[HISTORY: Adopted by the Town Board of the Town of Alden 8-7-2023 by L.L. No. 3-2023.[1] Amendments noted where applicable.]
The title of this chapter shall be "Town of Alden Code of Ethics," and shall replace in its entirety Chapter 29 of the Alden Town Code adopted as L.L. No. 2-1972.
This chapter is adopted pursuant to Article 18, § 806,
of the General Municipal Law of the State of New York.
The purpose of this chapter is to convey standards of ethical
conduct to officers and employees of the Town of Alden and serve as
a guide for the official conduct of the officers and employees of
the Town of Alden.
A.
This chapter applies to all Town of Alden officers, employees and
members of all boards and commissions (Town representative). The proper
operation of Town government requires that its Town representative
be independent, impartial, objective, unbiased and responsible to
the people of the Town and to discharge faithfully the duties of their
position, regardless of personal considerations. The Code of Ethics
is intended to maintain high standards of fairness, honesty, integrity,
and respect for others. The Code of Ethics provides general principles
of appropriate conduct and includes provisions to help avoid even
the appearance of impropriety. It would be nearly impossible and overly
cumbersome to try and capture all possible circumstances and situations
that might present themselves in the ethics of business within the
Town. Therefore, this Code of Ethics is not intended to be all-inclusive.
The absence of a specific circumstance or situation does not relieve
Town representatives from acting responsibly or exercising high ethical
standards. Town representatives should conduct themselves within the
spirit and intent of this Code of Ethics and should seek advice or
guidance if necessary.
B.
By issuing this Code of Ethics, the Town does not wish to preclude
neighborly conduct and acts of goodwill. This Code of Ethics is not
intended to preclude either extending or receiving acts of kindness,
expressions of appreciation, lending a helping hand, helping out in
a personal emergency and other similar circumstances. Should a complaint
of misconduct arise, it will be viewed by the Board of Ethics in terms
of whether the act was intended to gain or give special favor, gain
or give special consideration, influence a decision or to receive
personal gain or position.
C.
Any Town resident, Town representative, supplier/contractor, outside
government official or the general public may approach Town government
with ethical misconduct or conflict of interest concerns as provided
for herein.
As used in this chapter, the following terms shall have the
meanings as indicated:
The husband, wife, son, daughter, father, mother, brother,
sister, father-in-law, and/or mother-in-law. It shall also pertain
to any person living in the Town representative's household.
Any direct or indirect monetary or material benefit accruing
to a Town representative or:
A spouse, child, stepchild, sibling, or parent of the Town representative,
or a person claimed as a dependent on his or her latest individual
state income tax;
A firm, partnership or association of which such Town representative
is a member or employee;
A corporation of which such Town representative is an officer,
director or employee; and
A corporation, any stock of which is accrued or controlled directly
or indirectly by such Town representative.
An employee of the Town, an elected or appointed officer
of the Town, whether paid or unpaid, a member of any administrative
board, commission or other agency thereof, whether elected or assigned
or paid or unpaid. However, no person shall be deemed to be a Town
representative by reason of being an independent contractor performing
services under contract or agreement with the Town. No person shall
be deemed to be a Town representative solely by reason of being a
volunteer, such as a fireman or civil defense volunteer.
No Town representative may take action that provides a financial
or other personal benefit to his or her: 1) immediate family; 2) customers
or clients; 3) employer; or 4) a person who has made campaign contributions
to the Town representative within a twelve-month period. No Town representative
shall invest or hold any investment directly or indirectly in any
financial, business, commercial or other private transaction, which
creates a conflict with his or her official duties. No Town representative
shall receive or enter into any agreement, express or implied, for
compensation for services to be rendered in relation to any matter
before any Town agency or board of which he or she is an officer,
member or employee, or of any municipal agency over which he or she
has jurisdiction or to which he or she has the power to appoint any
member, officer or employee. Town representatives must disclose to
the Town Board if they or immediate family have any direct or indirect
interest in a company doing business with or being considered to do
business with the Town of Alden. To the extent that he or she knows
thereof, a Town representative, whether paid or unpaid, who participates
in the discussion or gives official opinion of the Town Board on any
legislation before the Town Board shall publicly disclose on the official
record the nature and extent of any direct or indirect financial or
other private interest he or she has in such legislation.
A Town representative must avoid circumstances that compromise
his or her ability to make decisions solely in the public interest
or create an appearance of impropriety.
A Town representative must recuse himself or herself when faced
with the above conflicts. Recusal means that the Town representative
may not deliberate, vote or participate in any way in that matter.
The Town representative should disclose his or her conflict and remove
him or herself from the discussion and decision-making process. He
or she should not provide input regarding the matter from the audience
in his or her capacity as a member of the public. A Town representative
should remove himself or herself from any review, recommendation,
or selection of any procurement transaction that involves such company.
No employee may use Town-owned property, assets or any resources
for personal purposes or profit or to benefit any person. Use of these
resources is restricted to the ethics of Town business, for the benefit
of all residents and to further an authorized public purpose. Any
outside employment must be kept completely separate from Town responsibilities.
Town representatives are prohibited from using Town equipment, tools,
time, property or other town resources for their outside employment
activities. Any activity seeking private gain or pursuit of a personal
business endeavor by an employee during work hours is prohibited.
Spouses and other family members of Town representatives may
not serve in positions whose duties conflict or appear to conflict
within the duties of the official. They may not serve on a commission,
board or body of which the Town representative is a member.
A Town representative may not solicit any gift or personal favor
nor may be or she receive any gift or personal favors, whether financial
or in any other form, from any person who is doing or seeking to do
business of any kind with the Town, including applications for permits
or approvals; has done business with the Town during the last six
months; or from a lobbyist representing a person before a Town agency.
A Town representative may not solicit or receive any gift or payment
as a reward for exercise of Town representative duties. Generally,
a Town representative may not receive or solicit any gift, creating
the appearance that he or she may be influenced or that his or her
responsibility to make impartial decisions solely in the public interest
is compromised. "Gifts" as used in this section excludes gifts from
family members; attendance at local social events such as holiday
festivities; benefits available to the general public; acceptance
of an award; functions that officials routinely attend, such as Chamber
of Commerce events; acceptance of promotional items; and an event
or activity fulfilling a public purpose.
A Town representative shall not solicit, negotiate for or commit
to accept private employment from any person doing business with or
having any matter pending with the Town or render services for private
interests when such employment or service creates a conflict with
or impairs the proper discharge of his or her duties. Otherwise, a
Town representative may engage in outside employment.
A Town representative shall not appear on behalf of or represent
a person in any matter before a municipal agency except on his or
her own behalf.
A Town representative or former Town representative may not
disclose confidential information or use it to further his or her
or another person's private interests or in any way utilize the
information for nonpublic purposes.
No Town representative shall solicit political contributions
from subordinates or request that they attend political functions
or engage in any political activity.
No Town representative who has left municipal service shall
appear before or receive compensation in a matter before his or her
former agency for a period of one year after departure. He or she
is permanently barred from appearing or receiving compensation regarding
a matter he or she was personally involved in as a Town official.
A Town representative is prohibited from holding more than one
position with the Town of Alden when one is subordinate to the other
or holding more than one position with the Town of Alden when the
duties of the positions conflict.
The Town work environment should be free from discrimination
on the basis of race, religion, sex, age, disability, national origin,
marital status, veteran status or sexual orientation. This policy
applies to hiring practices, administration of activities within Town
operations and government and between Town representatives and Town
residents.
No Town representative shall consume alcoholic beverages or
illegal drugs during working hours. No Town representative should
report to work under the influence of alcohol or illegal drugs.
No Town representative, except Town Constables, while carrying
out responsibilities of their Town position shall be in the possession
of a deadly weapon as defined in § 10, Subdivision 12, of
the NYS Penal Law.
A.
The Alden Town Board hereby establishes a Board of Ethics, who shall
serve at the pleasure of the Alden Town Board. The Board shall be
comprised of five members, only one of which must be a Town representative.
The Town's attorney shall serve as counsel to the Board of Ethics
except in any matter where a conflict of interest may exist.
B.
The term of office for Board of Ethics members shall be five years,
except for the initial appointments creating the Board, which shall
be appointed as follows: one initial member shall have a one-year
term; one initial member shall have a two-year term; one initial member
shall have a three-year term; one initial member shall have a four-year
term; and one initial member shall have a five-year term. No member
shall serve more than two consecutive terms.
C.
Meetings of the Board shall be held at the call of any member on
at least three days' written notice, mailed to the last known
address of the members. Minutes shall be kept for every meeting. It
is recognized that reputations of Town representatives can be wrongfully
tarnished by false or misleading complaints. Therefore, to the extent
allowed by law, the Board of Ethics shall be exempt from the Freedom
of Information Law and from the Open Meetings Law when reviewing complaints.
Discussions held in executive session shall remain confidential and
will not be disclosed.
D.
Board of Ethics members shall receive no salary or compensation for
their services, but shall be entitled to actual and necessary reimbursement
of expenses in performing the duties of their office.
E.
Should a vacancy in the Board of Ethics arise, the Town Board shall
appoint a person to serve out the remainder of the term.
F.
Any member of the Board of Ethics may be removed by the Town Board
for substantial neglect of duty, gross misconduct in office, inability
to discharge the powers or duties of his or her office or violation
of the Code of Ethics.
A.
The Board of Ethics shall have the powers and duties prescribed by
Article 18, § 808, of the General Municipal Law of the State
of New York and as set forth herein and shall render advisory opinions
to the officers and employees of the Town with respect to the Code
of Ethics and Article 18 of the General Municipal Law, and under such
rules and regulations as the Town Board may prescribe.
B.
The Board of Ethics shall have the authority to take testimony under
oath recognizing that false statements given under oath can be forwarded
to the Erie County District Attorney's Office for possible criminal
prosecution.
C.
The Board shall have the authority to receive from any person a written
complaint questioning the compliance of any Town representative with
the provisions of the Code of Ethics or addressing conflict-of-interest
concerns.
D.
The complaint shall be in writing, must include the complainant's
name, address and phone number and shall be signed by the complainant.
The written complaint shall set forth reasonable detail and documentation,
if any, of the facts alleged to constitute the violation(s), or the
conditions(s) that exist that creates a potential for a conflict of
interest. The complaint should include date(s), time and place of
each occurrence, and the name of the Town representative(s) charged
with the violation(s). Preferably, the complaint shall identify the
section of the Code of Ethics that has been allegedly violated.
E.
Any document identified as a complaint that is received by the Town
Board or a Town representative shall be forwarded, unaltered, to the
Board of Ethics.
F.
The Board of Ethics may on its own initiative conduct an inquiry
of a Town representative's alleged noncompliance with the provisions
of the Code of Ethics upon receipt of substantial, reliable evidence,
including, but not limited to, documents, written material, or other
forms of proof. The Board of Ethics shall also have the power to initiate
complaints as a result of information discovered during the course
of its duties.
G.
Upon receipt of a complaint, the Board of Ethics shall acknowledge
receipt to the complainant and forward the complaint simultaneously
to the Town representative who is the subject of the complaint and
to the Town's attorney.
H.
All complaints until completely investigated are considered alleged
violations or conflicts of interest, and, as such, are to be kept
in the confidential records of the Board of Ethics. Board of Ethics
members, the Town Board or any other Town representative having knowledge
about a complaint, and any details thereof, shall keep all complaints,
information and discussions thereof confidential before and during
investigation.
I.
Within 30 days after receipt of a complaint, the Board of Ethics
shall conduct a preliminary investigation.
J.
After the complaint has been filed and prior to any investigation
undertaken of a complaint before the Board of Ethics, no member of
the Board of Ethics or any of the Board's authorized agents may
communicate directly or indirectly with any party or other persons
about any issue of fact or law regarding the complaint, except that:
(1)
The members of the Board of Ethics may obtain legal advice from the
Town's attorney or special counsel as the case may be.
(2)
The members of the Board of Ethics may discuss the complaint among
themselves.
(3)
If any person attempts to influence a Board of Ethics member regarding
the pending complaint, the Board member shall report the substance
of the communication to the Board of Ethics at the next meeting of
the Board of Ethics.
K.
The Board of Ethics shall then conduct a preliminary analysis of
the complaint and determine whether there is probable cause for the
complaint. In the event that the Board of Ethics should find no probable
cause for the complaint, the Board of Ethics shall dismiss the complaint.
If the complaint is dismissed, it shall be done in writing, setting
forth the facts and provisions upon which the dismissal is based,
and shall provide a copy of the written dismissal to the complainant,
to the Town representative who is the subject of the complaint, to
the Town Board and to the Town's attorney. The complaint shall
not be disclosed to the public (other than to the complainant) and
all records shall be maintained in the confidential files of the Board
of Ethics for a period of seven years, after which they shall be destroyed.
The Town Board will provide a locked filing cabinet in the Supervisor's
office. Two members of the Board of Ethics shall review each file
before the same is destroyed. The Town representative who is the subject
of the complaint may make a written request to the Town Board to make
the findings public. The Town shall then honor any such request.
L.
In the event that the Board of Ethics has no basis to dismiss the
complaint, it shall proceed with an investigation. At such point,
the Board of Ethics shall forward to the Town Board a copy of its
initial position together with any information and documentation acquired
by the Board of Ethics regarding the complaint.
M.
An investigation should then proceed. Since complaints will vary
in nature, so too may the approach taken to investigate a complaint
vary. The Board of Ethics may seek advice on how to proceed with individual
investigations. The Board of Ethics shall have final say in determining
how an investigation shall proceed. The Board of Ethics shall seek
to make sure that both the complainant and the Town representative
who is the subject of the complaint have an opportunity to be heard
and to present evidence. The Board of Ethics may limit the testimony
and evidence that is presented to it, if in the opinion of the Board
the testimony and evidence in question is irrelevant, unnecessary,
redundant, or unreliable.
N.
The members of the Board of Ethics shall have the right to obtain
opinions from qualified people other than themselves, provided that
the majority of the members of the Board of Ethics agree with such
a course of action and the names of individuals involved in the complaint
are withheld, to the extent possible, from such other qualified people.
O.
The Board of Ethics may require, with sufficient written notice,
any Town representative to appear before it to provide testimony regarding
pending complaints. The Board of Ethics, for this purpose, may administer
oaths and require the production of evidence, such as documents.
P.
The Town representative who is the subject of the complaint may submit
a written sworn response to the Board of Ethics.
Q.
Should satisfactory cooperation not be forthcoming by the accused
Town representative, or by any witness, the Board of Ethics, upon
a majority vote of the total voting membership of the Board, may issue
subpoenas to compel the attendance of the Town representative charged
with the violation, or necessary witnesses, to a hearing. Subpoenas
may also be used to obtain the production of documents and other materials
pertinent to the investigation. The Town's attorney will advise
and assist the Board in the use, preparation and issuance of subpoena(s).
R.
A copy of the transcript of the testimony of the Town representative
who is the subject of the complaint shall be provided at no cost to
the Town representative.
S.
The Town representative who is the subject of the complaint shall
have the right to be represented by counsel.
T.
Upon completion of its investigation, the Board of Ethics shall prepare
a written report detailing its review and provide a recommendation
to the Town Board regarding the disposition of the complaint. A copy
shall be forwarded to the Town's attorney. The complaints, records,
other proceedings related thereto, and report, up to this point in
the process, shall remain confidential.
U.
The Board of Ethics' report will identify, in the Board's
judgement, whether or not the complaint is a violation of the Code
of Ethics or if a conflict of interest exists. The Board's assessment
shall be binding unless new evidence is brought to bear on the subject.
Upon review and authorization of the report by the Town Board and
concurrence from the Town's attorney, the Board of Ethics shall
furnish the complainant and the Town representative who is the subject
of the complaint with a disposition of the complaint.
V.
Should a complaint be deemed to not violate the Code of Ethics or
be a conflict of interest, the complaint shall not be disclosed to
the public (other than to the complainant), to avoid the potential
for tarnishing the accused Town representative's reputation.
The Town representative who is the subject of the complaint may make
a written request to the Town Board to make the findings public. The
Town shall then honor any such request. All records shall be maintained
in the confidential files of the Board of Ethics for a period of seven
years, after which they shall be destroyed.
W.
Should a complaint be deemed to be a violation of the Code of Ethics,
the Town Board shall determine disciplinary action. Should the complaint
be deemed to be a conflict-of-interest matter, the Town Board shall
take appropriate steps to mitigate the matter. Details of the report
shall not be made public (other than to the complainant) unless it
is determined necessary to do so by the Town Board. The Town representative
who is the subject of the complaint may make a written request to
the Town Board to make the findings of the report public. The Town
shall then honor any such request. All records shall be maintained
in the Town representative's confidential personnel file for
a period consistent with NYS law.
The Town Supervisor shall ensure that a copy of the Code of
Ethics be distributed to every Town representative within 30 days
after the effective date of this chapter or any revision thereto.
Each Town representative elected or appointed thereafter shall be
furnished a copy of the Code of Ethics before entering upon the duties
of his or her office or employment. It shall be the responsibility
of the supervisor of any new employee to ensure that the new employee
familiarizes himself/herself with the provisions of this chapter and
the Code of Ethics.
In addition to any penalty contained in any other provision
of law, any person who shall violate any of the provisions of the
Code of Ethics may be reprimanded, fined, suspended or removed from
office or employment, as assessed by the Town Board, in the manner
provided by law. The Board of Ethics shall not have the power to impose
any monetary or other penalty.
Each Town representative shall receive training concerning the
requirements of the Code of Ethics and the procedure for seeking an
opinion or investigation by the Board of Ethics. Copies of the code
and amendments to the code shall be provided to all officials. Said
training shall occur biennially prior to March 1 of each even-numbered
calendar year.
A.
Pursuant to §§ 811 and 812 of the NYS General Municipal
Law, all Town representatives must file with the Town Clerk, annually
no later than January 31 of each calendar year or within 30 days of
be being hired/appointed, the Form of Annual Disclosure, below as
Attachment A.[1]
[1]
Editor's Note: The Annual Statement of Disclosure is included as an attachment to this chapter.
B.
If during the term of employ with the Town of Alden any Town representative
becomes aware of any potential conflict of interest, said Town representative
must immediately file the Transactional Statement of Disclosure with
the Town Clerk, below as Attachment B.[2]
[2]
Editor's Note: The Transactional Statement of Disclosure is included as an attachment to this chapter.
Each separate provision of this chapter shall be deemed independent
of all other provisions herein and, if any provisions shall be deemed
or declared invalid, all other provisions hereof shall remain valid
and enforceable.
This chapter shall supersede and replace in its entirety Chapter 29, Ethics, enacted through Local Law No. 2-1972 and all other previously enacted ordinance, rule and regulation of the Town of Alden, and they shall be, upon the effectiveness of this chapter, null and void.
This chapter shall take effect immediately upon filing in the
office of the New York State Secretary of State in accordance with
§ 27 of the Municipal Home Rule Law.
