The Effect of NYC's Conflicts of Interest Board on the Ethics Programs in New York State's Larger Cities
New York City's <a href="http://www.nyc.gov/html/conflicts/html/home/home.shtml">Conflicts
of Interest Board</a> is one of the premier
ethics commissions in the U.S. One would assume that its rules and
procedures would provide an example, as well as guidance, for the rest
of the state. So I would like to look at ethics programs in the other
largest (although not large) cities in the state,
in order by population.<br>
<br>
<b>Buffalo</b><br>
Buffalo has a disclosure-based ethics code. An annual financial
disclosure statement is required, and a separate disclosure statement
is required whenever an official or his or her immediate family's
interest might be affected by the official's decision. Council members
may choose to abstain, but the decision is theirs alone: "the member’s
decision not to abstain shall not be deemed unethical."<br>
<br>
<a href="http://www.ci.buffalo.ny.us/files/1_2_1/city_departments/city_clerk/Eth…
ethics
code</a> (pp. 11ff) has other basic provisions, including a ban
on gifts from interested parties, which has some sizeable exceptions,
including $100 (per gift) "hospitality" and travel for city purpose.
There is a good abuse of office provision and a requirement to report
anyone who improperly attempts to influence one's work.<br>
<br>
Buffalo's Board of Ethics has an odd selection process. Of seven
members, one is the city clerk and another the corporation counsel (who
also acts as the board's counsel). They are ex officio members, but
have full voting rights. This is downright bizarre. The good part is
that the other five members are nominated by a committee consisting of the
following: the mayor, the comptroller, the president of the
Common Council, the chief judge of the Buffalo City Court, and the dean
of the Law School of the State University at Buffalo. The mayor selects
from their list of nominees, but the mayor can also reject the
committee's nominees altogether, although this would be hard to do. The
council has the right of refusal, as well.<br>
<br>
The board gives advisory opinions, may act on its own initiative, and may fine
officials up to $10,000 as well as recommend disciplinary action. But
the board has no presence on <a href="http://www.ci.buffalo.ny.us/">the
city's
website</a>. Not a good sign of an active ethics program.<br>
<br>
The board has no staff or resources. This can cause problems. According
to <a href="http://www.buffalonews.com/cityregion/buffaloerie/story/698644.html">an
article
in the Buffalo <i>News</i></a> last June, the board chair "expressed
concerns ... about
whether his all-volunteer panel has the resources to effectively
conduct such a probe. 'Not having staff or resources, we can’t
just snap our fingers and attend to this matter.' [The chair] said he
wants to
meet with Council President David A. Franczyk to discuss what
investigatory roles would best be handled by the Board of Ethics, the
Council or other entities."<br>
<br>
In 2007, Buffalo's <a href="http://www.ci.buffalo.ny.us/Home/Mayor/Archive_Press_Releases/Leadershi…
announced</a> a Public Integrity and Accountability Plan, including an
inspector general and fraud hotline, but with the city and economy's
problems, it doesn't seem to have happened.<br>
<br>
<b>Rochester</b><br>
Rochester's <a href="http://www.cityofrochester.gov/article.aspx?id=8589936098">ethics
code</a> (click at bottom of page) has more provisions than Buffalo's,
but it has a toothless board of ethics that can only give advisory
opinions. Citizens have no role in the ethics program.<br>
<br>
Like Buffalo, the code requires annual financial disclosure. The
Rochester gift provision permits gifts up to $25 each from interested
parties. Like Buffalo, Rochester's toothless board of ethics has no
presence on the city website, and I could find no mention of it on the
Web. The board's seven members include one city council member and one
high-level executive official selected by the mayor. The other five
members are selected by the council.<br>
<br>
Unlike Buffalo, Rochester does have an Office of Public Integrity,
which oversees the ethics program, including ethics training, but is
focused on fraud and waste, with a compliance and IG approach. The
director/IG is appointed by the mayor and appears to have authority
only over the executive branch.<br>
<br>
<b>Yonkers</b><br>
Let's hear it for Yonkers, which actually has an<a href="http://www.yonkersny.gov/Index.aspx?page=77"> Ethics Board page</a>,
albeit as part of the corporation counsel's site (the corporation
counsel's office is the board's staff, not a good idea; but there is a
special recusal provision for the corporation counsel, something I'd
never seen). Not only is there a link to the city's code of ethics, but
there is even a link to all nine 2006 advisory opinions. Have there
been no advisory opinions since then, or is the board a bit behind in
putting them online?<br>
<br>
The Yonkers <a href="http://www.yonkersny.gov/Index.aspx?page=99">ethics
code</a> has by far the best provisions of any of these cities. It is a
very clear, complete recusal provision. There is an extensive political
activity section, and an unusual provision about business relationships
among officials and employees:<br>
<br>
<ul>No City elected official shall enter into
any business relationship with any City officer or employee, and no
City officer or employee shall enter into any business relationship
with that individual’s subordinate, if such business relationship would
be an outside employer or business as to any one of them.</ul><br>
There is also an unusual inducement provision:<br>
<br>
<ul>No person shall induce any other
person to
violate, attempt to induce any other person to violate, or aid any
other person in violating, any provision of the Code of Ethics.</ul><br>
Both of these provisions go beyond the New York City code, which only
limits business relationships with subordinates, and has a very limited
inducement provision.<br>
<br>
However, Yonker officials and employees can accept gifts
aggregating $200 from any person during a 12-month period. At least
it's an aggregate, unlike the per gift limits in Buffalo and Rochester.<br>
<br>
The seven members of the ethics board are appointed by an appointing
committee, which consists of the mayor,
the presiding judge of the Yonkers City Court, and the council
president. Only one of the members can be a city employee.<br>
<br>
The board has teeth. It can fine up to $10,000 (there are even minimum
fine amounts), it can recommend suspension or dismissal, and it can ask
a court to approve permanent disbarment from doing business with the
city. It can also initiate investigations.<br>
<br>
How did Yonkers get a better ethics program? It was drafted by a
charter revision commission and approved by referendum in 2005, and it
apparently had the mayor's support. See a <a href="http://query.nytimes.com/gst/fullpage.html?res=9F02EED7133EF937A25752C1…
New York <i>Times</i> article</a> for the story behind the new ethics code.<br>
<br>
Yonkers also has an <a href="http://www.yonkersny.gov/Index.aspx?page=94">inspector general</a>,
who focuses on fraud, waste, and fiscal accountability. The IG appears
to have nothing directly to do with the ethics board. However, the IG
can forward findings to the ethics board, and the ethics board can ask
the IG to investigate a matter. According to the <a href="http://polhudson.lohudblogs.com/2009/10/30/yalis-condemns-yonkers-igs-r…
on the Hudson blog</a>, in October a community organization said it
would file a complaint against the IG with the ethics board.<br>
<br>
Ethics board meetings are unofficially available in video online at <a href="http://yonkerstv.blogspot.com/">YonkersTV</a>.<br>
<br>
<b>Syracuse</b><br>
The Dachshund Club of Greater Syracuse has an ethics code, but it
doesn't appear that <a href="http://www.syracuse.ny.us/Home.aspx">Syracuse</a>
does. Nor does Syracuse have much of a website; you can't even do a
search of it. And no mention of an ethics code or board in the local
newspaper.<br>
<br>
<b>Albany</b><br>
Albany appears to have nothing but a <a href="http://www.ecode360.com/?custId=AL0934">financial disclosure
requirement</a> (Ch. 54) An <a href="http://www.albanyny.gov/_files/051809Final.pdf">ethics code</a>
was proposed in May 2009 (pp. 2ff), but it does not appear to be law. For more info, see <a href="http://www.cityethics.org/node/831">an earlier blog post</a>.<br>
<br>
<b>Conclusion</b><br>
The existence of such a great ethics code and so much expertise in the
state's largest city apparently has had little to no effect on the state's other
cities. Only Yonkers has an ethics program to be proud of, but it does
not appear to have depended much on next-door NYC's example. On paper, Buffalo has a mediocre program with mediocre enforcement capabilities, but it's not clear how active it is.<br>
<br>
Robert Wechsler<br>
Director of Research-Retired, City Ethics<br>
<br>
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