[HISTORY: Adopted by the Board of Trustees of the Village of New
York Mills 9-9-1997. Amendments noted where applicable.]
Pursuant to the provisions of § 806 of the General Municipal
Law, the Board of Trustees of the Village of New York Mills recognizes that
there are rules of ethical conduct for public officers and employees which
must be observed if a high degree of moral conduct is to be obtained and if
public confidence is to be maintained in our unit of local government. It
is the purpose of this chapter to promulgate these rules of ethical conduct
for the officers and employees of the Village of New York Mills. These rules
shall serve as a guide for official conduct of the officers and employees
of the Village of New York Mills. The rules of ethical conduct of this chapter
as adopted shall not conflict with, but shall be in addition to any prohibition
of Article 18 of the General Municipal Law or any other general or special
law relating to ethical conduct and interest in contracts of municipal officers
and employees.[1]
[1]
Editor's Note: It is important to note from the foregoing that Codes
of Ethics may not be enacted so as to conflict with the primary provisions
of the statute relative to interests in contract and ethical conduct. A Code
of Ethics cannot increase or diminish any of the exceptions or prohibit interests
in contract or diminish the disclosure provisions.
As used in this chapter, the following terms shall have the meanings
indicated:
A direct or indirect pecuniary or material benefit accruing to a
municipal officer or employee as the result of a contract with the municipality
which such officer or employee serves. For the purposes of this chapter, a
municipal officer or employee shall be deemed to have an "interest" in the
contract of:
His spouse, minor children and dependents, except a contract of employment
with the municipality which such officer or employee serves.
A firm, partnership or association of which such officer or employee
is a member or employee.
A corporation of which such officer or employee is an officer, director
or employee.
A corporation, any stock of which is owned or controlled directly or
indirectly by such officer or employee.
An officer or employee of the Village of New York Mills, whether
paid or unpaid, including members of any administrative board, commission
or other 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.
Every officer or employee of the Village of New York Mills shall be
subject to and abide by the following standards of conduct:
A.
Gifts. He shall not directly or indirectly, solicit any
gift, or accept or receive any gift having a value of $75 or more, whether
in the form of money, services, loan, travel, entertainment, hospitality,
thing or promise, or any other form, under circumstances in which it could
reasonably be inferred that the gift was intended to influence him or could
reasonably be expected to influence him in the performance of his official
duties or was intended as a reward for any official action on his part.[1], [2]
[1]
Editor's Note: This provision is part of the statutory code, applicable
to all municipalities. [General Municipal Law § 805-a(1)]. The solicitation
of any gifts by a municipal officer or employee or the receipt by him of an
object, entertainment, or in any other form, under circumstances under which
it could reasonable be inferred that such gift was intended to or could reasonably
be expected to influence him in the performance of his official duties or
was intended to reward him there for, should be prohibited. The Village wanted
to make it clear that a solicitation of a "gift" by a municipal officer or
employee was an improper practice under all circumstances. It is important
that the prohibition of unsolicited gifts however, be limited to circumstances
related to improper influence. It is not the intent of the Village to isolate
municipal officers and employees from normal social intercourse where gifts
among friends and relatives for occasions are appropriate. The line should
be drawn, however, where the circumstances are such that the gift represents
more than mere friendship or family relationship. The Village further recommends
limiting the prohibition to avoid de minim's situations, such as subjecting
a public officer or employee for accepting a proffered cigar or permitting
himself to be out fumbled for a modest lunch check. A figure of $75 was selected
in order to draw a clear line for the guidance of such officers and employees
which is based on a similar provision in Public Officers Law § 73(5)
which applies to state officers and employees, members of the Legislature
and legislative employees. The Village feels that it is appropriate to authorize
municipalities to limit further this exception to all or certain classes of
employees or under certain circumstances.
B.
Confidential information. He shall not disclose confidential
information acquired by him in the course of his official duties or use such
information to further his personal interest.[3]
[3]
Editor's Note: This provision is part of the statutory code, applicable
to all municipalities. [General Municipal Law § 805-a(1)]. The disclosure
of confidential information acquired by an officer or employee in his official
duties or his use of this information to further personal interests should
be prohibited. The Village could see no situation where it would be proper
for a public officer or employee to betray his trust or feather his own nest
by means of confidential information received in the performance of his official
functions.
C.
Representation before one's own agency. He shall not
receive, or enter into any agreement, express or implied, for compensation
for services to be rendered in relation to any matter before any municipal
agency over which he has jurisdiction or to which he has the power to appoint
any member, officer or employee.[4]
[4]
Editor's Note: This provision is part of the statutory code, applicable
to all municipalities. [General Municipal Law § 805-a(1)]. Representation
for a fee by a municipal officer or employee before any municipal agency of
which he is an officer, member or employee, or an agency over which he has
jurisdiction or to which he has the power to appoint a member, officer or
employee should be prohibited. This prohibition would extend further than
the provision applicable to state officers or employees and legislators and
legislative employees. Without deciding the advisability of such activity
by state officers or employees or legislators or legislative employees for
noncontingent fees, as outside the scope of the inquiry of the Village it
was felt that the municipal standard should clearly be as strict as recommended
because of the close relationship and less opportunity for public scrutiny
in such situations.
D.
Representation before any agency for a contingent fee.
He shall not receive, or enter into any agreement, express or implied, for
compensation for services to be rendered in relation to any matter before
any agency of this municipality, whereby his compensation is to be dependent
or contingent upon any action by such agency with respect to such matter,
provided that this subsection shall not prohibit the fixing at any time of
fees based upon the reasonable value of the services rendered.[5]
[5]
Editor's Note: This provision is part of the statutory code, applicable
to all municipalities. [General Municipal Law § 805-a(1)]. Representation
by a municipal officer or employee of any client before any agency of this
municipality for a contingent fee should be prohibited. This recommendation
is patterned after Public Officers Law § 73 which prohibits representation
by a state officer or employee or legislator or legislative employee of a
client before any state agency for a contingent fee.
E.
Disclosure of interest in legislation. To the extent
that he knows thereof, a member of the Board of Trustees and any officer or
employee of the Village of New York Mills, whether paid or unpaid, who participates
in the discussion or gives official opinion to the Board of Trustees on any
legislation before the Board of Trustees shall publicly disclose in the official
record the nature and extent of any direct or indirect financial or other
private interest he has in such legislation.[6]
[6]
Editor's Note: Administrative Code of the City of New York, 898,I-0.
This disclosure provision is limited to any officer or employee who participates
in or gives opinions to the governing board and members of the board. This
requirement could be changed to include all municipal officers and employees
or selected groups such as legislative officers and employees. Provision for
disclosure may be broadened so as to include interest in any action of the
legislative body in addition to interest in legislation. It could also be
extended to include matters being considered by any other official board,
agency, officer or employee.
F.
Investments in conflict with official duties. He shall
not invest or hold any investment directly or indirectly in any financial,
business, commercial or other private transaction, which creates a conflict
with his official duties.[7]
[7]
Editor's Note: The subject matter of this provision is a required
part of a local code, when adopted (General Municipal Law § 806).
The language has been patterned after this existing provision in Public Officers
Law § 74(2). This regulation recognized that personal investments
may prejudice or influence official actions and decisions in addition to those
conflicts of interest that may arise as a result of a municipal contract;
i.e., a business transaction. The regulation is pertinent to the same influences
that may be considered in any rule pertinent to disclosures of interest in
legislation but is broader in that it may include administrative or ministerial
actions. The regulations may provide for a divesting of investments or for
disclosures of such investments prior to acceptance of public office or public
employment or prior to any official action that may affect such investments.
G.
Private employment. He shall not engage in, solicit,
negotiate for or promise to accept private employment or render services for
private interest when such employment or service creates a conflict with or
impairs the proper discharge of his official duties.[8]
[8]
Editor's Note: The subject matter of this provision is a required
part of a local code, when adopted (General Municipal Law § 806).
The language has been patterned after the existing provision in Public Officers
Law § 74(3,(a). A conflict between public and private employment
may be prohibited and defined, by a Code of Ethics in private employment when
the private interests being served are subject to regulation by license or
permit by the municipality or by a particular agency of the municipality.
In addition a municipal officer or employee should be prohibited from using
the powers of his official duties to obtain outside employment.
H.
Future employment. He shall not, after the termination
of service or employment with such municipality, appear before any board or
agency of the Village of New York Mills in relation to any case, proceeding
or application in which he personally participated during the period of his
service or employment of which was under his active consideration.[9]
[9]
Editor's Note: The subject matter of this provision is a required
part of a local code, when adopted (General Municipal Law § 806).
The language has been patterned after the exiting provision in Public Officers
Law § 73(7). The provision will prohibit a former officer or employee
of a municipality from appearing before a municipal board or agency on a matter
in which he personally participated while an officer or employee of the municipality.
Nothing herein shall be deemed to bar or prevent the timely filing by
a present or former municipal officer or employee or any claim, account, demand
or suit against the Village of New York Mills, or any agency thereof on behalf
of himself or any member of his family arising out of any personal injury
or property damage or for any lawful benefit authorized or permitted by law.
The Mayor of the Village of New York Mills shall cause a copy of this
Code of Ethics to be distributed to every officer and employee of the Village
within 30 days after the effective date of this chapter. Each officer and
employee elected or appointed thereafter shall be furnished a copy before
entering upon the duties of his office or employment. Failure of the Mayor
to distribute any copy of the Code of Ethics 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 the provisions thereof.
In addition to any penalty contained in any other provision of law,
any person who shall knowingly and intentionally violate any of the provision
of this Code may be fined, suspended or removed from office or employment,
as the case may be, in the manner provided by law.
This chapter shall take effect September 9, 1997.[1]
[1]
Editor's Note: A municipality, influenced by particular circumstances,
may want to regulate other official conduct. It may enact in its Code of Ethics
a prohibition of a municipal officer and employee seeking to secure special
privileges or exemptions for himself or others by interceding, in public or
private, with any municipal agency. It may also require disclosure of any
interest that may be affected by a decision of any municipal agency including
Zoning Board and Board of Appeal. Nepotism, meaning the selection of municipal
officers and employees by an appointing officer or body on the basis of relationship
rather than merit, may be regulated by a Code of Ethics. Consideration of
this regulation should include the degree of relationship and the merits,
if any, of prohibiting employment of relatives other than a spouse, minor
child or dependent. Provisions of law, such as § 3016 of the Education
Law, and the Civil Service Law as it relates to the competitive class, should
be considered. The appointee's official duties, the method of his appointment
and the fixing of his compensation are all prime factors to be considered
in reference to his relative's official duties and responsibilities and the
drafting and application of this suggested regulation.
There is hereby established a Board of Ethics consisting of three members
to be appointed by the Mayor and who shall serve without compensation and
at the pleasure of the Board of Trustees. A majority of such members shall
be persons other than officers or employees of the Village of New York Mills,
but shall include at least one member who is an elected or appointed officer
or employee of the Village of New York Mills.
The Board of Ethics shall have the powers and duties prescribed by Article
18 of the General Municipal Law and shall render advisory opinions to the
officers and employees of the Village of New York Mills with respect to Article
Eighteen of the General Municipal Law and any Code of Ethics adopted pursuant
to such article, under such rules and regulations as the Board may prescribe.
In addition, the Board may make recommendations with respect to the drafting
and adoption of a Code of Ethics or amendments thereto upon request of the
Board of Trustees.
Board of Ethics may adopt rules and regulations relative to the conduct
of its business but may only render advisory opinions subject to these limitations:
A.
Requests for opinions shall be in writing.
B.
Requests or inquiries must originate with a municipal
officer or employee.
C.
Requests or inquiries must relate to the conflict of
interest law or a Code of Ethics.
D.
A county board may not act with respect to a request
from any municipality within the county having its own Board of Ethics except
at the request of that board.
It should be noted that the law defined and qualifies any opinion rendered
by a board of ethics as "advisory" and hence not a binding determination.
This is no way minimizes the importance or potential impact of the opinion.
The opinion may have an extraordinary effect on the persons involved or may
be the subject of inordinate public attention and therefor in all instances,
must be regarded as a decision made by an impartial and objective group which
has acted only after thorough study of the law, the facts and other evidence,
including testimony when necessary of a potential violator. Board members
should be mindful that the law authorizing Boards of Ethics has as its objective
"to protect innocent public officers from unwarranted attacks on their integrity."
Rules and regulations should be adopted to govern the conduct of meetings
of a Board. These may include the following:
A.
The selection and terms of office of a Chairman and secretary
and such other officers are deemed necessary if such designations have not
been made by the governing board.
B.
The number of Board members constituting a quorum.
C.
The number of Board members necessarily in affirmative
agreement to render an opinion.
D.
The form and content of records of proceedings and other
Board records.
E.
The form and content of requests for opinions which may
include indication that certain municipal officials or employees have been
advised of such request.
G.
Distribution of opinions.
