Local Law 9 Ethics CodeLOCAL LAW NO. 9 OF THE YEAR 2018
TOWN OF WAPPINGER CODE OF ETHICS
BE IT ENANCTED by the Town Board of the Town of Wappinger as follows:
Section -I: TITLE:
This Local Law shall be known and cited as "Town of Wappinger Code of Ethics"
Section -II: REPEAL OF EXISTING CHAPTER 20
Town of Wappinger Local Law 2 of 1970, which is codified at Chapter 20 of the Town of
Wappinger Code entitled "Ethics, Code of is hereby repealed in its entirety.
Section -III: ADOPTION OF A NEW CHAPTER 20
A new Chapter 20 of the Town Code of the Town of Wappinger is hereby adopted to read as
follows:
"CHAPTER 20. CODE OF ETHICS
§ 20-1. Legislative Intent.
Article 18 of the General Municipal Law prohibits the officers and employees of a municipality
from having certain conflicts of interest. Specifically, section 806 of the General Municipal Law
requires the governing body of each county, city (other than the City of New York), town, village,
school district and fire district to adopt a code of ethics that sets forth guidance for its elected officials,
officers and employees of the standards of conduct reasonably expected of them. The code of ethics
adopted by a governing body of a municipality must set forth standards of conduct for the guidance
of the officers and employees of the municipality with respect to disclosure of interests in legislation
before the local governing body, holding of investments in conflict with official duties, private
employment in conflict with official duties, future employment, and such other standards as may be
deemed appropriate and advisable.
§ 20-2. Purpose.
The Town Board acknowledges and emphasizes that the officers and employees of the Town
of Wappinger 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
Board of the Town of Wappinger recognizes that, in furtherance of this fundamental principle, there
is a need for clear and reasonable standards of ethical conduct. It is the intention of the Town Board
to establish those standards by the adoption of this Chapter.
§ 20-3. Definitions.
A) "Board" means the Town Board of the Town of Wappinger and any
committee, administrative board appointed by the Town Board (e.g. Planning
Board, Zoning of Board of Appeals) commission, or other agency, body or
department comprised of two or more municipal officers or employees.
B) "Code" means this Code of Ethics.
C) "Interest" means a direct or indirect financial or material benefit but does not
include any benefit arising from the provision or receipt of any services
generally available to the residents or taxpayers of the municipality or an area
of the municipality, or a lawful class of such residents or taxpayers. A
municipal officer or employee is deemed to have an interest in any private
organization when he or she, his or her spouse, or a member of his or her
household, is an owner, partner, member, director, officer, employee, or
directly or indirectly owns or controls more than 5% of the outstanding stock
or owns or controls more than a 5% interest of any corporation, partnership,
limited partnership, limited liability company or other business entity.
D) "Municipality" means the Town of Wappinger. The word "municipal" refers
to the municipality.
E) "Municipal officer or employee" means a paid or unpaid officer or employee
of the Town of Wappinger, including, but not limited to, the members of any
municipal board, whether elected or appointed.
F) "Relative" means a spouse, domestic partner (as defined in NYS Law), parent,
step-parent, sibling, step -sibling, sibling's spouse, child, child's spouse, step-
child, uncle, aunt, nephew, niece, first cousin, or household member of a
municipal officer or employee, and individuals having any of these
relationships to the spouse of the officer or employee.
§ 20-4. Applicability.
A) This code of ethics applies to the municipal officers and employees of the
Town of Wappinger and shall supersede any prior municipal code of ethics
previously adopted by the Town of Wappinger. The provisions of this code
of ethics 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 of the
General Municipal Law and all rules, regulations, policies and procedures of
the Town of Wappinger.
B) This code of ethics shall not apply to any consultants employed by the Town
Board. Planning Board, Zoning Board of Appeals, or other agency or
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department including, but not limited to, engineers, attorneys, environmental
consultants, accountants, auditors, or other professional consultants employed
by the Town in an independent capacity.
C) Notwithstanding the foregoing and to the extent permitted by law or
regulation, any consultant employed by the Town must disclose any interest or
affiliation the consultant has with any individual or business entity when such
individual or business entity has a matter pending before the Town or any of
its boards, agencies or departments and the consultant in the performance of
his or her duties must render professional advice or give an opinion to the
Town in connection with such pending matter. (Need citation of Mark Davies)
§ 20-5. Prohibition on use of municipal position for personal or private gain.
No municipal officer or employee shall use his or her municipal position or official powers
and duties to secure a financial or material benefit for himself or herself, a relative, or any private
organization in which he or she is deemed to have an interest.
§ 20-6. Disclosure of interest in legislation and other matters.
A) Whenever a matter requiring the exercise of discretion comes before a
municipal officer or employee, either individually or as a member of a board,
and disposition of the matter could result in a direct or indirect financial or
material benefit to himself or herself, a relative, or any private organization in
which he or she is deemed to have an interest, the municipal officer or
employee shall disclose in writing the nature of the interest.
B) The disclosure shall be made when the matter requiring disclosure first comes
before the municipal officer or employee, or when the municipal officer or
employee first acquires knowledge of the interest requiring disclosure,
whichever is earlier.
C) In the case of a person serving in an elective office, the disclosure shall be filed
with the Town Board. In all other cases, the disclosure shall be filed with the
person's supervisor or, if the person does not have a supervisor, the disclosure
shall be filed with the municipal officer, employee or board having the power
to appoint to the person's position. In addition, in the case of a person serving
on a municipal board or committee, a copy of the disclosure shall be filed with
such board or committee. Any disclosure made to such board or committee
shall be made publicly at a meeting of the board or committee and must be
included in the minutes of the meeting. Copies of all disclosures shall also be
filed with the Town Clerk.
§ 20-7. Recusal and abstention.
A) No municipal officer or employee may participate in any decision or take any
official action with respect to any matter requiring the exercise of discretion,
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including discussing the matter and voting on it, when he or she knows or has
reason to know that the action could confer a direct or indirect financial or
material benefit on himself or herself, a relative, or any private organization in
which he or she is deemed to have an interest.
B) In the event that this section prohibits a municipal officer or employee from
exercising or performing a power or duty:
(1) if the power or duty is vested in a municipal officer as a member of a
board, then the power or duty shall be exercised or performed by the
other members of the board; or
(2) if the power or duty that is vested in a municipal officer individually,
then the power or duty shall be exercised or performed by his or her
deputy or, if the officer does not have a deputy, the power or duty shall
be performed by another person to whom the officer may lawfully
delegate the function.
(3) if the power or duty is vested in a municipal employee, he or she must
refer the matter to his or her immediate supervisor, and the immediate
supervisor shall designate another person to exercise or perform the
power or duty.
§ 20-8. Prohibition inapplicable; disclosure, recusal and abstention not required.
A) This code's prohibition on use of a municipal position (� 20-5), disclosure
requirements (� 20-6), and requirements relating to recusal and abstention (�
20-7), shall not apply with respect to the following matters:
(1) adoption of the municipality's annual budget;
(2) any matter requiring the exercise of discretion that directly affects any
of the following groups of people or a lawful class of such groups:
(a) all municipal officers or employees;
(b) all residents or taxpayers of the municipality or an area of the
municipality; or
(c) the general public; or
(3) any matter that does not require the exercise of discretion.
B) Recusal and abstention shall not be required with respect to any matter:
(1) which comes before a board when a majority of the board's total
membership would otherwise be prohibited from acting by � 20-7 of
this code;
(2) which comes before a board when either New York State Law or the
Town's rules require a super majority of the boards total membership
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to undertake any affirmative action and such recusal or abstention will
result in less than the required number of members to take affirmative
action to adopt or pass any resolution or local law.
(3) which comes before a municipal officer when the officer would be
prohibited from acting by � 20-7 of this code and the matter cannot be
lawfully delegated to another person.
20-9. Investments in conflict with official duties.
A) No municipal officer or employee may acquire the following investments:
(1) investments that can be reasonably expected to require more than
sporadic recusal and abstention under � 20-7 of this code; or
(2) investments that would otherwise impair the person's independence of
judgment in the exercise or performance of his or her official powers
and duties.
B) This section does not prohibit a municipal officer or employee from acquiring
any other investments or the following assets:
(1) real property located within the municipality and used as his or her
personal residence;
(2) less than five percent of the stock of a publicly traded corporation; or
(3) bonds or notes issued by the municipality and acquired more than one
year after the date on which the bonds or notes were originally issued.
20-10. Private employment in conflict with official duties.
A) No municipal officer or employee, during his or her tenure as a municipal
officer or employee, may engage in any private employment, including the
rendition of any business, commercial, professional or other types of services,
when the employment:
(1) can be reasonably expected to require more than sporadic recusal and
abstention pursuant to � 20-7 of this code;
(2) can be reasonably expected to require disclosure or use of confidential
information gained by reason of serving as a municipal officer or
employee;
(3) violates section 805-a(1)(c) or (d) of the General Municipal Law; or
(4) requires representation of a person or organization other than the
municipality in connection with litigation, negotiations or any other
matter to which the municipality is a party.
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§ 20-11. Future employment.
A) No municipal 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 municipal
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) For a period of one year following termination of service as a municipal officer
or employee, no municipal officer or employee may represent or render
services to a private person or organization in connection with any particular
transaction in which he or she personally and substantially participated while
serving as a municipal officer or employee.
C) No municipal officer or employee, at any time after serving as a municipal
officer or employee, may represent or render services to a private person or
organization in connection with any particular transaction in which he or she
personally and substantially participated while serving as a municipal officer or
employee.
§ 20-12. Personal representations and claims permitted.
This code shall not be construed as prohibiting a municipal officer or employee from:
(1) representing himself or herself, or his or her spouse or minor children
before any of the board's committees or agencies of the Town; or
(2) asserting a claim against any of the board's committees or agencies of
the Town on his or her own behalf, or on behalf of his or her spouse
or minor children.
§ 20-13. Use of municipal resources
A) Municipal resources shall be used for lawful municipal purposes. Municipal
resources include, but are not limited to, municipal personnel, and the
municipality's money, vehicles, equipment, materials, supplies or other
property.
B) No municipal officer or employee may use or permit the use of municipal
resources for personal or private purposes, but this provision shall not be
construed as prohibiting:
(1) any use of municipal resources authorized by law or municipal policy;
(2) the use of municipal resources for personal or private purposes when
provided to a municipal officer or employee as part of his or her
compensation; or
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(3) the occasional and incidental use during the business day of municipal
telephones and computers for necessary personal matters such as
family care and changes in work schedule.
C) No municipal officer or employee shall cause the municipality to spend more
than is reasonably necessary for transportation, meals or lodging in connection
with official travel.
D) No municipal officer or employee shall use Town of Wappinger stationary
except in the normal course of business of the Town of Wappinger. Under no
circumstances shall Town of Wappinger stationary be used by any officer or
employee for personal or private use unrelated to the normal course of
business of the Town of Wappinger.
§ 20-14. Interests in Contracts.
A) No municipal officer or employee may have an interest in a contract that is
prohibited by section 801 of the General Municipal Law.
B) Every municipal officer and employee shall disclose interests in contracts with
the municipality at the time and in the manner required by section 803 of the
General Municipal Law.
§ 20-15. Nepotism.
Except as otherwise required by law:
A) No municipal officer or employee, either individually or as a member of a
board, may participate in any decision specifically to appoint, hire, promote,
discipline or discharge a relative for any position at, for or within the
municipality or a municipal board unless such relative was reelected as a
municipal officer or employee prior to the adoption of this Code of Ethics or
prior to the municipal officer having assumed municipal duties.
B) No municipal officer or employee may supervise a relative in the performance
of the relative's official powers or duties unless such relative was reelected as
a municipal officer or employee prior to the adoption of this Code of Ethics,
or prior to the municipal officer having assumed municipal duties.
§ 20-16. Political Solicitations.
A) No municipal officer or employee shall directly or indirectly attempt to
compel, compel or induce a subordinate municipal officer or employee to
make, or promise to make, any political contribution, whether by gift of
money, service or other thing of value.
B) No municipal 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 municipal officer or
employee, or an applicant for a position as a municipal 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.
C) The Town Board may regulate political contributions in contracts for
professional services that are not subject to competitive bidding in a manner
consistent with constitutional rights of free speech and political association
and that are not in conflict with any general laws of the State of New York.
20-17. Confidential Information.
No municipal officer or employee who acquires confidential information in the course of
exercising or performing his or her 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 his or her
official powers and duties.
§ 20-18. Gifts.
A) No municipal officer or employee shall solicit, accept or receive a gift in
violation of 805-a(1)(a) of the General Municipal Law as interpreted in this
section.
B) No municipal officer or employee may directly or indirectly solicit any gift.
C) No municipal officer or employee may accept or receive any gift, or multiple
gifts from the same donor, having an annual aggregate value of seventy-five
dollars or more when:
(1) the gift reasonably appears to be intended to influence the officer or
employee in the exercise or performance of his or her official powers
or duties;
(2) the gift could reasonably be expected to influence the officer or
employee in the exercise or performance of his or her official powers
or duties; or
(3) the gift is intended as a reward for any official action on the part of the
officer or employee.
D) For purposes of this section, a "gift" includes anything of value, whether in
the form of money, service, loan, travel, entertainment, hospitality, thing or
promise, or in any other form. The value of a gift is the gift's fair market value,
determined by the retail cost of the item or a comparable item. The fair market
value of a ticket entitling the holder to food, refreshments, entertainment, or
any other benefit is the face value of the ticket, or the actual cost to the donor,
whichever is greater. Determination of whether multiple gifts from a single
donor exceed seventy-five dollars must be made by adding together the value
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of all gifts received from the donor by an officer or employee during the
twelve-month period preceding the receipt of the most recent gift.
E) A gift to a municipal officer or employee is presumed to be intended to
influence the exercise or performance of his or her official powers or duties
when the gift is from a private person or organization that seeks municipal
action involving the exercise of discretion by or with the participation of the
officer or employee.
F) A gift to a municipal officer or employee is presumed to be intended as a
reward for official action when the gift is from a private person or organization
that has obtained municipal action involving the exercise of discretion by or
with the participation of the officer or employee during the preceding twelve
months.
G) This section does not prohibit any other gift, including:
(1) gifts made to the municipality;
(2) gifts from a person with a family or personal relationship with the
officer or employee when the circumstances make it clear that the
personal relationship, rather than the recipient's status as a municipal
officer or employee, is the primary motivating factor for the gift;
(3) gifts given on special occasions, such as marriage, illness, or retirement,
which are modest, reasonable and customary;
(4) unsolicited advertising or promotional material of little intrinsic value,
such as pens, pencils, note pads, and calendars;
(5) awards and plaques having a value of seventy-five dollars or less which
are publicly presented in recognition of service as a municipal officer
or employee, or other service to the community; or
(6) meals and refreshments provided when a municipal officer or
employee is a speaker or participant at a job-related professional or
educational conference or program and the meals and refreshments
are made available to all participants.
§ 20-19. Board of Ethics.
A) There is hereby established a Board of Ethics consisting of five members, to
be appointed by the Town Board, all of whom shall reside in the Town of
Wappinger and who shall serve without compensation and at the pleasure of
the Town Board of the Town of Wappinger. A majority of such members shall
be persons other than town employees but shall include at least one member
who is an elected or appointed town employee of the Town of Wappinger.
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B) Such members of the board of ethics shall serve without compensation for a
term of two years commencing with the January following the general election
of Town Board members, but at the pleasure of the Town Board.
C) The members of such Board of Ethics shall be recommended by a
Councilmember or the Supervisor.
D) The Town Board shall appoint the members of the Board of Ethics and
designate the chairperson thereof.
E) Members of the Board of Ethics may not serve on any Board other than the
Town Board.
§ 20-20. Duties of the Board of Ethics
A) The board of ethics shall render advisory opinions to the officers and
employees of the Town of Wappinger with respect to any matter identified in
Article 18 of the General Municipal Law and this code. Such advisory opinions
must be rendered pursuant to the written request of any such officer or
employee under such rules and regulations as the board of ethics may
prescribe.
B) The opinions of the Board of Ethics shall be advisory and confidential, and in
no event shall the identity of the town employee or Board member be
disclosed except to authorized persons and agencies.
C) The Board of Ethics shall have subpoena powers and may solicit the advice of
legal counsel employed by the Board of Ethics, or if none, the Town's legal
counsel.
D) In addition, the board of ethics may make recommendations with respect to
the drafting and adoption of a code of ethics, or amendments thereto, upon
the request of the Town Board.
§ 20-21. Posting and distribution.
A) The Town Clerk must promptly cause a copy of this code, and a copy of any
amendment to this code, to be posted publicly and conspicuously in each
building under the municipality's control. The code must be posted within ten
days following the date on which the code takes effect. An amendment to the
code must be posted within ten days following the date on which the
amendment takes effect.
B) The Town Clerk must promptly cause a copy of this code, including any
amendments to the code, to be distributed to every person who is or becomes
an officer and employee of the Town of Wappinger.
C) Every municipal officer or employee who receives a copy of this code or an
amendment to the code must acknowledge such receipt in writing. Such
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acknowledgments must be filed with the Town Clerk who must maintain such
acknowledgments as a public record.
D) The failure to post this code or an amendment to the code does not affect
either the applicability or enforceability of the code or the amendment. The
failure of a municipal officer or employee to receive a copy of this code of
ethics or an amendment to the code, or to acknowledge receipt thereof in
writing, does not affect either the applicability or enforceability of the code or
amendment to the code.
20-22. Promulgation of rules and regulations.
The Board of Ethics, upon its formation, shall promulgate its own rules and regulations as to its
form and procedures and shall maintain appropriate records of its opinions and proceedings.
§ 20-23. Use of Town Funds for Budgetary purposes.
The Town Board shall annually appropriate enough moneys from the general town funds for the
maintenance of, and for advisory services to, the Board of Ethics established hereunder, but such
Board of Ethics may not commit the expenditure of the town moneys except within the
appropriations provided herein.
20-24. Enforcement.
Any municipal officer or employee who violates this code may be censured, fined, suspended or
removed from office or employment in the manner provided by law.
§ 20-25. Separability
The provisions of the Local Law creating this Chapter are separable and if any provision, clause,
sentence, subsection, word or part thereof is held illegal, invalid or unconstitutional, or inapplicable
to any person or circumstance, such illegality, invalidity, or unconstitutionality, or inapplicability, shall
not affect or impair any of the remaining provisions, clauses, sentences, subsections, words or parts
of this local law or their application to other persons or circumstances. It is hereby declared to be the
legislative intent of the Town Board of the Town of Wappinger that this Local Law would have been
adopted if such illegal, invalid or unconstitutional provision, clause, sentence, subsection, word or part
had not been included therein, and if such person or circumstance to which the Local Law or part
thereof is held inapplicable had been specifically exempt therefrom.
Section -IV: Numbering for Codification:
It is the intention of the Town of Wappinger and it is hereby enacted that the provisions of this Local
Law shall be included in the Code of the Town of Wappinger; that the sections and sub -sections of
this Local Law may be re -numbered or re -lettered to accomplish such intention; the Codifier shall
make no substantive changes to this Local Law; the word "Local Law" shall be changed to "Chapter,"
"Section" or other appropriate word as required for codification; and any such rearranging of the
numbering and editing shall not effect the validity of this Local Law or the provisions of the Code
effected thereby.
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Section -V: Effective Date:
This Chapter shall take effect immediately upon filing in the office of the New York State Secretary
of State in accordance with section 27 of the Municipal Home Rule Law.
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