[HISTORY: Adopted by the Common Council of
the City of Peekskill 3-12-2012[1]. Amendments noted where applicable.]
GENERAL REFERENCES
Defense and indemnification — See Ch. 35.
A.
The
Common Council of the City of Peekskill declares that it is the public
policy of the City and the purpose of this chapter to establish standards
and guidelines for ethical conduct of City officials and employees.
These policies are best effectuated by:
(1)
Prescribing high ethical standards in an established Code of Ethics.
(2)
Requiring public disclosure by City officials and employees, as herein
provided.
(3)
Creating a Board of Ethics to render advisory opinions and otherwise
assist in the administration of this chapter.
(4)
Prescribing meaningful sanctions and remedies to be imposed upon
City officials and employees who violate the public trust.
B.
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.
As used in this article, the following terms shall have the
meanings indicated:
Communicating in any form, including but not limited to personally,
through another person, by letter or by telephone.
The person who appointed the City official or employee.
Any member of a City body having approval authority, limited
to the Common Council, Planning Commission, Zoning Board of Appeals,
Assessment Review Board, Historic and Landmarks Preservation Board,
and Ethics Board.
The City of Peekskill.
The City or any board, commission, council or other agency,
department or bureau of the government thereof.
Any official or employee of the City, whether paid or unpaid,
including, without limitation, all members of any office, board, body,
advisory board, council, commission, agency, department, district,
administration, division, bureau or committee of the City and all
former employees acting as independent consultants. The terms "City
officials" or "employee" shall not include the City Court Judge. No
person shall be deemed to be a City official or employee solely by
reason of being a volunteer fireman or civil defense volunteer, except
a Fire Chief or Assistant Fire Chief.
Any claim, account or demand against or agreement with the
City, express or implied, and shall include the designation of a depository
of public funds and the designation of a newspaper, including but
not limited to an official newspaper, for the publication of any notice,
resolution, ordinance, or other proceeding where such publication
is required or authorized by law.
Includes, without limitation, money, services, food, drink,
and entertainment provided in exchange for less than fair market value,
licenses, permits, contracts, authorizations, loans, travel, any other
gratuity, or any promise thereof. A financial transaction may be a
financial benefit but shall not be a gift unless it is on terms not
available to the general public. Gifts and financial benefits shall
not include authorized election campaign contributions.
Spouse, domestic partner, child, stepchild, parent, grandparent
or sibling.
A participation, connection or involvement of any sort which
may result in a direct or indirect pecuniary or material benefit.
For the purposes of this chapter, the "interests" of a City official
or employee shall be deemed to include the "interests" of:
The City official or employee and his or her immediate family.
Any person, other than a bank, trust company or other lending
institution, with whom he or she has a substantial debtor-creditor
or other financial relationship.
Any person by whom he or she is employed or of which he is an
officer, director or member.
Any person of which the stock or other legal or beneficial ownership
is owned by him or her; provided, however, that if the business dealings
of such person with the City form an insubstantial part of the total
business dealings, then this definition shall only apply to such a
person if the City official or employee owns more than 5% of the stock
or other legal or beneficial ownership of such person.
Any action performed in an official capacity, in a prescribed
manner, without the exercise of judgment or discretion as to the propriety
of the act.
Any legislative, administrative, quasi-judicial, appointive
or discretionary act of a City official or employee or a City body.
Any individual or individuals, firm, partnership, association,
corporation, company, organization or other legal entity of any kind.
Be entitled or appointed to act or speak for a person.
Any activity, application or proceeding which requires or
may require an official act or action of a City official or employee
or a City body.
Every City official or employee shall be subject to and abide
by the following standards of conduct:
A.
Gifts and financial benefits. No City official or employee shall, directly or indirectly, solicit gifts or financial benefits or accept or receive cash or any other gifts in any given calendar year from any person, having an aggregate value exceeding $75, whether in the form of service, loan, travel, entertainment, food, drink, hospitality, thing or promise, or in any other form. Exclusions pursuant to § 48-3.1 shall apply.
B.
Confidential
information. No City official or employee shall use any confidential
information received by him in the course of his duties as a City
official or employee to further the interests of himself/herself or
others, nor shall any City official or employee divulge any confidential
information so received.
C.
Representation.
A City official or employee shall not, with or without compensation,
represent, directly or indirectly, any person in connection with any
transaction or contract before any City body or court. This subsection
shall not be applicable to those officials serving on a City body
in transactions where such official or employee appears on his or
her own behalf.
D.
Disclosure
of interest in legislation. To the extent that he or she knows thereof,
a member of the Common Council and any City official or employee,
whether paid or unpaid, who participates in the discussion or gives
official opinion to the Common Council on any legislation before the
Common Council shall publicly disclose on the official record the
nature and extent of any direct or indirect financial benefit or other
interest he or she has in such legislation.
E.
Investments in conflict with official duties. Whenever a City official or employee holds any investment directly or indirectly in any financial, business, or commercial enterprise or other private investment, including but not limited to real property located in the City of Peekskill held for investment, which creates a conflict with his or her official duties, he or she shall provide public disclosure in accordance with § 48-3.2 of this chapter and shall refrain from involvement in the matter which creates such conflict with his or her official duties.
F.
Private
employment. A City official or employee shall not engage in, solicit,
negotiate for or promise to accept private employment or render services
for a person when such employment or service creates a conflict with
or impairs the proper discharge of his or her official duties.
G.
Future
employment. It shall be a presumptive conflict of interest for any
former elected or any former paid appointive City official or employee,
within one year after leaving office, to represent another person
before any City body. It shall also be a presumptive conflict of interest
for any former elected or appointive City official or employee, at
any time, after the termination of his or her service or employment
with the City, to appear before any City body in relation to any case,
proceeding or application in which he or she personally participated
or which was under his or her active consideration during the period
of his or her service or employment.
H.
No
City official or employee shall solicit or accept for an election
campaign or for any other political purpose any favor or gift, in
an amount exceeding $1,000 per election cycle, whether in the form
of a service, loan, promise or material thing or in any other form,
from any person who does business with the City, from any person whose
business is licensed or regulated by the City, or from any person
who in the regular course of whose business must receive approval
or authorization from any City official or employee or City body.
A City official or employee shall not knowingly request, or knowingly
authorize anyone else to request, any subordinate of the official
or employee to participate in an election campaign or contribute to
a political committee.
I.
The
Chairperson or Vice Chairperson of a political party in the City shall
not serve as a board member.
J.
Conflicts of interest and violations regarding applications.
(1)
It shall be deemed a conflict of interest requiring recusal for any
board member to sit in judgment over an application in which he/she
has an Interest.
(2)
It shall be deemed a violation of this chapter for any board member
to act upon any application, either affirmatively or by a failure
to act, where to do so is based primarily upon the relationship (personal
or business) of the person appearing before the City body to the board
member.
(3)
Any board member who, by his/her official position, is acting upon
an application in which he/she has no interest, but such application
involves a relative outside his/her immediate family, a person having
previously executed a contract with the board member, or a person
having previously transacted business with the board member, such
board member shall fully disclose this relationship in public session
prior to taking any action on the application.
K.
Prohibited outside positions. A City official or employee shall not
be a paid, attorney, agent, broker, officer, director, trustee or
consultant for any person that is doing business or seeking to do
business with the City or that is seeking a license, permit, grant
or benefit from the City.
L.
No City official or employee shall use or attempt to use his or her
official position to give or secure privileges or exemptions for himself/herself
or others not available to others.
M.
Misuse of office. A City official or employee shall not use his or
her official position or office, or take or fail to take action, in
a manner which he or she knows or has reason to know may result in
a financial benefit for any of the following persons:
(1)
The City official or employee;
(2)
His or her outside employer or business;
(3)
His or her immediate family;
(4)
A person with which the City official or employee has had a financial
relationship within the previous 12 months; or
(5)
Any person from which the City official or employee has received
a gift, or any goods or services for less than the market value, during
the previous 12 months.
N.
Recusal. A City official or employee shall promptly recuse himself or herself from taking official action on any matter when taking such action, or failing to take action, may financially benefit any of the persons listed in Subsection M of this section.
O.
Misuse of City resources. A City official or employee shall not use
City letterhead, personnel, equipment, supplies, or resources for
a non-City purpose nor engage in personal or private activities during
the times when he or she is required to work for the City.
P.
Inducement of others. A City official or employee shall not induce
or aid another City official or employee to violate any of the provisions
of this Code of Ethics.
Q.
Avoidance of conflicts. A City official or employee shall not knowingly
acquire, solicit, negotiate for, or accept any interest, employment
or a thing that would result in a violation of this Code of Ethics.
The provisions of § 48-3 of this Code of Ethics shall not prohibit or require abstention or recusal as a result of any of the following events:
A.
Authorized actions. An action specifically authorized by statute,
rule or regulation of the City, the State of New York or of the United
States of America.
B.
Ministerial acts.
C.
Certain gifts. Gifts received by a City official or employee:
(1)
From a relative by blood or marriage.
(2)
Accepted on behalf of the City and immediately transferred to the
City.
(3)
Having a value of $100 or less for the solemnization of a marriage
by that City official or employee at a place or hour other than his
or her normal place or hours of business, pursuant to § 805-b
of the General Municipal Law.
(4)
Participation in social functions, dinners or programs of any public
or private organization where the City official or employee is attending
in his or her official capacity as a representative of the City.
D.
Awards. Awards presented to City officials or employees by charitable,
civic or educational organizations.
E.
Public facilities. Receipt of City services or benefits or use of
City facilities that are generally available on the same terms and
conditions to City residents.
F.
Ministerial employees. Former City officials or employees appearing
or practicing before the City or receiving compensation for working
on a matter before the City after termination of City service or employment
where they performed only ministerial acts while working for the City.
A.
Transactional disclosure. A City official or employee having an interest in a transaction or contemplated transaction shall, before any step in connection therewith is taken, file with the City Clerk a statement describing such transaction and his/her interest therein. The Board of Ethics shall review all transactional disclosures to determine whether there is a possible or potential violation of this chapter. If the Board of Ethics determines the disclosure reveals a potential violation of this chapter, the Board shall provide notification of the potential violation to the City official or employee, and the official or employee must refrain from both discussion and judgment on the transaction. Thereafter, when any final action, decision or determination has been taken or made with respect to such transaction by or on behalf of the City, notice of such action, decision or determination shall be filed with the Board of Ethics and the City Clerk. Transactional disclosure shall not be required for exclusions listed in § 48-3.1 of this chapter.
B.
Applicant disclosure. Where any person requests the City or a City
official or employee to take, or fail to take, any action, other than
a ministerial act, that may result in a financial benefit both to
the requestor and to any City official or employee, the requestor
shall disclose the names of any such person and the extent of such
benefit, to the extent known to the requestor at the time of the request.
If the request is made in writing, the disclosure shall include the
request. If the request is made on the public record, the disclosure
must also be set forth in the public record at that time. If the request
is oral and not on the public record, the disclosure shall be made
in writing and filed with the City Clerk. The Board of Ethics shall
review all applicant disclosure statements to determine whether the
statement reveals a possible or potential violation of this chapter.
If the board determines that a statement reveals a potential violation
of this chapter, the Board of Ethics shall provide notification of
the potential violation and the penalties for failure to comply with
this chapter to the City official or employee.
C.
Annual disclosure.
(1)
An annual disclosure statement shall be submitted by each of the
following City officials or employees:
(a)
Elected City officials.
(b)
City Manager, Corporation Counsel, Assistant Corporation Counsel,
City Marshals, City Clerk, and Comptroller.
(c)
Department heads and their deputies. In relation to the Police
Department, this requirement shall extend only to the Chief of Police,
Captains and Lieutenants. For the Fire Department, this shall include
Fire Chiefs. Assistant Fire Chiefs, and any other paid superior officers
in the Department.
(d)
Board members.
(2)
Annual disclosure statement; timing and content. By April 1 of each
year, the City Manager shall cause to be filed with the City Clerk
a list of the names and offices or positions of all City officials
and employees required to file annual disclosure statements, and the
City Clerk shall, within 15 days of receipt of such list, notify all
such officials and employees of their obligation to file an annual
disclosure statement. The annual disclosure statement shall, by May
15 of each year, be filed with the City Clerk, who shall promptly
submit all completed disclosure forms to the Board of Ethics. In addition,
City officials and employees shall, within 30 days of commencing service
with the City, file an annual disclosure statement. Disclosure forms
shall be amended by the City official or employee completing such
form within 30 days of any material change in the information so disclosed.
Such annual disclosure statement shall be in writing in a form approved
by the City Manager.
(3)
The Board of Ethics shall index and maintain on file for six years
each annual disclosure statement filed. The Board of Ethics shall
review all disclosure statements to determine whether any City official
or employee required to file such statement has failed to file it,
has filed a deficient statement or had filed a statement that reveals
a possible or potential violation of this chapter. If the Board of
Ethics determines that an annual disclosure statement is deficient
or reveals a potential violation of this chapter, the Board of Ethics
shall provide notification of the deficiency or potential violation
to the City official or employee and the penalties for failure to
comply with this chapter.
D.
Any statements or notices filed pursuant to this section shall be
open to public inspection only to the extent required by the Freedom
of Information Law.
Nothing herein shall be deemed to bar or prevent the timely
filing by a present or former City official or employee of any claim,
account, demand or suit against the City of Peekskill 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 City Manager shall cause a copy of this Code of Ethics to
be distributed to every City official and employee within 30 days
after the adoption of this chapter as well as within 30 days of any
amendments thereto. Each City official or employee elected or appointed
thereafter shall be furnished a copy before entering upon the duties
of his or her office or employment. Failure to distribute any such
copy or failure of any City official or employee to receive such copy
shall have no effect on the duty of compliance with such chapter nor
the enforcement of provisions thereof.
Where the Board of Ethics determines, after a hearing providing
for due process and subject to provisions of law and collective bargaining
agreements, if any, that a City official or employee has violated
this chapter, it shall make a recommendation to the appointing authority
of such official or employee as to the appropriate disciplinary action
to be taken. For the purposes of this section only, the appointing
authority for a member of the Common Council shall be deemed the other
members of the Common Council.
A.
Disciplinary action. The appointing authority shall consider, but
need not follow, the recommended disciplinary action as advised by
the Board of Ethics. The appointing authority shall, except as otherwise
provided in an applicable collective bargaining agreement, warn or
reprimand any City official or employee who violates, disobeys or
disregards any provision of this chapter or any rule or regulation
adopted pursuant to this chapter. Additionally, the appointing authority
may take proper action to suspend without pay or remove from office
or employment any City official or employee who materially violates,
disobeys or disregards any provision of this chapter.
B.
Civil enforcement. Any City official or employee who violates, disobeys
or disregards any provision of this chapter or any rule or regulation
adopted pursuant to this chapter may be liable to the City for civil
damages caused by such violation, except as otherwise provided in
an applicable collective bargaining agreement. Such civil damages
may be recovered in an action by the City at the request of the Common
Council in any court of competent jurisdiction. The Common Council
may also request initiation of an action in any court of competent
jurisdiction to obtain injunctive relief to enjoin a violation of
this chapter or to compel compliance, all as provided in this chapter.
Any person aggrieved by a final decision under this Code of
Ethics may seek judicial review and relief pursuant to Article 78
of the Civil Practice Law and Rules.
The Corporation Counsel shall provide legal assistance to the
Board of Ethics in its issuance of advisory opinions, interpretation
of the Code of Ethics and Article 18 of the General Municipal Law,
prosecution of any hearings, and providing such additional legal assistance
as may be needed by the Board of Ethics.
The City Manager or his/her designee shall provide support staff
to assist the Board of Ethics in its functions and duties.
A.
There is hereby established a Board of Ethics, to consist of five
members, none of whom shall be board members (other than as members
of the Board of Ethics) or paid City officials or employees.
B.
Board of Ethics members shall reside in the City and shall not hold
an office in any political party. The members of the Board of Ethics
shall be appointed by the Common Council and shall serve for a term
of five years, except that as to the members first appointed, one
shall serve until December 31 in the year in which this Board was
established, two shall serve until the second December 31 and two
shall serve until the third December 31. Consecutive service shall
not exceed two full terms.
C.
When a vacancy occurs it shall be filled by the Common Council within
60 days for the unexpired portion of the term. A member shall serve
until his or her successor has been appointed.
D.
Members of the Board of Ethics shall receive no salary or compensation
for their services. The Board of Ethics shall designate one of its
members as Chair of the Board of Ethics at its first meeting each
calendar year. A majority vote of the Board of Ethics shall be required
for the Board to take any action.
E.
Members of the Board of Ethics shall be chosen for their independence,
integrity, civic commitment, and high ethical standards. No more than
a majority minus one shall be registered in the same political party.
F.
Removal. A member of the Board of Ethics may be removed from office
by the Common Council after written notice and an opportunity for
reply. Grounds for removal shall be a failure to meet qualifications
as stated in this section, substantial neglect of duty, gross misconduct
in office, inability to discharge the powers or duties of office,
missing three or more consecutive meetings without excuse by the Common
Council, or a material violation of this chapter.
A.
Jurisdiction. The Board of Ethics shall act only with respect to
City officials and employees.
B.
Powers and duties. The Board of Ethics shall have the following powers
and duties:
(1)
To make recommendations to the Common Council with respect to the
drafting and adoption of amendments to the Code of Ethics.
(2)
To request and receive, from any City body or any City official or
employee, such assistance and data as will enable the Board of Ethics
to properly carry out its functions and powers.
(3)
To prescribe rules and regulations governing its own internal organization
and procedures.
(4)
To distribute and make available to every City official and employee
copies of all rules and regulations enacted by the Board of Ethics
and all forms prescribed by the Board of Ethics.
(5)
To review, index and maintain on file transactional, applicant and
annual disclosure statements filed with the Board pursuant to this
chapter.
(6)
To prepare an annual report to the Common Council.
(7)
To review the laws governing the ethical conduct of City officials
and employees and recommend changes to those laws.
(8)
To review and update lists of City officials and employees for accuracy.
(9)
To review annual disclosure statements to determine whether any City
official or employee required to file such a statement has failed
to do so, has filed a deficient statement or has filed a statement
that reveals a possible or potential violation of this chapter.
(10)
To review all transactional disclosure statements for accuracy
and completeness.
(11)
To notify the appointing authority where review of a disclosure
statement finds a deficiency or a potential violation of this chapter.
(12)
To investigate all complaints and referrals concerning possible
violations of this chapter and Article 18 of the General Municipal
Law.
(13)
To issue subpoenas to compel the attendance of persons in connection
with the investigation of complaints and referrals concerning possible
violations of this chapter and Article 18 of the General Municipal
Law.
(14)
To retain its records in accordance with Article 57-A, Local
Government Records Law, of the State Arts and Cultural Affairs Law.
(15)
To render advisory opinions to City officials and employees.
(16)
To undertake such other duties as are prescribed under Article
18 of the General Municipal Law.
The Board of Ethics shall have no power to grant any waiver
of any provisions of this chapter.
A.
Upon receipt of a sworn or affirmed complaint by any person alleging
a violation of this chapter or upon determining on its own initiative
that such violation may exist, the Board of Ethics shall have the
power and duty to conduct any investigation necessary to carry out
the provisions of this chapter.
B.
The Board of Ethics, with the assistance of the office of the Corporation
Counsel, shall lead all investigations necessary to enforce this chapter.
C.
The Board of Ethics shall state in writing the disposition of every
sworn complaint it receives and of every investigation it conducts
and shall set forth the reasons for the disposition. All such statements
and all complaints shall be indexed and maintained on file by the
Board.
D.
Any person filing a complaint with the Board of Ethics shall be notified
in writing of the final disposition of the complaint, to the extent
permitted by law.
E.
All documents and hearings relating to the investigation and hearing
of any alleged violation of this chapter shall be confidential and
not available for public inspection except as required by the Freedom
of Information Law. All final dispositions in which the Board of Ethics
or the appointing authority finds a violation of this chapter shall
be available for public inspection and copying only to the extent
required by the Freedom of Information Law.
F.
The statute of limitations for any and all alleged violations of
this chapter shall be six years from the date of the alleged violation.
[Added 7-16-2012]
The Board of Ethics shall assist the City in conducting training
programs on compliance with this chapter and make informational and
educational materials available to the public.
