[Added 11-8-2005 by L.L. No. 10-2005[1]]
[1]
Editor's Note: This local law was approved at referendum 11-8-2005.
This local law and article of the Charter of the City of Yonkers
may be cited as the "Ethics Law of the City of Yonkers" or the "Code
of Ethics."
The purposes of the Code of Ethics are:
A.
to establish high standards of ethical conduct for City officers
and employees and to prohibit acts incompatible with the public interest;
B.
to provide City officers and employees clear guidance on such ethical
standards;
C.
to prevent unethical conduct before it occurs by providing education
and training;
D.
to promote public confidence in the integrity of the governance and
administration of the City, including but not limited to its boards,
agencies and administrative offices;
E.
to require reasonable public disclosure of financial interests that
may influence or be perceived to influence the actions of City officers
and employees, so that consideration of potential ethical problems
can be addressed before they arise, so that suspicion by the public
of the administration of government is minimized, and so that public
accountability is maximized; and
F.
to provide for the fair and effective administration of the Codes
of Ethics.
A.
To the extent that this article is inconsistent with the provisions
of Section 808 of the General Municipal Law, this article shall supersede
such provisions.
B.
Chapter 7 of the Code of the City of Yonkers, being General Ordinance
No. 7-1990, as recodified by Local Law 5-1995, is hereby repealed.
When used in the Code of Ethics, the following terms shall have
the following meanings:
A.
"appear" and "appear before" shall mean communicating in any form,
including, without limitation, personally, through another person,
by letter or other writing, or by telephone.
B.
"Candidate" shall mean an individual who is on the ballot as a candidate
for a federal, state or local elective office or who seeks election
to any such office as a write-in candidate.
C.
"Candidate for City elective office" shall mean a candidate for the
position of Mayor, City Council President, or City Councilmember.
D.
"City" shall mean the City of Yonkers, but shall not include the
Yonkers City Court.
E.
"City officer or employee" shall mean any elected or appointed officer
or employee of the City, whether paid or unpaid, and includes, but
is not limited to, all members of any office, board, body, advisory
board, council, commission, agency, department, bureau, division,
or committee of the City. "City officer or employee" shall exclude:
1.
a judge, justice, or employee of the unified court system; and
2.
a member of an advisory board of the City if, but only if, the advisory
board has no authority or power to implement its recommendations or
to act on behalf of the City or to restrict the authority of the City
to act. No entity established pursuant to the New York State General
Municipal Law shall be deemed an advisory board for purposes of the
Code of Ethics.
F.
"customer or client" means:
1.
any person to whom a City officer or employee has supplied goods
or services during the previous twelve (12) months having, in the
aggregate, a value greater than two thousand five hundred dollars
($2500.); or
2.
any person to whom a City officer's or employee's outside employer
or business has supplied goods or services during the previous twelve
(12) months having, in the aggregate, a value greater than two thousand
five hundred dollars ($2500.), but only if the City officer or employee
knows or has reason to know the outside employer or business supplied
such goods or services.
G.
"Ethics Board" shall mean the Ethics Board of the City of Yonkers.
H.
"ethics violation" shall mean a violation of this Ethics Code or
Article 18 of the General Municipal Law.
I.
"financial benefit" shall mean any pecuniary or material benefit
including but not limited to any money, stock, security, service,
license, permit, contract, authorization, loan, travel, entertainment,
discount not available to the general public, real or personal property,
or anything of value.
J.
"gift" shall mean a financial benefit that is given to a person without
receipt or promise of any significant consideration or financial benefit
in return.
K.
"household member" or "member of household" shall mean any person
with whom a City officer or employee lives as a single household unit.
M.
"ministerial act" means an action performed in a prescribed manner
without the exercise of judgment or discretion as to the propriety
of the act.
N.
"outside employer or business" shall mean:
1.
any person from whom or from which a City officer or employee receives
a financial benefit for services rendered or goods sold or produced;
2.
any business in which the City officer or employee has an ownership
interest of five percent (5%) or more;
3.
any business in which the City officer or employee has an ownership
interest which has a value in excess of fifty thousand dollars ($50,000.);
or
4.
any business corporation for which the City officer or employee is
an uncompensated member of the board of directors or is an uncompensated
corporate officer.
O.
"person" shall mean an individual, all forms of business organizations,
and all forms of not-for-profit entities. The City and other governmental
entities are not persons as defined herein.
P.
"political campaign activity" shall mean canvassing, campaigning,
gathering petition signatures, distributing campaign literature, fundraising,
electioneering, speaking on behalf of a candidate, and any other act
or activity intended to cause a candidate to win any election.
Q.
"political committee" shall have the meaning set forth in Section
14-100 of the New York State Election Law.
R.
"relative" means a spouse, child, step-child, sibling, half-brother,
half-sister, parent, step-father, step-mother, mother-in-law, father-in-law,
brother-in-law, sister-in-law, grandparent, grandchild, uncle, aunt,
niece, nephew, and first cousin. "Relative" shall also include any
person claimed as a dependent on the New York State individual tax
return of a City officer or employee. "Close relative" means a spouse,
child, step-child, sibling, half-brother, half-sister, parent, step-father,
and step-mother.
S.
"subordinate" of a City officer or employee shall mean another City
officer or employee that he or she has the power to hire, fire or
discipline, or over whose activities he or she has the power to direct,
supervise or control. Subordinates shall not include those who serve
in positions that are classified as "exempt" or "unclassified" under
the New York State Civil Service Law for purposes of the Ethics Code.
T.
"superior" shall mean a City officer or employee who has the power
to hire, fire, discipline, direct, supervise or control a subordinate.
The following are not prohibited by the City Code of Ethics,
nor shall the following require the recusal of or disclosure by any
City officer or employee:
A.
an action specifically authorized or mandated by statute, regulation,
or rule of the State of New York or the United States;
B.
a ministerial act;
C.
financial benefits having a value of fifty dollars ($50) or less
that are received by a City officer or employee listed in Section
11 of the New York State Domestic Relations Law for the solemnization
of a marriage by that officer or employee at a place other than his
or her normal public place of business or at a time other than his
or her normal hours of business;
D.
public awards from charitable organizations;
E.
receipt of City services or benefits or use of City facilities, that
are generally available on the same terms and conditions to the general
public, residents of the City, or a class of residents in the City;
F.
representation of constituents by elected officials without compensation
in matters of public advocacy;
G.
appearances by a former City officer or employee before the Yonkers
City Court.
A.
A City officer or employee shall not use his or her official position
or office, or take or fail to take any action, in a manner which he
or she knows or has reason to know may result in a financial benefit
for:
B.
All City officers and employees shall comply with Sections 801 and
802 of the New York State General Municipal Law.
C.
No City officer or employee shall use or permit the use for non-municipal
purposes of City property, including but not limited to vehicles,
equipment, or materials. Nothing herein shall preclude the incidental
use of City property for private purposes if such use is principally
for the benefit of the City and is pursuant to a previously established
written City policy established by the Mayor or enunciated in a collective
bargaining agreement.
D.
No City elected official shall enter into any business relationship
with any City officer or employee, and no City officer or employee
shall enter into any business relationship with that individual's
subordinate, if such business relationship would be an outside employer
or business as to any one of them.
E.
No City officer or employee may appoint a household member or relative
to a compensated position under his or her supervision or control
or supervise such an individual. Nothing in this subsection shall
be construed to prohibit such a household member or close relative
from being employed in a position subject to and pursuant to the provisions
of a collective bargaining agreement or the New York State Civil Service
Law.
A.
Except as provided in Subsection B, a City officer or employee shall not accept, or directly or indirectly solicit, a financial benefit or gift:
1.
under circumstances from which it could reasonably be inferred that
the financial benefit or gift is intended to influence the City officer
or employee in the performance of his or her duties;
2.
under circumstances which would create an appearance of impropriety;
or
3.
from any person who received any financial benefit from an action
or failure to act by that City officer or employee within the previous
twelve (12) months.
B.
The following are exceptions to the prohibitions set forth in Subsection A of this section:
1.
one or more gifts to a City officer or employee from the same person
that do not in the aggregate exceed two hundred dollars ($200.) in
any 12 month period.
2.
a gift accepted by a City officer or employee on behalf of the City
and transferred to the City.
3.
a gift of any amount received by a City officer or employee from
his or her close relative under circumstances that make it clear that
it is the familial relationship rather than the recipient's office
or position that is the primary motivating factor.
4.
lawful political campaign contributions to a candidate for any City
elective office.
A.
A City officer or employee shall not represent any other person in
any matter before the City, nor represent another person in any matter
against the interests of the City.
B.
No City officer or employee shall give paid opinion evidence as an
expert witness adverse to the position of the City in any civil litigation
involving the City.
C.
Nothing herein shall prohibit the corporation counsel or any counsel
to a City elected official from appearing in litigation on behalf
of a City elected official who is a party to litigation in his or
her official capacity as a City elected official.
A.
A City officer or employee shall not appear before any agency of
the City except on his or her own behalf or on behalf of the City.
B.
The outside employer or business of a City officer or employee may
appear on its own behalf before the City, but shall not appear on
behalf of any other person:
1.
before the particular agency, board, commission, or other specific
part of the City government at which the City officer or employee
serves or is employed; or
C.
Nothing in Subsection B shall:
1.
be construed to eliminate the need for transactional disclosure and
recusal by any City officer or employee;
2.
be applicable to a ministerial act; or
3.
be applicable to receipt of a City service or benefit, or use of
a City facility, which is generally available to the public on the
same terms and conditions as available to residents or a class of
residents in the City
A.
Except as otherwise provided in this section, a City officer or employee
shall not appear before the City on behalf of another person for a
period of one (1) year after the completion of his or her City service
or employment. This Subsection shall not prohibit a City officer or
employee from being elected to a City office, being appointed to any
City board or commission, being hired as a City officer or employee,
or being paid by the City to appear as a witness in any proceeding
on behalf of the City.
B.
The prohibition set forth in Subsection A shall be permanent as to particular matters on which the City officer or employee personally worked while a City officer or employee. A City officer or employee personally works on a matter when that City officer or employee is substantially involved with the matter or personally supervises or directs how the matter is to be handled.
C.
No City officer or employee shall solicit or accept a position of
employment after termination of City service from any person who received
any financial benefit from an action or failure to act by that City
officer or employee within the prior one (1) year.
D.
Nothing herein shall prevent a City officer or employee from working
for a federal, state or local government body or agency and, in that
capacity, appearing before the City at any time after the completion
of City service.
A City officer or employee shall not knowingly acquire, solicit,
negotiate for, or accept any financial benefit or gift that would
constitute an ethics violation.
Current and former City officers and employees shall not disclose
any confidential information or use it to further their own, or any
person's, interests.
A.
No City officer or employee shall have an interest in a contract
with the City, or an interest in a bank or trust company, that is
prohibited by Section 801 of the New York State General Municipal
Law. Any contract willfully entered into by or with the City in which
there is an interest prohibited by that section shall be null, void
and wholly unenforceable, to the extent provided by Section 804 of
the General Municipal Law.
B.
Any City officer or employee who has, will have, or later acquires
an interest in any actual or potential contract with the City shall
publicly disclose the nature and extent of that interest in accordance
with Section 803 of the General Municipal Law. The disclosure shall
be filed with the Ethics Board and the City Clerk.
C.
Any City officer or employee who willfully and knowingly violates
the provisions of this section shall be guilty of a misdemeanor, to
the extent provided by Section 805 of the General Municipal Law.
A.
No candidate for any elected office of the City and no City officer
or employee shall knowingly request, or knowingly authorize any person
to request, that any of the following persons participate in any political
campaign activity in connection with any campaign for City elected
office:
1.
a City officer or employee; or
2.
any person who has received a financial benefit from the City within
the prior twelve (12) months, including but not limited to persons
that have contracts to supply goods or services to the City. Nothing
in this subsection shall require that individual names of City officers
and employees be deleted from general mailing lists soliciting campaign
contributions from City residents, generally, or by geographic area.
B.
Public disclosure is required when a person, who has made campaign
contributions to a City officer or employee in the prior twelve (12)
months that exceed in the aggregate a total of five thousand dollars
($5,000.), requests that such City officer or employee act or refrain
from acting in a manner that would cause the person to receive a financial
benefit. Both the person making the request and the City officer or
employee shall publicly disclose the fact that such campaign contributions
had been made. The disclosure shall be made in writing and shall be
retained in the official records of the body, official or employee
to whom the request has been made, as well as in the records of the
Ethics Board. Nothing herein shall require recusal by the City officer
or employee; solely disclosure. The requirements of this subsection
shall be applicable whether or not the City official or employee was
a victorious or defeated candidate and whether the City officer or
employee was a candidate for City elected office or for another elected
office.
C.
No City officer or employee shall engage in any political campaign
activity during times when that person is working on City business.
D.
No City officer or employee shall solicit any subordinate to engage
in political campaign activity on behalf of any candidate for any
elected office, including but not limited to City elected office.
E.
No City officer or employee shall wear any City of Yonkers uniform
or insignia when engaged in any political campaign activity. Nothing
herein shall prevent a City officer or employee from wearing a City
of Yonkers uniform or insignia when performing official duties on
behalf of the City in conjunction with any election. Nothing herein
shall prevent an incumbent City elected official from identifying
himself or herself by any official Yonkers insignia designating that
official's elected office.
F.
Nothing herein shall prevent any City officer or employee from voluntarily:
engaging in any political campaign activity, voting, making a campaign
contribution, engaging in free speech, assembling for political purposes,
or engaging in other acts not prohibited by this section.
A.
Any City officer or employee in the unclassified or exempt classes
under the New York Civil Service Law shall automatically be deemed
to have resigned from his or her position as a City officer or employee
as of the date that he or she accepts the appointment, either by taking
the oath of office or assuming the duties, as a member of any one
of the following boards or commissions:
B.
The automatic resignation required in Subsection A shall not apply to:
1.
a City officer or employee who is authorized in any statute, the
Yonkers City Charter, or the City Code to be appointed as a member
of a City board or commission; including but not limited to the Board
of Contract and Supply;
2.
any individual serving on the City of Yonkers Board of Education
as of the effective date of this Article, nor through the remainder
of that individual's unexpired term of office on the Board of Education;
or
3.
any individual who is serving on a City board or commission as of
the effective date of this Article and who resigns from the City board
or commission within thirty (30) days after the effective date of
this Article.
No person shall induce any other person to violate, attempt
to induce any other person to violate, or aid any other person in
violating, any provision of the Code of Ethics.
A.
No City officer or employee shall retaliate against any City officer
or employee or other person for submitting a complaint to the Ethics
Board or for acting, or refusing to act, as required by the Ethics
Code and Article 18 of the General Municipal Law.
C.
In resolving a complaint that a City officer or employee has violated
this section, the Ethics Board may recommend that a retaliatory personnel
action be reversed.
A.
A City officer or employee shall immediately recuse himself or herself from formally or informally acting on a matter before the City when acting on the matter, or failing to act on the matter, may financially benefit any of the persons listed in Section C1A-6A.
B.
A City officer or employee that has recused himself or herself shall
not participate in any aspect of the matter, including but not limited
to discussions or debate, rendering advice, voting, deciding to take
action or deciding not to act, and attempting to influence others
to act or not to act.
C.
A City officer or employee that has recused himself or herself shall:
1.
promptly inform his or her superior, if any; and
2.
execute a signed statement disclosing the reason for recusal, which
shall be filed both with the Ethics Board and in the records of the
matter; or, if a member of a board, commission, or similar entity,
state such information upon the public record of the board and cause
the minutes of the meeting to include such disclosure.
A.
When a person requests that the City or a City officer or employee act or refrain from acting, in any capacity other than a ministerial act, then the person making such a request shall disclose the name of any City officer, employee, or any person listed in Section C1A-6A who could financially benefit if the request is granted and who is reasonably known at the time the request is made or that becomes known thereafter.
B.
The disclosure shall be made in writing and shall be retained in
the official records of the body, official or employee to whom the
request has been made, as well as in the records of the Ethics Board.
A.
Every application, petition, or request submitted for a change of
zoning; zoning amendment; subdivision approval; site plan approval;
special permit; variance; waiver or modification any land use law
or regulation; exemption from a plat or official map, license or permit;
or other approval or action of any type pursuant to the provisions
of any ordinance, local law, rule or regulation constituting the zoning,
planning and land use regulations of the City, shall state the information
required, to the extent required, by Section 809 of the New York State
General Municipal Law.
B.
Any person who willfully and knowingly violates the provisions of
this section shall be guilty of a misdemeanor, to the extent provided
by Section 809 of the General Municipal Law.
If a City officer or employee issues an official opinion or
participates in the public discussion or public hearing on any proposed
legislation, then the City officer or employee shall publicly disclose
on the official record the nature and extent of any interest the City
officer or employee has in the proposed legislation. Such disclosure
shall be filed in the office of the City Clerk and with the Ethics
Board.
A.
The following City officers and employees holding the following job
titles or descriptions shall be required to file a signed annual disclosure
statement:
1.
the Mayor, City Council President, and City Councilmembers;
2.
deputy mayor and Mayor's chief-of-staff, if any;
3.
commissioners, department, and bureau heads, as well as their principal
deputies;
4.
inspection personnel;
5.
members of appointed boards, except advisory boards; and
6.
all other City officers and employees who exercise substantial discretionary
authority, as designated by either the Mayor or by rule of the Ethics
Board.
B.
The Mayor shall cause the annual disclosure statement form to be
distributed to all City officers and employees who must file the statement
not later than April 1st.
C.
Annual disclosure statements shall be filed with the Ethics Board
not later than May 15th of each year. If an individual receives an
automatic extension of time to his or her federal income tax return,
then the individual shall so indicate on their annual disclosure statement
and may, within ten (10) days after the expiration of the extension,
supplement the annual disclosure statement without any penalty for
late filing. If a board, commission, or similar appointed entity comes
into existence after May 15th, then the first annual statement shall
be filed by its members within fifteen (15) days of its first meeting.
If a City officer or employee who must file an annual disclosure is
newly hired or appointed after May 15th, then the first annual statement
shall be filed within fifteen (15) days of that individual commencing
City service. Any material changes to the information reported in
the annual disclosure statement shall be reported to the Ethics Board
in a written amendment to the disclosure statement by the filer within
thirty (30) days of the change.
D.
The Ethics Board shall review the filed annual disclosure statements
to assure that they comply with the Ethics Code and the General Municipal
Law.
E.
The annual disclosure statements shall be kept confidential to the
maximum extent allowed by law. If the annual disclosure statement
of any City officer or employee is requested via a properly submitted
request under the freedom of information law, then the City officer
or employee shall be given sufficient opportunity to request the Ethics
Board or the City's Freedom of Information Officer to redact whatever
information is not subject to public access under the law. Nothing
herein shall be deemed to be a waiver of the Freedom of Information
Law or the privacy and confidentiality protections set forth therein.
F.
If a City officer or employee has not filed an annual disclosure
statement on time, then the Ethics Board shall notify that individual
and direct that the individual file an annual disclosure within seven
(7) days. If the annual disclosure statement is filed within that
seven (7) day period, then there shall be no penalty for late filing.
Otherwise, failure to timely file an annual disclosure statement shall
be an ethics violation.
G.
The Ethics Board shall promulgate an annual disclosure form that
shall require the following information from the disclosing City officer
or employee to be submitted in writing and signed under oath:
1.
the disclosing City officer or employee's name, home address, and
home telephone.
2.
that disclosing City officer or employee's position with the City.
5.
whether each outside employer or business disclosed in response to
Paragraph 4 of this subsection has within the prior year received
or solicited a financial benefit from the City, or appeared before
the City on behalf of another person, and, if so, the nature of such
activities or matters.
6.
whether the disclosing City officer or employee has entered into
an agreement or made a promise concerning future employment after
leaving City service or employment, and, if so, the complete details
thereof.
7.
identification of all real estate in the City of Yonkers owned by
the disclosing City officer or employee or that individual's spouse,
household members, or children.
8.
identification of all loans in excess of one thousand dollars ($1,000.)
made to the disclosing City officer or employee or that individual's
spouse, household members, or children.
9.
identification of an interest in excess of one thousand dollars ($1,000.)
of the disclosing City officer or employee in any trust or estate;
10.
identification of gifts in excess of two hundred dollars ($200.) received by the disclosing City officer or employee within the prior year, except for those gifts enumerated in Section C1A-7B.
11.
identification of any interest in any contract involving the City
held by the disclosing City officer or employee or that individual's
spouse, household members, or children.
12.
identification of any positions held by the disclosing City officer
or employee within the prior five years as an officer of any political
party or political committee.
13.
identification of any relative of the disclosing City officer or
employee who is a City officer or employee and the department within
which he or she is employed.
14.
identification of any customer or client of the disclosing City officer
or employee or that individual's outside employer or business, who
is known to have received or solicited a financial benefit from the
City within the prior year or appeared before the City on behalf of
another person within the prior year.
A.
There is hereby established an Ethics Board that shall consist of
seven (7) members. Any prior Ethics Board shall cease to function
as of January 1, 2006 and all records and files of the prior Ethics
Board shall be transferred to the Ethics Board established herein.
B.
The following are the composition of the Ethics Board, the members'
terms of office, and their qualifications:
1.
There shall be a chairperson who shall be appointed for a term of
five years. The other six members of the Ethics Board shall be appointed
for a term of three years. In order to stagger the terms, the initial
appointments made following the effective date of this Article shall
be as follows: two members shall be appointed for a three year term,
two members shall be appointed for a two year term, and two members
shall be appointed for a one year term. The terms of office of the
Ethics Board chairperson and all members shall commence on January
1st and expire on December 31st.
2.
All members of the Ethics Board must be qualified electors and residents
of the City of Yonkers.
3.
Notwithstanding Section C1A-15, one member of the Ethics Board may be an employee of the City who is employed in a position that is not classified as exempt or unclassified under the New York Civil Service Law. Nothing herein shall require the Ethics Board Appointing Committee to appoint a City employee to the Ethics Board.
4.
No more than three members of the Ethics Board shall be registered
as members of the same political party. No individual who holds an
office in any political party shall be appointed to the Ethics Board.
C.
All members of the Ethics Board shall be appointed by the Ethics
Board Appointing Committee which shall consist of: the Mayor, the
Presiding Judge of the Yonkers City Court, and the City Council President.
A vote by a majority of all of the members of the Ethics Board Appointing
Committee shall be necessary to appoint an individual to the Ethics
Board. Initial appointments to the Ethics Board shall be made prior
to December 31, 2005.
D.
The members of the Ethics Board shall not receive compensation but
shall be reimbursed for reasonable expenses incurred in the performance
of their official duties.
E.
No person while a member of the Ethics Board shall:
1.
hold a public office;
2.
be a candidate for any City elected office;
3.
participate, other than to vote or make a lawful campaign contribution,
in any political campaign for any candidate for City elected office,
including but not limited to hold any political party office; or
4.
appear before the City on behalf of any other person.
A.
A member of the Ethics Board shall be deemed to have automatically
resigned, and his or her office as a member of the Ethics Board shall
automatically be deemed vacant, if that member:
1.
ceases to maintain the qualifications enumerated in Section C1A-23, including but not limited to City residency; or
2.
has unexcused absences for three consecutive meetings of the Ethics
Board or three out of any five consecutive meetings of the Ethics
Board. Absences may be excused only by a vote of four of the other
six members of the Ethics Board.
B.
An Ethics Board member may be removed from office for cause, including
substantial neglect of duty, misconduct in office, inability to discharge
the powers or duties of office, or violation of this Article. Removal
shall be by vote of a majority of all of the members of the Ethics
Board Appointing Committee, after written notice to the Ethics Board
member and an opportunity to be heard.
C.
The Ethics Board Appointing Committee shall fill any vacancy on the
Ethics Board within thirty (30) days by appointing an individual to
fill the unexpired term of office.
A.
The Ethics Board shall meet no less than once every three (3) months
and more often, as necessary.
B.
A majority of all of the members of the Ethics Board shall constitute
a quorum.
C.
A majority vote by all of the members of the Ethics Board shall be
required for actions other than simple procedural motions, such as
a motion to adjourn a meeting, or to table a matter. An affirmative
vote by a majority of all of the members of the Ethics Board shall
be necessary to adopt a rule; issue an advisory opinion; commence
an investigation; issue a subpoena; conduct a hearing; commence an
administrative enforcement proceeding; assess a penalty; recommend
appropriate enforcement action regarding violations of the Ethics
Code; appoint special counsel; or grant a waiver of compliance with
the Ethics Code.
A.
The Ethics Board may only act with respect to matters that are covered
by the Ethics Code and Article 18 of the General Municipal Law.
B.
The termination of a City officer's or employee's term of office
or employment with the City shall not deprive the Ethics Board of
the power to act with respect to any matter covered by the Ethics
Code or Article 18 of the GML.
C.
The Ethics Board shall have the following powers and duties:
1.
to prescribe and promulgate rules and regulations governing its own
procedures and to further the purposes of this Article and Article
18 of the General Municipal law.
3.
to undertake investigations of complaints of ethics violations and
to review, evaluate, index, and maintain on file all such complaints
and all documents, records and other evidence relating to such complaints.
4.
to conduct hearings, subpoena witnesses and documents, recommend
disciplinary action, assess penalties, make referrals, and recommend
appropriate enforcement actions and proceedings regarding ethics violations.
6.
to render advisory opinions concerning compliance with the Ethics
Code and Article 18 of the General Municipal Law, whether upon request
to the Ethics Board or upon the Ethics Board's own motion, and to
index, maintain and disseminate such advisory opinions.
7.
to provide training and education to City officers and employees,
including dissemination of the Ethics Code and any related explanatory
material prepared by or on behalf of the Ethics Board to maximize
knowledge and awareness of the Ethics Code by all City officers and
employees, including but not limited to:
8.
to comprehensively review the Ethics Code and, not less than once
every five years, recommend revisions to the Ethics Code to the Mayor
and the City Council.
9.
to maintain records of all of the matters before it, including but
not limited to complaints, investigations, advisory opinions, hearings,
and actions to enforce the Ethics Code.
D.
The office of the Corporation Counsel shall function as staff to
the Ethics Board and shall assist the Ethics Board in:
E.
The Corporation Counsel shall be counsel to the Ethics Board and
shall assist the Board in issuance of advisory opinions, interpretation
of the Ethics Code and Article 18 of the General Municipal Law, conducting
any administrative hearing, as well as issuing process in relation
thereto. In addition, the Corporation Counsel shall provide assistance
to the Ethics Board in drafting of documents, administration of oaths
or affirmations, preparation of subpoenas, and process needed to compel
compliance with subpoenas.
F.
If the Ethics Board determines an ethics related matter before it
requires investigation, then it may undertake such investigation itself,
may direct the Corporation Counsel to undertake such investigation,
may direct the Inspector General to undertake such investigation,
or any or all of the above.
A.
Within thirty (30) days of the effective date of this Article, the
Mayor shall cause a copy of the Yonkers Ethics Code and the applicable
sections of Article 18 of the General Municipal Law to be distributed
to every City officer and employee by e-mail or such other means as
the Mayor reasonably chooses. Within thirty (30) days of the effective
date of any significant amendment to this Article or the applicable
sections of Article 18 of the General Municipal Law, the Mayor shall
cause a copy of the amendment to be distributed to every City officer
and employee by e-mail or such other means as the Mayor reasonably
chooses.
B.
At the time that a new City officer or employee takes office or commences
employment, that individual shall be given a copy of the Yonkers Ethics
Code and the applicable sections of Article 18 of the General Municipal
Law.
D.
A current and accurate copy of the Ethics Code and Article 18 of
the General Municipal Law shall be posted on the City's internet web
site and a hard copy shall be maintained on file and be available
for use by any City officers and employees in the office of the Mayor,
the City Council President, and every department head.
E.
The City Clerk shall provide at no charge to any person a copy of
the Ethics Code and the applicable sections of Article 18 of the General
Municipal Law.
F.
A notice containing substantially the following statements shall
be posted in the office of the Mayor, the City Council President,
and every department head in a conspicuous location visible to members
of the general public as well as City officers and employees:
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"EVERYONE MUST COMPLY WITH THE CITY OF YONKERS
ETHICS CODE AND THE NEW YORK STATE ETHICS LAWS
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You can obtain your own free copy of the Yonkers Ethics Code
and the state ethics laws from the City Clerk. A copy of the Yonkers
Ethics Code and state ethics laws is also maintained on file in this
office for your convenience. If you are unsure how to comply with
the Yonkers Ethics Code and state ethics laws, please contact the
Yonkers Ethics Board. They can assist you and provide an advisory
opinion.
If you believe a person has violated the Yonkers Ethics Code
or state ethics law, file a complaint with the City Ethics Board.
GOOD GOVERNMENT IN YONKERS DEPENDS ON YOU!!"
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A.
The Ethics Board shall review the lists of officers and employees, prepared pursuant to Section C1A-22, to assure that the lists are complete and accurate. The Ethics Board shall add the title of any other officer or employee who the Ethics Board determines should appear on the list.
B.
The Ethics Board shall review the filing of annual disclosure statements
to assure that all City officers and employees required to file such
a statement have done so.
C.
The Ethics Board shall maintain indexed records of all disclosure
statements to assure that such records are available for use in respect
of any alleged violation of the Ethics Code or in respect of any advisory
opinion.
D.
If the Ethics Board determines that any disclosure statement is deficient,
then the Ethics Board shall issue a notice in writing requiring correction
of the deficient disclosure statement. Failure to comply with the
notice shall be an ethics violation.
A.
On its own initiative or upon the request of any person whose conduct
is governed by this Article, including but not limited to a City officer
or employee, the Ethics Board may issue an advisory opinion concerning
compliance with the Ethics Code and the provisions of Article 18 of
the General Municipal Law. Advisory opinions are intended to prevent
violations of the Ethics Code by identifying potential violations
before they occur. A request for an advisory opinion shall be made
in writing and shall include the facts that are relevant to the request.
B.
If an advisory opinion requires a legal interpretation of the Ethics
Code, then the Ethics Board shall obtain the advice of the Corporation
Counsel, or special counsel upon recusal by the Corporation Counsel,
who shall advise the Ethics Board on the proper legal interpretation
of the Ethics Code. All advisory opinions regarding the Ethics Code
shall be issued by the Ethics Board.
C.
A City officer or employee who faithfully and accurately follows
the guidance of an advisory opinion issued by the Ethics Board shall
not be deemed to have committed an ethics violation as to the specific
matters addressed in the advisory opinion.
D.
The Ethics Board shall cause its advisory opinions to be maintained
in indexed records for future reference. Advisory opinions shall be
public documents, subject to necessary redactions to protect confidentiality.
A.
Upon its own initiative concerning a potential ethics violation or
upon receipt of a written complaint by any person alleging an ethics
violation, the Ethics Board shall investigate the matter. If the Ethics
Board elects to commence an investigation of a possible ethics violation
on its own motion in the absence of any complaint, then it shall notify
the person being investigated in writing within five days of the commencement
of the investigation. If the Ethics Board determines at any time that
an ethics violation may have occurred, then in addition to its other
powers, the Ethics Board may solicit the assistance of the Inspector
General in undertaking an investigation or may request that the Inspector
General undertake an independent investigation.
B.
All complaints of ethics violations shall be filed in writing with
the Ethics Board. Within five (5) days of its receipt of a complaint,
the Ethics Board shall notify in writing the complainant and the person(s)
alleged to have committed the ethics violations that the Ethics Board
is in receipt of the complaint and is investigating the matter.
C.
The Ethics Board shall complete a preliminary investigation of the
complaint within thirty (30) days from the date the complaint is received.
In the event that the Ethics Board finds no merit to the complaint,
then it shall be dismissed and the complainant and the person alleged
to have committed the ethics violation shall be promptly notified
in writing.
D.
In the event that the Ethics Board determines that the complaint
may have merit, then the Ethics Board shall cause a full investigation
to be conducted, including interviewing the person who is the subject
of the complaint and interviewing other witnesses, and requesting
and reviewing documents.
E.
The Ethics Board shall maintain complete records of its investigations
and shall document in writing the results of every investigation it
conducts, including the disposition of the matter being investigated.
Within five (5) days of the completion of each investigation, the
Ethics Board shall give notice to the complainant, if any, and the
person who was the subject of the investigation.
F.
After a complaint has been filed and during any investigation undertaken
of a complaint before the Ethics Board, no member of the Ethics Board
or any of the Ethics Board's authorized agents may communicate privately
with any party or other person about any issue of fact or law regarding
the complaint, except as authorized by the Ethics Board.
G.
Upon completion of its investigation, the Ethics Board shall take
one or more of the following actions:
2.
refer the complaint to the appropriate authorities for criminal investigation
and prosecution;
3.
refer the matter to the Mayor or appropriate administration officers
for disciplinary personnel action;
4.
conduct an administrative enforcement hearing; or
5.
settle the matter with the person who is the object of the complaint
or Ethics Board investigation.
A.
The Ethics Board shall adopt rules governing the conduct of all hearings.
Such rules shall contain appropriate due process procedural mechanisms,
as well as take into account any applicable provisions of law and
collective bargaining agreements. The Ethics Board shall conduct and
complete each hearing with reasonable promptness.
B.
If the Ethics Board elects to conduct a hearing on a possible ethics
violation, then the person who is the subject of the hearing has the
right to be represented by counsel. A copy of the transcript of the
testimony provided by the person who is the subject of the complaint
shall be provided at no cost to such person.
C.
If after hearing all of the testimony and reviewing the relevant
documents the Ethics Board determines that an ethics violation has
been committed, then the Ethics Board shall impose one or more appropriate
sanctions, as follows:
1.
impose a civil penalty in an amount not less than two hundred fifty
dollars ($250.) nor more than ten thousand dollars ($10,000.);
2.
refer the matter to the district attorney for criminal prosecution;
3.
refer the matter to the Corporation Counsel or special counsel (if
previously appointed) for civil action seeking injunction; debarment;
voiding of a transaction; permanent bar from appointment, employment
or election as a City officer or employee; civil forfeiture, or other
relief; or
4.
refer the matter to the appointing authority of a City employee,
or officer or the person empowered to discipline that City officer
or employee;
D.
Nothing in this section shall be construed to permit the Ethics Board
to take any action with respect to any alleged ethics violation by
the Ethics Board or one of its members. Such a violation shall be
referred to the District Attorney for criminal prosecution.
The Ethics Board may issue subpoenas to compel the attendance
of necessary witnesses and the production of documents and other materials
pertinent to an investigation or hearing.
A.
No City officer or employee or any other person shall attempt to
privately influence or communicate with an Ethics Board member concerning
a pending Ethics Board complaint or investigation. All communications
shall be to the Ethics Board itself or the Chairperson of the Ethics
Board as authorized by Ethics Board rule.
B.
Any improper communication to an Ethics Board member shall be disclosed
by the Ethics Board member to the Ethics Board and shall, itself,
constitute an ethics violation.
A.
In the event that the subject of an ethics violation, complaint,
investigation, or advisory opinion is the Mayor, a Deputy Mayor, the
Mayor's Chief of Staff, or the Corporation Counsel, then the Corporation
Counsel shall recuse himself or herself, as well as the entire office
of the Corporation Counsel, and special counsel shall be appointed
to advise the Ethics Board, assist in rendering an advisory opinion,
assist in conducting an investigation, and assist the Ethics Board
regarding administrative enforcement, hearing, and other matters relating
to ethics violation enforcement.
B.
When special counsel is needed, the Council President, the Majority
Leader, and the Minority Leader shall each provide the Ethics Board
with the name of one (1) proposed special counsel and the Ethics Board
shall appoint one (1) special counsel from the names so provided.
C.
The City shall bear the expense of reasonable attorney's fees, costs
and disbursements incurred by special counsel in assisting the Ethics
Board with such ethics violation, complaint, or investigation. Special
counsel shall have the same powers and duties as does Corporation
Counsel under this Article.
Complaints, investigations, records and other material related
to ethics violations, advisory opinions, and other matters before
the Ethics Board shall be confidential until final action is taken
by the Ethics Board. Prior to release, personal information shall
be redacted to the extent authorized by the Freedom of Information
Law.
A.
The Ethics Board is empowered to grant waivers from certain provisions
of the Ethics Code, as provided herein.
B.
The Ethics Board may grant a waiver of the prohibitions set forth in Section C1A-10 upon the affirmative supermajority vote of five members of the Ethics Board. Such a waiver may include, but is not limited to, authorizing former City officers or employees to appear before the City on behalf of another person concerning a matter that was before the City officer or employee during his or her prior employment by, or service to, the City.
C.
An application for a waiver must be made in writing setting forth
in detail the reasons for the requested waiver. The application must
be signed by the applicant with a statement, under oath, that the
contents of the application are true and correct. The Ethics Board
may grant a waiver if there is no substantial prejudice to the City
and upon such conditions as are appropriate to assure that public
interest in high ethical conduct is maintained. The applicant shall
provide such additional information as is necessary and the Ethics
Board may investigate the application as it sees fit.
D.
All waivers shall be issued in writing by the Ethics Board and the
contents of any waiver shall be a public record.
Any ethics violation shall be punishable by:
A.
a civil penalty to be imposed by the Ethics Board of at least two
hundred fifty dollars ($250.) for a first ethics violation, of at
least five hundred dollars ($500.) for a second ethics violation,
and of at least one thousand dollars ($1,000.) for a third ethics
violation. A person need not commit the same ethics violation to be
considered a repeat ethics violator. The maximum civil penalty for
any ethics violation is ten thousand dollars ($10,000.).
B.
a criminal penalty as a Class I offense of up to one year imprisonment
or a fine of one thousand dollars ($1,000.), or both.
C.
upon the recommendation of the Ethics Board, suspension or dismissal
from office, or other personnel disciplinary action by the City officer
or employee empowered to take such disciplinary action.
D.
upon recommendation of the Ethics Board, a court of competent jurisdiction
may order the permanent debarment from doing business with the City
of any person; disqualification from appointment, employment or election
as a City officer or employee; or voiding of any contract.
