HomeMy WebLinkAboutLL 04 of 1992 Revised Ethics Rules for Town Officers & Employees NEN YORK STATE DEPARTMENT OF STATE
Local Law Filing 162 WASHINGTON AVENUE, ALBANY, NY 12231
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ITHACA INAt
Townof ..........................................:............CA.............:..............................................
•
Local Law No. ..................4 02.................................. of the year 19 9.....
A local law ,REPEALING LOCAL LAW NO. 2 OF THE YEAR 1970 AND ESTABLISHING REVISED' ETHICS
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(Insert Title)
Be it enacted by the TOWN BOARD
:....................................................... ....of the
.. ......................
(Name of Legislative Body)
law
Town
of ....................................................ITHACA...........................................................
..................as follows:
VAJbIUX TOWN OF ITHACA
LOCAL LAW NO. 4 OF THE YEAR 1992
A LOCAL LAW REPEALING LOCAL LAW NO. 2 OF THE YEAR 1970 AND
ESTABLISHING REVISED ETHICS RULES APPLICABLE TO TOWN OF ITHACA
OFFICERS AND EMPLOYEES
Be it enacted by the Town Board of the Town of Ithaca as follows:
Local law no. 2 of the year 1970 is hereby repealed and the following enacted
in its stead:
Section 1. Purpose.
(a) The purpose of this law is to establish minimum standards of conduct
to help ensure that the business of government is free from improper influence that
may result in opportunities for private gain. The .Town of Ithaca recognizes that
public officials must exercise their official duties solely in the public interest, and
must avoid even the appearance of conflict of interest. The standards and guidelines
set forth in this law are intended to minimize unwarranted suspicion and to avoid
potential conflicts of interest before they arise. Notwithstanding any specific
omissions in this law, it is the responsibility of public officials to come forth with
information regarding personal involvement in matters before the Town and to avoid
associations or actions that may interfere with the proper discharge of their public
duties.
(b) The rules of ethical conduct.of this local law shall not conflict with
but shall be in addition to those of Chapters 810-813 of the General.Municipal Law and
any other general or specific law relating to ethical conduct and interest in contracts
of municipal officers and employees. However to.the extent the
P , provisions of this
local law conflict with the provisions of Chapters 810-813 of the General Municipal
Law regarding the filing of disclosure statements and the materials to be disclosed,
it is intended that the provisions of this Local Law shall supercede the analogous
provisions of the General Municipal Law.
(If additional space is needed, attach pages the same size as this sheet, and number each.)
(1)
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Section 2. Applicability.
(a) Unless otherwise specified, this law shall apply to all elected and
appointed officials (hereinafter referred to as "officials") and department heads
("employees") of the Town of Ithaca("Town"), including the Town Board (specifically
including the Supervisor), Planning Board,Zoning Board of Appeals,advisory boards,
and any committees and subcommittees thereof; the Town Clerk/Collector of Taxes,
Highway Superintendent, Town Engineer, Town Planner, Zoning Officer/Building
Inspector, and Town Attorney (whether paid as a town employee or retained under
separate contract or agreement).
(b) For purposes of this law, "family" shall include an official's or
employee's spouse or equivalent member of a household sharing living expenses, and
any of the following, if residing with the official or employee: child, step-child,
brother, sister, parent, dependent.
Section 3. Annual disclosure.
(a) Applicability. With the exception of members of citizens' advisory
boards, this section shall apply to all Town officials and employees as defined in
section 2.
Said individuals shall file with the Town Clerk a signed disclosure
statement: (i) within 120 days of the effective date of this law; (ii) by April 30 of each
year thereafter; and (iii) within 30 days of a significant change in the information
already on file, specifically including, but not limited to, the acquisition of any real
property (as described below).
(b) Such disclosure statements shall be kept on file as public record by
the Town Clerk. Public notice of the existence and availability of such file shall be
made annually: (i) by legal notice in the newspaper of record; (ii) by announcement
by the Town Supervisor at the May Town Board meeting; (iii) by notice in the first
Town newsletter following the April 30 filing date; (iv) by posting of notice
conspicuously in Town Hall.
(c) Matters to be disclosed shall include holdings or associations with
any or all of the following within the 12 month period up to and including the time of
filing:
(i) the location of any real property within the Town of Ithaca and outside the Town
contiguous to its immediate boundaries,in which the official or employee or his or her
family, has whole or part ownership or any other significant financial interest (for
this purpose, a "significant financial interest" shall mean an ownership interest of
more than 10% or a security interest in the property (such as a mortgagee) of more
than $100,000); (ii) the name of any partnership, unincorporated association, or
unincorporated business, (located in the State of New York or which does business
in the State of New York) of which the official or employee or family member is a
member, officer, or employee or has a significant proprietary interest (for this
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purpose a "significant proprietary interest" is an ownership interest of more than
10 0);and a description of the nature (position, duties) of their affiliation; (iii) the
name of any corporation, whether for-profit or non-far-profit, (located in the State
of New York or which does business in the State of New York) of which the official or
employee or family member is an officer, director, or employee, or owns or controls,
individually or in combination, more than ten percent of the outstanding stock, and
a description of the nature (position,. duties) of their affiliation; (iv) the nature of
any self employment from which the official or employee or a family member has
derived gross income of more than $5000 during the previous 12 months.
(d) If an official or employee practices law, is licensed by the NYS
Department of State as a real estate broker or agent, practices a profession licensed
'by the NYS Department of Education, or is involved in a corporation or business
described in subsection (c) above, the disclosure statement shall include a general
description of the principal subject matters undertaken in the stated practice,
including the nature of the clients' businesses. This disclosure shall not include the
names of individual clients.
(e) Interest in any contract held with the Town.
Section 4. Gifts.
MEW
(a) Officials, employees, their spouse/equivalents, or any person or
entity acting on their behalf may not solicit or accept monetary gifts or loans of any
amount or promise thereof, or any gift, including services, entertainment, thing, or
promise thereof, having a value of $75 or more, from any person or agent of a person,
corporation,partnership, unincorporated association or other entity who the official
or employee knows is considering or has had, within the previous 12 months, any
business dealing with the Town of Ithaca that involves any discretionary act by the
official or employee.
(b) Refreshments or meals that are provided as part of an informational
presentation in a group setting or as part of a reception shall not be considered gifts
under this section.
Section 5. Confidentiality.
Except as required by law, officials and employees may not disclose
confidential information acquired during the course of their official duties or use
such information to further their personal interests or the personal interest of their
families'.
Section 6. Conflict of interest prohibited.
(a) Other than acting solely on behalf of himself/herself, no official or
employee may act as a representative before the Town for any entity, including
boards and commissions on which the official or employee has represented the Town,
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that has a business dealing, including requests for rezoning, variances, legislation,
bids on contracts, or any other matter before the Town during his or her term of
office or employment with the Town. In cases in which an official or employee
represents himself or herself on a matter before the Town, he or she will refrain from
voting or otherwise taking discretionary action on the matter,as provided in Section
7 of this law.
(b) For a period of four'years after termination of his or her term of
office or employment with the Town, other than acting solely on behalf of
himself/herself, no former official or employee may appear before the Town, including
boards and commissions on which the official or employee has represented the Town,
in relation to any matter upon which he or she took any discretionary action during
his or her term of office or employment with the Town, unless requested to provide
information by the Town.
(c) A Town official shall exercise due diligence in avoiding conflict of
interest when voting on matters brought before the Town by entities with whom the
official is employed as a non-officer. Any action that could reasonably be interpreted
as potentially benefitting the official's career advancement, salary, or standing
within an organization (e.g., a vote on a matter that falls within the official's direct
purview as an employee of the entity appearing before the Town) shall be deemed a
conflict of interest and subject to the provisions of Section 7 of this law.
Section 7. Recusal from voting or other discretionary act.
(a) Whenever an official or employee is called upon to vote on, advise
on,or otherwise take discretionary action on a matter before the Town,and either the
performance or non-performance of such action would provide a pecuniary or
material benefit to: him/herself,his/her family; persons, businesses,or other entities
who have given campaign contributions of more than $1000 in the aggregate during
the official's last political election; business partners, or business, association, or
other entity of which the official/employee is an owner,partner, officer, director, or
significant shareholder as described in Section 3 of this law, the officer or employee
shall immediately declare the nature of the conflict of interest, and shall refrain from
taking any action or inaction that would affect the outcome of the matter. Such
declaration shall be made a part of the public record concerning the matter.
(b) Interpretation. All instances involving the appropriateness of
abstention from discussion and voting by a member of a board by virtue of conflict
of interest may be referred to the Ethics Board, who will render an opinion on the
existence of conflict of interest within 30 days. Such interpretive opinion may be
requested by any member of the board.
(c) Whenever any board member becomes aware of a possible conflict of
interest involving such board member or any other board member, he or she may
raise the issue at the meeting and request the matter be referred to the Ethics Board
hereafter created.
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Section 8. Land speculation.
Large-scale land speculation by Town officials who are members of the
Town Board, Planning Board, or Zoning Board of Appeals may be perceived as an
abuse of the privilege of office. For example it is recommended that during his or her
term of office and for a period of 12 months thereafter, such official, his or her
spouse/equivalent, and his or her business or other entity of which the official or
spouse/equivalent is an owner, partner, officer, director, or holder of controlling
interest,shall not acquire real property, or any financial or development interest in
real property, of more than a total of 25 acres zoned residential, or more than 5 acres
zoned commercial anywhere in the Town of Ithaca or its contiguous boundaries, for
purposes other than the official's primary residence. Land purchased in an
agricultural district for agricultural use is excluded from this recommendation. A
failure to comply with this section shall not be a violation of this local law.
(b) During his or her term of office, no member of the Town Board,
Planning Board, or Zoning Board of Appeals or his or her spouse/equivalent shall
enter into a business relationship with any other member of said boards for the
purpose of buying, selling, developing, or holding real property in the Town of
Ithaca or outside the Town contiguous to its immediate boundaries.
Section 9. Inducement of violations.
Any person who intentionally induces any official or employee to take
any action or refrain from taking any action, which action or inaction violates any
provision of this law, shall be guilty of a class A misdemeanor, and shall be barred
from doing business with the Town of Ithaca for a period of five years.
Section 10. Claims against the Town.
Nothing herein shall be deemed to bar the timely filing by a present or
former official or employee of any claim, demand, or suit against the Town on behalf
of him/herself or his/her family arising out of any personal injury or property
damage or for any lawful benefit, or from receiving a municipal service or benefit
that is generally available to the public.
Section 11. Establishment of Local Ethics Board.
(a) Pursuant to the provisions of Chapter 810-813 of the General
Municipal Law as amended, the Town of Ithaca does hereby establish a local Ethics
Board of five persons to review the annual disclosures and conflict of interest
disclosures and cause copies of both to be filed with the Temporary State Commission
on Local Government Ethics; 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, on its own
initiative or at the written request of any Town Board, official, employee, or private
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citizen. The Ethics Board shall have the power, to conduct investigations, refer
cases to the Town Board for consideration of whether to commence criminal
prosecution or to commence suit in the Supreme Court of the State of New York on
behalf of the Town for injunctive relief to enjoin a violation or compel compliance with
this law. The Ethics Board may establish rules for its own operations, but whether
included or not, the following procedures shall pertain to its activities:
(i) 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 as public record.
(ii) Any changes in this Local Law that are recommended by the
Ethics Board shall, to the extent reasonably possible consistent with the
other responsibilities of the Town Board be discussed and acted upon
by the Town Board in open session at a regular meeting within two
months of the issuance of the recommendations. Any amendments to this
law must be filed within 30 days with the Temporary State Commission
on Local Government Ethics.
(iii) The Town Board may 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.
(iv) The Ethics Board may not conduct investigations of itself or
any of its members. Complaints against any member of the Ethics Board
shall be made to the Temporary State Commission on Local Government
Ethics.
(b) Appointment and removal.
(i) Members of the Ethics Board shall be appointed by the Town
Board of the Town of Ithaca and may be nominated by any member of the
public.
(ii) 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 upon recommendation by the Temporary
State Commission on Local Government Ethics.
(c) Term of office. The term of office of Ethics Board members shall be
five years, except that for the first five appointees, terms shall expire on December
31 of the year in which the Board was created, and of the first, second, third, and
fourth year thereafter, respectively. No member shall serve more than two
consecutive terms.
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(d) Qualifications.
(i) Members of the Ethics Board shall be chosen from among
Tompkins County residents.
(ii) No Ethics Board member shall hold office in any political
party.
(iii) No more than two Ethics Board members may be from the
same political party.
(iv) From the period of 12 months prior to appointment
throughout his or her term of office, no Ethics Board member or member
of his or her family shall hold elected or any other appointed office or
employment with the Town of Ithaca, except as a member of a citizens'
advisory board.
(v) From the period of 12 months prior to appointment
throughout his or her term of office, no Ethics Board member shall be
a party to any proceeding before the Town of Ithaca or have business
dealings with the Town of Ithaca other than normal, routine, ministerial
requests such as applications for building permits, certificates of
occupancy, marriage licenses, or other similar ministerial matters.
(vi) Members of the Ethics Board shall be subject to the
provisions of this law.
Section 12. Distribution of Code of Ethics.
(a) Within ten days of this law's enactment, the Town Clerk shall post
a copy of this law conspicuously and permanently in the Town Hall in a manner
allowing public perusal of its provisions. Copies of the law shall also be made
available by the Town Clerk to members of the public upon request under provisions
of the Freedom of Information Law.
(b) Within 30 days of this law's enactment, the Town Clerk shall
distribute a copy of this law to all officials and employees identified in Sections 2 and
3. Each official and employee elected or appointed thereafter shall be given a copy
of this law before entering upon the duties of his or her office.
(c) The Town Clerk shall distribute copies of this law to the members of
the Ethics Board upon their taking office.
Section 13. Penalties and violations.
Violation of this law will be a Class A misdemeanor subject to the
penalties provided in Section 813 of the General Municipal Law, including forfeiture
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of office or employment and liability for all damages and fines. Penalties include a
civil, penalty not to exceed $10,000 for knowingly and willfully failing to file a
financial disclosure statement or for knowingly and willfully making a false statement
with intent to deceive. Notwithstanding the foregoing, a person subject to this Local
Law found for the first time to be in violation of its terms by reason of failing to file
or make a required disclosure statement shall be subject to a maximum civil penalty
of $500 or a maximum criminal fine of.$500. Any such person found for the second
time to be in violation of the terms of this local law by reason of failing to file or make
a required disclosure statement shall be subject to a maximum civil penalty of $1000
or a maximum criminal fine of not more than $1000. The third and any succeeding
such violations shall be subject to the penalties set forth in the first sentence of this
section.
Section 15. Invalidity of portion of the law.
If any provision of this law is held by a court of competent jurisdiction
to be invalid, that decision shall not affect the validity and effectiveness of the
remaining provisions of this law.
Section 16. Effective Date.
This law shall take effect immediately after it has been filed with the New
York State Temporary Commission on Local Government Ethics.
L
(Complete the certification in the paragraph that applies to the filing of this local Iaw and
strike out that which is not applicable.)
1. (Final adoption by local legislative body only.)
I hereby certify that the local law annexed hereto, designated as local law No. 4 of 1992
of the (aMaUV Town)( bigK)Lvf ITHACA was duly passed by the
TOWN BOARD on JANUARY 13, 19 93 in accordance with the applicable provisions of law.
Name of Legislative Body
2. (Passage by local legislative body with approval, no disapproval or repassage after disapproval
by the EIective Chief Executive Officer*.)
I hereby certify that the local law annexed hereto, designated as local law No. of 19
of the (County)(City)(Town)(Village) of was duly passed by the
on 19_, and was (approved)(not disapproved)(repassed after
Marne of Legislative Body
disapproval) by the and was deemed duly adopted on 19
Elective Chief Executive Officer' —,
in accordance with the applicable provisions of law.
3. (Final adoption by referendum.)
hereby certify that the local law annexed hereto, designated as local law-No. of 19
if the (County)(City)(Town)(Village) of was duly passed by the
Name of Legislative Body on 19_, and was (approved)(not disapproved)(repassed after
disapproval) by the on 19 Such local law was
Elective Chief Executive Officer"
submitted to the people by reason of a (mandatory)(permissive) referendum, and received the affirmative
vote of a majority of the qualified electors voting thereon at the (general)(special)(annual) election held on
19_, in accordance with the applicable provisions of law.
4. (Subject to permissive referendum and final adoption because no valid petition was filed requesting
referndum.)
I hereby certify that the local law annexed hereto,-designated as local law No. of 19
of the (County)(City)(Town)(Village) of was duly passed by the
on 19�, and. was (approved)(not disapproved)(repassed after
Name of Legislative Body
disapproval) by the on 19 Such local law was subject to
Elective Chief Executive Officer"
permissive referendum and no valid petition requesting such referendum was filed as of 19 ,
in accordance with the applicable provisions of law.
Elective Chief Executive Officer means or includes the chief executive officer of a county elected on a
county-wide basis or, if there be none, the chairman of the county legislative body, the mayor of a city
or village, or the supervisor of a town where such officer is vested with the power to approve or veto local
laws or ordinances.
(2)
5. (City local law concerning Charter revision proposed by petition.)
I 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.
6. (County Iocal 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 to
the 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 cities of said county as a unit and of a majority of the qualified electors of the towns
of said county considered as a unit voting at said general election, became operative.
(If any other authorized form of final adoption has been followed, please provide an appropritate certification.)
I further certify that I have compared the preceding local.law with the original on file in this office and that
the same is a correct transcript therefrom and of the whole of such original local law, and was finally adopted
in the manner indicated in paragraph 1 , above.
Deputy ,To Clerk
0
(Seal) Date: JANUARY 22, 1992
(Certification to be executed by County Attorney, Corporation Counsel, Town Attorney, Village Attorney or
other authorized Attorney of locality.)
STATE OF NEW YORK
COUNTY OF TOWN
I, the undersigned, hereby certify that the foregoing local law contains the correct text and.that all proper
proceedings have been had or taken for the enactment of the oc law annexed hereto.
signatur
JO C. BARNEY, TOWN ATTORNEY
Title
NW
0@9(X of ITRACA
_ Town
�7�11
Date:
(3)
CERTIFICATE OF NECESSITY
The undersigned, Town Supervisor of the Town of Ithaca,
hereby certifies as to the necessity for the immediate passage of
the local law entitled "A LOCAL LAW REPEALING LOCAL LAW NO. 2 OF
THE YEAR 1970 AND ESTABLISHING REVISED ETHICS RULES APPLICABLE TO
TOWN OF ITHACA OFFICERS AND EMPLOYEES. "
Shirley Ratfensperger,
Supervisor
Dated: January 13, 1992