shall be indexed and maintained
on file by the Ethics Board.
A.
Upon the written request of any Town officer or employee or former Town officer or employee, the Ethics Board shall render a written advisory opinion with respect to the interpretation or application of Chapter 113, Ethics, Code of, or of Article 18 of the General Municipal Law of the State of New York, under such rules and regulations as the Ethics Board may deem advisable, and said advisory opinion shall be reviewed by either the Town Attorney or by legal counsel retained by the Ethics Board. Any other person may similarly request an advisory opinion from the Ethics Board but only with respect to whether his or her own action might violate a provision of Chapter 113 or Article 18 of the General Municipal Law.
B.
Advisory opinions and requests for advisory opinions shall be indexed
and maintained on file by the Ethics Board in a place of its choosing;
however, the records must be stored in a Town-owned and -operated
facility within the Town of Riverhead.
C.
Any person who has submitted to the Ethics Board a written request
for an advisory opinion may bring a special proceeding pursuant to
Article 78 of the Civil Practice Law and Rules for an order compelling
the Ethics Board to issue the advisory opinion. In addition to, or
in lieu of, such injunctive relief, the person may seek a judgment
in accordance with § 3001 of the Civil Practice Law and
Rules determining the question posed in the request for the advisory
opinion. No action or special proceeding shall be prosecuted or maintained
pursuant to this section unless:
(1)
It shall appear by and as an allegation in the petition or complaint
that at least six months have elapsed since the filing of the request
and that the Ethics Board has failed to file any determination in
the matter; and
(2)
The action or special proceeding shall be commenced within 10 months
after the submission of the request for the advisory opinion.
D.
No Town officer or employee shall be subject to discipline by the
Town or the Town agency that employs him or her for acting or declining
to act concerning a matter, assignment, decision or task of his or
her Town office or employment, if he or she acts, or declines to take
action:
Any person aggrieved by a decision of the Town Board pursuant
to this article may seek judicial review and relief pursuant to Article
78 of the Civil Practice Law and Rules of the State of New York.
A.
The only records of the Ethics Board that shall be available for
public inspection are those whose disclosure is required by Article
6 or Article 7 of the Public Officers Law of the State of New York
or by some other state or federal law or regulation.
B.
No meeting or proceeding of the Ethics Board concerning misconduct,
malfeasance, or neglect in office by a Town officer or employee shall
be open to the public, except upon the request of the officer or employee
or as required by the provisions of Article 7 of the Public Officers
Law or by some other state or federal law or regulation.
C.
Except as otherwise provided by Article 6 and Article 7 of the New
York State Public Officers Law, all requests for advisory opinions,
all sworn written complaints, all advisory opinions, all decisions
disposing of complaints, all investigative records and files, and
all witness statements taken by the Ethics Board or by any person
acting on its behalf shall be held in confidence by the Ethics Board
and shall not be disclosed by any member of the Ethics Board to any
person, except as follows:
(1)
Any information deemed by the Ethics Board to concern a possible
criminal violation shall not be confidential for the purpose of disclosing
it to the appropriate prosecutor or other law enforcement agency;
or
(2)
A sworn written complaint shall not be confidential for the purpose
of disclosing it to any person named therein and for the purpose of
notifying all such persons of the disposition thereof; or
(3)
A decision disposing of a complaint shall not be deemed confidential
for the purpose of disclosing it to the person who made the complaint;
or
(4)
A publication made by the Ethics Board pursuant to this article or Chapter 113, Ethics, Code of; or
(5)
Upon a recommendation to the Town Board for further investigation or upon recommendations of disciplinary action or a civil fine pursuant to § 113-13A or B, the Ethics Board shall turn over all related information, including testimony, to the Town Board. The Town Board shall then be constrained by the same confidentiality standards as those set forth above for the Ethics Board.
