S. 7400--A 2
which is owned or controlled directly or indirectly by such officer or
employee, OR HIS OR HER SPOUSE.
S 2. Section 801 of the general municipal law, as amended by chapter
1043 of the laws of 1965, is amended to read as follows:
S 801. Conflicts of interest prohibited. Except as provided in section
eight hundred two of this chapter, (1) no municipal officer or employee
shall have an interest in any contract with the municipality of which he
OR SHE is an officer or employee, when such officer or employee, indi-
vidually or as a member of a board, has the power or duty to (a) negoti-
ate, prepare, authorize or approve the contract or authorize or approve
payment thereunder, (b) audit bills or claims under the contract, or (c)
appoint an officer or employee who has any of the powers or duties set
forth above [and]; (2) no chief fiscal officer, treasurer, or his OR HER
deputy or employee, shall have an interest in a bank or trust company
designated as a depository, paying agent, registration agent or for
investment of funds of the municipality of which he OR SHE is an officer
or employee; AND (3) NO MUNICIPAL OFFICER OR EMPLOYEE WHOSE SERVICE TO A
MUNICIPALITY INCLUDES RENDITION OF PROFESSIONAL SERVICES REQUIRING
ADMISSION TO THE PRACTICE OF LAW SHALL (A) HAVE AN INTEREST IN ANY
CONTRACT FOR RENDITION OF LEGAL SERVICES TO THE MUNICIPALITY, UNLESS (I)
THE CONTRACT IS AWARDED ON THE BASIS OF A COMPETITIVE PROCESS UNDERTAKEN
IN ACCORDANCE WITH THE MUNICIPALITY'S PROCUREMENT POLICIES AND PROCE-
DURES ADOPTED PURSUANT TO SECTION ONE HUNDRED FOUR-B OF THIS CHAPTER,
AND (II) THE MUNICIPALITY HAS THE ADVICE OF INDEPENDENT COUNSEL WITH
RESPECT TO THE ADVISABILITY OF THE PROVISIONS OF THE CONTRACT, OR (B)
COMPENSATE ANY PERSON OR ORGANIZATION FROM HIS OR HER PERSONAL RESOURCES
TO RENDER LEGAL SERVICES TO THE MUNICIPALITY. The provisions of this
section shall in no event be construed to preclude the payment of lawful
compensation and necessary expenses of any municipal officer or employee
in one or more positions of public employment, the holding of which is
not prohibited by law.
S 3. The general municipal law is amended by adding a new section
803-a to read as follows:
S 803-A. RECUSAL AND ABSTENTION. 1. EXCEPT AS PROVIDED IN SUBDIVISION
TWO OF THIS SECTION, NO MUNICIPAL OFFICER OR EMPLOYEE SHALL PARTICIPATE
IN ANY OFFICIAL DECISION OR TAKE ANY OFFICIAL ACTION WITH RESPECT TO ANY
MATTER, INCLUDING DISCUSSING THE MATTER OR VOTING ON IT, WHEN THE MATTER
RELATES TO:
A. A CONTRACT IN WHICH THE MUNICIPAL OFFICER OR EMPLOYEE OR HIS OR HER
SPOUSE HAS AN INTEREST; OR
B. AN APPLICATION, PETITION OR REQUEST BY AN APPLICANT IN WHICH THE
MUNICIPAL OFFICER OR EMPLOYEE HAS AN INTEREST THAT MUST BE DISCLOSED
PURSUANT TO SECTION EIGHT HUNDRED NINE OF THIS ARTICLE.
2. THIS SECTION SHALL NOT BE CONSTRUED AS PROHIBITING:
A. A MINISTERIAL ACT, WHICH FOR THE PURPOSES OF THIS SECTION SHALL
MEAN AN ADMINISTRATIVE ACT CARRIED OUT IN A PRESCRIBED MANNER NOT ALLOW-
ING FOR SUBSTANTIAL PERSONAL DISCRETION;
B. PARTICIPATION IN ANY OFFICIAL DECISION OR OFFICIAL ACTION TAKEN BY
A BOARD OR SIMILAR BODY WHEN A MAJORITY OF THE MEMBERS OF THE BOARD OR
BODY WOULD OTHERWISE BE PROHIBITED FROM ACTING BY SUBDIVISION ONE OF
THIS SECTION; OR
C. PARTICIPATION IN ANY OFFICIAL DECISION OR OFFICIAL ACTION TAKEN BY
A MUNICIPAL OFFICER OR EMPLOYEE, INDIVIDUALLY, WHEN THE MATTER CANNOT BE
LAWFULLY DELEGATED OR ASSIGNED TO ANOTHER PERSON.
S. 7400--A 3
3. COMPLIANCE WITH THIS SECTION SHALL NOT CONSTITUTE AN EXCEPTION TO
SECTION EIGHT HUNDRED ONE OF THIS ARTICLE, NOR BE CONSTRUED AS CURING A
VIOLATION OF THAT SECTION.
S 4. Paragraph (a) of subdivision 1 of section 806 of the general
municipal law, as amended by chapter 238 of the laws of 2006, is amended
to read as follows:
(a) The governing body of each county, city, town, village, school
district and fire district shall, and the governing body of any other
municipality may, by local law, ordinance or resolution, adopt a code of
ethics setting forth for the guidance of its officers and employees the
standards of conduct reasonably expected of them. Notwithstanding any
other provision of this article to the contrary, a fire district code of
ethics shall also apply to the volunteer members of the fire district
fire department. Codes of ethics shall provide standards for officers
and employees with respect to disclosure of interest in legislation
before the local governing body, holding of investments in conflict with
official duties, private employment in conflict with official duties,
future employment, USE OF PUBLIC RESOURCES FOR PERSONAL OR PRIVATE
PURPOSES, NEPOTISM, CIRCUMSTANCES REQUIRING RECUSAL AND ABSTENTION, and
such other standards relating to the conduct of officers and employees
as may be deemed advisable. Such codes may: (I) regulate or prescribe
conduct which is not expressly prohibited by this article but may not
authorize conduct otherwise prohibited[. Such codes may provide for the
prohibition of]; (II) PROHIBIT CONTRACTS OR conduct [or] THAT IS EITHER
EXPRESSLY OR BY IMPLICATION PERMITTED BY SECTION EIGHT HUNDRED TWO OR
SECTION EIGHT HUNDRED FIVE-A OF THIS ARTICLE; AND (III) PROVIDE FOR THE
disclosure of information and the classification of employees or offi-
cers. THE GOVERNING BODY OF EACH MUNICIPALITY THAT ADOPTS A CODE OF
ETHICS SHALL BIENNIALLY REVIEW AND, IF NECESSARY, UPDATE ITS CODE OF
ETHICS.
S 5. Subdivision 2 of section 806 of the general municipal law, as
amended by chapter 238 of the laws of 2006, is amended to read as
follows:
2. [The] UPON THE ADOPTION OR AMENDMENT OF A CODE OF ETHICS BY A MUNI-
CIPALITY, THE chief executive officer of [a] THE municipality [adopting
a code of ethics] shall cause a copy [thereof] OF SUCH CODE OR AMENDMENT
to be distributed PROMPTLY to every officer and employee of his OR HER
municipality AND TO THE BOARD OF ETHICS FOR THE MUNICIPALITY. [The] IN
ADDITION, SUCH CHIEF EXECUTIVE OFFICER SHALL CAUSE A COMPLETE AND
CURRENT COPY OF THE MUNICIPALITY'S CODE OF ETHICS TO BE DISTRIBUTED (A)
TO EVERY PERSON WHO IS ELECTED OR APPOINTED TO SERVE AS AN OFFICER OR
EMPLOYEE OF THE MUNICIPALITY PROMPTLY FOLLOWING SUCH PERSON'S ELECTION
OR APPOINTMENT, AND (B) TO ALL THE OFFICERS AND EMPLOYEES OF THE MUNICI-
PALITY AT LEAST ONCE EVERY FIVE YEARS. EVERY MUNICIPAL OFFICER AND
EMPLOYEE RECEIVING A COPY OF A CODE OF ETHICS OR AMENDMENT THERETO SHALL
ACKNOWLEDGE PROMPTLY IN WRITING THAT HE OR SHE HAS RECEIVED AND READ THE
CODE OF ETHICS OR AMENDMENT. THE BOARD OF fire [district] commissioners
OF A FIRE DISTRICT shall ALSO cause a copy of the fire district's code
of ethics, INCLUDING ANY AMENDMENTS THERETO, to be posted publicly and
conspicuously in each building under such district's control. Failure
to distribute any such copy or failure of any officer or employee to
receive such copy shall have no effect on the duty of compliance with
such code, nor the enforcement of provisions thereof.
S 6. The opening paragraph and paragraphs (a) and (b) of subdivision 3
of section 806 of the general municipal law, as amended by chapter 813
of the laws of 1987, are amended to read as follows:
S. 7400--A 4
[Until January first, nineteen hundred ninety-one, the] THE clerk of
each municipality [shall file in the office of the state comptroller and
on or after January first, nineteen hundred ninety-one, the clerk of
each municipality and of each political subdivision, as defined in
section eight hundred ten of this article, shall file with the temporary
state commission on local government ethics established by section eight
hundred thirteen of this article, if such temporary state commission be
in existence, and in all events] AND OF EACH POLITICAL SUBDIVISION, AS
DEFINED IN SECTION EIGHT HUNDRED TEN OF THIS ARTICLE, shall maintain as
a record subject to public inspection:
(a) a copy of [any] THE MUNICIPALITY'S OR POLITICAL SUBDIVISION'S code
of ethics or any amendments to any code of ethics [adopted within thirty
days after the adoption of such code or such amendment],
(b) a statement that such municipality or political subdivision has
established a board of ethics, in accordance with section eight hundred
eight OF THIS ARTICLE and/or pursuant to other law, charter, code, local
law, ordinance or resolution, and the composition of such board, [within
thirty days after the establishment of such board.] AND
S 7. Paragraphs (d) and (e) of subdivision 3 of section 806 of the
general municipal law are REPEALED.
S 8. Section 808 of the general municipal law, as amended by chapter
1019 of the laws of 1970 and subdivision 5 as added by chapter 813 of
the laws of 1987, is amended to read as follows:
S 808. Boards of ethics. 1. [The governing body of any county may
establish a county board of ethics and appropriate moneys for mainte-
nance and personal services in connection therewith. The members of such
board of ethics shall be appointed by such governing body except in the
case of a county operating under an optional or alternative form of
county government or county charter, in which case the members shall be
appointed by the county executive or county manager, as the case may be,
subject to confirmation by such governing body. Such board of ethics
shall consist of at least three members, a majority of whom shall not be
officers or employees of such county or municipalities wholly or
partially located in such county and at least one of whom shall be an
elected or appointed officer or employee of the county or a municipality
located within such county. The members of such board shall receive no
salary or compensation for their services as members of such board and
shall serve at the pleasure of the appointing authority.] (A) THE
GOVERNING BODY OF EVERY COUNTY SHALL ESTABLISH A BOARD OF ETHICS, THE
GOVERNING BODY OF EVERY CITY, TOWN AND VILLAGE HAVING A POPULATION OF
FIFTY THOUSAND OR MORE SHALL ESTABLISH A BOARD OF ETHICS, AND THE
GOVERNING BODY OF EVERY BOARD OF COOPERATIVE EDUCATIONAL SERVICES
(BOCES) SHALL ESTABLISH A BOARD OF ETHICS. THEREAFTER, THE GOVERNING
BODY SHALL APPROPRIATE ANNUALLY SUCH MONEYS AS MAY BE NECESSARY FOR THE
BOARD'S CONTRACTUAL AND PERSONAL SERVICE EXPENDITURES. EXCEPT AS
PROVIDED IN PARAGRAPH (D) OF THIS SUBDIVISION, SUCH BOARD SHALL HAVE
JURISDICTION TO ACT ONLY IN RELATION TO THE OFFICERS AND EMPLOYEES OF
THE COUNTY, CITY, TOWN, VILLAGE OR BOCES THAT ESTABLISHED THE BOARD.
(B) THE GOVERNING BODY OF EVERY MUNICIPALITY NOT DESCRIBED IN PARA-
GRAPH (A) OF THIS SUBDIVISION IS AUTHORIZED, BUT NOT REQUIRED, TO ESTAB-
LISH A BOARD OF ETHICS. IF SUCH GOVERNING BODY ESTABLISHES A BOARD OF
ETHICS, THE GOVERNING BODY SHALL APPROPRIATE ANNUALLY SUCH MONEYS AS MAY
BE NECESSARY FOR THE BOARD'S CONTRACTUAL AND PERSONAL SERVICE EXPENDI-
TURES. SUCH BOARD SHALL HAVE JURISDICTION TO ACT ONLY IN RELATION TO
THE OFFICERS AND EMPLOYEES OF THE MUNICIPALITY THAT ESTABLISHED THE
BOARD.
S. 7400--A 5
(C) TWO OR MORE MUNICIPALITIES NOT DESCRIBED IN PARAGRAPH (A) OF THIS
SUBDIVISION MAY ENTER INTO, AMEND, CANCEL, AND TERMINATE AGREEMENTS FOR
THE ESTABLISHMENT OF A COOPERATIVE BOARD OF ETHICS. SUCH AGREEMENTS
SHALL BE CONSISTENT WITH THE REQUIREMENTS OF ARTICLE FIVE-G OF THIS
CHAPTER, EXCEPT AS OTHERWISE PROVIDED IN THIS SECTION INCLUDING THAT (I)
THE POWER TO ENTER INTO SUCH AGREEMENTS SHALL EXTEND TO ALL MUNICI-
PALITIES AS DEFINED IN THIS ARTICLE, AND SHALL NOT BE LIMITED TO MUNICI-
PAL CORPORATIONS AND DISTRICTS AS DEFINED IN ARTICLE FIVE-G OF THIS
CHAPTER, AND (II) THE DURATION OF SUCH AGREEMENTS SHALL NOT BE LIMITED
TO A MAXIMUM TERM OF FIVE YEARS. FOLLOWING THE ESTABLISHMENT OF A COOP-
ERATIVE BOARD OF ETHICS, THE GOVERNING BODIES OF THE MUNICIPALITIES THAT
ARE PARTIES TO THE AGREEMENT ESTABLISHING THE BOARD SHALL APPROPRIATE
ANNUALLY SUCH MONEYS AS MAY BE NECESSARY FOR THE BOARD'S CONTRACTUAL AND
PERSONAL SERVICE EXPENDITURES, IN SUCH AMOUNTS OR PROPORTION AS MAY BE
PROVIDED IN THE AGREEMENT. A COOPERATIVE BOARD OF ETHICS SHALL BE THE
BOARD OF ETHICS OF EACH MUNICIPALITY THAT IS A PARTY TO THE AGREEMENT
ESTABLISHING THE BOARD, AND SHALL HAVE JURISDICTION TO ACT ONLY IN
RELATION TO THE OFFICERS OR EMPLOYEES OF SUCH MUNICIPALITIES.
(D) IN THE EVENT THAT A MUNICIPALITY DESCRIBED IN PARAGRAPH (B) OF
THIS SUBDIVISION DOES NOT ESTABLISH A BOARD OF ETHICS AND IS NOT A PARTY
TO AN AGREEMENT ESTABLISHING A COOPERATIVE BOARD OF ETHICS:
(I) IN THE CASE OF A MUNICIPALITY OTHER THAN A SCHOOL DISTRICT, THE
BOARD OF ETHICS OF THE COUNTY IN WHICH THE MUNICIPALITY IS LOCATED SHALL
SERVE AS THE BOARD OF ETHICS OF SUCH MUNICIPALITY AND HAVE JURISDICTION
TO ACT IN RELATION TO THE OFFICERS AND EMPLOYEES OF THAT MUNICIPALITY,
PROVIDED, THAT IF SUCH A MUNICIPALITY IS LOCATED IN MORE THAN ONE COUN-
TY, THE GOVERNING BOARD OF THE MUNICIPALITY BY RESOLUTION SHALL DESIG-
NATE THE BOARD OF ETHICS OF ONE OF THE COUNTIES TO SERVE AS THE BOARD OF
ETHICS OF THE MUNICIPALITY;
(II) IN THE CASE OF A SCHOOL DISTRICT, OTHER THAN THE CITY SCHOOL
DISTRICT OF A CITY HAVING A POPULATION OF ONE HUNDRED TWENTY-FIVE THOU-
SAND OR MORE, THE BOARD OF ETHICS ESTABLISHED BY THE BOCES OF THE SUPER-
VISORY DISTRICT IN WHICH THE SCHOOL DISTRICT IS LOCATED SHALL SERVE AS
THE BOARD OF ETHICS OF SUCH SCHOOL DISTRICT AND HAVE JURISDICTION TO ACT
IN RELATION TO THE OFFICERS AND EMPLOYEES OF SUCH SCHOOL DISTRICT; AND
(III) IN THE CASE OF A CITY SCHOOL DISTRICT OF A CITY HAVING A POPU-
LATION OF ONE HUNDRED TWENTY-FIVE THOUSAND OR MORE, THE BOARD OF ETHICS
ESTABLISHED BY THE CITY IN WHICH THE SCHOOL DISTRICT IS LOCATED SHALL
SERVE AS THE BOARD OF ETHICS OF SUCH SCHOOL DISTRICT AND HAVE JURISDIC-
TION TO ACT IN RELATION TO THE OFFICERS AND EMPLOYEES OF SUCH SCHOOL
DISTRICT.
(E) THE CHIEF EXECUTIVE OFFICER OF EVERY MUNICIPALITY THAT HAS NOT
ESTABLISHED A BOARD OF ETHICS AND IS NOT A PARTY TO AN AGREEMENT ESTAB-
LISHING A COOPERATIVE BOARD OF ETHICS, ANNUALLY, WITHIN THIRTY DAYS
FOLLOWING THE START OF A MUNICIPALITY'S FISCAL YEAR, SHALL NOTIFY THE
APPROPRIATE COUNTY, BOCES OR CITY BOARD OF ETHICS THAT SUCH BOARD SHALL
SERVE AS THE BOARD OF ETHICS FOR THE MUNICIPALITY. SUCH NOTICE SHALL BE
ACCOMPANIED BY A COMPLETE AND CURRENT COPY OF THE MUNICIPALITY'S CODE OF
ETHICS. IF OFFICERS AND EMPLOYEES OF THE MUNICIPALITY ARE SUBJECT TO
ANNUAL FINANCIAL DISCLOSURE REQUIREMENTS IMPOSED IN ACCORDANCE WITH THIS
ARTICLE, SUCH NOTICE SHALL ALSO BE ACCOMPANIED BY A COMPLETE AND CURRENT
COPY OF ALL LOCAL LAWS, ORDINANCES, RESOLUTIONS AND REGULATIONS ADOPTED
BY THE MUNICIPALITY RELATING TO THE IMPOSITION, ADMINISTRATION AND
ENFORCEMENT OF THE FILING REQUIREMENT. AT THE TIME SUCH NOTICE IS GIVEN,
THE CHIEF EXECUTIVE SHALL ALSO CAUSE A COPY OF THE NOTICE TO BE POSTED
S. 7400--A 6
IN EACH PUBLIC BUILDING UNDER THE JURISDICTION OF THE MUNICIPALITY IN A
PLACE CONSPICUOUS TO ITS OFFICERS AND EMPLOYEES.
(F) IN THE EVENT THAT A BOARD OF ETHICS ESTABLISHED BY A COUNTY, BOCES
OR CITY SERVES AS THE BOARD OF ETHICS FOR ANOTHER MUNICIPALITY, AND SUCH
MUNICIPALITY SHALL EITHER ESTABLISH A BOARD OF ETHICS OR BECOME A PARTY
TO AN AGREEMENT ESTABLISHING A COOPERATIVE BOARD OF ETHICS, THE CHIEF
EXECUTIVE OFFICER OF THE MUNICIPALITY SHALL NOTIFY THE COUNTY, BOCES OR
CITY BOARD OF ETHICS OF THE DATE AS OF WHICH SUCH BOARD SHALL NO LONGER
SERVE AS THE BOARD OF ETHICS OF THE MUNICIPALITY. AT THE TIME SUCH
NOTICE IS GIVEN, THE CHIEF EXECUTIVE SHALL ALSO CAUSE A COPY OF THE
NOTICE TO BE POSTED IN EACH PUBLIC BUILDING UNDER THE JURISDICTION OF
THE MUNICIPALITY IN A PLACE CONSPICUOUS TO ITS OFFICERS AND EMPLOYEES.
PROMPTLY AFTER THE DATE SPECIFIED IN SUCH NOTICE, THE COUNTY, BOCES OR
CITY BOARD OF ETHICS SHALL TRANSFER TO THE MUNICIPAL OR COOPERATIVE
BOARD OF ETHICS ALL PENDING MATTERS AND RECORDS RELATING TO THE OFFICERS
AND EMPLOYEES OF THE MUNICIPALITY, PROVIDED, HOWEVER, THAT SUCH COUNTY,
BOCES, OR CITY BOARD OF ETHICS SHALL HAVE THE DISCRETION TO RETAIN ANY
PENDING MATTER AND RECORDS RELATING THERETO UNTIL SUCH TIME AS THE
MATTER IS RESOLVED.
(G) EVERY BOARD OF ETHICS SHALL CONSIST OF AT LEAST THREE MEMBERS, A
MAJORITY OF WHOM SHALL NOT BE MUNICIPAL OFFICERS OR EMPLOYEES. THE
MEMBERS OF EVERY BOARD OF ETHICS SHALL SERVE FOR A FIXED TERM OF OFFICE.
THE LENGTH OF SUCH TERM OF OFFICE SHALL BE DETERMINED BY THE MUNICIPAL
GOVERNING BODY THAT ESTABLISHES THE BOARD OF ETHICS OR SPECIFIED IN THE
AGREEMENT ESTABLISHING A COOPERATIVE BOARD OF ETHICS, PROVIDED, THAT
SUCH GOVERNING BODY OR AGREEMENT MAY PROVIDE FOR THE INITIAL APPOINT-
MENTS TO THE BOARD TO BE MADE FOR STAGGERED TERMS. APPOINTMENTS TO THE
BOARD SHALL BE MADE AS FOLLOWS:
(I) THE MEMBERS OF A COUNTY BOARD OF ETHICS SHALL BE APPOINTED BY THE
GOVERNING BODY OF THE COUNTY EXCEPT IN THE CASE OF A COUNTY OPERATING
UNDER AN OPTIONAL OR ALTERNATIVE FORM OF COUNTY GOVERNMENT OR COUNTY
CHARTER, IN WHICH CASE THE MEMBERS SHALL BE APPOINTED BY THE COUNTY
EXECUTIVE, COUNTY MANAGER OR COUNTY ADMINISTRATOR, AS THE CASE MAY BE,
SUBJECT TO CONFIRMATION BY SUCH GOVERNING BODY.
(II) THE MEMBERS OF A BOARD OF ETHICS ESTABLISHED BY A MUNICIPALITY
OTHER THAN A COUNTY SHALL BE APPOINTED BY SUCH PERSON OR BODY AS MAY BE
DESIGNATED BY THE GOVERNING BODY OF THE MUNICIPALITY.
(III) THE MEMBERS OF A COOPERATIVE BOARD OF ETHICS SHALL BE APPOINTED
IN THE MANNER PROVIDED IN THE AGREEMENT ESTABLISHING THE BOARD.
(H) THE MEMBERS OF EVERY BOARD OF ETHICS SHALL RECEIVE NO SALARY OR
COMPENSATION FOR THEIR SERVICES AS MEMBERS OF SUCH BOARD, BUT WITHIN
AMOUNTS APPROPRIATED SHALL BE REIMBURSED FOR ACTUAL AND NECESSARY
EXPENSES INCURRED IN THE PERFORMANCE OF THEIR OFFICIAL DUTIES, PROVIDED,
THAT THE PROVISIONS OF SECTION SEVENTY-SEVEN-B OF THIS CHAPTER SHALL
APPLY TO THE MEMBERS OF A BOARD OF ETHICS.
2. [The] EVERY board OF ETHICS shall render advisory opinions to THE
officers and employees [of municipalities wholly or partly within the
county] UNDER THE BOARD'S JURISDICTION with respect to this article and
any code of ethics adopted pursuant hereto. Such advisory opinions
shall be rendered pursuant to the written request of any such officer or
employee under such rules and regulations as the board may prescribe
[and shall have the advice of counsel employed by the board, or if none,
the county attorney]. In addition, [it] THE BOARD may make recommenda-
tions with respect to the drafting and adoption of a code of ethics or
amendments thereto upon the request of the governing body of any munici-
pality [in the county] FOR WHICH THE BOARD SERVES AS THE MUNICIPALITY'S
S. 7400--A 7
BOARD OF ETHICS, AND PERFORM SUCH OTHER FUNCTIONS RELATING TO THE ADMIN-
ISTRATION OF THIS ARTICLE AS MAY BE AUTHORIZED BY THE GOVERNING BODY OR
AGREEMENT ESTABLISHING THE BOARD INCLUDING, BUT NOT LIMITED TO, PROVID-
ING ETHICS TRAINING TO THE OFFICERS AND EMPLOYEES UNDER THE BOARD'S
JURISDICTION.
2-A. (A) NOTWITHSTANDING ANY GENERAL, SPECIAL OR LOCAL LAW, ORDINANCE
OR RESOLUTION TO THE CONTRARY, EVERY BOARD OF ETHICS SHALL HAVE THE
POWER TO INVESTIGATE POTENTIAL VIOLATIONS OF THIS ARTICLE AND A CODE OF
ETHICS ADOPTED PURSUANT TO THIS ARTICLE INVOLVING THE MUNICIPAL OFFICERS
AND EMPLOYEES UNDER THE BOARD'S JURISDICTION, PROVIDED, HOWEVER, THAT
THIS SUBDIVISION SHALL NOT APPLY TO A JUDGE OR JUSTICE OF THE UNIFIED
COURT SYSTEM. THE BOARD MAY INITIATE SUCH AN INVESTIGATION EITHER UPON
ITS OWN MOTION OR UPON RECEIPT OF A SWORN COMPLAINT ALLEGING SUCH A
VIOLATION.
(B) UPON INITIATING SUCH AN INVESTIGATION, THE BOARD SHALL PROVIDE TO
THE MUNICIPAL OFFICER OR EMPLOYEE WHO IS THE SUBJECT OF THE INVESTI-
GATION WRITTEN NOTICE DESCRIBING THE POTENTIAL VIOLATION, AND PROVIDE
THE PERSON WITH AT LEAST A FIFTEEN DAY PERIOD TO SUBMIT A WRITTEN
RESPONSE SETTING FORTH INFORMATION RELATING TO THE ACTIVITIES CITED AS
THE POTENTIAL VIOLATION. THE BOARD MAY ALSO OBTAIN ADDITIONAL INFORMA-
TION RELATING TO THE POTENTIAL VIOLATION FROM SUCH OTHER SOURCES AS IT
DEEMS APPROPRIATE.
(C) IF AT ANY TIME DURING AN INVESTIGATION, THE BOARD DETERMINES THAT
THERE HAS BEEN NO VIOLATION OF THIS ARTICLE OR A CODE OF ETHICS, THE
BOARD SHALL PROVIDE WRITTEN NOTIFICATION OF SUCH DETERMINATION TO THE
MUNICIPAL OFFICER OR EMPLOYEE WHO WAS THE SUBJECT OF THE INVESTIGATION
AND THE COMPLAINANT, IF ANY. IN SUCH CASE, ALL DOCUMENTS AND RECORDS
RELATING TO PROCEEDINGS CONDUCTED PURSUANT TO THIS SUBDIVISION SHALL BE
CONFIDENTIAL.
(D) AT ANY TIME DURING AN INVESTIGATION, THE BOARD MAY MAKE A PRELIMI-
NARY DETERMINATION THAT THERE HAS BEEN A VIOLATION OF THIS ARTICLE OR A
VIOLATION OF A CODE OF ETHICS. IN SUCH CASE, THE BOARD SHALL PROVIDE
WRITTEN NOTIFICATION OF THE PRELIMINARY DETERMINATION TO THE MUNICIPAL
OFFICER OR EMPLOYEE WHO IS THE SUBJECT OF THE INVESTIGATION AND PROVIDE
THAT PERSON WITH AN ADDITIONAL OPPORTUNITY TO BE HEARD. THEREAFTER, IF
THE BOARD MAKES A FINAL DETERMINATION THAT THERE HAS BEEN A VIOLATION,
THE BOARD SHALL PROVIDE WRITTEN NOTIFICATION OF SUCH FINAL DETERMINATION
TO THE MUNICIPAL OFFICER OR EMPLOYEE WHO WAS THE SUBJECT OF THE INVESTI-
GATION, THE COMPLAINANT, IF ANY, AND THE APPOINTING AUTHORITY FOR SUCH
PERSON OR, IF THE PERSON SERVES IN AN ELECTIVE OFFICE, THE GOVERNING
BODY OF THE MUNICIPALITY FOR WHICH SUCH PERSON SERVES.
(E) IN CASES WHERE THE BOARD FINDS THAT A MUNICIPAL OFFICER OR EMPLOY-
EE HAS WILLFULLY AND KNOWINGLY VIOLATED THIS ARTICLE OR A CODE OF
ETHICS, THE BOARD MAY: (I) ISSUE A REPRIMAND; (II) ASSESS A CIVIL PENAL-
TY ON BEHALF OF THE MUNICIPALITY IN AN AMOUNT NOT TO EXCEED ONE THOUSAND
DOLLARS FOR EACH SUCH SPECIFIC VIOLATION; (III) RECOMMEND TO THE
APPOINTING AUTHORITY FOR SUCH PERSON, IF ANY, SUSPENSION WITH OR WITHOUT
PAY, DEMOTION, TERMINATION OR SUCH OTHER DISCIPLINARY ACTION AS THE
BOARD DEEMS APPROPRIATE; AND (IV) IN THE CASE OF A POTENTIAL VIOLATION
ENCOMPASSED WITHIN SECTION EIGHT HUNDRED FIVE OF THIS ARTICLE, REFER THE
MATTER TO THE APPROPRIATE LAW ENFORCEMENT AGENCY. ASSESSMENT OF A CIVIL
PENALTY SHALL BE FINAL UNLESS MODIFIED, SUSPENDED OR VACATED WITHIN
THIRTY DAYS OF IMPOSITION, AND UPON BECOMING FINAL SHALL BE SUBJECT TO
REVIEW AT THE INSTANCE OF SUCH PERSON IN A PROCEEDING AGAINST THE BOARD
BROUGHT PURSUANT TO ARTICLE SEVENTY-EIGHT OF THE CIVIL PRACTICE LAW AND
RULES.
S. 7400--A 8
(F) EVERY BOARD OF ETHICS SHALL ADOPT RULES TO ENSURE PROCEDURAL DUE
PROCESS IN THE CONDUCT OF ADJUDICATORY PROCEEDINGS HELD PURSUANT TO THIS
SUBDIVISION.
3. [The governing body of any municipality other than a county may
establish a local board of ethics and, where such governing body is so
authorized, appropriate moneys for maintenance and personal services in
connection therewith. A local board shall have all the powers and duties
of and shall be governed by the same conditions as a county board of
ethics, except that it shall act only with respect to officers and
employees of the municipality that has established such board or of its
agencies. The members of a local board shall be appointed by such person
or body as may be designated by the governing body of the municipality
to serve at the pleasure of the appointing authority and such board
shall consist of at least three members, a majority of whom are not
otherwise officers or employees of such municipality. Such board shall
include at least one member who is an elected or appointed municipal
officer or employee.
4. The county board of ethics shall not act with respect to the offi-
cers and employees of any municipality located within such county or
agency thereof, where such municipality has established its own board of
ethics, except that the local board may at its option refer matters to
the county board.
5. A] A BOARD OF ETHICS SHALL HAVE THE ADVICE OF COUNSEL EMPLOYED BY
THE BOARD OR, IF NONE, THE ATTORNEY FOR THE MUNICIPALITY THAT ESTAB-
LISHED THE BOARD OR, IN THE CASE OF A COOPERATIVE BOARD OF ETHICS, SUCH
MUNICIPAL ATTORNEY AS MAY BE DESIGNATED IN THE AGREEMENT ESTABLISHING
THE COOPERATIVE BOARD OF ETHICS.
4. THE board of ethics of a political subdivision (as defined in
section eight hundred ten of this article) [and of] AND THE BOARD OF
ETHICS OF any other municipality[,] which [is required by local law,
ordinance or resolution to be, or which pursuant to legal authority, in
practice is, the repository for completed annual statements of financial
disclosure shall notify the temporary state commission on local govern-
ment ethics if such commission be in existence and if not, shall file a
statement with the clerk of its municipality, that it is the authorized
repository for completed annual statements of financial disclosure and
that on account thereof, such completed statements will be filed with it
and not with the commission. Should any local law, ordinance or resol-
ution be adopted which provides for the filing of such completed annual
statements with the temporary state commission on local government
ethics instead of with such board of ethics, such board of ethics shall
notify the temporary state commission on local government ethics of that
fact] REQUIRES FILING OF ANNUAL STATEMENTS OF FINANCIAL DISCLOSURE
PURSUANT TO THIS ARTICLE, SHALL RECEIVE, REVIEW FOR COMPLETENESS, AND
SERVE AS REPOSITORY FOR SUCH ANNUAL STATEMENTS AND ENFORCE SUCH FILING
REQUIREMENT.
5. EACH MEMBER OF EVERY BOARD OF ETHICS SHALL ATTEND AND SUCCESSFULLY
COMPLETE A TRAINING COURSE APPROVED BY THE STATE COMPTROLLER WITHIN TWO
HUNDRED SEVENTY DAYS OF HIS OR HER APPOINTMENT OR REAPPOINTMENT TO THE
BOARD, PROVIDED, HOWEVER, THAT NOTHING IN THIS SUBDIVISION SHALL BE
DEEMED TO REQUIRE A MEMBER OF A BOARD OF ETHICS TO SUCCESSFULLY COMPLETE
SUCH TRAINING COURSE MORE THAN ONCE. THE COURSE SHALL CONTAIN TRAINING
RELATED TO THE PROVISIONS OF THIS ARTICLE, CODES OF ETHICS, ANNUAL
FINANCIAL DISCLOSURE AND DECISIONAL LAW RELATING TO CONFLICTS OF INTER-
EST AND ETHICS AND SUCH OTHER TOPICS AS THE COMPTROLLER DEEMS ADVISABLE.
WHEN APPROVED IN ADVANCE OF ATTENDANCE BY THE GOVERNING BODY OF THE
S. 7400--A 9
MUNICIPALITY ESTABLISHING THE BOARD OR IN THE MANNER PROVIDED IN AN
AGREEMENT ESTABLISHING A COOPERATIVE BOARD OF ETHICS, THE ACTUAL AND
NECESSARY EXPENSES INCURRED BY A BOARD MEMBER IN SUCCESSFULLY COMPLETING
THE TRAINING REQUIRED BY THIS SECTION SHALL BE A CHARGE AGAINST THE
MUNICIPALITY OR THE MUNICIPALITIES PARTICIPATING IN THE COOPERATIVE
BOARD OF ETHICS.
S 9. Subdivision 9 of section 810 of the general municipal law, as
added by chapter 813 of the laws of 1987, is amended to read as follows:
9. The term "appropriate body" or "appropriate bodies" shall mean[:
(a) in the case of any political subdivision which has created or
hereafter creates a board of ethics which is in existence at the time an
annual statement of financial disclosure is due, and which has been
designated by local law, ordinance or resolution to be the repository
for such completed statements, such board of ethics;
(b) in the case of any political subdivision which has created or
hereafter creates a board of ethics which is in existence at the time an
annual statement of financial disclosure is due, and which has not been
designated by local law, ordinance or resolution to be the repository
for such completed statements, the temporary state commission on local
government ethics;
(c) in the case of any political subdivision for which no board of
ethics is in existence at the time an annual statement of financial
disclosure is due, the temporary state commission on local government
ethics] THE BOARD OF ETHICS OF ANY POLITICAL SUBDIVISION OR
MUNICIPALITY.
S 10. Paragraphs (c) and (d) of subdivision 1 of section 811 of the
general municipal law, as added by chapter 813 of the laws of 1987, are
amended to read as follows:
(c) The governing body of a political subdivision or any other county,
city, town or village which requires any local or municipal officer or
employee or any local elected official or any local political party
official to complete and file either of such annual statements of finan-
cial disclosure shall have, possess, exercise and enjoy all the rights,
powers and privileges attendant thereto which are necessary and proper
to the enforcement of such requirement, including but not limited to,
the promulgation of rules and regulations pursuant to local law, ordi-
nance or resolution, which rules or regulations may provide for the
public availability of items of information to be contained on such form
of statement of financial disclosure, the determination of penalties for
violation of such rules or regulations, and such other powers as [are]
WERE conferred upon the temporary state commission on local government
ethics pursuant to THE FORMER section eight hundred thirteen of this
article, AS ADDED BY CHAPTER EIGHT HUNDRED THIRTEEN OF THE LAWS OF NINE-
TEEN HUNDRED EIGHTY-SEVEN, as such local governing body determines are
warranted under the circumstances existing in its county, city, town or
village.
(d) The local law, ordinance or resolution, if and when adopted, shall
provide for the annual filing of completed statements with [either] the
[temporary state commission on local government ethics or with the board
of ethics of the political subdivision or other municipality] APPROPRI-
ATE BODY, and shall contain the procedure for filing such statements and
the date by which such filing shall be required. [If the board of ethics
is designated as the appropriate body, then such] SUCH local law, ordi-
nance or resolution shall confer upon the [board] appropriate BODY
authority to enforce such filing requirement, including the authority to
promulgate rules and regulations of the same import as those which the
S. 7400--A 10
FORMER temporary state commission on local government ethics [enjoys
under section eight hundred thirteen of this article] COULD HAVE ADOPTED
UNDER FORMER SECTION EIGHT HUNDRED THIRTEEN OF THIS ARTICLE, AS ADDED BY
CHAPTER EIGHT HUNDRED THIRTEEN OF THE LAWS OF NINETEEN HUNDRED
EIGHTY-SEVEN. Any such local law, ordinance or resolution shall author-
ize exceptions with respect to complying with timely filing of such
disclosure statements due to justifiable cause or undue hardship. The
appropriate body shall prescribe rules and regulations related to such
exceptions with respect to extensions and additional periods of time
within which to file such statement including the imposition of a time
limitation upon such extensions.
S 11. Paragraph (a) of subdivision 1 of section 812 of the general
municipal law, as added by chapter 813 of the laws of 1987 and the open-
ing paragraph as amended by chapter 85 of the laws of 2004, is amended
to read as follows:
(a) Any political subdivision or other county, city, town or village
to which all of the provisions of this section are made applicable,
whether as the result of the provisions contained in subdivision two of
section eight hundred eleven of this article or as a result of an
election to be subject to the provisions of this section as permitted by
subdivision two of this section, shall require (i) each of its local
elected officials and local officers and employees, (ii) each local
political party official and (iii) each candidate for local elected
official with respect to such political subdivision, to file an annual
statement of financial disclosure containing the information and in the
form set forth in subdivision five of this section except that disclo-
sure requirements for assessors who are not covered by this article
shall be governed by the requirements of section three hundred thirty-
six of the real property tax law. Such statement shall be filed on or
before the fifteenth day of May with respect to the preceding calendar
year, except that:
(i) a person who is subject to the reporting requirements of this
subdivision and who timely filed with the internal revenue service an
application for automatic extension of time in which to file his or her
individual income tax return for the immediately preceding calendar or
fiscal year shall be required to file such financial disclosure state-
ment on or before May fifteenth but may, without being subjected to any
civil penalty on account of a deficient statement, indicate with respect
to any item of the disclosure statement that information with respect
thereto is lacking but will be supplied in a supplementary statement of
financial disclosure, which shall be filed on or before the seventh day
after the expiration of the period of such automatic extension of time
within which to file such individual income tax return, provided that
failure to file or to timely file such supplementary statement of finan-
cial disclosure or the filing of an incomplete or deficient supplementa-
ry statement of financial disclosure shall be subject to the notice and
penalty provisions of this section respecting annual statements of
financial disclosure as if such supplementary statement were an annual
statement;
(ii) [a person who is required to file an annual financial disclosure
statement with the temporary state commission on local government
ethics, and who is granted an additional period of time within which to
file such statement due to justifiable cause or undue hardship, in
accordance with required rules and regulations on the subject adopted
pursuant to paragraph c of subdivision nine of section eight hundred
S. 7400--A 11
thirteen of this article, shall file such statement within the addi-
tional period of time granted;
(iii)] candidates for local elected official who file designating
petitions for nomination at a primary election shall file such statement
within seven days after the last day allowed by law for the filing of
designating petitions naming them as candidates for the next succeeding
primary election;
[(iv)] (III) candidates for independent nomination for local elected
official who have not been designated by a party to receive a nomination
shall file such statement within seven days after the last day allowed
by law for the filing of independent nominating petitions naming them as
candidates for local elected official in the next succeeding general or
special or village election; and
[(v)] (IV) candidates for local elected official who receive the nomi-
nation of a party for a special election or who receive the nomination
of a party other than at a primary election (whether or not for an
uncontested office) shall file such statement within seven days after
the date of the meeting of the party committee at which they are nomi-
nated.
S 12. Paragraph (a) of subdivision 3 of section 812 of the general
municipal law, as added by chapter 813 of the laws of 1987, is amended
to read as follows:
(a) Such local law, ordinance or resolution must provide for the
promulgation of a form of an annual statement of financial disclosure
described in subdivision one of section eight hundred eleven of this
article for use with respect to information the governing body requires
to be reported for the calendar year next succeeding the year in which
such local law, ordinance or resolution is adopted and for use with
respect to information required to be reported for subsequent calendar
years; and shall provide for the filing of completed statements with
[either] the [temporary state commission on local government ethics or
with the board of ethics of the political subdivision or other munici-
pality, as specified in subdivision one of section eight hundred eleven
of this article] APPROPRIATE BODY.
S 13. Section 813 of the general municipal law is REPEALED.
S 14. Section 13 of 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 is amended to read as follows:
S 13. Laws superseded. The provisions of article [eighteen] 18 of the
general municipal law, as added by this act, shall supersede any local
law, charter, ordinance, resolution, rule or regulation of any munici-
pality to the extent that such local law, charter, ordinance, resol-
ution, rule or regulation is inconsistent with the provisions thereof.
No local law, ordinance, resolution, rule or regulation shall modify or
dispense with any provision of article [eighteen] 18 of the general
municipal law, as added by this act; provided, however, that nothing
[herein] contained IN THIS SECTION shall prohibit a code of ethics
adopted pursuant thereto from supplementing the provisions of this act
OR FROM BEING MORE STRINGENT THAN ARTICLE 18 OF THE GENERAL MUNICIPAL
LAW.
S 15. Notwithstanding any general, special or local law to the contra-
ry, the governing body of any municipality which has prior to the effec-
tive date of this act: (a) established a board of ethics pursuant to
section 808 of the general municipal law; and (b) not established a term
of office for the members of such board, shall establish a term of
office for the members of such board to commence on a date no later than
S. 7400--A 12
January 1, 2012 and on such date the positions on such board of ethics
shall be deemed vacant.
S 16. Notwithstanding any general, special or local law to the contra-
ry, any person serving as a member of a board of ethics established
pursuant to section 808 of the general municipal law on the effective
date of this act shall successfully complete the training course
required by subdivision 6 of section 808 of such law within one year of
the effective date of this act.
S 17. This act shall take effect on the first of January next succeed-
ing the date on which it shall have become a law; provided, however,
that the provisions of paragraph (d) of subdivision 1 of section 808 of
the general municipal law, as added by section eight of this act, shall
take effect January 1, 2012.
