[HISTORY: Adopted by the Town Board of the Town of Putnam Valley 7-19-2006
by L.L. No. 5-2006.[1] Amendments noted where applicable.]
[1]
Editor's Note: This local law stated that it supersedes any inconsistent
provision of Subdivision 1 of § 808 of the General Municipal Law.
Said local law also repealed former Ch. 17, Code of Ethics, adopted 6-16-1999
by L.L. No. 6-1999.
The proper operation of a Town government requires that its officers
and employees be independent, impartial, and accountable to the people; that
government decisions and policy be made in the proper channels of the governmental
structure; that public office not be used for personal gain; that public officers
and employees observe in their official acts the highest standards of ethics
and discharge faithfully the duties of their public office regardless of personal
consideration. All officers and employees shall conduct themselves in a professional
and respectable manner towards the public and one another. Realizing what
is legal is not necessarily ethical, it is the policy of the Town of Putnam
Valley and the purpose of this chapter to establish standards and guidelines
for ethical conduct of officers and employees. Though assurance of such conduct
will continue to rest primarily on personal integrity and community vigilance,
the establishment of standards is another step toward providing the highest
caliber of public administration for the Town and ensuring that government
decisions are arrived at impartially and free of conflict of interest, thereby
increasing confidence in public officials. It is also the purpose of this
chapter to protect officials and employees from unwarranted accusations that
impugn their integrity by distinguishing material conflicts of interest from
those that are inconsequential, recognizing that for local government to attract
and hold competent and public servants, public service must not require a
complete divesting of all proprietary interests. In recognition of these goals,
there is hereby established a Code of Ethics for all officers and employees
of the Town of Putnam Valley, hereinafter referred to as the "Town." In the
event of any conflict or inconsistency between the provisions of this code
and provisions of Article 18 of the General Municipal Law, this code shall
prevail, except that nothing in this code shall authorize conduct otherwise
prohibited by Article 18 the General Municipal Law.
When used in this chapter, and unless otherwise expressly stated or
unless the context otherwise requires, the following terms shall have the
meanings indicated throughout:
Communicate in any form, including personally, through another person,
by letter, by telephone, or otherwise.
The Town Supervisor or other officer possessing similar fiscal powers
and duties.
Information in any format that is either: prohibited by federal or
state law from disclosure to the public; or prohibited from disclosure by
local law, ordinance, or resolution of the municipality, and exempt from mandatory
disclosure under the New York State Freedom of Information Law ("FOIL") and
the New York State Open Meetings Law.[1]
Any claim, account or demand against or agreement with the Town of
Putnam Valley, expressed or implied, including the designation of a depository
of public funds and the designation of an official newspaper.
A pecuniary or material benefit accruing to an officer or employee
as the result of a contract, or a business or professional transaction with
the Town. For the purposes of this chapter, an officer or employee shall be
deemed to have interest in the affairs of:
A.
His or her spouse, in-law, domestic partner, co-habitant,
child, stepchild, sibling, parent and grandparent;
B.
A firm, partnership, or association of which such officer
or employee is an owner, member, officer, director or employee; and
C.
OFFICER OR EMPLOYEE
A corporation, of which 5% or more is owned or controlled
directly or indirectly by such officer or employee or his or her spouse, in-law,
domestic partner, co-habitant, child, stepchild, sibling, parent and grandparent.
An officer or employee of the Town of Putnam Valley, whether paid
or unpaid, including members of any administrative board, commission, contract
employees, or other agency thereof. No person shall be deemed to be an officer
or employee solely by reason of being a volunteer firefighter, volunteer ambulance
corps member or emergency management volunteer.
[1]
Editor's Note: See Articles 6 and 7, respectively, of the Public
Officers Law.
A.
Appearance of impropriety. Officers and employees of
the Town of Putnam Valley, by their conduct, shall avoid any appearance of
impropriety.
B.
Interest in contract. No officer or employee shall have
an interest, direct or indirect, in any contract with the Town when such officer
or employee, individually or as a member of a board, has the power or duty
to:
C.
Preparation assistance. No officer or employee who in
his or her official position influences decisions relating to the approval
of plans and specifications for public or private construction, or who is
charged with the responsibility of inspections of such construction or who
is charged with the responsibility of recommending that such facilities be
approved or accepted by the Town, or its agency, shall estimate the cost of
such jobs for contractors or suppliers or engage in the survey, design or
layout of the plans for such public or private facilities for or on behalf
of such contractors or suppliers.
D.
Private interest. A Town officer or employee shall not
use his or her official position, office, or Town property or resources (e.g.,
official letterhead), nor take or fail to take any official action in a manner
which he or she knows or has reason to know may result in a personal or financial
benefit, or otherwise further the private interest of the Town officer or
employee; his or her outside employer or business; his or her spouse, in-law,
domestic partner, co-habitant, child, stepchild, sibling, parent or grandparent;
or his or her customer or client.
E.
Political interest. No Town Board member or other elected
official may use his or her authority over Town property, resources or personnel
to further or inhibit the political interests of any candidate for public
office. No other Town officer or employee may use his or her official position,
office, or authority over Town property, personnel or resources (e.g., official
letterhead), nor take or fail to take any official action, to further or inhibit
the political interests of any candidate for public office.
F.
Disclosure of interest.
(1)
Any officer or employee who has, will have or later acquires
an interest, direct or indirect, in any actual or proposed contract with or
matter before the Town or any of its agencies, boards or commissions shall
promptly disclose, in writing, to the Town Board, the Supervisor, and the
Board of Ethics, the nature and extent of such interest. Such written disclosure
shall be made part of and shall be set forth in the official record of the
proceedings of such body.
(2)
Disclosure in certain applications. Every application,
petition or request submitted to any legislative, administrative, advisory
board, commission, official, committee member, or employee of the Town, pursuant
to the provision of any ordinance, local law, rule or regulation of the Town,
shall state the name, residence and the nature and extent of the interest
of any state officer or any officer or employee of the Town or the County
of Putnam in the application, petition or request being made to the extent
known to such applicant.
(3)
Any officer or employee of the Town of Putnam Valley
must comply with any and all other disclosure requirements contained in other
provisions of state or town law.
(4)
Any officer or employee of the Town of Putnam Valley
who also serves in any other Town or county position shall disclose that information,
in writing, to the respective agency, board, or commission, the Town Board,
and to the Board of Ethics.
(5)
Disclosure of campaign contributions. Any officer or
employee who individually or whose duly constituted campaign committee has,
in the most recent election cycle, received contributions of $250 or more
from a firm or person with an interest in any matter before an agency, board,
or commission of the Town shall promptly disclose, in writing, to the respective
agency, board or commission, the Town Board, and to the Board of Ethics, the
date, amount, and recipient of such contribution. Such written disclosure
shall be made part of and shall be set forth in the official record of the
proceedings of such body.
(6)
Disclosure of interest in pending legislation. Any officer
or employee of the Town who has a private interest in any proposed legislation
pending before the Town Board shall publicly disclose, in writing, on the
official records of the Town Board the nature and extent of such private interest.
G.
Recusal.
(1)
Officers and employees shall recuse themselves from participation
in discussions, deliberations, or voting in any matter in which they have
an actual or potential interest prohibited by this code.
(2)
Officers and employees shall recuse themselves in matters
involving individuals or applicants who contributed, or whose principals contributed,
$250 or more to individuals or their duly constituted campaign committee of
said officer or employee during the most recent campaign cycle as defined
in the New York State Elections Law.
H.
Gifts and favors.
(1)
No officer or employee of the Town shall accept gifts
or favors (including advertising items), whether in the form of services,
loans, goods or promises or in any other form, having an aggregate value of
more than $75 in any twelve-month period, from any person, firm or corporation
which he or she knows is interested directly or indirectly in business or
professional dealings with the Town.
(2)
Gifts between coworkers shall be limited to those of
nominal value.
(3)
Supervisors shall discourage gifts from their subordinate
employees.
(4)
If an officer or employee receives a nonperishable gift
in violation of this code, he or she shall return it.
(5)
If an officer or employee receives a perishable gift
in violation of this code, he or she shall notify the Board of Ethics, contribute
the perishable gift to a charitable organization within the Town, and shall
disclose, in writing, to the donor the disposition of the gift.
I.
Outside employment. No officer or employee of the Town
shall have outside employment or investments that create a conflict with his
or her official duties.
J.
Disclosure of confidential information. No officer or
employee of the Town shall disclose confidential information concerning the
property, government, or affairs of the Town, or its citizens, or any other
confidential information of an official or unofficial character, except when
permitted or required by law, nor shall be or she use such information to
advance his or her private financial interests or those of others.
K.
Future employment.
(1)
No person who has served as an officer or an employee
of the Town shall, within a period of one year after the termination of such
service or employment, appear on behalf of any person, firm, corporation or
association in relation to any case, proceeding, or application involving
Town matters or Town law before the board, agency, committee, commission or
department of the Town on which he or she served or was employed.
(2)
No person who has served as an officer or an employee
of the Town shall at any time after the termination of such service or employment
appear before any board or agency of the Town on behalf of any person, firm,
corporation or association in relation to any case, proceeding, or application
with respect to that in which the former officer or employee was directly
concerned, or in which he or she personally participated during the period
of his or her service of employment, or which was under his or her active
consideration.
(3)
The Board of Ethics is hereby authorized to grant waivers of the restrictions set forth in this Subsection K, where strict enforcement would result in undue hardship, or where the granting of a waiver would advance rather than frustrate the public interest.
(4)
No person who has served on the Town Board, the Planning
Board, the Zoning Board of Appeals or the Board of Assessment Review shall,
within a period of one year after the termination of such service, appear
before any board, committee, commission, department or agency of the Town
on behalf of any person, firm, corporation or association in relation to any
case, proceeding, or application involving Town matters or Town law.
L.
Exceptions. The provisions of Subsections A, B, C, D, F, G, H, I and J of this section shall not apply to:
(1)
The purchase by the Town of real property or an interest
therein, provided that the purchase and the consideration therefor are approved
by order of the Supreme Court upon petition of the Town Board;
(2)
The acquisition of real property, or an interest therein,
through condemnation proceedings according to law;
(3)
A contract for emergency services in the Town of Putnam
Valley;
(4)
A contract in which an officer or employee has an interest
if such contract was entered into prior to the time he was elected or appointed
as such officer or employee, but this subsection shall in no event authorize
a renewal of any such contract.
Any contract entered into by or with the Town in which there is an interest
prohibited by this chapter shall, at the option of the Town, be null, void
and wholly unenforceable, unless it is void pursuant to Article 18 of the
General Municipal Law.
A.
Establishment. The Town Board of the Town of Putnam Valley
hereby establishes a Board of Ethics, which shall be nonpartisan, independent,
and comprised of five members. The Town Board shall appoint the members of
such Board and shall appropriate moneys annually for its operation and other
services in connection therewith. The members of such Board shall receive
no salary or compensation for their services as members of such Board. No
member of the Ethics Board shall hold any other Town office or be an employee
of the Town. The members of the Ethics Board commencing a review or investigation
of a matter pursuant to this section shall conclude such review or investigation
notwithstanding the expiration of their terms or the appointment of new members.
B.
Terms of office.
(1)
Upon adoption of this Code of Ethics, the initial members
shall be designated by the Town Board to serve for terms of one, two, three,
four, and five years, respectively. Thereafter, the members shall serve for
terms of five years.
(2)
In the event of one or more recusals, the Ethics Board
may replace the same number of recused Board members by inviting former Ethics
Board members to participate in their absence.
C.
Advisory opinion.
(1)
The Board of Ethics shall have the powers and duties
prescribed by Article 18 of the General Municipal Law and, upon written request,
shall render advisory opinions to the officers and employees of the Town with
respect to Article 18 of the General Municipal Law.
(2)
Upon written request, the Board shall render advisory
opinions to officers and employees with respect to this code.
(3)
To the extent permitted by law, the identity of the officer
or employee seeking advice, and the nature of the inquiry shall be and remain
confidential.
(4)
No officer or employee shall hold two or more offices
or positions of Town employment unless the Town Board has first requested
and received advice from the Board of Ethics that the offices or positions
are compatible.
D.
Complaints.
(1)
In addition to the other powers and duties granted to
the Board of Ethics, the Board shall have the authority to receive written
complaints alleging violation of this Code and to initiate complaints on its
own motion and to investigate such complaints.
(2)
An officer or employee under investigation by the Board
of Ethics shall be afforded written notice of the investigation and the copy
of the complaint on which it is based, and an opportunity to be heard. In
the course of its investigations, the Board of Ethics may take testimony under
oath.
(3)
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.
(4)
At the conclusion of its investigation, the Board of
Ethics shall render a written opinion stating the allegations, its findings,
conclusions and recommendations. A copy of the opinion shall be furnished
to the complainant, the subject officer or employee, and the Town Board.
A.
The Supervisor of the Town of Putnam Valley shall cause
a copy of this Code of Ethics to be distributed to every officer and employee
of the Town of Putnam Valley. Each officer and employee elected or appointed
on and after the effective date of this chapter shall be furnished such copy
before entering upon the duties of his or her office or employment. The Town
Records Officer shall keep on file a signed statement that the Code of Ethics
was received. Failure to distribute any such copy or failure of any officer
or employee to receive such copy shall have no effect on the duty of compliance
with this chapter or with the enforcement of the provisions thereof.
B.
The Town Board, in consultation with the Board of Ethics,
shall conduct periodic ethics training programs for all officers and employees
of the Town, and for the public.
The Town Board may impose any or all of the following penalties for
violations of this chapter:
A.
In addition to any penalty contained in this section
or any other provision of law, any violation of the provisions of this Code
of Ethics shall constitute cause for warning, reprimand, suspension or removal
from office or employment, or such other disciplinary action as the Town Board
may consider advisable after any hearing required pursuant to law currently
in effect.
B.
In addition to any other penalty contained in this section
or in any other section of law, the Town Board, at the request of the Ethics
Board, may assess a civil penalty up to $1,000 for any violation of this Code
of Ethics.
C.
If a person has directly or indirectly gained money,
property, or other advantage as a result of a violation of any provision of
this chapter, the Town Board may, upon the recommendation of the Ethics Board,
and in addition to any penalty contained in this section or in any other section
of law, assess a civil penalty equal to the gain or profit obtained from such
violation.
In the event that any provision of this chapter shall conflict with
the provisions of Article 18 of the General Municipal Law of the State of
New York, the provisions of this code shall prevail, except that nothing in
this code shall authorize conduct otherwise prohibited by the General Municipal
Law. Pursuant to authority in the New York State Constitution and Municipal
Home Rule Law, this code supersedes all inconsistent provisions of Article
18 of the General Municipal Law of the State of New York, except that nothing
in this chapter shall authorize conduct otherwise prohibited by Article 18
of the General Municipal Law.
In the event that any provision of this chapter shall conflict or be
inconsistent with any other provisions of the Town Code, the provisions of
this chapter shall prevail.
