Bill Text: NY A10682 | 2009-2010 | General Assembly | Amended
Bill Title: Relates to conflicts of interest of municipal officers and employees and codes of ethics.
Spectrum: Partisan Bill (Democrat 2-0)
Status: (Introduced - Dead) 2010-06-25 - reported referred to rules [A10682 Detail]
Download: New_York-2009-A10682-Amended.html
S T A T E O F N E W Y O R K
________________________________________________________________________
10682--A
I N A S S E M B L Y
April 14, 2010
___________
Introduced by M. of A. DESTITO, HOYT -- (at request of the State Comp-
troller) -- read once and referred to the Committee on Governmental
Operations -- committee discharged, bill amended, ordered reprinted as
amended and recommitted to said committee
AN ACT to amend the general municipal law, in relation to conflicts of
interest of municipal officers and employees, codes of ethics and
boards of ethics; to amend chapter 946 of the laws of 1964 amending
the general municipal law and other laws relating to conflicts of
interest of municipal officers and employees, in relation to permit-
ting local codes of ethics to prohibit activities expressly permitted
by article 18 of the general municipal law; and to repeal paragraphs
(d) and (e) of subdivision 3 of section 806 and section 813 of the
general municipal law relating to the temporary state commission on
local government ethics
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
1 Section 1. Subdivision 3 of section 800 of the general municipal law,
2 as amended by chapter 1043 of the laws of 1965, is amended to read as
3 follows:
4 3. "Interest" means a direct or indirect pecuniary or material benefit
5 accruing to a municipal officer or employee, OR HIS OR HER SPOUSE, as
6 the result of a contract with the municipality which such officer or
7 employee serves. For the purposes of this article a municipal officer or
8 employee OR HIS OR HER SPOUSE shall be deemed to have an interest in the
9 contract of (a) his OR HER spouse, minor children and dependents, except
10 a contract of employment with the municipality which such officer or
11 employee serves, (b) a firm, partnership or association of which such
12 officer or employee, OR HIS OR HER SPOUSE, is a member or employee, (c)
13 a corporation of which such officer or employee, OR HIS OR HER SPOUSE,
14 is an officer, director or employee and (d) a corporation any stock of
15 which is owned or controlled directly or indirectly by such officer or
16 employee, OR HIS OR HER SPOUSE.
17 S 2. Section 801 of the general municipal law, as amended by chapter
18 1043 of the laws of 1965, is amended to read as follows:
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD16256-12-0
A. 10682--A 2
1 S 801. Conflicts of interest prohibited. Except as provided in section
2 eight hundred two of this chapter, (1) no municipal officer or employee
3 shall have an interest in any contract with the municipality of which he
4 OR SHE is an officer or employee, when such officer or employee, indi-
5 vidually or as a member of a board, has the power or duty to (a) negoti-
6 ate, prepare, authorize or approve the contract or authorize or approve
7 payment thereunder, (b) audit bills or claims under the contract, or (c)
8 appoint an officer or employee who has any of the powers or duties set
9 forth above [and]; (2) no chief fiscal officer, treasurer, or his OR HER
10 deputy or employee, shall have an interest in a bank or trust company
11 designated as a depository, paying agent, registration agent or for
12 investment of funds of the municipality of which he OR SHE is an officer
13 or employee; AND (3) NO MUNICIPAL OFFICER OR EMPLOYEE WHOSE SERVICE TO A
14 MUNICIPALITY INCLUDES RENDITION OF PROFESSIONAL SERVICES REQUIRING
15 ADMISSION TO THE PRACTICE OF LAW SHALL (A) HAVE AN INTEREST IN ANY
16 CONTRACT FOR RENDITION OF LEGAL SERVICES TO THE MUNICIPALITY, UNLESS (I)
17 THE CONTRACT IS AWARDED ON THE BASIS OF A COMPETITIVE PROCESS UNDERTAKEN
18 IN ACCORDANCE WITH THE MUNICIPALITY'S PROCUREMENT POLICIES AND PROCE-
19 DURES ADOPTED PURSUANT TO SECTION ONE HUNDRED FOUR-B OF THIS CHAPTER,
20 AND (II) THE MUNICIPALITY HAS THE ADVICE OF INDEPENDENT COUNSEL WITH
21 RESPECT TO THE ADVISABILITY OF THE PROVISIONS OF THE CONTRACT, OR (B)
22 COMPENSATE ANY PERSON OR ORGANIZATION FROM HIS OR HER PERSONAL RESOURCES
23 TO RENDER LEGAL SERVICES TO THE MUNICIPALITY. The provisions of this
24 section shall in no event be construed to preclude the payment of lawful
25 compensation and necessary expenses of any municipal officer or employee
26 in one or more positions of public employment, the holding of which is
27 not prohibited by law.
28 S 3. The general municipal law is amended by adding a new section
29 803-a to read as follows:
30 S 803-A. RECUSAL AND ABSTENTION. 1. EXCEPT AS PROVIDED IN SUBDIVISION
31 TWO OF THIS SECTION, NO MUNICIPAL OFFICER OR EMPLOYEE SHALL PARTICIPATE
32 IN ANY OFFICIAL DECISION OR TAKE ANY OFFICIAL ACTION WITH RESPECT TO ANY
33 MATTER, INCLUDING DISCUSSING THE MATTER OR VOTING ON IT, WHEN THE MATTER
34 RELATES TO:
35 A. A CONTRACT IN WHICH THE MUNICIPAL OFFICER OR EMPLOYEE OR HIS OR HER
36 SPOUSE HAS AN INTEREST; OR
37 B. AN APPLICATION, PETITION OR REQUEST BY AN APPLICANT IN WHICH THE
38 MUNICIPAL OFFICER OR EMPLOYEE HAS AN INTEREST THAT MUST BE DISCLOSED
39 PURSUANT TO SECTION EIGHT HUNDRED NINE OF THIS ARTICLE.
40 2. THIS SECTION SHALL NOT BE CONSTRUED AS PROHIBITING:
41 A. A MINISTERIAL ACT, WHICH FOR THE PURPOSES OF THIS SECTION SHALL
42 MEAN AN ADMINISTRATIVE ACT CARRIED OUT IN A PRESCRIBED MANNER NOT ALLOW-
43 ING FOR SUBSTANTIAL PERSONAL DISCRETION;
44 B. PARTICIPATION IN ANY OFFICIAL DECISION OR OFFICIAL ACTION TAKEN BY
45 A BOARD OR SIMILAR BODY WHEN A MAJORITY OF THE MEMBERS OF THE BOARD OR
46 BODY WOULD OTHERWISE BE PROHIBITED FROM ACTING BY SUBDIVISION ONE OF
47 THIS SECTION; OR
48 C. PARTICIPATION IN ANY OFFICIAL DECISION OR OFFICIAL ACTION TAKEN BY
49 A MUNICIPAL OFFICER OR EMPLOYEE, INDIVIDUALLY, WHEN THE MATTER CANNOT BE
50 LAWFULLY DELEGATED OR ASSIGNED TO ANOTHER PERSON.
51 3. COMPLIANCE WITH THIS SECTION SHALL NOT CONSTITUTE AN EXCEPTION TO
52 SECTION EIGHT HUNDRED ONE OF THIS ARTICLE, NOR BE CONSTRUED AS CURING A
53 VIOLATION OF THAT SECTION.
54 S 4. Paragraph (a) of subdivision 1 of section 806 of the general
55 municipal law, as amended by chapter 238 of the laws of 2006, is amended
56 to read as follows:
A. 10682--A 3
1 (a) The governing body of each county, city, town, village, school
2 district and fire district shall, and the governing body of any other
3 municipality may, by local law, ordinance or resolution, adopt a code of
4 ethics setting forth for the guidance of its officers and employees the
5 standards of conduct reasonably expected of them. Notwithstanding any
6 other provision of this article to the contrary, a fire district code of
7 ethics shall also apply to the volunteer members of the fire district
8 fire department. Codes of ethics shall provide standards for officers
9 and employees with respect to disclosure of interest in legislation
10 before the local governing body, holding of investments in conflict with
11 official duties, private employment in conflict with official duties,
12 future employment, USE OF PUBLIC RESOURCES FOR PERSONAL OR PRIVATE
13 PURPOSES, NEPOTISM, CIRCUMSTANCES REQUIRING RECUSAL AND ABSTENTION, and
14 such other standards relating to the conduct of officers and employees
15 as may be deemed advisable. Such codes may: (I) regulate or prescribe
16 conduct which is not expressly prohibited by this article but may not
17 authorize conduct otherwise prohibited[. Such codes may provide for the
18 prohibition of]; (II) PROHIBIT CONTRACTS OR conduct [or] THAT IS EITHER
19 EXPRESSLY OR BY IMPLICATION PERMITTED BY SECTION EIGHT HUNDRED TWO OR
20 SECTION EIGHT HUNDRED FIVE-A OF THIS ARTICLE; AND (III) PROVIDE FOR THE
21 disclosure of information and the classification of employees or offi-
22 cers. THE GOVERNING BODY OF EACH MUNICIPALITY THAT ADOPTS A CODE OF
23 ETHICS SHALL BIENNIALLY REVIEW AND, IF NECESSARY, UPDATE ITS CODE OF
24 ETHICS.
25 S 5. Subdivision 2 of section 806 of the general municipal law, as
26 amended by chapter 238 of the laws of 2006, is amended to read as
27 follows:
28 2. [The] UPON THE ADOPTION OR AMENDMENT OF A CODE OF ETHICS BY A MUNI-
29 CIPALITY, THE chief executive officer of [a] THE municipality [adopting
30 a code of ethics] shall cause a copy [thereof] OF SUCH CODE OR AMENDMENT
31 to be distributed PROMPTLY to every officer and employee of his OR HER
32 municipality AND TO THE BOARD OF ETHICS FOR THE MUNICIPALITY. [The] IN
33 ADDITION, SUCH CHIEF EXECUTIVE OFFICER SHALL CAUSE A COMPLETE AND
34 CURRENT COPY OF THE MUNICIPALITY'S CODE OF ETHICS TO BE DISTRIBUTED (A)
35 TO EVERY PERSON WHO IS ELECTED OR APPOINTED TO SERVE AS AN OFFICER OR
36 EMPLOYEE OF THE MUNICIPALITY PROMPTLY FOLLOWING SUCH PERSON'S ELECTION
37 OR APPOINTMENT, AND (B) TO ALL THE OFFICERS AND EMPLOYEES OF THE MUNICI-
38 PALITY AT LEAST ONCE EVERY FIVE YEARS. EVERY MUNICIPAL OFFICER AND
39 EMPLOYEE RECEIVING A COPY OF A CODE OF ETHICS OR AMENDMENT THERETO SHALL
40 ACKNOWLEDGE PROMPTLY IN WRITING THAT HE OR SHE HAS RECEIVED AND READ THE
41 CODE OF ETHICS OR AMENDMENT. THE BOARD OF fire [district] commissioners
42 OF A FIRE DISTRICT shall ALSO cause a copy of the fire district's code
43 of ethics, INCLUDING ANY AMENDMENTS THERETO, to be posted publicly and
44 conspicuously in each building under such district's control. Failure
45 to distribute any such copy or failure of any officer or employee to
46 receive such copy shall have no effect on the duty of compliance with
47 such code, nor the enforcement of provisions thereof.
48 S 6. The opening paragraph and paragraphs (a) and (b) of subdivision 3
49 of section 806 of the general municipal law, as amended by chapter 813
50 of the laws of 1987, are amended to read as follows:
51 [Until January first, nineteen hundred ninety-one, the] THE clerk of
52 each municipality [shall file in the office of the state comptroller and
53 on or after January first, nineteen hundred ninety-one, the clerk of
54 each municipality and of each political subdivision, as defined in
55 section eight hundred ten of this article, shall file with the temporary
56 state commission on local government ethics established by section eight
A. 10682--A 4
1 hundred thirteen of this article, if such temporary state commission be
2 in existence, and in all events] AND OF EACH POLITICAL SUBDIVISION, AS
3 DEFINED IN SECTION EIGHT HUNDRED TEN OF THIS ARTICLE, shall maintain as
4 a record subject to public inspection:
5 (a) a copy of [any] THE MUNICIPALITY'S OR POLITICAL SUBDIVISION'S code
6 of ethics or any amendments to any code of ethics [adopted within thirty
7 days after the adoption of such code or such amendment],
8 (b) a statement that such municipality or political subdivision has
9 established a board of ethics, in accordance with section eight hundred
10 eight OF THIS ARTICLE and/or pursuant to other law, charter, code, local
11 law, ordinance or resolution, and the composition of such board, [within
12 thirty days after the establishment of such board.] AND
13 S 7. Paragraphs (d) and (e) of subdivision 3 of section 806 of the
14 general municipal law are REPEALED.
15 S 8. Section 808 of the general municipal law, as amended by chapter
16 1019 of the laws of 1970 and subdivision 5 as added by chapter 813 of
17 the laws of 1987, is amended to read as follows:
18 S 808. Boards of ethics. 1. [The governing body of any county may
19 establish a county board of ethics and appropriate moneys for mainte-
20 nance and personal services in connection therewith. The members of such
21 board of ethics shall be appointed by such governing body except in the
22 case of a county operating under an optional or alternative form of
23 county government or county charter, in which case the members shall be
24 appointed by the county executive or county manager, as the case may be,
25 subject to confirmation by such governing body. Such board of ethics
26 shall consist of at least three members, a majority of whom shall not be
27 officers or employees of such county or municipalities wholly or
28 partially located in such county and at least one of whom shall be an
29 elected or appointed officer or employee of the county or a municipality
30 located within such county. The members of such board shall receive no
31 salary or compensation for their services as members of such board and
32 shall serve at the pleasure of the appointing authority.] (A) THE
33 GOVERNING BODY OF EVERY COUNTY SHALL ESTABLISH A BOARD OF ETHICS, THE
34 GOVERNING BODY OF EVERY CITY, TOWN AND VILLAGE HAVING A POPULATION OF
35 FIFTY THOUSAND OR MORE SHALL ESTABLISH A BOARD OF ETHICS, AND THE
36 GOVERNING BODY OF EVERY BOARD OF COOPERATIVE EDUCATIONAL SERVICES
37 (BOCES) SHALL ESTABLISH A BOARD OF ETHICS. THEREAFTER, THE GOVERNING
38 BODY SHALL APPROPRIATE ANNUALLY SUCH MONEYS AS MAY BE NECESSARY FOR THE
39 BOARD'S CONTRACTUAL AND PERSONAL SERVICE EXPENDITURES. EXCEPT AS
40 PROVIDED IN PARAGRAPH (D) OF THIS SUBDIVISION, SUCH BOARD SHALL HAVE
41 JURISDICTION TO ACT ONLY IN RELATION TO THE OFFICERS AND EMPLOYEES OF
42 THE COUNTY, CITY, TOWN, VILLAGE OR BOCES THAT ESTABLISHED THE BOARD.
43 (B) THE GOVERNING BODY OF EVERY MUNICIPALITY NOT DESCRIBED IN PARA-
44 GRAPH (A) OF THIS SUBDIVISION IS AUTHORIZED, BUT NOT REQUIRED, TO ESTAB-
45 LISH A BOARD OF ETHICS. IF SUCH GOVERNING BODY ESTABLISHES A BOARD OF
46 ETHICS, THE GOVERNING BODY SHALL APPROPRIATE ANNUALLY SUCH MONEYS AS MAY
47 BE NECESSARY FOR THE BOARD'S CONTRACTUAL AND PERSONAL SERVICE EXPENDI-
48 TURES. SUCH BOARD SHALL HAVE JURISDICTION TO ACT ONLY IN RELATION TO
49 THE OFFICERS AND EMPLOYEES OF THE MUNICIPALITY THAT ESTABLISHED THE
50 BOARD.
51 (C) TWO OR MORE MUNICIPALITIES NOT DESCRIBED IN PARAGRAPH (A) OF THIS
52 SUBDIVISION MAY ENTER INTO, AMEND, CANCEL, AND TERMINATE AGREEMENTS FOR
53 THE ESTABLISHMENT OF A COOPERATIVE BOARD OF ETHICS. SUCH AGREEMENTS
54 SHALL BE CONSISTENT WITH THE REQUIREMENTS OF ARTICLE FIVE-G OF THIS
55 CHAPTER, EXCEPT AS OTHERWISE PROVIDED IN THIS SECTION INCLUDING THAT (I)
56 THE POWER TO ENTER INTO SUCH AGREEMENTS SHALL EXTEND TO ALL MUNICI-
A. 10682--A 5
1 PALITIES AS DEFINED IN THIS ARTICLE, AND SHALL NOT BE LIMITED TO MUNICI-
2 PAL CORPORATIONS AND DISTRICTS AS DEFINED IN ARTICLE FIVE-G OF THIS
3 CHAPTER, AND (II) THE DURATION OF SUCH AGREEMENTS SHALL NOT BE LIMITED
4 TO A MAXIMUM TERM OF FIVE YEARS. FOLLOWING THE ESTABLISHMENT OF A COOP-
5 ERATIVE BOARD OF ETHICS, THE GOVERNING BODIES OF THE MUNICIPALITIES THAT
6 ARE PARTIES TO THE AGREEMENT ESTABLISHING THE BOARD SHALL APPROPRIATE
7 ANNUALLY SUCH MONEYS AS MAY BE NECESSARY FOR THE BOARD'S CONTRACTUAL AND
8 PERSONAL SERVICE EXPENDITURES, IN SUCH AMOUNTS OR PROPORTION AS MAY BE
9 PROVIDED IN THE AGREEMENT. A COOPERATIVE BOARD OF ETHICS SHALL BE THE
10 BOARD OF ETHICS OF EACH MUNICIPALITY THAT IS A PARTY TO THE AGREEMENT
11 ESTABLISHING THE BOARD, AND SHALL HAVE JURISDICTION TO ACT ONLY IN
12 RELATION TO THE OFFICERS OR EMPLOYEES OF SUCH MUNICIPALITIES.
13 (D) IN THE EVENT THAT A MUNICIPALITY DESCRIBED IN PARAGRAPH (B) OF
14 THIS SUBDIVISION DOES NOT ESTABLISH A BOARD OF ETHICS AND IS NOT A PARTY
15 TO AN AGREEMENT ESTABLISHING A COOPERATIVE BOARD OF ETHICS:
16 (I) IN THE CASE OF A MUNICIPALITY OTHER THAN A SCHOOL DISTRICT, THE
17 BOARD OF ETHICS OF THE COUNTY IN WHICH THE MUNICIPALITY IS LOCATED SHALL
18 SERVE AS THE BOARD OF ETHICS OF SUCH MUNICIPALITY AND HAVE JURISDICTION
19 TO ACT IN RELATION TO THE OFFICERS AND EMPLOYEES OF THAT MUNICIPALITY,
20 PROVIDED, THAT IF SUCH A MUNICIPALITY IS LOCATED IN MORE THAN ONE COUN-
21 TY, THE GOVERNING BOARD OF THE MUNICIPALITY BY RESOLUTION SHALL DESIG-
22 NATE THE BOARD OF ETHICS OF ONE OF THE COUNTIES TO SERVE AS THE BOARD OF
23 ETHICS OF THE MUNICIPALITY;
24 (II) IN THE CASE OF A SCHOOL DISTRICT, OTHER THAN THE CITY SCHOOL
25 DISTRICT OF A CITY HAVING A POPULATION OF ONE HUNDRED TWENTY-FIVE THOU-
26 SAND OR MORE, THE BOARD OF ETHICS ESTABLISHED BY THE BOCES OF THE SUPER-
27 VISORY DISTRICT IN WHICH THE SCHOOL DISTRICT IS LOCATED SHALL SERVE AS
28 THE BOARD OF ETHICS OF SUCH SCHOOL DISTRICT AND HAVE JURISDICTION TO ACT
29 IN RELATION TO THE OFFICERS AND EMPLOYEES OF SUCH SCHOOL DISTRICT; AND
30 (III) IN THE CASE OF A CITY SCHOOL DISTRICT OF A CITY HAVING A POPU-
31 LATION OF ONE HUNDRED TWENTY-FIVE THOUSAND OR MORE, THE BOARD OF ETHICS
32 ESTABLISHED BY THE CITY IN WHICH THE SCHOOL DISTRICT IS LOCATED SHALL
33 SERVE AS THE BOARD OF ETHICS OF SUCH SCHOOL DISTRICT AND HAVE JURISDIC-
34 TION TO ACT IN RELATION TO THE OFFICERS AND EMPLOYEES OF SUCH SCHOOL
35 DISTRICT.
36 (E) THE CHIEF EXECUTIVE OFFICER OF EVERY MUNICIPALITY THAT HAS NOT
37 ESTABLISHED A BOARD OF ETHICS AND IS NOT A PARTY TO AN AGREEMENT ESTAB-
38 LISHING A COOPERATIVE BOARD OF ETHICS, ANNUALLY, WITHIN THIRTY DAYS
39 FOLLOWING THE START OF A MUNICIPALITY'S FISCAL YEAR, SHALL NOTIFY THE
40 APPROPRIATE COUNTY, BOCES OR CITY BOARD OF ETHICS THAT SUCH BOARD SHALL
41 SERVE AS THE BOARD OF ETHICS FOR THE MUNICIPALITY. SUCH NOTICE SHALL BE
42 ACCOMPANIED BY A COMPLETE AND CURRENT COPY OF THE MUNICIPALITY'S CODE OF
43 ETHICS. IF OFFICERS AND EMPLOYEES OF THE MUNICIPALITY ARE SUBJECT TO
44 ANNUAL FINANCIAL DISCLOSURE REQUIREMENTS IMPOSED IN ACCORDANCE WITH THIS
45 ARTICLE, SUCH NOTICE SHALL ALSO BE ACCOMPANIED BY A COMPLETE AND CURRENT
46 COPY OF ALL LOCAL LAWS, ORDINANCES, RESOLUTIONS AND REGULATIONS ADOPTED
47 BY THE MUNICIPALITY RELATING TO THE IMPOSITION, ADMINISTRATION AND
48 ENFORCEMENT OF THE FILING REQUIREMENT. AT THE TIME SUCH NOTICE IS GIVEN,
49 THE CHIEF EXECUTIVE SHALL ALSO CAUSE A COPY OF THE NOTICE TO BE POSTED
50 IN EACH PUBLIC BUILDING UNDER THE JURISDICTION OF THE MUNICIPALITY IN A
51 PLACE CONSPICUOUS TO ITS OFFICERS AND EMPLOYEES.
52 (F) IN THE EVENT THAT A BOARD OF ETHICS ESTABLISHED BY A COUNTY, BOCES
53 OR CITY SERVES AS THE BOARD OF ETHICS FOR ANOTHER MUNICIPALITY, AND SUCH
54 MUNICIPALITY SHALL EITHER ESTABLISH A BOARD OF ETHICS OR BECOME A PARTY
55 TO AN AGREEMENT ESTABLISHING A COOPERATIVE BOARD OF ETHICS, THE CHIEF
56 EXECUTIVE OFFICER OF THE MUNICIPALITY SHALL NOTIFY THE COUNTY, BOCES OR
A. 10682--A 6
1 CITY BOARD OF ETHICS OF THE DATE AS OF WHICH SUCH BOARD SHALL NO LONGER
2 SERVE AS THE BOARD OF ETHICS OF THE MUNICIPALITY. AT THE TIME SUCH
3 NOTICE IS GIVEN, THE CHIEF EXECUTIVE SHALL ALSO CAUSE A COPY OF THE
4 NOTICE TO BE POSTED IN EACH PUBLIC BUILDING UNDER THE JURISDICTION OF
5 THE MUNICIPALITY IN A PLACE CONSPICUOUS TO ITS OFFICERS AND EMPLOYEES.
6 PROMPTLY AFTER THE DATE SPECIFIED IN SUCH NOTICE, THE COUNTY, BOCES OR
7 CITY BOARD OF ETHICS SHALL TRANSFER TO THE MUNICIPAL OR COOPERATIVE
8 BOARD OF ETHICS ALL PENDING MATTERS AND RECORDS RELATING TO THE OFFICERS
9 AND EMPLOYEES OF THE MUNICIPALITY, PROVIDED, HOWEVER, THAT SUCH COUNTY,
10 BOCES, OR CITY BOARD OF ETHICS SHALL HAVE THE DISCRETION TO RETAIN ANY
11 PENDING MATTER AND RECORDS RELATING THERETO UNTIL SUCH TIME AS THE
12 MATTER IS RESOLVED.
13 (G) EVERY BOARD OF ETHICS SHALL CONSIST OF AT LEAST THREE MEMBERS, A
14 MAJORITY OF WHOM SHALL NOT BE MUNICIPAL OFFICERS OR EMPLOYEES. THE
15 MEMBERS OF EVERY BOARD OF ETHICS SHALL SERVE FOR A FIXED TERM OF OFFICE.
16 THE LENGTH OF SUCH TERM OF OFFICE SHALL BE DETERMINED BY THE MUNICIPAL
17 GOVERNING BODY THAT ESTABLISHES THE BOARD OF ETHICS OR SPECIFIED IN THE
18 AGREEMENT ESTABLISHING A COOPERATIVE BOARD OF ETHICS, PROVIDED, THAT
19 SUCH GOVERNING BODY OR AGREEMENT MAY PROVIDE FOR THE INITIAL APPOINT-
20 MENTS TO THE BOARD TO BE MADE FOR STAGGERED TERMS. APPOINTMENTS TO THE
21 BOARD SHALL BE MADE AS FOLLOWS:
22 (I) THE MEMBERS OF A COUNTY BOARD OF ETHICS SHALL BE APPOINTED BY THE
23 GOVERNING BODY OF THE COUNTY EXCEPT IN THE CASE OF A COUNTY OPERATING
24 UNDER AN OPTIONAL OR ALTERNATIVE FORM OF COUNTY GOVERNMENT OR COUNTY
25 CHARTER, IN WHICH CASE THE MEMBERS SHALL BE APPOINTED BY THE COUNTY
26 EXECUTIVE, COUNTY MANAGER OR COUNTY ADMINISTRATOR, AS THE CASE MAY BE,
27 SUBJECT TO CONFIRMATION BY SUCH GOVERNING BODY.
28 (II) THE MEMBERS OF A BOARD OF ETHICS ESTABLISHED BY A MUNICIPALITY
29 OTHER THAN A COUNTY SHALL BE APPOINTED BY SUCH PERSON OR BODY AS MAY BE
30 DESIGNATED BY THE GOVERNING BODY OF THE MUNICIPALITY.
31 (III) THE MEMBERS OF A COOPERATIVE BOARD OF ETHICS SHALL BE APPOINTED
32 IN THE MANNER PROVIDED IN THE AGREEMENT ESTABLISHING THE BOARD.
33 (H) THE MEMBERS OF EVERY BOARD OF ETHICS SHALL RECEIVE NO SALARY OR
34 COMPENSATION FOR THEIR SERVICES AS MEMBERS OF SUCH BOARD, BUT WITHIN
35 AMOUNTS APPROPRIATED SHALL BE REIMBURSED FOR ACTUAL AND NECESSARY
36 EXPENSES INCURRED IN THE PERFORMANCE OF THEIR OFFICIAL DUTIES, PROVIDED,
37 THAT THE PROVISIONS OF SECTION SEVENTY-SEVEN-B OF THIS CHAPTER SHALL
38 APPLY TO THE MEMBERS OF A BOARD OF ETHICS.
39 2. [The] EVERY board OF ETHICS shall render advisory opinions to THE
40 officers and employees [of municipalities wholly or partly within the
41 county] UNDER THE BOARD'S JURISDICTION with respect to this article and
42 any code of ethics adopted pursuant hereto. Such advisory opinions
43 shall be rendered pursuant to the written request of any such officer or
44 employee under such rules and regulations as the board may prescribe
45 [and shall have the advice of counsel employed by the board, or if none,
46 the county attorney]. In addition, [it] THE BOARD may make recommenda-
47 tions with respect to the drafting and adoption of a code of ethics or
48 amendments thereto upon the request of the governing body of any munici-
49 pality [in the county] FOR WHICH THE BOARD SERVES AS THE MUNICIPALITY'S
50 BOARD OF ETHICS, AND PERFORM SUCH OTHER FUNCTIONS RELATING TO THE ADMIN-
51 ISTRATION OF THIS ARTICLE AS MAY BE AUTHORIZED BY THE GOVERNING BODY OR
52 AGREEMENT ESTABLISHING THE BOARD INCLUDING, BUT NOT LIMITED TO, PROVID-
53 ING ETHICS TRAINING TO THE OFFICERS AND EMPLOYEES UNDER THE BOARD'S
54 JURISDICTION.
55 2-A. (A) NOTWITHSTANDING ANY GENERAL, SPECIAL OR LOCAL LAW, ORDINANCE
56 OR RESOLUTION TO THE CONTRARY, EVERY BOARD OF ETHICS SHALL HAVE THE
A. 10682--A 7
1 POWER TO INVESTIGATE POTENTIAL VIOLATIONS OF THIS ARTICLE AND A CODE OF
2 ETHICS ADOPTED PURSUANT TO THIS ARTICLE INVOLVING THE MUNICIPAL OFFICERS
3 AND EMPLOYEES UNDER THE BOARD'S JURISDICTION, PROVIDED, HOWEVER, THAT
4 THIS SUBDIVISION SHALL NOT APPLY TO A JUDGE OR JUSTICE OF THE UNIFIED
5 COURT SYSTEM. THE BOARD MAY INITIATE SUCH AN INVESTIGATION EITHER UPON
6 ITS OWN MOTION OR UPON RECEIPT OF A SWORN COMPLAINT ALLEGING SUCH A
7 VIOLATION.
8 (B) UPON INITIATING SUCH AN INVESTIGATION, THE BOARD SHALL PROVIDE TO
9 THE MUNICIPAL OFFICER OR EMPLOYEE WHO IS THE SUBJECT OF THE INVESTI-
10 GATION WRITTEN NOTICE DESCRIBING THE POTENTIAL VIOLATION, AND PROVIDE
11 THE PERSON WITH AT LEAST A FIFTEEN DAY PERIOD TO SUBMIT A WRITTEN
12 RESPONSE SETTING FORTH INFORMATION RELATING TO THE ACTIVITIES CITED AS
13 THE POTENTIAL VIOLATION. THE BOARD MAY ALSO OBTAIN ADDITIONAL INFORMA-
14 TION RELATING TO THE POTENTIAL VIOLATION FROM SUCH OTHER SOURCES AS IT
15 DEEMS APPROPRIATE.
16 (C) IF AT ANY TIME DURING AN INVESTIGATION, THE BOARD DETERMINES THAT
17 THERE HAS BEEN NO VIOLATION OF THIS ARTICLE OR A CODE OF ETHICS, THE
18 BOARD SHALL PROVIDE WRITTEN NOTIFICATION OF SUCH DETERMINATION TO THE
19 MUNICIPAL OFFICER OR EMPLOYEE WHO WAS THE SUBJECT OF THE INVESTIGATION
20 AND THE COMPLAINANT, IF ANY. IN SUCH CASE, ALL DOCUMENTS AND RECORDS
21 RELATING TO PROCEEDINGS CONDUCTED PURSUANT TO THIS SUBDIVISION SHALL BE
22 CONFIDENTIAL.
23 (D) AT ANY TIME DURING AN INVESTIGATION, THE BOARD MAY MAKE A PRELIMI-
24 NARY DETERMINATION THAT THERE HAS BEEN A VIOLATION OF THIS ARTICLE OR A
25 VIOLATION OF A CODE OF ETHICS. IN SUCH CASE, THE BOARD SHALL PROVIDE
26 WRITTEN NOTIFICATION OF THE PRELIMINARY DETERMINATION TO THE MUNICIPAL
27 OFFICER OR EMPLOYEE WHO IS THE SUBJECT OF THE INVESTIGATION AND PROVIDE
28 THAT PERSON WITH AN ADDITIONAL OPPORTUNITY TO BE HEARD. THEREAFTER, IF
29 THE BOARD MAKES A FINAL DETERMINATION THAT THERE HAS BEEN A VIOLATION,
30 THE BOARD SHALL PROVIDE WRITTEN NOTIFICATION OF SUCH FINAL DETERMINATION
31 TO THE MUNICIPAL OFFICER OR EMPLOYEE WHO WAS THE SUBJECT OF THE INVESTI-
32 GATION, THE COMPLAINANT, IF ANY, AND THE APPOINTING AUTHORITY FOR SUCH
33 PERSON OR, IF THE PERSON SERVES IN AN ELECTIVE OFFICE, THE GOVERNING
34 BODY OF THE MUNICIPALITY FOR WHICH SUCH PERSON SERVES.
35 (E) IN CASES WHERE THE BOARD FINDS THAT A MUNICIPAL OFFICER OR EMPLOY-
36 EE HAS WILLFULLY AND KNOWINGLY VIOLATED THIS ARTICLE OR A CODE OF
37 ETHICS, THE BOARD MAY: (I) ISSUE A REPRIMAND; (II) ASSESS A CIVIL PENAL-
38 TY ON BEHALF OF THE MUNICIPALITY IN AN AMOUNT NOT TO EXCEED ONE THOUSAND
39 DOLLARS FOR EACH SUCH SPECIFIC VIOLATION; (III) RECOMMEND TO THE
40 APPOINTING AUTHORITY FOR SUCH PERSON, IF ANY, SUSPENSION WITH OR WITHOUT
41 PAY, DEMOTION, TERMINATION OR SUCH OTHER DISCIPLINARY ACTION AS THE
42 BOARD DEEMS APPROPRIATE; AND (IV) IN THE CASE OF A POTENTIAL VIOLATION
43 ENCOMPASSED WITHIN SECTION EIGHT HUNDRED FIVE OF THIS ARTICLE, REFER THE
44 MATTER TO THE APPROPRIATE LAW ENFORCEMENT AGENCY. ASSESSMENT OF A CIVIL
45 PENALTY SHALL BE FINAL UNLESS MODIFIED, SUSPENDED OR VACATED WITHIN
46 THIRTY DAYS OF IMPOSITION, AND UPON BECOMING FINAL SHALL BE SUBJECT TO
47 REVIEW AT THE INSTANCE OF SUCH PERSON IN A PROCEEDING AGAINST THE BOARD
48 BROUGHT PURSUANT TO ARTICLE SEVENTY-EIGHT OF THE CIVIL PRACTICE LAW AND
49 RULES.
50 (F) EVERY BOARD OF ETHICS SHALL ADOPT RULES TO ENSURE PROCEDURAL DUE
51 PROCESS IN THE CONDUCT OF ADJUDICATORY PROCEEDINGS HELD PURSUANT TO THIS
52 SUBDIVISION.
53 3. [The governing body of any municipality other than a county may
54 establish a local board of ethics and, where such governing body is so
55 authorized, appropriate moneys for maintenance and personal services in
56 connection therewith. A local board shall have all the powers and duties
A. 10682--A 8
1 of and shall be governed by the same conditions as a county board of
2 ethics, except that it shall act only with respect to officers and
3 employees of the municipality that has established such board or of its
4 agencies. The members of a local board shall be appointed by such person
5 or body as may be designated by the governing body of the municipality
6 to serve at the pleasure of the appointing authority and such board
7 shall consist of at least three members, a majority of whom are not
8 otherwise officers or employees of such municipality. Such board shall
9 include at least one member who is an elected or appointed municipal
10 officer or employee.
11 4. The county board of ethics shall not act with respect to the offi-
12 cers and employees of any municipality located within such county or
13 agency thereof, where such municipality has established its own board of
14 ethics, except that the local board may at its option refer matters to
15 the county board.
16 5. A] A BOARD OF ETHICS SHALL HAVE THE ADVICE OF COUNSEL EMPLOYED BY
17 THE BOARD OR, IF NONE, THE ATTORNEY FOR THE MUNICIPALITY THAT ESTAB-
18 LISHED THE BOARD OR, IN THE CASE OF A COOPERATIVE BOARD OF ETHICS, SUCH
19 MUNICIPAL ATTORNEY AS MAY BE DESIGNATED IN THE AGREEMENT ESTABLISHING
20 THE COOPERATIVE BOARD OF ETHICS.
21 4. THE board of ethics of a political subdivision (as defined in
22 section eight hundred ten of this article) [and of] AND THE BOARD OF
23 ETHICS OF any other municipality[,] which [is required by local law,
24 ordinance or resolution to be, or which pursuant to legal authority, in
25 practice is, the repository for completed annual statements of financial
26 disclosure shall notify the temporary state commission on local govern-
27 ment ethics if such commission be in existence and if not, shall file a
28 statement with the clerk of its municipality, that it is the authorized
29 repository for completed annual statements of financial disclosure and
30 that on account thereof, such completed statements will be filed with it
31 and not with the commission. Should any local law, ordinance or resol-
32 ution be adopted which provides for the filing of such completed annual
33 statements with the temporary state commission on local government
34 ethics instead of with such board of ethics, such board of ethics shall
35 notify the temporary state commission on local government ethics of that
36 fact] REQUIRES FILING OF ANNUAL STATEMENTS OF FINANCIAL DISCLOSURE
37 PURSUANT TO THIS ARTICLE, SHALL RECEIVE, REVIEW FOR COMPLETENESS, AND
38 SERVE AS REPOSITORY FOR SUCH ANNUAL STATEMENTS AND ENFORCE SUCH FILING
39 REQUIREMENT.
40 5. EACH MEMBER OF EVERY BOARD OF ETHICS SHALL ATTEND AND SUCCESSFULLY
41 COMPLETE A TRAINING COURSE APPROVED BY THE STATE COMPTROLLER WITHIN TWO
42 HUNDRED SEVENTY DAYS OF HIS OR HER APPOINTMENT OR REAPPOINTMENT TO THE
43 BOARD, PROVIDED, HOWEVER, THAT NOTHING IN THIS SUBDIVISION SHALL BE
44 DEEMED TO REQUIRE A MEMBER OF A BOARD OF ETHICS TO SUCCESSFULLY COMPLETE
45 SUCH TRAINING COURSE MORE THAN ONCE. THE COURSE SHALL CONTAIN TRAINING
46 RELATED TO THE PROVISIONS OF THIS ARTICLE, CODES OF ETHICS, ANNUAL
47 FINANCIAL DISCLOSURE AND DECISIONAL LAW RELATING TO CONFLICTS OF INTER-
48 EST AND ETHICS AND SUCH OTHER TOPICS AS THE COMPTROLLER DEEMS ADVISABLE.
49 WHEN APPROVED IN ADVANCE OF ATTENDANCE BY THE GOVERNING BODY OF THE
50 MUNICIPALITY ESTABLISHING THE BOARD OR IN THE MANNER PROVIDED IN AN
51 AGREEMENT ESTABLISHING A COOPERATIVE BOARD OF ETHICS, THE ACTUAL AND
52 NECESSARY EXPENSES INCURRED BY A BOARD MEMBER IN SUCCESSFULLY COMPLETING
53 THE TRAINING REQUIRED BY THIS SECTION SHALL BE A CHARGE AGAINST THE
54 MUNICIPALITY OR THE MUNICIPALITIES PARTICIPATING IN THE COOPERATIVE
55 BOARD OF ETHICS.
A. 10682--A 9
1 S 9. Subdivision 9 of section 810 of the general municipal law, as
2 added by chapter 813 of the laws of 1987, is amended to read as follows:
3 9. The term "appropriate body" or "appropriate bodies" shall mean[:
4 (a) in the case of any political subdivision which has created or
5 hereafter creates a board of ethics which is in existence at the time an
6 annual statement of financial disclosure is due, and which has been
7 designated by local law, ordinance or resolution to be the repository
8 for such completed statements, such board of ethics;
9 (b) in the case of any political subdivision which has created or
10 hereafter creates a board of ethics which is in existence at the time an
11 annual statement of financial disclosure is due, and which has not been
12 designated by local law, ordinance or resolution to be the repository
13 for such completed statements, the temporary state commission on local
14 government ethics;
15 (c) in the case of any political subdivision for which no board of
16 ethics is in existence at the time an annual statement of financial
17 disclosure is due, the temporary state commission on local government
18 ethics] THE BOARD OF ETHICS OF ANY POLITICAL SUBDIVISION OR
19 MUNICIPALITY.
20 S 10. Paragraphs (c) and (d) of subdivision 1 of section 811 of the
21 general municipal law, as added by chapter 813 of the laws of 1987, are
22 amended to read as follows:
23 (c) The governing body of a political subdivision or any other county,
24 city, town or village which requires any local or municipal officer or
25 employee or any local elected official or any local political party
26 official to complete and file either of such annual statements of finan-
27 cial disclosure shall have, possess, exercise and enjoy all the rights,
28 powers and privileges attendant thereto which are necessary and proper
29 to the enforcement of such requirement, including but not limited to,
30 the promulgation of rules and regulations pursuant to local law, ordi-
31 nance or resolution, which rules or regulations may provide for the
32 public availability of items of information to be contained on such form
33 of statement of financial disclosure, the determination of penalties for
34 violation of such rules or regulations, and such other powers as [are]
35 WERE conferred upon the temporary state commission on local government
36 ethics pursuant to THE FORMER section eight hundred thirteen of this
37 article, AS ADDED BY CHAPTER EIGHT HUNDRED THIRTEEN OF THE LAWS OF NINE-
38 TEEN HUNDRED EIGHTY-SEVEN, as such local governing body determines are
39 warranted under the circumstances existing in its county, city, town or
40 village.
41 (d) The local law, ordinance or resolution, if and when adopted, shall
42 provide for the annual filing of completed statements with [either] the
43 [temporary state commission on local government ethics or with the board
44 of ethics of the political subdivision or other municipality] APPROPRI-
45 ATE BODY, and shall contain the procedure for filing such statements and
46 the date by which such filing shall be required. [If the board of ethics
47 is designated as the appropriate body, then such] SUCH local law, ordi-
48 nance or resolution shall confer upon the [board] appropriate BODY
49 authority to enforce such filing requirement, including the authority to
50 promulgate rules and regulations of the same import as those which the
51 FORMER temporary state commission on local government ethics [enjoys
52 under section eight hundred thirteen of this article] COULD HAVE ADOPTED
53 UNDER FORMER SECTION EIGHT HUNDRED THIRTEEN OF THIS ARTICLE, AS ADDED BY
54 CHAPTER EIGHT HUNDRED THIRTEEN OF THE LAWS OF NINETEEN HUNDRED
55 EIGHTY-SEVEN. Any such local law, ordinance or resolution shall author-
56 ize exceptions with respect to complying with timely filing of such
A. 10682--A 10
1 disclosure statements due to justifiable cause or undue hardship. The
2 appropriate body shall prescribe rules and regulations related to such
3 exceptions with respect to extensions and additional periods of time
4 within which to file such statement including the imposition of a time
5 limitation upon such extensions.
6 S 11. Paragraph (a) of subdivision 1 of section 812 of the general
7 municipal law, as added by chapter 813 of the laws of 1987 and the open-
8 ing paragraph as amended by chapter 85 of the laws of 2004, is amended
9 to read as follows:
10 (a) Any political subdivision or other county, city, town or village
11 to which all of the provisions of this section are made applicable,
12 whether as the result of the provisions contained in subdivision two of
13 section eight hundred eleven of this article or as a result of an
14 election to be subject to the provisions of this section as permitted by
15 subdivision two of this section, shall require (i) each of its local
16 elected officials and local officers and employees, (ii) each local
17 political party official and (iii) each candidate for local elected
18 official with respect to such political subdivision, to file an annual
19 statement of financial disclosure containing the information and in the
20 form set forth in subdivision five of this section except that disclo-
21 sure requirements for assessors who are not covered by this article
22 shall be governed by the requirements of section three hundred thirty-
23 six of the real property tax law. Such statement shall be filed on or
24 before the fifteenth day of May with respect to the preceding calendar
25 year, except that:
26 (i) a person who is subject to the reporting requirements of this
27 subdivision and who timely filed with the internal revenue service an
28 application for automatic extension of time in which to file his or her
29 individual income tax return for the immediately preceding calendar or
30 fiscal year shall be required to file such financial disclosure state-
31 ment on or before May fifteenth but may, without being subjected to any
32 civil penalty on account of a deficient statement, indicate with respect
33 to any item of the disclosure statement that information with respect
34 thereto is lacking but will be supplied in a supplementary statement of
35 financial disclosure, which shall be filed on or before the seventh day
36 after the expiration of the period of such automatic extension of time
37 within which to file such individual income tax return, provided that
38 failure to file or to timely file such supplementary statement of finan-
39 cial disclosure or the filing of an incomplete or deficient supplementa-
40 ry statement of financial disclosure shall be subject to the notice and
41 penalty provisions of this section respecting annual statements of
42 financial disclosure as if such supplementary statement were an annual
43 statement;
44 (ii) [a person who is required to file an annual financial disclosure
45 statement with the temporary state commission on local government
46 ethics, and who is granted an additional period of time within which to
47 file such statement due to justifiable cause or undue hardship, in
48 accordance with required rules and regulations on the subject adopted
49 pursuant to paragraph c of subdivision nine of section eight hundred
50 thirteen of this article, shall file such statement within the addi-
51 tional period of time granted;
52 (iii)] candidates for local elected official who file designating
53 petitions for nomination at a primary election shall file such statement
54 within seven days after the last day allowed by law for the filing of
55 designating petitions naming them as candidates for the next succeeding
56 primary election;
A. 10682--A 11
1 [(iv)] (III) candidates for independent nomination for local elected
2 official who have not been designated by a party to receive a nomination
3 shall file such statement within seven days after the last day allowed
4 by law for the filing of independent nominating petitions naming them as
5 candidates for local elected official in the next succeeding general or
6 special or village election; and
7 [(v)] (IV) candidates for local elected official who receive the nomi-
8 nation of a party for a special election or who receive the nomination
9 of a party other than at a primary election (whether or not for an
10 uncontested office) shall file such statement within seven days after
11 the date of the meeting of the party committee at which they are nomi-
12 nated.
13 S 12. Paragraph (a) of subdivision 3 of section 812 of the general
14 municipal law, as added by chapter 813 of the laws of 1987, is amended
15 to read as follows:
16 (a) Such local law, ordinance or resolution must provide for the
17 promulgation of a form of an annual statement of financial disclosure
18 described in subdivision one of section eight hundred eleven of this
19 article for use with respect to information the governing body requires
20 to be reported for the calendar year next succeeding the year in which
21 such local law, ordinance or resolution is adopted and for use with
22 respect to information required to be reported for subsequent calendar
23 years; and shall provide for the filing of completed statements with
24 [either] the [temporary state commission on local government ethics or
25 with the board of ethics of the political subdivision or other munici-
26 pality, as specified in subdivision one of section eight hundred eleven
27 of this article] APPROPRIATE BODY.
28 S 13. Section 813 of the general municipal law is REPEALED.
29 S 14. Section 13 of chapter 946 of the laws of 1964 amending the
30 general municipal law and other laws relating to conflicts of interest
31 of municipal officers and employees is amended to read as follows:
32 S 13. Laws superseded. The provisions of article [eighteen] 18 of the
33 general municipal law, as added by this act, shall supersede any local
34 law, charter, ordinance, resolution, rule or regulation of any munici-
35 pality to the extent that such local law, charter, ordinance, resol-
36 ution, rule or regulation is inconsistent with the provisions thereof.
37 No local law, ordinance, resolution, rule or regulation shall modify or
38 dispense with any provision of article [eighteen] 18 of the general
39 municipal law, as added by this act; provided, however, that nothing
40 [herein] contained IN THIS SECTION shall prohibit a code of ethics
41 adopted pursuant thereto from supplementing the provisions of this act
42 OR FROM BEING MORE STRINGENT THAN ARTICLE 18 OF THE GENERAL MUNICIPAL
43 LAW.
44 S 15. Notwithstanding any general, special or local law to the contra-
45 ry, the governing body of any municipality which has prior to the effec-
46 tive date of this act: (a) established a board of ethics pursuant to
47 section 808 of the general municipal law; and (b) not established a term
48 of office for the members of such board, shall establish a term of
49 office for the members of such board to commence on a date no later than
50 January 1, 2012 and on such date the positions on such board of ethics
51 shall be deemed vacant.
52 S 16. Notwithstanding any general, special or local law to the contra-
53 ry, any person serving as a member of a board of ethics established
54 pursuant to section 808 of the general municipal law on the effective
55 date of this act shall successfully complete the training course
A. 10682--A 12
1 required by subdivision 6 of section 808 of such law within one year of
2 the effective date of this act.
3 S 17. This act shall take effect on the first of January next succeed-
4 ing the date on which it shall have become a law; provided, however,
5 that the provisions of paragraph (d) of subdivision 1 of section 808 of
6 the general municipal law, as added by section eight of this act, shall
7 take effect January 1, 2012.
