[HISTORY: Adopted by the Board of Trustees of the Village of Bronxville
12-11-1989 by L.L. No. 13-1989. Amendments noted where applicable.]
GENERAL REFERENCES
Defense and indemnification — See Ch. 15.
A.
The goal of village government is to provide fair, impartial,
open and lawful administration of the village, pursuant to the Code of Ethics
of the village, as defined below, and the General Municipal Law of the State
of New York.
B.
In order to accomplish this goal, it is necessary that
the village maintain and support its tradition of having village residents
serve as volunteer village Officials, and that all village officials or employees,
as those terms are defined below, whether volunteer or paid or elected:
(1)
Be independent, impartial and responsible to the residents
of the village;
(2)
Observe in their official acts the highest standards
of morality and discharge faithfully the duties of their office regardless
of personal consideration, so that the public shall have the highest regard
for the integrity of its government and its village officers or employees;
and
(3)
Make government decisions in the proper channels of government
in an open and nonsecretive manner.
C.
In recognition of this goal, there is hereby established
a Code of Ethics which is based upon the Municipal Ethics Act for New York
State Municipalities dated December 1988 and recommended by the State of New
York Commission on Government Integrity. Although this Code of Ethics deviates
in various sections from the Municipal Ethics Act for New York State municipalities,
the studies and reports published by the Commission on Government Integrity
will provide guidance as to the origin and interpretation of this Code of
Ethics. In the event of any conflict between the provisions of this Code of
Ethics and the provisions of the General Municipal Law of the State of New
York, the latter shall control.
When used in this Code of Ethics, the following terms shall have the
meanings indicated:
Any office, board, body, advisory board, council, commission, agency,
department, district, administration, division, bureau or committee of the
village.
Communicating in whatever form, whether personally or through another
person.
Having or providing any contract, service or work with the village;
Buying, selling, renting, leasing or otherwise acquiring from or dispensing
to the village any goods, services or property; or
Applying for, petitioning, requesting or obtaining any approval, grant,
loan, license, permit or other privilege from the village.
Any action involving the exercise of judgment or discretion by a
village officer or employee, either individually or as a member of any agency,
and includes, but is not limited to, negotiation, approval, advice, recommendation,
authorization or audit.
A spouse, child, stepchild, brother, sister, parent or dependent
of a village officer or employee, as defined below.
An action performed in a prescribed manner without the exercise of
judgment or discretion as to the propriety of the act.
Any business dealing with the village or any application for such
business or any case, proceeding, determination, investigation, charge, accusation
or arrest or any other matter involving a discretionary act of a village officer
or employee, but does not include the proposal, consideration or enactment
of local laws, ordinances or regulations of general application.
A husband or wife from whom the village officer or employee is not
legally separated.
The Village of Bronxville and all agencies thereof.
Any officer or employee of the Village of Bronxville, whether paid
or unpaid, including members of any administrative board, commission or any
agency thereof. No person shall be deemed to be a municipal officer or employee
solely by reason of being a volunteer fireman or civil defense volunteer,
except a Fire Chief or Assistant Fire Chief.
[Amended 6-12-1995 by L.L.
No. 3-1995[1]]
A.
No village officer or employee shall:
(1)
Act as attorney, agent, broker, employee, consultant
or representative for any person in connection with any business dealing that
person has with the village.
(2)
Directly or indirectly solicit, accept or agree to accept
any gift from any person, other than a family member, who the village officer
or employee knows is considering, has or within the previous 12 months has
had any business dealing with the village that involves any discretionary
act by the village officer or employee. However, a village officer or employee
may accept from such person a gift or gifts which would otherwise be prohibited
by the preceding sentence and which are customary on family, social, holiday
or civic occasions, provided that they were not received under circumstances
in which it reasonably might be inferred that such gift or gifts were intended
to influence the village officer or employee in the performance of his or
her official duties or reward him or her for any official action. A gift shall
include money, services, loan, travel, entertainment, hospitality, thing or
promise thereof or any other gratuity or promise thereof, including any financial
transaction on terms not available to the general public, but shall not include
a campaign contribution.
(3)
Take or refrain from taking any discretionary action
or agree to take or refrain from taking any discretionary action or induce
or attempt to induce any other village officer or employee to take or refrain
from taking any discretionary action, on any matter before the village in
order to obtain a pecuniary or material benefit for:
(a)
Himself or herself;
(b)
A family member;
(c)
Any partnership or unincorporated association of which
the village officer or employee is a member or employee or in which he or
she has a proprietary interest;
(d)
Any corporation of which the village officer or employee
is an officer or director or of which he or she legally or beneficially owns
or controls more than 5% of the outstanding stock;
(e)
Any person with whom the village officer or employee
or his or her family member has an employment, professional, business or financial
relationship; or
(f)
Any person from whom the village officer or employee
or his or her spouse, has received within any twelve-month period during the
previous 24 months, a pecuniary or material benefit having an aggregate value
greater than $2,000.
(4)
Appear before the village, except on behalf of the village
or on his or her own behalf.
(5)
Appear as attorney or counsel against the interests of
the village in any matter in which the village is a party or a complainant.
(6)
Except where such disclosure is authorized by law, disclose
during his or her office with the village, or thereafter, any confidential
information acquired in the course of his or her official duties or use any
such information to advance the financial or other private interest of himself
or herself or any other person.
(7)
After termination of his or her term of office or employment
with the village, appear before the village or receive compensation for services
rendered on behalf of any person other than the village, in relation to any
particular matter upon which he or she took any action or that came before
him or her during his or her term of office or employment with the village.
B.
No partnership or unincorporated association of which
a village officer or employee is a member or employee or in which he or she
has a proprietary interest, nor any corporation of which he or she is an officer
or director or of which he or she legally or beneficially owns or controls
more than 5% of the outstanding stock, shall appear before the village on
behalf of any person other than the village or itself.
C.
Nothing in this section shall be construed to prohibit
a village officer or employee or any other person from receiving a village
service or benefit or using a village facility, which is generally available
to residents or a class of residents in the village.
D.
Nothing in this section shall be construed to prohibit
any village officer or employee listed in Section Eleven of the Domestic Relations
Law from accepting any gift or benefit having a value of $100 or less for
the solemnization of a marriage by that village officer or employee.
E.
Nothing in this section shall be construed to prohibit
a village officer or employee from performing any ministerial act.
F.
Should the Village Ethics Board, defined below, conclude
in a written opinion that a contract has been entered by or with the village
which results in or from a violation of this section, the Board of Trustees
may elect to void that contract.
A.
Whenever the village officer or employee is requested
or required to take any action on a matter before the village and, to his
or her knowledge, either the performance or nonperformance of that action
would provide a pecuniary or material benefit to himself or herself or to
any related person different from that which would be derived from the action
by reason of its general application to a broad class of persons deriving
such benefit, the village officer or employee shall not participate in that
matter. The village officer or employee also shall file promptly with his
or her immediate supervisor, if any and with the Village Clerk, a signed statement
disclosing the nature and extent of that interest.
B.
For purposes of this section, "related person" means:
(1)
A family member;
(2)
Any corporation of which the village officer or employee
is an officer or director or of which he or she legally or beneficially owns
or controls more than 5% of the outstanding stock;
(3)
Any person with whom the village officer or employee
or his or her family member has an employment, professional, business or financial
relationship; and
(4)
Any person from whom the village officer or employee
or his or her spouse, has received within any twelve-month period during the
previous 24 months, a pecuniary or material benefit having an aggregate value
greater than $2,000.
C.
Whenever a vote is required from which the village officer
or employee must recuse himself or herself under this section, such recusal
shall not be counted for the purpose of determining whether a majority or
other ratio required by law to pass a measure has been reached; provided,
however, that no action may be taken by a body unless a majority of all of
the members appointed or elected to such body, votes on the matter. If a body
is reduced below such majority by reason of a recusal required pursuant to
this section, any member of such body may apply to the Village Ethics Board
for a waiver of the recusal requirements of this section.
D.
Nothing in this section shall be construed to prohibit
a village officer or employee from performing any ministerial act or to require
a village officer or employee to file a disclosure statement pursuant to this
section prior to performing any ministerial act.
Transactional disclosure statements filed pursuant to § 21-4 of this Code of Ethics shall be public records and shall be indexed and maintained on file in an appropriate manner by the Village Clerk. The Village Clerk promptly shall transmit a copy of all disclosure statements to the Village Ethics Board, Mayor and Village Counsel. The Village Clerk shall retain disclosure statements for not less than seven years from the date of filing.
A.
For purposes of this section:
(1)
"Submission" means any written application, petition,
bid, proposal or other request concerning a business dealing with the village
which has a value or cost to the village of $5,000 or more, but shall not
include an application to be considered for eligibility to apply for or bid
on any business dealing; and
(2)
"Applicant" means any person making a submission.
B.
For purposes of this section, a campaign contribution
shall be considered to have been made to the village officer or employee if
such contribution is made to any committee soliciting or receiving funds for
the purpose of supporting the candidate, except that a contribution to a statewide
political party shall not be considered a contribution to a candidate unless
it is earmarked for use for a specific candidate. Where contributions are
made to committees which support more than one candidate, the contribution
shall be considered to have been spent equally on all the candidates and only
the amount attributable to a particular candidate shall be considered for
disclosure purposes under this section, unless the contribution to the committee
was earmarked for use for a particular candidate or candidates, in which case
the entire contribution shall be attributable to that candidate or equally
to those candidates or as specified by the contributor. For purpose of this
section, a loan to a candidate or campaign committee shall be considered a
campaign contribution.
C.
Any person who makes a submission to the village shall
disclose in writing, as part of the submission, the name of any village officer
or employee to whom the applicant has made one or more campaign contributions
totaling $250 or more within any twelve-month period during the previous 60
months; and the name of any village officer or employee who, to the applicant's
knowledge, has an interest in the submission or in the applicant and is required
to take any discretionary act on the submission. The applicant also shall
identify in the submission the nature of the interest.
D.
For purposes of this section, the village officer or
employee shall be deemed to have an interest in the submission or in the applicant
when the village officer or employee or his or her spouse:
(1)
Is the applicant;
(2)
Is a family member of the applicant;
(3)
Is an officer or director of or legally or beneficially
owns or controls more than 5% of the outstanding stock of the applicant;
(4)
Has or to the applicant's knowledge intends to enter
into an employment, professional, business or financial relationship with
the applicant or any principal of the applicant;
(5)
Has received from the applicant, within any twelve-month
period during the previous 24 months, a pecuniary or material benefit having
an aggregate value greater than $2,000; or
(6)
Will receive, pursuant to an agreement between the applicant
and any person, a pecuniary or material benefit if the village's disposition
of the submission is favorable to the applicant.
A.
A bipartisan Village Ethics Board consisting of five
members who are residents of the village is hereby established. The members
of the Board shall be appointed by the Mayor with the advice and consent of
the Trustees. Appointments shall be made for two-year terms to be appointed
in such a manner that there will always be one or more experienced members
on the Board when new members come upon the Board.
B.
The Village Ethics Board shall adopt rules and regulations
as to forms and procedures and shall at all times maintain appropriate records
of its opinions and proceedings.
A.
No member of the Village Ethics Board shall hold office
in any political party or be employed as a lobbyist before the village. A
Board member may make campaign contributions, but may not participate in any
village election campaign, other than his or her own. No person may serve
on the Village Ethics Board while holding other office in or being employed
by the village.
B.
No more than two members of the Village Ethics Board
may be members of the same political party. For purposes of this section,
"political party" shall mean any political party which appears on the ballot
for statewide elected office or which exists in the village.
A.
A member of the Village Ethics Board may be removed by
the Mayor with the advice and consent of the Board of Trustees.
B.
Grounds for removal of a member or members of the Village
Ethics Board shall be substantial neglect of duty, misconduct in office, inability
to discharge the powers or duties of office or violation of this Village Ethics
Code, after written notice and opportunity for reply.
A.
At its first meeting of the Village Ethics Board each
year, it shall elect a Chair from among its membership. A quorum of the Village
Ethics Board shall be necessary for the Board to vote upon any matter. A quorum
shall consist of no fewer than three members of the Board. A vote of a majority
of the members of the Village Ethics Board constituting a quorum shall be
required for the Board to take any action. The Chair or any three members
may call a meeting of the Board.
B.
The Board may hold as many meetings per year as it deems
necessary or as shall be called by the Chair or any three members, provided
that a meeting of the Board shall be held promptly after the filing of a complaint
alleging a violation of this Code of Ethics, at which meeting such complaint
shall be considered by the Board, as well as any other matters before it.
A.
The Village Ethics Board may act only with respect to
village officers and employees.
B.
The termination of a village officer or employee's term
of office or employment with the village shall not affect the jurisdiction
of the Board with respect to the requirements that this Code of Ethics imposes
on the former village officer or employee.
C.
The Village Ethics Board shall have the following powers
and duties:
(1)
To prescribe and promote rules and regulations governing
its own internal or animation and procedures in a manner consistent with this
Code of Ethics;
(3)
To conduct hearings and recommend disciplinary action
for violations of this Code of Ethics.
(4)
To grant waivers of the recusal requirements under the circumstances described in § 21-4C of this Code of Ethics upon written application and upon a showing of compelling need by the applicant. Waivers shall be in writing and shall state the grounds upon which they are granted.
(5)
To render advisory opinions with respect to the interpretation or application of this Code of Ethics upon written request by any agency, individual village officer or employee or any applicant, as defined in § 21-6 of this Code of Ethics.
(6)
To review all transactional disclosure statements. If
the Board determines that a statement is deficient or reveals a possible or
potential violation of the Code of Ethics, it shall notify the person in writing
of the deficiency or possible or potential violation and of the penalty for
failure to comply with this Code of Ethics.
(7)
To provide training and education to village officers
and employees and to make information concerning this Code of Ethics available
to all village officers and employees, to the public and to any person who
is interested in doing business with the village.
(8)
To prepare an annual report and recommend changes to
this Code of Ethics, if any.
A.
Upon receipt of a sworn complaint by any person alleging
a violation of this Code of Ethics or upon determining on its own initiative
that a violation of this Code of Ethics may exist, the Village Ethics Board
shall have the power and duty to conduct any investigation necessary to carry
out the provisions of this Code of Ethics. In conducting any such investigation,
the Village Ethics Board may administer oaths or affirmations, subpoena witnesses,
compel their attendance and require the production of books and records which
it may deem relevant and material.
B.
Nothing herein shall be construed to permit the Village
Ethics Board to conduct an investigation of itself or any of its members.
Should the Village Ethics Board receive a sworn complaint alleging that the
Village Ethics Board or any of its members has violated any provisions of
this Code of Ethics or any other law, it shall promptly transmit a copy of
the complaint to the Mayor and Village Counsel, who shall investigate the
complaint and take appropriate remedial action, should the results of their
investigation so warrant.
C.
Subject to the requirements of § 21-12D, the Village Ethics Board shall advise the relevant appointing authority of the disposition of every sworn complaint that it receives and of every related investigation that it conducts and shall set forth its related findings, opinions and recommendations.
D.
The Village Ethics Board shall, with respect to every
complaint that it receives and all related deliberations, findings, opinions,
recommendations and dispositions thereof:
(1)
Use its best efforts to hold all such matters in confidence
and not publicly reveal them, to the fullest extent allowable by applicable
law, including the New York State Freedom of Information Law, as it may be
amended; and
(2)
Meet only in executive session, closed to the public,
to the fullest extent allowed by the New York State Open Meetings Law, as
it may be amended.
Any village officer or employee who engages in any action that violates any provision of this Code of Ethics may be warned or reprimanded or suspended or removed from office or employment or be subject to any other sanction authorized by law or collective bargaining agreement, by the appointing authority or person or body authorized by law to impose such sanctions. A warning, reprimand, suspension, removal or other authorized sanction may be imposed in addition to any other applicable penalty contained in any other provision of law. The appointing authority or person authorized by law to impose the sanctions described in this Section shall be guided by the requirements of § 21-12D.
A.
The Mayor shall cause this Code of Ethics to be distributed
to every village officer or employee. Each such person who enters government
service after this distribution shall receive a copy of this Code of Ethics
before entering upon his or her duties and shall sign a statement that he
or she has read, understood and shall abide by its requirements. Within 30
days after the effective date of this Code of Ethics, the Village Administrator
shall obtain a similar signed statement from every village officer or employee
whose office predates this Code of Ethics.
