LL 01 Amend Chapter 14 Code of Ethics Loca] d Filing l6 tn NEW YORIC STATE DEPARTMENT OF STATE
l w g 41 STATE STREET,ALBANY,NY 12231
(Use this form to file a local law with the Secretary of State.)
Tent of law should be given as amended. Do not include matter being eliminated and do not use
italics or underlining to indicate new matter.
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of--------------------------------------Queenahury---------------------------------
Town
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Local Law No------------- ---------------------- of the year 20------
A local law---------------T.Q_-AKKUD--_ -------------------------
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Be Itenacted'b the __TOWN BOARD_* ___ of the
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X of-------------------------------------QUEENSBURY--------------------------------- as follows:
Town
SECTION 1. Section 14-3 of the Queensbury Town Code is hereby amended to read as
follows:
§14-3. Purpose.
Pursuant to the provisions of§806 of the General Municipal Law, the Town Board of the Town
of Queensbury recognizes that there are rules of ethical conduct for public officers, employees,
and consultants which must be observed if a high degree of moral conduct is to be obtained and
if public confidence is to be maintained in our unit of local government. The proper operation of
the Town government requires that its officers, employees, and consultants be independent,
impartial, objective, unbiased and responsible to the people of the Town of Queensbury; that
public office should not be used for personal gain; that public officers, employees, and
consultants maintain the highest standards of integrity and discharge faithfully the duties of their
office, regardless of personal considerations; and that the public have confidence in the officers .
and employees thereof. It is the intent of this chapter to promulgate these rules of ethical
conduct for the officers, employees, consultants of the Town of Queensbury. These rules shall
serve as a guide for official conduct of the officers, employees, and consultants of the Town and,
as adopted, shall not conflict with, but shall be in addition to, any prohibition of Article 18 of the
General Municipal Law or any other general or special law relating to ethical conduct and
interest in contracts of municipal officers and employees.
(If additional space is needed,attach pages the same size as this sheet,and number each.)
DOS 2"(Rev.11N9) �1�
SECTION 2. Section 14-4 of the Queensbury Town Code is hereby amended to read as
follows:
§14-4. Definitions.
As used in this chapter, the following terms shall have the meanings indicated:
COLLUSION - where a Town official or employee enters into a covert cooperative arrangement
or strategy that allows one party to gain an unfair advantage over a third party, competitors,
consumers or those with whom they are negotiating, which undermines the competitive quality
or fairness of a proposal or bid process.
CONSULTANT-- A person, paid or unpaid, providing advice to and at the request of a
municipal board, committee, commission or other body, including persons licensed under Title
VIII of the Education Law of the State of New York, providing to a municipal board, committee,
commission or other body professional service as defined in §1501, Subdivision (c), of the
Business Corporation Law of the State of New York.
CONFLICT OF INTEREST -- A conflict of interest is a situation in which a person has a duty to
more than one person or organization, but cannot do justice to the actual or potentially adverse
interests of both parties. This includes when an individual's personal interests or concerns are
inconsistent with the best for the Town, or when a public official's personal interests are contrary
to his/her loyalty to public business. Town officials, employees, and consultants should avoid
even the appearance of conflict. Town officials, employees, and consultants shall disclose any
interest in or with any individual or entity providing services to or contracting with the Town.
For example, a conflict of interest is (includes,but is not limited to):
A. The use of the authority of public office/employment or confidential information
received by holding such a public position for the private pecuniary benefit of the public
official/public employee himself, any member of his immediate family, or a business
with which he or a member of his immediate family is associated. The term, "business
with which he is associated" is defined as any business in which the person or a member
of the person's immediate family is a director, officer, owner, employee or has a financial
interest.
B. A state or condition of having a special interest in protecting or supporting something for
the purpose of self interest, gain or benefit, often financially or politically.
C. Serving a self interest or showing favor to one bidder or proposer over another in a
manner that injures the fairness of a bid or proposal process.
IMMEDIATE FAMILY-- A spouse, minor child or other dependent of a municipal officer or
employee.
(2)
INTEREST -- Any claim, account or demand against or agreement with the Town, express or
implied, and direct or indirect pecuniary or material benefit accruing to an officer or employee as
a result of a business or a professional transaction with the Town or resulting from official Town
acts. For the purpose of this Chapter, an officer or employee shall be deemed to have direct
interest in the affairs of-
A. His or her immediate family
B. A business concern, partnership, trust or association of which such officer or employee
and immediate family member are members, partners, owners, directors or employees.
C. A corporation of which such officer or employee is an officer, director or employee.
D. A corporation, any stock of which is owned or controlled, directly or indirectly, by such
officer or employee or any corporation in which such officer or employee or immediate
family member owns more than 5% of said stock.
MUNICIPAL OFFICER OR EMPLOYEE -- Elected officials, public officers under the Public
Officers Law, members of boards and commissions and department heads and their supervisory
assistants of the Town of Queensbury or employee of the Town of Queensbury whether paid or
unpaid, including members of any administrative board, commission or other agency thereof. No
person shall be deemed to be a municipal officer or employee solely by reason of being a
volunteer fireman or emergency medical services volunteer. All persons employed by the Town
of Queensbury not otherwise included within the definition of"officer, public officer and Town
officer" set forth below
OFFICER OR MEMBER IN A POLITICAL PARTY, CLUB OR ASSOCIATION, SOCIETY
OR COMMITTEE-- The office of chairman, secretary, treasurer and such other officer or
member as the rules of the particular body may provide.
SECTION 3. Section 14-5 of the Queensbury Town Code is hereby amended to read as
follows:
§14-5. Standards of conduct.
Every officer or employee of the Town of Queensbury shall be subject to and abide by the
following standards of conduct.
Public officers and employees are agents of the public purpose and hold office for the benefit of
the public. Their conduct in both their official and private affairs should be above reproach.
Every officer and employee of the Town of Queensbury shall be subject to and abide by the
following standards of conduct:
A. Gifts. No officer, employee, or consultant of the Town shall, directly or indirectly, solicit
any gift or accept or retain any gift having a value of more than $25, whether in the form
of money, services, loan, travel, entertainment, hospitality, things or promises, or any
(3)
other form, under circumstances in which it could reasonably be inferred that the gift was
intended to influence him or her or could reasonably be expected to influence him or her
in the performance of his or her official duties or could reasonably be expected to
influence him in the performance of his or her official duties or was intended as a reward
for any official action on his or her part. The recipient of any such gift or gratuity shall
immediately return the same to the giver and shall notify the Town of Queensbury Board
of Ethics, in writing, of the occurrence. This shall not apply to campaign contributions.
B. Disclosure of Confidential information. No officer, employee or consultant of the Town
should disclose confidential information acquired by him or her in the course of his or her
official duties if such information will further his or her personal interests or the private
interests of others.
C. Representation before one's own agency. No officer, employee, or consultant shall
receive or enter into any agreement, express or implied, for compensation for services to
be rendered in relation to any matter before any municipal agency 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.
D. Representation before one's own agency for a contingent fee. No officer, employee, or
consultant shall receive or enter into any agreement, express or implied, for
compensation for services to be rendered in relation to any matter before any 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 whereby his or her compensation is to be dependent or contingent upon any action by
such 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.
E. Disclosure of interest.
1. If any Town officer, employee or consultant has a potential or actual conflict of
interest in any matter in which he or she encounters in the performance of his or
her official Town duties, he or she shall make known to all concerned parties the
nature of such conflict and shall refrain from voting or otherwise acting in the
matter so as to avoid an actual conflict. In all cases of potential or actual conflict,
the Town Board shall be made aware of the situation by the person in conflict.
This disclosure shall be made part of the official record and be on a form provided
by the Town Clerk which shall disclose the nature of the conflict. A copy of this
filed form shall be kept in a separate place by the Town Clerk for the public
record.
2. All Town officers are required, within 30 days of taking office, or within 30 days
of the effective date of this chapter, to file a disclosure statement on a form as
provided by the Town of Queensbury pursuant to this section. In the event that a
change occurs with respect to any information required on the aforesaid
(4)
disclosure statement, the party required to file such a statement shall file an
amended statement reflecting any such change in circumstances within 60 days
from the date thereof, unless requested by the Board of Ethics to do so sooner, in
which case an amended statement shall be filed within 10 days of the request for
the same. Failure to file the required disclosure statement or any amendment
thereto in a timely fashion shall be deemed a violation of this chapter.
3. Elected Town Officials shall disclose campaign contributions of $100 or more
from a person or entity who is specifically and significantly affected, positively or
adversely, by an action of the Town Board. Such disclosure requirement applies
to contributions made within the previous two years prior to the date of the
relevant Town Board Resolution and shall be made through inclusion within the
relevant Town Board Resolution.
F. Investments in conflict with official duties. No officer, employee, or consultant 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.
G. Private employment. No officer, employee, or consultant shall engage in, solicit,
negotiate for or promise to accept private employment or render services for private
interests when such employment or service creates a conflict with or impairs the proper
discharge of his or her official duties.
H. Future employment. No officer, employee, or consultant shall, after the termination of
service or employment with the Town of Queensbury, appear before any board or agency
of the Town of Queensbury 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. In the case of a Town Board member, no such member
shall appear in relation to any legislative action in which he participated for a period of
two years after leaving office.
I. The Town Board wishes to create a work environment for its employees free of undue
political influence. Opinions from employees of the Town should be offered freely and
without fear, job security should not be guiding their opinion. As such, any employee
who has been urged to, or commanded to, write letters of support, or vocalize in any
format,by an entity(be it Town Supervisor, Councilman, or otherwise) which they feel is
more representative of special interests, and not in accord with the public's interest,
should report such to the Town Board.
J. The Town Board wishes to address and identify inappropriate relationships and activities,
such as collusion, particularly with entities that are doing businesses with the town. For
example, the Town should prohibit doing businesses with entities that have political
influence over the political careers of Town Officers or a political relationship that may
have undue influence over a Town Board Member; a relationship which might hinder the
spirit of fair, open and transparent competition.
(5)
K. Nepotism
1. Every public officer, and every municipal employee related closer in degree, by
blood or by marriage, than first cousin to any persons seeking employment within
any department, section or function of the Town shall disclose such relationship
as provided for pursuant to the further provisions of this section.
2. Every member of any municipal board, agency, commission or other
municipal body (exclusive of committees) related closer in degree, by blood
or by marriage, than first cousin to any applicant for appointment to or to any
person seeking employment by or on behalf of.
3. Such board, agency, commission or other municipal body (exclusive of
committees) shall disclose such relationship as provided for pursuant to the
further provisions of this section.
4. The disclosures required by this section shall be made in writing, directed to
the Town Clerk, and shall be made at the earliest opportunity following the
date upon which such public officer, municipal employee or member of any
municipal body first learns or has knowledge of the making of such
application by the person seeking such employment and/or appointment.
L. Political activity. No municipal officer or employee shall use his or her official position
to obtain, provide, furnish or supply any municipal resource (including but not limited to
personnel services, equipment, supplies or facility) on behalf of any political party or
candidate, political club or association or any political society or committee. This
provision shall not be interpreted or construed as precluding any municipal officer or
employee from being involved in the political affairs of the Town as a private citizen, nor
shall it preclude any municipal officer or employee from soliciting and/or receiving
campaign contributions in the course of a political campaign for public office conducted
pursuant to the laws of the State of New York, nor shall it exempt any municipal officer
or employee from any federal, state or local rules, regulations, codes of conduct or other
restrictions imposed by law.
A Use of public property. No officer or employee shall request or permit the use of Town-
owned vehicles, equipment, material or property for personal convenience or profit
except when such services are available to the public generally or are provided as
municipal policy for the use of such officer or employee in the conduct of official
business.
Distribution of Code of Ethics.
The Supervisor of the Town of Queensbury shall cause a copy of this Code of Ethics to be
distributed to every officer, employee and consultant of the Town within 10 days after the
effective date of this chapter. Each officer and employee elected or appointed thereafter shall be
(6)
furnished a copy before entering upon the duties of his/her office or employment. The Town
Clerk shall obtain each officer's and each employee's and each consultant's signature
acknowledging receipt of this code. Failure to distribute any such copy or failure of any officer,
employee or consultant to receive such copy shall have no effect on the duty of compliance with
such code nor the enforcement of the provisions thereof.
SECTION 4. Section 14-6(B) of the Queensbury Town Code is hereby amended to read
as follows:
B. Members.
(1) The Ethics Board shall consist of five members, each of whom shall be appointed
upon a unanimous vote of all voting members of the Town Board, but there must
be at least four affirmative votes. All members must reside in the Town of
Queensbury. After written notice and opportunity to reply, any member may be
removed by unanimous vote of the Town Board for substantial neglect of duty,
gross misconduct in office, inability to discharge the powers or duties of office or
violation of this chapter.
(2) A Chairperson of the Ethics Board shall be elected by the majority vote of the
members at the Board's first meeting and annually thereafter at a meeting to be
held in January. Three members shall constitute a quorum. Members shall be
appointed for a term of four years; provided, however, that two of the original
appointees shall be appointed for an initial term of two years. Vacancies on the
Board shall be filled by appointment by unanimous vote of the Town Board for
the unexpired term of the former member. The members of the Ethics Board will
not be compensated but will be reimbursed for reasonable expenses incurred in
the performance of their duties.
(3) Criteria for Ethics Board members.
To assure an impartial and dispassionate membership:
No member of the Ethics Board shall:
• Have any direct or substantial financial interest in any work or business or
official action by the Town.
• Has, in the past two years, been a candidate for public office in a Town of
Queensbury election.
• Currently hold office in any political party committee.
• Have an immediate family relationship with a Town employee.
The Town Board seeks a diverse group of Ethics Board candidates who:
• Combine a broad spectrum of background, experience and expertise to be able
to fairly assess the multitude and variety of ethics issues typically brought
before them.
(7)
• Have the ability and willingness to recognize and disregard politically
motivated petitions, as opposed to genuine ethical concerns, and render
objective and independent decisions.
• Are without potential conflicts and where officials who seek advice about
their own conduct can readily turn to the Board knowing that in doing so they
are not revealing confidences to partisan opponents.
SECTION 5. SEVERABILITY. The invalidity of any clause, sentence, paragraph or
provision of this Local Law shall not invalidate any other clause, sentence, paragraph or part
thereof.
SECTION 6. REPEALER. All Local Laws or ordinances or parts of Local Laws or
ordinances in conflict with any part of this Local law are hereby repealed.
SECTION 7. EFFECTIVE DATE. This Local Law shall take effect upon filing in the
office of the New York State Secretary of State.
fig)
(Complete the certification in the paragraph that applies to the tiling of this local law and
strike out that which is not applicable.)
1. (Final adoption by local legislative body only.)
I hereby certify that the local law annexed hereto,designated as local law No. ---------- _-_'--------------------- of 200-Y
of the( ilgi ( itj►XTown){ $4e)of---------------aUFFU,-. .fife------------------------------ was duly passed by the
----------Town--Sc>ard------------------ on--Ma v--7, ., 2001,in accordance with the applicable provisions of law.
(Name of Legislative Body)
2. (Passage by local legislative body with approval,no disapproval or repassage after disapproval
by the Elective Chief Executive Officer*.)
I hereby certify that the local law annexed hereto,designated as local law No. ----------------------------------- of 20------
ofthe(CountyXCity)(Town)(Village)of----------------------------------------------------------------- was duly passed by the
----------------------------------------------- on------------------ 20 - - ,and was(approvedXnot approvedXrepassed after
(Name o/Legislative Body)
disapproval)by the-------------------------------------------------- and was deemed duly adopted on --------=--------- 20----,
(Ek—Chief F---Off—*)
in accordance with the applicable provisions of law.
3. (Final adoption by referendum.)
I hereby certify that the local law annexed hereto,designated as local law No. ------------------------------------of 20------
ofthe(CountyXCity)(Town)(Village)of------------------------- -------------------------------------- was duly passed by the
--------------------------------------------------- on------------------ 20----,and was(approved)(not approvedXrepassed after
(Name of Legislative Body)
disapproval)by the------------------------------------------------- on------------------- 20----. Such local law was submitted
(Ekcdve Chief Ruvudve Officer-)
to the people by reason of a (mandatory)(permissive)referendum,and received the affirmative vote of a majority of
the qualified electors voting thereon at the(generalXspecialXannual).election held on------------------ 24--- ,in
accordance with the applicable provisions of law.
4. (Subject to permissive referendum and final adoption because no valid petition was filed requesting.
referendum.)
I hereby certify that the local law annexed hereto,designated as local law No. ----------------------------------- of 20------
ofthe(CountyXCity)(Town)(Vllage)of------------------------- -------------------------------------- was duly passed by the
--------------------------------------------------- on------------------ 20----,and was(approved)(not approved)(repassed after
(Name ofLegbWve Body)
disapproval)by the--------------------------------------------------6on------------------ 20--- . Such local law was subject to
(Ekcdve Chief Eseagive Ofjca-)
permissive referendum and no valid petition requesting such"referendum-was filed as of------------------ 24--- ,in
accordance with the applicable provisions of law.
Elective Chief Executive Officer means or includes the chief executive officer of a county elected on a county-
wide basis or,if there be none,the chairperson of the county legislative body,the mayor of a city or village,or
the supervisor of a town where such officer is vested with the power to approve or veto local laws or ordinances.
�9)
5. (City local law concerning Charter revision proposed by petition.)
I hereby certify that the local law annexed hereto,designated as local law No. ----- ------ of 20------
of the City of--------------------------------------------- having been submitted to referendum pursuant to the provisions.of
section(36)(37)of the Municipal Home Rule Law,and having received the affirmative vote of a majority of the
qualified electors of such city voting thereon at the(special)(general)election held on-------------------20---,
became operative.
6. (County local law concerning adoption of Charter.)
I hereby certify that the local law annexed hereto,designated as local law No.-----------------------_---------- of 20-----
of the County of---------------------------------------------------- State of New York,having been submitted to the electors
at the General Election of November---------------------- 20----,pursuant to subdivisions 5 and 7 of section 33 of the
Municipal Home Rule Law,and having received the affirmative vote of a majority of the qualified electors of the cit-
ies of said county as a unit and a majority of the qualified electors of the towns of said county considered as a unit
voting at said general election,became operative.
(If any other authorized form of final adoption has been followed,please provide an appropriate certification.)
I further certify that I have compared the preceding local law with the original on file in this office and that the same
is a correct transcript therefrom and of the whole of such original local law,and was finally ted in the manner in-
dicated in paragraph-------1---,above.
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Clak of the Coma regislattve body,City,Tows or VMage
or ofoa designated by local loOd Live body
(Seal) Date:
(Certification to be executed by County Attorney,Corporation Counsel,Town Attorney,Village Attorney or
other authorized attorney of locality.)
STATE OF NEW YORK
ODUN7Y OF
I,the undersigned,hereby certify that the foregoing local law contains the correct text and that all proper proceedings
have been had or taken for the enactment of the local law annexed hereto.
44oatore J. K NOORIfSY
Town Counsel
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of Queensbury
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Town
May 0 , 2007
(10)
Page 1 of 1
Darleen Dougher
From: Darleen Dougher
Sent: Tuesday, June 05, 2007 9:00 AM
To: 'jmn@fmbf-law.com'
Subject: Ethics law
Ethics Local law
Under Section 14.5 E. 1. Can you make up a form for that disclosure
2. Under this section what is this referring to, what are they disclosing and is it the same
form used under#1
3. Does this paragraph also need a form?
Dan asked me to contact you on this, please let me know...
6/5/2007
STATE OF NEW YORK _
DEPARTMENT OF STATE
41 STATE STREET
ALBANY; NY 12231-0001
ELIOT SPITZER May 23 2007 LORRAINE A.CORTtS-VAZQUEZ
SECRETARY OF STATE
GOVERNOR
Darleen M Dougher
Town Clerk
Town Office Bldg
742 Bay Rd
Queensbury NY 12804
RE: Town of Queensbury, Local Law No. 1, 2007, filed on May 16, 2007
Dear Sir/Madam:
The above referenced material was received and filed by this office as indicated.
Additional local law filing forms can be obtained from our website,
www.dos.state.ny.us/corp/misc.htm1.
Sincerely,
Linda Lasch
Principal Clerk
State Records and Law Bureau
(518) 474-2755
WWW.DOS.STATE.NY.US E-MAIL:INF0@D0S.STATE.NY.US
RESOLUTION ENACTING LOCAL LAW NO.: 1 OF 2007 TO AMEND
CHAPTER 14 "CODE OF ETHICS"
RESOLUTION NO. 206,2007
INTRODUCED BY: Mr.Tim Brewer
WHO MOVED ITS ADOPTION
SECONDED BY: Mr. Richard Sanford
WHEREAS, the Town Board wishes to consider adoption of Local Law No.: 1 of 2007 to
amend Queensbury Town Code Chapter 14 entitled "Code of Ethics," to revise several provisions
of the current Code of Ethics, and
WHEREAS, this legislation is authorized in accordance with New York State General
Municipal Law§806, and
WHEREAS, the Town Board duly held a public hearing on Monday, May 7`h, 2007 and
heard all interested persons, and
WHEREAS, a copy of the proposed Local Law has been presented at this meeting,
NOW, THEREFORE,BE IT
RESOLVED, that the Queensbury Town Board hereby enacts Local Law No.: 1 of 2007 to
amend Queensbury Town Code Chapter 14 entitled "Code of Ethics," as presented at this meeting,
and
BE IT FURTHER,
RESOLVED, that the Town Board hereby authorizes and directs the Queensbury Town
Clerk to file the Local Law with the New York State Secretary of State in accordance with the
provisions of the Municipal Home Rule Law and acknowledges that the Local Law will take effect
immediately upon filing with the Secretary of State.
Duly adopted this 7`h day of May,2007,by the following vote:
AYES: Mr. Boor,Mr. Sanford,Mr. Strough,Mr. Brewer,Mr. Stec
NOES: None
ABSENT: None
CERTIFIED MAILT. RECEIPT
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,,omplete items 1,2,and 3.Also complete A.,Signature .L b Z
item 4 if Restricted Delivery is desired. X �t ❑Agent
■ Print your name and address on the reverse 0 Addressee
so that we can return the card to you. B. Received by(Printed Name) C. Date of Delivery
■ Attach this card to the back of the mailpiece,
or on the front if space permits.
D. is delivery address different from item 1? ❑Yes
1. Article Addressed to: If YES,enter delivery address below: ❑No
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4. Restricted Delivery?(Extra Fee) ❑Yes
2. Article Number f r= i ► ; ; ( 9 D 0002 9053 3329
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PS Form 3811,February 2004 Domestic Return Receipt 109—"
ueneral Code Publishers
72 Hinchey Road s..
Rochester,NY 14624
Phone:800/836-8834 Fax:585/328-8189
Email:sales@generalcode.com
05/17/2007 A236164
Ms. Darleen M. Dougher:
The following material has been received and will be processed for
inclusion in your Code as supplemental pages(where applicable):
Local Law No. 1-2007.
Town of Queensbury
C/O Clerk's Office
742 Bay Road
Queensbury, NY 12804
.j. I1jtf111f1t I11l It It 11111111111111111LIM 111i1t