[HISTORY: Adopted by the Town Board of the
Town of Brookhaven 12-20-2005 by L.L. No. 34-2005, effective 12-27-2005.[1] Amendments noted where applicable.]
GENERAL REFERENCES
Attachment 1 - Transactional Disclosure FormClerk — See Ch. 18A.
Departments and bureaus — See Ch. 20.
Discrimination — See Ch. 21A.
[1]
Editor's Note: This local law also repealed
former Ch. 28, Code of Ethics and Disclosure, adopted 10-20-1992 by
L.L. No. 12-1992, effective 10-23-1992, as amended.
A.
The Town of Brookhaven is one of the largest and most
populated towns in New York State. Brookhaven Town's land area is
the largest of any Town municipal area in New York State. These characteristics
require extraordinary local government services that should only be
provided with the highest level of honesty, integrity and professionalism.
The following Code of Ethics is formulated to meet that goal.
B.
The proper administration of the government of the
Town of Brookhaven requires its officers and employees, whether elected
or appointed, paid or unpaid, including members of any administrative
boards, commissions or other agencies, to be impartial and free from
conflicts of interest, or even the appearance of conflicts, and free
from partisan political influences in fulfilling their public responsibilities.
The purpose of this chapter is to establish standards of conduct and
guidance to the officers, employees and appointees of the Town of
Brookhaven.
C.
In furtherance thereof, the Town Board of the Town
of Brookhaven hereby exercises the option granted local governing
bodies pursuant to § 811 of the General Municipal Law by
requiring all Town officials and appointees to file with the Local
Board of Ethics a financial disclosure statement in such form as shall
be approved by the Town Board by resolution. It is the intent of this
chapter to prevent conflicts of interest or the appearance of conflicts
of interest by requiring disclosure of those financial items which
could reasonably be expected to lead to a conflict of interest or
the appearance of a conflict of interest.
[Amended 1-25-2018 by L.L. No. 1-2018, effective 2-6-2018]
When used in this chapter and unless the context otherwise requires,
the words used herein shall have the same meanings or definitions
as those in Article 18, § 800 et seq., and any amendments
thereto, of the General Municipal Law which are incorporated by reference
herein:
- AGENCY
- Any office, body, board, advisory board, authority, commission, council, department, district, division, bureau or committee of the Town, and any comparable entity funded or created by or for the Town for the purpose of conducting or financing an improvement(s) or service(s) for the promotion of the health, welfare, safety or convenience of the residents of the Town or for the benefit of real property in the Town, but shall not include any fire district or library district.
- APPEAR, APPEARANCE, or APPEAR BEFORE
- A representational communication by whatever form, whether personally or through another person or another entity, with any agency of the Town relating to a business dealing.
- BUSINESS DEALING
- Having or providing any contract or service or work application with the Town, and means buying, selling, renting, acquiring from or dispensing to the Town any good, service or property and is applicable to petitioning for, requesting, or obtaining any approval, grant, license, loan, permit, franchise or the like from the Town.
- CANDIDATE
- Any person seeking, or taking affirmative acts in furtherance of obtaining, a nomination, designation, or election to a public or party office, in the Town of Brookhaven, excluding the party position of committeeperson.
- DISCRETIONARY ACT
- Any action involving the exercise of judgment or discretion by an official or employee, either acting as an individual or as a member of a board or agency, or as an advisor to any board or agency, and includes, but is not limited to, negotiations, approval, advice, recommendation, authorization or audit.
- DUTIES
- Includes those functions performed in the service of the Town, as distinguished hereinbelow:
- A. Includes those functions performed by any volunteer public official as defined hereunder, involving the mere gathering, analysis, dissemination or retrieval of general information for the purpose of rendering advice to the Town Board or the various Town departments, agencies, boards, committees, councils, special districts, improvement districts and all other facets of the Town government and its subdivisions, in regard to their volunteer public service.
- B. Includes those functions performed by any Town official involving greater than the mere dissemination or retrieval of general information; or those functions imposed by law, job description or general practice that involve decision-making, policy-making or the rendering of a judgment.
- C. Includes all functions regarding the reasonably expected responsibilities, charges, obligations, trusts and liabilities of any and all elected officials, officers, employees, public officials and/or public servants of the Town and its various departments, agencies, boards, committees, councils, special districts, improvement districts and all other facets of the Town Government and its subdivisions, in regard to their public service.
- ENGAGE
- Includes any recognized dictionary definition thereof and/or of the following words: participate, enter into, join, take part in, arrange, bargain and/or deal.
- FAMILY MEMBER
- Any family relative, including a spouse, former spouse, child, stepchild, brother, sister, parent or dependent of an officer or employee.
- FINANCIAL INTEREST
- An interest that exceeds 1/10 of 1% of the outstanding securities of a business concern; or if the interest is in an unincorporated business concern, exceeds 1% of the worth of such concern; or is a monetary interest in a corporation, person or firm which exceeds 5% of net worth of the officer or the employee and his or her family members; or is the interest of a partner in any partnership; or is the interest of a stockholder in a professional corporation. In computing percentages herein, both the legal and the beneficial interest shall be aggregated.
- LOBBYING; LOBBYING ACTIVITIES; PAID LOBBYIST
- Any person paid to influence the passage or defeat of any legislation by the Town or the approval or disapproval of any legislation by the Town; the adoption or rejection by the Town of Brookhaven, its agencies, boards, departments, offices or commissions of any rule or regulation having the force and effect of law; or the outcome of any ratemaking proceeding by a Town agency or the outcome of any land application before a Town agency.
- MINISTERIAL ACT
- An action performed in a prescribed manner, whether by statute or by standard accepted and known practice, where there is no exercise of judgment or discretion.
- OFFICIAL or EMPLOYEE
- Any officer or employee of the Town, paid or unpaid, elected or appointed, on suspension, on leave for any reasons, including but not limited to workers' compensation, disability, maternity or family medical, but does not include any judge, prosecutor or employee of the unified court system, nor volunteer fire fighters, civil defense volunteers or unpaid persons performing charitable work.
- A. Any activity, other than employment with the Town, for which the officer or employee receives compensation for services rendered or goods sold or produced.
- B. Any entity, except the Town, of which the officer or employee is a member, officer or employee.
- C. Any entity in which the officer or employee has an ownership interest.
- POLITICAL ACTIVITIES
- Any activities related to partisan politics, including recruiting, solicitation for fundraising, invoking political reprisals, and any action that uses political influence to affect the duties and responsibilities of any officer or employee of the Town.
- TOWN
- The Town of Brookhaven.
- TOWN OFFICIAL
- Includes all of the following categories of individuals, as distinguished hereinbelow:
- A. Includes all persons elected by the electors of the Town of Brookhaven pursuant to the laws of the State of New York.
- B. Includes all persons whose salary is paid in whole or in part by the Town of Brookhaven, its various departments, agencies, boards, committees, councils, special districts, improvement districts and all other facets of the Town government and its subdivisions, whether pursuant to civil service regulations, contractual employment agreements or any other arrangements.
Compliance. It shall be a condition of employment
and/or service to the Town, or any subdivision thereof, that all Town
officials and employees thereof be in compliance with this Code of
Ethics and any and all opinions rendered by the Board of Ethics and
Financial Disclosure.
[Amended 12-21-2010 by L.L. No. 2-2011, effective 1-24-2011; 1-25-2018 by L.L. No. 1-2018,
effective 2-6-2018]
A.
Board established; membership.
(1)
A Board of Ethics is hereby established, pursuant to § 808
of Article 18, and any amendments thereto, of the General Municipal
Law, incorporated by reference herein, to be composed of five members
who have a good reputation and a record of honorable community service,
to serve without compensation and at the terms set forth below:
(a)
Qualifications of members.
[1]
No member of the Ethics Board shall be an officer or employee
of the Town of Brookhaven.
[2]
No more than two members shall be from any one political party.
[3]
No Ethics Board member shall hold office in a political party,
including a committeeperson, or be employed or act as a paid lobbyist
or hold elective office in the Town served by the Ethics Board. An
Ethics Board member may make campaign contributions but may not participate
in any election campaign.
(2)
Such appointment shall conform to the following:
(a)
The members of the Ethics Board shall be appointed by the Town
Board, and the Supervisor shall annually designate one of the appointed
members to serve as chairperson.
(b)
The members of the Ethics Board shall be appointed no later
than January 30, 2006, and annually thereafter in accordance with
the provisions of this section.
(c)
The terms of all the current members of the Ethics Board shall
expire upon designation of the new Board members appointed in accordance
with the provisions of this section.
(d)
The terms of office of appointed Ethics Board members shall
be three years and shall run from January 1 to December 31; except
that of the members appointed: one shall serve until December 31,
2006, two shall serve until December 31, 2007, and two shall serve
until December 31, 2008.
(e)
An Ethics Board member shall serve until his or her successor
has been appointed. If a vacancy occurs, it shall be filled, within
60 days, for the unexpired portion of the term in the same manner
as the original appointment.
(f)
An Ethics Board member may be removed from office by the Town
Board for substantial neglect of duty, gross misconduct in office,
inability to discharge the powers or duties of office or conviction
of a misdemeanor or felony after written notice and opportunity for
such member to respond.
(g)
A quorum shall be three members, and action shall be by a majority
of the whole number of the Board.
B.
Executive Director.
(1)
The Board of Ethics shall be served by a part-time Executive Director. The Supervisor shall designate and set the salary and compensation of the Executive Director from nominations made by the Ethics Board with approval by the Town Board. The Executive Director shall be responsible to the Ethics Board and shall be responsible for distributing the financial disclosure form to all the officers, employees and candidates required to file pursuant to § 28-10 herein and shall have such other powers and responsibilities as set forth in the rules and regulations as promulgated by the Ethics Board. The Executive Director may be removed by a majority vote of the Ethics Board. The Executive Director shall review the disclosure forms, annual and transactional, filed hereunder and transmit such forms or the notice regarding such forms as required herein. The Executive Director shall cause the information required to be filed with the Ethics Board to be compiled in an orderly fashion and insure a timely response to requests for information pursuant to the Freedom of Information Law.[1]
[1]
Editor's Note: See Public Officers Law § 85
et seq.
(2)
The Town Attorney or his/her designee shall serve as counsel to the
Ethics Board, except he/she shall be excused when he/she or the Ethics
Board determines that he/she has, or may reasonably appear to have,
a conflict of interest. In such event, substitute counsel shall be
provided in a timely fashion.
C.
Advisory opinions.
(1)
The Board of Ethics shall render advisory opinions to officers, employees
or former employees of the Town of Brookhaven with respect to Article
18 of the General Municipal Law and this Code of Ethics. Such advisory
opinions shall be rendered pursuant to the written request of an affected
individual officer, employee or former employee of the Town of Brookhaven,
the Supervisor or by resolution of a majority of the Town Board.
(2)
The Board of Ethics shall make available to all officers and employees
of the Town copies of this chapter and, upon request, all applicable
forms adopted by the Town Board and such state statutes which it believes
may be of assistance to the officers and employees in complying with
applicable ethics provisions.
(3)
Investigations.
(a)
Investigations. Upon receipt of a sworn complaint by any person
alleging a violation of this chapter or upon determining on its own
initiative that a violation of this chapter may exist, the Ethics
Board shall have the authority to conduct any investigation necessary
to carry out the provisions of this chapter. In conducting any such
investigation, the Ethics Board may administer oaths or affirmations,
subpoena witnesses, compel their attendance, and require the production
of any books or records which it may deem relevant and material.
(b)
Hearings; penalties. In its discretion, after a hearing providing
for due process procedural mechanisms and subject to any applicable
provisions of law, the Ethics Board may recommend in writing to the
Town Board appropriate disciplinary action.
(c)
The Ethics Board may only act with respect to officers, employees
and former employees of the Town. The termination of a Town officer's,
employee's or former employee's term of office or employment
with the Town shall not affect the jurisdiction of the Board with
respect to the requirements imposed by this chapter on the former
officer or former employee.
(d)
The Town Board shall receive the recommendation(s) of the Ethics
Board and shall take such disciplinary action and impose such penalties
as provided in this chapter. The Town Board may review the findings
of fact and the record, if any, as shall be made available to it by
the Ethics Board.
(e)
The Board of Ethics shall refer any violation of any provision
of this chapter to an appropriate prosecutorial agency.
D.
Generally, opinions of the Board are required in order to comply
not only with the letter of the Code of Ethics, but also with the
spirit of preventing violations of an acceptable code of conduct.
All opinions of the Board shall be published and available in the
Town Clerk's office, with all references to names, addresses
and other information that would constitute a breach of confidentiality
removed therefrom. The Board shall at all times protect the confidentiality
of all Town officials, officers, employees or former employees of
the Town or any subdivision thereof requesting an opinion therefrom.
E.
Consistent with its duties and mandate and due process of law, the
Board of Ethics shall operate under such rules and regulations as
it deems reasonable and necessary to orderly administer and fulfill
its duties and functions. The rules and regulations shall be filed
with the Town Board, and, unless rejected or modified within 60 days,
shall be deemed adopted.
F.
The Board of Ethics shall present an annual report of its activities
to the Town Board at a public hearing.
G.
The Board of Ethics shall have the powers and duties in connection
with disclosure forms as set forth in this code.
H.
The Board of Ethics shall have such other powers and duties as shall
be provided by or pursuant to Article 18, and any amendments thereto,
of the General Municipal Law of the State of New York, which is incorporated
by reference herein.
I.
Training and education. The Ethics Board shall develop educational
materials, an educational program on the provisions of this chapter
and shall be required to provide annual training to all Town employees.
The Ethics Board shall file a copy of all such materials with the
Town Clerk and make information concerning this chapter and the Ethics
Code available to the officers and employees of the Town, to the public,
and to persons interested in doing business with the Town of Brookhaven.
A.
Code of Ethics for Town officers and employees.
(1)
Equal treatment of public by Town officers and employees.
Every Town officer and employee of the Town of Brookhaven shall treat
each and every member of the public, whether a person, firm, corporation
or other organization, with equal consideration and without special
advantage. No Town officer or employee shall discriminate on the basis
of race, color, creed/religion, national origin, age, disability,
sex or sexual orientation.
(2)
General prohibition. A Town officer or employee shall
not use his or her official position or office, or take or fail to
take any action, in a manner which he or she knows or has reason to
know may result in a personal benefit, financial or otherwise, for
any of the following persons:
(3)
Gifts. A Town officer or employee shall not solicit
anything of value from any person who has received or sought a financial
benefit from the Town, nor accept anything of value from any person
the Town officer or employee knows or has reason to know is seeking
or has received or sought a financial benefit from the Town within
the previous 24 months.
(4)
Recusal.
(a)
A Town officer or employee shall promptly recuse himself or herself from acting on a matter before the Town when acting on the matter, or failing to act on the matter, may benefit any of the persons listed in Subsection A(2) of this section.
(b)
Whenever a Town officer or employee is required to
recuse himself or herself under this Code of Ethics, he or she:
[1]
Shall promptly inform his or her superior, if
any;
[2]
Shall promptly file with the Town Clerk and
Ethics Board a signed statement disclosing the nature and extent of
the prohibited action or, if a member of a board, shall state that
information upon the public record of the board; and
[3]
Shall immediately refrain from participating
further in the matter.
(c)
Whenever a vote is required from which a Town officer
or employee must recuse himself or herself, such recusal shall not
be counted for the purpose of determining whether a majority or other
ratio required by statute, local law, ordinance or resolution to pass
a measure has been reached; provided, however, that no action may
be taken by a body unless a majority of all of the members appointed
or elected to such body, votes favorably. If a body is reduced below
such majority by reason of a recusal required pursuant to this section,
thereby causing an inability to act, the application shall be deemed
denied.
(5)
Representation. A Town officer or employee shall not
represent any other person in any matter that person has before the
Town nor represent any other person in any matter against the interests
of the Town except in matters involving collective bargaining.
(6)
Appearances. A Town officer or employee shall not
appear before any agency of the Town, except on his or her own behalf
or on behalf of his of her own constituents or on behalf of the Town.
(7)
Avoidance of conflicts. Town officers and employees
shall not knowingly acquire, solicit, negotiate for, or accept any
interest, employment, or other thing of value which would put them
in violation of this Code of Ethics.
(8)
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 of this Code of Ethics.
B.
Exclusions from the Code of Ethics. The provisions of § 28-5 of this chapter shall not prohibit, or require recusal as a result of:
(1)
An action specifically authorized by statute, rule,
or regulation of the State of New York or of the United States.
(2)
A ministerial act.
(3)
Gifts:
(a)
Received by the Town officer or employee from his
or her parent, spouse, child or sibling; or
(b)
Accepted on behalf of the Town and transferred to
the Town; or
(c)
Refreshments and meals received at a widely attended
gathering as defined by the rules and regulations of the Ethics Board;
or
(d)
Motivated by a pre-existing personal relationship,
as defined by the rules and regulations of the Ethics Board.
(4)
Gifts or benefits having a value of $100 or less that
are received by a Town officer or employee listed in § 11
of the Domestic Relations Law for the solemnization of a marriage
by that officer or employee at a place other than his or her normal
place of business or at a time other than his or her normal hours
of business.
(5)
Non-monetary awards from charitable organizations.
(6)
Receipt of Town services or benefits, or use of Town
facilities that are generally available on the same terms and conditions
to residents or a class of residents in the Town.
(7)
Representation of constituents by elected officials
without compensation in matters of public advocacy.
[Amended 3-8-2011 by L.L. No. 10-2011, effective 3-21-2011; 7-15-2014 by L.L. No. 15-2014, effective 7-27-2014]
A.
No person shall engage in any political activities
on any Town premises at any time. Such prohibited activities include
but are not limited to the following:
(1)
Sales or purchases of tickets to political events.
(2)
Discussion of tickets to political events.
(3)
Solicitation to join a political party or activity.
(4)
Discussion of promotions or transfers or changes of
assignments or compensation on the basis of any political considerations.
(5)
Solicitation of funds or goods or services for political
purposes.
B.
No person having supervisory control or who is superior
in title to any official or employee of the Town shall engage in any
of the following actions with subordinates at any time on or off Town
premises:
(1)
Discussion of or solicitation of ticket purchases
or sales.
(2)
Solicitation to join a political party or political
activity.
(3)
Use of political considerations in discussing duties,
positions, compensation, changes in titles or work assignments.
(4)
Use of political considerations as the reason for
promotions, assignment changes, demotions or termination.
C.
No officer or employee of the Town shall solicit or
discuss political contributions with Town vendors or consultants at
any time, on or off Town premises.
D.
No elected
Town official, Bingo Inspector or any person holding an appointed
office on the Town's Board of Ethics, Planning Board, Zoning Board
of Appeals, Assessment Review Board, Accessory Apartment Review Board,
Industrial Development Agency or Local Development Corporation shall
hold a position on any Town, county, state, or national duly recognized
political party's executive committee.
An official of the Town having discretionary
duties shall require the filing of a written notice of appearance
by any agent.
A.
Filing required. An official of the Town having discretionary
duty shall require the filing of a written notice of appearance by
any agent retained by a person, business entity, association or other
client prior to any discussion or meeting with such agent.
B.
Form. A sworn notice of appearance shall either be
by letter or on a form prepared by the Town Attorney's office and
must include the business name, individual name, address and telephone
number of both the agent and client, the date the agent was retained
by the client, the matter the agent is appearing on and the department
the agent is appearing before and relationship of agent or client
to any Town officer or employee and shall certify that any written
application is truthful and complete.
C.
Filing. The department with which the notice of appearance
has been filed shall keep the original, and a copy shall be forwarded
to and maintained by the Town Clerk, as a readily available public
document.
A.
Use of Town property. No Town officer or employee
of the Town of Brookhaven shall use or permit the use of Town property,
including land, vehicles, equipment, computers, Internet, e-mail,
telephones, materials and any other Town property, for personal convenience
or profit, except when such use is available to Town citizens generally
or is authorized by law or as a matter of general Town policy to all
persons similarly situated.
B.
Improper use of information; disclosure of interest.
(1)
No officer, or employee of the Town of Brookhaven
shall disclose or use for profit, for himself or others, information
about the property, affairs, finances or government of the Town of
Brookhaven that is not generally available to the public.
(2)
Any officer or employee of the Town of Brookhaven
whose duty it is to participate in the discussion of or who gives
official opinions to the Town Board or any other agency of the Town
of Brookhaven on any legislation before the Town Board or matter under
consideration by an agency shall publicly disclose, for the official
record and on a form prescribed by the Board of Ethics, the nature
and extent of any direct or indirect financial or other pecuniary
interest he has in that matter or legislation.
[Amended 3-23-2017 by L.L. No. 8-2017 , effective 4-3-2017]
A.
A Town officer
or employee shall not appear or practice before the Town, except on
his or her own behalf, or receive compensation for any services rendered
in relation to any case, proceeding, application, or transaction before
the Town, for a period of one year after the termination of his or
her Town service or employment; however, the bar shall be two years
as to cases, proceedings, applications or transactions in which the
Town officer or employee was directly concerned and personally participated
during Town service or which were under the Town officer’s or
employee’s active consideration.
B.
Restrictions
for Town consultants. All Town consultants, including but not limited
to attorneys, architects, engineers, land use or economic consultants,
shall be prohibited from performing any work or services for any entity,
individual, property owner or other involved governmental agency which
may reasonably relate to the subject matter of the report. This prohibition
shall be for a period of two years, which shall commence upon any
action taken by the Town as a result of the consultant’s recommendations.
All consultants shall disclose in writing any and all entities, individuals,
property owners or other governmental agencies for which the consultant
is currently providing or has previously provided services, which
involve the subject of the report.
C.
A former
Town officer or employee shall not solicit, negotiate for, or accept
post-employment, within a one-year period after separation from Town
service, with any company or entity that is or was involved in business
dealings with the Town, where such Town officer or employee was directly
concerned with, or personally participated in, those business dealings
on behalf of the Town, including, but not limited to, contract and
consultant services. This prohibition shall not apply to post-employment
positions in the federal, state or any local government.
(1)
This
restriction includes a ban on influencing prospective employment and
prohibits any former Town officer or employee from participating in
or influencing a governmental decision that directly relates to a
prospective employer, while negotiating or after reaching an employment
arrangement.
(2)
This
restriction expands the conflict of interest rules and related disqualification
obligations to situations where a decision will have a reasonably
foreseeable material financial effect on the prospective employer
even though the former Town officer or employee does not yet have
an economic interest in the employer.
(3)
A current
or former Town officer or employee is encouraged to seek an opinion
on whether seeking employment and post-employment restrictions apply
to his or her particular circumstances with respect to contract and
consultant services.
A.
The Board of Ethics shall be the repository for completed
annual statements of financial disclosure and shall give the notice
required by § 808(5) of the General Municipal Law to the
Temporary State Commission on Local Government Ethics. The Ethics
Board shall decide who is required to file a disclosure statement
consistent with the purpose and intent of this code.
B.
The Board of Ethics is hereby authorized pursuant
to § 811(1)(d) of the General Municipal Law to promulgate
rules and regulations governing the filing of annual financial disclosure
and transactional disclosure forms, as such forms are adopted by the
Town Board, and to enforce such filing requirements.
C.
The Board of Ethics is authorized to grant written
exceptions with respect to complying with the timely filing of such
disclosure statements upon the showing of undue hardship and to prescribe
rules and regulations relating to such exceptions with respect to
extensions and additional periods of time within which to file such
financial statements, including the imposition of a time limitation
upon such extensions.
D.
The Ethics Board shall notify the appropriate Town officer of the failure to timely receive an annual financial disclosure form complying with this code in order to invoke the remedy for failure to file provided in § 28-14G.
E.
Annual financial disclosure shall be filed by all
of the following:
(1)
Elected officials.
(2)
Appointed officials (salaried or unsalaried) to Town
offices or related agencies under the aegis of the Town.
(3)
Managerial and supervisory personnel for both the
Town and related agencies.
(4)
All code compliance and enforcement personnel of the
Town or related agencies.
(5)
All employees having any personnel duty assignment
authority.
(6)
All employees with legal or financial duties of the
Town or related agencies.
(7)
All information and data entry personnel.
(8)
All personnel having discretionary authority with
property assessments.
(9)
All personnel having authority in receipt of taxes.
(10)
All personnel with discretionary authority related
to the issuance of licenses, permits and the receipt of fees.
F.
If the Board determines that an annual disclosure
statement is deficient or reveals a possible or potential violation
of this chapter, the Board shall notify the person in writing of the
deficiency or possible or potential violation, afford the individual
a reasonable period to correct such deficiency and explain the penalties
for failure to comply with this chapter.
A.
All officers and employees required to file a disclosure statement as outlined in § 28-10 shall file such statement with the Ethics Board of the Town of Brookhaven on official forms as established by resolution of the Town Board on or before the 31st day of January of each year or within 30 days after their election, or appointment to office (or related agency) in the Town of Brookhaven, whichever shall occur first.
B.
Candidates who file party designating petitions for
nominations at a primary election shall file such disclosure statement
within 14 days after the last day allowed by law for the filing of
party designating petitions naming them as candidates for the next
succeeding primary election.
C.
Candidates for independent nomination who have not
been designated by a party to receive a nomination shall file such
disclosure statement within 14 days after the last day allowed by
law for the filing of independent nominating petitions naming them
as candidates in the next succeeding general or special election.
D.
Candidates who receive the nomination of a party for
a special election shall file such statement within 14 days after
the date of the meeting of the party committee at which they are nominated.
E.
A candidate substituted for another candidate, who
fills a vacancy in a party designation or in an independent nomination,
caused by a declination, shall file such statement within 10 days
after the last day allowed by law to file a certificate to fill a
vacancy in such party designation or independent nomination.
A.
New officers and employees. The Personnel Division
of the Supervisor's Office shall issue a copy of this chapter and
any controlling opinions of the Ethics Board ratified by the Town
Board to all new officers and employees of the Town, or any subdivision
thereof, at the time their employment information is processed and
shall note their personnel file accordingly. The new officers and
employees shall sign a statement that the Code of Ethics and any controlling
opinions were received and read.
B.
Oaths of office. The Town Clerk's Office shall not
administer the oath of office to any new employee, reappointed officer
or elected official until notified by the Personnel Division that
said employee or officer has received said copies.
C.
Current officers and employees. Said Personnel Division
shall issue a copy of this chapter to all current officers and employees
of the Town, or any subdivision thereof, within 30 days of its adoption,
by attaching a copy to their paycheck, and shall note their personnel
files accordingly. The current officers and employees shall sign a
statement that a copy of the Code of Ethics was received and read.
D.
Volunteer officers, officials and/or public officials.
Unsalaried Town officials shall be required to file an oath of office
with the Town Clerk and, upon doing so, shall be issued a copy of
the Code of Ethics from the Town Clerk. It shall be the responsibility
of the Town official appointing said volunteer to inform them of the
requirements herein. The volunteer officers, officials and/or public
officials shall sign a statement that a copy of the Code of Ethics
was received and read.
E.
Subsequent changes and ratified controlling opinions.
Said Personnel Division shall issue a copy of any changes to this
chapter or any controlling opinion of the Ethics Board ratified by
the Town Board to all officers and employees of the Town, or any subdivision
thereof, within 30 days of adoption or ratification by the Town Board,
by attaching a copy to their paycheck, and shall note their personnel
files accordingly. The Town official appointing a volunteer shall
be responsible for issuing a copy of said changes to volunteers, unless
said volunteers serve on a committee, board, council or task force,
in which case the Supervisor's Office shall issue same to the chairman
thereof, who shall be responsible for notifying the members thereof.
The officers and employees shall sign a statement that a copy of subsequent
changes and ratified controlling opinions to the Code of Ethics was
received and read.
F.
Failure by the Town to timely issue a copy of this
chapter or any ratified controlling opinion of the Ethics Board to
officers and employees of the Town or any subdivision thereof shall
have no effect on the duty of compliance with this code, nor the enforcement
of the provisions herein.
A.
Disclosure requirements. Every application, petition
or request submitted for a tax grievance for a nonresidential parcel,
variance, amendment, change of zone, approval of a plat, exemption
from a plat or official map, license or permit, pursuant to the provisions
of this Code shall contain a transactional disclosure statement as
set forth at the end of this chapter completed to the best extent
known to such applicant on such form or amended form as shall be approved
by the Town Board by resolution.
B.
Each applicant shall to the best extent known to such
applicant disclose the name, residence and the nature and extent of
the interest that any state officer or officer or employee of the
Town of Brookhaven or the County of Suffolk has in the person, partnership
or association making such application, petition or request.
C.
Ownership of less than 5% of the publicly owned stock
of a corporation shall not constitute an interest for the purposes
of this section, and the disclosure provisions of this section shall
be construed to be in addition to other disclosure requests of this
code.
D.
For purposes of § 28-13, an officer or employee shall be deemed to have an interest in the application when he or she, or his or her spouse, or brothers, sisters, parents, children, grandchildren or the spouse of any of them (a) is the applicant or (b) is an officer, director, partner or employee of the applicant or (c) legally or beneficially owns or controls stock of a corporate applicant or is a member of a partnership or association applicant.
E.
The foregoing disclosure provisions of § 28-13 shall apply to any individual who is a party officer of a political party in Suffolk County. “Party officer” shall include any person holding any position or office, whether by election, appointment or otherwise in any party as defined in the Election Law for any position defined in either the Election Law or the General Municipal Law.
[Amended 1-25-2018 by L.L. No. 1-2018, effective 2-6-2018]
A.
Any individual who knowingly and willfully fails to file an annual
statement of financial disclosure or who knowingly or willfully, with
intent to deceive, makes a false statement or gives information which
such individual knows to be false on such statement of financial disclosure
or who is determined to have knowingly and willfully violated this
Code of Ethics may be assessed a civil penalty in an amount not to
exceed $10,000, may be removed from office, dismissed, suspended or
subject to such other disciplinary action as the Town Board deems
advisable, subject to any rights the individual may have pursuant
to statute, contract, law, rule or regulation. The Ethics Board shall
adopt rules governing the conduct of inquiries concerning violations
of this chapter, which rules shall provide for due process. The Town
Board may only impose the penalties referred to in this section after
conducting an adjudicatory proceeding and after its determination
becomes final.
B.
Civil fine. Any officer, employee or candidate who violates any provision
of this chapter may be subject to a civil fine of up to $1,500 for
each violation. A civil fine may be imposed in addition to any other
penalty contained in any other provision of law or in this article.
C.
Damages. Any person, whether or not an official 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 any other provision of law or in this chapter, other than a civil forfeiture pursuant to Subsection D of this section.
D.
Civil forfeiture. Any person, whether or not an officer or employee,
who intentionally or knowingly violates any provision of this chapter
may 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 any other provision of law or in this chapter.
E.
Misdemeanor. Any violation of any provision of this chapter may be
punishable as a Class A misdemeanor.
F.
Debarment.
(1)
Any person, whether or not an officer or employee, who intentionally
or knowingly violates any provision of this chapter shall be prohibited
from entering into any contract with the Town for a period not to
exceed three years.
(2)
No person, whether or not a Town officer or employee, shall enter into a contract in violation of a bar imposed pursuant to Subsection F(1) of this section.
(3)
Nothing in this section shall be construed to prohibit any person
from receiving a service or benefit, or from using a facility, which
is generally available to the public.
G.
The salary of any officer or employee failing to file a financial
disclosure form by the deadline established by this code shall be
withheld, until compliance with the financial disclosure provisions
of this code is achieved.
If any clause, sentence, paragraph, section
or item of this chapter shall be adjudged by any court of competent
jurisdiction to be invalid, such judgment shall not impair nor invalidate
the remainder hereof, but such adjudication shall be confined in its
operation to the clause, sentence, paragraph, section or item directly
involved in the controversy in which such judgment shall have been
rendered.
[Added 9-29-2009 by L.L.
No. 21-2009]
A.
It is the purpose of this article to encourage Town employees to
report information that they reasonably and in good faith believe
to be a violation of law, rule, regulation by another Town employee;
or which evidences gross mismanagement, a gross waste of funds.
B.
It is further the purpose of this article to protect employees who
report such information from reprisals in the form of adverse personnel
actions, and to establish the procedures in order to accomplish these
goals.
When used in this article, and unless the context specifically
indicates otherwise, the following words shall have the meanings indicated:
- GROSS MISMANAGEMENT
- Any action or activity by a Town official or employee which is undertaken in the performance of such official's or employee's official duties, whether or not such action or activity is within such official's or employee's scope of employment, and which action or activity is an arbitrary and capricious misuse of Town property or facilities, a persistent abuse of authority, or is a willful omission to perform a required duty.
- GROSS WASTE OF FUNDS
- The procurement of any supplies and/or professional services by a Town official or employee, or an agent of such official or employee, the procedure for which is not governed by the General Municipal Law or the Town of Brookhaven Procurement Policy, where the cost of such supplies and/or professional services unreasonably exceeds the cost that is standard in the appropriate industry for which such supplies and/or professional services are procured.
- IMPROPER GOVERNMENTAL ACTION
- Any action taken by a Town official or employee, or an agent of such official or employee, which is undertaken in the performance of such official's, employee's or agent's official duties, whether or not such action is within such official's, employee's or agent's scope of employment, and which action is in violation of any federal, state or local law, rule or regulation.
- PROTECTED DISCLOSURE
- Any disclosure of information by a Town official or employee pursuant to the procedures set forth herein, which the official or employee reasonably and in good faith believes evidences an improper governmental action, gross mismanagement, or a gross waste of funds.
- RETALIATORY PERSONNEL ACTION
- Any action affecting compensation, appointment, promotion, transfer, assignment, reassignment or evaluation of performance, or other adverse employment action taken against a Town official or employee regarding his/her terms and conditions of employment.
- SUPERVISORY AUTHORITY
- Managerial authority or any other authority to direct and control the work performance of any other Town official or employee.
No official or employee having supervisory authority over another
official or employee of the Town of Brookhaven shall engage in, or
threaten to engage in, retaliatory personnel action against any official
or employee because he/she has made, or threatens to make, a protected
disclosure pursuant to this article.
A.
Any official or employee of the Town of Brookhaven who reasonably
and in good faith believes that any other official or employee is
engaged in, or has engaged in, improper governmental action, gross
mismanagement or gross waste of funds may disclose such information
to the official's or employee's appointing authority, or
his/her designee, for appropriate action. Upon receipt of such information
by the appointing authority or his/her designee, such disclosure shall
be deemed to be a protected disclosure.
B.
Notwithstanding the procedure enumerated in Subsection A above, any official or employee of the Town of Brookhaven who reasonably and in good faith believes that any other official or employee is engaged in, or has engaged in, improper governmental action, gross mismanagement or gross waste of funds, and where such official or employee reasonably believes that disclosure to his/her respective appointing authority or designee will not result in the taking of corrective action, such official or employee may disclose such information directly to the Town Attorney, or his/her designee, for further investigation and official action. Upon receipt of such information by the Town Attorney, or his/her designee, such disclosure shall be deemed to be a protected disclosure.
C.
The Town Attorney is hereby designated by the Town Board of the Town of Brookhaven, pursuant to § 20-22C(12) and (14) of the Code of the Town of Brookhaven, to investigate all allegations of improper governmental action, gross mismanagement and gross waste of funds, and shall be authorized to recommend appropriate corrective action, or any other action required to be taken by law.
D.
Should the Town Attorney be the subject of any alleged improper governmental
action, gross mismanagement or gross waste of funds, an official or
employee alleging such improper governmental action, gross mismanagement
or gross waste of funds may disclose such information directly to
the Town of Brookhaven Board of Ethics. Upon receipt of such information
by the Town of Brookhaven Board of Ethics, such disclosure shall be
deemed to be a protected disclosure.
E.
For the purposes of this article, if any disclosure is made to the
Town of Brookhaven Board of Ethics by any official or employee of
the Town of Brookhaven alleging improper governmental action, gross
mismanagement or gross waste of funds, provided that such disclosure
is made reasonably and in good faith, then such a disclosure shall
be deemed to be a protected disclosure.
A.
Where an official or employee of the Town of Brookhaven is subject
to dismissal, or other retaliatory personnel action, and the official
or employee reasonably believes that such dismissal or other retaliatory
personnel action would not have been taken but for the official's
or employee's release of any information constituting a protected
disclosure, the official or employee may file a complaint with the
Town Attorney within 30 days of the alleged prohibited retaliatory
personnel action or dismissal.
B.
The Town Attorney or his/her designee shall immediately initiate and coordinate a thorough and impartial investigation of any complaint filed pursuant to Subsection A above, which may include, but not be limited to, the referral of such a complaint to the Town of Brookhaven's Labor Counsel for further investigation.
If it is determined that a prohibited retaliatory personnel
action has occurred, appropriate action shall be taken, which may
include but shall not be limited to the discipline of the employee(s)
and/or official(s) who caused the retaliatory personnel action to
occur, and, to the extent feasible, affording appropriate relief to
the employee or official who was the subject of the retaliatory personnel
action.
[Amended 1-25-2018 by L.L. No. 1-2018, effective 2-6-2018]
Nothing in this article shall be deemed to diminish the rights,
privileges, or remedies of any official, employee or candidate under
any other law or regulation or under any collective bargaining agreement
or employment contract.
