[HISTORY: Adopted by the Board of Trustees
of the Village of Dobbs Ferry 2-8-2000 by L.L. No. 3-2000.[1] Amendments noted where applicable.]
[1]
This local law repealed the previous Village Code of Ethics,
adopted 10-6-1970.
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 the highest standards of conduct in their
official acts 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.
(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 chapter. In the event
of any conflict between the provisions of this chapter 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.
Communicate 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 Dobbs Ferry and all agencies thereof.
Any officer or employee of the Village, whether paid or unpaid,
except that no person shall be deemed to be a "Village officer or
employee" solely by reason of being a judge, justice, officer or employee
of the unified court system, or a volunteer fireman or auxiliary policeman,
or a member of or counsel to a board, committee or commission other
than the Board of Trustees, the Planning Board, the Architectural
Review Board and the Zoning Board of Appeals.
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 said 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. However,
a Village officer or employee may accept or agree to accept a gift
or gifts which would otherwise be prohibited 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, loans, travel, entertainment, hospitality, things or promises
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 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 or entity with whom the Village officer
or employee or his or her family member has an employment, professional,
business or financial relationship.
[Amended 1-23-2018 by L.L. No. 1-2018]
(f)
Any person or entity 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.
[Amended 1-23-2018 by L.L. No. 1-2018]
(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)
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.
Notwithstanding any other provision of this chapter,
members of the Village Board of Trustees and all paid Village employees,
including the Village Attorney, are prohibited from serving as a chairperson,
district leader or officer for any partisan political party which
engages in political campaigning or electioneering within the Village.
C.
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 itself.
D.
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.
E.
Nothing in this section shall be construed to prohibit
any Village officer or employee listed in § 11 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.
F.
Nothing in this section shall be construed to prohibit
a Village officer or employee from performing any ministerial act.
G.
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 a 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.
Definitions. For purposes of this section, the following
terms shall have the meanings indicated:
|
RELATED PERSON —
|
(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 or entity with whom the Village officer
or employee or his or her family member has an employment, professional,
business or financial relationship.
[Amended 1-23-2018 by L.L. No. 1-2018]
(4)
Any person or entity 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.
[Amended 1-23-2018 by L.L. No. 1-2018]
(5)
Any partnership or unincorporated association of which
the Village officer or employee is a member or in which he or she
has a proprietary interest.
[Added 1-23-2018 by L.L.
No. 1-2018]
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 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 § 40-4 of this chapter 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 Board of Trustees. The Village Clerk shall retain disclosure statements for not less than seven years from the date of filing.
A.
APPLICANT
SUBMISSION
Definitions. For purposes of this section, the following
terms shall have the meanings indicated:
Any person making a submission.
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.
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 purposes
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:
(1)
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.
(2)
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 and confirmed
by the Board of Trustees. One member of the Board shall be an elected
or appointed Village of Dobbs Ferry officer or employee. Appointments
shall be made initially for terms of one, two, three, four and five
years, with every appointment thereafter for a term of five years.
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.
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 the first meeting of the Village Ethics Board each
year, it shall elect a Chairperson 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 chapter, 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's 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
chapter 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 organization and procedures in a manner consistent
with this chapter.
(3)
To conduct hearings and recommend disciplinary action
for violations of this chapter.
(4)
To grant waivers of the recusal requirements under the circumstances described in § 40-4C of this chapter, 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 chapter, upon written request by any agency, individual Village officer or employee, or any applicant as defined in § 40-6A of this chapter.
(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 chapter.
(7)
To provide training and education to Village officers
and employees and to make information concerning this chapter 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 chapter, if any.
A.
Upon receipt of a sworn complaint by any person alleging
a violation of this chapter, or upon determining on its own initiative
that a violation of this chapter may exist, the Village Ethics Board
shall have the power and duty to conduct any investigation necessary
to carry out the provisions of this chapter. In conducting any such
investigation, the Village Ethics Board shall notify the subject or
subjects investigated, in writing, of the allegation, may administer
oaths or affirmations, call witnesses and request the production of
books and records which it may deem relevant. The subject or subjects
have a right to submit a written response during the investigation
by the Village Ethics Board.
B.
If after an investigation is conducted the Village
Ethics Board determines that charges are warranted, a private hearing
will be conducted by said Board. The subject or subjects of the charges
have a right to submit a written response and/or appear before the
Village Ethics Board with or without counsel in a private hearing
to question witnesses or challenge documentary evidence that may be
considered by the Village Ethics Board and to give any testimony or
evidence on behalf of the subject or subjects.
C.
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 chapter or any other law, it shall promptly transmit a copy of the complaint to the Mayor and Board of Trustees, who shall investigate the complaint and take appropriate remedial action should the results of their investigation so warrant. Any individual on the Village Ethics Board who is investigated will be entitled to the same protections afforded all subjects pursuant to § 40-12B.
D.
Subject to the requirements of § 40-12B, 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.
E.
The Village Ethics Board shall, with respect to every
complaint that it receives and all related deliberations, findings,
opinions, recommendations and dispositions thereof:
(1)
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.
(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.
(3)
Render a written confidential report of its findings,
opinions and recommendations, which report will be provided to the
subject of the investigation.
Any Village officer or employee who engages in any action that violates any provision of this chapter 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 § 40-12.
The Village Clerk or designee shall cause copies
of this chapter to be distributed to every Village officer and employee
and shall make a written record of same to be filed in the Village
records. He or she shall also make copies readily available to the
public. Every Village officer or employee elected, appointed or hired
thereafter shall be delivered a copy of this chapter within 10 days
after entering upon the duties of his or her position. Failure to
have been delivered a copy of this chapter shall have no effect on
the duty of compliance or the enforcement of this chapter.
This chapter shall take effect April 15, 2000.
