The Town of Clay, pursuant to the provisions
of § 806 of the General Municipal Law of the State of New
York, hereby requires the filing of annual statements of financial
disclosure as hereinafter provided.
The Town of Clay Board of Ethics is designated
as the appropriate body with which annual statements of disclosure
shall be filed.
B.
Time of filing. Annual statements shall be filed by
the 15th day of May of each year following the effective date of this
chapter.
(1)
Any person required to file such statement who becomes
so required after May 15 of any year shall file such statement within
30 days of becoming so required.
(2)
Any person who is subject to the reporting requirements
of this chapter and who timely filed with the Internal Revenue Service
an application for automatic extension of time in which to file his
or her individual income tax return for the immediately preceding
calendar or fiscal year shall be required to submit such financial
disclosure statement on or before May 15 but may, without being subjected
to any civil penalty on account of a deficient statement, indicate
with respect to any item of the disclosure statement that information
with respect thereto is lacking but will be supplied in a supplementary
statement of financial disclosure, which shall be filed on or before
the seventh day after the expiration of the period of such automatic
extension of time within which to file such individual income tax
return, provided that failure to file or to timely file such supplementary
statement of financial disclosure or the filing of an incomplete or
deficient supplementary statement of financial disclosure shall be
subject to the notice and penalty provisions that may be assessed
as set forth in the General Municipal Law respecting annual statements
of financial disclosure as if such supplementary statement were an
annual statement.
(3)
Any person who is required to file an annual financial
disclosure statement may be granted by the Board of Ethics an additional
period of time within which to file such statement based upon justifiable
cause or undue hardship, in accordance with required rules and regulations
on the subject adopted by the Town of Clay Board of Ethics pursuant
to the General Municipal Law and shall file such statement within
the additional period of time granted.
(4)
No annual statements of financial disclosure, or the
information contained therein, shall be made public or disclosed unless
such is required by the Freedom of Information Law (Public Officers
Law Article 6) or made necessary or permitted by the provisions of
the General Municipal Law.
The annual statement of financial disclosure
shall be in substantially the following forms:
A.
Level I Form.
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ANNUAL STATEMENT OF FINANCIAL DISCLOSURE
FOR THE TOWN OF CLAY FOR THE CALENDAR YEAR _______ FOR LEVEL I OFFICERS,
EMPLOYEES AND APPOINTED OFFICIALS
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1.
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Name and Address.
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Last Name
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Middle Initial
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First Name
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Title
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Department or Agency
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Department or Agency Address
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Telephone No.
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Residence Address
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2.
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Spouse and Children
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Please provide the name of your spouse (if married)
and the names of any dependent children:
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Spouse
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Child/Age
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Child/Age
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Child/Age
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Child/Age
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Child/Age
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Note: For questions 3 to 6, do not report exact
dollar amounts. Instead, report categories of amounts, using the following:
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Category A: Under $5,000
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Category D: $25,001 to $50,000
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Category B: $5,001 to $10,000
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Category E: $50,001 to $100,000
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Category C: $10,001 to $25,000
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Category F: Over $100,000
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3.
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Financial Interests.
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A.
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Business Positions. List any office, trusteeship,
directorship, partnership, or other position in any business, association,
proprietary, or not-for-profit organization held by you and your spouse
and dependent children, if any, and indicate whether these businesses
are involved with the Town of Clay in any manner.
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Name of Family Member
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Position
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Organization
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Town Department or Agency
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B.
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Outside Employment. Describe any outside occupation,
employment, trade, business or profession providing more than $1,000/year
for you and your spouse and dependent children, if any, and indicate
whether such activities are regulated by any state or local agency.
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Name of Family Member
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Position
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Name, Address & Description of Organization
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State or Loc. Agency
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Category of Amount
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C.
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Future Employment. Describe any contract, promise
or other agreement between you and anyone else with respect to your
employment after leaving your Town office or position.
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D.
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Past Employment. Identify the source and nature
of any income in excess of $1,000/per year from any prior employer,
including deferred income, contributions to a pension or retirement
fund, profit sharing plan, severance pay, or payments under a buy-out
agreement.
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Name and Address of Income Source
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Description of Income
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Category of Amount
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E.
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Investments. Itemize and describe all investments
in excess of 5% of the value in any business, corporation, partnership,
or other assets, including stocks, bonds, loans, pledged collateral,
and other investments, for you and your spouse and dependent children,
if any. List the locations of all real estate within the Town of Clay
or within five miles thereof, in which you, your spouse, or dependent
children, if any, have an interest, regardless of its value.
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Name of Family Member
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Name and Address of Business or Real Estate
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Description of Investment
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Category of Amount
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F.
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Trusts. Identify each interest in a trust or
estate or similar beneficial interest in any assets in excess of $2,000,
except for IRS eligible retirement plans or interests in an estate
or trust of a relative, for you and your spouse and dependent children.
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Name of Family Member
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Trustee/Executor
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Description of Trust/Estate
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Category of Amount
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G.
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Other Income. Identify the source and nature
of any other income in excess of $1,000/year from any source not described
above, including teaching income, lecture fees, consultant fees, contractual
income, or other income of any nature, for you and your spouse and
your dependent children, if any.
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Name of Family Member
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Name and Address of Income Source
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Nature of Income
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Category of Amount
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4.
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Gifts and Honorariums.
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List the source of all gifts aggregating in
excess of $250 received during the last year by you, your spouse or
dependent child, excluding gifts from a relative. The term "gifts"
includes gifts of cash, property, personal items, payments to third
parties on your behalf, forgiveness of debt, honorariums, and any
other payments that are not reportable as income.
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Name of Family Member
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Name and Address of Donor
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Category of Amount
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5.
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Third-Party Reimbursements.
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Identify and describe the source of any third-party
reimbursement for travel related expenditures in excess of $250 for
any matter that relates to your official duties. The term "reimbursement"
includes any travel related expenses provided by anyone other than
the Town of Clay for speaking engagements, conferences, or fact finding
events that relate to your official duties.
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Source
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Description
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Category of Amount
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6.
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Debts
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Describe all debts of you, your spouse, and
dependent children in excess of $5,000.
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Name of Family Member
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Name and Address of Creditor
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Category of Amount
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7.
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Interest in Contracts.
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Describe any interest of you, your spouse, or
your dependent children in any contract involving the Town of Clay
or any municipality located within the Town.
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Name of Family Member
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Contract Description
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8.
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Political Parties.
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List any position you held within the last five
years as an officer of any political party, political committee, or
political organization. The term "political organization" includes
any independent body or any organization that is affiliated with or
a subsidiary of a political party.
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9.
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Licensees.
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If a reporting officer, employee or appointed
official practices law, is licensed by the Department of State as
a real estate broker or agent or practices a profession licensed by
the Department of Education, his or her annual disclosure statement
shall include a general description of the principal subject areas
or matter undertaken by such officer, employee or appointed official
in his or her licensed practice. If such officer, employee or appointed
official practices with a partnership, unincorporated association
or corporation and is a partner or shareholder of the firm or corporation
his or her annual disclosure statement shall include a general description
of the principal subject areas or matters undertaken by such firm
or corporation. The disclosure required by this section shall not
include the names of individual clients, customers or patients.
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10.
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Disclosure of unavailable information.
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If a reporting officer, employee or appointed
official is not able, after reasonable efforts, to obtain some or
all of the information required by paragraphs 3 through 8 of this
section which relates to his or her spouse or dependent children,
he or she shall so state, as part of the annual disclosure statement.
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I hereby certify under penalty of perjury, that
the information disclosed on this form is true and complete.
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Signature
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Sworn to before me this ________ day of _____________,
_____________.
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Notary Public
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B.
Level II Form.
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ANNUAL STATEMENT OF FINANCIAL DISCLOSURE
FOR THE TOWN OF CLAY FOR THE CALENDAR YEAR ________ FOR LEVEL II OFFICERS,
EMPLOYEES AND APPOINTED OFFICIALS
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1.
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Name
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(a)
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Title of Position
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(b)
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Department, Agency or other Government Entity
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(c)
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Office Telephone Number
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2.
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Please verify the following statement:
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I have received and read a copy of Local Law
No. 2 of the Year 1993 of the Town of Clay establishing a Code of
Ethics, creating a Board of Ethics, and requiring financial disclosure.
As defined under that law, I know of no conflict which exists concerning
my position with the Town of Clay except for
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As my circumstances change, I will duly notify
the governing body for the Town of Clay forthwith.
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Signature
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Sworn to before me this _______ day of _____________,
______________.
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Notary Public
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The Town Board shall annually determine those
officers, employees or appointed officials who must file annual statements
of disclosure and submit such list to the appropriate body.
The Town Supervisor shall, on or before the 15th day of March of each year, cause to be distributed, for completion and filing, to those officers, employees and appointed officials set forth in the definition of "reporting officer, employee or appointed official" in Article II, § 22-3, of this chapter, forms substantially similar to those set forth in Article V of this chapter.
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 notify the reporting person in writing, state the failure to
file or detail 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 the specified time period, the
Board of Ethics shall send a notice of delinquency to the reporting
person and to the appointing authority for such person.
A.
If a reporting person has filed a statement which
reveals a possible violation of the duly adopted Code of Ethics of
the Town of Clay, local law, ordinance or resolution, 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, local law, ordinance or resolution or this chapter,
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 shall also 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 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.
B.
If the Board 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 complaint, if any;
and to the Town Board of the Town of Clay.
A reporting individual who knowingly and willfully
fails to file an annual statement of financial disclosure 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 be assessed
a civil penalty in an amount not to exceed $10,000. Assessment of
a civil penalty hereunder shall be made by the Board of Ethics with
respect to the persons subject to its jurisdiction. For a violation
of this subdivision, other than for conduct which constitutes a violation
of Subdivision 12 of § 73 of the Public Officers Law, the
Board of Ethics may, in lieu of a civil penalty, refer a violation
to the appropriate prosecutor 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 a category of "value" or "amount" reported hereunder is incorrect
unless such reported information is falsely understated. Notwithstanding
any other provision of law to the contrary, no other penalty, civil
or criminal, may be imposed for a failure to file, or for a false
filing, of such statement, except that the Town Board of the Town
of Clay may impose disciplinary action as otherwise provided by law.
The Board of Ethics shall be deemed to be an agency within the meaning
of Article 3 of the State Administrative Procedure Act and shall adopt
rules governing the conduct of adjudicatory proceedings and appeals
relating to the assessment of civil penalties herein authorized. Such
rules, which shall not be subject to the approving requirements of
the State Administrative Procedure Act, shall provide for due process
procedural mechanism substantially similar to those set forth in such
Article 3 but such mechanism need not be identical to terms or scope.
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, and upon becoming final shall be subject to review
at the instance of the affected reporting individuals in a proceeding
commenced against the Board of Ethics pursuant to Article 78 of the
Civil Practice Law and Rules.
A copy of any notice of delinquency or notice
of reasonable cause sent pursuant to this chapter shall be included
in the reporting person's file and be available for public inspection.
A.
Notwithstanding the provisions of Article 6 of the
Public Officers Law, the only records of the Board of Ethics which
shall be available for public inspection are:
B.
Notwithstanding the provisions of Article 7 of the
Public Officers Law, no meeting or proceeding of the Board of Ethics
shall be open to the public, except if expressly provided otherwise
by the Board of Ethics.
