[Adopted 4-25-1989 by L.L. No. 1-1989]
This chapter shall be known as the "Code of Ethics of the Town
of Smithtown."
A.
The proper administration of the government of the Town of Smithtown
requires its officers and employees, whether elected or appointed,
paid or unpaid, to be independent, impartial and free from conflicts
of interest in fulfilling their public responsibilities so that the
public will have confidence in the integrity of its Town government.
Therefore, the public interest requires that this Code of Ethics be
adopted as a standard of conduct, in addition to the standards prescribed
in Article 18 of the General Municipal Law, for the officers and employees
of the Town of Smithtown.
B.
This chapter shall be given its broadest possible interpretation
under law, so as to implement its stated purpose.
[Amended 2-11-1992 by L.L. No. 1-1992]
As used in this chapter, the following terms shall have the
meanings indicated:
Any private interest, activity or transaction.
Includes any action or omission which is in conflict or gives
the appearance of conflict with the performance of official Town business
or government.
Persons who are not officers but whose salaries are paid,
in whole or in part, by the Town of Smithtown.
Includes a spouse and unemancipated minor children residing
in the same household with their parents.
The leader or Chairperson of any Town committee or a party
as the term "party" is defined in § 1-104 of the Election
Law. The term "Chairperson" or "leader" is intended to refer to the
person who performs the functions and duties of the chief official
of a party in the Town by whatever title designated.
Includes every officer who is elected by electors of the
Town of Smithtown, every Town officer as defined in the Town Law and
other Town officials and members of committees or boards of the Town
of Smithtown created by virtue of the Town Law and appointed by the
Town Board, whether compensated or uncompensated.
Any employee who:
Is designated as managerial under Civil Service Law § 201,
Subdivision 7;
Is in the noncompetitive class and has been designated by the
State Department of Civil Service, or local equivalent, as performing
functions influencing policy; or
Exercises responsibilities of a broad scope in the formulation
of plans for the implementation of goals or policy for the Town of
Smithtown or acts as an advisor to an individual in such a position.
Any person living in the same household as the individual
and any person who is a direct descendent of the individual's grandparents
or the spouse of such descendent.
[Added 7-7-2012 by L.L.
No. 4-2012]
[Amended 2-11-1992 by L.L. No. 1-1992]
A.
No official or employee shall engage in any act which is in conflict
or gives the appearance of conflict with the performance of the official's
or employee's duties. An official or employee shall be deemed to have
a conflict of interest if:
(1)
The person willfully engages in any business transaction or professional
activity or shall have a financial or other private interest, direct
or indirect, or incurs any obligation of any nature which is in substantial
conflict with the proper discharge of the official's or employee's
duties, unless such officer or employee abstains from voting or otherwise
officially acting with respect to the subject matters affected.
(2)
The person receives or has any financial interest in any sale to
or by the Town of any service or property when such financial interest
was received with the proper knowledge that the Town intended to purchase
such property or obtain such service.
(3)
The person uses or attempts to use his or her official position to
secure unwarranted privileges or exemptions for himself or herself
or others, including members of his or her family.
(4)
The person engages in or accepts private employment or engages in
any business transaction or professional activity or makes any investment
which will impair his or her independence of judgment in the exercise
of his or her official duties or will interfere in any manner whatsoever
with the discharge of his or her official duties.
B.
The foregoing acts are listed by way of example and are by no means
to be deemed all-inclusive. Every officer and employee of the Town
of Smithtown shall endeavor to pursue a course of conduct which will
not raise suspicion among the public that he or she is likely to be
engaged in acts that are in violation of his or her trust.
C.
No elected
official, officer or employee of the Town shall participate in any
decision to hire, promote, discipline or discharge a relative or family
member for or in any position in the Town government.
[Added 7-7-2012 by L.L.
No. 4-2012]
[Amended 2-11-1992 by L.L. No. 1-1992; 6-9-2009 by L.L. No.
1-2009]
A.
No officer or other employee shall disclose, without proper authority,
confidential information concerning the property or affairs of the
Town of Smithtown nor shall the officer or employee use such information
to advance the financial or other private interest of said officer
or employee or others.
B.
No officer or employee of the Town of Smithtown shall accept employment
or engage in any business or professional activity which will require
the official or employee to disclose confidential information which
the official or employee has gained by reason of the official's or
employee's position or authority.
C.
No former officer or employee shall disclose any confidential information
learned or acquired during the period of his or her Town service concerning
the affairs of the Town of Smithtown, nor shall any former officer
or employee use such information, directly or indirectly, to advance
the financial or other private interest of said former officer or
employee or of any others.
D.
No former officer or employee may appear at any time before any Town
board or agency on any case, application or specific matter on which
he/she participated or obtained privileged or confidential information
during his/her service with the Town.
E.
No Town officer or employee of the Town of Smithtown shall represent,
directly or indirectly, any private interest, person or entity before
any Town board or any court in any matter involving the Town or any
board or agency thereof. He or she shall not, after his or her termination
of service or employment with the Town, appear before any board or
agency of the Town of Smithtown in relation to any matter or proceeding
which was commenced or pending during his or her employment for a
period of two years from the date of termination.
[Amended 2-11-1992 by L.L. No. 1-1992; 6-7-1994 by L.L. No.
6-1994; 5-8-2007 by L.L. No. 5-2007; 6-9-2009 by L.L. No.
1-2009]
A.
Office of the Town Attorney. The Town Attorney or special counsel
to the Town is prohibited from exercising any discretion in any matter
of Town interest which shall involve any person, firm or corporation
that has been a client of the Town Attorney or special counsel or
of the Town Attorney's or special counsel's firm within a one-year
period of the time that said matter is handled by the office of the
Town Attorney. This, however, shall not prevent the assignment by
the Town Board of such a matter to another attorney, as special counsel,
who has had no interest in such matter.
B.
Office of the Building Department. Neither the Building Director,
the Building Inspector nor any assistant shall engage in the real
estate, insurance or building contracting business or building materials
business, directly or indirectly, in the Town of Smithtown during
the course of the Building Director's, Building Inspector's or assistant's
employment.
C.
Office of the Assessor. Neither the Assessor nor any of the Assessor's
assistants shall engage in the real estate, construction, building,
contracting or building materials business or have any financial interest
in firms engaging in such business during the course of the Assessor's
or assistant's employment by the Town.
D.
Office of the Town Engineer. Neither the Town Engineer nor any of
the Town Engineer's assistants shall have any interest in or accept
any compensation in any form from any engineering firm which has an
interest in matters coming before any Town agency.
E.
Office of the Director of Planning. Neither the Director of Planning
nor the Director's assistants shall have any interest in or accept
compensation from any planning and/or consulting firm which is interested
in matters coming before any Town agency.
A.
A local Board of Ethics is hereby established, pursuant to Article
18 of the General Municipal Law, to ensure compliance with the requirements
of the Code of Ethics and to review all claims of conflict of interest.
B.
The Board of Ethics shall render advisory opinions regarding conflicts
of interest to officers and employees of the Town of Smithtown with
respect to Article 18 of the General Municipal Law and this Code of
Ethics. Such advisory opinions shall be rendered pursuant to the request
of any member of the Town Board or any Town employee.
[Amended 6-9-2009 by L.L. No. 1-2009]
C.
The Board of Ethics shall review, pursuant to the procedure outlined in § 30-9, all claims of confidentiality or privilege and/or requests for exemptions.
D.
The Board of Ethics shall receive and hear all complaints alleging
violations of this Code of Ethics upon the written request of any
individual. This request must be signed by the individual complainant
and must include his or her address. Upon receipt, a copy of any such
complaint shall be provided to the Town Board by the Board of Ethics.
E.
The Board of Ethics shall act as a repository for completed financial disclosure forms filed pursuant to § 30-9 and shall review the same for possible conflicts of interest.
F.
The Board of Ethics shall consist of three members appointed by the
Town Board of the Town of Smithtown to serve without compensation
for terms of three years. The original members selected shall serve
at staggered terms of three years, two years and one year. The members
of the Board of Ethics should be qualified by temperament to carry
out the duties of the Board of Ethics and, preferably, should have
appropriate legal and/or financial background. In no event shall any
employee and/or officer of the Town be eligible for membership. Furthermore,
no recognized political party, as defined in the Election Law of the
State of New York, shall be represented by more than one enrollee
as a member of the Board of Ethics.
G.
The Town Attorney shall serve as counsel to the Board of Ethics except
when the Town Attorney shall exclude himself or herself in any matter
in which it appears the Town Attorney has or may have a conflict of
interest, in which case the Board of Ethics may hire special counsel.
[Amended 2-11-1992 by L.L. No. 1-1992; 6-9-2009 by L.L. No.
1-2009]
H.
Advisory opinions regarding conflicts of interest and adjudicatory
decisions with a finding of a violation of this Code of Ethics shall
be made available for public inspection in accordance with procedures
established by the Board of Ethics. The aforesaid procedures shall
be reviewed by the Town Attorney for consistency and legality prior
to adoption by the Board of Ethics.
[Amended 2-11-1992 by L.L. No. 1-1992; 6-9-2009 by L.L. No.
1-2009]
I.
The Board of Ethics shall have such other powers and duties as shall
be provided by or pursuant to Article 18 of the General Municipal
Law.
[Amended 6-9-2009 by L.L. No. 1-2009]
A.
Recognizing the need for professional integrity and the fact that various professional associations have set down standards of conduct for their members, the Town of Smithtown hereby requires that each officer or employee who is affected by a professional Code of Ethics be bound, in addition to the within chapter, by their respective Codes of Ethics. Any conflict between the provisions of this chapter and a given officer or employee's professional code of conduct is to be resolved by the Board of Ethics pursuant to the provisions as set forth in § 30-9. However, the Board of Ethics must at all times give the greatest latitude to said individual's professional code of conduct and, whenever possible, reconcile the within chapter to complement and respect the individual's professional code of conduct.
B.
Substantial consideration shall be given to the effect that deviation
from an individual's professional code of conduct will have on that
individual's ability to practice his or her profession. If need be,
the Board of Ethics is authorized and required to obtain advisory
opinions from the appropriate professional association to clarify
any given situation.
[Amended 2-11-1992 by L.L. No. 1-1992]
A.
Any individual who holds a title as outlined in Appendix A[1] of this chapter and any policymaker or local political
party official shall file with the Board of Ethics of the Town of
Smithtown, within 30 days after taking office or commencing employment
or of taking the position of local political party official or whenever
they become affected by the provisions of this chapter and annually
on or before May 15 of every following year during their terms of
office or employment, a financial disclosure statement. The time for
filing such statements may be extended, pursuant to the rules of the
Board of Ethics, for justifiable cause and/or undue hardship, upon
application to the Board of Ethics. Candidates for local elected office
shall file a financial disclosure statement with the Board of Ethics
within seven days after the date of the meeting of the party committee
at which they are nominated.
[Amended 6-9-2009 by L.L. No. 1-2009]
[1]
Editor's Note: Appendix A is included at the end of this chapter.
B.
Any individual required to file a financial disclosure statement
pursuant to the provisions of this chapter shall file with the Board
of Ethics a disclosure statement answering each and every question.
This statement shall be in the form prescribed by the Board of Ethics
as approved by Town Board resolution.
C.
Every such statement filed with the Board of Ethics shall be subject
to public inspection; provided, however, that an employee may request
confidentiality with regard to parts of his financial statement that
have no relationship to his official duties. An employee may also
request an exemption from any requirement to report items of information
which pertain to such person's spouse and/or unemancipated children.
Confidentiality and/or an exemption may be granted by the Board of
Ethics with regard to such parts that, in the opinion of the Board
of Ethics, pose no conflict of interest and/or have no relationship
to the official duties of the employee. Parts of the statement that
are granted confidential and/or exempt status by the Board of Ethics
and categories of amounts of value shall not be disclosed to the public.
[Amended 6-9-2009 by L.L. No. 1-2009]
D.
Any part of a financial disclosure statement that has been granted
confidential and/or exempt status by the Board of Ethics pursuant
to the employee's request as well as categories of amounts of value
shall be maintained by the Board of Ethics as confidential information.
It shall be a violation for any Board of Ethics member or any other
individual, except the employee who filed the statement, to disclose
any information that has been granted confidential and/or exempt status
or any category of amounts of value. Such violation shall be punishable
by a fine of not more than $500, as determined by the Board of Ethics.
E.
If information granted confidential or exempt status is intermixed with parts of the statement that will be subject to public inspection, such confidential or exempt information shall be deleted by the Board of Ethics from a copy to be made available for any such inspection, and the original information shall be retained by the Board of Ethics pursuant to § 30-9C.
[Amended 6-9-2009 by L.L. No. 1-2009]
F.
If a person required to file a financial disclosure statement with
the Board of Ethics has failed to file a disclosure statement or has
filed a deficient statement, the Board of Ethics shall, without undue
delay, notify the reporting person in writing stating the person failed
to file the required statement or detailing the deficiency, provide
the person with a fifteen-day period to cure the deficiency and advise
the person of the penalties for failure to comply with the reporting
requirements. Such notice shall be confidential. If the person fails
to make such filing or fails to cure the deficiency within a specified
time period, the Board of Ethics shall send a notice of delinquency
to the reporting person and to the Town Board. Any such person shall
be subject to the adjudicatory provisions hereof.
[Amended 6-9-2009 by L.L. No. 1-2009]
G.
Violations; notice and hearing.
[Amended 6-9-2009 by L.L. No. 1-2009]
(1)
If a reporting person has filed a statement which reveals a possible
violation of this Code of Ethics or the Board of Ethics receives a
sworn complaint alleging such a violation, or if the Board of Ethics
determines on its own initiative to investigate a possible violation,
the Board of Ethics shall notify the reporting person in writing,
describe the possible or alleged violation of such Code of Ethics
and provide the person with a fifteen-day period in which to submit
a written response setting forth information relating to the activities
cited as a possible or alleged violation of law. If the Board of Ethics
thereafter makes a determination that further inquiry is justified,
it shall give the reporting person an opportunity to be heard. The
Board of Ethics shall inform the reporting individual of its rules
regarding the conduct of adjudicatory proceedings and appeals and
the due process procedural mechanisms available to such individual.
If the Board of Ethics determines at any stage of the proceeding that
there is no violation or that any potential conflict of interest violation
has been rectified, it shall so advise the reporting person and the
complainant, if any. All of the foregoing proceedings shall be confidential.
(2)
If the Board of Ethics determines that there is reasonable cause
to believe that a violation has occurred, it shall send a notice of
reasonable cause to the reporting person, to the complainant, if any,
and to the Town Board. Any such person shall be subject to the adjudicatory
provisions hereof.
(3)
A reporting individual who knowingly and willfully fails to file
an annual statement of financial disclosure, or who knowingly and
willfully has filed a deficient statement, or who knowingly and willfully
with intent to deceive makes a false statement or gives information
which such individual knows to be false on such statement of financial
disclosure filed pursuant to this chapter shall assessed a civil penalty
in the amount not to exceed $10,000. Such individual shall also be
subject to suspension and/or other disciplinary action, as the Town
Board considers advisable, and/or upon recommendation of the Board
of Ethics. Assessment of a civil penalty hereunder shall be made by
the Board of Ethics with respect to persons subject to its jurisdiction.
The Board of Ethics may, in lieu of any civil penalty, refer a violation
to the District Attorney for prosecution, and upon such conviction,
but only after such referral, such violation shall be punishable as
a Class A misdemeanor. A civil penalty for false filing may not be
imposed hereunder in the event that a category of value or amount
reported hereunder is incorrect, unless such reported information
is falsely understated. Assessment of a civil penalty shall be final
unless modified, suspended or vacated within 30 days of imposition.
With respect to the assessment of such penalty, upon becoming final,
such penalty shall be subject to review pursuant to Article 78 of
the Civil Practice Law and Rules.
H.
Policymakers.[2]
(1)
The following are factors to consider in determining whether a person
holds a policy-making position:
(a)
Whether the position permits meaningful input into the governmental
decisionmaking process or issues where there is room for principled
disagreement on goals or their implementation.
(b)
Whether the powers and duties of the position are broadly defined
and require more than the exercise of simple ministerial competence.
(c)
Whether the position permits the person to exercise control
over other officers or employees.
(d)
Whether the position involves the establishment of priorities
or the development of programs.
(e)
Whether the position requires or authorizes the conducting of
studies or entails a significant degree of involvement in the preparation
of budgets or budget requests for the Town of Smithtown.
(f)
Whether the position authorizes the person to speak on behalf
of the Town's elected officials or other policymakers.
(g)
Whether the position entails frequent contact with Smithtown's
elected officials or their principal deputies.
(2)
The Town Board of the Town of Smithtown shall use both an objective
test and a subjective test in applying the factors set forth above
in determining whether or not an individual holds a policy-making
position.
(3)
The Town Board on its own initiative or at the request of the Board
of Ethics shall determine whether a particular position is a policy-making
position.
(4)
The Town Board shall notify, in writing, each employee designated
as "policy-making."
No Town officer or employee shall use or permit the use of Town
property (including land, vehicles, equipment, materials and any other
property) for personal convenience or profit, except when such use
is available to Town citizens generally or is provided as a matter
of Town policy.
[Amended 2-11-1992 by L.L. No. 1-1992]
A Town officer, employee or appointee of the Town of Smithtown
shall treat all members of the public, whether a person, firm, corporation
or other organization, with equal consideration and without special
advantage. Every such employee shall also endeavor to pursue a course
of conduct which will not raise suspicion among the public that he
or she is likely to be engaged in acts that are in violation of his
or her trust.
[Amended 6-9-2009 by L.L. No. 1-2009]
The Supervisor of the Town of Smithtown shall cause a copy of
this Code of Ethics to be made available to every officer and employee
of the Town and post a copy of § 800 through § 809
of the General Municipal Law in every Town building. The Town Clerk
of the Town of Smithtown shall cause a copy of this Code of Ethics
to be made available for public inspection at the Town Clerk's office.
[Amended 2-11-1992 by L.L. No. 1-1992; 6-9-2009 by L.L. No.
1-2009]
A violation of Article 18 of the General Municipal Law or any
provision of this Code of Ethics shall be grounds for suspension and/or
other disciplinary action, as the Town Board considers advisable,
and/or upon recommendation of the Board of Ethics.
