[HISTORY: Adopted by the Town Board of the Town of Carmel 3-7-2001
by L.L. No. 2-2001 (Ch. 22 of the 1972 Code). Amendments
noted where applicable.]
The proper operation of the Town government requires that its officers
and employees be independent, impartial and responsible to the people; that
government decisions and policy be made in the proper channels of the governmental
structure; that public office not be used for personal gain; that public officers
and employees observe in their official acts the highest standards of ethics
and discharge faithfully the duties of their public office regardless of personal
consideration; and that the public have confidence in the integrity of its
government and the officers and employees thereof. It is the policy of the
Town of Carmel and the purpose of this chapter to establish standards and
guidelines for ethical conduct of officers and employees. Though assurance
of such conduct will continue to rest primarily on personal integrity and
community vigilance, the establishment of standards is another step toward
providing the highest caliber of public administration for the Town and ensuring
that government decisions are arrived at impartially and free of conflict
of interests and thereby increasing confidence in public officials. It is
also the purpose of this chapter to protect officials and employees from unwarranted
assaults on their integrity by separating real conflict from the inconsequential,
recognizing that for local government to attract and hold competent administrators,
public service must not require a complete divesting of all proprietary interests.
In recognition of these goals, there is hereby established a Code of Ethics
for all officers and for all employees of the Town of Carmel, hereinafter
referred to as the "Town." In the event of any conflict between the provisions
of this code and provisions of Article 18 of the General Municipal Law, the
latter shall control.
As used in this chapter, the following terms shall have the meanings
indicated:
The Board of Ethics created under this chapter.
Any information which by law or practice is not available to the
public.
When the Town official or employee uses his official office or position
of employment for the purpose of obtaining a pecuniary and/or other benefit
for himself to the detriment of the interests of the Town government and/or
impairs the proper discharge of official duties or employment.
Any claim, account or demand against or agreement with the Town,
express or implied.
A participation, connection or involvement of any sort, whether direct
or indirect, pecuniary or nonpecuniary which may result in a benefit. For
the purposes of this chapter, the interests of a Town official or employee
shall be deemed to include the interests of:
His spouse or children.
Any person, other than a bank, trust company or other lending institution,
with whom he has a substantial debtor-creditor or other financial relationship.
Any person by whom he is employed or of which he is an officer, director
or member.
Any person of which the stock or other legal or beneficial ownership
is owned by him; provided, however;
For the purpose of this chapter, an officer or employee shall also be deemed to have an interest in a matter if he or any person described in Subsection A(1) through (4) above is a party to an agreement, expressed or implied, with any applicant before any board of the Town, whereby he may receive any payment or other benefit, whether or not for services rendered, dependent or contingent upon the favorable approval of any such application, petition or request by any Town Body.
Any legislative, administrative, quasi-judicial, appointive or discretionary
act of a Town official or employee or a Town body.
Any individual, business proprietorship, corporation, partnership,
association, venture, individual in representative or fiduciary capacity,
estate, trust or other entity.
The Town of Carmel.
The Town of Carmel or any board, commission, district, council or
other agency, department or unit thereof.
Any officer or employee of the Town, whether full- or part-time or
whether or not compensated for his or her services, including members of any
Town body. No person shall be deemed to be an officer or employee solely by
reason of being a volunteer fireman or civil defense volunteer.
Any activity, application or proceeding which requires or may require
an official act or action of a Town officer or employee or a Town Body.
A.Â
No officer or employee of the Town shall have any interest,
financial or otherwise, direct or indirect, or engage in any business or transaction
or professional activity or incur any obligation or any nature, which is in
conflict with, or might reasonably tend to conflict with, the proper discharge
of his duties in the public interest. Any officer or employee who has a direct
or indirect financial or other private interest in any matter before any board
of the Town shall publicly disclose in writing on the official record of such
board the nature and extent of such interest prior to participating in the
discussion or before making a recommendation or giving an opinion to such
board on such matter.
B.Â
No officer or employee or the Town shall represent private
interests before any board, department, office or agency of the Town, nor
represent private interests in any action or proceeding against the interests
of the Town or in any litigation to which the Town is a party. The preceding
sentence shall not preclude any such officers or employees from appearing
in the performance of public or civic obligations or on their own behalf with
respect to matters of a personal nature. All appearing parties before any
board of the Town shall make a disclosure as provided under § 809
of Article 18 of the General Municipal Law. Every application, petition or
request submitted for a variance, amendment, change of zoning, approval of
a plat, exemption from a plat or Official Map, license or permit pursuant
to the provisions of any ordinance, local law, rule or regulation constituting
the zoning and planning regulations of the Town in which a Town officer or
employee has an interest as defined in this chapter shall state the name,
residence and the nature and extent of the interest of any officer or employee
of the Town, in the person, partnership or association making such application,
petition or request.
C.Â
No officer or employee of the Town shall accept any gift
having a value of $50 or more, whether in the form of money, services, loan,
travel, entertainment, hospitality, thing or promise or any other form, from
any person, firm or corporation which is interested directly or indirectly
in any manner whatsoever, in business dealings with the Town or under circumstances
in which it could reasonably be inferred that the gift was intended to influence
him or could reasonably be expected to influence him in the performance of
his official duties or was intended as a reward for any official action on
his part. No officer or employee of the Town shall grant in the discharge
of his duties any improper favor, service or thing of value. Nothing contained
herein shall be deemed to prohibit any officer or employee of the Town from
borrowing money from any bank or banks designated as depositories by the Town
Board. The fifty-dollar limit applies to an aggregate total of gifts made
over a period of 12 months.
D.Â
No officer or employee of the Town shall:
E.Â
No officer, employee or appointee of the Town shall invest
or hold any investment, directly or indirectly, in any financial, business,
commercial or other private transaction which he has reason to believe may
be directly involved in decisions to be made by him or which will otherwise
create a conflict between his public duty and his private interest.
F.Â
No officer or employee of the Town shall take official
action upon any questions in which he or any member of his immediate family
has an interest.
G.Â
No officer or employee, whether paid or unpaid, shall
engage in or accept private employment or render services for private interests
when such employment or service is in conflict with the proper discharge of
his official duties.
H.Â
No officer or employee of the Town shall accept employment
by any person, firm or corporation with which he or his department, office
or agency is engaged on behalf of the Town in the transaction of business
which is or may be affected by his official action. The provisions herein
shall be limited to a period of two years for any officer or employee after
termination of employment. No officer or employee of the Town shall, 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 he personally participated during the period of his service or employment
or which was under his active consideration.
I.Â
No officer or employee of the Town shall use or attempt
to use his official position to secure unwarranted privileges or exemptions
for himself or others or grant any special consideration, treatment or advantage
to any citizens beyond that which is available to every other citizen.
J.Â
No officer or employee of the Town shall, by his conduct,
give reasonable basis for the impression that any person can unduly influence
him or improperly enjoy his favor in the performance of his official duties
or that he is affected by the kinship, rank, position or influence of any
party or person.
K.Â
No officer or employee of the Town shall direct or cause
any officer or employee of the Town to do or perform any service or work outside
of public work or employment, or accept any such service or work, nor shall
any officer or employee of the Town offer to or perform any such service or
work for such officer or employee.
L.Â
No officer or employee of the Town shall request or permit
the use of Town-owned vehicles, equipment, materials or property for personal
convenience or profit. When such vehicles, equipment, materials or property
are provided as Town policy and by order of the Town administration for the
use of such officer or employee, they may be used only in the conduct of official
business.
M.Â
No person who holds any Town position shall directly
solicit, accept or receive any contribution for any political party or any
candidate for public office including himself from any other officer or employee
of the Town or from any person, firm or corporation which is interested directly
or indirectly, in any manner whatsoever, in business dealings with the Town.
N.Â
The Town Attorney or Town Counsel shall accept no employment
from any person, firm, partnership, corporation, municipality or other entity
which will create a conflict of interest or the appearance of a conflict of
interest with the interests of the Town of Carmel.
A.Â
Any person who holds an office or leadership position
(defined as chairman, president, vice chairman, vice president, treasurer,
comptroller, secretary or any other title or position of authority whose duties
include those commonly recognized as the duties of those official titles or
positions) in a political party, as defined in the Election Law of the State
of New York, § 1-104, Subdivision 3, specifically excluding official
positions and titles of authority in political party structures on the state
or national level, shall not be eligible for appointment to the Planning Board,
the Zoning Board of Appeals, the Assessment Board of Review, the Architectural
Board of Review, the Environmental Conservation Board or the Board of Ethics
of the Town of Carmel.
B.Â
Any person who holds the chief executive position (defined
as chairman, president or any other title or position of authority whose duties
include those commonly recognized as the duties of those official titles or
positions) in any organization, a purpose of which is to represent the interests
of a geographic area that is inclusive of part but not all of the Town of
Carmel, shall not be eligible for appointment to the Planning Board, the Zoning
Board of Appeals, the Assessment Board of Review, the Architectural Board
of Review, the Environmental Conservation Board or the Board of Ethics of
the Town of Carmel.
A.Â
The following classes of officers or employees of the
Town of Carmel shall be required to file annual financial disclosure statements
between May 1 and May 31 of each year in form as contained in Exhibit A attached
hereto[1]:
(1)Â
All elected officials.
(2)Â
All commissioners.
(3)Â
All department heads.
(4)Â
Members of the Zoning Board of Appeals, Planning Board,
Architectural Review Board, Environmental Conservation Board, Board of Ethics,
Board of Assessment Review and Recreation and Parks Commission.
[1]
Editor's Note: The annual disclosure statement forms are available
in the Town Clerk's office.
B.Â
Said forms shall be filed with the Town Clerk and shall
be available for public inspection.
A Board of Ethics is hereby established pursuant to § 808
of Article 18 of the General Municipal Law to be composed of five members,
none of which may be officers or employees of the Town. The members of the
Board of Ethics shall be appointed by the Town Board to serve at the Town
Board's pleasure and shall receive no salary or compensation for their
services as members of such Board.
A.Â
The Board of Ethics shall have the powers and duties
prescribed by Article 18 of the General Municipal Law and shall render advisory
opinions to the municipal officers and employees of the Town of Carmel, pursuant
to a written request, with respect to Article 18 of the General Municipal
Law.
B.Â
The Board shall render advisory opinions to municipal
officers and employees with respect to this code pursuant to a written request
by a municipal officer or employee. In no event shall the identity of the
municipal officer or employee be disclosed.
C.Â
An advisory opinion regarding this Code of Ethics shall
be provided to the person requesting same. Opinions shall be forwarded by
the Board of Ethics to the Town Supervisor and Town Councilpersons of the
Town of Carmel following the rendering of such opinion. The Town Board shall
arrange to circulate said opinions to all employees for their information
and have said opinions posted on the Town Bulletin Board.
[Amended 2-5-2003 by L.L. No. 2-2003]
D.Â
In addition to the other powers and duties granted to
the Board of Ethics, the Board shall have the authority to receive from any
person a written complaint questioning the compliance of any Town officer
or employee with the provisions of this article. The Board of Ethics may prescribe
a form for such complaint. The Board of Ethics may on its own motion conduct
an inquiry of an officer or employee'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.
E.Â
The Town Board of the Town of Carmel hereby empowers
the Town of Carmel Board of Ethics with the authority to take testimony under
oath recognizing that false statements given under oath will be forwarded
to the Putnam County District Attorney for possible criminal prosecution.
F.Â
The Board of Ethics shall promulgate its own rules and
regulations as to its forms and procedures and shall maintain appropriate
records of its opinions and proceedings in compliance with state statute.
All such rules and regulations shall be in compliance with applicable state
statutes, shall guarantee due process and shall be reviewed and approved by
the Town Counsel. The procedure for receipt and investigation of complaints
shall be as follows:
(1)Â
The written complaint must be signed, must include the
individual complainant's address, and set forth reasonable detail and
documentation, if any, of the facts alleged to constitute the violation(s).
(2)Â
The written complaint shall be filed with the Board of
Ethics. Upon receipt of said complaint, the Board of Ethics shall acknowledge
receipt to the complainant and forward the complaint simultaneously to the
officer or employee who is the subject of the complaint and the Town Counsel.
(3)Â
The Board of Ethics shall then conduct a preliminary
analysis of the complaint and determine in writing 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 complaint shall be dismissed by the
Board of Ethics sua sponte. The Board of Ethics shall then notify the complainant,
the officer or the employee who is the subject of the complaint and the Town
Board of the disposition of the complaint.
(4)Â
In the event that the Board of Ethics should find probable
cause for the complaint, the Board of Ethics shall forward to the Town Board
a copy of its probable cause decision together with any information and documentation
acquired by the Board of Ethics regarding the complaint.
(5)Â
The Board of Ethics shall then conduct an investigation
and hearing on said complaint.
(6)Â
Upon the request of a majority vote of the total voting
membership of the Board of Ethics, the Board may issue subpoenas to compel
the attendance of necessary witnesses and the production of documents and
other materials pertinent to the investigation. The Town Counsel will assist
the Board in the preparation and issuance of subpoena(s).
(7)Â
The officer or employee who is the subject of the complaint
shall have the right to be represented by counsel at any required appearance
before the Board of Ethics.
(8)Â
A copy of the transcript of the testimony of the officer
or employee who is the subject of the complaint shall be provided at no cost
to the officer or employee.
(9)Â
The Board of Ethics may require a written sworn response
from the officer or employee who is the subject of the complaint in lieu of
an appearance before the Board of Ethics.
(10)Â
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:
(a)Â
The members of the Board of Ethics may obtain legal advice
from the Town Counsel or special counsel as the case may be; and
(b)Â
The members of the Board of Ethics may discuss the complaint
among themselves;
(c)Â
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 regular
meeting of the Board of Ethics.
(11)Â
At the conclusion of its investigation and hearing on
said complaint, the Board of Ethics shall then furnish the complainant, the
officer or the employee who is subject of the complaint and the Town Board
of the disposition of the complaint and its recommendation for action made
to the Town Board. The Town Board shall take official action by public vote
on such recommendation received from the Board of Ethics in regard to a complaint
within 30 days of receipt and shall, immediately following the taking of such
action, make it, including the recommendation of the Board of Ethics, public.
[Amended 2-5-2003 by L.L. No. 2-2003]
G.Â
All actions, decisions and recommendations of the Board
of Ethics shall be by majority vote of the entire membership.
H.Â
The Town of Carmel 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 of the State of New York.
I.Â
To the extent allowed by law, the Town of Carmel Board
of Ethics shall be exempt from the Freedom of Information Law and from the
Open Meetings Law.
J.Â
Discussions held in Executive Session shall remain confidential
and will not be disclosed.
K.Â
Except to the extent such records must be disclosed under the Freedom of Information Law and except as provided in § 13-7F(11), the complaint, records and other proceedings related thereto shall remain confidential.
[Amended 2-5-2003 by L.L. No. 2-2003]
L.Â
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 the individuals involved in the complaint are withheld.
In addition to any penalty contained in any other provision of law,
any violation of the provisions of this Code of Ethics shall constitute cause
for suspension or removal from office or employment or such other disciplinary
action as the Town Board may consider advisable after any hearing required
pursuant to law currently in effect.
The Town Supervisor shall cause a copy of Article 18 of the General
Municipal Law and this Code of Ethics to be distributed to every officer and
employee of the Town. Every officer or employee shall sign a written receipt
indicating receipt of said documents. Said original receipts shall be filed
in the Town Clerk's office and a photocopy shall be filed in the officer's
or employee's personnel folder and with the Board of Ethics.
