[HISTORY: Adopted by the Town Board of the
Town of Queensbury 3-17-1997 by L.L. No. 1-1997.[1] Amendments noted where applicable.]
[1]
Editor's Note: This local law repealed former
Ch. 14, Ethics and Disclosure, adopted 7-20-1992 by L.L. No. 8-1992.
This chapter shall be titled "Code of Ethics."
The authority for this chapter is § 806
of the New York State General Municipal Law.
[Amended 5-7-2007 by L.L. No. 1-2007]
Pursuant to the provisions of § 806 of the General Municipal Law, the Town Board of the Town of Queensbury recognizes that there are rules of ethical conduct for public officers, employees, and consultants which must be observed if a high degree of moral conduct is to be obtained and if public confidence is to be maintained in our unit of local government. The proper operation of the Town government requires that its officers, employees, and consultants be independent, impartial, objective, unbiased and responsible to the people of the Town of Queensbury; that public office should not be used for personal gain; that public officers, employees, and consultants maintain the highest standards of integrity and discharge faithfully the duties of their office, regardless of personal considerations; and that the public have confidence in the officers and employees thereof. It is the intent of this chapter to promulgate these rules of ethical conduct for the officers, employees, consultants of the Town of Queensbury. These rules shall serve as a guide for official conduct of the officers, employees, and consultants of the Town and, as adopted, shall not conflict with, but shall be in addition to, any prohibition of Article 18 of the General Municipal Law or any other general or special law relating to ethical conduct and interest in contracts of municipal officers and employees.
[Amended 5-7-2007 by L.L. No. 1-2007]
As used in this chapter, the following terms
shall have the meanings indicated:
Where a Town official or an employee enters into a covert
cooperative arrangement or strategy that allows one party to gain
an unfair advantage over a third party, competitors, consumers or
those with whom they are negotiating, which undermines the competitive
quality or fairness of a proposal or bid process.
A conflict of interest is a situation in which a person has
a duty to more than one person or organization but cannot do justice
to the actual or potentially adverse interests of both parties. This
includes when an individual's personal interests or concerns are inconsistent
with the best for the Town or when a public official's personal interests
are contrary to his/her loyalty to public business. Town officials,
employees, and consultants should avoid even the appearance of conflict.
Town officials, employees, and consultants shall disclose any interest
in or with any individual or entity providing services to or contracting
with the Town. For example, a conflict of interest is (includes, but
is not limited to):
The use of the authority of public office/employment
or confidential information received by holding such a public position
for the private pecuniary benefit of the public official/public employee
himself, any member of his immediate family, or a business with which
he or a member of his immediate family is associated. The term "business
with which he is associated" is defined as any business in which the
person or a member of the person's immediate family is a director,
officer, owner, or employee or has a financial interest.
A state or condition of having a special interest
in protecting or supporting something for the purpose of self-interest,
gain or benefit, often financially or politically.
Serving a self-interest or showing favor to
one bidder or proposer over another in a manner that injures the fairness
of a bid or proposal process.
A person, paid or unpaid, providing advice to and at the
request of a municipal board, committee, commission or other body,
including persons licensed under Title VIII of the Education Law of
the State of New York, providing to a municipal board, committee,
commission or other body professional service as defined in § 1501,
Subdivision (c), of the Business Corporation Law of the State of New
York.
A spouse, minor child or other dependent of a municipal officer
or employee.
Any claim, account or demand against or agreement with the
Town, express or implied, and direct or indirect pecuniary or material
benefit accruing to an officer or employee as a result of a business
or a professional transaction with the Town or resulting from official
Town acts. For the purpose of this chapter, an officer or employee
shall be deemed to have direct interest in the affairs of:
His or her immediate family.
A business concern, partnership, trust or association
of which such officer or employee and immediate family member are
members, partners, owners, directors or employees.
A corporation of which such officer or employee
is an officer, director or employee.
A corporation, any stock of which is owned or
controlled, directly or indirectly, by such officer or employee or
any corporation in which such officer or employee or immediate family
member owns more than 5% of said stock.
Elected officials, public officers under the Public Officers
Law, members of boards and commissions and department heads and their
supervisory assistants of the Town of Queensbury or employee of the
Town of Queensbury, whether paid or unpaid, including members of any
administrative board, commission or other agency thereof. No person
shall be deemed to be a municipal officer or employee solely by reason
of being a volunteer fireman or emergency medical services volunteer.
All persons employed by the Town of Queensbury not otherwise included
within the definition of "officer, public officer and Town officer"
set forth below.
The office of chairman, secretary, treasurer and such other
officer or member as the rules of the particular body may provide.
[Amended 5-7-2007 by L.L. No. 1-2007]
Public officers and employees are agents of
the public purpose and hold office for the benefit of the public.
Their conduct in both their official and private affairs should be
above reproach. Every officer and employee of the Town of Queensbury
shall be subject to and abide by the following standards of conduct:
A.
Gifts. No officer, employee, or consultant of the
Town shall, directly or indirectly, solicit any gift or accept or
retain any gift having a value of more than $25, whether in the form
of money, services, loan, travel, entertainment, hospitality, things
or promises, or any other form, under circumstances in which it could
reasonably be inferred that the gift was intended to influence him
or her or could reasonably be expected to influence him or her in
the performance of his or her official duties or was intended as a
reward for any official action on his or her part. The recipient of
any such gift or gratuity shall immediately return the same to the
giver and shall notify the Town of Queensbury Board of Ethics, in
writing, of the occurrence. This shall not apply to campaign contributions.
B.
Disclosure of confidential information. No officer,
employee or consultant of the Town should disclose confidential information
acquired by him or her in the course of his or her official duties
if such information will further his or her personal interests or
the private interests of others.
C.
Representation before one's own agency. No officer,
employee, or consultant shall receive or enter into any agreement,
express or implied, for compensation for services to be rendered in
relation to any matter before any municipal agency of which he or
she is an officer, member or employee or of any municipal agency over
which he or she has jurisdiction or to which he or she has the power
to appoint any member, officer or employee.
D.
Representation before one's own agency for a contingent
fee. No officer, employee, or consultant shall receive or enter into
any agreement, express or implied, for compensation for services to
be rendered in relation to any matter before any agency of which he
or she is an officer, member or employee or of any municipal agency
over which he or she has jurisdiction or to which he or she has the
power to appoint any member, officer or employee or whereby his or
her compensation is to be dependent or contingent upon any action
by such agency with respect to such matter, provided that this subsection
shall not prohibit the fixing at any time of fees based upon the reasonable
value of the services rendered.
E.
Disclosure of interest.
[Amended 12-21-2015 by L.L. No. 8-2015]
(1)
If any
Town officer, employee or consultant has a potential or actual conflict
of interest in any matter which he or she encounters in the performance
of his or her official Town duties, he or she shall make known to
all concerned parties the nature of such conflict and shall refrain
from voting or otherwise acting in the matter so as to avoid an actual
conflict. In all cases of potential or actual conflict, the Town Board
shall be made aware of the situation by the person in conflict. This
disclosure shall be made part of the official record and be on a form
provided by the Town Clerk which shall disclose the nature of the
conflict. A copy of this filed form shall be kept in a separate place
by the Town Clerk for the public record.
(2)
Elected
Town officials shall disclose campaign contributions of $100 or more
from a person or entity who is specifically and significantly affected,
positively or adversely, by an action of the Town Board. Such disclosure
requirement applies to contributions made within the previous two
years prior to the date of the relevant Town Board resolution and
shall be made through inclusion within the relevant Town Board resolution.
F.
Investments in conflict with official duties. No officer,
employee, or consultant shall invest or hold any investment, directly
or indirectly, in any financial, business, commercial or other private
transaction which creates a conflict with his or her official duties.
G.
Private employment. No officer, employee, or consultant
shall engage in, solicit, negotiate for or promise to accept private
employment or render services for private interests when such employment
or service creates a conflict with or impairs the proper discharge
of his or her official duties.
H.
Future employment. No officer, employee, or consultant
shall, after the termination of service or employment with the Town
of Queensbury, appear before any board or agency of the Town of Queensbury
in relation to any case, proceeding or application in which he personally
participated during the period of his service or employment or which
was under his active consideration. In the case of a Town Board member,
no such member shall appear in relation to any legislative action
in which he participated for a period of two years after leaving office.
I.
The Town Board wishes to create a work environment
for its employees free of undue political influence. Opinions from
employees of the Town should be offered freely and without fear; job
security should not be guiding their opinion. As such, any employee
who has been urged to, or commanded to, write letters of support,
or vocalize in any format, by an entity (be it Town Supervisor, Councilman,
or otherwise) which he or she feels is more representative of special
interests, and not in accord with the public's interest, should report
such to the Town Board.
J.
The Town Board wishes to address and identify inappropriate
relationships and activities, such as collusion, particularly with
entities that are doing business with the Town. For example, the Town
should prohibit doing business with entities that have political influence
over the political careers of Town officers or a political relationship
that may have undue influence over a Town Board member, a relationship
which might hinder the spirit of fair, open and transparent competition.
K.
Nepotism.
(1)
Every public officer and every municipal employee
related closer in degree, by blood or by marriage, than first cousin
to any persons seeking employment within any department, section or
function of the Town shall disclose such relationship as provided
for pursuant to the further provisions of this section.
(2)
Every member of any municipal board, agency, commission
or other municipal body (exclusive of committees) related closer in
degree, by blood or by marriage, than first cousin to any applicant
for appointment to or to any person seeking employment by or on behalf
of such board, agency, commission or other municipal body (exclusive
of committees) shall disclose such relationship as provided for pursuant
to the further provisions of this section.
(3)
The disclosures required by this section shall be
made in writing, directed to the Town Clerk, and made at the earliest
opportunity following the date upon which such public officer, municipal
employee or member of any municipal body first learns or has knowledge
of the making of such application by the person seeking such employment
and/or appointment.
L.
Political activity. No municipal officer or employee
shall use his or her official position to obtain, provide, furnish
or supply any municipal resource (including but not limited to personnel
services, equipment, supplies or facility) on behalf of any political
party or candidate, political club or association or any political
society or committee. This provision shall not be interpreted or construed
as precluding any municipal officer or employee from being involved
in the political affairs of the Town as a private citizen, nor shall
it preclude any municipal officer or employee from soliciting and/or
receiving campaign contributions in the course of a political campaign
for public office conducted pursuant to the laws of the State of New
York, nor shall it exempt any municipal officer or employee from any
federal, state or local rules, regulations, codes of conduct or other
restrictions imposed by law.
M.
Use of public property. No officer or employee shall
request or permit the use of Town-owned vehicles, equipment, material
or property for personal convenience or profit, except when such services
are available to the public generally or are provided as municipal
policy for the use of such officer or employee in the conduct of official
business.
A.
Formation. A local Ethics Board, to be known as the
"Town of Queensbury Ethics Board," is established pursuant to § 808
of the General Municipal Law.
B.
Members.
[Amended 9-15-1997 by L.L. No. 8-1997[1]; 10-4-2004 by L.L. No. 9-2004; 5-7-2007 by L.L. No.
1-2007]
(1)
The Ethics Board shall consist of five members, each
of whom shall be appointed upon a unanimous vote of all voting members
of the Town Board, but there must be at least four affirmative votes.
All members must reside in the Town of Queensbury. After written notice
and opportunity to reply, any member may be removed by unanimous vote
of the Town Board for substantial neglect of duty, gross misconduct
in office, inability to discharge the powers or duties of office or
violation of this chapter.
(2)
A Chairperson of the Ethics Board shall be elected
by the majority vote of the members at the Board's first meeting and
annually thereafter at a meeting to be held in January. Three members
shall constitute a quorum. Members shall be appointed for a term of
four years; provided, however, that two of the original appointees
shall be appointed for an initial term of two years. Vacancies on
the Board shall be filled by appointment by unanimous vote of the
Town Board for the unexpired term of the former member. The members
of the Ethics Board will not be compensated but will be reimbursed
for reasonable expenses incurred in the performance of their duties.
(3)
Criteria for Ethics Board members. To assure an impartial
and dispassionate membership:
(a)
No member of the Ethics Board shall:
[1]
Have any direct or substantial financial interest
in any work or business or official action by the Town.
[2]
Have, in the past two years, been a candidate
for public office in a Town of Queensbury election.
[3]
Currently hold office in any political party
committee.
[4]
Have an immediate family relationship with a
Town employee.
(b)
The Town Board seeks a diverse group of Ethics Board
candidates who:
[1]
Combine a broad spectrum of background, experience
and expertise to be able to fairly assess the multitude and variety
of ethics issues typically brought before them.
[2]
Have the ability and willingness to recognize
and disregard politically motivated petitions, as opposed to genuine
ethical concerns, and render objective and independent decisions.
[3]
Are without potential conflicts and where officials
who seek advice about their own conduct can readily turn to the Board
knowing that in doing so they are not revealing confidences to partisan
opponents.
[1]
Editor's Note: This local law also stated
that it was intended to supersede the provision of New York General
Municipal Law § 808, Subdivision 3, which requires that
a local Board of Ethics established by the governing body of any municipality
other than a county shall include at least one member who is an elected
or appointed municipal officer or employee.
C.
Review procedures.
(1)
The Ethics Board shall receive and review written
complaints of alleged unethical behavior on the part of any Town officer
or employee. Complaints may be made by any individual and must be
signed and contain the name and address of the person making the complaint.
Within 30 days of receipt of a written complaint, the Ethics Board
shall notify the affected person by certified mail of the alleged
impropriety and offer him/her the opportunity to appear before the
Ethics Board and/or submit a written response to the Board. In addition,
the affected person may request that the person making the complaint
be required to appear before the Ethics Board at the same time as
the affected person. If the person making the complaint refuses or
fails to appear, the complaint may be dismissed. All proceedings of
the Ethics Board shall be closed to the public.
(2)
If, after its initial review of the complaint and
the response of the person affected, the Board finds that the complaint
appears to have some merit, it may require the affected person to
submit a financial disclosure statement in the form then approved
by the Town Board. Such financial disclosure statement shall be reviewed
confidentially by the Ethics Board. Seven years after the Board has
made its final determination regarding the alleged impropriety, the
financial disclosure statement shall be returned to the affected person
if requested or otherwise shall be destroyed in a manner that maintains
its confidentiality.
(3)
If the Ethics Board determines that unethical behavior
has occurred, it may recommend to the affected person a manner in
which the impropriety may be rectified. An affidavit by the official
or employee detailing his/her compliance with such recommendation
may be sufficient to enable the Ethics Board to forgo any further
measures.
(4)
If the Ethics Board determines that unethical behavior
has occurred and that the impropriety cannot be rectified or the official
or employee fails to comply with the Board's recommendations for rectifying
the impropriety, the Board shall file with the Town Board a summary
of the complaint, the Board's preliminary determination, any responses
received from the person making the complaint and/or the affected
Town official or employee and the Board's final recommendation. A
copy of this report shall also be mailed to the person making the
complaint and the affected Town official or employee. If the Town
Board agrees with the Ethics Board's determination, the Town Board
shall then determine what penalty, if any, to be imposed.
(5)
If the Ethics Board or Town Board determines that
no ethical violation has occurred, then it shall so notify the affected
Town official or employee and the person making the complaint and
the proceeding shall be deemed closed.
Nothing herein shall be deemed to bar or prevent
the timely filing by a present or former officer or employee of a
claim, account, demand or suit against the Town of Queensbury or any
agency thereof on behalf of himself or any member of his family arising
out of any personal injury or property damage or for any lawful benefit
authorized or permitted by law.
[Amended 5-7-2007 by L.L. No. 1-2007]
The Supervisor of the Town of Queensbury shall
cause a copy of this Code of Ethics to be distributed to every officer,
employee and consultant of the Town within 10 days after the effective
date of this chapter. Each officer and employee elected or appointed
thereafter shall be furnished a copy before entering upon the duties
of his/her office or employment. The Town Clerk shall obtain each
officer's and each employee's and each consultant's signature acknowledging
receipt of this Code. Failure to distribute any such copy or failure
of any officer, employee or consultant to receive such copy shall
have no effect on the duty of compliance with such Code nor the enforcement
of the provisions thereof.
In addition to any penalty contained in any
other provision of law, any person who shall knowingly and intentionally
violate any of the provisions of this Code may be fined, suspended
or removed from office or employment, as the case may be, in the manner
provided by law.
