[HISTORY: Adopted by the Town Board of the
Town of Halfmoon 3-20-2013 by L.L. No. 1-2013.[1] Amendments noted where applicable.]
[1]
Editor’s Note: This local law also superseded former
Ch. 10, Ethics, adopted 9-8-1970 by L.L. No. 2-1970, as amended.
A.
The Town Board of the Town of Halfmoon recognizes the importance
of establishing a minimum standard of conduct for the employees and
appointed/elected officials. Employees and appointed/elected officials
of the Town of Halfmoon hold their positions to serve and benefit
the public, and not for obtaining unwarranted personal or private
gain in the exercise and performance of their official powers and
duties. The Town of Halfmoon recognizes that, in furtherance of this
fundamental principal, there is a need for clear and reasonable standards
of ethical conduct. At the same time, it is recognized that public
service cannot require a complete divesting of all proprietary interest
nor impose intrusive disclosure requirements if the Town government
is to attract and retain competent administrators and employees. It
is the purpose of this chapter to supplement and implement the provisions
of Article 18 of the General Municipal Law of the State of New York
by establishing standards of conduct for the Town's officials,
officers, appointees and employees.
B.
The standards, prohibited acts and procedures established herein
are in addition to any prohibited acts, conflicts of interest provisions
or procedures prescribed by any statutes of the State of New York,
through common law, advisory opinions and Executive Orders to the
extent that the same are more severe in their application to this
chapter.
When used in this chapter and unless otherwise expressly stated,
the following terms shall have the meanings indicated:
The Committee may accept and consider written requests from
officials, employees, appointees or volunteers for advisory opinions
regarding conflicts of interest or the appearance thereof. Such advisory
opinions shall be deemed to be in the nature of a personnel matter
and shall remain confidential except as provided for herein.
Having or providing any contract, service or benefit to or for
the Town.
Buying, selling, renting, leasing or otherwise acquiring from
or dispensing to the Town any goods, services or property.
Applying for, petitioning, requesting or obtaining any approval,
grant, license, permit or other privilege from the Town government
that involve a commercial venture. This shall not apply to applications
involving an individual's residence.
Knowledge or information imparted or made available to a
Town officer or employee while in the conduct of Town duties, which
knowledge or information is not generally public and which knowledge
or information is not available through a freedom of information request
of the Town.
A spouse, child, brother, sister or dependent or domestic
partner.
An action performed in a prescribed manner imposed by law
without the exercise of judgment or discretion as to the propriety
of the action.
Includes natural persons, corporations, partnerships, unincorporated
associations and all other entities.
A family member.
Any partnership or unincorporated association of which the Town
officer or employee is a member or employee or in which he or she
has a proprietary interest.
Any corporation of which the Town officer or employee is an
officer, director or employee or of which he or she legally or beneficially
owns or controls more than 5% of the outstanding stock.
Any person from whom the Town officer or employee or his or
her spouse has received within the previous twelve-month period a
pecuniary or material benefit having an aggregate value greater than
$5,000.
To make a specific request of a person not otherwise disposed
to be a recipient of such request.
The Town of Halfmoon governmental and administrative operations,
including officials, officers and employees of the Town of Halfmoon
who act under the auspices of the Town of Halfmoon or on its behalf
including Board members, commissions, districts or other agency, department
or unit of the government of the Town of Halfmoon.
The Clerk of the Town of Halfmoon pursuant to § 30
of the New York State Town Law.
Any officer or employee of the Town including Town officials,
whether paid or unpaid. No person shall be deemed to be a "Town officer
or employee" solely by reason of being a volunteer firefighter or
civil defense volunteer.
The Town Supervisor, County Supervisor, Deputy Town Supervisor,
Town Superintendent of Highways, Town Clerk, Collector and Assessor
of Taxes, and Town Attorney.
Any person designated by New York State Town Law or the Town
Code of the Town of Halfmoon or by Town resolution as the head of
a department or bureau of the Town.
Any person who has the authority to approve, authorize or audit
any grant, permit, license, application or other privilege or any
purchase, sale, rental or lease of goods, services or property on
behalf of the Town.
Any elected or appointed member of the Town Board, Planning
Board, Zoning Board of Appeals, Town Commissions, Town Committees
and any other Town Board, commission or committee hereinafter created,
the authority of which includes approval, authorization or audit of
any grant, application or other privilege or of any purchase, sale,
rental or lease of goods, services or property on behalf of the Town,
but "Town official" does not include a Judge, Justice, officer or
employee of the Unified Court System, but does include those personnel
employed by the Town of Halfmoon who work in the court offices. Individuals
who are members of an ad hoc or temporary board, committee or body
not set forth otherwise hereinabove and which is designated by the
Town Board to provide advisory services to the Town are not "Town
officials."
Any person or entity that sells or provides to the Town any
property, goods or services, whether on a regular basis or pursuant
to periodic agreement, and does not include a Town officer or employee.
A.
No Town officer or employee shall:
(1)
Directly or indirectly, solicit any gift or accept or receive money or any gift or gifts having a cumulative value of $75 or more over the course of one year, whether in the form of money, service, loan, travel, entertainment, hospitality, thing or promise, or in any other form, 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, including any financial transaction on terms not available to the general public, except professional fees or salaries for services rendered from any persons, other than a spouse, who, to the recipient's knowledge, is considering, has pending or within the previous 12 months has had any business dealings with the Town that requires any negotiation, approval, recommendation, authorization, audit or other action, other than ministerial action, by the Town officer or employee, either individually or as a member of any board, commission, committee or department. For purposes of this Subsection A(1), a campaign contribution shall not be deemed a gift nor shall attendance at events that are attended in the course of official duties.
(2)
Act as attorney, agent, broker, employee, consultant or representative
for any person in connection with any business dealing that person
has with the Town.
(3)
Appear as attorney, agent, broker, employee, consultant or representative
against the interest of the Town in any matter in which the Town is
a party.
(4)
Take or refrain from taking any action or agree to take or refrain
from taking any action or induce or attempt to induce any other Town
officer or employee to take or refrain from taking any action on any
matter before the Town in order to obtain a pecuniary or material
benefit for himself or herself or a related person.
(5)
Appear before the Town, except on behalf of the Town or on his or her own behalf. This Subsection A(5) shall not prohibit any Town officer or employee from appearing without compensation before any Town agency, board, committee, commission or department solely on behalf of his or her constituents or in connection with his or her official duties.
(6)
Except as compelled by law, disclose any confidential information
acquired in the course of his or her official duties or use any confidential
information acquired in the course of his or her official duties to
advance the financial or other private interest of himself or herself
or any other person.
(7)
Knowingly accept employment to commence on or after termination of
his/her Town employment which will require disclosure of confidential
information gained by reason of their official position or authority.
(8)
During his or her term of office or employment with the Town, solicit, negotiate for or accept any employment from which he or she would be disqualified under Subsection A(10) of this section.
(9)
Accept other employment which will impair their independence of judgment
in the exercise of their official duties or require them to disclose
confidential information which may be gained through employment with
the Town.
(10)
Shall use or attempt to use their official position to secure unwarranted
privileges or exemptions for himself/herself or others.
(11)
No Town Board member shall hold the Chairman, Vice Chairman, Secretary
or Treasurer or any other elected or appointed office holder of a
political party organization, and shall not include committee members
of either a political party or a political organization who are not
otherwise officers thereof.
B.
No partnership or unincorporated association or corporation of which
a Town official is a member, employee or agent or in which he or she
has a proprietary interest nor any corporation of which he or she
is an officer or director or of which he or she legally or beneficially
owns or controls more than 5% of the outstanding stock shall appear
before the Town on behalf of any person other than the Town or itself.
C.
Nothing in this section shall be construed to prohibit a Town officer
or employee or any other person from receiving a Town service or benefit
or using a Town facility which is generally available to residents
or a class of residents in the Town.
D.
Nothing in this chapter shall be construed to prohibit any public
officer listed in § 11 of the Domestic Relations Law from
accepting any gift or benefit having a value of $100 or less for the
solemnization of a marriage by that public officer at a place other
than the Town officer's normal place of business or at a time
other than the officer's normal hours of business.
E.
Nothing in this section shall be construed to prohibit a Town officer
or employee from performing any ministerial act.
F.
Any contract entered into by or with the Town, which contract results
in or from a violation of any provision of this chapter, shall be
null and void and unenforceable, unless the Town has obtained a waiver
of that provision from the State of New York.
G.
A person who knowingly violates any provision of this section shall
be guilty of a violation.
A.
Whenever a Town officer or employee is requested or required to take
any action on a matter before the Town and, to his or her knowledge,
the performance of that action would provide a pecuniary or material
benefit either to the Town officer or employee or to any related person,
the Town officer or employee shall not participate in any manner whatsoever
in that matter. The Town officer or employee shall file promptly with
his or her immediate superior, if any, and with the Town Clerk a statement
disclosing the nature and extent of that interest.
B.
Nothing in this section shall be construed to prohibit a Town officer or employee from performing any ministerial act or to require a Town officer or employee to file a disclosure statement pursuant to Subsection A prior to performing any ministerial act.
C.
Nothing in this section shall be construed to prohibit a Town officer or employee from taking any action that would otherwise be prohibited by Subsection A if this action has general application to all residents or class of residents of the Town.
D.
Any person who knowingly violates this section shall be guilty of
a violation.
A.
The
following Town Officials shall be required to file with the Town Clerk
a financial disclosure statement within 30 days after taking office
and no later than April 30 of each year thereafter: members of the
Town Board, members of the Planning Board, members of the Zoning Board,
Assessor, Highway Superintendent, Town Attorney, Town Clerk, department
heads/managers, and members of the Board of Ethics; within 30 days
after any substantial change in the information, the official shall
file an amendment to the statement indicating the change.
B.
Matters
to be disclosed by all Town officials on the disclosure forms shall
include:
(1)
The location of any real property within the Town in which the Town
official or spouse has an ownership or other financial interest.
(2)
The name of any partnership, unincorporated association or other
unincorporated business of which the Town official or spouse is an
officer, employee or partner or in which the Town official or spouse
has a proprietary interest, and the spouse's position, if any,
with the partnership, association or business, if any such entity
has engaged within the past 12 months or which is anticipated to have
any business dealings with the Town.
(3)
The name of any corporation of which the Town official or spouse
is an officer, director or employee or of which he or she or his or
her spouse or of which the Town official or spouse legally or beneficially
owns or controls more than 5% of the outstanding stock, and any such
entity that he or she has engaged within the past 12 months or which
he or she is anticipated to have any business dealings with the Town,
and the Town official's and spouse's position, if any, with
the corporation.
(4)
The name of any persons from whom the Town official or his or her
spouse has derived during the previous calendar year and any income
whereby such income was derived from business dealings with the Town.
C.
A
person who knowingly violates any provision of this section shall
be guilty of a violation.
Transactional disclosure statements filed pursuant to this chapter
and financial disclosure statements filed pursuant to this chapter
shall be public records and shall be indexed and maintained on file
in an appropriate manner by the Town Clerk. The Town Clerk shall promptly
transmit a copy of all statements to the Town's Ethics Board.
The Town Clerk shall retain disclosure statements in his or her files
for not less than seven years from the date of filing.
A.
On or before March 10 of each year, the Town Supervisor shall cause
to be filed with the Town Clerk and with the Town Ethics Board a list
of the names and offices or positions of all Town officials and notify
all Town officials of the financial disclosure requirements of this
chapter.
B.
On or before May 15 of each year, the Town Supervisor shall verify
that every Town official has filed his or her financial disclosure
statement.
C.
Failure of the Town Supervisor to comply with this section shall
not relieve any Town official of his or her duty to file an annual
disclosure statement.
A.
Information to be included.
(1)
Any person who submits to the Town a written application, petition
or other request or a written bid or submission or at the time of
retaining shall include therein at said time the name of any Town
officer or employee who, to the applicant's knowledge, has an interest
in the submission and is required, either individually or as a member
of any board, committee or department, to negotiate, approve, recommend,
authorize, audit or take any other action, other than a ministerial
act, on the submission.
(2)
The applicant also shall identify in the submission the nature of
the interest. This section shall apply only to those applications
which require approval by the Planning Board, Town Board and/or Zoning
Board of Appeals.
B.
For the purpose of this section, a Town officer or employee shall
be deemed to have an interest in the submission or in the applicant
when the Town officer or employee or his or her spouse:
(1)
Is the applicant.
(2)
Is a family member of the applicant.
(3)
Is an officer, director, partner, member or employee of the applicant.
(4)
Legally or beneficially owns or controls more than 5% of the outstanding
stock of the applicant.
(5)
Will receive, pursuant to an agreement between the applicant and
any person, a pecuniary or material benefit if the Town's disposition
of the submission is favorable to the applicant.
The Town Ethics Board shall provide bi-annual training for Town
employees and elected/appointed officials. The Ethics Board may utilize
whomever they deem appropriate to assist them in providing the training.
Any person, whether or not a Town officer or employee, who intentionally
induces any Town officer or employee to take action or to refrain
from taking action, which action or inaction violates any provision
of this chapter, and knows that such action or inaction violates this
chapter shall be guilty of a violation.
A.
Debarment.
(1)
Any person convicted of a violation under this chapter shall be prohibited,
for a period of three years after the date of the conviction, from
entering into any contract with the Town.
(2)
Nothing in this section shall be construed to prohibit any person
from receiving a service or benefit or using a facility which is generally
available to the public.
(3)
A person who knowingly violates any provision of this subsection
shall be guilty of a violation.
B.
Additional penalties.
(1)
Any Town officer or employee who engages in any action that violates
any provision of this chapter may be warned or reprimanded or suspended
or removed from office or employment by the appointing person or body
authorized by the Town Board. A warning, reprimand, suspension or
removal may be imposed in addition to any other penalty contained
in this chapter or in any other provision of law.
(2)
Any Town officer or employee who violates any provision of this chapter shall be liable in damages to the Town for any losses or increased costs incurred by the Town as a result of the violation. Such damages may be imposed in addition to any other penalty contained in this chapter [other than a civil forfeiture pursuant to Subsection B(3)] or in any other provision of law, subject to Section 75 of the Civil Service Law and/or any other applicable laws of the State of New York or federal government.
(3)
Any Town officer or employee who has knowingly or intentionally violated any provision of this chapter shall be subject to a civil forfeiture to the Town of a sum equal to three times the value of any financial benefit he or she received as a result of the conduct that constituted the violation. A civil forfeiture may be imposed in addition to any other penalty contained in this chapter [other than a civil fine pursuant to Subsection B(3) or damages pursuant to Subsection B(3) hereof] or in any other provision of law.
A.
The Town Board herein establishes an Ethics Board and shall on a
year-to-year basis appropriate adequate funds for said Board's
operation.
B.
There shall be five appointed members of the Ethics Board. Each member
shall serve for a three-year term. At least one of the members shall
be either an elected or appointed Town employee of the Town of Halfmoon.
(1)
The terms of members of the Ethics Board shall be for terms so fixed
that the term of one member shall expire at the end of the calendar
year in which such members were initially appointed. The terms of
the members appointed thereafter shall be so fixed that one term shall
expire at the end of each calendar year thereafter. At the expiration
of the term of each member first appointed, his or her successors
shall be appointed for a term of three years.
(2)
There shall be two appointed alternate members of the Ethics Board.
The Chairperson of the Ethics Board may designate an alternate member
to substitute for a member when such member is unable to participate
because of a conflict of interest on a matter before the Ethics Board.
Alternate members of the Ethics Board shall be appointed by resolution
of the Town Board for a three-year term.
(3)
Neither Ethics Board members or alternates shall miss more than three
meetings in any calendar year. Missing more than three meetings in
a calendar year without good cause will result in automatic removal
from the Ethics Board.
C.
The Ethics Board shall select its own Chairman for a one-year term.
D.
The Ethics Board members shall be appointed by resolution of the
Town Board.
E.
Upon the establishment of the Town Ethics Board or, thereafter, within
90 days after the expiration of a term or the occurrence of a vacancy,
the Town Board shall make the appointment or fill the vacancy, as
the case may be.
F.
In the event the Town Board is unable to fill vacancies as set forth
hereinabove, then, in such case, the County Board of Ethics shall
select the individuals to fill any vacancies.
G.
The Town 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 not inconsistent
with this chapter.
(2)
To review lists of Town officials and disclosure statements.
(3)
To conduct investigations pursuant to this chapter.
(4)
To conduct hearings, recommend disciplinary action, assess penalties
and initiate appropriate actions and proceedings pursuant to this
chapter.
(5)
To issue advisory opinions pursuant to this chapter.
(6)
To provide training and education to Town officers and employees
on the provisions of the Town Ethics Law.
(7)
To prepare an annual report and recommend changes to the Town Ethics
Law, if required.
H.
The Town Board may prescribe additional powers and duties for its
Ethics Board, provided that such additional powers and duties do not
conflict with the New York State Municipal Ethics Act.
I.
The Ethics Board of the Town may act only with respect to officers
and employees of the Town and persons having business dealings with
the Town. 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 Town Ethics Board with respect to the requirements imposed
by this chapter on the former Town officer or employee to the extent
permitted by law.
J.
The Town Ethics Board may refer any matter within its jurisdiction
to the County Ethics Board.
K.
The Town Ethics Board shall have the authority to utilize Executive
Session where appropriate pursuant to the laws of the State of New
York.
A.
The Town Ethics Board shall review the lists of Town officials prepared
pursuant to this chapter to determine whether the lists are complete
and accurate. The Board shall add to the list the name of any other
Town officer or employee whom the Board determines to be a Town official
pursuant to this chapter.
B.
The Town Ethics Board shall review all annual financial disclosure
statements 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 violation of this chapter.
C.
The Town Ethics Board shall promptly review every transactional disclosure
statement. If the Board determines that the statement is deficient
or reveals a possible violation of this chapter, it shall notify the
person, in writing, of the deficiency or possible violation and of
the penalties for failure to comply with this chapter.
A.
Upon receipt of a form duly sworn to by the person requesting an
investigation of an alleged violation of this chapter or upon the
Board determining on its own initiative that a violation of this chapter
may exist, the Ethics Board shall have the power and duty to conduct
any investigation necessary to carry out the provisions of this chapter.
In conducting any such investigation, the Board may administer oaths
or affirmations, subpoena witnesses and compel their attendance and
require the production of any books or records which it may deem relevant
and material. A written statement acknowledging receipt of the request
for investigation shall be sent to the complainant. The Board shall
convene to discuss an alleged violation within seven days of receipt
thereof. The form to be utilized in requesting an investigation of
an alleged violation of this chapter shall be the form available in
the office of the Town Clerk. Requests for investigations of alleged
violations shall be determined in the order in which they are received.
B.
Nothing in this section shall be construed to permit the Town Ethics
Board to conduct an investigation of any of its members.
C.
The Town Ethics Board shall state, in writing, its disposition of
every sworn complaint it receives and of every investigation it conducts
and shall set forth the reasons for the disposition. All such statements
and all sworn complaints shall be public records and shall be indexed
and maintained on file by the Ethics Board and the Town Clerk.
D.
The Town Ethics Board shall refer to the Saratoga County District
Attorney's office sworn statements or complaints made to it or
any sworn testimony presented before it that, upon investigation,
is determined by the Town Ethics Board to be intentionally false.
The person offering the false statement shall be liable for civil
penalty to any persons harmed by the false statements.
A.
In its discretion and after a hearing held in accordance with Article
3 of the State Administrative Procedure Act and subject to § 75
of the Civil Service Law the Town Ethics Board may make a determination
if there have been any violations of this chapter and forward same
to the Town Board. The Ethics Board shall conduct and complete the
hearing with reasonable promptness.
B.
The Ethics Board, on behalf of the Town, may sue in the Supreme Court
of the State of New York for injunctive relief to enjoin a violation
or to compel compliance with the provisions of this chapter.
C.
The Ethics Board, on behalf of the Town, may initiate a proceeding
in the Supreme Court of the State of New York to obtain a civil forfeiture.
The civil forfeiture shall be payable to the Town.
A.
Upon the filing of a sworn request for an advisory opinion of any
board, commission, department or individual Town officer or employee,
filed by a person who is subject to the jurisdiction of the Ethics
Board, the Town Ethics Board may render written advisory opinions
with respect to the interpretation or application of this chapter.
To prevent misuse of requests for advisory opinions, each written
request for an advisory opinion shall not involve hypothetical situations,
but shall detail specific conduct with respect to specific employees
and officers. The Ethics Board reserves the right to reject a request
for an advisory opinion for failure to comply with this section or
to request supplemental information. The form to be utilized in requesting
an advisory opinion from the Ethics Board shall be the form available
in the office of the Town Clerk. Requests for advisory opinions shall
be handled in the order in which they are received.
B.
Opinions and requests for opinions shall not be public records but
shall be filed in an appropriate manner by the Ethics Board and Town
Clerk. The opinions shall be on the advice of counsel employed by
the Board of Ethics, or, if none, the Town Attorney. The Ethics Board
shall convene to discuss a request for an advisory opinion within
10 days of receipt thereof, where practicable. A written acknowledgment
of receipt of the request for an advisory opinion shall be mailed
to the person so requesting upon receipt of said request.
A.
The provisions of this chapter shall apply, notwithstanding any inconsistent
provision of any general, special or local law.
B.
No existing right or remedy shall be lost, impaired or affected by
reason of this chapter.
C.
Nothing in this chapter shall be deemed to bar or prevent the timely
filing by a present or former Town officer or employee of any claim,
account, demand or suit against the Town on behalf of himself or herself
or any member of his or her family arising out of personal injury
or property damage or for any lawful benefit authorized or permitted
by law.
The Town Board may appropriate moneys from the General Town
funds for the maintenance of and for personnel services to the Board
of Ethics established hereunder, but such Board of Ethics may not
commit the expenditure of Town moneys except within the appropriations
provided herein.
