[HISTORY: Adopted by the Common Council of
the City of Ithaca 7-7-1993 by Ord. No. 93-14. (This ordinance also
repealed former Ch. 55, Ethics, Code of, adopted 3-6-1974, as amended.)
Amendments noted where applicable.]
CHARTER REFERENCES
Oath of office — See § C-6.
A.
The purpose of this chapter is to establish minimum
standards of conduct to help ensure that the exercise of governmental
responsibilities by City of Ithaca officials and employees is free
from improper influences that might cause those officials or employees
to make, promote or hinder public decisions in order to advance their
own private interests. The standards and guidelines set forth in this
chapter are intended to eliminate, to the greatest extent possible,
the existence of conflicts of interest pertaining to city officials
and city employees in the exercise of their official duties, to minimize
unwarranted suspicion that such conflicts exist and to avoid potential
conflicts of interest before they arise.
B.
The rules of ethical conduct set forth in this chapter
are intended to supplement those of §§ 800 through
813 of the General Municipal Law of the State of New York and any
other applicable general or specific law relating to ethical conduct
and interest by municipal officials and employees.
For the purposes of this chapter, the following
terms shall be defined as set forth in this section.
Any employee paid by the City of Ithaca, other than any elected
official.
Any elected official and any person, other than a city employee,
appointed to any position in the city government.
The Mayor and any member of Common Council.
A city official or city employee's spouse or domestic partner, and all dependent children. "Spouse" shall mean the husband or wife of the reporting individual unless living separate and apart from the reporting individual with the intention of terminating the marriage or providing for permanent separation or unless separated pursuant to a judicial order, decree or judgment or a legally binding separation agreement. "Domestic partner" shall mean a person defined as a domestic partner pursuant to Chapter 215, Article IV, of this Code.
Unless otherwise specified, all sections of
this chapter shall apply to all city officials and all city employees.
A.
Applicability. This section shall apply only to elected
officials.
B.
Annual disclosure statement required. By February 1 of each year thereafter, each elected official shall complete and file with the City Clerk a signed statement of financial disclosure containing the information and in the form set forth in § 55-13 of this chapter. Upon receipt of such forms, the City Clerk shall file them with the New York State Temporary State Commission on local government ethics.
C.
Such disclosure statements shall be kept on file as
a public record by the City Clerk. Public notice of the existence
and availability of such file shall be made annually by legal notice
in the newspaper of record, announcement by the Mayor at each February's
regularly scheduled Common Council meeting and posting of the notice
conspicuously in City Hall.
D.
The City
Clerk shall confirm filing by all required filers and forward the
filed statements to the City Attorney. Requests for determination
regarding actual or potential conflicts arising from the filings may
be referred by the City Attorney to the Ethics Advisory Board. If
the City Attorney determines that any required filers have not filed
a correctly completed disclosure form, the City Attorney shall report
this to the Mayor, or the Acting Mayor if the Mayor is in default
of filing.
[Added 12-6-2023 by Ord. No. 2023-06]
No city official or city employee shall, directly
or indirectly, solicit, accept or receive any gift having a value
of $75 or more, 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 her 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.
Except as required by law, no city official
or city employee may disclose confidential information acquired during
the course of his or her official duties or use such information to
further his or her personal interests or the personal interests of
his or her family.
A.
City officials and city employees must exercise their
official duties solely in the public interest and must avoid actual
conflicts of interest to the greatest extent possible.
B.
City officials and city employees should avoid circumstances
which compromise their ability to make impartial judgments solely
in the public interest and should, to the greatest extent possible,
avoid even the appearance of conflict of interest. No city official
or city employee shall knowingly take any action or incur any obligation
of any nature which is in conflict with or might reasonably tend to
conflict with the proper discharge of his or her duties on behalf
of the City of Ithaca.
C.
No city official or city employee shall receive, or
enter into any agreement, express or implied, for compensation for
services to be rendered in relation to any matter before any city
agency of which he or she is an officer, member or employee or of
any city agency over which he or she has jurisdiction or to which
he or she has the power to appoint any member, officer or employee.
D.
No city official or city employee shall receive, or
enter into any agreement, express or implied, for compensation for
services to be rendered in relation to any matter before any city
agency, whereby his or her compensation is to be dependent or contingent
upon any action by such agency with respect to such matter, provided
that this subsection shall not prohibit the fixing at any time of
fees based upon the reasonable value of the services rendered.
E.
Avoidance of conflicts.
(1)
Each city official and city employee is responsible
for exercising due diligence in attempting to avoid actual or potential
conflicts of interest when voting or taking other discretionary action
regarding all matters with which he or she deals on behalf of the
city.
(2)
A city official or city employee shall exercise particularly
careful diligence in avoiding any actual or potential conflict of
interest when voting or taking other discretionary action on any matter
brought before any element of the city government by any entity that
employs said official or employee. In any such case, the involved
city official or employee should attempt to avoid taking any action
that could reasonably be interpreted as benefiting his or her career
advancement, salary or standing within the entity that employs him
or her.
F.
Notwithstanding any provisions in this chapter, if
a conflict of interest cannot be avoided because of the nature of
the circumstances in a particular situation, any involved city official
or employee shall bring the particular matter to the attention of
the Mayor, the City Manager, and the City Attorney, or such other
city official or city employees as may be appropriate, before voting
or taking any discretionary action on said matter.
[Amended 11-3-2021 by Ord. No. 2021-09]
G.
Provisions of this chapter shall not be deemed to
prevent any city official from voting or taking other lawful action
with regard to the establishment of salaries or benefits for elected
city officials.
Whenever a city official or city employee is
called upon to vote on, advise on or otherwise take discretionary
action on a matter before the city, and either the performance or
nonperformance of such action would provide a significant and special
pecuniary or material benefit to him/herself or his/her family or
otherwise create any potential conflict of interest, the officer or
employee shall immediately declare the nature of the conflict of interest
and shall refrain, where appropriate, from taking any action or inaction
that would affect the outcome of the matter.
No person shall intentionally induce a city
official or city employee to take any action that violates any provision
of this chapter. Any person who intentionally induces a city official
or city employee to take action in violation of this chapter shall
be guilty of a Class A misdemeanor, subject to a fine of not more
than $1,000 and shall be barred from doing business with the City
of Ithaca for a period of up to five years.
Nothing in this chapter shall be deemed to bar
the timely filing by a present or former official or employee of any
claim, demand or suit against the city on behalf of him/herself or
his/her family arising out of any personal injury or property damage
or for any lawful benefit, or from receiving a municipal service or
benefit that is generally available to the public or to other city
employees or city officials.
A.
Within 10 days of this chapter's enactment, the City
Clerk shall post a copy of this chapter conspicuously and permanently
in City Hall in a manner allowing public perusal of its provisions.
Copies of this chapter shall also be made available by the City Clerk
to members of the public upon request under provisions of the Freedom
of Information Law.
B.
Within 30 days of this chapter's enactment, the City
Clerk shall distribute a copy of this chapter to all city officials
and city employees. Each city official and city employee shall be
given a copy of this chapter before entering upon the duties of his
or her office.
A.
Any knowing and willful violation of this chapter
will be a Class A misdemeanor subject to the penalties provided in
§ 813 of the General Municipal Law.
B.
Knowing and willful violation of this chapter may
also subject the violator to a civil penalty and may also involve
forfeiture of office or employment and liability for all damages.
Civil penalties may include a fine not to exceed $10,000, for knowingly
and willfully failing to file a financial disclosure statement, for
knowingly and willfully making a false statement with intent to deceive
or for otherwise knowingly and willfully violating this chapter.
The annual statement of financial disclosure
shall contain the information and be in the form set forth hereinbelow.[1]
[1]
Editor's Note: Copies of the statement of
financial disclosure are on file in the office of the City Clerk and
may be examined during regular office hours.
[Added 12-6-2023 by Ord. No. 2023-06]
A.
Membership and appointment. There is hereby established the Ethics
Advisory Board ("Board"). The Board shall consist of five members,
a majority of whom shall not be officers or employees of the City.
One member of the Board shall be an elected or appointed officer or
employee of the City. The members of the Board shall be appointed
by the Mayor subject to approval by a majority vote of the Common
Council. The Chair of the Board shall be selected from the members
of the Board by the Mayor and upon selection shall remain Chair for
the duration of such member's term unless sooner replaced as
Chair by the Mayor in the Mayor's discretion but only on the
recommendation of a majority vote of the Board. Board members shall
receive no compensation for their services.
B.
Quorum. Three members of the Board shall constitute a quorum, with
the vote of four members required for action by the Board, which may
proceed despite a recusal or vacancy pending a substitute appointment.
C.
Qualifications. Members of the Board shall be chosen for their independence,
integrity, civic commitment, and high ethical standards.
D.
Term. The term of office of Board members shall be five years and
shall run from January 1 through December 31, except for members initially
appointed to the Board, who shall serve as follows: i) one shall serve
from date of appointment through December 31 of the year following
the year of appointment; ii) two shall serve from date of appointment
through December 31 of the third year following the year of appointment;
and iii) two shall serve from date of appointment through December
31 of the fifth year following the year of appointment.
E.
Recusals and vacancies. In the event of the recusal of a member of
the Board from a particular matter, a replacement shall be appointed
for that member for the matter in question in the same manner as appointments
are generally made; the recusing member shall, however, continue serving
on the Board for other matters that may come before it. In the event
of a vacancy on the Board, the vacancy shall be filled for the unexpired
portion of the term in the same manner as the original appointment.
In the case either of a recusal or vacancy, the replacement for the
recused or departing member shall be brought before the Common Council
for consideration no later than the Common Council's second meeting
following the recusal or vacancy.
F.
Removal. A member of the Board may be removed from the Board in the
same way the member was appointed, after written notice and opportunity
for reply. Grounds for removal shall be substantial neglect of duty,
gross misconduct in office, inability to discharge the powers or duties
of office, or violation of this chapter. This subsection shall not
apply to designation of someone to replace the Chair in the event
that the Chair shall remain on the Board thereafter.
G.
Responsibilities and authority.
(1)
Jurisdiction. The jurisdiction and authority of the Board shall in
all respects be limited to rendering advisory opinions and reports
concerning officers and employees of the City on subjects set forth
in Article 18 of the General Municipal Law or this Code of Ethics.
(2)
Bylaws and rules of procedure. The Board may adopt bylaws for its
governance and rules of procedure for handling matters that may come
before the Board for its consideration. Such bylaws and rules of procedure
shall not expand the jurisdiction of the Board or provide it with
any power or authority at variance with Article 18 of the General
Municipal Law or this chapter.
(3)
Counsel. The Board shall in conducting its affairs have the legal
advice of the City Attorney or, should the City Attorney determine
the need due to conflict or otherwise, such outside counsel as retained
by the City Attorney.
(4)
Meetings.
(a)
Meetings of the Board may be called on at least five working
days' written notice (which may be delivered via email, fax,
or in any other reasonable manner requested by a member of the Board)
by either the Chair of the Board or a majority of its members.
(b)
The Board shall meet at least once a year during the month of April, during which time the Board shall, at minimum, i) review the annual disclosure statements filed by elected officials pursuant to § 55-4 of this chapter and any conflicts referred to it by the City Attorney pursuant to § 55-4D, ii) review the attestations that have been submitted by officials and determine if any are not timely filed or are incomplete, iii) determine whether it desires to obtain additional information from any filer.
(c)
The Chair shall convene a meeting of the Board within 30 days
following its receipt of a written complaint and/or written request
for an advisory opinion.
(5)
Requests for advisory opinions and complaints. Any officer or employee
of the City may submit a written request for an advisory opinion on
any subject covered by Article 18 of the General Municipal Law, this
Code, and related City policies. The foregoing may include a request
for an advisory opinion on a proposed transaction or course of conduct
and/or a complaint alleging violation of Article 18, this Code, or
related City policies. A request for an advisory opinion must be signed
by the officer or employee requesting it and include contact details
for the complainant if available, including physical address (business
or home address or other designated mailing address) and one or more
means of electronic communication (e.g., phone number, email address).
In addition to the foregoing, requests shall be submitted in accordance
with any other procedures specified in any bylaws or rules of procedure
the Board may adopt.
(6)
Investigations and form of opinions, records.
(a)
Upon receipt of a properly filed request for advisory opinion
over a matter within the Board's jurisdiction, the Board shall
have the power and duty to conduct an investigation necessary to carry
out the provisions of this chapter.
(b)
In conducting investigations, the Board may interview witnesses
informally, request documents from witnesses and third parties, administer
oaths, and take sworn testimony.
(c)
Advisory opinions shall be rendered in writing and shall set
forth in reasonable detail the facts and legal grounds for the conclusions
set forth therein.
(d)
All requests for advisory opinions, the dispositions thereof,
and the records received or created by the Board in connection with
its investigation shall be indexed and retained on file by the Board.
(e)
The records of the Board which shall be available for public
inspection are those which are subject to mandatory disclosure pursuant
to Article 6 of the Public Officers Law (also known as the "Freedom
of Information Law"), by other state or federal law or final court
order, or by this chapter.
(f)
In addition to such other powers conferred by this chapter,
the Board may recommend to the official or the employee of the City
a voluntary resolution of any conflict of interest, complaint, or
other matter coming before the Board.
(7)
Review of Code of ethics. The Board shall from time to time review
this Code of Ethics and recommend to the Common Council any changes
that it deems appropriate.
(8)
Annual review of ethics training. The Board shall annually confer
with the Director of Human Resources and review the training provided
to employees as to ethics and provide any suggestions deemed appropriate.
