[HISTORY: Adopted by the Town Board of the
Town of Shelter Island 6-8-1970; amended in its entirety 5-16-2023 by L.L. No. 6-2023.
Subsequent amendments noted where applicable.]
Officers and employees of the Town of Shelter Island 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. Clear standards will also protect ethical
public officials and rebut unfair allegations. This Code of Ethics
establishes those standards.
As used in this chapter, the following terms shall have the
meanings indicated:
New York State's General Municipal Law, Article 18.
The Town Board and any other administrative board, committee,
or other agency or body comprised of two or more Town officers or
employees.
This Code of Ethics.
Anything of value, whether in the form of money, property,
services, loan, travel, entertainment, hospitality, or promise, or
any other form. The benefit can be direct or indirect 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.
Those persons residing within the same dwelling unit.
A Town officer or employee has an interest in a contract
when they, their spouse, minor child, dependent, or corporation in
which the Town employee is an owner, officer or employee, would secure
a financial benefit under the contract.
A Town officer or employee is deemed to have an interest
in any private organization when they, their spouse, or a relative,
is an owner, partner, member, director, officer, employee, or directly
or, in the case of a corporation, indirectly owns or controls more
than 5% of the corporation's outstanding stock.
Any Town employee whether paid or unpaid, whether serving
full-time, part-time or in an advisory capacity.
A spouse, brother, sister, parent, child, grandchild, or
the spouse of any of them, or a household member of an officer or
employee.
The Town of Shelter Island.
This Code applies to the officers and employees of the Town
and shall supersede any prior Town code of ethics. 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 and all rules, regulations, policies and procedures
of the Town.
No officer or employee shall use their Town position or official
powers and duties to secure a financial benefit for themself, a relative,
or any private organization in which the employee is deemed to have
an interest.
Whenever a matter requiring the exercise of discretion, including
proposed legislation, comes before an officer or employee, either
individually or as a member of a board or committee, and disposition
of the matter could result in a financial benefit to the officer or
employee, a relative of theirs, or any private organization in which
they are deemed to have an interest, the officer or employee shall
disclose in writing the nature of the financial benefit.
A.Â
The
disclosure shall be made when the matter requiring disclosure first
comes before the officer or employee, or when the officer or employee
first acquires knowledge of the benefit requiring disclosure, whichever
is earlier.
B.Â
In
the case of a person serving in an elective office, the disclosure
shall be filed with the Town Board and the Board of Ethics. In all
other cases, the disclosure shall be filed with the Board of Ethics
and that person's supervisor or, if the person does not have
a supervisor, the disclosure shall be filed with the officer, employee
or board having the power to appoint the person's position. In
addition, in the case of a person serving on a board, a copy of the
disclosure shall be filed with said board and included in the minutes
of the board's meeting.
No officer or employee may participate in any decision or take
any official action with respect to any matter requiring the exercise
of discretion, including proposed legislation, when they know or have
reason to know that the action could confer a financial benefit on
the employee, a relative, or any private organization in which the
employee is deemed to have an interest. Further, once recused, that
person may not be in the room (or appear via videoconferencing) when
the matter is being discussed, voted on, nor participate in any discussions
or communications including e-mail or text regarding it.
This Code's prohibition on use of a Town position (§ 8-4), disclosure requirements (§ 8-5), and requirements relating to recusal and abstention (§ 8-6), shall not apply with respect to the following matters:
A.Â
No
officer or employee, during their tenure as an officer or employee,
may engage in any private employment that may be in substantial conflict
with the proper discharge of their duties, including but not limited
to when:
[Amended 10-11-2023 by L.L. No. 12-2023]
(1)Â
It can be reasonably expected to require more than sporadic recusal and abstention pursuant to § 8-6 of the Code, or
(2)Â
It can be expected to require disclosure or use of confidential information
gained by reason of serving as an officer or employee, or
(3)Â
It 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.
B.Â
No
officer or employee shall receive, or enter into any agreement, express
or implied, for compensation for services to be rendered in relation
to any matter before any board of which the officer or employee is
a member, or has the power to appoint any member, nor for compensation
for services to be rendered in relation to any matter before any agency
of the Town whereby compensation is to be dependent or contingent
upon any action by such agency with respect to such matter.
C.Â
No
officer or employed shall receive, or enter into any agreement, express
or implied, for compensation for services to be rendered in relation
to any matter before any board, if the compensation is dependent or
contingent upon any action by such board or committee with respect
to such matter. This subsection shall not prohibit the fixing at any
time of fees based upon the reasonable value of the services rendered.
A.Â
No 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 officer
or employee, either individually or as a member of a board, while
the matter is pending or within the 30 days following final disposition
of the matter.
B.Â
No officer or employee, for the one-year period after serving as
an 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 they served.
C.Â
No Town officer or employee, at any time after serving as an officer
or employee, may represent or render services to a private person
or organization in connection with any particular transaction in which
the employee personally and substantially participated while serving
as a Town officer or employee.
The Code shall not be construed as prohibiting an officer or
employee from representing themself, or their spouse or minor children
before the Town; or asserting a claim against the Town on their own
behalf, or on behalf of their spouse or minor children.
Town resources shall be used for lawful Town purposes.
A.Â
No officer or employee may use or permit the use of Town resources
for personal or private purposes. Town resources include, but are
not limited to, Town personnel, and the Town's money, vehicles,
equipment, materials, supplies or other property. Provided, this provision
shall not be construed as prohibiting:
(1)Â
Any use of Town resources authorized by law or Town policy;
(2)Â
The use of Town resources for personal or private purposes when provided
to a Town officer or employee as part of their compensation; or
(3)Â
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.
B.Â
No officer or employee shall cause the Town to spend more than is
reasonably necessary for transportation, meals or lodging in connection
with official travel.
A.Â
Article 18 requires no officer or employee may have an interest in
a contract with the Town when such officer or employee, individually
or as a member of a board, has the power or duty to:
B.Â
Exceptions to this prohibition are detailed in Article 18, Section
802. These include an exception for contracts entered into prior to
the time a Town employee was elected or appointed, and an exception
for contracts which in the aggregate do not exceed $750 in a fiscal
year
C.Â
Every officer and employee shall disclose interests in contracts
with the Town at the time and in the manner as follows: any Town officer
or employee or their spouse, minor child or dependent, who has, will
have, or later acquires an interest in any actual or proposed contract,
purchase agreement, lease agreement or other agreement, including
oral agreements, with the Town, shall publicly disclose the nature
and extent of such interest in writing to their immediate supervisor,
or if a member of a board to said board, and to the Board of Ethics
as soon as the employee 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 such body. Disclosure
and recusal do not cure a prohibited interest.
A.Â
No officer or employee shall directly or indirectly compel or induce
a subordinate Town officer or employee to make, or promise to make,
any political contribution, whether by gift of money, service or other
thing of value.
B.Â
No 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.
No officer or employee who acquires confidential information
in the course of exercising or performing their 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
their official powers and duties.
No Town officer or employee shall directly or indirectly, solicit
any gift, or accept or receive any gift having a value of $75 or more,
whether in the form of money, property, service, loan, travel, entertainment,
hospitality, or promise, or in any other form, under circumstances
in which it could reasonably be inferred that the gift was intended
to influence them, or could reasonably be expected to influence them,
in the performance of their official duties or was intended as a reward
for any official action on his their part.
A.Â
Section 809 of Article 18 imposes strict disclosure requirements
on persons applying for variances, exemptions, and other approvals
from local planning and zoning regulations. In general, it provides
that the applicant must identify any local officer or employee who
has an interest in the application. As applied to Shelter Island,
every applicant for a variance, land-use amendment, change of zoning,
or approval of subdivision map from the Town Board, Zoning Board of
Appeals, Planning Board, Town Clerk or Building Department must disclose
information pertaining to any interest that a Town officer or employee,
their spouse, parents, siblings, children, grandchildren (or the spouses
of any of them) may have in the application.
B.Â
Section 809(5) provides that one who knowingly and intentionally
violates this disclosure requirement shall be guilty of a misdemeanor.
A.Â
Article 18, § 808 permits the creation of a Town Board
of Ethics (also referred to as "Ethics Board"). This Code hereby authorizes
the creation of such a board. The Town Board believes that an independent
Ethics Board will assure the public interest in applying this Code
without bias or favoritism.
B.Â
The Board of Ethics shall consist of five members, all of whom reside
in the Town of Shelter Island and who shall serve without compensation,
to be appointed by the Town Board for staggered five-year terms. A
majority of such members shall be persons other than Town employees,
but the Board shall include at least one member who is a Town employee.
C.Â
Conditions of Board of Ethics membership.
(1)Â
No person may be appointed as a member of the Ethics Board who is
a current elected Town officer; or an officer of any local, county
or state political party, association, club or independent political
committee subject to regulations of the state election law; or a campaign
manager, consultant or treasurer for a political party committee or
individual election campaign committee or has served in such political
capacity during the past 24 months.
(2)Â
An Ethics Board member shall promptly resign if entering a campaign
race as a candidate for public office; or as a campaign manager, consultant,
or treasurer for a political party committee or individual election
campaign committee; or when recusal has become prevalent for such
individual for matters before the Board of Ethics.
(3)Â
An Ethics Board member may be removed for cause by the Town Board
upon any of the following grounds:
D.Â
The Ethics Board shall have the following substantive authority:
(1)Â
Town officers and employees may request advice from the Ethics Board
concerning their personal compliance with this Code of Ethics. In
response to such a request, and after due consideration, the Ethics
Board shall issue a confidential advisory opinion to the requesting
party.
(2)Â
In the event any person believes in good faith that a Town employee
or officer is engaged in activity that violates this Code, they may
file a complaint with the Board of Ethics. The Board of Ethics will
investigate such a complaint and issue an opinion on the complaint
if it believes there is probable cause of a Code violation. In the
absence of such, it will dismiss the complaint.
(3)Â
The Board of Ethics may act on its own motion to initiate an investigation
into an employee's alleged violation of this Code.
(4)Â
Upon the written request of the Town Board, of a Town officer or
employee, or of any contracting party, the Ethics Board shall investigate
and provide to the Town Board a written report and recommendation
concerning any Town contract or agreement that may be void pursuant
to Article 18, Section 804. Additionally, the Ethics Board may, in
its discretion, undertake such an investigation upon its own initiative,
in which case it may present a report and recommendation to the Town
Board.
A.Â
Upon receipt of a written complaint alleging a violation of this
Code or upon determining on its own initiative that a violation of
the Code may exist, the Ethics Board shall have the power and duty
to conduct with reasonable promptness any investigation necessary
to carry out the provisions of this Code. Written complaints must
include the name of the individual complainant. Upon request, the
name of a complainant may be kept confidential. If the Board determines
that a complaint is frivolous on its face or the alleged violation
would be de minimis, it may dismiss it without further investigation.
B.Â
In conducting any such investigation, the Ethics Board may administer
oaths or affirmations, compel attendance of witnesses, and require
the production of any books or records that it may deem relevant and
material. The Ethics Board shall make a reasonable effort to obtain
voluntary cooperation prior to exercising or enforcing their right
to compel testimony. Further, the Ethics Board shall take steps to
ensure that every individual's right to due process is protected.
C.Â
Any person filing a complaint with the Ethics Board, and every person
who is alleged in such a complaint to violate this Code, shall be
notified in writing of the disposition of the complaint.
D.Â
Nothing in this section shall be construed to permit the Ethics Board
to conduct an investigation of itself or of any of its members or
staff. If the Ethics Board receives a complaint alleging that the
Ethics Board or any of its members or staff has violated any provision
of this Code, or any other law, the Ethics Board shall promptly transmit
to the Town Board a copy of the complaint.
The Board of Ethics shall have the following administrative
duties:
A.Â
To prescribe and promulgate rules and regulations governing its own
internal organization and procedures in a manner consistent with this
Code.
B.Â
To review, index, maintain on file, and dispose of complaints alleging
violations of this Code and to make notifications and conduct investigations.
The Board of Ethics shall have the confidential advice of legal counsel
employed by the Town or outside counsel and the services of a confidential
clerk employed by the Town to keep minutes and files.
C.Â
To forward its opinions responding to complaints or opinions on its
own motion to the Town Board with any recommendations for disciplinary
actions and penalties.
D.Â
To make public on the Ethics Board website its opinions in a brief
summary form that removes all personal identifying information.
E.Â
To prepare an annual report to the Town Supervisor and Town Board,
summarizing the activities of the Ethics Board. The report may also
recommend changes to the text or administration of this Code. The
Ethics Board shall periodically review this Code and the Board's
rules, regulations, and administrative procedures to determine whether
they promote integrity, public confidence, and participation in Town
government and whether they set forth clear and enforceable common
sense standards of conduct.
A.Â
Disciplinary action. Any officer or employee who engages in any action
that violates any provision of this chapter may be warned, reprimanded,
suspended, or removed from office or employment, and may be subject
to any other sanction authorized by law or collective bargaining agreement,
by the appointing authority or person or body authorized by law to
impose such sanctions. A warning, reprimand, suspension, removal,
or other authorized sanction may be imposed in addition to any other
penalty contained in this chapter or in any other provision of law.
B.Â
Civil fine. Any person who violates any provision of this chapter
may be subject to a civil fine not to exceed $1,500 for each violation.
A civil fine may be imposed in addition to any other penalty contained
in any other provision of law or in this chapter, other than a civil
forfeiture. A fine may only be imposed by the Town Board, subject
to a hearing and any applicable provisions of law and collective bargaining
agreements, or appropriate court of law.
C.Â
Damages.
(1)Â
Any person who violates any provision of this chapter shall be liable
in damages to the Town for any losses or increased costs incurred
by the Town as a result of the violation. Such damages may be imposed
in addition to any other penalty contained in any other provision
of law or in this chapter, other than a civil forfeiture.
(2)Â
A finding of damages may only be made by the Town Board or an appropriate
court of law.
D.Â
Civil forfeiture.
(1)Â
Any person who intentionally or knowingly violates any provision of this chapter may be subject to a civil forfeiture to the Town of a sum equal to three times the value of any financial benefit he or she received as a result of the conduct that constituted the violation. A civil forfeiture may be imposed in addition to any other penalty contained in any other provision of law or in this chapter, other than a civil fine pursuant to § 8-21B or damages pursuant to § 8-21C. Treble damages and/or civil forfeiture may only be imposed by the Town Board or a court of appropriate authority.
(2)Â
The Town Board may initiate an action or special proceeding, as appropriate,
in a court of appropriate jurisdiction to obtain civil forfeiture,
pursuant to this section.
E.Â
Misdemeanor. Any Town officer or employer who intentionally violates any provision of § 8-13 shall be guilty of a Class A misdemeanor and, upon conviction thereof, shall forfeit his or her Town office or employment, subject to any applicable provisions of law and collective bargaining agreements.
F.Â
Prosecutions. The Town Board may refer any information that it receives
concerning a possible criminal violation to the appropriate prosecutor
or other law enforcement agency. Nothing contained in this chapter
shall be construed to restrict the authority of any prosecutor to
prosecute any violation of this chapter or of any other law.
G.Â
Limit on Ethics Board. Nothing in this section shall be construed
to permit the Ethics Board to take any action with respect to any
alleged violation of this chapter, or of any other law, by the Ethics
Board or by any member or staff member thereof.
H.Â
Town Board response to the Ethics Board. The Town Board shall, within
45 days of receipt of a written referral, pursuant to this section,
from the Ethics Board, respond in writing and state in sum and substance
the Town Board's intention with respect to the referral.
A.Â
The Town Clerk will ensure that a copy of (i) Article 18, (ii) this
Code, and any subsequent amendments thereto, are posted publicly and
conspicuously in Town Hall and any additional buildings in which Town
employees and officers conduct business.
B.Â
The Town Clerk will ensure that Article 18, this Code, and any subsequent
amendments thereto, are posted on the Town's website, and all
officers and employees of the Town will be notified by email that
they should review the same, and shall periodically attest, upon hiring
and at least every five years thereafter, that they have received
and reviewed the Code of Ethics. The failure of an officer or employee
to review the posted material does not affect either the applicability
or enforceability the same.
This Code takes effect upon the filing with the New York State
Secretary of State.
