[HISTORY: Adopted by the Town Board of the Town of Woodstock 2-1-2000 by L.L. No. 1-2000; amended in its entirety 11-15-2011 by L.L. No. 10-2011. Subsequent amendments noted where applicable.]
This chapter shall be known as the "Ethics and Disclosure Law
of the Town of Woodstock."
A.
The
purposes of this chapter are:
(1)
To establish standards of ethical conduct for officers, employees
and consultants of the Town;
(2)
To provide officers and employees of the Town, whether elected or
appointed, paid or volunteer, with clear guidance on such standards;
(3)
To promote public confidence and integrity in the agencies and administrative
offices of our local government;
(4)
To facilitate the consideration of potential ethical problems before
they arise, to minimize unwarranted suspicion, and to enhance the
accountability of government to the people by requiring public disclosure
of financial interests that may influence or be perceived to influence
the actions of Town officers and employees;
(5)
To provide for the fair and effective administration of this chapter.
B.
This
chapter is enacted pursuant to § 806 of the General Municipal
Law of the State of New York and § 10 of the Municipal Home
Rule Law and is not intended to authorize any conduct prohibited by
Article 18 of the General Municipal Law.
A.
General
prohibition. A Town officer or employee shall not use his/her official
position to provide, or take or fail to take, any action in a matter
which he/she knows or has reason to know may provide a personal financial
benefit or secure unwarranted privileges or exemptions for any of
the following persons:
[5-16-2017 by L.L. No. 1-2017]
B.
Recusal.
(1)
A Town officer or employee shall promptly recuse himself/herself
from acting on a matter before the Town when acting on the matter,
or failing to act on the matter, may benefit the persons listed above,
financially or otherwise, or give the reasonable appearance of a conflict
of interest or impropriety.
(2)
Whenever a Town officer or employee is required to recuse himself/herself,
he/she must refrain from further participation in the matter. That
person may not remain in the room. However, that person must be available
to answer questions from the board, commission, committee or agency
that are related to the topic at hand. This person may not offer any
personal opinions.
C.
Gifts.
[5-16-2017 by L.L. No. 1-2017]
(1)
No Town
officer or employee shall directly or indirectly solicit any gift,
nor accept or receive a gift (or multiple gifts from the same donor,
or group. of affiliated donors, in a single calendar year), having
an aggregate value of $50,00 or more when:
(a)
The
gift reasonably appears to be intended to influence the officer or
employee in the exercise or performance of his or her official powers
or duties;
(b)
The
gift could reasonably be expected to influence the officer or employee
in the exercise or performance of his or her official powers or duties;
or
(c)
The
gift is. intended as a reward for any official action on the part
of the officer or employee.
(2)
Presumptions.
(a)
In
applying the general rule, a gift is presumed to be intended or expected
to influence official action when it is from an individual or organization
that seeks municipal action involving the participation or exercise
of discretion by the officer or employee.
(b)
A
gift is also presumed to be intended as an award for official action
if it is from an individual or organization that obtained municipal
action involving the participation or exercise of discretion by the
officer or employee.
D.
Representation.
A Town officer or employee shall not represent any private interest
before any Town agency or in any litigation in which the Town of Woodstock
is a party or complainant.
E.
Appearances.
A Town officer or employee shall not appear before any agency of the
Town, except on his/her own behalf or on behalf of the Town.
F.
Confidential
information. Town officers and employees and former Town officers
and employees shall not disclose any confidential information acquired
by him/her in the course of his/her official duties or use such information
to further anyone's private interests.
G.
No
Town officer or employee shall directly or indirectly:
[5-16-2017 by L.L. No. 1-2017]
(1)
Require
a subordinate to make, or promise to make, any political contribution
of money, service, or other thing of value;
(2)
Make
political activity, including a contribution of money or service,
as a condition of appointing, hiring, promoting, discharging, or in
any manner changing the rank, status, responsibilities, or compensation
of any Town officer or employee, or an applicant for a Town officer
or employee position.
(3)
Engage
in political solicitation in the workplace.
H.
Future
employment. For a period of one year after termination of his/her
term of office or employment with the Town, other than acting on behalf
of himself/herself, no former Town official or employee may appear
before the Town, including boards and commissions on which the former
official or employee has represented the Town, in relation to any
matter upon which he/she had discretionary power during his/her term
of office or employment with the Town, unless requested to provide
information by the Town Board.
I.
Avoidance
of conflicts. Town officers and employees shall not knowingly acquire,
solicit, negotiate for, or accept any interest, employment, or anything
of value which would put them in violation of this chapter.
J.
Inducement
of others. A Town officer or employee shall not induce or aid another
officer or employee of the Town to violate any of the provisions in
this chapter.
K.
Investments.
A Town officer or employee shall not invest or hold any investment
directly or indirectly in any business, financial, commercial or other
private transaction, which would create a conflict with his/her official
duties.
L.
Nepotism.
(1)
Every public officer and every municipal employee related closer
in degree, by blood or marriage, including significant other, than
first cousin to any persons seeking employment within any department,
section or function of the Town shall disclose such relationship as
provided for pursuant to the further provisions of this section.
(2)
Any member of any municipal board, commission, or other municipal
body related closer in degree by blood or marriage than first cousin
or related by shared living circumstances to any person(s) seeking
employment or making application before such body shall disclose such
relationship as provided for in this section.
(3)
The disclosure requirements of this section shall be made in writing,
directed to the Town Clerk, and shall be made at the earliest opportunity
next following the date upon which such officer, employee, or board
member first learns or has knowledge of the making of the application
by the person seeking employment and/or appointment.
(4)
No municipal officer or employee, either individually or as a member
of a board, may participate in any decision specifically to appoint,
hire, promote, discipline or discharge a relative (spouse, significant
other, life partner or sibling) for any position at, for or within
the municipality or a municipal board.
(5)
No municipal officer or employee may supervise a relative in the
performance of the relative's official powers or duties.
M.
Use
of public property. No officer or employee shall request or permit
the use of Town-owned vehicles, equipment, materials or property for
personal convenience or profit except when such services are available
to the public generally or are provided as municipal policy for the
use of such officer or employee in the conduct of official duties.
N.
Waiver.
A Town officer or employee may apply for a waiver request form from
any of these standards upon a showing of compelling need. A waiver
request form will be available from the Town Clerk or the Ethics Board,
and may be modified from time to time as deemed necessary.
A.
Prohibited
interests. No Town officer or employee shall have an interest in a
contract with the Town, or an interest in a bank or trust company,
that is prohibited by § 801 of the General Municipal Law
of the State of New York. Any contract willfully entered into by or
with the Town in which there is an interest prohibited by that section
shall be null, void, and wholly unenforceable, to the extent provided
by § 804 of the General Municipal Law.
B.
Disclosable
interests. Any Town officer or employee who has, will have, or later
acquires an interest in any actual or proposed contract with the Town
shall publicly disclose the nature and extent of that interest in
accordance with § 803 of the General Municipal Law. The
Town Clerk shall immediately file such disclosure with the Ethics
Board.
C.
Violations.
Any Town officer or employee who violates the provisions of this section
shall be guilty of a misdemeanor, to the extent provided by § 805
of the General Municipal Law.
Unless otherwise stated or unless the context otherwise requires,
the following terms shall, for the purpose of this chapter, have the
meanings herein indicated:
Communicating in any form, including, without limitation,
personally, through another person, by letter, or by telephone.
A situation in which a public official's decisions are influenced
by the official's personal interests, or in which a person has a private
or personal interest sufficient to appear to influence the objective,
or a situation that has the potential to undermine the impartiality
of a person.
Any work performed or goods delivered by the Town officer
to another person under mutual agreement of the two parties and provided
the transaction has been finalized, without dispute, by the two parties.
Retail sales shall be excluded from this provision.
Any person for whom a Town officer or employee has directly
supplied contractual goods/services during the previous 24 months.
Retail sales shall be excluded from this provision.
The Ethics Board of the Town of Woodstock established pursuant to § 71-8 of this chapter.
For the purpose of this chapter, anything of value, including
but not limited to money, service, thing, loan, travel, entertainment,
hospitality, or promise. The value of a gift is generally the fair
market value at retail; in the case of a ticket to an event, the value
is the higher of the face value of the ticket or the cost to the provider.
[Amended 5-16-2017 by L.L. No. 1-2017]
Exclusions. The following are not considered gifts under this
chapter:
Personal. Gifts from a person with a family or personal relationship
with the officer or employee when the circumstances make clear that
the personal relationship, rather than the recipient's status
as a municipal officer or employee, is the primary motivating factor
for the gift.
Ceremonial. Gifts on special occasions such as marriages, retirement,
and birthdays that are modest, customary, and reasonable; awards and
plaques that are publicly presented in recognition of service as a
municipal officer or employee, or for other service to the community.
Promotional. Unsolicited advertising or promotional material
of little intrinsic value, such as pencils, pens, mugs, calendars,
etc.
Official attendance at events. Complimentary attendance at bona
fide charitable, political, and community events, when attendance
at the event is related to the officer's or employee's official
responsibilities.
General discounts. Free, promotional, or discounted items or
service made available to the general public without regard to the
person's status as an officer or employee.
Political contributions. Campaign contributions authorized by
law.
The quality or condition of being improper, or behavior that
is dishonest, or unsuitable for a particular situation.
An act, especially of a governmental employee, in carrying
out the mandates of statutes, legal authority, established procedures
or instructions from a superior, without exercising any individual
discretion.
Any:
Activity, other than service to the Town, from which the Town
officer or employee receives compensation for services rendered or
goods sold or produced;
Entity, other than the Town, of which the Town officer or employee
is a member, officer, director, or employee and from which he/she
receives compensation for services rendered or goods sold or produced;
or
Entity in which the Town officer or employee has an ownership
interest, except a corporation of which the Town officer or employee
owns less than 5% of the outstanding stock.
For purposes of this definition, "compensation" shall not include
reimbursement for necessary expenses, including travel expenses.
Both individuals and entities.
To disqualify or remove oneself from participation in a decision
on grounds of personal interest, or to disqualify or remove oneself
from participating in a decision over a particular proceeding because
of one's conflict of interest, or prejudice.
A spouse, significant other, child, or a person claimed as
a dependent on the Town officer's or employee's latest individual
state income tax return.
An individual of the opposite or same sex living in shared
quarters for the purpose of constituting a family unit.
Of a Town officer or employee means another Town officer
or employee over whose activities he/she has direction, supervision,
or control, except those who serve in positions that are in the exempt
classification under § 41 of the Civil Service Law of the
State of New York or in the unclassified service under subdivisions
(a) through (f) of § 35 of that law.
The Town of Woodstock but shall not include the Town Justice
Court.
Any officer or employee of the Town, whether paid or unpaid,
and includes, without limitation, all members of any office, board,
body, advisory board, council, commission, agency, department, district,
administration, division, bureau, or committee of the Town. "Town
officer or employee" shall not include:
A judge, justice, officer, or employee of the court system;
A volunteer firefighter or civil defense volunteer, except fire
chief or assistant fire chief; or
A member of an advisory board of the Town if, but only if, the advisory board has no authority to implement its recommendations or to act on behalf of the Town or to restrict the authority of the Town to act. No entity established pursuant to the General Municipal Law of the State of New York shall be deemed an advisory board for purposes of this Subsection C.
A.
Disclosure.
Every application, petition, or request submitted for a variance,
amendment, change of zoning, approval of a plat, exemption from a
plat or official map, license, or permit, pursuant to the provisions
of any ordinance, local law, rule, or regulation constituting the
zoning and planning regulations of the Town shall state the information
required, to the extent required, by § 809 of the General
Municipal Law of the State of New York.
B.
Violations.
Any person who willfully and knowingly violates the provisions of
this section shall be guilty of a misdemeanor, to the extent provided
by § 809 of the General Municipal Law.
A.
Officers
and employees required to file. Every employee, whether paid or volunteer,
is required to fill out the annual disclosure form except for the
following: a judge, justice, officer or employee of the unified court
system.
C.
Changes
in disclosed information. Within 30 days after a change in the information
contained in his/her most recently filed annual disclosure statement,
a Town officer or employee shall file a signed amendment to the statement
indicating the change.
D.
Contents
of annual disclosure statements and waiver request forms. The annual
disclosure statement shall contain the information and be in the form
set forth in Appendix A. These requirements may be amended from time
to time by the Town Board. The waiver request forms shall contain
the information and be in the form set forth in Appendix B.[1]
[1]
Editor's Note: Appendixes A and B are on file in the Town
offices.
E.
Maintenance
of annual disclosure statements and waiver request forms. The Town
Clerk shall transmit to the Ethics Board all annual disclosure statements
and waiver request forms required by this chapter within five business
days of receiving such statement(s). All annual disclosure statements
and waiver request forms shall be submitted in sealed envelopes.
F.
Good-faith efforts. Failure to disclose the information required by Subsection D of this section with respect to a Town officer's or employee's spouse or significant other or other relative shall not constitute a violation of the subsection if the officer or employee has made a good-faith effort to obtain the information and if he/she sets forth those efforts in his/her annual disclosure statement.
A.
Establishment.
(1)
The Ethics Board shall consist of five members appointed by the Town
Board.
(2)
The term of office shall be three years, running on a calendar-year
basis. One member shall serve until December 31 of the year in which
the Board is established, two shall serve until the second December
31, and two shall serve until the third December 31.
(3)
There shall be support staff and funds appropriated annually by the
Town Board toward the Ethics Board's maintenance and operation. Additional
funds may be allocated as determined by the Town Board.
(4)
The Town Attorney or Attorney for the Town shall provide legal and
advisory services to the Ethics Board as it may require in the performance
of its duties. If the Town Attorney or Attorney for the Town has a
potential conflict of interest, the Town shall make funds available
for outside counsel.
(5)
Members shall serve without compensation and will be reimbursed for
all reasonable and necessary expenses, provided they receive prior
approval from the Town Board.
(6)
The Ethics Board shall elect a Chair at the start of each new year.
The Chair or a majority of the Board may call a meeting of the Board.
The Ethics Board shall meet a minimum of six times a year.
(7)
A person appointed to fill a vacancy shall serve the unexpired term
of the member he/she replaces.
(8)
Three members of the Ethics Board shall constitute a quorum and shall
be required for the purpose of conducting a meeting. A concurring
vote of three members shall be required for the Board to take action.
(9)
An Ethics Board member may be removed from office by a majority vote
of the Town Board for failure to fulfill the duties of the office
or for violation of this chapter. The Ethics Board member shall be
given written notice and an opportunity for reply.
B.
Qualifications.
[5-16-2017 by L.L. No. 1-2017]
(1)
All members of the Ethics Board shall reside in the Town of Woodstock.
(2)
No more than two members of the Ethics Board may be enrolled in the
same political party.
(3)
Ethics Board members may make contributions to any political campaign,
but shall not otherwise participate in election campaigns for Woodstock
Town Board, Woodstock. Town Supervisor, Woodstock Town Clerk, Woodstock
Highway Superintendent or Woodstock Town Justice. This prohibition
on participation shall include:
(a)
Letters to publications, broadcasts over radio and television
or use of social media that promote or denigrate candidates;
(b)
Distribution of materials that promote or denigrate candidates;
(c)
Carrying petitions or making nominating speeches for candidates;
(d)
Allowing one's name to be used in political advertising
that promotes or denigrates candidates;
(4)
The provisions of § 71-8B(3) shall not prevent members of the Ethics Board from participating to the extent allowed by law in any political campaign other than those listed in § 71-8B(3), so long as the fact of his or her membership on the Ethics Board is not included in their political speech. If the Ethics Board considers a matter involving any of the elected officials listed in § 71-8B(3), any member of the Ethics Board who contributed to the political campaign of such elected official shall disclose that fact to the other members of the Ethics Board, who will determine if recusal is required.
(5)
One member of the Ethics Board must be an elected or appointed municipal
officer or employee as that term is defined in Section 800 of the
New York State General Municipal Law.
C.
Powers
and duties:
(1)
To administer and enforce all the provisions of this chapter.
(2)
To prescribe and promulgate rules and regulations governing its own
organization and procedures.
(3)
To review, index and maintain all annual disclosure statements filed with the Ethics Board. If an officer or employee of the Town fails to file the required annual disclosure statement with the Ethics Board, or has filed a deficient statement, the Ethics Board shall notify the officer or employee of the Town in writing, such notification to include detail of the deficiency, and the penalties for failure to comply as detailed in § 71-8D of this chapter. The officer or employee of the Town shall have 15 days from the date of receipt of the notification to comply with this section. Matters pertaining to annual disclosure statements shall be kept confidential, except as otherwise required.
[Amended 5-16-2017 by L.L. No. 1-2017]
(4)
To review, index and maintain on file complaints of violations of
this chapter, such complaints to include original signature and address
of the complainant, and to investigate on its own initiative suspicions
of violations of this chapter. Such file shall include actions and
decisions of the Ethics Board with regard to such complaint(s) and
investigations. Where the Ethics Board, upon investigation, if any,
finds no violation the complaint(s) shall be kept confidential, unless
otherwise required.
[Amended 5-16-2017 by L.L. No. 1-2017]
(5)
To review, index and maintain on file Ethics Board written advisory
opinions and/or interpretations pertaining to provisions of this chapter
made in response to written requests signed by an officer or employee
of the Town.
[Amended 5-16-2017 by L.L. No. 1-2017]
(6)
Preliminary investigation.
[Amended 5-16-2017 by L.L. No. 1-2017]
(a)
The Ethics Board may conduct a preliminary investigation based
on its own review of an annual disclosure statement, a request from
a Town officer or employee for an advisory opinion, a complaint alleging
a violation of this chapter, the written request of any individual
member, or its own initiative, to determine if possible violation
of this chapter exists. Such a preliminary finding of a possible violation
shall be confidential and not subject to public disclosure.
(b)
If following such a preliminary investigation the Ethics Board
determines that a violation possibly exists, the Board shall proceed
to determine if there is reasonable cause to believe that a violation
exists. Before making this reasonable-cause finding, the Ethics Board
shall:
[1]
Notify the officer or employee of the Town and the complainant,
if any, in writing that the Ethics Board has determined that there
is a possible violation of this chapter;
[2]
Afford the officer or employee of the Town an opportunity to
submit in writing a response setting forth such information as the
individual deems relevant to the activities cited by the Board as
a possible violation of this chapter;
(c)
If the Board determines there is reasonable cause to believe
that a violation of this chapter has occurred, and after any grace
period granted by the Ethics Board in its discretion to cure such
violation has expired, the Ethics Board shall send a notice of reasonable
cause to the reported/applicable person, the complainant, if any;
and the Town Supervisor and the Town Board.
(7)
To grant waivers, index and maintain on file applications, decisions,
and other records and proceedings relating to waivers.
(a)
Upon written application and proof of compelling need by the
applicant, the Ethics Board may grant a waiver on standards of conduct
and disclosure requirements of this chapter, provided 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 state the reasons for granting
the waiver and make it part of the public record.
(8)
To prepare and submit an annual report to the Town Board summarizing
the activities of the Ethics Board, listing any recommended changes
to the text or administration of this chapter.
(9)
To provide certain records for inspection:
[Amended 5-16-2017 by L.L. No. 1-2017]
(a)
The Ethics Board shall make available for public inspection
only those records required by Article 6 of the Public Officers Law
of the State of New .York, or by other state or federal regulation.
(b)
Records of meetings and proceedings of .the Ethics Board pertaining
to violations of this chapter by an officer or employee of the Town
shall not be disclosed to the public, except upon request by the officer
or employee of the Town, or as required by the provisions of Article
7 of the Public Officers Law, or by other state or federal regulation.
(10)
To make recommendations to the Town Board as to the appropriate sanction,
discipline or other action to be taken or imposed with respect to
any finding or determination of reasonable cause to believe that a
violation of this chapter has occurred.
(11)
To monitor employee and Town officer compliance with decisions and
recommendations made by the Ethics Board.
(12)
The Ethics Board shall not carry out the powers and duties as defined
in this section if it is determined that three members of such Board
have a conflict of interest. In this event, the duties of the Ethics
Board shall be administered by the Ethics Board of Ulster County.
D.
Hearing
and disciplinary action.
[Amended 5-16-2017 by L.L. No. 1-2017]
(1)
After notice pursuant to § 71-8C(6) of this chapter has been properly issued to an officer and/or employee of the Town, a hearing, subject to applicable provisions of law and collective bargaining agreements, shall be conducted to the maximum extent practicable in accordance with Appendix C, Article 3, of the New York State Administrative Procedure Act (Appendix C available in the Town Clerk's office).
(2)
Where the Ethics Board, after such hearing, finds that an officer
or employee of the Town has violated a section or sections of this
chapter, it may, if the seriousness of the violation calls for it,
recommend to the Woodstock Town Board disciplinary action, which may
be a warning, reprimand, removal or suspension from office or employment,
rebuke, or other sanction authorized by law and/or collective bargaining
agreements. Otherwise, the Ethics Board shall advise the employee
or officer of the Town in writing of the section of the Ethics Law
he or she violated, with the expectation such violation shall not
again occur. In either case, the Ethics Board shall keep a record
of its action.
(3)
The Town Supervisor, within 30 days of receipt of the Ethics Board's
recommendation, shall notify the Ethics Board in writing what action,
if any, was taken by the Town Board, and the reasons thereof.
(4)
The Ethics Board shall review, index and maintain on file for the
public record the Town Supervisor's notification.
E.
Hearing procedure and representation. All hearings required to be conducted pursuant to this chapter shall be conducted to the maximum extent practicable in accordance with the provisions of Article 3 of the State of New York Administrative Procedure Act (Chapter 82 of the Consolidated Laws of the State of New York) (see Appendix C[1]). Any person compelled to appear in person or who voluntarily
appears before the Ethics Board shall be accorded the right to be
accompanied, represented by, and/or advised by counsel.
[1]
Editor's Note: Appendix C is on file in the Town offices.
Any person aggrieved by a decision of the Ethics Board may seek
judicial review and relief pursuant to Article 78 of the Civil Practice
Law and Rules of the State of New York.
Wherever the requirements of this chapter are inconsistent with
the provisions of § 808 of the General Municipal Law, the
more restrictive provision, or those imposing higher standards shall
govern.
A.
No existing right or remedy shall be lost, impaired, or affected
by reason of this chapter.
B.
Nothing in this chapter shall be deemed to bar or prevent a present
or former Town officer or employee from timely filing any claim, account,
demand, or suit against the Town on behalf of himself/herself or any
member of his/her family arising out of personal injury or property
damage or any lawful benefit authorized or permitted by law.
C.
If any provision of this chapter is held by a court of competent
jurisdiction to be invalid, that decision shall not affect the validity
and effectiveness of the remaining provisions of this law.
All employees of the Town of Woodstock shall be made aware of
whistle-blower provisions of New York State's Labor Law § 740
and Civil Service Law § 75-b.
A.
The Town Board shall cause this chapter to be posted online and to
be made available in printed. form at the Town offices. Within 30
days of the adoption of any amendments to this chapter, the Town Supervisor
shall notify all Town officers and employees of such amendment and
information on where they may access a copy of the chapter as amended.
The Town Board shall also cause a copy of this chapter to be provided
to all Town officers and employees upon their election or appointment.
[Amended 5-16-2017 by L.L. No. 1-2017]
B.
All Town officers and employees shall be required to sign a statement
that they have read and understood the Ethics and Disclosure Law of
the Town of Woodstock:
[Amended 5-16-2017 by L.L. No. 1-2017]
C.
Failure of the Town to comply with the provisions of this section
or failure of any Town officer or employee to receive a copy of the
provisions of this chapter shall have no effect on the duty of compliance
with this chapter or on the enforcement of its provisions.
