[HISTORY: Adopted by the Board of Trustees
of the Village of Spring Valley 11-23-1993 as L.L. No. 9-1993 (Ch.
2, Art. II, of the 1970 Code). Amendments noted where applicable.]
This chapter shall be known and cited as the
"Code of Ethics of the Village of Spring Valley."
With the amending of Article 18 of the General
Municipal Law, it is the intent of the Village of Spring Valley to
modify its Code of Ethics to provide for annual financial disclosures
by various municipal officials and employees. Further, it is the intent
of this chapter to provide standards for such officials and employees
with respect to disclosure of interest in legislation before the Village
of Spring Valley, holding of investments in conflict with official
duties, private employees with official duties, future employment
and real estate interests within the county in which the village is
a part thereof.
A.
Board creation; composition; qualifications; and compensation
of members. There is hereby created and established a Board of Ethics
consisting of three members, one of whom shall be a village elected
official, officer or employee, to be approved by a majority of the
Board of Trustees, all of whom shall reside in the village and who
shall serve without compensation.
[Amended 4-11-1995 by L.L. No. 1-1995]
B.
Terms of office of members. Of the members first appointed
to the Board, one shall hold office for a term of one year, one for
a term of two years and one for the term of three years. Their successors
shall be appointed or reappointed for terms of three years from and
after the expiration of their term.
C.
Chairman; rules and regulations; maintenance of records;
Clerk. The members of the Board shall select a Chairman and, upon
its formation, shall promulgate its own rules and regulations as to
its forms and procedures and shall maintain appropriate records of
its opinions and proceedings. The Village Clerk or Deputy Clerk shall
serve as Clerk to the Board of Ethics.
D.
Duty of Board to render advisory opinions.
(1)
The Board shall render advisory opinions to elected
officials, officers and persons appointed or employed by the village
with respect to this chapter. Such opinions to be rendered only pursuant
to a written request by the elected official, officer or employee
concerned.
(2)
The opinions of the Board shall be advisory and confidential
and in no event shall the identity of the person employed be disclosed
except to authorized persons and agencies.
As used in this chapter, the following terms
shall have the meanings indicated:
Any village department, council, committee, board or commission
of this municipality.
Remuneration in money, services, merchandise, loans, promise,
travel or any other form.
Any claim, account or demand against or agreement with the
Village of Spring Valley, expressed or implied, and shall include
the designation of a depository of public funds and the designation
of an official newspaper.
Any elected official of the Village of Spring Valley.
A direct or indirect pecuniary or material benefit accruing
to an elected official, officer or employee as a result of a business
or professional transaction with the Village of Spring Valley which
said elected official, officer or employee serves. For the purpose
of this chapter, an elected official, officer or employee shall be
deemed to have an "interest" in the affairs of:
His/her spouse, child, stepchild, other dependent
or person residing with the reporting individual of a firm, partnership
or association of which said elected official, officer, employee,
spouse, child, stepchild, other dependent or person residing with
the reporting individual is a member.
A corporation of which said elected official,
officer, employee, spouse, child, stepchild, other dependent or person
residing with the reporting individual is an officer, director or
employee.
A corporation, any stock of which is owned or
controlled directly by said elected official, officer, employee, spouse,
child, stepchild, other dependent or person residing with the reporting
individual.
The heads of any agency, committee, council, board or commission
and their deputies and assistants or any member of any agency, committee,
council, board or commission of the Village of Spring Valley, whether
paid or unpaid.
An elected official of the Village of Spring Valley, a department
head employed by the Village of Spring Valley and members of all board
and commissions of the Village of Spring Valley.
[Added 7-10-2007 by L.L. No. 2-2007]
Any chairperson of the Village of Spring Valley subdivision
of a constituted committee of a county political committee elected
pursuant to the Election Law or designated by the rules of a county
political committee pursuant to the rules of such county committee
or, who in actual practice, possesses or performs the principal political
executive and administrative functions of said Village committee or
has the power of general management over the affairs of such Village
committee or the power to exercise the powers of the Chairperson of
such Village committee in accordance with the rules of such county
committee or Village committee.
[Added 7-10-2007 by L.L. No. 2-2007]
The reporting individual's child, stepchild, other dependent
or person residing with the reporting individual.
Includes the married husband or wife of the reporting individual.
A.
No elected official, officer or employee of the village,
whether paid or unpaid, shall:
(1)
Be or become interested, directly or indirectly, in
any manner whatsoever, except by operation of law, in any business
or professional dealings with the village or any agency thereof.
(2)
Act as an attorney, agent, broker, representative
or employee for any person interested, directly or indirectly, in
any manner whatsoever in business or professional dealings before
the Board of Trustees or any agency thereof.
(3)
Accept other employment or engage in any business
transactions or make any investments, directly or indirectly, which
create a conflict with his/her official duties.
B.
Notwithstanding the provisions hereinabove set forth,
any member of a temporary committee appointed by the Board of Trustees
or the Mayor and any person serving as a volunteer fireman shall not
be prohibited from so serving by reason of financial, professional
or business interest, unless such interest is in conflict with the
proper discharge of his/her official duties.
[Amended 4-11-1995 by L.L. No. 1-1995]
No elected official, officer or employee of
the village, whether paid or unpaid, shall accept any valuable gift
in excess of seventy-five dollars ($75.), whether in the form of service,
loan, thing or promise or any other form, from any person which to
his/her knowledge is interested, directly or indirectly, in any manner
whatsoever in business or professional dealings with the village or
any agency thereof.
No elected official, officer or employee of
the village shall represent any private interests before the Village
Police Court in any litigation in which the village is a party or
complainant. Such elected official, officer or employee shall be deemed
to represent private interests if any partner or other business associate
of such elected official, officer or employee represents private interests
as aforesaid.
A.
Any officer or employee of the village, whether paid
or unpaid, who has a direct financial or other private interest in
any matter being considered by the Board of Trustees or by any other
official board, agency, elected official, officer or employee of the
village and who participates in discussions before or gives opinions
to such board, agency or individual shall publicly disclose on the
official record the nature and extent of such interest.
B.
Any elected official, officer or employee of the village,
whether paid or unpaid, who has knowledge of any matter being considered
by any board, agency, elected official, officer or employee of the
village in which he/she has any direct or indirect interest in such
matter shall be required to disclose, in writing, his/her interest
to such board, agency, elected official, officer or employee and the
nature and extent thereof.
No person who has served as an elected official,
officer or employee of the village shall, within a period of (2) years
after the termination of such service or employment, appear before
any board or agency of the village or receive compensation for any
services rendered on behalf of any person in relation to any case,
proceeding or application with respect to which such person was directly
concerned or in which he/she personally participated during the period
of his/her service or employment or which was under his/her active
consideration.
[Added 4-11-1995 by L.L. No. 1-1995]
A.
The Village Clerk shall post a copy of this law conspicuously
and permanently in the village offices in a manner allowing public
perusal of its provisions. Copies of this law shall also be made available
by the Village Clerk to members of the public upon request in accordance
with the Freedom of Information Law, Public Officers Law § 84
et seq.
B.
The Village Clerk shall distribute a copy of this
law to all public officers and employees. Each public officer and
employee elected or appointed thereafter shall be given a copy of
this law before entering upon the duties of his or her office and
shall acknowledge, by signature, that a copy has been received.
C.
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 provisions
thereof.
[Amended 7-10-2007 by L.L. No. 2-2007[1]]
A.
Types of statements required.
(1)
Every policymaker and political party official and every candidate for Village elected office shall file an annual statement of financial disclosure containing such information and in such form as is set forth in § 16-11 of this chapter. Appended to the financial disclosure statement must be the first and last pages of the reporting person's Internal Revenue Service Form 1040.
(2)
Any person who is required to file an annual statement of financial disclosure shall also file a no conflicting interest or activity affidavit at the same time. Any person who serves on a Village board or commission whose title is not listed in Schedule A shall file a no conflicting interest or activity affidavit yearly and file same by the date set forth in § 16-10B in the form set forth in this chapter.
(3)
Refusal to file no conflicting interest or activity
affidavit.
(a)
Anyone refusing to execute and affirm the accuracy
of the statement of no conflicting interest or activity shall be ineligible
for appointment to any Village board, commission, committee of similar
entity. In the case of confirmation of appointments by the Mayor,
this statement shall be signed at or before the Board of Trustees
meeting taking up and voting on said confirmation.
(b)
If any person required to file a no conflicting
interest or activity affidavit is presently appointed to any Village
board, commission, committee or is employed by the Village, and such
individual presently refuses to sign the aforesaid statement by the
date set forth in this statute, that person's appointment shall become
immediately voidable and upon resolution of the Board of Trustees
passed by simple majority such appointment (should such person continue
to refuse to sign) shall upon passage be void (terminated).
B.
Such statement shall be filed on or before the 15th
day of May with respect to the preceding calendar year, except that:
(1)
A person who is subject to the reporting requirements
of this section and who has 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 nonetheless be required to file such
financial disclosure statement on or before May 15. However, such
a person 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.
Such supplementary statement 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 financial disclosure shall be subject to the notice and penalty
provisions of this chapter respecting annual statements of financial
disclosure as if such supplementary statement were an annual statement.
(2)
Candidates for Village elected office who file designating
petitions for nomination at a primary election shall file a financial
disclosure statement within two business days after the last day allowed
by law for the filing of designating petitions naming said candidates
for the next succeeding primary election.
(3)
Candidates for independent nomination for Village
elected office who have not been designated by a party to receive
a nomination shall file a financial disclosure statement within two
business days after the last day allowed by law for the filing of
individual nominating petitions naming said candidates as candidates
for Village elected official in the next succeeding general or special
election.
(4)
Candidates for Village elected office who receive
the nomination of a party for a special election shall file a financial
disclosure statement within two business days after the date of the
meeting of the party committee at which they are nominated.
(5)
Political party officials, and any other person required
to file a financial disclosure statement, who commence employment
after May 15 of any year shall file such statement within 30 days
after commencing employment or of taking the position of political
party official, as the case may be.
(6)
A person who is subject to the filing requirement
of both Subdivision 2 of § 73-a of the Public Officers Law
and of this chapter may satisfy the requirements of this chapter by
filing a copy of the financial disclosure statement filed pursuant
to § 73-a of the Public Officers Law with the Rockland County
Board of Ethics on or before the filing deadline provided in such
§ 73-a, notwithstanding the filing deadline otherwise imposed
by this subsection.
(7)
A person who is subject to the filing requirement
of this chapter from more than one political subdivision within Rockland
County may satisfy the requirements of this chapter by filing only
one annual financial disclosure statement with the Board of Ethics
of the Village of Spring Valley. If such political subdivision crosses
one or more county boundary lines, then such single filing may be
made for any of the counties in which one of such political subdivision
is located; provided, however, that the Board of Ethics is notified
of the name of the county of such compliance by the person who is
subjected to the filing requirements of this chapter, within the time
limit for filing specified in this chapter.
(8)
A county elected official who is simultaneously a
candidate for county elected official shall satisfy the filing deadline
requirements of this subsection by complying only with the deadline
applicable to one who holds such county elected office.
(9)
A candidate whose name will appear on both a party-designating
petition and on an independent nominating petition for the same office
or who will be listed on the election ballot for the same office more
than once shall satisfy the filing deadline requirements of this chapter
by complying with the earliest applicable deadline only.
(10)
Upon the request of any person subject to the
filing requirement of this chapter, the Board of Ethics shall grant
an additional period of time within which to file such statement,
such additional period not to exceed 15 days. Upon a showing to the
Board of justifiable cause or undue hardship, such initial additional
period may be further extended for a period not to exceed 15 days.
(11)
A person who is required to file an annual financial
disclosure statement with the Board of 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 this subject, shall file such statement within
the additional period of time granted.
C.
As used in this section, the terms "party," "committee"
(when used in conjunction with the term "party"), "designation," "primary
election," "nomination," "independent nomination," "ballot" and "uncontested
office" shall have the same meanings as those contained in § 1-104
of the Election Law.
D.
The annual financial disclosure statement shall be
submitted to the Board of Ethics in a sealed envelope. The Board,
its employees or agents shall keep, as a matter of public record,
a log of all such filings by name and date on which such filing was
received. The Board shall open the same to determine that said form
is complete. Thereafter, the Board shall keep said filings in a closed
file except as hereafter provided.
F.
The Board of Ethics shall obtain from the Rockland
County Board of Elections lists of all candidates for county elected
office and, from such lists, shall determine and officially publish
lists of those candidates who have not, within two days after the
required date for filing a financial disclosure statement, filed the
statement required by this chapter.
[Added 7-10-2007 by L.L. No. 2-2007]
The annual statement of financial disclosure
shall contain the information and shall be set in the form set forth
below.[1]
[1]
Editor's Note: The financial disclosure form
is included at the end of this chapter.
[Added 7-10-2007 by L.L. No. 2-2007]
Persons holding any of the positions listed
in Schedule A annexed hereto[1] shall be considered policymakers for the purpose of filing
annual statements of financial disclosure, pursuant to this chapter.
[1]
Editor's Note: Schedule A is a file in the
Village Clerk's office.
[Added 7-10-2007 by L.L. No. 2-2007]
The no conflicting interest or activity form
shall be as follows:
|
DISCLOSURE, ACKNOWLEDGMENT AND AFFIRMATION OF
NO CONFLICTING INTEREST OR ACTIVITY, WHICH WOULD CONSTITUTE A PERSONAL
GAIN OR A CONFLICT OF INTEREST. (Short-Form Disclosure Affirmation)
| |
|
With full knowledge and awareness I affirm that
I do not have, I have not engaged in, and I will not engage in any
activity that would provide a personal or pecuniary gain to myself,
my spouse, or my dependent(s) from the activity (activities) in which
I now give (or am about to give) my services, to the Village of Spring
Valley or any affiliated or associated board, commission or agency
thereof.
| |
|
Dated: ____________________
| |
|
____________________
| |
|
Signature
| |
|
____________________
| |
|
Printed Name
| |
|
____________________
| |
|
Board or Activity
| |
[Amended 7-10-2007 by L.L. No. 2-2007]
A.
A reporting individual who knowingly and willfully
fails to file an annual statement of financial disclosure or who,
knowingly and willfully with intent to deceive, makes a false statement
or gives information which such individual knows to be false on such
statement of financial disclosure filed pursuant to this article shall
be assessed a civil penalty in an amount not to exceed $10,000. Assessment
of a civil penalty shall be made by the Board of Ethics with respect
to persons subject to its jurisdiction. The Board of Ethics acting
pursuant to this chapter may impose a civil penalty as aforesaid,
and said Board shall refer a violation to the appropriate prosecutor,
and upon such conviction, but only after such referral, such violation
shall be punishable as a Class A misdemeanor.
B.
A civil penalty for false filing may not be imposed
hereunder in the event that a "value" or "amount" reported upon as
required by this chapter is incorrect, unless such reported information
is willfully understated. No other penalty, civil or criminal, may
be imposed for a failure to file or for a false filing of such statement
of financial disclosure, except that disciplinary action may be imposed
as otherwise provided by law or as may be provided by professional
oversight or licensing agencies.
C.
The Board of Ethics shall be deemed to be an agency
within the meaning of Article 3 of the State Administrative Procedure
Act and shall adopt rules governing the conduct of adjudicatory proceedings
relating to the assessment of the civil penalties herein authorized.
Such rules, which shall not be subject to the approval requirements
of the State Administrative Procedure Act, shall provide for due process
procedural mechanisms substantially similar to those set forth in
such Article 3, but such mechanisms need not be identical in terms
of scope. Such rules shall be subject to the approval of the Board
of Trustees and shall not be effective until so approved.
D.
Assessment of a civil penalty shall be final unless
modified, suspended or vacated within 30 days of imposition and, upon
becoming final, shall be subject to the review at the instance of
the affected reporting individual in proceeding against the Board
of Ethics pursuant to Article 78 of the Civil Practice Law and Rules.
[Added 7-10-2007 by L.L. No. 2-2007]
A.
The Board may delegate authority to its Chairperson
to call meetings of the Board and to make preliminary review of any
matter before the Board; provided, however, that any such review is
subject to further review and ratification by the Board.
B.
The Board may appoint such staff as are deemed necessary
by the Board of Trustees to carry out its duties under this chapter,
with the appropriations and budget established by the Board of Trustees.
C.
The Board may recommend that the Board of Trustees
adopt, amend and rescind rules and regulations to govern procedures
and financial disclosure required hereunder. The Board may utilize
or modify such rules or regulations or adopt, subject to the approval
of the Board of Trustees, separate rules or regulations for the purposes
of Subdivision (d) of § 811 of the General Municipal Law.
D.
The Board may promulgate guidelines to assist the
Board of Trustees in determining which persons hold policymaking positions
for the purposes of this chapter.
E.
The Board may make available forms for annual statements
of financial disclosure required to be filed pursuant to this chapter.
F.
The Board may review completed financial disclosure
statements in accordance with the provisions of this chapter.
G.
The Board may receive complaints alleging a violation
of the provisions of this chapter or a violation of the criteria for
reporting requirements established by this chapter.
H.
The Board may recommend to the Board of Trustees rules
and regulations relating to possible conflicts between private interests
and official duties of elected officials, political party officials,
officers and employees, and candidates for county elective office.
I.
The Board may act as repository for completed financial
disclosure forms filed pursuant to this chapter.
J.
Upon certification of a question, the Board may determine
a question common to a class or defined category of persons or items
of information required to be disclosed, where determination of the
question will prevent undue repetition or prevent undue complication
in complying with the requirements of such section.
K.
In addition to any other powers and duties specified
by law, the Board shall have the power and duty to:
(1)
Administer and enforce all the provisions of this
chapter.
(2)
Conduct any investigation necessary to carry out the
provisions of this chapter. Pursuant to this power and duty, the Board
may administer oaths or affirmations, subpoena witnesses and compel
their attendance and require the production of any books or records
which it may deem relevant or material.
[Added 7-10-2007 by L.L. No. 2-2007]
A.
The records of the Board which shall be available
for public inspection are:
(1)
Notices of delinquency;
(2)
Notices of reasonable cause;
(3)
Notices of civil assessments imposed under this chapter;
and
(4)
Information provided in an annual statement of financial
disclosure filed pursuant to this chapter, except the categories of
value or amount and the first and last pages of Internal Revenue Service
Form 1040, all of which shall remain confidential.
B.
Notwithstanding the provisions of Article 7 of the
Public Officers Law, no meeting or proceeding of the Board shall be
open to the public unless expressly requested to be made public by
an individual to whom such meeting or proceeding directly relates.
Such a request shall be granted only if the privacy rights of other
involved individuals will not be compromised thereby.
[Added 7-10-2007 by L.L. No. 2-2007]
A.
The Board shall inspect all financial disclosure statements
filed with it to ascertain whether any person subject to the reporting
requirements has failed to file such a statement, has filed a deficient
statement or has filed a statement which reveals a possible violation
of this chapter.
B.
If a person required to file a financial disclosure
statement with the Board has failed to file a disclosure statement
or has filed a deficient statement, the Board shall notify the reporting
person in writing, state the failure to file or detail the deficiency
and advise the person of the penalties for failure to comply with
the reporting requirements. The Board may, in respect to deficiency
that is not willful, provide the person with a period of time, not
to exceed 15 days, to cure the deficiency. Such notice shall be confidential.
If the person fails to make such filing or fails to cure the deficiency
within the specified time period, the Board shall send a notice of
delinquency:
[Added 7-10-2007 by L.L. No. 2-2007]
A.
If a reporting individual has filed a statement which
reveals a possible violation of this chapter, or the Board receives
a sworn complaint alleging such a violation, or if the Board determines
on its own initiative to investigate a possible violation, the Board
shall notify the reporting individual in writing, describe the possible
or alleged violation of such law and provide the person with a fifteen-day
period in which to submit a written response setting forth information
relating to the activities cited as a possible or alleged violation
of such law and provide the person with a fifteen-day period in which
to submit a written response setting forth information relating to
the activities cited as a possible or alleged violation of law. If
the Board thereafter makes a determination that further inquiry is
justified, it shall give the reporting person an opportunity to be
heard. The Board shall also inform the reporting person of its rules
regarding the conduct of adjudicatory proceedings and appeals and
the due process procedural mechanisms available to such person. If
the Board determines at any stage of the proceeding that there is
no violation or that any potential conflict of interest violation
has been rectified, it shall so advise the reporting person and the
complainant, if any. All of the foregoing proceedings shall be confidential.
C.
Such notice of reasonable cause shall specify, in
detail, the violation alleged to have occurred. The reporting person
shall be given a thirty-day period to respond to such notice, and
to request a hearing before the Board. The reporting person may be
represented by counsel at all stages of this process. Such hearing
shall be conducted pursuant to rules and regulations to be promulgated
by the Board, which rules and regulations shall be designed to ensure
that the reporting person is afforded the due process of law. Testimony
before the Board shall be under oath, where the Board shall make its
determination and assess, if appropriate, any penalty provided in
this chapter, including civil penalty and referral for prosecution.
Such determination, assessment and referral shall be open to the public.
D.
A copy of any notice of delinquency, notice of reasonable
cause, determination after hearing, notice of civil assessment or
referral for prosecution shall be included in the reporting person's
file and be available for public inspection.
[Added 7-10-2007 by L.L. No. 2-2007]
Upon written request from any person, the Board
shall render advisory opinions on the requirements of said provisions
following consultation with the Office of the Village Attorney. Advisory
opinions as to specific acts or omissions of any person subject to
the jurisdiction of the Board may only be rendered to the person whose
act or omission, or contemplated act or omission, is the subject of
the request for opinion. An opinions rendered by the Board in any
subsequent proceeding concerning the person who requested the opinion
and who acted thereon in good faith, unless material facts were omitted
or misstated by the person in the request for an opinion, may also
be relied upon by such person and may be introduced and shall be a
defense in any criminal or civil action. Such requests shall be confidential,
but the Board may publish such opinions, provided that the name of
the requesting person and other identifying details shall not be included
in the publication.
