HomeMy WebLinkAboutTown Board Charges/DutiesELIZABETH NEVILLE
TOWN CLERK
REGISTRAR OF VITAL STATISTICS
MARRIAGE OFFICER
RECORDS MANAGEMENT OFFICER
FREEDOM OF INFORMATION OFFICER
Town Hall, 53095 i~ain Road
PO Box 1 I79
Southold, NY 11971
Fax (631) 765-6145
Telephone: (631) 765 - 1800
southoldtown.northfork.net
RESOLUTION # 2006-221
Resolution ID: 1609
Meeting: 02/14/06 07:30 PM
Department: Town Clerk
Category: Enact Local Law
THIS IS TO CERTIFY THAT THE FOLLOWING RESOLUTION NO. 2006-221 WAS ADOPTED AT
THE REGULAR MEETING OF THE SOUTHOLD TOWN BOARD ON FEBRUARY 14, 2006:
WHEREAS there has been presented to the Town Board of the Town of Southold, Suffolk County, New York
on the 17th day of January, 2006, a Local Law entitled "A Local Law in Relation to the Number of Members of
the Ethics Board", and
WHEREAS the Town Board of the Town of Southold held a public heating on the aforesaid Local Law at
which time all interested persons will be given an opportunity to be heard, now therefor be it
~RESOLVED that the Town Board of the Town of Southold hereby ENACTS the Local Law entitled "A
Local Law in Relation to the Number of Members of the Ethics Board"~ which reads as follows:
II.
III.
Local Law No. 3 of 2006
Purpose- The purpose of this Local Law is to increase the number of members on the Town Ethics Board
from three to five, in order to provide increased efficiency and broader participation on the Board.
Chapter 10 of the Code of the Town of Southold is hereby amended as follows: § 10-19. Establishment of Ethics Board.
A. A Southold Town Ethics Board of~ five (5) persons shall be appointed by the Town
Board. The Ethics Board may establish rules for its own operations, which shall be available to the
public, but whether included or not, the following procedures shall pertain to its activities:
C. Term of office. The term of office of Ethics Board members appointed after January 2006 shall
be ~ five (5) years, expiring on tgeeqmabe~ March 31, except that upon initial appointment, one
(1) member shall have a term of one~ three (3) year_s, another shall have a term of .... ~j four (4)
years and the other a term of~five (5) years, respectively.
Severability. If any section or subsection, paragraph, clause, phrase or provision of this law shall be
adjudged invalid or held unconstitutional by any court of competent jurisdiction, any judgment made
IV.
thereby shall not affect the validity of this law as a whole or any part thereof other than the part or
provision so adjudged to be invalid or unconstitutional.
This Local Law shall take effect immediately upon filing with the Secretary of State.
Elizabeth A. Neville
Southold Town Clerk
Page 2
[HISTORY: Adopted by the Town Board of the Town of Southold 2-7-1995 as L.L. No.
2-1995.EN(1) Amendments noted where applicable.]
GENERAL REFERENCES
Assessors - See Ch. 4.
Police Department -- See Ch. 18.
ARTICLE I, General Provisions
§ 10-1. Legislative intent.
The purpose of this chapter is to establish minimum standards of ethical conduct for town
officers and employees, to help ensure that the business of government is flee fi:om improper
influence that may result fi:om oppommJties for private gain. At the same time, it is recognized
that public service cannot require a complete divesting of all proprietary interest nor impose
overly burdensome disclosure requirements, if local governments are to attract and hold
competent administrators. Although the assurance of ethical conduct will continue to rest
primarily on the personal integrity of the officers and employees themselves, on the commitment
of elected and appointed officials and on the vigilance of their communities, the establishment of
the standards and guidelines set forth in this chapter is an additional step toward providing the
highest caliber of public administration for local governments and increased confidence in public
officials. By requiring public armual disclosure of interests that may influence or be perceived to
influence the actions of public officials, this chapter is intended to facilitate consideration of
potential problems before they arise, to minimize unwarranted suspicion and to enhance the
accountability of government to the people.
§ 10-2. Definitions.
Unless otherwise stated or unless the context othenvise requires, when used in this chapter the
terms herein shall have the meanings indicated:
APPEAR and APPEAR BEFORE -- Communicating in any form including, without limitation,
personally, through another person, by letter or by telephone.
CUSTOMER or CLIENT:
A. Any person to whom a town officer or employee has supplied goods or services during the
previous twelve (12) months having, in the aggregate, a value greater than one thousand
dollars ($1,000.).
B. Any person to whom a town officer's or employee's outside employer or business has
supplied goods or services daring the previous twelve (12) mouths having, in the aggregate, a
value greater than one thousand dollars ($1,000.) but only if the officer or employee knows or
has mason to know the outside employer or business supplied the goods or services.
GIFT and FINANCIAL BENEFIT -- Money, services, licenses, permits, contracts,
authorizations, loans, travel, entertainment, hospitality, career advancement or any promise
thereof or any other gratuity or promise thereof. A financial transaction may be a "financial
benefit" but shall not be a "gift" unless it is on terms not available to the general public. "Gift"
and "financial benefit" do not include campaign contributions author/zed by law.
IMMEDIATE FAMILY MEMBER -- A spouse or any person claimed as a dependent in the
town officer's or employee's latest individual state income tax return. [Added 4-2-1996 by L.L.
No. 2-1996]
OUTSIDE EMPLOYER or BUSINESS:
A. Any activity, other than services to the town, from which the town officer, employee or
household member receives compensation for services rendered or goods sold or produced.
B. Any entity, other than the town, of which the town officer, employee or household member is
a member, officer or employee and from which he or she receives compensation for services
rendered or goods sold or produced.
C. Any entity in which the town officer, employee or household member has an ownership
interest, except a corporation of which the town officer or employee owns less than five
percent (5%) of the outstanding stock.
D. For purposes of this definition, "compensation" shall not include reimbursement for
necessary expenses, including travel expenses.
PERSON -- Both individuals and entities.
RELATIVE -- A spouse, domestic partner, child, stepchild, brother, sister or parent of the town
officer or employee or a person claimed as a dependent on the town officer's or employee's latest
individual state income tax return.
SUBORDINATE OF A TOWN OFFICER OR EMPLOYEE -- Another town officer or
employee over whose activities he or she has direction, supervision or control, except those who
serve in positions that are in the exempt classification or the unclassified service under the Civil
Service Law.
TOWN OFFICER OR EMPLOYEE -- Any officer or employee of the town, whether paid or
unpaid, and includes, without limitation, all members of any office, board, body, advisory board,
department, district or committee of the town. "Town officer or employee" shall not include:
A. A judge, justice, officer or employee of the unified court system.
B. A volunteer firefighter or civil defense volunteer.
C. A member of an advisory board of the town if, but only if, the advisory board has no
authority to implement its recommendations or to act on behalf of the town or to restrict the
authority of the town to act. This shall not include the Ethics Committee.
ARTICLE II, Rules of Conduct
§ 10-3. Goal.
Town officials and employees must exercise their official duties solely in the public interest and
must avoid conflicts of interest or the appearance of conflicts of interests to the greatest extent
possible.
§ 10-4. Avoidance of conflicts.
Town officers and employees shall not knowingly acquire, solicit, negotiate for or accept any
interest, employment or other thing of value which would put them in violation of this Code of
Ethics.
§ 10-5. General prohibition.
A town officer or employee shall not use his or her official position or office, or take or fail to
take any action, in a manner which he or she knows or has reason to know may result in
compensation for any of the following persons:
A. The town officer or employee.
B. His or her outside employer or business or that of a member of his or her household.
C. A member of his or her household.
D. A customer or client.
E. A relative.
§ 10-6. Recusal.
A town officer or employee shall promptly reeuse himself or herself fi'om voting, advising or
otherwise taking discretionary action on a matter before the town when acting on the matter or
failing to act on the matter may financially benefit any of the persons listed in § 10-5 of this
chapter.
§ 10-7. Recusal procedure.
Whenever a town officer or employee is required to recusc himself or herself under this Code of
Ethics:
A. He or she shall promptly inform his or her superior, if any.
B. A member ora board shall state the general nature and extent of the conflict of interest upon
the public record of the board.
C. He or she shall immediately refrain from participating further in the matter.
§ 10-8. Gifts.
No town official or employee or member of any official or employee's family shall, directly or
indirectly, solicit, accept or receive any gift under circumstances fi'om which it could reasonably
be inferred that the gift was intended 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.
§ 10-9. Representation.
A town officer or employee shall not represent any other person in any matter that said person
has before the town nor represent any other person in any matter against the interest of the town.
§ 10-10. Appearances. [Amended 2-3-2004 by L.L. No. 5-2004]
A Town officer or employee or any relative (as defined in § 10-2) of a Town Board member
shall not appear before or exert influence over any board or department of the Town, except on
his or her own behalf or on behalf of the Town.
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§ 10-11. Confidential information.
Town officers and employees and former Town officers and employees shall not disclose any
confidential information or use it to further anyone's personal interests.
§ 10-12. Political solicitation.
A Town officer or employee shall not knowingly request, or knowingly authorize anyone else to
request, any subordinate of the officer or employee to participate in any election campaign or
contribute to a political committee.
§ 10-12A. Restriction on elected official or member of board. [Added 2-3-2004 by L.L. No.
5-2004E1~(2)]
No elected official or member of the Town Board, Planning Board, Zoning Board of Appeals,
Board of Ethics, Board of Assessment Review or the Town Attorney shall be a committeeman or
committeewoman, alternate committeeperson, or the officer of a political party.
§ 10-13. Revolving door. [Amended 2-3-2004 by L.L. No. 5-2004[
A Town officer or employee shall not appear or practice before the Town as to particular
matters on which the Town officer or employee personally worked while in Town service, unless
acting in response to a request by the appropriate official for the sole purpose of providing
information. A Town officer or employee shall not appear or practice before the board or
department in which he or she previously served, except on his or her own behalf, for a period of
two years after the termination of his or her municipal service or employment. Nothing herein
shall prohibit the Town itself from retaining the services of a former Town officer or employee or
a firm or corporation in which such former Town officer or employee currently is employed.
§ 10-14. Inducement of others and bribery.
A town officer or employee shall not induce or aid another officer or employee of the town to
violate any of thc provisions of this Code of Ethics.
§ 10-15. Exclusion from Code of Ethics.
The provisions of Article II shall not prohibit or require recusal as a result of the following:
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A. An action specifically authorized by statute, rule or regulation of the Town of Southold, the
State of New York or of the United States.
B. A ministerial act.
C. Gifts:
(1) Received by the town officer or employee fi.om his or her parent, spouse or child.
(2) Having an aggregate value of five hundred dollars ($500.) or less during any
twelve-month period.
(3) Accepted on behalf of the town and transferred to the town.
D. Gifts or benefits having a value of one hundred dollars ($100.) or less that are received by a
town officer or employee listed in § 11 of the Domestic Relations Law for the solemnization
of a marriage by that officer or employee at a place other than his or her normal place of
business or at a time other than his or her normal hours of business.
E. Awards from charitable organizations.
F. Receipt of town services or benefits or use of town facilities that are generally available on
the same terms and conditions to residents or a class of residents in the town.
G. Representation of constituents by elected officials without compensation in matters of public
advocacy.
ARTICLE III, Disclosure Requirements
§ 10-16. Annual disclosure.
A. Officers and employees required to file. The following classes of officers and employees of a
town shall be required to file a signed annual disclosure statement:
(1) Officers and employees who are elected.
(2) The heads of departments and their deputies and other persons authorized to act on their
behalf.
(3) Officers and employees who hold policy-making positions, including members of the
boards of thc town.
(4) Officers and employees whose job descriptions or actual duties involve the negotiation,
authorization or approval of nonministerial permits or licenses or variances.
B. Time and place for filing. Annual disclosure statements shall be filed with the town's Ethics
Board:
(1) Within one hundred twenty (120) days after the effective date of this section.
(2) Within thirty (30) days after becoming subject to the requirements of Subsection A of
this section.
(3) No later than May 15 of each year thereafter.
C. Changes in disclosed information. Within thirty (30) days after a change in the information
contained in his or her most recently filed annual disclosure statement, an officer or employee
shall file a signed amendment to the statement indicating the change.
D. Contents ofaunual disclosure statement. The annual disclosure statement shall:
(1)
(2)
Disclose, with respect to any office, trusteeship, directorship, partnership or other
position held in a business, association, proprietary or not-for-profit association,
proprietary or not-for-profit association held by a town officer, employee or immediate
family member, the nature of the position and the name and address of the organization.
[Amended 4-2-1996 by L.L. No. 2-1996]
Give the title of the position and the name and address of any employer of the officer,
employee or spouse which is a source of income in excess of five hundred dollars
($500.).
(3)
Describe the nature and location of any real property or investments within the town, or
within one (1) mile of the boundary of the town, in which the officer, employee or
immediate family member has a financial interest. [Amended 4-2-1996 by L.L. No.
2-1996]
(4)
(5)
(6)
Identify each interest in a trust, estate or similar beneficial interest (except for IRS
eligible retirement plans) in which the officer, employee or immediate family member
has an investment in excess of two thousand dollars ($2,000.). [Amended 4-2-1996 by
L.L. No. 2-1996]
List the name and address of donors of all gifts received by the officer, employee or
immediate family member excluding gifts from a relative, which have an estimated
value in excess of five hundred dollars ($500.). [Amended 4-2-1996 by L.L. No. 2-1996]
Identify the name, address and general nature of reimbursement for travel expenses in
excess of two hundred fifty dollars ($250.) for any matter that relates to your official
duties.
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(7) Describe any interest the officer, employee or immediate family member has in any
contract involving the town. [Amended 4-2-1996 by L.L. No. 2-1996]
(8) Identify the name and address of any person to whom the officer, employee or spouse
owes a debt in excess of five thousand dollars ($5,000.).
E. Good-faith efforts. Failure to disclose the information required by this section with respect to
town officer's or employee's spouse or other relative shall not constitute a violation of that
subsection if the officer or employee has made a good-faith effort to obtain the information
and if he or she also sets forth those efforts in his or her disclosure statement.
§ 10-17. Designation of officers and employees required to file annual disclosure
statements.
A. Within ninety (90) days after the effective date of this chapter, and during the month of
March each year thereafter, the Town Board of the Town of Southold shall:
(1) Cause to be filed with the town's Ethics Board a list of names and offices or positions of
all officers and employees of the town required to file annual disclosure statements
pursuant to this chapter.
(2) Notify all such officers and employees of their obligation to file an annual disclosure
statement.
§ 10-18. Maintenance of disclosure statements, f
A. The Town Clerk shall transmit promptly to the Ethics Board each annual disclosure statement
filed with the Clerk pursuant to this chapter.
B. The Ethics Board shall index and maintain on file, for at least seven (7) years, all annual
disclosure statements filed with the Board.
§ 10-18.1. Applicant disclosure. [Added 9-30-1997 by L.L. No. 24-1997]
Where a person requests a municipality or a municipal officer or employee to take or fail to take
any action (other than a ministerial act) that may result in a financial benefit to the requestor, the
requestor shall disclose the names of any town officer or employee who might have a financial
interest in the application, to the extent known to the requestor at the time of the request. The
disclosure shall be set forth in writing and accompany the application.
ARTICLE IV, Ethics Board
§ 10-19. Establishment of Ethics Board.
A. A Southold Town Ethics Board of three (3) persons shall be appointed by the Town Board.
The Ethics Board may establish rules for its own operations, which shall be available to the
public, but whether included or not, the following procedures shall pertain to its activities:
(1)
The Ethics Board shall state, in writing, the disposition of every request for opinion and
every investigation it conducts and the reasons for the disposition. All such statements
and written requests shall be kept on file.
(2)
The Town Board shall make available to the Ethics Board such meeting space, clerical
support and expense reimbursement as the Town Board, in its discretion and consistent
with budgetary constraints, deems advisable.
B. Appointment and removal.
(1) Members of the Ethics Board shall be appointed by the Town Board of the Town of
Southold and may be nominated by any member of the public. They shall serve without
compensation.
(2) Ethics Board members may be removed by the Town Board for reasons of gross
misconduct, substantial neglect of duty or inability to perform the duties of office or
failure to meet qualifications listed in Subsection D hereof.
C. Term of office. The term of office of Ethics Board members shall be three (3) years, expiring
on December 31, except that upon initial appointment, one (1) member shall have a term of
one (1) year, another shall have a term of two (2) years and the other a term of three (3) years,
respectively.
D. Qualifications.
(1)
(2)
From the period of twelve (12) months prior to appointment and throughout his or her
term of office, no Ethics Board member or member of his or her family shall hold any
elected or appointed office or employment with the Town of Southold except as a
member of a citizens' advisory board.
From the period of twelve (12) months prior to appointment and throughout his or her
term in office, no Ethics Board member shall be a party to any proceedings before the
town, other than judicial proceedings, or have business dealings with the town other than
routine requests such as applications for building permits, certificates of occupancy,
9
marriage licenses or other similar matters.
(3) Members of the Ethics Board shall be subject to the provisions of this law, including the
annual disclosure statement.
(4) Members of the Ethics Board shall be provided with legal defense and indemnification
equivalent to members of the Town Board.
§ 10-20. Powers of the Ethics Board.
The Ethics Board has the power to review the annual disclosure statements; to review annually
this Code of Ethics and recommend to the Town Board any changes which it deems appropriate;
to render advisory opinions on any matter of ethical conduct of town officials and employees, at
the written request of any Town Board, official, employee or private citizen; to conduct
investigations or to refer cases to the Town Board, District Attorney or Town Attorney for
consideration of appropriate criminal prosecution; or to seek civil relief to compel compliance
with this law.
§ 10-21. Investigation procedures.
A. Upon receipt of a sworn complaint by any person alleging a violation of this chapter or upon
determining on its own initiative that a violation of the chapter may exist, the Ethics Board
shall have the power and duty to conduct any investigation necessary to carry out the
provisions of this chapter. In conducting any such investigation, the Ethics Board may
administer oaths or affirmations, subpoena witnesses, compel their attendance and require the
production of any books or records which it may deem relevant and material.
B. The Ethics Board shall state, in writing, the disposition of every sworn complaint it receives
and of every investigation it conducts and shall set forth the reasons for the disposition. All
such statements and all sworn complaints shall be indexed and maintained on file by the
Board and shall be submitted to the Town Board for its consideration and or action.
C. Any person filing a sworn complaint with the Ethics Board shall be notified in writing of the
disposition of the complaint.
D. The termination of a town officer's or employee's term of office or employment with the town
shall not affect the jurisdiction of the Town's Ethics Board with respect to the requirements
imposed by this chapter or by the town's Ethics Code, if any, on the former officer or
employee.
§ 10-22. Review of lists and disclosure statements.
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A. The Ethics Board shall review:
(1) The annual disclosure statement of the designated officers and employees to determine
whether the lists are complete and accurate.
(2) All annual disclosure statements to determine whether any person required to file such a
statement has failed to file it, has filed a deficient statement or has filed a statement that
reveals a possible or potential violation of the chapter or the local Ethics Code, if any.
B. If the Board determines that an annual disclosure statement is deficient or reveals a possible
or potential violation of this chapter, the Board shall notify the person, in writing, of the
deficiency or possible or potential violation and of the penalties for failure to comply with
this chapter or the local Ethics Code.
§ 10-23. Public inspection of Ethics Board records.
A. Notwithstanding the provisions of Article 6 of the Public Officers Law, the only records of
the Ethics Board which shall be available for public inspection are:
(1) Annual disclosure statement lists filed pursuant to this chapter.
(2) Lists of officers and employees required to file annual disclosure statements.
(3) Rules and regulations of the Ethics Board.
(4) Final disposition of an investigation by the Ethics Board.
(5) Advisory opinions, provided that information identifying the persons requesting the
opinion is deleted from the copy made available for public inspection.
(6) Educational materials, annual reports and local ethics acts.
ARTICLE V, Penalties
§ 10-24. Penalties for offenses.
A. Disciplinary action. Any town officer or employee who engages in any action that violates
any provision of this chapter may be wamed or reprimanded, or suspended or removed fi'om
office or employment, or be subject to any other sanction authorized by law or collective
bargaining agreement, by the Town Board or person or body authorized by law to impose
such sanctions. A warning, reprimand, suspension, removal or other authorized sanction may
be imposed in addition to any other penalty contained in this chapter or in any other provision
11
of law.
B. Civil fine. Any town officer or employee who knowingly violates any provision of this
chapter may be subject to a civil penalty, including a fine not to exceed one thousand dollars
($1,000.). In addition, a violator may be subject to a civil forfeiture to the town of a sum
equal to three (3) times the value of any financial benefit he or she received as a result of the
conduct that constituted the violation.
C. Damages. Any person, whether or not a town officer or employee, who violates any provision
of this chapter shall be liable in damages to the town for any losses or increased costs
incurred by the town as a result of the violation. Such damages may be imposed in addition to
any other penalty contained in any other provision of law or in this chapter, other than a civil
forfeiture.
D. Misdemeanor. Any person, whether or not a town officer or employee, who intentionally or
knowingly violates any provision of this chapter shall be guilty of a Class A misdemeanor.
§ 10-25. Voidable contracts.
Any contract or agreement entered into by or with the town which results in or from a violation
of any provision of this chapter shall be voidable by the governing body of the town. Such
ratification shall not affect the imposition of any criminal or civil penalties pursuant to this
chapter or any other provision of law.
§ 10-26. Debarment.
A. Any person, who intentionally or knowingly violates or induces a town officer or employee to
violate any provision of this chapter shall be prohibited from entering into any contract with
the town for a period of five (5) years from discovery of the violation.
B. No person, whether or not a town officer or employee, shall enter into a contract in violation
of the bar imposed above.
C. Nothing in this section shall be construed to prohibit any person from receiving a service or
benefit, or from using a facility, which is generally available to the public.
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Endnotes
1 (Popup)
Editor's Note: This local law also repealed former Ch. 10, Ethics, Code of, adopted 6-30-1970, as
amended. This local law provided an effective date of 4-4-1995.
2 (Popup)
Editor's Note: This local law also provided that: "compliance with § 10-12A shall be completed
60 days fi.om the effective date of this local law."
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