Town of Schodack, NY Chapter 27 Ethics, Code of

[HISTORY: Adopted by the Town Board of the Town of Schodack 3-24-2022 by L.L. No. 2-2022.[1]. Amendments noted where applicable.]

[1] Editor's Note: This local law also repealed former Ch. 27, Ethics, Code of, adopted 7-9-1970 by L.L. No. 3-1970.

§ 27-1 Legislative intent and purpose.

A. The Town Board finds that the Town's current Code of Ethics does not sufficiently meet adequate standards of municipal ethics. It is, therefore, the intent of this chapter to amend the current Code of Ethics by supplanting it with a new Code of Ethics.

B. The purpose of this code is to establish minimum standards of conduct for officials and employees of the Town to ensure that, among other things, the business of Town government is free from improper influence that may result from opportunities for private gain. This code is intended to facilitate consideration of potential problems before they arise and to enhance the accountability of the Town government to residents. More specifically, this code is designed to:

(1) Establish transparent frameworks for government officials with respect to official actions and other decisionmaking processes;

(2) Ensure transparency and ethical conduct by government employees and officials;

(3) Promote and foster public trust and citizen confidence in the administration of government; and

(4) Demonstrate a formal and codified commitment to ethical behavior by all government officials.

C. Officers and employees of the Town hold their positions to serve and benefit the public and not for obtaining unwarranted personal or private gain in the exercise and performance of their official powers and duties. The Town recognizes that, in furtherance of this fundamental principle, there is a need for clear and reasonable standards of ethical conduct to prohibit acts or actions incompatible with the discharge of public duties in the best interests of the Town and its residents. This code establishes those standards.

§ 27-2 Definitions.

As used in this chapter, the following terms shall have the meanings indicated:

BOARD or BOARD MEMBERS

The governing board of a Town and any Town administrative board (e.g., Planning Board, Zoning of Board of Appeals, etc.), commission, or other agency or body comprised of two or more Town officers or employees.

CODE

This Schodack Town Code of Ethics.

CONFIDENTIAL INFORMATION

Information that at the time of its disclosure or use by a Town official is not generally available to the public or is exempt from disclosure by state or federal statute.

INTEREST

A direct or indirect financial or material benefit, but does not include 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. A Town officer or employee is deemed to have an interest in any private organization when he or she or a relative is an owner, partner, member, director, officer, employee, or directly or indirectly owns or controls more than 5% of the organization's outstanding stock.

RECUSAL

The official shall not be present, deliberate, vote or participate in any way in a matter in which they or a relative has an interest. When an official recuses himself or herself, they may not provide input from the audience as a member of the public.

RELATIVE

A spouse, domestic partner, parent, stepparent, sibling, stepsibling, sibling's spouse, child, stepchild, or household member of a Town officer or employee, and individuals having any of these relationships to the spouse/domestic partner of the officer or employee.

TOWN

The Town of Schodack.

TOWN OFFICER OR EMPLOYEE

A paid or unpaid officer, employee, or appointed independent contractor of the Town of Schodack, including, but not limited to, the members of any Town board.

§ 27-3 Applicability.

This code applies to the officers and employees of the Town, and shall supersede any prior code. The provisions of this code shall apply in addition to all applicable state and local laws relating to conflicts of interest and ethics, including, but not limited to, Article 18 of the New York General Municipal Law and all rules, regulations, policies, and procedures duly adopted by the Town.

§ 27-4 Prohibition on use of Town position for personal or private gain.

No Town officer or employee shall use his or her Town position or official powers and duties to secure a financial or material benefit for himself or herself, a relative, or any private organization in which he or she has a reported interest.

§ 27-5 Disclosure of interest in legislation and other matters.

A. Whenever a matter requiring the exercise of discretion comes before a Town officer or employee, either individually or as a member of a board, and disposition of the matter could result in a direct financial or material benefit to himself or herself, a relative, or any private organization in which he or she is deemed to have an interest, the Town officer or employee shall disclose in writing the nature of the interest.

B. The disclosure shall be made when the matter requiring disclosure first comes before the Town officer or employee, or when the Town officer or employee first acquires knowledge of the interest requiring disclosure, whichever is earlier.

C. In the case of a person serving in an elective office, the disclosure shall be filed with the Town Board. In all other cases, the disclosure shall be filed with the person's supervisor or, if the person does not have a supervisor, the disclosure shall be filed with the Town Clerk, and with the Town officer, employee, or board having the power to appoint to the person's position.

D. In the case of a person serving on a Town board, a copy of the disclosure shall be filed with that board. Any disclosure made to a board shall be made publicly at a meeting of the board and must be included in the minutes of the meeting.

§ 27-6 Recusal and abstention.

A. No Town officer or employee may participate in any decision or take any official action with respect to any matter requiring the exercise of discretion, including discussing the matter and voting on it, when he or she knows or has reason to know that the action could confer a direct or indirect financial or material benefit on himself or herself, a relative, or any private organization in which he or she is deemed to have an interest.

B. Any Town officer or employee exercising the right to recuse and/or abstain shall state the reason on the record before the board or agency of which he or she is a member.

C. In the event that this section prohibits a Town officer or employee from exercising or performing a power or duty:

(1) If the power or duty is vested in a Town officer as a member of a board, then the power or duty shall be exercised or performed by the other members of the board; or

(2) If the power or duty is vested in a Town officer individually, then the power or duty shall be exercised or performed by his or her deputy. If the officer does not have a deputy, the power or duty shall be performed by another person to whom the supervisor may lawfully delegate the function; or

(3) If the power or duty is vested in a Town employee, he or she must refer the matter to his or her immediate supervisor, and the immediate supervisor shall designate another person to exercise or perform the power or duty.

§ 27-7 Exceptions to requirements for disclosure, recusal or abstention.

A. This code's prohibition on use of a Town position (§ 27-4 hereof), disclosure requirements (§ 27-5 hereof), and requirements relating to recusal and abstention (§ 27-6 hereof), shall not apply with respect to the following matters:

(1) Adoption of the Town's annual budget;

(2) Any matter requiring the exercise of discretion that directly affects any of the following groups of people or a lawful class of such groups:

(a) All Town officers or employees;

(b) All residents or taxpayers of the Town or an area of the Town;

(c) The general public; or

(d) Any matter that is required by law, executive order or mandate.

B. Recusal and abstention shall not be required with respect to any matter that:

(1) Comes before a board when a majority of the board's total membership would otherwise be prohibited from acting by § 27-6 hereof;

(2) Comes before a Town officer when the officer would be prohibited from acting by § 27-6 hereof and the matter cannot be lawfully delegated to another person.

§ 27-8 Interests in conflict with official duties.

A. No Town officer or employee may acquire interests that can be reasonably expected to require more than excessive recusal and abstention under § 27-6 hereof.

B. The Supervisor, Town Board, Comptroller, or their deputies may not have interest in any bank, trust company, or other financial institution named as a depository.

C. This section does not prohibit a Town officer or employee from acquiring any other interests or real property located within the Town and used as his or her personal residence or for any other uses.

§ 27-9 Private employment in conflict with official duties.

No Town officer or employee, during his or her tenure as a Town officer or employee, may engage in any private employment, including the rendition of any business, commercial, professional or other types of services, when the employment:

A. Can be reasonably expected to require more than excessive recusal and abstention pursuant to § 27-6 hereof;

B. Can be reasonably expected to require disclosure or use of confidential information gained by reason of serving as a Town officer or employee;

C. Requires representation of a person or organization other than the Town in connection with litigation, negotiations or any other matter to which the Town is a party. In addition, no Town officer or employee may receive or enter into any agreement, express or implied, for compensation for services to be rendered in relation to any matter before any Town board or agency of which he is an officer, member, or employee, or of any municipal agency over which he has jurisdiction or to which he has the power to appoint any member, officer or employee; or receive, or enter into any agreement, express or implied, for compensation for services to be rendered in relation to any matter before any board or agency of the Town, whereby his compensation is to be dependent or contingent upon any action by such board or agency with respect to such matter, provided that this subsection shall not prohibit the fixing at any time of fees based upon the reasonable value of the services rendered.

§ 27-10 Future employment.

A. No Town officer or employee may ask for, pursue, or accept a private post-government employment opportunity with any person or organization that has a matter requiring the exercise of discretion pending before the Town officer or employee, either individually or as a member of a board, while the matter is pending or within a one-year period following the final disposition of the matter.

B. No Town officer or employee, for a two-year period after serving as a Town officer or employee, may represent or render services to a private person or organization in connection with any matter involving the exercise of discretion before the Town office, board, department, or comparable organizational unit for which he or she served. Additionally, the organizational unit for which the former Town employee served shall refuse to entertain the former employee if they seek to represent or render services to a private person or organization in connection with any matter involving discretion before that organizational unit for a two-year period.

C. No Town officer or employee, at any time after serving as a Town officer or employee, may represent or render services to a private person or organization in connection with any particular transaction in which he or she personally and substantially participated while serving as a Town officer or employee. Additionally, the Town, or organizational unit in which the Town officer or employee served, shall refuse to entertain the former employee if they seek to represent or render services to a private person or organization in connection with any particular transaction in which he or she personally and substantially participated while serving as a Town officer or employee.

§ 27-11 Personal representations and claims permitted.

This code shall not be construed as prohibiting a Town officer or employee from:

A. Representing himself or herself, or his or her spouse or minor children before the Town; or

B. Asserting a claim against the Town on his or her own behalf, or on behalf of his or her spouse or minor children.

§ 27-12 Use of Town resources.

A. Town resources shall be used for lawful Town purposes. Town resources include, but are not limited to, real property, personnel, money, vehicles, equipment, materials, supplies or other property owned or retained by the Town.

B. No Town officer or employee may use or permit the use of Town resources for personal or private purposes, but this provision shall not be construed as prohibiting:

(1) Any use of Town resources authorized by law or written Town policy;

(2) The use of Town resources for personal or private purposes when provided to a Town officer or employee as part of his or her compensation;

(3) The occasional and incidental use during the business day of Town telephones and computers for necessary personal matters such as family care and changes in work schedule; or

(4) The occasional or incidental use when special circumstances necessitate, provided that the employee has prior approval of their direct supervisor.

C. No Town officer or employee shall cause the Town to spend more than is reasonably necessary for transportation, meals or lodging in connection with official travel, in accordance with Town policy.

§ 27-13 Interests in contracts.

A. No Town officer or employee shall have an interest in any contract with the Town, when such officer or employee, individually or as a member of a board, has the power or duty to negotiate, prepare, authorize or approve the contract or authorize or approve payment of the contract.

B. Any Town officer or employee who has, will have, or later acquires an interest in any actual or proposed contract with the Town shall publicly disclose the nature and extent of such interest in writing to the Board of Ethics as soon as he has knowledge of such actual or prospective interest. Such written disclosure shall be made part of and set forth in the official record of the proceedings of the Board of Ethics. Once disclosure has been made by an officer or employee with respect to an interest in a contract with a particular person, firm, corporation or association, no further disclosures need to be made by such officer or employee with respect to additional contracts with the same party during the remainder of the fiscal year.

§ 27-14 Nepotism.

Except as otherwise required by law:

A. No Town officer or employee, either individually or as a member of a board, may participate in any decision specifically to appoint, hire, promote, discipline or discharge a relative for any position at, for, or within the Town or a Town board.

B. Town board members shall recuse themselves from deliberations and abstain from voting on items pertaining to their relatives.

C. Elected officials' spouse/domestic partner, sibling, child(ren)/stepchild(ren), brother-/sister-in-law, or son-/daughter-in-law shall not be hired or appointed to any position in the Town during the elected officials' term in office where such elected official would be a direct supervisor of the person hired or appointed in such position.

D. Nothing contained herein shall prevent those Town officers and employees who, as of the effective date of this Code of Ethics, currently serve the Town from continuing to do so. Those persons shall be grandfathered in and allowed to remain in their current positions.

E. Whenever a relative of a Town officer seeks seasonal employment, the potential appointment will be forwarded to the Human Resources official for final review to assure compliance with the Town's current hiring guidelines. Seasonal employment shall be defined as employment for not more than 14 weeks per calendar year regardless of the number of hours per week the seasonal employee works.

F. Whenever a relative of a Town officer or employee would be appointed based on their reachable status for selection from an appropriate civil service eligibility list; the potential appointment will be forwarded to the Human Resources official for final review to assure compliance with the Town's current hiring guidelines.

G. No Town officer or employee may directly supervise a relative in the performance of the relative's official powers or duties unless the following conditions have been met:

(1) Hiring or appointment guidelines of the Town have been observed.

(2) A nonrelated individual has been assigned as manager to conduct performance evaluations and recommend promotions or advancements.

§ 27-15 Political activity and solicitations.

A. No Town officer or employee shall directly or indirectly compel or induce from another Town officer or employee any political contribution, whether by gift of money, service or other thing of value.

B. No Town officer or employee may 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 officer or employee, or an applicant for a position as a Town officer or employee, on the basis of the giving or withholding or neglecting to make any contribution of money or service or any other valuable thing for any political purpose.

C. No Town officer or employee may engage in activities related to any political party while engaged in official Town business. Activities prohibited include fundraising, collecting signatures, and organizing meetings.

D. No Town officer or employee shall engage in political campaign activities while engaged in official Town business.

E. No Town officer or employee shall use Town resources for any political campaign or political activities.

F. No Town officer or employee shall request or require a subordinate by a third party to attend political functions, sign political forms or petitions, or otherwise engage in activities for a political party during their normal business hours or while acting as a representative of the Town.

G. This section should not be construed to limit the right of Town officers or employees to engage in political dialogues, discussions, or express political opinions and views.

H. No elected member of a county, state or federal legislative body may be appointed to serve as attorney or member of the Planning Board, Zoning Board of Appeals, or Board of Ethics.

I. This section shall not apply to any position of employment in the Town made possible by any act of Congress or of the legislature appropriating, or authorizing the appropriation of funds for work relief or relief purposes.

§ 27-16 Confidential information.

A. No Town officer or employee who acquires confidential information in the course of exercising or performing his or her official powers or duties may disclose or use such information unless the disclosure or use is required by law or in the course of exercising or performing his or her official powers and duties.

B. No Town officer or employee who acquires confidential information in the course of exercising or performing his or her official powers or duties shall use that information to further their own business, professional, or political career, or that of a relative.

§ 27-17 Gifts.

A. No Town officer or employee shall solicit, accept or receive a gift in violation of § 805-a, Subdivision 1a, of the New York General Municipal Law as interpreted in this section.

B. No Town officer or employee may accept or receive any gift, or multiple gifts from the same donor, having an annual aggregate value of $100 or more when:

(1) The gift reasonably appears to be intended to influence the officer or employee in the exercise or performance of his or her official powers or duties;

(2) The gift could reasonably be expected to influence the officer or employee in the exercise or performance of his or her official powers or duties; or

(3) The gift is intended as a reward for any official action on the part of the officer or employee.

C. For purposes of this section, a "gift" includes anything of value, whether in the form of money, service, loan, travel, entertainment, hospitality, thing or promise, or in any other form. The value of a gift is the gift's fair market value, determined by the retail cost of the item or a comparable item. The fair market value of a ticket entitling the holder to food, refreshments, entertainment, or any other benefit is the face value of the ticket, or the actual cost to the donor, whichever is greater. Determination of whether multiple gifts from a single donor exceed $100 must be made by adding together the value of all gifts received from the donor by an officer or employee during the twelve-month period preceding the receipt of the most recent gift.

D. A gift to a Town officer or employee is presumed to be intended:

(1) To influence the exercise or performance of his or her official powers or duties when the gift is from a private person or organization that seeks Town action involving the exercise of discretion by or with the participation of the officer or employee.

(2) As a reward for official action when the gift is from a private person or organization that has obtained Town action involving the exercise of discretion by or with the participation of the officer or employee during the preceding 12 months.

E. This section does not prohibit any other gift, including:

(1) Gifts made to the Town;

(2) Gifts from a person with a family or personal relationship with the officer or employee when the circumstances make it clear that the personal relationship, rather than the recipient's status as a municipal officer or employee, is the primary motivating factor for the gift;

(3) Gifts given on special occasions, such as marriage, illness, or retirement, which are reasonable and customary;

(4) Unsolicited advertising or promotional material of little intrinsic value, such as pens, pencils, note pads, and calendars;

(5) Awards and plaques having a value of $100 or less which are publicly presented in recognition of service as a Town officer or employee, or other service to the community; or

(6) Meals and refreshments provided when a Town officer or employee is a speaker or participant at a job-related professional or educational conference or program and the meals and refreshments are made available to all participants.

§ 27-18 Board of Ethics.

A. There is hereby established a Board of Ethics for the Town.

(1) The Board of Ethics shall consist of:

(a) At least three members, but no more than five members, a majority of whom shall not be officers or employees of the Town, but at least one of whom must be a Town officer or employee; and

(b) Two alternate members for purposes of substituting for a member in the event such member is unable to participate because of a conflict of interest. Such alternate members shall serve for a term not to exceed two years.

(2) The terms of members of the Board shall be for terms so fixed that the term of one member shall expire at the end of the calendar year in which such members were initially appointed. The terms of the remaining members shall be fixed so that one term shall expire at the end of each calendar year thereafter. At the expiration of the term of each member first appointed, his or her successor shall be appointed for a term which shall be equal in years to the number of members of the board, excluding alternate members. The terms of the members first appointed shall be determined by lot drawn by the Town Clerk in the presence of the Supervisor and at least one Town Board member selected by the Town Board.

(3) The members of the Board of Ethics must be residents of the Town.

(4) Town Board members and their relatives are ineligible to serve on the Board of Ethics.

(5) The members shall receive no salary or compensation for their services as members of the Board of Ethics.

(6) The members of such Board shall not function as an officer (Chairperson, Vice Chairperson, Secretary, Treasurer or other elected or appointed office holder) or committee member of a political party.

(7) Members of the Board of Ethics may be removed by the Town Board, after an opportunity to be heard, for among other things:

(a) Violation of the Code of Ethics.

(b) Violation of the confidentiality of any person who files a complaint, is the subject of an investigation, or appears before the Board of Ethics.

(c) Conviction for a crime while serving on the Board.

(d) Excessive absence from meetings of the Board of Ethics. "Excessive" is defined as missing more than 50% of the meetings in a calendar year.

(e) Announcing a run for political office.

B. The Board of Ethics shall render advisory opinions to the officers and employees of the Town. Such advisory opinions must be rendered pursuant to the written request of any such officer or employee under such rules and regulations as the Board of Ethics may prescribe. The Board of Ethics shall have the advice of legal counsel employed by the Board, or if none, the Town's legal counsel, except in cases which such counsel has a conflict. In cases of a conflict of said attorney, the Town shall pass a resolution for the appointment of special counsel. In addition, the Board of Ethics may make recommendations with respect to the drafting and adoption of a code, or amendments thereto, upon the request of the Town Board.

C. Receipt and investigation of complaints.

(1) In addition to the other powers and duties granted to the Board of Ethics above, the Board shall have the authority to receive from any person a written complaint alleging a violation by any officer or employee of the Town of the provisions of this chapter. The Board of Ethics may prescribe a form for such complaint. The written complaint must be signed and notarized, shall include the individual complainant's address, and set forth in reasonable detail and documentation, if any, the facts alleged to constitute the violation(s). Within 15 business days of receipt of a complaint, the Board of Ethics, by a member, shall send a written acknowledgement that the complaint has been received.

(2) The identity of individuals filing complaints with the Board shall remain confidential to the extent possible. All proceedings and actions relating to any complaint received by the Board of Ethics, including interviews, reviews of documents and other evidence, and deliberations, shall be held in executive session.

(3) If the Board, after reviewing the complaint, determines that it does not, on its face, state a violation of the code, it shall take no further action. If the Board determines that the complaint alleges, on its face, a violation of the code, it shall inform the Town official or employee who is the subject of the complaint that a complaint has been filed and accepted for investigation, and shall make such investigation as it deems proper. If, after such investigation, it determines that there is inadequate proof, the Board shall submit a report to the Town Board with its findings and a recommendation that no action be taken. In either case, the complainant shall be notified of the Board's action.

(4) If the Board determines, after review of the complaint and such further investigation as the Board deems necessary, that a preponderance of the evidence shows that a violation of the Code of Ethics has occurred, the Board shall prepare and submit to the Town Board a written report, setting forth the allegations in the complaint, a summary of the Board's investigation, and the Board's determination that adequate evidence exists that a violation of the Code of Ethics has occurred. A copy of the report shall be provided to the Town official or employee who is the subject of the report.

(5) If a complaint is received that is duplicative of a complaint already in front of the Board of Ethics, it may be combined into a single complaint. In order for a complaint to be deemed duplicative it must be:

(a) Against the same person;

(b) For the same violation; and

(c) For the same circumstance. Repetitive violations whose only difference is the day or time at which they occurred will be considered duplicative.

§ 27-19 Posting and distribution.

A. The Supervisor must promptly cause a copy of this code, and a copy of any amendment to this code, to be posted publicly and conspicuously in each building under the Town's control. The code must be posted within 10 days following the date on which the code takes effect. An amendment to the code must be posted within 10 days following the date on which the amendment takes effect.

B. The Supervisor must promptly cause a copy of this code, including any amendments to the code, to be distributed to every person who is or becomes an officer and employee of the Town.

C. Every Town officer or employee who receives a copy of this code or an amendment to the code must acknowledge such receipt in writing. Such acknowledgements must be completed annually prior to the first day of March or within 30 days after the enactment of a modified code. Such acknowledgments must be filed with the Town Clerk who must maintain such acknowledgments as a public record.

D. The failure to post this code or an amendment to the code does not affect either the applicability or enforceability of the code or the amendment. The failure of a Town officer or employee to receive a copy of this code or an amendment to such code, or to acknowledge receipt thereof in writing, does not affect either the applicability or enforceability of the code or amendment to such code.

§ 27-20 Enforcement.

Any Town officer or employee who violates this code may be censured, fined, suspended or removed from office or employment.

§ 27-21 Annual report.

By the 15th day of February, the Board of Ethics shall present to the Town Board an annual report of its activities for the prior year.