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HomeMy WebLinkAboutLocal Law #1 of 2021 Amending Ethics CodeChapter 18 Ethics § 18-1 Authority and purpose. This Chapter is adopted pursuant to the authority granted the Town of Lansing by Section 10 of the Municipal Home Rule Law and General Municipal Law Article 18. The Town of Lansing recognizes that there is a need for clear and reasonable standards of ethical conduct. Public officers and employees must observe a high degree of moral conduct to maintain public confidence. It is the purpose of this local law to set forth these rules of ethical conduct for the officials and employees of Town of Lansing. These rules shall serve as a guide for official conduct with regard to disclosure of Interests in legislation before the local governing body, holding of investments in conflict with official duties, future employment, and such other standards as may be deemed advisable. It is the purpose of this Chapter to implement these objectives through the establishment of standards of conduct, to provide for punishment of violations of such standards, and to create a Board of Ethics to render advisory opinions to the Town’s officers and employees, as provided for herein. § 18-2 Title. This Chapter shall be known as the “Town of Lansing Ethics Law”. § 18-3 Applicability of other standards and laws. The standards, prohibited acts, and procedures established herein are in addition to: A. Any rules about prohibited acts and applicable conflicts of interest provisions or procedures prescribed by statute of the State of New York; and B. Common law rules and judicial decisions relating to the conduct of Town Officers to the extent that the same are more restrictive in their application than this Chapter. § 18-4 Code of ethics. A. Definitions. The following terms and phrases shall have the following meaning(s) under this Chapter: 1. CONFIDENTIAL INFORMATION: Means and includes any information that would: a. Affect current or imminent contract awards or collective bargaining negotiations, or b. Interfere with law enforcement investigations or judicial proceedings, or c. Deprive a person of his or her right to a fair trial or impartial adjudication, or d. Constitute an unwarranted invasion of privacy, or e. Endanger the life or safety of any person, or f. Provide civil service examination questions or answers or answers prior to administration of the examination, or g. Reveal computer access codes, or h. Provide any information that is specified as non-disclosable by federal or state law. 2. DISCLOSURE STATEMENT (or Ethics Form, and similar terms): A questionnaire concerning contracts, affiliations, and property Interests of Town Employees and certain other designated persons or companies, in a form as approved and updated from time-to-time by the Town, that must be annually prepared and submitted. 3. GIFT: Means and includes anything of value, whether in the form of money, services, loans, travel, entertainment, hospitality, or another thing or promise of value, in whatever form as proffered, conveyed, or received. 4. INTEREST: Any direct or indirect financial or material benefit, but not including any benefit arising from the provision or receipt of any services generally available to the residents or taxpayers of the Town, or an area of the Town, or a lawful class of such residents or taxpayers, generally. A Town Employee is deemed to have an interest in any private organization when he or she, his or her Spouse, or a member of his or her household, is an owner, partner, member, director, officer, employee, or otherwise directly or indirectly owns or controls more than 5% of the organization’s outstanding stock (or other indicia of equity ownership). This definition shall not apply to a person serving as a non-remunerated member, director, or officer of a not-for- profit organization. 5. INTERESTED PERSON: Any person or entity defined in § 18-4, subdivision C, in this Chapter. 6. RELATIVE: Means such individual’s Spouse, child, stepchild, stepparent, or any person who is a direct descendant of the grandparents of the reporting individual or of the reporting individual’s Spouse. 7. SPOUSE: Means the husband, wife, or domestic partner of the reporting individual, unless living separate and apart from the reporting individual with the intention of terminating the marriage or union by providing for permanent separation, or unless separated pursuant to: (a) a judicial order, decree or judgment, or (b) a legally binding separation agreement. 8. TOWN: The Town of Lansing and any Board, Commission, district, council, committee, or other agency, department, or unit of the government of the Town of Lansing. 9. TOWN EMPLOYEE: Any officer or employee of the Town, whether paid or unpaid, and whether serving in a part-time, full-time, or advisory capacity. 10. TOWN RESOURCES: Means and includes, but is not limited to, Town personnel and the Town’s money, vehicles, equipment, materials, supplies, or other property. B. Conflicts of interest. No Town Employee shall have any Interest direct or indirect or other Interest, engage in any business or transaction or professional activity, or incur any obligation of any nature which is in substantial conflict with the proper discharge of the duties of the Town Employee. C. Standards of conduct. The following standards of conduct apply to all Town Employees: 1. General Prohibition on Use of Office or Employment for Private Gain a. A Town Employee shall not use his or her position or office, or take or fail to take any action, in a manner that he or she knows or has reason to know may result in a personal financial benefit for any of the following persons: i. The Town Employee; ii. His or her outside employer or business; iii. A direct or indirect prospect, customer, or client of the Town Employee; iv. A Relative or any member of his or her household; v. A person or entity with which the Town Employee has had a financial relationship within the previous 12 months; vi. Any person or entity from which the Town Employee has received a Gift, or any goods or services for less than fair market value, during the previous 12 months; or vii. Any person from whom the Town officer or employee has received aggregate election campaign contributions of more than $500 during the previous 24 months. The associations and persons referenced in subdivisions i. through vii. shall hereafter be referred to as “Interested Persons”, as referenced in § 18-4, subdivision A, of this Chapter. b. A Town Employee shall not use his or her official position to advance his or her private Interest or those of Interested Persons, nor to obtain any unwarranted privileges, exemptions, or advantages for any Interested Persons. c. A Town Employee shall not use or permit the use of Town Resources for personal or private purposes. Nor shall a Town Employee use or utilize Town letterhead, personnel, equipment, supplies, or resources for a non-governmental purpose, or engage in personal or private activities during times when he or she is required to work for the Town. However, this subdivision shall not be construed as prohibiting: i. Any use of Town Resources authorized by law or Town policy; ii. The use of Town Resources for personal or private purposes when provided to a Town Employee as part of his or her compensation; iii. The occasional and incidental use during the business day of Town telephones and computers for personal matters, such as family care and changes in work schedule in accordance with any established Town policy. d. No Town Employee shall knowingly cause the Town to spend more than is reasonably necessary for transportation, meals, or lodging in connection with official travel. e. No Town Employee shall misuse his or her position to obtain a benefit for the employee or any Interested Persons. f. Whenever any doubt arises for any Town Employee as to: (i) whether any person or entity is an Interested Person; (ii) whether any situation, facts, transaction, determination, or process is prohibited, potentially prohibited, or a violation of this Chapter or any applicable ethics or conflict of interest laws or rules; (iii) whether any matter is one for which the Town Employee may be imputed as having had a reason to know of a conflict or prohibition; or (iv) where there are questions as to what is a personal financial benefit, whether direct or indirect; then any such Town Employee may consult with the Board of Ethics and, if the Board of Ethics shall make a determination or declaration, or issue guidance to avoid ethical or legal violations, the Town Employee who both discloses such potential conflict and follows the guidance and advice of the Board of Ethics shall not be deemed or held to be in violation of this Chapter. 2. Recusal, Abstention, Disclosure of Conflicts of Interest a. A Town Employee, whether paid or unpaid, who participates in the discussion of, consideration of, or who gives an opinion upon any legislation or approval before the Town must publicly disclose on the record the nature and extent of any direct or indirect financial or other private Interest that the Town Employee knows exists. b. A Town Employee may seek and obtain an advisory opinion from the Board of Ethics, including advice upon issues of recusal and ethics, as well as advise upon the disclosure or management of potential conflicts and prohibited transactions. c. A Town Employee shall promptly recuse himself or herself from acting or discussing a matter before the Town when acting on the matter, or failing to act on the matter, may financially affect any Interested Person, unless he or she has received a written opinion from the Board of Ethics advising that there is no conflict and no need for a recusal, but only so long as the Town Employee follows any advice or direction provided by such Board of Ethics. d. Nothing in this section shall automatically prohibit seeking and relying upon advice from the Town’s legal counsel, the New York State Attorney General’s Office, the New York State Comptroller’s Office, Counsel for the Committee on Open Government, or other similar authority, so long as such advice is (i) disclosed to the Town (or applicable board, body or Town Employee) prior to acting, not acting, or discussion upon such matter as is before the Town; and (ii) such advice or counsel is in writing or has been reviewed by or approved by the Town Employee’s immediate supervisor or the Town’s legal counsel and confirmed or approved, as the case may be. 3. Confidential Information a. For the purposes of the Code of Ethics all information generally falls into one of three categories: that class of information which is never confidential; that class of information that is always confidential; and those classes of information that may be confidential. Nothing in these definitions is intended to alter or vary matters defined as confidential or privileged under state or federal law, nor to alter any requirements of Articles 6, 6-A, or 7 of the New York Public Officers Law. b. Never confidential: Information that is generally • the result of an external audit; or • statistical data; or • an instruction to staff that affects the public; or • a final policy or determination made by the Town or one of its departments. Disclosure or use of such information is not restricted by this Chapter. c. Always confidential: Information, the disclosure of which would generally • impair current or imminent contract awards or collective bargaining negotiations; or • interfere with law enforcement investigations or judicial proceedings; or • deprive a person of his or her right to a fair trial or impartial adjudication; or • constitute an unwarranted invasion of privacy; or • endanger the life or safety of any person; or • reveal civil service examination questions or answers prior to the administration of the exam; or • reveal computer access codes; or • reveal information that is specified as non-disclosable by federal or state law. No Town Employee may disclose or use such Confidential Information, including to further a personal Interest or those of Interested Persons. d. Any information that does not clearly fall into just one of the above categories (subsections b and c) may be confidential. To be certain of complying with this Chapter and legal obligations regarding protected and Confidential Information, all Town Employees must first request and receive an official determination from the Town Ethics Board or Town Counsel that a given piece of information is not confidential before disclosing or making personal use of it. e. The restrictions on disclosure and use of Confidential Information described herein apply without regard to the circumstances in which the information was acquired, and include information gained through means other than the possessor’s association with the Town. f. Nothing in this section shall automatically prohibit seeking and relying upon advice from the Town’s legal counsel, the New York State Attorney General’s Office, the New York State Comptroller’s Office, Counsel for the Committee on Open Government, or other similar authority, so long as such advice is (i) disclosed to the Town (or applicable board, body or Town Employee) prior to any use or disclosure, so long as such advice is in writing and has also been reviewed by or approved by the Town Employee’s immediate supervisor or the Town’s legal counsel. 4. Nepotism a. Except as otherwise required by law: i. No Town Employee, either individually or as a member of any board, committee, or council, may participate in any decision to appoint, hire, promote, discipline, or discharge any Relative in respect of any Town position of employment or appointment, or the granting of any compensation or remuneration to any such Relative. ii. No Town Employee may directly or indirectly supervise a Relative in the performance of the Relative’s duties. 5. Gifts and Gratuities a. A Town Employee shall not solicit a Gift from any person who or any entity that has received or sought a financial or material benefit from the Town, nor accept a Gift from any person who the Town Employee knows or has reason to know has received or sought a financial or material benefit from the Town, or who will be seeking such a benefit in the future. A financial or material benefit shall include land use and other approvals and permits issuable by the Town or by any Town Employee. b. A Town Employee shall not request or accept anything from any person or entity other than the Town for doing his or her Town job. c. A Town Employee shall not accept or receive any Gifts having a value of $75 or more, whether in the form of money, services, loan, travel, entertainment, hospitality, or anything or promise of value, under circumstances in which it could reasonably be expected to influence the performance of official duties or was intended as a reward for any official action. d. Whenever any doubt arises in respect to any matter that is or may be considered as a Gift or prohibited Gift, the Town Employee may consult with the Board of Ethics and, if the Board of Ethics shall make a determination or declaration, or issue guidance to avoid ethical or legal violations, the Town Employee who both discloses such potential conflict and follows the guidance and advice of the Board of Ethics shall not be deemed or held to be in violation of this Chapter. 6. Political Solicitations a. Exclusive of mass advertising or solicitations, a Town Employee shall not directly or indirectly solicit, compel, or induce any other Town Employee make or promise to make any political contribution, whether by Gift of money, service, or any other thing of value. b. A Town Employee may not (i) act or decline to act in relation to appointing, hiring, or promoting, discharging, disciplining, or in any manner changing the official rank, status, or compensation of any Town Employee, or any applicant for a position as a prospective Town Employee, or (ii) seek to support, promote, deny, or award any contract, permit, or approval, or like thing of value, to any vendee, contractor, applicant, or similarly situate person or entity, on the basis of the making (or denying), or promise of making (or denying), any vote, support, or contribution of money, services, or any other thing of value for any candidate or political cause, party, platform, proposition, or purpose. c. Whenever any doubt arises for any Town Employee as to involvement in respect of political solicitations, the Town Employee may consult with the Board of Ethics and, if the Board of Ethics shall make a determination or declaration, or issue guidance to avoid ethical or legal violations, the Town Employee who both discloses such potential conflict and follows the guidance and advice of the Board of Ethics shall not be deemed or held to be in violation of this Chapter. 7. Investments in conflict with official duties. a. A Town Employee shall not invest or hold any investment directly or indirectly in any financial, business, commercial, or other private transaction that creates a conflict with official duties. An investment in which a Town Employee has an Interest shall be exempt if such Interest was acquired prior to the time he or she became a Town Employee, but this paragraph shall in no event authorize a renewal of any such contract or investment, and such contract or investment remains subject to the disclosure and recusal provisions of this Chapter. b. This section does not prohibit a Town Employee from acquiring a financial, business, commercial, or other private transactional Interest or investment in the following: i. Real property located within the Town used as a personal residence; ii. Less than five percent of the stock (or other indicia of equity) of a publicly traded corporation (or other registered entity); or iii. Bonds or notes issued by the Town and acquired more than one year after the date on which the bonds or notes were originally issued. c. Whenever any doubt arises for any Town Employee as to in investment Interest, the Town Employee may consult with the Board of Ethics and, if the Board of Ethics shall make a determination or declaration, or issue guidance to avoid ethical or legal violations, the Town Employee who both discloses such potential conflict and follows the guidance and advice of the Board of Ethics shall not be deemed or held to be in violat ion of this Chapter. 8. Representation. a. A Town Employee shall not represent any person or entity in any matter that is before or directly involves the Town. Excluded from this prohibition is a legislator performing his or her normal duty of constituent representation, and the Town Attorney performing his or her official duties. 9. Private employment. a. A Town Employee shall not engage in, solicit, negotiate for, or promise to accept private employment, nor render services for private Interests, when such employment or service creates a conflict with or impairs the proper discharge of official duties. 10. Future employment. a. A Town Employee shall not, after the termination of service or employment with the Town, appear before any board or agency of the Town in relation to any case, proceeding, or application in which such Town Employee personally participated during the period of the Town Employee’s service or employment, or which was subject to his active consideration or review. § 18-5 Disclosure Statements. a. The Town Employees and persons and companies listed below shall annually complete and file an accurate Disclosure Statement, which shall be reviewed by the Board of Ethics. The form of the Disclosure Statement shall be approved and updated from time-to-time by the Town Board, and shall be distributed annually by the Town Clerk in April. i. All elected officials. ii. All Department Heads. iii. Deputy Highway Superintendent. iv. Planning Board members. v. ZBA members. vi. The Chairperson of any Board or Committee, including advisory committees. vii. Any counsel or attorneys employed by the town on a regular or special basis. viii. Any engineer or architect employed by the town on a regular or special basis. ix. Any other professional service provider, contractor, vendor, bidder, or provider of goods and services designated by contract approved by the Town, by resolution of the Town Board, or by bid specifications. x. Any other Town Employee when so designated by resolution of the Town Board. xi. Any newly hired, elected, or appointed Town Employee that is required to complete a Disclosure Statement pursuant to § 18-6, below. b. Any Town Employee, person, or company newly hired, appointed, or elected shall, when required by this Chapter of New York Law, and within 30 days of hiring, appointment, or taking the oath of office, promptly prepare, complete and submit a current Disclosure Statement, which shall be submitted to the Town Clerk and transmitted by the Town Clerk to the Board of Ethics for prompt review. c. All Disclosure Statements shall be completed and returned within 30 days of delivery by the Town Clerk, unless for good cause the Board of Ethics extends the time during which a response may be submitted. § 18-6 Board of Ethics. There is hereby established a Board of Ethics consisting of five members, to be appointed by the Town Board, all of whom shall reside in the Town, and all of whom shall serve without compensation and at the pleasure of the Town Board. No member of the Board of Ethics shall be a Town Employee or a Relative of any Town Employee. Ethics Board members will have staggered 5-year terms, and appointments will be initially made for terms of members running for 1 to 5 years, so that one appointment arises for consideration or renewal annually. Ethics Board members may be reappointed at the expiration of their term. The Attorney for the Town shall be an ex officio member of said Board without voting privileges, for the purposes of providing legal guidance and advice to allow the Board of Ethics to efficiently perform its functions. The Board of Ethics shall have the following powers and observe the following procedures: A. The Board of Ethics established hereunder shall: 1. Render advisory opinions to Town Employees about situations that are facing, or are potentially facing, upon written request. The Chair of the Board of Ethics shall convene the Ethics Board within 15 days after receipt of a written request, and thereafter render any advisory opinion or reply as promptly as is reasonable under the circumstances. 2. Hear or receive complaints of alleged unethical practices and violations of this Chapter when submitted in writing by any person or entity. The Chair of the Board of Ethics shall convene the Ethics Board within 15 days after receipt of a written request, and thereafter render any advisory opinion or reply as promptly as is reasonable under the circumstances. 3. Make recommendations to the Town Board relating to amendments to this Chapter or Town polices. Any recommendations to the Town Board about changes to laws or policies shall be in a separate document that the Town Board shall make public upon receipt. 4. No later than August 1 of each year, review the Disclosure Statements and the attestations that have been submitted, and determine if any are not timely filed, incomplete, or facially inaccurate. The Ethics Board, or its designee, may grant limited extensions of time in which to file Disclosure Statements due to justifiable cause or undue hardship, and the Board of Ethics may inquire about any information contained in or missing from any Disclosure Statement, including through by calling any submitting person or entity to a meeting of the Board of Ethics for an interview or for testimonial purposes. 5. Within 30 days of submission of any Disclosure Statement by any newly hired, appointed, or elected Town Employee, person, or company, review the Disclosure Statement submitted by such persons or entities to the Town Clerk. B. The opinions of the Board of Ethics may be advisory and they may or may not be confidential. In no event shall the identity of the person under review be disclosed except to authorized persons and agencies, or except when authorized or required by law. Such opinions shall be on the advice of the Attorney for the Town, or if he or she is recused or has a conflict, then from counsel so employed or consulted by the Board of Ethics. C. The Board of Ethics shall interpret and enforce this Chapter and General Municipal Law Article 18, as well as such other laws, rules, provisions, procedures, and decisions as the Board of Ethics deems relevant, applicable, or controlling by virtue of § 18-3 of this Chapter. D. Any Town Employee who requests an opinion, or is the subject matter of a review, inquiry, investigation, or opinion (an “Opinion”) before the Board of Ethics, shall be granted the right to be heard by said Ethics Board prior to the making or issuance of any Opinion. E. The Board of Ethics shall have the authority to take testimony under oath and to issue subpoenas, or cause subpoenas to be issued, to compel the attendance of witnesses and to require the production of any document, things, books, or records. F. It is the intent of this Chapter that complaints be resolved promptly, and therefore a written decision should be filed within 90 days after the conclusion of the fact-gathering process. The Board of Ethics shall state in writing the disposition of every request for opinion and every investigation it conducts, and set forth in reasonable detail the bases for its conclusions, recommendations, or dispositions. G. All statements, complaints, written requests, evidence, recordings or transcripts of testimony, and documents material to the matter shall, together with all Opinions and advice rendered, shall be and remain Town records, kept on file by the Town Clerk and subject to archival and related rules for disclosable and non-disclosable public records. H. The Board of Ethics shall promulgate its own rules and regulations as to its form and procedures, and may update the same from time-to-time, keeping the same as also being a material part of its records of Opinions and proceedings. § 18-6 Administration. A. Penalties for offenses. In addition to any penalty contained in any other provision of law, any such Town Employee who shall knowingly and intentionally violate any of the provisions of this Chapter may be fined, suspended, or removed from office or employment in the manner provided by law. Similarly, any Town Employee who (i) refuses to cooperate with any matter under review by, or being investigated, by the Board of Ethics; or (ii) improperly or materially interferes with any such review or investigation; or (iii) who commits any act of spoilation with respect to any documents or evidence, or who supplies or suborns any false statements or perjury may be fined, suspended, or removed from office or employment in the manner provided by law. B. Distribution and posting. Upon the adoption of this Chapter the Town Supervisor shall cause a copy hereof to be distributed to every Town Employee. The failure to distribute any such copy or failure of any Town Employee to receive such copy shall have no effect on the duty of compliance with this Chapter, nor upon the enforcement of provisions hereof. The Town Supervisor shall further cause a copy of this Chapter to be kept posted conspicuously in each public building under the jurisdiction of the Town. Failure to so post this Chapter shall have no effect on the duty of compliance herewith, nor upon the enforcement hereof. C. Filing with New York State. Within 10 days of the adoption of this Chapter, the Town Clerk shall file a copy thereof in the office of the State Comptroller and the Office of the Secretary of State. D. Appropriation of funds. The Town Board may appropriate moneys from general Town funds for the costs and expenses of, the maintenance of, and for personnel or advisory services incurred by or provided to the Board of Ethics. However, such Board of Ethics may not commit the expenditure of Town money except within the limit of appropriations provided by the Town Board.