HomeMy WebLinkAboutLL-1995 #02LOCAL LAW NO. 2, 1995
A Local Law in Relation to the Code of Ethics
BE IT ENACTED, by the Town Board Of the Town of Southold as follows:
Chapter 10 (Code of Ethics) of the Code of the Town of Southold is
hereby deleted in its entirety and a new Chapter 10 (Code of Ethics) is
hereby adopted to read as follows:
1. ARTICLE I (GENERAL) is hereby adopted to read as follows:
§ 10-10
(Legislative Intent). The purpose of this act is to
establish minimum standards of ethical conduct for Town officers
and employees to help ensure that the business of government is
free from improper influence that may result from opportunities
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 aye 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 annual 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.
§ 10-11 (Definitions).
Unless otherwise stated or unless the context otherwise requires,
when used in this article:
Appear and Appear Before - shall mean communicating
in any form, including, without limitation, personally, through
another person, by letter, or by telephone,
Customer or Client means (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 $1,000 or (b) any person to whom a Town
officer's or employee's outside employer or business has
supplied goods or services during the previous twelve (12)
months having, in the aggregate, a value greater than $1,000
but only if the officer or employee knows or has reason to know
the outside employer or business supplied the goods or services,
Co
Gift and Financial Benefit - shall include 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 authorized by law.
Town Officer or Employee means 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:
(1) A judge, justice, officer, or employee of the unified court
system;
(2) A volunteer firefighter or civil defense volunteer; or
(3) 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.
E. Outside Employer or Business means:
(1)
(3)
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;
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; or
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 of the outstanding stock.
(4) For purposes of this definition, Compensation shall
not include reimbursement for necessary expenses,
including travel expenses.
Person - shall include both individuals and entities.
Relative - means a spouse, domestic partner, child,
step-child, 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.
2
§ 10-20
§ 10-21
§ 10-22
§ 10-23
§ 10-24
Subordinate of a Town officer or employee shall mean
another Town officer or employee over whose actlvlties 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.
ARTICLE II (RULES OF CONDUCT) is hereby adopted to read as
follows:
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.
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.
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) ^ customer or client;
(E) A relative.
Recusal. A Town officer or employee shall promptly recuse
himself or herself from 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 § 10-22 of this Chapter.
Recusal Procedure. 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 superior, if any,
(B) A member of a board shall state the general nature and
extent of the conflict of interest upon the public record
of the board, and
3
§ 10-25
§ 10-26
§ 10-27
§ 10-28
§ 10-29
§ 10-30
§ 10-31
§ 10-33
(C) Shall immediately refrain from participating further in
the matter.
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 from
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.
Representation. A Town officer or employee shall not
represent any other person in any matter that person has before
the Town nor represent any other person in any matter against
the interest of the Town.
Appearances. A Town officer or employee 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.
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.
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.
Revolving Door. 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 one year after the termination of his or her municipal
service or employment.
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 the provisions of this code of
ethics.
Exclusion From Code of Ethics. The provisions of
Article II shall not prohibit, or require recusal as a result of
the following:
An action specifically authorized by statute, rule, or
regulation of the Town of Southold, the State of New York
or of the United States.
§ 10-~0
A.
Bo
ARTICLE
read
A ministerial act.
Gifts
(1) Received by the Town officer or employee from his or
her parent, spouse, or child; or
(2) Having an aggregate value of $500.00 or less during
any twelve-month period; or
(3) Accepted on behalf of the Town and transferred to the
Town.
Gifts or benefits having a value of $100 or less that are
received by a Town officer or employee listed in Section 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.
Awards from charitable organizations.
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
Representation of constituents by elected officials without
compensation in matters of public advocacy.
III (DISCLOSURE REQUIREMENTS) is hereby adopted to
as follows:
Annual Disclosure.
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 the Town;
Officers and employees whose job descriptions or actual
duties involve the negotiation, authorization, or approval
of nonministerJal permits or licenses or variances.
Time and place for filing. Annual disclosure statements shall
be filed with the Town's ethics board:
(1) Within 120 days after the effective date of this section;
(2) Within 30 days after becoming subject to the requirements
of subdivision A of this section; and
(3) No later than May 15 of each year thereafter.
Changes in disclosed information. Within 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.
Contents of annual disclosure statement. The annual disclosure
statement shall disclose:
(1) With respect to any office, trusteeship, directorship,
partnership, or other position held in a business, association,
proprietary or not-for-profit association held by a Town
officer, employee, or spouse, the nature of the position and the
name and address of the organization shall be disclosed.
(2) 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 $500.00.
(3) Describe the nature and location of any real property or
investments within the Town, or within one mile of the boundary
of the Town, in which the officer, employee, or spouse has a
financial interest.
(~) Identify each interest in a trust, estate or similar
beneficial interest (except for IRS eligible retirement plans)
in which the officer, employee or spouse has an investment in
excess of $2000.
(5) List the name and address of donors of all gifts received
by the officer, employee or spouse, excluding gifts from a
relative, which have an estimated value in excess of $500.00..
(6) Identify the name, address and general nature of
reimbursement for travel expenses in excess of $250 for any
matter that relates to your official duties.
(7) Describe any interest the officer, employee, or spouse has
in any contract involving the Town.
(8)
Identify the name and address of any person to whom the
officer, employee or spouse owes a debt in excess
$5.000.00.
of
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 subdivision 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.
6
§ 10-41
§ 10-~2
A.
Designation of Officers and Employees Required to
File Annual Disclosure Statements.
Within 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:
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; and
(2) Notify all such officers and employees of their
obligation to file an annual disclosure statement.
Maintenance of Disclosure Statements.
The Town Clerk shall transmit promptly to the Ethics Board
each annual disclosure statement filed with the Clerk pursuant
to this Chapter.
§ 10-50
A.
The Ethics Board shall index and maintain on file for at least
seven years all annual disclosure statement filed with the Board.
ARTICLE IV (ETHICS BOARD) is hereby adopted to read as
follows:
Establishment of Ethics Board.
A Southold Town Ethics Board of three 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.
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
(c)
duty, or inability to perform the duties of office, or
failure to meet qualifications listed in subsection D
hereof.
Term of office. The term of office of Ethics Board members
shall be three years expiring on December 31st, except that
upon initial appointment, one member shall have a term of one
year, another shall have a term of two years and the other a
term of three years respectively.
(D) Qualifications.
(1)
From the period of 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.
(2)
From the period of 12 months prior to appointment and
throughout his or her term in office, no Ethics Board
member shall be a party to any proceeding 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, 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.
Members of the Ethics Board shall be provided with legal
defense and indemnification equivalent to members of the
Town Board.
10-51 Powers of the Ethics Board.
A. 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.
§ 10-52 Investigation Procedures.
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
§ 10-53
A.
§ 10-54
A.
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.
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.
Any person filing a sworn complaint with the Ethics Board shall
be notified in writing of the disposition of the complaint.
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.
Review of Lists and Disclosure Statements.
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.
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.
Public Inspection of Ethics Board Records.
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 statements list filed pursuant to this
chapter;
(2) Lists of officers and employees required to file annual
disclosure statements;
9
§ 10-60
A.
(3) Rules and regulations of the Ethics Board;
(4) Final disposition of an investigation by the Ethics
Board;
(s)
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) is hereby adopted to read as follows:
§ 10-61
Penalties.
Disciplinary Action. Any Town officer or employee who
engages in any action that violates any provision of this
Chapter may be warned or reprimanded or suspended or removed
from 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 of law.
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 $1,000. In addition a
violator may be subject to a civil forfeiture to the Town of a
sum equal to three times the value of any financial benefit he
or she received as a result of the conduct that constituted the
violation.
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.
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.
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
§ 10-62 Debarment.
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 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.
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.
II. This Local Law shall take effect April Lt, 1995.
11
NYS DEPARTMENT OF STATE
BUREAU OF STATE RECORDS
162 Washington Avenue
Albany, NY 12231-0001
DATE:
2/15/95
Local Law Acknowledgment
JUDITH T TERRY
TOWN OF SOUTHOLD
TOWN HALL
53095 MAIN ROAD
I-- SOUTHOLD NY 11971
D05-236 (Rev. 6790)
LOCAL2LAW(S) NO. YEAR1995
FILING DATE
2/13/95
The above-referenced material was received
and filed by this office as indicated.
_1
Additional local law filing forms will be
forwarded upon request.
Local Law .Filing
NEW YORK STATE DEPARTMENT OF STATE
I62 WASHINGTON AVENUE, ALBANY, NY 12231
(Use this form to file a local law with the Secretary of State.)
Text of law should be given as amended. Do not include matter being eliminated and do not use
italics or underlining to indicate new matter.
. K~jt x of Southold
Town ..............................................................
Local Law No ...... _2. ............................. of the year,19_9._5___
.. in Relation to the Code of Ethics
A local la ....................
Be It enacted by the Town Board
............... -~ ......................................................................... of the
~ty ~ Southold
Town
....................................................................... as follows:
Chapter lO (Code of Ethics) of the Code of the Town of $outhold is
hereby deleted in
hereby adopted to read as follows:
1. ARTICLE I (GENERAL) is hereby adopted to read as follows:
§ 10-10
DOS-239 (Rev. 7/91
(Legislative Intent). The purpose of this act is to
establish minimum standards of ethical conduct for Town officers
and employees to help ensure that the business of government is
free from improper influence that may result from opportunities
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 annual 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
arrse, to minimize unwarranted suspicion, and to enhance
the accountability of government to the people.
(If additional space is needed, attach pages the same size as this shect, and number each.)
(t)
§ 10-11 (Definitions).
Unless otherwise stated or unless the context otherwise requires,
when used in this article:
Appear and Appear Before - shall mean communicating
in any form, including, without limitation, personally, through
another person, by letter, or by telephone.
Bo
Customer or Client means (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 $1,000 or (b) any person to whom a Town
officer's or employee's outside employer or business has
supplied goods or services during the previous twelve (12)
months having, in the aggregate, a value greater than $1,000
but only if the officer or employee knows or has reason to know
the outside employer or business supplied the goods or services.
Gift and Financial Benefit- shall include 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 nos available to the general
public,. "Gift" and "financial benefit" do not include campaign
contributions authorized by law.
Town Officer or Employee means 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:
(1) A judge, justice, officer, or employee of the unified court
system;
(2) A volunteer flrefighter or civil defense volunteer; or
(3)
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.
E. Outside Employer or Business means:
(1)
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;
(2)
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; or
(3)
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 of the outstanding stock.
(4)
For purposes of this' definition, Compensation shall
not include reimbursement for necessary expenses,
including travel expenses.
F. Person - shall include both individuals and entities..
Relative - means a spouse, domestic partner, child,
step-child, 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 shall mean
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.
ARTICLE II (RULES OF CONDUCT) is hereby adopted to read as
follows:
§ 10-20
§ 10-21
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.
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.
10-22
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;
§ 10-23
10-24
§ 10-25
§ 10-26
§ 10-27
§ 10-28
§ 10-29
(C) A member of his or her household;
(D) A customer or client;
(E) A relative.
Recusal. A Town officer or employee shal promptly recuse
himself or herself from 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 § 10-22 of this Chapter.
Recusal Procedure. 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 superior, if any,
(B) A member of a board shall state the general nature and
extent of the conflict of interest upon the public record
of the board, and
(C) Shall immediately refrain from participating further in
the matter.
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 from
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.
Representation. A Town officer or employee shall not
represent any other person in any matter that person has before
the Town nor represent any other person in any matter against
the interest of the Town.
Appearances. A Town officer or employee 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.
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.
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.
§ 10-30
§ 10-31
§ 10-33
Revolving Door. 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 one year after the termination of his' or her municipal
service or employment.
Inducement of Others and Bribery. A Town officer
or employee sba not induce or aid another Officer or employee
of the Town to violate any of the provisions of this code of
ethics.
Exclusion Fr°m Code of Ethics. The provisions of
Article II shall not prohibit, or require recusal as a result of
the following:
Ao
Eo
Go
An action specifically authorized by statute', rule, or
regulation of the Town of Southold, the State of New York
or of the United States.
A ministerial act.
Gifts
(1) Received by the Town officer or employee from his or
her parent, spouse, or child; or
(2) Having an aggregate value of $500.00 or less during
any twelve-month period; or
(3) Accepted on behalf of the Town and transferred to the
Town.
Gifts or benefits having a value of $100 or less that are
received by a Town officer or employee listed in Section 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.
Awards from charitable organizations.
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.
Representation of constituents by elected officials without
compensation in matters of public advocacy.
3o
ARTICLE III (DISCLOSURE REQUIREMENTS) is hereby adopted to
read as follows:
§ 10-tt0
A.
Bo
Annual Disclosure.
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)
(2)
(3)
Officers and employees who are elected;
The heads of departments and their deputies and other
persons authorized to act on their behalf;
Officers and employees who hold policy making positions.
including members of the boards of the'Town;
Officers and employees whose job descriptions or actual
duties involve the negotiation, authorization, or approval
of nonministerial permits or licenses or variances.
Time and place for filing. Annual-disclosure statements shall
be filed with the Town's ethics board:
(1) Within 120 days after the effective date of this section;
(2) Within 30 days after becoming subject to the requirements
of subdivision A of this section; and
(3) No later than May 15 of each year thereafter.
Changes in disclosed information. Within 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.
Contents of annual disclosure statement. The annual disclosure
statement shall disclose:
(1) With respect to any office, trusteeship, directorship.
partnership, or other position held ,n a business, association.
proprietary or not-for-profit association held by a Town
officer, employee, or spouse, the nature of the position and the
name and address of the organization shall be disclosed.
(2) 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 $500.00.
(3) Describe the nature and location of any real property or.
investments within the Town, or within one mile of the boundary
of the Town, in which the officer, employee, or Spouse has a
financial interest.
(1~) Identify each interest in a trust, estate or similar
beneficial interest (except for IRS eligible retirement plans)
in which the officer, employee or spouse has an investment in
excess of $2000.
(5) List the name and address of donors of all gifts received
by the officer, employee or spouse, excluding gifts from a
relative, which hav~ an estimated value in excess of $500.00.
(6) Identify the name, address and general nature of
reimbursement for travel expenses in excess of $250 for any
matter that relates to your official duties.
(7) Describe any interest the officer, employee, or spouse has
in any contract involving the Town.
(8)
Identify the name and address of any person to whom the
officer, employee or spouse owes a debt in excess
$5,000.00.
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 subdivision 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.
§ 10-41
§ 10-~.2
A.
of
Bo
Designation of Officers and Employees Required to
File Annual Disclosure Statements.
Within 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; and
(2) Notify all such officers and employees of their
obligation to file an annual disclosure statement.
Maintenance of Disclosure Statements.
The Town Clerk shall transmit promptly to the Ethics Board
each annual disclosure statement filed with the Clerk pursuant
to this Chapter,
The Ethics Board shall index and maintain on file for at least
seven years all annual disclosure statement filed with the Board.
ARTICLE IV (ETHICS BOARD) is hereby adopted to read as
roi lows:
§ 10-50 Establishment of Ethics Board.
A Southold Town Ethics Board, of three 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.
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 years expir!ng on December 31st, except that
upon initial appointment, one member shall have a term of one
year, another shall have a term of two years and the other a
term of three years respectively.
(D) Qualifications.
(1)
From the period of 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.
(2)
From the period of 12 months prior to appointment and
throughout his or her term in office, no Ethics Board
member shall be a party to any proceeding 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, marriage licenses, or other similar matters.
10-51
Members of the Ethics Board shall be subject to the
provisions of this law, including the Annual Disclosure
Statement.
Members of the Ethics Board shall be provided with legal
defense and indemnification equivalent to members of the
Town Board.
Powers of the Ethics Board.
A. 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.
§ 10-52
A.
Co
Do
§ 10-53
Investigation Procedures.
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 Ethic~
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.
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 shal be indexed
and maintained on file by the Board, and shall be-submitted to
the Town Board for its consideration and or action.
Any person filing a sworn complaint with the Ethics Board shall
be notified in writing of the disposition of the complaint.
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.
Review of Lists and Disclosure Statements.
A. The Ethics Board shall review:
The annual disclosure statement of the. designated_~ff_icers.
and employees to determine whether the lists are complete
and accurate.
Bo
(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.
If the board determines that an annual ~lisclosure 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.
§ 10-5~
A.
Public Inspection of Ethics Board Records.
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 statements list 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;
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.
5. ARTICLE V (PENALTIES) is hereby adopted to read as follows:
§ 10-60 Penalties.
Disciplinary Action. Any Town officer or employee who
engages in any action that violates any provision of this
Chapter may be warned or reprimanded or suspended or removed
from 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 of law.
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 $1,000. In addition a
violator may be subject to a civil forfeiture to the Town of a
10
sum equal to three times the Value of any financial benefit he
or she received as a result of the conduct that constituted the
violation.
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.
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.
§ 10-61 Voidable Contracts.
Any contract or agreement entered into by or with the Town which
results in or from a violation of any provision of l~his 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.
§ 10-62 Debarment.
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 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.
Nothing in this section shall be construed to prohibit any
person from receiving a service or benefit, or from using a
facility, which's generally available to the public.
II. This Local Law shall take effect April 4, 1995.
11
(Corn plete the certification in the paragraph that applies to the filing of this local law and
strike out that which is not applicable.)
1. (Final adoption by local le~glslative body only.)
I hereby certify that the local law annexed hereto, designated as local law No ..... _2 .............................. of 19~-5-__
of+hc~w n(~B orYa~rd~iLy){Town)(7~ll~ of ...;__S__,o._u..t_h_p_[_d...~___.~ .............................. - ........ .was duly passed by the
--r ...... ~- ..... ; ..................... 2/ .........on ._e_.e_o_~_a__r.¥___/19~_?_., in accordance with the applicable provisions of law.
£Na?ae of £eg~tatlv¢ Bod~)
2~ O~assage by local legislative body with approval, no disapproval or repassage aP, er disapproval
~; ~y the ~le~tive Chief ExeCutive Officer*.)
~,_, ,~ __,,~ .zfiereby certify that the local lawl annexed hereto, designated as local law No .................................... of 19 ......
disapproval) by the .................................................. and was deemed duly adopted on .................. 19 ....,
(Elective Chlef Exe~dve
i6 accordance with the applica6le pr0visio~ of law.
3~ .(Final adoption by referenitum.)
I.;hereby certify that the local laW annexed hereto, designated as local law No .................................... of 19-~ ....
o? ihe (~.ounty)(City)(Town)(Village) of ....... .......................................................... was duly passed by the
;~'r~---~---7 ........ ,- ................ } ............on .................. 19 ...., and was (approved)(not approved)(re added after
I~ ame of Lcglstatlve BodyI P
disapproval) by the: .............. 4- ................................. on ................... 19 ..... Such local law was submitted
(Elective Chle/ Exedutlv¢
t~~ the people by reason of a (mandatory)(permissive) referendum, and received the' affirmative vote of a majority of
t~e!qualified electors voting thereon at th; (general)(special)(annual) election held on .................. 19- ....in
a$cordance with the applicable provisions ~f law.
4. (Subject to permissive referendum and final adoption because no valid petition was filed requesting
~'eferendum.)
I I~e[eby certify that the local law annexed hereto, designated as local law No ................................... of I9 ......
o! the (County)(City)(Town)(Village) of ................................................................. was duly passed by the
~I-:---.----7 ...................................... on .................. 19 ...., and was (approved)(not approved)(repassed after
disapproval) by the ............... ~ ................................. '- on .................. 19 .... Such local law was sub'ect to
; ~ [Elective CflefExec~ive Offzcer*) J
pi~rhissive referendum and no '~alid petition requesting such referendum was filed as of .................. 19--.., in
ad~$rdance with the applicableprovisions of law.
E;lect~ve Chief Executive Officer means or includes the chief executive officer of a count
[, ..... ~ y elected on a county-
w~ge oas~s or~ i~mere t>e none, the chairperson of the county legislative body. the ma or ora c v
~ . . ~. Y ~ty or ilia e or
tt~e supervisor of a town whev~ such officer ~s vested w~th the power to a rove or veto Ioca g '
PP [ laws or ordinances.
(2)
(City local law concerning Charter revision proposed by petition.)
[ hereby certify that the local law annexed hereto, designated as local law No .................................... of 19 ......
of the City of ............................................. having been submitted to referendum pursuant to the provisions of
section (36)(37) of the Municipal Home Rule Law, and having received the affirmative vote of a majority of the
qualified electors of such city voting thereon at the (special)(general) election held on ................... 19 ....,
became operative.
6i (County local law concerning adoption of Charter.)
I hereby certify that the local law annexed,hereto, designated as local law No .................................... of 19 ......
of the County of .................................................... State of New York, having been submitted tothe electors
at the General Election of November ...................... 19 .... , pursuant to subdivisions 5 and 7 of section 33 of the
Municipal Home Rule Law, and having received the affirmative vote of a majority of the qualified electors of the cit-
i6g of said county as a unit and a majority of the qualified electors of the towns of said county considered as a unit
v'~iing at said general election, became operative.
any other authorized form of final adoption has been followed, please provide an appropriate certification.)
I ifurther certify that I have compared the preceding local law with the original on file in this office and that the same
i~ a correct transcript therefrom and of the whole of such original local law, and was finally adopted in the manner in-
dicated in paragraph___}--I ..... , above.
Cler~ the County legislative body, City, To~vn or V~e Cler~
or officer designated by local legislative body ~
Judith T. Terry, Town Clerk
(Seal) Date: February 9, 1995
(~ertification to be executed by County Attorney, Corporation Counsel, Town Attorney, Village Attorney or
'~ther authorized attorney of locality.)
ATEOF NEW YORK
UNTY OF SUFFOLK
Itthe undersigned, hereby certify that the foregoing lqcal law contains the correct text and that all proper proceedings
f~ave been had or taken for the enactment of the loCalsignat!,~ ~C~_~['~w annexed here~~__ ~
Laury L.Dowd, Town Attorney
Title
~ of Southold
Town
Date: February 9, 1995
(3)
IN THE MATTER OF THE
PUBLIC HEARING
SOUTHOLD TOWN BOARD
JANUARY 24, 1995
8:00 P.M
PROPOSED ~LOCAL LAW IN RELATION
TO THF
CODE OF ETHICS"
Present:
Supervisor Thomas H. Wickham
Councilman Joseph J. Lizewski
Councilwoman Alice J. Hussie
Councilwoman Ruth D. Oliva
Councilman Joseph L. Townsend, Jr.
Justice Louisa P. Evans
Town Clerk Judith T. Terry
Town Attorney Laury L. Dowd
SUPERVISOR WICKHAM: We have before us this afternoon two matters for
public hearing, two public hearings. There is allocated up to ten minutes
per person, who wishes to make a comment on these two matters of public
hearing. The first one has to do with a Local Law in Relation to revised
Code of Ethics in the Town of Southold.
JUSTICE EVANS: "Public Notice is hereby given that there has been
presented to the Town Board of the Town of Southold, Suffolk County, New
York, on the 27th day of December, 199z[, a Local Law entitled, "A Local
Law in Relation to the Code of Ethics". Notice is further given that the
Town Board of the Town of Southold will hold a public hearing on the
aforesaid Local Law at the Southold Town Hall, Main Road, Southold, New
York, on the 2U, th day of January, 1995, at 5:00 P.M., at which time all
interested persons will be heard.
This proposed ~Local Law in Relation to the Code of Ethics" deletes
the current Code of Ethics in its entirety and enacts a new Chapter 10,
Code of Ethics, of the Code of the Town of Southold.
(Legislative Intent). The purpose of the Code of Ethics is to establish
minimum standards of ethical conduct for Town officers and employees to
help ensure that the business of government is free from improper influence
that may result from opportunities 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
Pg.2 - PH LL
public administration for local governments and increased confidence in
public officials. By requiring public annual disclosure of interests that
may influence or be perceived to influence the actions of public officials,
the Code of Ethics 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. Articles in the
Code of Ethics provide definitions, rules of conduct, disclosure
requirements, establishment of an Ethics Board and their posers and
investigation procedures, penalties, and the Annual Statement of Financial
Disclosure form which is required to be completed and filed by each Town of
Southold officer or employee, whether paid or unpaid, and includes, without
limitation, all members of any office, board, body, advisory board,
department, district, or committee. Copies of this Local Law are available
in the Office of the Town Clerk to any interested persons during business
hours. Dated: December 27, 199u~. Judith T. Terry, Southold Town
Clerk." I have affidavits here, that it was published in The
Traveler-Watchman, and in The Suffolk Times, and on the Town Clerk's
Bulletin Board. There is no correspondence. Before we take public
comment, I just want to go over a few of the things, the rules of conduct,
that this new Code proposes. The goal being that Town officials and
employees must exercise their official duties solely in the public
interest. They must avoid conflicts of interest, or the appearance of
conflicts of interest to the greatest extent possible. Some of the rules of
conduct include a avoidance of conflicts. Ceneral prohibitions are that
Town office employees 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, that may result in compensation for any of the following
persons, and it lists Town officer or employee, an outside employer or
business of his or hers, a member of his or her household, a customer or
client, a relative. It goes on to talk about when an officer should recuse
of himself or herself, and it talks about gifts, and representation before
the Town, appearances before the Town, and it's various boards,
committees. Confidential information, how it should not be used. Political
solicitation, the revolving door concepts, what happens when she no
longer, an elected official or a Board member, or an employee of the Town.
It talks about inducement of others, and bribery, and then it goes on a
little bit about the exclusion. Obviously actions, specifically authorized
by other laws in the Town of Southold, or the State of New York, of the
United States, will be excluded. Ministerial act will be included. It's
basically aimed at policy level decisions. Cifts under a certain level
would be excluded. The receipt of Town services, that are generally
available to anyone on the same terms, and conditions, are excluded, and
representation of constituents by elected officials without compensation in
matters of public advocacy. There's also disclosure requirements, and
there's a form, which public notice mention that certain people in Town
government would have to fill out. I don't know if anyone else has anything
to add to it.
SUPERVISOR WICKHAM: There are basically four parts to this proposed
law. First is the Code of Ethics, that she described. The second one is a
disclosure provision, whereby officials, and appointed, or elected, are
asked to disclose certain things. The third one provides for the Board of
Ethics, and the last one provides for penalties. Do you have anything on
record of any responses in writing from people?
Pg.3 - PH LL
JUSTICE EVANS: No.
SUPERVISOR WICKHAM: You've heard the pubic notice. It's been duly
advertised, and noted, and notices out there on the paper. You've heard a
brief summary of it. Would anyone in the audience like to address the
Board on any feature of this proposed Code of Ethics that the Board should
take under consideration?
JOHN BREDEMEYER: Good evening, Mr. Supervisor and members of the
Town Board. For the record my name is John Bredemeyer. I reside at u,25
Old Farm Road. Since we're talking about ethics, I guess by disclosure I
should let know that I had previously been a public officer of the Town as
Trustee. I have unemployed as a Town officer for approximately a year, and
a month. I work full-time for the Suffolk County Department of Health
Services, and on occasion I'm asked to enforce certain articles of State and
the Suffolk County State Statutes Code in the Town of Southold. In that
relationship I might find myself using Town bay facilities taking water
samples on the bay, and vicinity. I believe I have no conflicts of
interest, nor do I have any business, or contract relationship with any of
you here present. I would just like to offer some constructive criticism of
this legislation based on my prior service to the town, twenty years as an
enforcement officer with the County, and also, a better part of two years as
a member of the United State Peace Corp, where a similar ethics restrain on
it. First of all, I'm much concerned about the exemptions you had, and also
to explain to me, if you will, section B on page 2. I~m rather concerned
that there seem to be a certain positions, which are not included as an
officer or employee subject to the legislation, and I understand this may be
the result of some rule, or law, or some principle, but it doesn't spell it
out. The question in mind would be that if the person were to be a public
officer, or a person subject to the law, and, also, a fire fighter per se,
aren't really exempt from the provisions of this law. So, I'm not sure
that., the way I read it is, that somebody said we don~t have to bother,
because they are exempt fireman. It doesn't seem to me appropriate, if
that's the case. Now, maybe my interpretation of this section is
inaccurate. Similarly it does seem that a justice in Town courts, or other
officer employed by the court system is out of line here, if they're subject
to some prevailing State law, or other ethics ordinance, that requires the
filing of notification of papers, would seem that the law here should
reference that section, and require that, that paperwork be appended, or
submitted to the town. It seems that we're setting a different standard
here. I~m sure there's other legal ramifications, because you donat want to
have the committee subpoena an officer of the Court. I~m deeply concerned,
and we seem to set a different standard here, that the law of the Town
would be for everyone, but the judges, and the volunteer firemen. As a
former fireman, I don~t think I would ever expect to have been excluded
from the Disclosure Law. It was required during my term in public service.
JUSTICE EVANS: Can I respond to that, just briefly? If your a fireman,
and a Town official, you have to follow this, because you're a Town
official. If you are only the fireman, then you would not have to fill it
out. As far as the Justices go, the Judges, unified court system, you are
under a Judicial Code of Ethics, which probably is more stringent than what
the Code of Ethics is here.
Pg.~ - PH LL
JOHN BREDEMEYER: I accept that, but I believe in principle, that there
should be no exclusion based on an oath to another division. We're talking
about essentially disclosure to the people of the Town. I just believe
that, if the Judges are under some form of written or unwritten requirement
issue, it should be spelled out. Actually we shouldn't be debating this.
It's just my belief, that we're setting difference standards for different
individuals in the community, and it's the wrong example to set to our
young people. Clearly, if Justices have to subscribe something in writing,
it must be available somewhere, and we should either have it located within
the text of this, or have it reside with our Ethics Board. Speciflcally..l"m
just going to keep brief. The revolving door policy, I thing it's
warranted. When I was in the Peace Corp they Would let us serve for
intelligence gathering branches of the Federal government for a period of
two years, and the thing. You're not going to work for the CIA, or the
FBI, for two years. Forget it. I have a problem with our law, as it reads
here, in that it makes the reference in the revolving door section 10, 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 the Town service unless acting in response to a request by the
appropriate official for the sole purpose of providing information. Well,
anyone who has dealt with the subordinate, minor or major, Board, as you
might find yourself an applicant, you mean feel rather major, as you find
yourself an applicant, and may feel major, when trying to get a subdivision
approval, or try to get a Trustee permit, trying to get a zoning variance.
But, these approvals are multi-varied approvals. They involved very
complex State Environmental Quality Review Procedure, and it's not
uncommon for the Boards involved to tell individuals to leave out materials,
or otherwise give up parts on an application, and any person who might
want to come back, and let"s say consult the Boards of the town in the
future, leaves himself very likely to violate the technical aspects of this
law, because simply there are only so many businesses in town, that would
bring in applications, or individuals, and an individual may not have a
recollection of a minor point of one application, which then becomes part of
a new application. I think it would simply be much better to determine an
appropriate time limit, and just state that it, you know, have a revolving
door be based on a strict time limit, and not be business at hand. I just
think it"s unenforceable, and I think it will create a burden that"s
difficult to see, and there is no time limit on that particular section. If
you feel it's enforceable, why don"t you put a limit on it, you know, for a
time period. It would seem that if..I don't think it's appropriate,
personally, if someone comes back in on the main body of the matter that
they dealt with when they were a Board member. I have no objection with
the revolving door, but I'm concerned about enforceability of it. Another
area under the annual disclosure requirements section, I'm concerned that
certain enforcement provisions in the town, such as Bay Constable, or the
Building Inspectors, because the permits that they issue in many cases may
be considered administerial permits, like a shellfish license for example,
may be considered a administerial permit, that any individual can go before
the Town Clerk and get a shellfish permit. ISm very concerned that the
individuals that enforce permits, such as that, would have to disclose that
they're regulating. An example would be, if the Bay Constable would go
out, and be harvesting shellfish on his time off, when he"s also be required
to enforce those ordinances. Those permits are not discretionary permits.
So long as you present yourself with the money, and photograph, and other
Pg.5 - PH LL
affidavit information, the Town Clerk will issue them. So, I~m very
concerned that if the gentleman in the Building Department is going to bang
nails on the weekends for a construction company, or such, or the Bay
Constable is going to go dig some clams, or whatever, at least talk to the
Ethics Board. That basically is all I have to say. I had some concern
about disclosure statements, and basically, I think, the intent of the
ordinance may not be fully met. I think a stronger statement is,
probably..as a civil servant, if I was a designated employee here, or might
have to disclose this, I might feel this is a bit of any invasion of
privacy. I think that what you're asking isn't inappropriate, but I think
maybe under the Freedom of Information Act maybe more of this could be
kept as confidential information under the protection of the Ethics Board,
and only disclose when there was a negative report, or irregularity brought
before the Town Board. I don't think the question are inappropriate. I just
don't think individuals necessarily want to have all their proprietary
information disclosed. We all know that there are individuals, who
unfortunately don't come to public officials with good intent, might harm
their personal property, or otherwise harness them, or not treat them
properly, and I~m not sure we want to have one-stop shopping for those
disinfected individuals, who don~t know how to properly relate to their
public officials. Thank you.
SUPERVISOR WICKHAM: Thank you, Jay. Let me just comment very
briefly on the disclosure thing. Although there is a lot of information in
the disclosure form, there are no monetary requirements of disclosure.
We're not asking people in this to list out how many dollars, or of that
kind, they actually have, or they owe, or interests they have in a company,
and so on. Is there anyone else who would like to address the Board on
the proposed Ethic Code? Yes, sir? Mr. Flynn?
F. M. FLYNN: I'm F.M. Flynn, a resident of Southold, and I'd just Pike
to express my personal opinion as succinctly as possible. I regard this as
yet another example of Feel Good legislation. It lacks the teeth. The good
guys don't need it, and the bad guys won't heed it. Thank you.
SUPERVISOR WICKHAM: That's succinct. Would anyone else like to address
the Board on the proposed Ethics Code? Yes, sir?
GEORGE SULLIVAN: I~m George Sullivan, the Receiver of Taxes for the
Town. I appeared before the Work Session before to give the Board a
couple of comments on the disclosure statement, which I had a little concern
about, and one was that, if it needs to have a date, either a balance sheet
date, as we say in accounting, or a period date. I don't know if the Board
has addressed what I had recommended, and at that last meeting. In other
words, when you see the disclosure statement, and you look at what they're
asking for, you need a reference, after a certain day, or for a period of
time. So I think that's got to be part of the disclosure statement. Okay?
Because it's very confusing to me. I think it would be confusing to people
to say, well, if I meet the numerical criteria, what period of time must
have that been open, prior years, or whatever? So, I think that that's got
to be part and parcel of the final draft of the disclosure statement. On
the establishment of the Ethic Board, who does the Board contemplate as
being members of that Board? Have they given that any thought? The
reason I say that is, that if people are going to review financial
Pg.6 - PH LL
disclosure reports, I think you need people that are familiar with them, can
read the data, and maybe ask the right questions, if theytre unsure if the
reports are complete. I don't know if the Board has given any consideration
to that, as who the members of that Ethics Board should be. The statement
where the Ethics Board may establish rules for it's own operations, that is
a very broad statement. I think we~ve got to be very careful there, that
those rules are drafted very carefully, and monitored by the Board. It also
says, in the Ethics Board, the members of the Ethics Board shall be
subject to a provisions of this law, including the Annual Disclosure
Statement. My question then is, who~s going to review their statements?
Has anyone given that any thought? I think it has to be contemplated, or
else, you know, wetre defeating the purpose I believe. I think there should
be a provision in there, where either a member of the Board, or two
members of the Board.
SUPERVISOR WlCKHAM: Of the Town Board?
GEORGE SULLIVAN: Of the Town Board, would review the disclosure
statements of the Ethic Board. I think there's got to be a check there, if
I~m not mistaken. The next is a legal question, really, where it says, in
conducting an investigation, the Ethics Board may administer oaths or
affirmations, subpoena witnesses, compel their attendance. Does the
adoption of this law grant that Board a subpoena power? Is that a fair
statement to make?
SUPERVISOR WlCKHAM: I don~t think so, but does out Town Attorney want
to comment on this?
TOWN ATTORNEY DOWD: Yes, it does.
CEORCE SULLIVAN: It does grant the Board subpoena power? Okay. The
only other question, I really have is that, if the Board would sit down, and
review an annual disclosure, and find that, at least, an initial judgement
was incomplete, or inaccurate, or whatever, how do they contemplate, or
what is being contemplated that they're going to request from members of
the Board to make that statement accurate. Are we then overreaching into
an area of privacy, that may not contemplated. I just don't know, and
reading through the statement, as you say, you don~t have to give numerical
amounts only if they reach a certain dollar limitation, you have to approve
it. I~m unsure, just reading the draft law, what that particular procedure
should be. I think, it could be a little concerning to most elected
officials where we're going to go with it. So, I think that may be given
some consideration. But, just to summarize, I think you have to take my
suggestion, or similar suggestion as far as the period of time to get that
on the disclosure report, or also it's going to be very confusing.
SUPERVISOR WICKHAM: Thank you, Ceorge.
address the Board? (Tape change.)
Would anyone else like to
HAZEL JEFFCOAT: You have people that are having a very hard time
keeping up with the cost of running a town, and I'm a young resident, and
I'm taking on a lot of things to be able to afford staying in a beautiful
town like this. with people that aren't afraid to say, hello, to the
neighbor next door, that they don't know. It's a rarity, and when you
Pg.7 - PH LL
keep adding laws, and adding laws, and adding laws, many of us, at least
in my group, are expressing a smothering effect, and I would hate to think
that all of these wonderful intentions, that you're creating are only going
to take away the potential of people, like me that would be interested in
becoming a resident. But, I would hope that you consider these times of
trying to keep costs down, that we have enough laws already. If there is
someone out there using his office, it will be found out, and there are
people..we're neighbors. We watch each other. If somebody gets too
abusive, too crazy, something gets done about it, but layer, layer, layer of
these laws are beginning to be not cost effective, and I think that people,
like Mr. VanBourgondien volunteering, people getting back to being
neighbors would really resolve all of these problems of ethics.
SUPERVISOR WICKHAM: Anyone else like to address the Board on the
proposed Ethics Code? (No response.) If not. I declare this hearing closed.
~~. T e ;r~~--
Southold Town Clerk
NOTICE OF
PUBLIC HEARING
ON LOCAL LAW
PUBLIC NOTICE IS
HEREBY GIVEN that there,
has been presented to the To'~
Board of the Town of Southcg~
on the 27th day of Decembg
1994, a Local Law entitled~,~
Loewi Law in Relation to the
Code of Ethics."
NOTICE IS FURTHER
GIVEN that the Town Board
of the Town of Southold will
hold a public hearing on the
aforesaid L?cal Law at the
Southold Town Hall, Main
Road, Southold, New York,on
the 24th day of January,
1995, at 5:00 P.M., at which
time all interested persons will
be
This proposed "Local Law
in Relation to the Code of
Ethics" deletes the current
Code of Ethics in its entirety
and enacts a new Chapter 10,
Code of Ethics, of the Code of
the Town of Southold.
(Legislative Intent). The
purpose of the Code of Ethics
is to establish minimum stan-
dards of ethical conduct for
Town officers and employees
to help ensure that the busines~
of government is free from im
proper influence that may
suit from opportunities for Put
vate gain. A~ the same timeo~
is recognized that public ' a
vice cannot require a eomt ba
divesting of all proprietm.
retest, nor impose overly
densome disclosure require-
ments, 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 them-
selves, on the commianent of
elected and appointed officials,
and on the vigilance of their
communities, the establish-
ment of the standards and
guidelines Set forth in this chap-
ter is an additional step toward
providing the highest caliber of
public administration for local
governments and increased
confidence in public officials.
By requiring public annual dis-
closure of interests that may
influence or be perceived to
influence the actions of public
officials, the Code of Ethics is
intended to facilitate consider-
ation of potential problems be-
fore they arise, to minimize
unwarranted suspicion, and to
enhance the accountability of
government to the people.
Articles in the Code of Eth-
ics provide definitions, rules of
conduct, disclosure require-
ments, establishment of an Eth-
ics Board and their powers and
investigation procedures, pen-
alties, and the Annual State-
ment of Financial Disclosure
form which is required to be
completed and filed by each
Town of Southold officer or
employee, whether paid or un-
paid, and includes, without
limitation, all members of any
office, board, bgdy, advisory
board, department district, or
committee.
Copies of this Local Law
are available in the Office of
the Town Clerk to any inter-
ested persons during business
hours.
Dated: December 27, 1994.
JUDITH T. TERRY
SOUTHOLD TOWN
CLERK
1X-1/12/95
COUNTY ()F SUFFOLK
SlAFI ()1- NEW YC'tRK ss:
Tim Kelly, being duly sworn, says that he is
the Editor, of the TRAVELER-WATCHMAN, a
public newspaper printed at Southold, in Suf-
folk County; and that the notice of which the
annexed is a printed copy, has been published
in ~aid Fraveler-Watchman once each week for
weeks
~u~ cessively, commencing on the .4-_~7 ~'
Sworn to before~e this ......... J'Z day of
Notary Public
~0TARY P~BLle, State 0f ~ew York
rio, 480~246
Commi,sioa ~pires
LEGAL NOTICE
NOTICE OF
PUBLIC HEARING
ON LOCAL LAW
PUBLIC NOTICE IS HEREBY
GIVEN. that there has been presented
to the Town Board of thc Town of
Southold, Suffolk County, New York,
on the 27th day of December, 1994, a
Local Law enthied, "A Local Law in
Relation to the Code of FAhlcs'.
NOTICE IS FURTHER GIVEN
that the Town Board of the Town of
Southold will hold a pubic hearing on
the aforesaid Local Law at the
Southold Town Hall. Main Road.
Soutbeld, New York, on the 24th day
of January, 1995, at 5:00 P.M., at
which time all interested persons will
This proposed "Local Law in
Relation to the Code of Ethics"
deletes the current Code of Ethics in
its entire~y and enacts a new Chapter
10. Code of Ethics. of the Code of the
Town of Sonthold.
(Legislative Intent). The purpose of
the Code of Ethics is to establish mini-
mum standards of ethical conduct for
Town officers and employees to help
ensure that the business of government
is free from improper influence that
may result from opportunities for pri-
vate gain. At the same time, it is rec-
ognized that public service cannot
require a complete divesting of all pro-
prietary interesl, nor impose overly
burdensome disclosure requirements,
if local governments are to attract and
hold competent administrators.
Although the assurance of ethical con-
duct will continue to rest primarily on
the personal integrity of t'0e officers
and employees themsel*es, 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
his chapter is an additional step toward
providing the highest caliber of public
administration for local governments
and tnt:teased confidence in public
offi~als~ By requiring public annual
disclosure of interests that may influ-
ence or be perceived to influence the
actions of public officials, the Cede of
Ethics is intended to facilitate consid-
eration of potential problems before
they arise, to minimize unwarranted
suspicion, and to enhance the account-
ability of government to the people.
Articles in the Code of Ethics pro-
vide definitions, rules of conduct, dis-
closure requirements, establishment of
an Ethics Board and their powers and
investigation procedures, penalties,
and the Annual Statement of Financial
Disclosure form which is required to
be completed and filed by each Town
of Southold officer or employee,
whether paid or unpaid, and includes,
without limitation, all members of any
office, board, body, advisory board,
dapaa'tment, district, or committee.
Copies of this Local Law are avail-
able in the Office of the Town Clerk to
any interested persons during business
hours.
Dated: December 27, 1994.
JUDITH T. TERRY
SOUTHOLD TOWN CLERK
STATE OF NEW YORK)
) SS:
COUNTY OF SUFFOLK )
of Mattltuck,
in said County, being duly sworn, says that he/she is
Principal Clerk of THE SUFFOLK TIMES, a Weekly
Newspaper, published at Mattituck, in the Town of
Southold, County of Suffolk and State of New York,
and that the Notice of which the annexed is a
printed copy, has been regularly publiBhed in said
Newspaper once each week for [ weeks
commencing on the [~ day of
~ 19.~s-~l/ccessively'
Nom~ P ..J~...~__~. _~ leeward, PrinCllml Clerk
Notm'y Pnhlle
Sworn te before me thla ~ ~
day o! ~(~ ]~[~[~ 10-0-0-0-0-0-0-0-0--~