[HISTORY: Adopted by the North Hempstead
Town Board 12-18-1990 by L.L. No. 14-1990.[1] Amendments noted where applicable.]
GENERAL REFERENCES
Attendance of employees at outside meetings — See Ch. 3.
Employee organizations — See Ch. 16.
Anti-nepotism — See Ch. 16B.
Governmental departments — See Ch. 23.
Governmental operations — See Ch. 24.
[1]
This local law also repealed former Ch. 16A,
Ethics, Code of, adopted 9-10-1963, as amended.
The Town Board of the Town of North Hempstead
finds it to be in the best interests of effective and responsive government
that its officers and employees, whether paid or unpaid, understand
and be guided by a Code of Ethics. The Town Board further finds that
clear procedures regarding financial disclosure of certain officers
and employees will foster both public confidence in local government
and the privacy interests of individuals who are officers and employees
of the town. It is the intent of this Board to establish local procedures
regarding the completion and filing of financial disclosure forms
and to reestablish a Code of Ethics.
[Amended 2-28-2017 by L.L. No. 1-2017]
A.
No officer or employee of the Town of North Hempstead, whether paid
or unpaid, shall:
(1)
Have or acquire an interest, directly or indirectly, in any manner
whatsoever, except by operation of law, in any business or professional
dealings with the Town of North Hempstead or any agency thereof.
(2)
Act as attorney, agent, broker, representative or employee in business
or professional dealings with the Town of North Hempstead or any agency
thereof for any person, firm or corporation, directly or indirectly,
in any manner whatsoever, except when acting as a duly authorized
labor representative in matters involving collective bargaining.
(3)
Accept other employment or engage in any business transactions or
make any investments, directly or indirectly, which create a conflict
with his or her official duties.
(4)
As used in this section, the term "interest" means either a direct
or indirect financial or material benefit.
B.
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, directly or indirectly, for any of the following
persons:
(1)
Himself or herself;
(2)
A relative as defined in this chapter or member of his or her household;
(3)
A nongovernmental organization in which he or she has a financial
interest;
(4)
A client or customer of the officer or employee; or
(5)
A person from whom the officer or employee has received a private
loan or loans, or a gift or gifts, having an aggregate value of $75
or more in the previous 12 months.
C.
A Town officer or employee shall not appear before the Town Board
or any department or agency of the Town, except on his or her own
behalf, on behalf of his of her own constituents or on behalf of the
Town.
D.
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 Chapter 16A of the Town Code.
E.
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.
F.
Prohibited interests in contracts.
(1)
No Town officer or employee shall have an interest in any contract
with the Town, when such officer or employee, individually or as a
member of a board or commission, has the power or duty, whether or
not exercised, to:
(2)
For the purposes of this subsection, the term "contract" means any
claim, account or demand against or agreement with the Town, written
or oral, express or implied.
(3)
Notwithstanding the foregoing, for the purposes of this subsection,
the term "contract" shall not include:
(a)
The designation of a bank or trust company as a depository,
paying agent, registration agent for the investment of Town funds
except when the Supervisor, Comptroller or his or her deputy or employee
has an interest in the bank or trust company; provided, however, that
where designation of a bank or trust company outside the Town would
be required because of the foregoing restriction, a bank or trust
company within the Town may nevertheless be so designated;
(b)
A contract with a person, firm, corporation or association in
which the Town officer or employee has an interest which is prohibited
solely by reason of his or her status as an officer or employee of
the firm, corporation or association, if the compensation from such
employment will not be directly affected as a result of the contract
and the duties of such employment do not directly involve the procurement,
preparation or performance of any part of the contract;
(c)
The designation of a newspaper, including but not limited to
an official newspaper, for the publication of any notice, resolution,
ordinance or other proceeding where such publication is required or
authorized by law;
(d)
The purchase by the Town of real property or an interest therein,
provided the purchase and the consideration therefor is approved by
order of the supreme court upon petition of the Town Board;
(e)
The acquisition of real property or an interest therein, through
condemnation proceedings in accordance with law;
(f)
The sale of bonds and notes pursuant to the New York Local Finance
Law;
(g)
A contract in which a Town officer or employee has an interest
if such contract was entered into prior to the time he or she was
elected or appointed as an officer or employee, but this subsection
shall in no event authorize a renewal of any such contract;
(h)
A contract with a corporation in which a Town officer or employee
has an interest by reason of stockholdings when less than 5% of the
stock of the corporation is owned or controlled directly or indirectly
by such officer or employee;
(i)
A contract for the furnishing of public utility services at
rates or charges that are fixed or regulated by the Public Service
Commission;
(j)
A contract for the payment of a reasonable rental of a room
or rooms owned or leased by a Town officer or employee, used in the
performance of his or her official duties, and designated as an office
or chamber;
(k)
A contract for the payment of a portion of the compensation
of a private employee of an officer when such employee performs part-time
services in the official duties of the office;
(l)
A contract in which a Town officer or employee has an interest
if the total consideration payable thereunder, when added to the aggregate
amount of all consideration payable under contracts in which the person
has an interest during the fiscal year, does not exceed $750;
(m)
A contract with a member of a private industry council established
in accordance with the federal Job Training Partnership Act[1] or any firm, corporation or association in which such
member holds an interest, provided the member discloses such interest
to the council and the member does not vote on the contract.
[1]
Editor's Note: See 29 U.S.C. § 1501 et seq.
G.
Recusal.
(1)
A Town officer or employee shall promptly recuse himself or herself from any involvement in 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 B of this section or may be prohibited by Subsections A or D of this section.
(2)
Whenever a Town officer or employee is required to recuse himself
or herself under this Code of Ethics, he or she:
(a)
Shall promptly inform his or her supervisor, if any, in writing;
(b)
Shall promptly file with the Town Clerk and Board of Ethics
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
(c)
Shall immediately refrain from participating further in the
matter.
(3)
Except where otherwise required by law, whenever a vote is required
from which a Town officer or employee must recuse himself or herself,
the Town officer or employee's vote 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,
vote 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.
H.
The provisions of this section shall not prohibit an officer or employee
from engaging in conduct or possessing any interest, or require recusal
as a result of such conduct or interest, if the conduct or interest
relates to:
(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)
Receipt of a nonmonetary award or awards from charitable organizations.
(4)
Receipt of Town services or benefits, or use of Town facilities that
are generally available on the same terms and conditions to all or
substantially all Town officers and employees, residents or a class
of residents in the Town and/or the general public.
(5)
Representation of constituents by elected officials without compensation
in matters of public advocacy.
(6)
The adoption of the Town Budget.
(7)
The appearance by a Town employee before a Town department, agency,
board or commission in a representative capacity on behalf of an employee
organization where such appearance is duly authorized by the employee
organization.
I.
Notwithstanding the provisions hereinbefore set forth, any persons serving the Town of North Hempstead or any agency thereof without compensation shall not be deemed in violation of Subsection A, B, D or F above by reason of financial, professional or business interests unless such interests are in conflict with the proper discharge of his or her official duties.
[Amended 2-28-2017 by L.L. No. 1-2017]
A.
No officer or employee of the Town of North Hempstead, whether paid
or unpaid, shall accept from any person, firm or corporation which,
to his knowledge, is interested, directly or indirectly, in any manner
whatsoever in business or professional dealings with the Town of North
Hempstead or any agency thereof:
B.
This section shall not prohibit any gift or gifts:
(1)
Received by the Town officer or employee from a relative; or
(2)
Accepted on behalf of the Town or transferred to the Town; or
(3)
Motivated by a preexisting personal relationship; or
(4)
Given on nonrecurring special occasions, such as marriage, illness,
or retirement, which are reasonable and customary; or
(5)
Unsolicited advertising or promotional material of little intrinsic
value, such as pens, pencils, note pads, and calendars; or
(6)
Incidental meals and refreshments provided when a Town officer or
employee is a speaker or participant at a job-related professional,
charitable, educational, or community conference, program or event;
or
(7)
Awards and plaques which are publicly presented in recognition of
service as a Town officer or employee, or other service to the community.
[Added 3-9-1993 by L.L. No. 3, 1993]
No officer or employee of the town, whether paid or unpaid, or any candidate for elective town office or any committee for any officer or employee or candidate for elective town office shall knowingly solicit or request contributions to any candidate for elective office or to any committee for any candidate or political party from any employee of the town or spouse of any employee or from any person, firm or corporation which at such time or within two years of such time has done business with the town or any agency thereof. A person is a "candidate for elective town office," for purposes of this section, once he or she is required to file an annual statement of financial disclosure pursuant to § 16A-12 of this chapter. Where a firm or corporation may not be solicited, the prohibition shall extend to partners or officers of such firm or corporation as well.
[Amended 2-28-2017 by L.L. No. 1-2017]
A.
As used in this section, the term "Town resources" shall include,
but is not limited to, Town personnel, compensated time, money, vehicles,
equipment, letterhead, materials, supplies or other property.
B.
Town resources shall be used only for lawful Town purposes.
C.
No Town officer or employee shall use or permit the use of Town resources
for personal or private purposes; provided, however, that this provision
shall not be construed as prohibiting:
(1)
Any use of Town resources authorized by law, Town policy or collective
bargaining agreement to which the Town is a party;
(2)
The use of Town resources for personal or private purposes when provided
to a Town officer or employee as part of his or her compensation;
or
(3)
The occasional and incidental use of Town telephones or computers
for personal, nonbusiness matters.
No officer or employee of the Town of North
Hempstead, whether paid or unpaid, shall disclose confidential information
concerning the property, government or affairs of the town or any
other confidential information of an official character except when
permitted or required by law, nor shall he use such information to
advance the financial or other private interests of himself or others.
[Amended 3-7-2000 by L.L. No. 3-2000; 2-28-2017 by L.L. No.
1-2017]
A.
Future employment.
(1)
No person who has served as an officer or employee of the Town of
North Hempstead shall:
(a)
Within a period of two years after the termination of such service
or employment, appear before any board or agency of the Town of North
Hempstead; or
(b)
Receive compensation for any services rendered on behalf of
any person, firm, corporation or association in relation to any case,
proceeding or application:
(2)
The preceding subsection shall not prevent the Town itself from retaining
the services, in accordance with General Municipal Law § 104-b
and the Town's Procurement Policy, of a former Town officer or employee
or of a firm or corporation in which such former Town officer or employee
is currently employed.
B.
Private employment in conflict with official duties.
(1)
No elected Town official or Town employee serving as staff to a Town
Board member shall receive or agree to receive, directly or indirectly,
any compensation for consulting or advisory services in connection
with any proposed local law, resolution, ordinance or other official
action of the Town Board.
(2)
No Town officer or employee shall ask for, pursue or accept a private
employment opportunity with any person or organization that has a
matter requiring the exercise of discretion pending before the Town
officer or employee, either individually or as a member of a board
or commission, while the matter is pending or within the one year
following final disposition of the matter.
(3)
No Town officer or employee, during his or her tenure as a Town officer
or employee, shall engage in any other employment, or engage in any
business, commercial, or professional activity, when the other employment
or business, commercial or professional activity:
(a)
Involves duties that are incompatible with those of the official
duties of the Town officer or employee;
(b)
May be reasonably expected to require frequent and inevitable
recusal;
(c)
May be reasonably expected to require the use of confidential
information gained by reason of serving as a Town officer or employee;
(d)
Will result in the officer or employee receiving compensation
for services to be rendered in connection with any matter before any
Town department, agency, board or commission of which he or she is
an officer, member or employee or of any Town department, agency,
board or commission over which he or she has jurisdiction or to which
he or her has the power to appoint any member, officer or employee;
(e)
Is pursuant to an agreement with the officer or employee, express
or implied, for the officer or employee to receive compensation for
services to be rendered in connection with any matter before any Town
department, agency, board or commission of which he or she is an officer,
member or employee or of any Town department, agency, board or commission
over which he or she has jurisdiction or to which he or her has the
power to appoint any member, officer or employee;
(f)
Involves the representation of a person or organization other
than the Town, or pursuant to which the officer or employee will receive,
or enter into any agreement, express or implied, to receive compensation
for services rendered in connection with any application, request,
claim or proposal before any Town department, agency, board or commission,
or any litigation, negotiation or matter requiring the exercise of
discretion to which the Town is a party.
The Town of North Hempstead has established
an Annual Statement of Financial Disclosure Form.
A.
ELECTED OFFICIAL
FIRM
LOCAL POLITICAL PARTY OFFICIAL
MINISTERIAL MATTER
OFFICER or EMPLOYEE
(1)
(2)
(3)
RELATIVE
REPORTING INDIVIDUAL
SPOUSE
TOWN
TOWN AGENCY
TOWN BOARD
TOWN COMMISSION
UNEMANCIPATED CHILD
Definitions. As used in this chapter, the following
terms shall have the meanings indicated:
An elected official of the town.
A corporation, professional corporation, limited-liability
company, professional limited-liability company, limited or general
partnership, association or any other form of doing business as permitted
pursuant to the laws of the State of New York.
[Added 3-22-2016 by L.L.
No. 4-2016]
The town chairman or leader of a town committee of a party
as the term "party" is defined in § 1-104 of the Election
Law. The term "chairman" or "leader" is intended to refer to the person
who performs the functions and duties of the chief official of a party
in the town, by whatever title designated, without regard to whether
the chairman or leader receives compensation or expenses from the
party.
[Amended 12-21-1995 by L.L. No. 12, 1995]
Any administrative act carried out in a prescribed manner
not allowing for substantial personal discretion.
Heads of departments, divisions, agencies, boards
or commissions and their deputies and assistants.
Those who hold policymaking positions as determined
by the Town Board and set forth in a resolution of said Board, which
shall be filed with the Board of Ethics on or about February 15 of
each year.
Those whose duties involve the negotiation,
authorization or approval of those items as outlined in Subsection
C(4) of this section.
The spouse, child, stepchild, stepparent, parent, grandparent,
niece, nephew, aunt, uncle, cousin, grandchild, brother, sister, stepbrother
or stepsister of the reporting individual; the child, stepchild, stepparent,
parent, grandparent, niece, nephew, aunt, uncle, cousin, grandchild,
brother, sister, stepbrother or stepsister of the reporting individual's
spouse; or any person who is a direct descendant of the grandparents
of the reporting individual or of the reporting individual's spouse.
[Amended 3-22-2016 by L.L. No. 4-2016]
The person required by this section to file an annual financial
disclosure statement.
The husband, wife or domestic partner of the reporting individual
unless living separate and apart from the reporting individual with
the intention of terminating the marriage or domestic partnership
or providing for permanent separation or unless separated pursuant
to a judicial order, decree or judgment or a legally binding separation
agreement.
[Amended 3-22-2016 by L.L. No. 4-2016]
The Town of North Hempstead.
The North Hempstead Housing Authority, the Town of North
Hempstead Community Development Agency and the Town of North Hempstead
Business and Tourism Development Corporation.
[Added 3-22-2016 by L.L.
No. 4-2016]
The governing board of the Town of North Hempstead.
[Added 3-22-2016 by L.L.
No. 4-2016]
The Town of North Hempstead Board of Zoning and Appeals,
the Town of North Hempstead Historic Landmarks Preservation Commission,
the Plumbing Board, the Electrical Board, Board of Ethics and any
other board, commission, authority or like organization established
by the Town to perform a governmental function that does not merely
serve in an advisory capacity.
[Added 3-22-2016 by L.L.
No. 4-2016; amended 5-19-2022 by L.L. No. 9-2022]
Any son, daughter, stepson or stepdaughter under the age
of 18, unmarried and living in the household of the reporting individual.
B.
A blank copy of the statement shall be on file and
maintained by the Town Clerk and shall be available for public inspection
during regular business hours.
C.
The statement shall be completed and filed annually
with the Town of North Hempstead Board of Ethics on or before May
15 by:
(1)
Local elected officials.
(2)
Department heads and their deputies and assistants.
(3)
Policymakers.
(4)
Officers and employees whose duties involve the negotiation,
authorization or approval of:
(a)
Contracts, leases, franchises, revocable consents,
concessions, variances, special permits and licenses.
(b)
The purchase, sale, rental or lease of real
property, goods or services.
(c)
The obtaining of grants of money or loans.
(d)
The adoption or repeal of any rule or regulation
having the force and effect of the law.
(5)
Candidates for local elected office.
(6)
Local political party officials.
(7)
Members of commissions, boards and agencies of the Town as required by § 16A-7D(45).
[Amended 3-22-2016 by L.L. No. 4-2016]
(8)
Individuals who are party to a professional services contract with
the Town, wherein the individual is responsible for directly advising
the Town Board or a Town Commission, and any individual employed by
or associated with a firm that is a party to a professional services
contract with the Town if that individual directly advises the Town
Board or a Town Commission on behalf of the firm. Notwithstanding
anything to the contrary in this chapter, individuals will be required
to complete and file a financial disclosure statement prior to the
execution by the Town of a professional services agreement as described
in this subsection and annually thereafter for the term of the professional
services contract. Notwithstanding the foregoing, individuals required
to file an annual statement of financial disclosure as required by
this subsection shall not be required to disclose the names or any
information regarding dependent children or any information, the disclosure
of which would violate an ethical responsibility or duty established
under state or federal law pertaining to the individual.
[Added 3-22-2016 by L.L.
No. 4-2016]
D.
The offices, titles and job classifications of those
officers and employees required to file annual financial disclosure
statements shall include but not be limited to:
[Amended 3-22-2016 by L.L. No. 4-2016]
(1)
Supervisor.
(2)
Deputy Supervisor.
(3)
Executive Assistant to the Supervisor.
(4)
Administrative Assistant to the Supervisor.
(5)
Assistant to the Supervisor.
(6)
Member of the Town Board.
(7)
Assistant to the Town Board.
(8)
Town Clerk.
(9)
First Deputy Town Clerk.
(10)
Deputy Town Clerk.
(11)
Assistant Town Clerk.
(12)
Receiver of Taxes.
(13)
Chief Deputy Receiver of Taxes.
(14)
Deputy Receiver of Taxes.
(15)
Town Attorney.
(16)
Chief Deputy Town Attorney.
(17)
Senior Deputy Town Attorney.
(18)
Deputy Town Attorney.
(19)
Assistant Town Attorney.
(20)
Commissioner of Human Resources.
(21)
Deputy Commissioner of Human Resources.
(22)
Comptroller.
(23)
Chief Deputy Comptroller
(24)
Deputy Comptroller.
(25)
Commissioner of Planning and Environmental Protection.
[Amended 5-19-2022 by L.L. No. 9-2022]
(26)
Deputy Commissioner of Planning and Environmental Protection.
[Amended 5-19-2022 by L.L. No. 9-2022]
(27)
Commissioner of Building, Safety Inspection and Enforcement.
[Amended 5-19-2022 by L.L. No. 9-2022]
(28)
Deputy Commissioner of Building, Safety Inspection and Enforcement.
[Amended 5-19-2022 by L.L. No. 9-2022]
(29)
Commissioner of Public Works.
(30)
Deputy Commissioner of Public Works.
(31)
Superintendent of Highways.
(32)
Deputy Superintendent of Highways.
(33)
Commissioner of Solid Waste.
(34)
Deputy Commissioner of Solid Waste.
(35)
Commissioner of Community Services.
(36)
Deputy Commissioner of Community Services.
(37)
Superintendent of Highways.
(38)
Director of Legislative Affairs.
(39)
Commissioner of Parks and Recreation.
(40)
Deputy Commissioner of Parks and Recreation.
(41)
Commissioner of Public Safety.
(42)
Deputy Commissioner of Public Safety.
(43)
Commissioner of Services for the Aging.
(44)
Deputy Commissioner of Services for the Aging.
(45)
Chairperson, member or executive director, executive secretary or
like employee of any Town agency or Town commission.
E.
Any person
nominated for a Town agency or Town commission who, if appointed,
is required to file a financial disclosure statement shall file the
statement with the Board of Ethics no less than 30 days prior to the
Town Board considering the appointment. The Board of Ethics shall
receive and review the completed financial disclosure statement in
accordance with this code and prior to the Town Board considering
the appointment.
[Added 5-19-2022 by L.L. No. 9-2022[1]]
F.
The Town Clerk shall maintain a copy of this Code
of Ethics on file and shall make said copy available for public inspection
during regular business hours.
G.
A copy of the Code of Ethics shall be distributed
to every officer and employee, whether paid or unpaid, of the town
by the Supervisor.
H.
The Board of Ethics shall receive and review completed financial disclosure statements. In the event that the Board of Ethics determines, after its review of a completed financial disclosure statement, that any item disclosed in the financial disclosure statement presents a potential conflict of interest prohibited by § 16A-2 of this chapter, the Board of Ethics shall commence an investigation to determine whether an actual conflict of interest prohibited by this chapter exists, which investigation shall be conducted pursuant to procedures to be determined by the Board of Ethics. If, after the completion of its investigation, the Board of Ethics finds that an actual conflict of interest exits, the Board of Ethics shall communicate the finding to the Town Supervisor, the Town Board and the Town Attorney within 10 days of the completion of the Board of Ethics' investigation.
[Amended 2-28-2017 by L.L. No. 1-2017; 5-19-2022 by L.L. No. 9-2022]
I.
A person who is required to file an annual financial
disclosure statement with the Board of Ethics and who is granted an
additional period of time within which to file such statement due
to justifiable cause or undue hardship, in accordance with the required
rules and regulations of the Board of Ethics on the subject, shall
file such statement within the additional period of time granted.
J.
Both local political party officials and any person required to file a financial disclosure statement as enumerated in § 16A-7C(1) through (6) and D shall file such statement within 30 days after taking office or commencing employment or of taking the position of political party official or whenever they become affected by the provisions of this chapter and annually on or before May 15 of every following year during their terms of office or employment, as the case may be. At least once each quarter, the Town's Director of Human Resources shall provide to the Board of Ethics and the Town Attorney a list of those individuals and employees who have taken office or commenced employment with the Town or have become affected by the provisions of this chapter. If the list contains any individuals or employees required to file a financial disclosure statement pursuant to this section and who have not yet filed a statement, the Board of Ethics shall require such individuals or employees to file a statement within 30 days of a written notice to such individuals or employees by the Board of Ethics. It shall only be a violation of this section if an individual or employee who is required to file a financial disclosure statement under this chapter fails to file a financial disclosure statement on or before the 30th day after the Board of Ethics' notice.
[Amended 2-28-2017 by L.L. No. 1-2017; 5-19-2022 by L.L. No. 9-2022]
K.
A person who is subject to the filing requirements
of both Subdivision 2 of § 73-a of the Public Officers Law
and of this section may satisfy the requirements of this section by
filing with the Town of North Hempstead Board of Ethics on or before
the filing deadline provided in § 3-a of said law a copy
of the financial disclosure statement filed pursuant to said § 73-a,
notwithstanding the filing deadline otherwise imposed by this section.
L.
A person who is subject to the filing of annual financial
disclosure statements for more than one political subdivision within
Nassau County may satisfy the requirements of this section by filing
only one annual financial disclosure statement with the Town of North
Hempstead Board of Ethics or Nassau County Board of Ethics or, if
such political subdivision crosses one or more county boundary lines,
then such single filing may be made for any of the counties in which
one of such political subdivisions is located; provided, however,
that the Town of North Hempstead Board of Ethics is notified of the
name of the county of such compliance by the person who is subjected
to the filing requirements of this section within the time limit for
filing specified in this section.
M.
Notwithstanding the provisions of Subsection C hereof, any person who is required to file an annual financial disclosure statement with the Board of Ethics for the 2008 reporting year shall be required to file such financial disclosure statement on or before June 15, 2009.
[Added 4-28-2009 by L.L. No. 6-2009]
[Amended 4-28-2009 by L.L. No. 6-2009]
The annual statement of financial disclosure
shall contain the information and shall be in the form set forth below:
|
ANNUAL STATEMENT OF FINANCIAL DISCLOSURE
FOR TOWN OF NORTH HEMPSTEAD, NEW YORK
Calendar Year 20_____
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1.
NAME AND ADDRESS.
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Last Name
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Middle Initial
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First Name
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Title
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Department or Agency
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Department or Agency Address
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Telephone No.
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Residence Address
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Telephone No.
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2.
SPOUSE AND CHILDREN.
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Provide the name of your spouse (if married)
and the names of any dependent children:
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Spouse
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Child/Age
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Child/Age
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Child/Age
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NOTE: FOR QUESTIONS 3 TO 6: DO NOT REPORT EXACT
DOLLAR AMOUNTS. INSTEAD, REPORT CATEGORIES OF AMOUNTS, USING THE FOLLOWING:
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Category
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Dollar Amount Range
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A
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Under $5,000
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|
B
|
$5,000 to under $20,000
| |
|
C
|
$20,000 to under $60,000
| |
|
D
|
$60,000 to under $100,000
| |
|
E
|
$100,000 to under $250,000
| |
|
F
|
$250,000 or over
| |
3.
FINANCIAL INTERESTS.
a.
Business positions. List any office, trusteeship,
directorship, partnership or other position in any business, association,
proprietary or not-for-profit organization held by you and your spouse
and dependent children, if any, and indicate whether these businesses
are involved with the Town of North Hempstead in any manner.
|
Name of Family Member
|
Position
|
Organization
|
Town Department or Agency and Nature of
Involvement
| |
|---|---|---|---|---|
|
| ||||
|
| ||||
|
| ||||
b.
Outside employment. Describe any outside occupation,
employment, trade, business, or profession providing more than $1,000
per year for you and your spouse and dependent children, if any, and
indicate whether such activities are regulated by any state or local
agency.
|
Name of Family Member
|
Position
|
Name, Address, and Description of Organization
|
State or Local Agency
|
Category of Amount
| |
|---|---|---|---|---|---|
|
| |||||
|
| |||||
|
| |||||
|
| |||||
c.
Future employment. Describe any contract, promise
or other agreement between you and anyone else with respect to your
employment after leaving your Town office or position.
|
| |
|
|
d.
Past employment. Identify the source and nature of
any income in excess of $1,000 per year from any prior employer, including
deferred income, contributions to a pension or retirement fund, profit
sharing plan, severance pay, or payments under a buyout agreement.
|
Name and Address of Income Source
|
Description of Income (e.g., pension,
deferred, etc.)
|
Category of Amount
| |
|---|---|---|---|
|
| |||
|
| |||
|
| |||
e.
Investments. Itemize and describe all investments
in excess of $1,000, or 5% of the value in any business, corporation,
partnership or other assets, including stocks, bonds, loans, pledged
collateral and other investments, for you and your spouse and dependent
children, if any. List the location of all real estate within the
Town of North Hempstead, or within five miles thereof, in which you,
your spouse or dependent children, if any, have an interest, regardless
of its value.
|
Name of Family Member
|
Name and Address of Business or Real Estate
|
Description of Investment
|
Category of Amount
| |
|---|---|---|---|---|
|
| ||||
|
| ||||
|
| ||||
f.
Trusts. Identify each interest in a trust or estate
or similar beneficial interest in any assets in excess of $1,000,
except for IRS eligible retirement plans or interests in an estate
or trust of a relative, for you and your spouse and dependent children.
|
Name of Family Member
|
Trustee/Executor
|
Description of Trust/Estate
|
Category of Amount
| |
|---|---|---|---|---|
|
| ||||
|
| ||||
|
| ||||
|
| ||||
g.
Other income. Identify the source and nature of any
other income in excess of $1,000 per year from any source not described
above, including teaching income, lecture fees, consultant fees, contractual
income or other income of any nature, for you and your spouse and
your dependent children, if any.
|
Name of Family Member
|
Name and Address of Income Source
|
Nature of Income
|
Category of Amount
| |
|---|---|---|---|---|
|
| ||||
|
| ||||
|
| ||||
|
| ||||
h.
Relatives
employed with the Town of North Hempstead. Identify whether any relative
is employed by the Town of North Hempstead.
[Added 3-22-2016 by L.L.
No. 4-2016]
|
Name of Relative
|
Name and Address of Income Source
|
Nature of Income
|
Category of Amount
| |
|---|---|---|---|---|
|
| ||||
|
| ||||
|
| ||||
|
| ||||
4.
GIFTS AND HONORARIUMS.
|
List the source of all gifts aggregating in
excess of $1,000 received during the last year by you, your spouse
or dependent child, excluding gifts from a relative. The term "gifts"
includes gifts of cash, property, personal items, payments to third
parties on your behalf, forgiveness of debt, honorariums and any other
payments that are not reportable as income.
|
|
Name of Family Member
|
Name and Address of Donor
|
Category of Amount
| |
|---|---|---|---|
|
| |||
|
| |||
|
| |||
5.
THIRD-PARTY REIMBURSEMENTS.
|
Identify and describe the source of any third-party
reimbursement for travel-related expenditures in excess of $1,000
for any matter that relates to your official duties. The term "reimbursement"
includes any travel-related expenses provided by anyone other than
the Town of North Hempstead for speaking engagements, conferences,
or fact-finding events that relate to your official duties.
|
|
Source
|
Description
|
Category of Amount
| |
|---|---|---|---|
|
| |||
|
| |||
|
| |||
6.
DEBTS.
|
Describe all debts of you, your spouse and dependent
children in excess of $5,000.
|
|
Name of Family Member
|
Name and Address of Creditor
|
Category of Amount
| |
|---|---|---|---|
|
| |||
|
| |||
|
| |||
7.
INTEREST IN CONTRACTS.
|
Describe any interest of you, your spouse or
your dependent children in any contract involving the Town of North
Hempstead or any municipality located within the Town.
|
|
Name of Family Member
|
Contract Description
| |
|---|---|---|
|
| ||
|
| ||
|
| ||
8.
POLITICAL PARTIES.
|
List any position you held within the last five
years as an officer of any political party, political committee or
political organization. The term "political organization" includes
any independent body or any organization that is affiliated with or
a subsidiary of a political party.
| |
|
| |
|
| |
|
|
|
|
| |
|
Signature
|
Date
|
A.
The terms of office of the current members of the Board of Ethics
as constituted on the effective date of Local Law No. 9-2022 shall
continue, except that the term of office of the member of the Board
of Ethics that was extended from May 8, 2018, to December 31, 2018,
shall be deemed to have terminated on December 31, 2020.
B.
The Board of Ethics shall consist of seven members to be appointed
by the Supervisor, subject to confirmation of the Town Board, after
giving due consideration to the recommendation of the members of the
Town Board. All members shall reside in the Town of North Hempstead
and shall serve without compensation. No officer of a political party,
including a committeeperson or any officer higher than a committeeperson,
may be appointed as a member of the Board of Ethics.
C.
The term of office for each member shall be four years beginning
on January 1 and expiring four years thereafter on December 31. The
terms of office shall be staggered so that not more than two terms
will expire in each year of a four-year cycle. There shall be no limits
on the number of terms that any individual member may serve. In the
event of a vacancy due to resignation, death, illness or otherwise,
a successor shall be appointed pursuant to this section for the unexpired
balance of the established term of office. The established terms of
office shall be fixed and be consistent with the quadrennial sequence
outlined in Schedule A[2] of this chapter, entitled "Sequence for Terms of Office."
The Town Clerk shall be responsible for maintaining accurate records
to track the terms of office, as well as the precise commencement
and termination dates for members of the Board of Ethics upon confirmation
by the Town Board.
[2]
Editor's Note: Schedule A is on file in the Town offices.
D.
The members of the Board of Ethics shall elect a Chairperson from
their group.
[1]
Editor’s Note: This local law also provided that the
term of the member of the Board of Ethics added by this section shall
commence upon the member’s appointment and confirmation by the
Town Board and shall terminate 12-31-2020.
A.
The Board shall promulgate its own rules and regulations
as to its forms and procedures and shall maintain appropriate records
of its opinions and proceedings.
B.
The Board shall render advisory opinions with respect
to the Code of Ethics when so requested by an officer or employee
or the head of the department, agency or unit he serves. All opinions
shall be rendered only to the person so requesting. All requests for
opinions must be submitted to the Board in writing.
C.
The Board shall be the repository for completed annual
statements of financial disclosure.
D.
The Board shall adopt, amend and rescind rules and
regulations to govern procedures for filing the annual statements
and for requesting extensions of time to file for justifiable cause
or undue hardship and shall set time limits for such extensions. Said
rules and regulations shall include a date beyond which no extensions
will be granted. Said Board may utilize or modify such rules or regulations
or adopt separate rules or regulations for the purposes set forth
in § 811, Subdivision 1(d), of the General Municipal Law.
E.
The Board shall establish guidelines for determining
which persons hold policymaking positions.
F.
The Board shall make the form for the annual statement
of financial disclosure available to persons required to file.
G.
The Board shall receive and review completed financial
disclosure statements.
H.
The Board shall make available for public inspection,
during regular business hours, the completed Annual Financial Disclosure
Forms, except that the categories of amounts are confidential and
shall not be made available to the public.
I.
The Board shall permit anyone required to file an
annual statement to request an exemption from requirements to report
items of information pertaining to their spouse or unemancipated children.
J.
The Board shall advise and assist local agencies in
establishing rules and regulations relative to possible conflicts
between private interests and official duties.
K.
The Board shall permit any person who is not holding
a policymaking position but is otherwise required to file to request
an exemption from filing, subject to the rules and regulations of
the Board.
L.
The Board shall determine whether any person required
to file has failed to file or has filed a deficient statement or has
revealed a possible violation in their statement.
M.
The Board shall establish rules and regulations relating
to possible conflicts between private interests and official duties
of present or former elected officials, political party officials
and officers and employees.
N.
Notwithstanding the provisions of Article 6 of the
Public Officers Law, the only records of the Board which shall be
available for public inspection are:
(1)
The information set forth in an annual statement of financial disclosure filed pursuant to law, except the categories of value or amount, which shall remain confidential, and any other item of information deleted pursuant to Subsection H of this section of this chapter, as the case may be.
(4)
Notices of civil assessments imposed under this section.
O.
Notwithstanding the provisions of Article 7 of the
Public Officers Law, no meeting or proceeding of the Board of Ethics
shall be open to the public, except if expressly provided otherwise
by said Board.
P.
Violations; procedure. The Board shall receive complaints
alleging violations of the Code of Ethics and shall have the power
to conduct any investigation necessary to carry out the provisions
of this chapter. Pursuant to this power of investigation, the 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 or material.
(1)
If the Board determines that a person has failed to
file or has filed a deficient statement, it shall notify the person,
in writing, stating said failure or deficiency, provide a fifteen-day
period to cure and advise the person of penalties. Said notice shall
be confidential. If the person fails to cure within the 15 days, the
Board will send a notice of delinquency to the reporting person and
to the Town Board. Said notice shall be confidential.
(2)
If the Board determines that the filed statement reveals
a possible violation of the Code of Ethics or if the Board receives
a sworn complaint alleging a violation or if the Board, on its own
initiative, investigates a possible violation, the Board shall notify
the reporting person, in writing, describing the possible or alleged
violation and providing a fifteen-day period to respond in writing.
If the Board determines that further inquiry is justified, it shall
afford the reporting person the opportunity to be heard. The Board
shall advise the reporting person of the rules regarding adjudication
procedures and appeals available. If the Board determines at any state
that there is no violation or that any conflict has been rectified,
it shall so advise the reporting persons and the complainant, if any.
All procedures herein shall be confidential.
(3)
If the Board determines that there is reasonable cause
to believe a violation has occurred, it shall send a notice of reasonable
cause to the reporting person, the complainant, if any, and the Town
Board, if the reporting person is an officer or employee.
(4)
A reporting person who knowingly fails to file a financial disclosure statement or knowingly makes a false statement or gives false information on such statement or knowingly violates any other provision of this chapter shall be assessed a civil penalty in accordance with § 16A-11. Assessment of the penalty shall be made by the Board.
[Amended 3-9-1993 by L.L. No. 3, 1993]
A.
Any reporting individual who knowingly and willfully
fails to file an annual statement of financial disclosure or who knowingly
and 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 filed pursuant to this chapter shall be assessed
a civil penalty in an amount not to exceed $10,000. Any person who
knowingly violates any other provision of this chapter shall be assessed
a civil penalty in an amount not to exceed $1,000. Assessment of a
civil penalty shall be made by the Board of Ethics with respect to
persons subject to its jurisdiction. The Board of Ethics, acting pursuant
to the law, may impose a civil penalty as aforesaid, and said Board
may, in lieu of a civil penalty, refer a violation to the appropriate
prosecutor. Upon such conviction, but only after such referral, such
violation shall be punishable as a Class A misdemeanor.
[Amended 3-9-1993 by L.L. No. 3, 1993]
B.
A civil penalty for false filing may not be imposed
hereunder in the event that a category of value or amount reported
upon as required by this chapter is incorrect unless such report information
is falsely understated. Notwithstanding any other provision of law
to the contrary, no other penalty, civil or criminal, may be imposed
for a failure to file or for a false filing of such statement of financial
disclosure, except that disciplinary action may be imposed as otherwise
provided by law.
C.
The Board of Ethics shall be deemed to be an agency
within the meaning of Article 3 of the State Administrative Procedure
Act and shall adopt rules governing the conduct of adjudicatory proceedings
and appeals relating to the assessment of the civil penalties herein
authorized. Such rules, which shall not be subject to the approval
requirements of the State Administrative Procedure Act, shall provide
for due process procedural mechanisms substantially similar to those
set forth in such Article 3, but such mechanisms need not be identical
in terms of scope.
D.
Assessment of a civil penalty shall be final unless
modified, suspended or vacated within 30 days of imposition and, upon
becoming final, shall be subject to review at the instance of the
affected reporting individual in proceeding against the Board of Ethics
pursuant to Article 78 of the Civil Practice Law and Rules.
A.
For the purposes of filing an annual statement of financial disclosure pursuant to § 16A-7C(5):
(1)
Candidates for Town of North Hempstead elected officials
who file designating petitions for nomination at a primary election
shall file such statement within seven days after the last day allowed
by law for the filing of designating petitions naming them as candidates
for the next succeeding primary election.
(2)
Candidates for independent nomination for Town of
North Hempstead elected officials who have not been designated by
a party to receive a nomination shall file such statement within seven
days after the last day allowed by law for the filing of independent
nominating petitions naming them as candidates for local election
official in the next succeeding general special election.
(3)
Candidates for Town of North Hempstead elected officials
who receive the nomination of a party other than at a primary election,
whether or not for an uncontested office, shall file such statement
within seven days after the date of the meeting of the party committee
at which they are nominated.
(4)
A candidate whose name will appear on both a party-designating
petition and on an independent-nominating petition for the same office
or who will be listed on the election ballot for the same office more
than once shall satisfy the filing deadline requirements of this subsection
by complying with the earliest applicable deadline only.
B.
As used in this section, the terms "party," "designation,"
"primary," "primary election," "nomination," "independent nomination,"
"ballot" and "uncontested office" shall have the same meanings as
those contained in § 1-104 of the Election Law.
C.
Such statement shall be filed with the Board of Ethics.
D.
The Board of Ethics shall obtain from the Board of
Elections, as such term is defined in § 1-104 of the Election
Law, lists of all candidates for local elected official and from such
lists shall determine and publish lists of those candidates who have
not, within 10 days after the required date for filing such statement,
filed the statement required by this section.
