As used in this chapter, the following terms
shall have the meanings indicated:
ADMINSTRATIVE HANDBOOK
The booklet, approved by the Town Board, and distributed
to administrative officers and confidential Town employees detailing
personnel policies and management or administrative responsibilities.
ADMINISTRATIVE OFFICER
An employee with administrative responsibilities that may
include rendering ministerial acts or ministerial decisions.
AGENCY
Any Town authority, agency, board, bureau, commission, committee,
council, department or other similar entity of the Town created by
law or appointed by the Town Board or Town Supervisor, except for
an advisory committee.
[Amended 12-22-2009 by L.L. No. 62-2009]
APPEAR and APPEAR BEFORE
Communicating in any form, including, without limitation,
personally, through another person, by letter, by telephone or by
electronic communication, with or without compensation.
APPLICANT
The person that is submitting an application seeking approvals
from a Town agency or ministerial acts. An applicant includes the
owner, contract vendee (if any), agent, attorney, engineer, architect
or other representative making the application or request for relief.
[Added 6-12-2007 by L.L. No. 32-2007]
BENEFIT
Any gain or advantage to the beneficiary, and includes any
gain or advantage to a third person pursuant to the desire or consent
of the beneficiary, and any promise thereof. The term “benefit”
does not include campaign contributions authorized by law.
CLIENT or CUSTOMER
A.
Any person to whom a Town officer or employee
has supplied goods or services during the previous 24 months having,
in the aggregate, a value greater than $1,000; or
B.
Any person to whom a Town officer's or employee's
outside employer or business has supplied goods or services during
the previous 24 months having, in the aggregate, a value greater than
$1,000 but only if the officer or employee knows or has reason to
know the outside employer or business supplied the goods or services.
CONSULTANT
Any individual, association, partnership or corporation or
any employee or agent thereof who has been retained to assist any
board or agency in the discharge of its duties. “Consultant”
shall also include any business partner, employer or members of the
consultant's firm or company.
CONTRACT
As defined in Article 18 of General Municipal Law, any claim,
account or demand against or agreement with the Town, express or implied.
ETHICS BOARD
The Ethics Board of the Town of Southampton established pursuant to §
23-19 of this chapter.
INTEREST
As defined in Article 18 of the General Municipal Law, a
direct or indirect pecuniary or material benefit accruing to a Town
officer or employee as the result of a contract with the Town which
such officer or employee serves. For purposes of this chapter, a Town
officer or employee shall be deemed to have an interest in the contract
of:
A.
His or her spouse or relative as defined herein,
except a contract of employment with the Town which such Town officer
or employee serves.
B.
A firm, partnership or association of which
such Town officer or employee is an officer, member or employee.
C.
A corporation of which such Town officer or
employee is an officer, director, or employee.
D.
A corporation of which any stock is owned or
controlled directly or indirectly by such Town officer or employee.
OUTSIDE EMPLOYER OR BUSINESS OF A TOWN OFFICER OR EMPLOYEE
A.
Any activity, other than service to the Town,
from which the Town officer or employee receives compensation, or
anticipates or has reason to anticipate receiving compensation, for
services rendered or goods sold or produced; or
B.
Any person from whom or from which the Town
officer or employee receives compensation, or anticipates or has reason
to anticipate receiving compensation, for services rendered or goods
sold or produced; or
C.
Any entity, other than the Town, of which the
Town officer or employee is a member, officer, director, or employee,
or with which the Town officer or employee anticipates or has reason
to anticipate becoming a member, officer, director, or employee within
the next 24 months; or
D.
Any entity in which the Town officer or employee
has an ownership interest, unless the Town officer or employee owns
less than 5% of such entity, and such interest is worth less than
$10,000; or
E.
Any entity in which the Town officer or employee
anticipates or has reason to anticipate obtaining or receiving an
ownership interest, unless the ownership interest in question constitutes
less than 5% of such entity, and such interest is worth less than
$10,000; or
F.
Any activity, person or entity described in Subsections
A through
E above with which the Town officer or employee ceased to have any involvement or participation, or ceased to hold any position, or from which the Town officer or employee ceased to receive any compensation within a period of less than 24 months from the date when the Town officer or employee disclosed the termination of the outside employer or business relationship to the Board of Ethics pursuant to §
23-10.
PARTICULAR MATTER
Any case, proceeding, application, request for a ruling or
benefit, determination, contract limited to the duration of the contract
as specified therein, investigation, charge, accusation, arrest or
other similar action which involves a specific party or parties, including
actions leading up to a particular matter, provided that a particular
matter shall not be construed to include the proposal, consideration
or enactment of local laws or resolutions by the Town Board, or any
action on the budget.
PERSON
A human being, a public or private corporation, an unincorporated
association, a partnership, a government or a governmental instrumentality.
POLITICAL PARTY COMMITTEE
Any corporation or committee which operates to aid or promote
the success or defeat of a political party and/or the election or
defeat of any candidate, within the Town of Southampton.
RELATIVE
A spouse, former spouse, child, step-child, son- or daughter-in-law,
brother, sister, parent, brother-in-law, sister-in-law, parent-in-law,
niece or nephew of the Town officer or employee, as well as any person
claimed as a dependent on the Town officer's or employee's most recently-filed
state personal income tax return.
SPOUSE OF A TOWN OFFICER OR EMPLOYEE
As defined in Article 18 of the General Municipal Law, the
husband or wife of the Town officer or employee, unless living separate
and apart 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.
TOWN
The Town of Southampton, but shall not be construed to include
a Town Judge, Town Justice or officer of the Unified Court System.
TOWN OFFICER OR EMPLOYEE
An officer or employee of the Town of Southampton, whether
paid or unpaid, elected or appointed, including members of any administrative
board, commission or other agency thereof. No person shall be deemed
to be a “Town officer or employee” solely by reason of
being a volunteer fireman or civil defense volunteer. A “Town
officer or employee” shall not include a Judge, Justice or officer
of the Unified Court System.
Whenever this chapter requires any person to
file documents or information with the Town Clerk, such filing shall
be made in duplicate. The Town Clerk shall stamp both copies with
the date received, retain one copy, and forward the second copy immediately
to the Board of Ethics.
When any Town officer or employee, or any contracting party, has been found to have violated §
23-4 or
23-5 or
23-10 of this chapter in connection with any contract or agreement entered into by or with the Town, such contract shall be void unless ratified by the Town Board after full disclosure of the facts and circumstances of all violations. No vote to ratify any contract pursuant to this section shall be taken without a report and recommendation of the Ethics Board pursuant to §
23-25D. However, any contract that violates § 801 of Article 18 of the General Municipal Law cannot be ratified and is void.
The provisions of §§
23-4 and
23-5 of this chapter shall not prohibit, or require, recusal or transactional disclosure as a result of:
A. An action specifically authorized by statute, rule,
or regulation of the United States or by State of New York; or
C. Anything of value identified in §
23-4C(6) as exclusions to the gift provisions under this chapter.
[Amended 8-14-2007 by L.L. No. 39-2007]
D. Receipt of Town services or benefits, or use of Town
facilities, on the same terms and conditions as such services or benefits
are available to residents or a class of residents in the Town; or
E. Representation of constituents by elected Town officials
without compensation in matters of public advocacy.
[Amended 5-25-2004 by L.L. No. 20-2004; 6-12-2007 by L.L. No. 32-2007]
A. The following Town officers and employees are required
to file an annual disclosure statement:
(3) Assessors as defined in §§ 102(3) and
336 of New York State Real Property Law; and
(4) Certain Town officers and employees, as set forth
in the Town's Administrative Handbook.
B. Time and place for filing.
(1) Annual disclosure statements shall be filed with the
office of the Town Clerk on or before May 15 of each year, notwithstanding
the year 2010, which shall be filed by June 15.
[Amended 4-13-2010 by L.L. No. 10-2010]
(2) New elected officials, Town agency appointees and
applicable Town officers and employees shall file their first annual
disclosure statements with the office of the Town Clerk within 30
days after appointment and on or before each subsequent May 15 thereafter.
(3) Additional time to file. Town officials and employees
who are required to file an annual disclosure statement may request
from the Ethics Board an extension of time to file upon showing of
justifiable cause or hardship; provided, however, that such extension
may not exceed 60 days.
(4) Public inspection. Annual disclosure statements required
to be filed pursuant to this chapter shall be available for public
inspection in the office of the Town Clerk.
C. Contents of annual disclosure statement. The annual
disclosure statement shall be upon the form established by the Southampton
Town Board by resolution.
[Amended 4-13-2010 by L.L. No. 10-2010]
D. Amendments, corrections and update.
(1) A Town officer or employee who becomes aware of any changes necessary, misstatement or a deficiency in his or her annual disclosure statement shall file an amendment or correction thereof within 30 days of the date when he or she learns of the misstatement or deficiency. Timely filing of an amendment or correction pursuant to this subsection shall include disclosure of a possible misstatement or deficiency in connection with a request for an advisory opinion pursuant to §
23-27 and shall be deemed a complete defense to any allegations of unethical conduct in connection with the initial misstatement or deficiency.
(2) Within 30 days of any change in information disclosed, the Town officer or employee shall file an updated annual disclosure statement. This subsection may be satisfied by a letter specifying the specific change or changes, filed with the office of the Town Clerk pursuant to §
23-3.
[Amended 4-13-2010 by L.L. No. 10-2010]
E. Failure to disclose.
[Amended 12-22-2009 by L.L. No. 62-2009]
(1) If a person required to file an annual disclosure statement has failed to file a disclosure statement or has filed a deficient statement, the Ethics Board shall notify the reporting person in writing, state the failure to file or detail the deficiency, provide the person with a fifteen-day period to make such filing or cure such deficiency and advise the person of the penalties for failure to comply with the reporting requirements. Such notice shall be confidential. If the person fails to make such filing or fails to cure the deficiency within the specified time period, the Ethics Board shall send a notice of delinquency to the reporting person and the Town Board. Any officer or employee who is required to file annual disclosure statements and fails to do so following the notification and cure period set forth in this section may be fined an amount not to exceed that set forth in §
23-14B.
[Amended 6-12-2007 by L.L. No. 32-2007]
A. This section applies to applicants (as defined in §
23-2) seeking approvals from Town agencies or ministerial acts, as defined in §
23-2.
B. Disclosure required; findings.
[Amended 6-12-2018 by L.L. No. 10-2018]
(1) In accordance with § 809 of General Municipal
Law of the State of New York, every application, petition, or request
submitted for a variance, amendment, change of zoning, approval of
a subdivision map, site plan, special exception use, request for exemption
from a subdivision map or official map, license, or permit, or grant
requiring approval from the Town Board or a Town agency pursuant to
the provisions of any ordinance, local law, rule, or regulation constituting
the zoning and planning regulations of the Town shall disclose information
pertaining to certain interests by a state officer or officer or employee
of the municipality in the application. This includes but is not limited
to all applications filed seeking permits, approvals or determinations
from the Town Board; Planning Board; Board of Zoning Appeals; Conservation
Board; Department of Land Management Building Inspectors and Environmental
Analysts; and Department of Public Safety employees authorized to
issue permits and licenses under Volume II (Zoning) of the Town Code
of the Town of Southampton.
(2) A Town officer or employee shall be deemed to have
an interest in the application when he or she, his or her spouse,
or their brothers, sisters, parents, children, grandchildren, or the
spouse of any of them is (a) 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; or (d) is a party
to an agreement with such an applicant, express or implied, whereby
he or she may receive any payment or other benefit, whether or not
for services rendered, dependent, or contingent upon the favorable
approval of such application, petition, or request.
C. The applicant shall state the information required
below on applicant disclosure forms required by the Board of Ethics.
[Amended 6-12-2018 by L.L. No. 10-2018]
(1) The names of any state officer or Town officer or
employee who has an interest in the application.
(2) The names of any relative (as defined in §
23-2) of a Town officer or employee who is (a) 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; or (d) is a party to an agreement with such an applicant, express or implied, whereby he or she may receive any payment or other benefit, whether or not for services rendered, dependent, or contingent upon the favorable approval of such application, petition, or request.
(3) The supplemental information required in §
23-12, if applicable.
D. Manner and place of filing. Disclosure required to be filed by applicants pursuant to this chapter shall be available for public inspection in the application file maintained by the respective Town agency. In the case of applications and other requests for relief before the Town Board, said disclosure and application file shall be maintained by the office of the Town Clerk. All applications for agency approvals or ministerial acts, as defined by §
23-2, shall have the disclosure form attached upon dissemination to the applicant by the respective Town agency.
[Amended 6-12-2018 by L.L. No. 10-2018]
[Amended 6-12-2007 by L.L. No. 32-2007]
A. This section applies to applicants (as defined in §
23-2) seeking approvals from Town agencies or ministerial acts, as defined in §
23-2, as follows:
(1) Requests for change of zone, amendments to the Zoning
Code or Zoning Map, and other relief made to the Town Board;
(2) Requests for permits for special events and licensing
agreements made to the Town Board;
(3) Requests for approvals and other relief made to the
Planning Board, Zoning Board of Appeals and Conservation Board pursuant
to the zoning regulations in Volume II of the Town Code of the Town
of Southampton.
B. Supplemental information; findings.
(1) The Town Board finds that it is necessary to have
the following additional information made available by applicants
for the aforementioned land use applications or requests for relief,
and by owners of the property for the public record:
(a)
Employment compensation. With respect to the applicant, which includes his or her representatives, disclosure of employment or contractual relationships during the preceding 24 months, from the date of the application involving compensation in an amount of $500 or more, in cash or in-kind, to any Town officer or employee directly or indirectly through a corporation or business interest held by any Town officer or employee. The provision also applies for any such employment compensation for a relative (as defined in §
23-2) of a Town officer or employee.
(b)
Election campaign contributions to Town officers
or employees. With respect to the applicant, which includes his or
her representatives, disclosure of election campaign contributions
aggregating $500 or more during the preceding 24 months from the date
of the application to support the previous, current and/or future
campaign for public office of any Town officer or employee, in monetary
funds or in kind, to any individual campaign committee or to any political
party committee designated to accept donations on such Town official's
or employee's behalf as a candidate for public office. "Previous campaign"
refers to the prior election cycle for said individual campaign committee.
"Current and future campaign" refers to the present election cycle
for a Town officer or employee who is either running for election
as a first time candidate or is seeking re-election or election to
another elective office. Said listing should provide the name and
address of the contributor, the dates and amounts of the campaign
contributions provided (including in-kind contributions with fair
market values as required under New York State Election Law), the
name of the individual campaign committee or political party committee,
and the election cycle to which said aggregated campaign receipts
pertain. The $500 aggregate threshold is for each individual campaign
committee or political party committee for each election cycle.
(c)
With respect to disclosure of election campaign
contributions, the following is illustrative:
|
Name of Contributor
|
Amount/Date
|
Name of Campaign Committee
|
---|
|
ABC Property Owner
|
$250 July 15, 2005
|
Committee to Re-Elect Supervisor
|
|
First Street
|
$250 Sept 15, 2006
|
Committee to Re-Elect Supervisor
|
|
New York, NY ZIP
|
$500 Aggregate Total
|
Election Cycle 2006 (2-year term is 05&06)
|
|
XYZ Attorney
|
$500 July 20, 2005
|
Local Democratic Committee
|
|
Local Street A
|
$250 Sept 20, 2005
|
Local Democratic Committee
|
|
Southampton, NY ZIP
|
$250 Sept 15, 2006
|
Local Democratic Committee
|
|
|
$1,000 Aggregate Total Election Cycle 2006 (2-year
term)
|
|
|
Applicant Contract Vendee (first item below
is in-kind - golf shirt for auction)
|
|
|
|
Local Street B
|
$75 Dec 15, 2005
|
Committee to Re-Elect Councilman
|
|
Southampton, NY ZIP
|
$925 July 15, 2006
|
Committee to Re-Elect Councilman
|
|
|
$1,000 Aggregate Total Election Cycle 2006 (4-year
term - 05 &06 pertinent only)
|
|
(2) Nothing herein shall prohibit an applicant, which
includes his or her representatives, from requesting such information
in writing from the individual candidate committee or political party
committee designated to accept contributions on behalf of a candidate
or Town official, for purposes of completing a required disclosure
form, as such persons and committees are required to maintain accounting
records in order to file campaign disclosure statements pursuant to
Article 14 of Election Law of the State of New York and said statements
are available for public access and database query at http://www.elections.state.ny.us.
[Amended 6-12-2018 by L.L. No. 10-2018]
(3) Nothing herein shall prohibit an applicant, which
includes his or her representatives, from providing contributions
(in monetary form and/or in-kind) to an individual candidate committee
or political party committee designated to accept contributions on
behalf of a candidate for a Town elective office, as such political
activity is protected under First Amendment provisions of the United
States Constitution.
Within 90 days after the effective date of this
chapter, and during the month of March each year thereafter, the Town
Supervisor shall:
A. Cause to be filed with the Ethics Board a list of the names and offices or positions of all Town officers and employees required to file annual disclosure statements pursuant to §
23-10 of this chapter; and
B. Notify all such officers and employees of their obligation
to file an annual disclosure statement.
C. Notify all new officers and employees, subject to §
23-10, within 10 days of appointment of their obligation to file an annual disclosure statement within 30 days and on or before May 15 of each year.
The Ethics Board shall index and maintain on
file for at least seven years all disclosure statements and records
filed with the Ethics Board pursuant to this chapter. The Ethics Board
shall have discretion regarding where the files are housed; however,
the records must be stored in a Town-owned and -operated facility
within the Town of Southampton.
[Amended 5-13-2008 by L.L. No. 28-2008; 12-22-2009 by L.L. No. 62-2009; 3-26-2013 by L.L. No. 7-2013]
A. There is hereby established an Ethics Board consisting of five members. The Town Board shall appoint the members of the Ethics Board, all of whom shall be residents of the Town pursuant to Town Code Chapter
61 (Residency Requirements).
B. Of the total membership of the Ethics Board, no more than three shall
be registered to vote in the same New-York-State-recognized political
party, nor shall more than three be nonaffiliated voters or unregistered
to vote. An Ethics Board member may make campaign contributions and
attend campaign events but may not participate in "political activities,"
defined herein as distributing campaign literature, circulating designating
petitions, selling fundraiser tickets or wearing pins for an election
candidate. An Ethics Board member shall promptly resign under the
following circumstances:
[Amended 12-22-2020 by L.L. No. 10-2020]
(1) When opting to enter campaign races as a candidate for public office;
(2) When opting to serve as a campaign manager, consultant, or treasurer
for a political party committee or individual election campaign committee;
(3) When recusal has become prevalent for such individual for matters
before the Ethics Board.
C. No person may be appointed as a member of the Ethics Board who is:
(1) An officer or committee person of any local, county or state political
party, association, club or independent political committee subject
to the various regulations and reporting requirements of the State
Election Law; or
(2) A campaign manager, consultant or treasurer for a political party
committee or individual election campaign committee; or has served
in such capacity during the past twenty-four-month period; or
(3) A current or former elected Town officer; or
(4) Currently a relative of a Town officer or employee; or
(5) Currently having business dealings with the Town or any Town agency,
directly or indirectly, personally or through some firm, association
or corporation in which he or she acts in an official capacity, including
officers of the Town's Police Benevolent Association (PBA) and Civil
Service Employee Association (CSEA); or
(6) Either a current Town officer or employee, or a former Town officer
or employee who served in a compensated position within the five years
immediately preceding his or her appointment.
D. The terms of office of the Ethics Board members shall be four years
each, except for the member who is a current or former Town officer
or employee who shall have a one-year term, and such terms shall run
from January 1 through December 31. The members first appointed following
the effective date of this chapter shall be appointed as follows:
one to serve a one-year term, one to serve a two-year term, one to
serve a three-year term, one to serve a four-year term. Subsequent
terms shall be staggered four-year terms, with the exception of the
member who simultaneously is a current or former Town officer or employee.
E. When the term of an Ethics Board member has expired, he or she shall
serve as a holdover until his or her successor has been appointed.
F. The members of the Ethics Board shall not receive compensation but
may be reimbursed for reasonable expenses incurred in the performance
of their official duties, pending Town Board approval by resolution.
G. Members of the Ethics Board shall be provided with legal defense and indemnification in accordance with the requirements of Chapter
14, Defense and Indemnification, of the Town Code of the Town of Southampton.
When a vacancy occurs in the membership of the Ethics Board, the vacancy shall, within 45 days, be filled for the unexpired portion of the term in the same manner as the original appointment. Any person appointed to fill a vacancy on the Ethics Board shall meet the qualifications set forth in §
23-19 of this chapter.
At its first meeting each year, the Ethics Board
shall elect a Chair from among its members. Any action of the Ethics
Board must be approved by a majority thereof. The Chair or a majority
of the Ethics Board may call a meeting of the Ethics Board.
[Amended 6-12-2007 by L.L. No. 32-2007; 6-12-2018 by L.L. No. 10-2018]
A. The Ethics Board shall review:
(1) The lists of Town officers and employees, prepared pursuant to §
23-17 of this chapter, to determine whether the lists are complete and accurate. The Board shall add the name of any other officer or employee who the Ethics Board determines should appear on the list pursuant to §
23-10.
(2) All annual disclosure statements to ensure compliance
with the standards as set forth in this chapter and to determine whether
any person required to file such a statement has failed to file, has
filed a deficient statement, or has filed a statement that reveals
a possible or potential violation of this chapter.
(3) All transactional disclosure statements.
B. The Ethics Board may review applicant disclosure forms pursuant to §§
23-11 and
23-12. Upon request from the Ethics Board, a Town agency shall forward copies of applicant disclosure forms.
C. If the Ethics Board determines that an annual disclosure
statement or a transactional disclosure statement or an applicant
disclosure statement is deficient or reveals a possible or potential
violation of this chapter, the Ethics Board shall notify the person
in writing of the deficiency or possible or potential violation and
of the penalties for failure to comply with this chapter.
Any person aggrieved by a decision of the Town
Board pursuant to this chapter may seek judicial review and relief
pursuant to Article 78 of the Civil Practice Law and Rules of the
State of New York.
Any Town officer who is in compliance with the
1979 Ethics Code and its subsequent amendments through the year 2001
but is in violation of this chapter at the time of its enactment shall
be permitted to complete his/her term of office. At the expiration
of the present term, the officer must either resign or resolve the
conflict. Any employee who is in compliance with the 1979 Ethics Code
but is in violation of this chapter at the time of its enactment shall
have one year to either resign or resolve the conflict.
[Amended 5-25-2004 by L.L. No. 20-2004]
A. Within 60 days after the effective date of this chapter,
and thereafter as appropriate, the Town Supervisor shall cause a copy
of this chapter to be distributed to each Town officer and employee.
Every Town officer or employee elected or appointed thereafter shall
be furnished a copy of this chapter within 10 days after entering
upon the duties of his or her position.
B. 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.
C. Posting. In accordance with § 807 of the
General Municipal Law, the Town Supervisor shall cause a copy of Article
18 of said law to be kept posted in each public building under the
jurisdiction of the Town in a place conspicuous to its officers and
employees. Further, in accordance with § 336(2) of the Real
Property Tax Law, the Town Supervisor shall cause a copy of § 336
of said law to be kept posted in each public building under the jurisdiction
of the Town in which assessors work in a place conspicuous to such
assessors. Failure to post any such copy shall have no effect on
the duty of compliance with said law or with the enforcement of the
provisions thereof.