[HISTORY: Adopted by the Town Board of the
Town of Babylon 10-18-1988 by L.L.
No. 6-1988.[1] Amendments noted where applicable.]
[1]
Editor's Note: This local law also repealed
former Ch. 23, Code of Ethics, adopted 10-22-1965.
A.
The continuation of free and representative government
depends in great measure upon public servants who are motivated by
moral and ethical concepts predicated on rational and spiritual grounds.
Public officials and employees of a free government are entrusted
with the welfare, prosperity, security and safety of the people they
serve. In exchange for this trust, the people are entitled to know
that no conflict between private interests and official duties exists
in those who serve them.
B.
The powers, duties, prohibitions and responsibilities
of public officials of the Town government are defined in various
laws of the state. To this legal framework, public officials and employees
must add a personal commitment of honesty and moral and ethical conduct.
Such standards must be founded upon personal integrity and community
vigilance. No law, no ordinance, no code can, in itself, create a
moral pattern of conduct. To act morally and in accordance with accepted
standards and principles is an obligation of public servants, as well
as the people they serve. As the public officials and employees of
the Town have the duty to act always in accordance with legal mandate
and ethical standards, they also have the right to expect that the
people they serve will help in the accomplishment of the objective
and promote a healthy civic conscience.
As used in this chapter, the following terms
shall have the meanings indicated:
A spouse, child, brother, sister, parent or dependent of
a municipal officer or employee.
A direct or indirect pecuniary or material benefit accruing
to a municipal officer or employee as the result of a contract with
the municipality which such officer or employee serves. For the purpose
of this chapter, municipal officers or employees shall be deemed to
have an interest in the contract of:
A family member, except a contract of employment
with the municipality which such an officer or employee serves.
A firm, partnership or association of which
such officer or employee is a member or employee.
A corporation of which such officer or employee
is an officer, director or employee.
A corporation, any stock of which is owned or
controlled directly or indirectly by such officer or employee.
An officer or employee of the Town, whether paid or unpaid,
including members of any administrative board, commission or other
agency thereof. No person shall be deemed to be a "municipal officer
or employee" solely by reason of being a volunteer fireman or civil
defense volunteer, except a Fire Chief or Assistant Fire Chief.
The Town Supervisor, the Deputy Supervisor, the members of
the Town Board, the Town Commissioner of the Department of Public
Works, the Deputy Commissioner of the Department of Public Works,
the Town Clerk, the Deputy Town Clerk, the Town Tax Receiver, the
Deputy Town Tax Receiver, the Commissioner of Buildings and Grounds,
the Commissioner of Enforcement and Security, the Commissioner of
Environmental Control, the Commissioner of General Services, the Commissioner
of Human Resources, the Commissioner of Parks and Recreation, the
Commissioner of Planning and Development, the Deputy Commissioner
of Buildings and Grounds, the Deputy Commissioner of Environmental
Control/Incinerator, the Deputy Commissioner of Environmental Control/Sanitation,
the Deputy Commissioner of General Services, the Deputy Commissioner
of Human Resources, the Deputy Commissioner of Human Resources/ Senior
Citizens, the Deputy Commissioner of Parks and Recreation, the Deputy
Commissioner of Planning and Development, the Animal Shelter Supervisor,
the Assessor, the Chief Fire Marshal, the Chief Ordinance Enforcement
Officer, the Director of the Consumer Protection Board, the Director
of Handicapped Services, the Director of Labor Relations, the Director
of Streetlighting, the Drug and Alcohol Program Coordinator, the East
Farmingdale Water District Superintendent, the Executive Director
of the Youth Bureau, the Public Information Officer, the Secretary
to the Board of Appeals, the Senior Citizens Program Supervisor, the
Special Services Manager, the Town Attorney, the Town Budget Officer,
the Town Comptroller, the Town Engineer, the Deputy Town Attorney,
the Deputy Town Comptroller, the Administrative Assistant to the Commissioner
of the Department of Public Works, the Executive Assistant to the
Commissioner of Buildings and Grounds, the Executive Assistant to
the Comptroller, the Executive Assistant to the Deputy Supervisor,
the Executive Assistant to the Commissioner of Environmental Control,
the Executive Assistant to the Commissioner of General Services, the
Executive Assistant to the Commissioner of the Department of Public
Works, the Executive Assistant to the Commissioner of Human Resources,
the Executive Assistant to the Commissioner of Parks and Recreation,
the Executive Assistant to Planning and Development, the Executive
Assistant to the Supervisor, the Executive Assistant to the Town Attorney,
the Executive Assistant to the Town Board, all Assistant Town Attorneys,
members of the Board of Assessment Review, Bingo Inspectors, members
of the Board of Ethics, members of the Industrial Development Council,
members of the Planning Board, members of the Plumbing Board, members
of the Sanitation Commission, members of the Two-Family Review Board,
members of the Zoning Board of Appeals, the Recycling Coordination
Aide, the Emergency Preparedness Coordinator and the Safety Compliance
Officer.
[Amended 12-4-1990 by L.L. No. 9-1990; 9-7-1994 by L.L. No. 26-1994]
A.
Except as provided in § 802 of the General
Municipal Law:
(1)
No municipal officer or employee shall have an interest
in any contract with the municipality of which he/she is an officer
or employee when such officer or employee, individually or as a member
of a board, had the power or duty to:
(2)
No chief fiscal officer, treasurer or his/her deputy
or employee shall have an interest in a bank or trust company designated
as a depository, paying agent, registration agent or for investment
of funds of the municipality of which he/she is an officer or employee.
B.
The provisions of this section shall in no event be
construed to preclude the payment of lawful compensation and necessary
expenses of any municipal officer or employee in one or more positions
of public employment, the holding of which is not prohibited by law.
A.
Any municipal officer or employee who has, will have
or later acquires an interest in any actual or proposed contract with
the municipality of which he/she is an officer or employee shall publicly
disclose the nature and extent of such interest in writing to the
governing body thereof as soon as he/she has knowledge of such actual
or prospective interest. Such written disclosure shall be made part
of and set forth in the official record of the proceedings of such
body, and a copy shall be forwarded to the Town Clerk to be kept in
a separate file. Once disclosure has been made by an officer or employee
with respect to an interest in a contract with a particular person,
firm, corporation or association, no further disclosures need be made
by such officer or employee with respect to additional contracts with
the same party during the remainder of the fiscal year.
B.
Any municipal officer, member of any board or employee,
agent or representative of the Town who has, will have or later acquires
an interest in any actual or proposed transaction or matter with the
Town shall disclose the nature and extent of such interest in writing
to the Town Board as soon as he/she has knowledge of such actual or
prospective interest. Such written disclosure shall be referred by
the Town Board to the Board of Ethics for opinion and decision in
writing, and a copy shall be forwarded to the Town Clerk to be kept
in a separate file.
A.
In addition to the foregoing regulations, Article
18 of the General Municipal Law, entitled "Conflicts of Interest of
Municipal Officers and Employees," is deemed a part of this chapter
as if the same had been set forth in full. Any amendments of or additions
to said Article hereafter adopted by the Legislature are also deemed
part of this chapter.
B.
In accordance with § 807 of Article 18 of
the General Municipal Law, the Supervisor shall take such steps as
are necessary to ensure that every municipal officer and employee
receives a copy of the Article and any amendments thereto.
No municipal officers or employees shall accept
other employment which will impair their independence of judgment
in the exercise of their official duties.
No municipal officers or employees shall accept
employment or engage in any business or professional activity which
will require them to disclose confidential information which they
have gained by reason of their official position or authority.
No municipal officers or employees shall disclose
confidential information or information not generally available to
the public, acquired by them in the course of their official duties
nor use such information to further their personal interests, either
while officers or employees of the Town or after they have left Town
service.
No municipal officers or employees shall use
or attempt to use their official position to secure unwarranted privileges
or exemptions for themselves or others.
No municipal officers or employees shall engage
in any transaction as representatives or agents of the Town with any
business entity in which they have a direct or indirect financial
interest that might reasonably tend to conflict with the proper discharge
of their official duties.
Municipal officers or employees shall not, by
their conduct, give a reasonable basis for the impression that any
person can improperly influence them or unduly enjoy their favor in
the performance of their official duties, or that they are affected
by kinship, rank, position or influence of any party or person.
Municipal officers or employees shall abstain
from making personal investments in enterprises which they have reason
to believe may directly be involved in decisions to be made by them
or which will otherwise create conflicts between their duty in the
public interest and private interest.
Municipal officers or employees shall endeavor
to pursue a course of conduct which will not raise suspicion among
the public that they are likely to be engaged in acts that are in
violation of the public trust.
No public official employed on a full-time basis
nor any firm or association substantially controlled by such public
official or a family member of such public official nor any corporation
which has a substantial portion of its stock owned or controlled directly
or indirectly by such public official or his/her family member, shall
sell goods, services, real property or personal property to the Town.
Notwithstanding the foregoing however, a public official shall be
permitted to serve on the Board of Directors or as an officer of any
not-for-profit corporation which sells goods, services, real property
or personal property to the Town, provided that said officer derives
no pecuniary benefit from his/her position with said corporation.
[Amended 12-4-1990 by L.L. No. 9-1990]
A.
Filing requirements. All public officials shall, on
an annual basis, file a financial disclosure statement with the Babylon
Board of Ethics. Said statement shall be filed in the manner specified
thereon, no later than April 15 of each year or within 30 days after
taking office, whichever later occurs, except if an exemption or extension
is granted. The Board of Ethics shall have the authority to promulgate
rules and regulations sufficient to enforce the filing requirement
and any and all provisions of this chapter.
[Amended 12-17-1991 by L.L. No. 7-1991]
B.
Exemption from filing requirement.
(1)
Any public official who has not been determined by
the Babylon Town Board to hold a policy-making position may request
from the Board of Ethics an exemption from any or all reporting requirements
set forth on the financial disclosure statement which pertain to said
official's spouse or unemancipated child(ren). Such an exemption may
be granted upon a majority finding of the Board of Ethics that the
reporting individual's spouse or unemancipated child refuses to provide
the subject information and that such information will have no material
bearing on the discharge of the reporting individual's official duties.
(2)
The following public officials have been determined
to be policy-makers and may not request an exemption from the reporting
requirements set forth on the financial disclosure statement: the
Town Supervisor, the Deputy Supervisor, the members of the Town Board,
the Town Commissioner of the Department of Public Works, the Deputy
Commissioner of the Department of Public Works, the Town Clerk, the
Deputy Town Clerk, the Town Tax Receiver, the Deputy Town Tax Receiver,
the Commissioner of Buildings and Grounds, the Commissioner of Enforcement
and Security, the Commissioner of Environmental Control, the Commissioner
of General Services, the Commissioner of Human Resources, the Commissioner
of Parks and Recreation, the Commissioner of Planning and Development,
the Deputy Commissioner of Buildings and Grounds, the Deputy Commissioner
of Environmental Control/Incinerator, the Deputy Commissioner of Environmental
Control/Sanitation, the Deputy Commissioner of General Services, the
Deputy Commissioner of Human Resources, the Deputy Commissioner of
Human Resources/Senior Citizens, the Deputy Commissioner of Parks
and Recreation, the Deputy Commissioner of Planning and Development,
the Animal Shelter Supervisor, the Assessor, the Chief Fire Marshal,
the Chief Ordinance Enforcement Officer, the Director of the Consumer
Protection Board, the Director of Handicapped Services, the Director
of Labor Relations, the Director of Streetlighting, the Drug and Alcohol
Program Coordinator, the East Farmingdale Water District Superintendent,
the Executive Director of the Youth Bureau, the Public Information
Officer, the Secretary to the Board of Appeals, the Senior Citizens
Program Supervisor, the Special Services Manager, the Town Attorney,
the Town Budget Officer, the Town Comptroller, the Town Engineer,
the Deputy Town Attorney, the Deputy Town Comptroller and the Emergency
Preparedness Coordinator.
[Amended 9-7-1994 by L.L. No. 26-1994]
(3)
An exemption request may be made by a public official
on his/her own behalf or on behalf of persons who share the same job
title or employment classification. Such an exemption may be granted
upon a majority finding of the Board of Ethics that the public interest
does not require disclosure and the public official's duties do not
involve the negotiation, authorization or approval of:
(a)
Contracts, leases, franchises, revocable consents,
concessions, variances, special permits or licenses;
(b)
The purchase, sale, rental or lease of real
property, goods or services or contracts therefor;
(c)
The obtaining of grants of money or loans; or
(d)
The adoption or repeal of any rule or regulation
having the force and effect of law.
C.
Additional time to file. Any public official may request
from the Board of Ethics an additional period of time within which
to file the financial disclosure statement Such an extension may be
granted upon a majority finding of the Board of Ethics that the extension
is warranted on the basis of justifiable cause or undue hardship.
In no event may the filing time be extended more than 90 days from
the mandatory filing date of April 15.
[Amended 12-17-1991 by L.L. No. 7-1991]
D.
Request deadline. All requests for exemptions and
extensions shall be submitted no later than March 15 of the subject
year or within 30 days after a public official takes office, whichever
later occurs.
[Amended 12-17-1991 by L.L. No. 7-1991]
E.
Final determination. A denial of an exemption or extension
request shall be deemed to be a final determination of the Board of
Ethics.
F.
Public inspection.
(1)
The financial disclosure statement of any public official
who holds a position with the Town at the time the inspection request
is submitted shall be available for public inspection, except as otherwise
provided in this section. No photocopies of the requested information
shall be made. The following information however, must remain confidential
and shall not be subject to public inspection:
(2)
A request to inspect a financial disclosure statement
shall be submitted to the Board of Ethics, in writing, and shall be
signed by the individual making the request. The public official whose
statement is being sought shall be notified that a request to inspect
has been received within 10 days from the date on which the Board
of Ethics receives the request. The identity of the individual requesting
the statement shall not be revealed. The notification to the public
official shall be made by certified mail, return receipt requested.
The financial disclosure statement will not be available for inspection
until at least 15 days after the date of the request.
(3)
Any public official whose financial disclosure statement
is being sought may request the Board of Ethics to delete from the
copy made available for public inspection one or more items of information
contained in the statement. Such a request may be granted upon a majority
finding of the Board of Ethics that the information requested has
no material bearing on the discharge of the reporting individual's
official duties. The Board of Ethics shall make a determination regarding
a deletion request within 30 days from the date on which it receives
the deletion request.
(4)
A denial of a deletion request shall be deemed to
be a final determination of the Board of Ethics.
(5)
Upon a denial by the Board of Ethics of a deletion
request, the reporting individual may request and, upon such request,
the Board of Ethics shall provide that any information which is the
subject of the application shall remain confidential for the period
between the date of deletion request until 30 days from the date of
the denial.
G.
Review and maintenance. The Board of Ethics shall
review and index by name and date all financial disclosure statements.
Each statement shall be maintained by the Board of Ethics for a period
of not less than five years.
H.
Failure to file. If a public official has failed to
file a financial disclosure statement in a timely manner or has filed
an incomplete statement, the Board of Ethics shall notify the public
official, in writing, of the failure to file or specify which portions
of the statement are incomplete. The notice, which shall be sent by
certified mail, return receipt requested, shall provide the public
official with a fifteen-day period in which to cure the failure or
deficiency and shall set forth the penalty for failure to comply with
the reporting requirements. If the reporting individual fails to make
the filing or fails to cure the deficiency within the fifteen-day
period, the Board of Ethics shall send a notice of delinquency to
the reporting individual and to the Babylon Town Board.
I.
Referral to District Attorney. If the Board of Ethics
determines that there is reasonable cause to believe that a public
official has knowingly and willfully failed to file an annual financial
disclosure statement or has knowingly and willfully, with intent to
deceive, made a false statement or given information which such individual
knows to be false on a financial disclosure statement, the Board of
Ethics may refer the matter to the District Attorney. After such referral
and upon a conviction, such a violation shall be punishable as a Class
A misdemeanor.
J.
Matters to be disclosed. Matters to be disclosed by
all public officials, as they pertain to the reporting individual,
his/her spouse and his/her dependent children, shall include:
(1)
A list of any position as an officer, trustee, director
or partner in any business, association or not-for-profit organization.
The reporting individual must indicate whether this/these organization(s)
is/are involved with the Town of Babylon. A disclosure of the category
of the amount of money earned while holding such position during the
reporting year must be made.
(2)
A description of any contract, promise or other agreement
between the reporting individual and anyone else with respect to the
reporting individual's employment after leaving his/her Town office
or position.
(3)
An identification of the source and nature of any
income in excess of $1,000 per year from any prior employer, including
deferred income, profit sharing plan, severance pay or payments under
a buy-out agreement. A disclosure of the category of the amount of
money received during the reporting year must be made.
(4)
A list of any investments having a current value of
$5,000 or more, including stocks, bonds, loans and other investments.
A disclosure of the category of the amount of investments held during
the reporting year must be made.
(5)
A list of any business(es), corporation(s) or partnership(s)
in which more than 5% of the current value is owned. A disclosure
of the category of the amount of investment held during the reporting
year must be made.
(6)
A list of any real estate owned, either wholly or
partially.
(7)
Trusts from which income in excess of $2,000 has been
derived. A disclosure of the category of money received during the
reporting year must be made.
(8)
An identification of the source and nature of any
other income in excess of $1,000 per year from any source not described
above, including teaching income, lecture fees, consultant fees, contracted
income or other income of any nature. A disclosure of the category
of the amount of money received during the reporting year must be
made.
(9)
A list of the source of all gifts aggregating in excess
of $1,000 received during the last year, excluding gifts from a relative.
The term "gifts" includes gifts of cash, property, personal items,
payments to third parties on one's own behalf, forgiveness of debts
and honorariums. A disclosure of the category of the amount of money
received during the reporting year must be made.
(10)
An identification and description of the source of
any reimbursement for travel expenses related to official Town duties,
other than that reimbursement paid for by the Town. A disclosure of
the category of money received during the reporting year must be made.
(11)
A description of all debts in excess of $5,000. A
disclosure of the category of money owed during the reporting year
must be made.
(12)
A description of any interest in any contract involving
the Town or any municipality located within the Town.
(13)
A list of any position held within the last five years
as an officer of any political party, political committee or political
organization. The term "political organization" includes any independent
body or any organization that is affiliated with or is a subsidiary
of a political party.
No municipal officers or employees shall use
Town funds, property or a Town facility for political purposes or
for the personal advantage of themselves or a member of their family.
No municipal officer or employee or their family
members shall directly or indirectly solicit any gift or accept or
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 in any other form, under circumstances in which it
could reasonably be inferred that the gift is intended to influence
said municipal officer or employee or could reasonably be expected
to influence him or her in the performance of his or her official
duties or was intended as a reward for any official action on his
or her part.
Any person engaged by the Town Board or other
department of the Town for the appraisal of any real or personal property
shall have no interest, directly or indirectly, in the property which
is the subject of the appraisal.
No municipal officers or employees shall participate
in any transaction, proceeding or decision or appear before any board
where they or any member of their immediate family shall have any
direct or indirect, present or future interest in the subject matter
or in the result of any action taken therein.
No municipal officers or employees of the Building
Department, Department of Planning and Development, Zoning Board of
Appeals or Planning Board shall engage in the real estate, insurance,
building contracting or building material business within the Town
of Babylon during the course of his or her employment.
Any attorney engaged by the Town Board or any
department of the Town for a specific purpose or assignment or on
a continuous basis shall, in all instances, observe the canons of
ethics of the legal profession. Such attorney shall refrain from representing
any client before the Town Board or any other board, department or
agency where there will arise a conflict of interest or any knowledge
of Town affairs and business gained through the employment which will
benefit the cause of the client.
A.
The Town Board shall establish a Board of Ethics and
appropriate moneys for maintenance and personal services in connection
therewith. The members of such Board shall be appointed by the Town
Board.
B.
The Board of Ethics shall consist of at least three
members and shall include at least one member who is not a municipal
officer or employee and may include a clergyman as one of the members.
The Town Attorney or such attorney designated by the Town Board shall
be a member, ex officio, of the Board of Ethics. The members of such
Board shall be appointed for terms of two years and may receive compensation
not to exceed $50 per meeting.
[Amended 12-3-2002 by L.L. No. 34-2002]
[Amended 12-4-1990 by L.L. No. 9-1990]
A.
Powers of Board of Ethics. If a public official has
wholly or partially failed to file a financial disclosure statement
or has filed a financial disclosure statement which reveals a possible
violation of the Babylon Code of Ethics or a possible false filing,
the Board of Ethics may, on a majority vote, investigate the failure
to file, possible violation or false filing on its own motion. If
the Board of Ethics receives a complaint that a public official has
wholly or partially failed to file a financial disclosure statement,
has filed a financial disclosure statement which reveals a possible
violation of the Code of Ethics or has made a possible false filing
or that any municipal officer or employee has violated the Babylon
Code of Ethics, it shall investigate the alleged violation. The Board
of Ethics shall have all the powers and duties bestowed on the Temporary
State Commission on Local Government Ethics by § 813 of
the General Municipal Law in order that the Board of Ethics may administer
and enforce those provisions of this chapter which relate to the financial
disclosure statement, as more fully set forth in the rules and regulations
of the Board of Ethics. The Board of Ethics shall also have the power
to assess a civil penalty in an amount not to exceed $10,000 if it
determines that there is reasonable cause to believe that a public
official has knowingly and willfully failed to file an annual financial
disclosure statement or has knowingly and willfully, with intent to
deceive, made a false statement or given information which such public
official knows to be false on a financial disclosure statement. The
assessment of a civil penalty for such a violation shall be made in
lieu of a referral to the District Attorney, which remedy is provided
for in Section § 23-161 of this chapter. A civil penalty
for false filing may not be imposed in the event that a category of
value or amount reported in a financial disclosure statement is incorrect,
unless such reported information is falsely understated.
B.
Duties of Board of Ethics.
(1)
All complaints must be properly submitted on the official
Board of Ethics complaint form. The Board of Ethics shall notify the
municipal officer or employee, in writing, of the investigation. Such
notification shall be sent by certified mail, return receipt requested,
and shall describe the possible or alleged violation. The notice shall
also set forth the date on which the Board of Ethics proceeding shall
be held and shall inform the municipal officer or employee of the
rules regarding the conduct of the Board of Ethics proceeding.
(2)
The Board of Ethics shall render advisory opinions
to municipal officers and employees of the Town with respect to Article
18 of the General Municipal Law and the Babylon Code of Ethics adopted
by the Town Board. Such advisory opinions shall be rendered pursuant
to the written request of any such municipal officer or employee,
under such rules and regulations as the Board of Ethics may deem advisable,
and shall have the approval of counsel employed by the Board or, if
none, the Town Attorney or such attorney designated by the Town Board.
The Board, on its own motion or at the request of the Town Board,
may make recommendations with respect to amendments to this Code of
Ethics.
C.
Determination of Board of Ethics. If the Board of
Ethics makes a final determination that there is reasonable cause
to believe that a violation of this chapter exists or that a false
filing has been made, it shall send a notice of reasonable cause to
the municipal officer or employee in question, the complainant, if
any, and the Babylon Town Board.
[Amended 12-4-1990 by L.L. No. 9-1990]
All proceedings of the Board of Ethics shall
be confidential, notwithstanding the provisions of Article 7 of the
Public Officers Law. Proceedings shall be conducted in a manner consistent
with Article 3 of the New York State Administrative Procedure Act
and as more fully set forth in the rules and regulations of the Board
of Ethics.
[Amended 4-27-2022 by L.L. No. 10-2022]
Any municipal officer or employee of the Town
who willfully and knowingly violates any provision of Article 18 of
the General Municipal Law and this Code of Ethics may be fined, suspended
or removed from office or employment in the manner provided by law.
[Amended 12-4-1990 by L.L. No. 9-1990]
The Town Board, on its own motion or upon receipt
of a notice of reasonable cause from the Board of Ethics, may require
any municipal officer or employee to appear before it, be sworn and
be examined and heard with respect to any alleged violation of Article
18 of the General Municipal Law and/or this Code of Ethics. The municipal
officer or employee appearing before the Town Board shall have the
right to be represented by counsel. A written report shall be filed
with the Town Clerk within 60 days after the completion of the hearing.