[HISTORY: Adopted by the Board of Trustees of the Village
of Penn Yan 11-16-2010 by L.L. No. 1-2011.[1] Amendments noted where applicable.]
GENERAL REFERENCES
Officers and employees — See Ch. 19.
[1]
Editor's Note: This local law also superseded former
Ch. 9, Ethics, which consisted of Art. I, Code of Ethics, adopted
10-5-1970 by L.L. No. 1-1970, as amended, and Art. II, Board of Ethics,
adopted 10-5-1970 by L.L. No. 2-1970.
Public officers and employees of the Village Of Penn Yan hold
their positions to serve and benefit the public, and not for obtaining
unwarranted personal or private gain in the exercise and performance
of their official powers and duties. The Board of Trustees recognizes
that, in furtherance of this fundamental principle, there is a need
for clear and reasonable standards of ethical conduct. This Code of
Ethics establishes those standards.
[Amended 3-15-2011 by L.L. No. 7-2011]
As used in this chapter, the following terms shall have the
meanings indicated:
The governing board of a municipality and any municipal administrative
board (e.g., planning board, zoning of board of appeals), commission,
or other agency or body comprised of two or more public officers or
employees.
This Code of Ethics.
A direct or indirect financial or material benefit, but does
not include any benefit arising from the provision or receipt of any
services generally available to the residents or taxpayers of the
municipality or an area of the municipality, or a lawful class of
such residents or taxpayers. A public officer or employee is deemed
to have an interest in any private organization when he or she, his
or her spouse, or a member of his or her household, is an owner, partner,
member, director, public officer, employee, or directly or indirectly
owns or controls more than 5% of the organization's outstanding
stock.
The Village of Penn Yan. The word "municipal" refers to the
municipality.
A paid or unpaid public officer or employee of the Village
of Penn Yan, including, but not limited to, the members of any municipal
board.
A spouse, parent, stepparent, sibling, stepsibling, sibling
or stepsibling's spouse, child, stepchild or household member
of a public officer or employee, and individuals having any of these
relationships to the spouse of the public officer or employee.
A duly elected or appointed Trustee of the Village of Penn
Yan.
Any active, inactive, active-honorary or other status of
voluntary firefighter membership in the Penn Yan Fire Company who
is entitled to attend and participate in Fire Company or Fire Department
events, and thereby receive any type of benefit from the Penn Yan
Fire Company, Inc., or the Penn Yan Fire Department as a result of
such membership.
This Code of Ethics applies to the public officers and employees
of the Village of Penn Yan, and shall supersede any prior municipal
Code of Ethics. The provisions of this Code of Ethics shall apply
in addition to all applicable State and local laws relating to conflicts
of interest and ethics including, but not limited to, Article 18 of
the General Municipal Law of the State of New York and all rules,
regulations, policies and procedures of the Village of Penn Yan.
No public officer or employee shall use his or her municipal
position or official powers and duties to secure a financial or material
benefit for himself or herself, a relative, or any private organization
in which he or she is deemed to have an interest.
A.
Whenever
a matter requiring the exercise of discretion comes before a public
officer or employee, either individually or as a member of a board,
and disposition of the matter could result in a direct or indirect
financial or material benefit to himself or herself, a relative, or
any private organization in which he or she is deemed to have an interest,
the public officer or employee shall disclose in writing, or verbally
on the record of a public meeting, which disclosure shall be recorded
in the formal minutes thereof, the nature of the interest.
B.
The
disclosure shall be made when the matter requiring disclosure first
comes before the public officer or employee, or when the public officer
or employee first acquires knowledge of the interest requiring disclosure,
whichever is earlier.
C.
In
the case of a person serving in an elective office, the disclosure
shall be filed with the governing board of the municipality. In all
other cases, the disclosure shall be filed with the person's
supervisor or, if the person does not have a supervisor, the disclosure
shall be filed with the Village Clerk/Treasurer. In addition, in the
case of a person serving on a municipal board, a copy of the disclosure
shall be filed with the board. Any disclosure made to a board shall
be made publicly at a meeting of the board and must be included in
the minutes of the meeting.
A.
No
public officer or employee may participate in any decision or take
any official action with respect to any matter requiring the exercise
of discretion, including discussing the matter and voting on it, when
he or she knows or has reason to know that the action could confer
a direct or indirect financial or material benefit on himself or herself,
a relative, or any private organization in which he or she is deemed
to have an interest.
B.
In
the event that this section prohibits a public officer or employee
from exercising or performing a power or duty:
(1)
If the power or duty is vested in a public officer as a member of
a board, then the power or duty shall be exercised or performed by
the other members of the board; or
(2)
If the power or duty that is vested in a public officer individually,
then the power or duty shall be exercised or performed by his or her
deputy or, if the public officer does not have a deputy, the power
or duty shall be performed by another person to whom the public officer
may lawfully delegate the function.
(3)
If the power or duty is vested in a municipal employee, he or she
must refer the matter to his or her immediate supervisor, and the
immediate supervisor shall designate another person to exercise or
perform the power or duty.
[Amended 3-15-2011 by L.L. No. 7-2011]
A.
This Code's prohibition on use of a municipal position (§ 9-4), disclosure requirements (§ 9-5), and requirements relating to recusal and abstention (§ 9-6) shall not apply with respect to the following matters:
B.
Recusal
and abstention shall not be required with respect to any matter:
(1)
Which comes before a board when a majority of the board's total membership would otherwise be prohibited from acting by § 9-6 of this code;
(2)
Which comes before a public officer when the public officer would be prohibited from acting by § 9-6 of this code and the matter cannot be lawfully delegated to another person.
(3)
By any trustee on matters related to the Penn Yan Fire Department
and/or the Penn Yan Fire Company, Inc., shall not be required by a
Trustee solely as a result of such Trustee being a volunteer firefighter
member of the Penn Yan Fire Company, Inc.
A.
No
public officer or employee may acquire the following investments:
B.
This
section does not prohibit a public officer or employee from acquiring
any other investments or the following assets:
(1)
Real property located within the municipality and used as his or
her personal residence;
(2)
Less than 5% of the stock of a publicly traded corporation; or
(3)
Bonds or notes issued by the municipality and acquired more than
one year after the date on which the bonds or notes were originally
issued.
No public officer or employee, during his or her tenure as a
public officer or employee, may engage in any private employment,
including the rendition of any business, commercial, professional
or other types of services, when the employment:
A.
Can be reasonably expected to require more than sporadic recusal and abstention pursuant to § 9-6 of this code;
B.
Can
be reasonably expected to require disclosure or use of confidential
information gained by reason of serving as a public officer or employee;
C.
Violates
§ 805-a(1)(c) or (d) of the General Municipal Law; or
D.
Requires
representation of a person or organization other than the municipality
in connection with litigation, negotiations or any other matter to
which the municipality is a party.
A.
No public officer or employee may ask for, pursue or accept a private
post-government employment opportunity with any person or organization
that has a matter requiring the exercise of discretion pending before
the public officer or employee, either individually or as a member
of a board, while the matter is pending or within the 30 days following
final disposition of the matter.
B.
No public officer or employee, for the two-year period after serving
as a public officer or employee, may represent or render services
to a private person or organization in connection with any matter
involving the exercise of discretion before the public office, board,
department or comparable organizational unit for which he or she serves.
C.
No public officer or employee, at any time after serving as a public
officer or employee, may represent or render services to a private
person or organization in connection with any particular transaction
in which he or she personally and substantially participated while
serving as a public officer or employee.
This code shall not be construed as prohibiting a public officer
or employee from:
A.
Municipal resources shall be used for lawful municipal purposes.
Municipal resources include, but are not limited to, municipal personnel,
and the municipality's money, vehicles, equipment, materials,
supplies or other property.
B.
No public officer or employee may use or permit the use of municipal
resources for personal or private purposes, but this provision shall
not be construed as prohibiting:
(1)
Any use of municipal resources authorized by law or municipal policy;
(2)
The use of municipal resources for personal or private purposes when
provided to a public officer or employee as part of his or her compensation;
or
(3)
The occasional and incidental use during the business day of municipal
telephones and computers for necessary personal matters such as family
care and changes in work schedule.
C.
No public officer or employee shall cause the municipality to spend
more than is reasonably necessary for transportation, meals or lodging
in connection with official travel.
A.
No public officer or employee may have an interest in a contract
that is prohibited by § 801 of the General Municipal Law.
B.
Every public officer and employee shall disclose interests in contracts
with the municipality at the time and in the manner required by § 803
of the General Municipal Law.
Except as otherwise required by law:
A.
No public officer or employee, either individually or as a member
of a board, may participate in any decision specifically to appoint,
hire, promote, discipline or discharge a relative for any position
at, for or within the municipality or a municipal board.
B.
Unless unanimously approved by the Board of Trustees at the time
of appointment to a position, no public officer or employee may supervise
a relative in the performance of the relative's official powers
or duties. In those cases where the Board of Trustees has approved
a public officer or employee to supervise a relative, said public
officer or employee shall not be permitted to write or approve the
relative's performance evaluation. The relative's performance
evaluation shall be written and approved by said public officer's
or employee's immediate supervisor.
A.
No public officer or employee shall directly or indirectly compel
or induce a subordinate public officer or employee to make, or promise
to make, any political contribution, whether by gift of money, service
or other thing of value.
B.
No public officer or employee may act or decline to act in relation
to appointing, hiring or promoting, discharging, disciplining, or
in any manner changing the official rank, status or compensation of
any public officer or employee, or an applicant for a position as
a public officer or employee, on the basis of the giving or withholding
or neglecting to make any contribution of money or service or any
other valuable thing for any political purpose.
No public officer or employee who acquires confidential information
in the course of exercising or performing his or her official powers
or duties may disclose or use such information unless the disclosure
or use is required by law or in the course of exercising or performing
his or her official powers and duties. No public officer or employee
may disclose any information obtained during any duly held executive
session of any board or committee of the Village of Penn Yan.
A.
No public officer or employee shall solicit, accept or receive a
gift in violation of § 805-a(1)(a) of the General Municipal
Law as interpreted in this section.
B.
No public officer or employee may directly or indirectly solicit
any gift.
C.
No public officer or employee may accept or receive any gift, or
multiple gifts from the same donor, having an annual aggregate value
of $50 or more when:
(1)
The gift reasonably appears to be intended to influence the public
officer or employee in the exercise or performance of his or her official
powers or duties;
(2)
The gift could reasonably be expected to influence the public officer
or employee in the exercise or performance of his or her official
powers or duties; or
(3)
The gift is intended as a reward for any official action on the part
of the public officer or employee.
D.
For purposes of this section, a "gift" includes anything of value,
whether in the form of money, service, loan, travel, entertainment,
hospitality, thing or promise, or in any other form. The value of
a gift is the gift's fair market value, determined by the retail
cost of the item or a comparable item. The fair market value of a
ticket entitling the holder to food, refreshments, entertainment,
or any other benefit is the face value of the ticket, or the actual
cost to the donor, whichever is greater. Determination of whether
multiple gifts from a single donor exceed $75 must be made by adding
together the value of all gifts received from the donor by an public
officer or employee during the twelve-month period preceding the receipt
of the most recent gift.
E.
Presumptions.
(1)
A gift to a public officer or employee is presumed to be intended
to influence the exercise or performance of his or her official powers
or duties when the gift is from a private person or organization that
seeks municipal action involving the exercise of discretion by or
with the participation of the public officer or employee.
(2)
A gift to a public officer or employee is presumed to be intended
as a reward for official action when the gift is from a private person
or organization that has obtained municipal action involving the exercise
of discretion by or with the participation of the public officer or
employee during the preceding twelve months.
F.
This section does not prohibit any other gift, including:
(1)
Gifts made to the municipality;
(2)
Gifts from a person with a family or personal relationship with the
public officer or employee when the circumstances make it clear that
the personal relationship, rather than the recipient's status
as a public officer or employee, is the primary motivating factor
for the gift;
(3)
Gifts given on special occasions, such as marriage, illness, or retirement,
which are modest, reasonable and customary;
(4)
Unsolicited advertising or promotional material of little intrinsic
value, such as pens, pencils, note pads, and calendars;
(5)
Awards and plaques having a value of $75 or less which are publicly
presented in recognition of service as a public officer or employee,
or other service to the community; or
(6)
Meals and refreshments provided when a public officer or employee
is a speaker or participant at a job-related professional or educational
conference or program and the meals and refreshments are made available
to all participants.
A.
There is hereby established a Board of Ethics for the Village of
Penn Yan. The Board of Ethics shall consist of three members, a majority
of whom shall not be public officers or employees of the municipality,
but at least one of whom must be a public officer or employee. The
members of such Board of Ethics shall be appointed by the Board of
Trustees, serve at the pleasure of the appointing authority, and receive
no salary or compensation for their services as members of the Board
of Ethics.
B.
The Board of Ethics shall render advisory opinions to the public
officers and employees of the Village of Penn Yan with respect to
Article 18 of the General Municipal Law and this code. Such advisory
opinions must be rendered pursuant to the written request of any such
public officer or employee under such rules and regulations as the
Board of Ethics may prescribe. The Board of Ethics shall have the
advice of legal counsel employed by the Board, or if none, the municipality's
legal counsel. In addition, the Board of Ethics may make recommendations
with respect to the drafting and adoption of a Code of Ethics, or
amendments thereto, upon the request of the Board of Trustees.
A.
The Mayor must promptly cause a copy of this code, and a copy of
any amendment to this code, to be posted publicly and conspicuously
in each building under the municipality's control. The code must
be posted within ten days following the date on which the code takes
effect. An amendment to the Code must be posted within 10 days following
the date on which the amendment takes effect.
B.
The Mayor must promptly cause a copy of this code, including any
amendments to the code, to be distributed to every person who is or
becomes an public officer and employee of the Village of Penn Yan.
C.
Every public officer or employee who receives a copy of this code
or an amendment to the code must acknowledge such receipt in writing.
Such acknowledgments must be filed with the Clerk of the Village of
Penn Yan who must maintain such acknowledgments as a public record.
D.
The failure to post this code or an amendment to the code does not
affect either the applicability or enforceability of the code or the
amendment. The failure of a public officer or employee to receive
a copy of this Code of Ethics or an amendment to the code, or to acknowledge
receipt thereof in writing, does not affect either the applicability
or enforceability of the code or amendment to the code.
Any public officer or employee who violates this code may be
censured, fined, suspended or removed from office or employment in
the manner provided by law.
