[HISTORY: Adopted by the Board of Trustees of the Village
of Horseheads 4-26-2012 by L.L. No. 3-2012.[1] Amendments noted where applicable.]
GENERAL REFERENCES
Officers and employees — See Ch. 40.
[1]
Editor's Note: This local law also repealed former Ch.
23, Ethics, Code of, adopted 8-7-1975 by L.L. No. 2-1975, as amended.
The Board of Trustees of the Village of Horseheads recognizes
that there are rules of ethical conduct for municipal officers and
employees which must be observed if a high degree of moral conduct
is to be obtained and if public confidence is to be maintained in
our Village government. It is the purpose of this local law to promulgate
these rules of ethical conduct for municipal officers and employees
and to provide standards for disclosure of interest in legislation
before the Village for holding of investments in conflict with official
duties, for private employment in conflict with official duties and
for future employment in conflict with official duties. This Code
shall serve as a guide for official conduct of the municipal officers
and employees of the Village. This Code, as adopted, shall not conflict
with but shall be in addition to any prohibition of Article 18 of
the General Municipal Law as now enacted or hereafter amended or any
other general or special law relating to ethical conduct and interest
in contracts of municipal officers and employees.
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 municipal 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 municipal 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, officer, employee, or directly or indirectly owns
or controls more than 5% of the organization's outstanding stock
membership interests or the like. A municipal officer or employee
shall not be deemed to have an interest in a contract of his or her
spouse, minor child, or dependent with the municipality.
Village of Horseheads. The word "municipal" refers to the
municipality.
A paid or unpaid officer or employee of the Village of Horseheads,
including, but not limited to, the members of any municipal board,
commission or agency. No employee shall be deemed to be a municipal
officer or employee solely by reason of being a volunteer firefighter,
or civil defense volunteer, except a Fire Chief or Assistant Fire
Chief.
A spouse, parent, stepparent, sibling, stepsibling, sibling's
spouse, child, stepchild, uncle, aunt, nephew, niece, first cousin,
or household member of a municipal officer or employee, and individuals
having any of these relationships to the spouse of the officer or
employee.
This Code of Ethics applies to the officers and employees of
the Village of Horseheads, 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 and all rules, regulations, policies and
procedures of the Village of Horseheads.
No municipal 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 municipal 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 municipal officer or employee shall disclose
in writing the nature of the interest.
B.
The disclosure shall be made when the matter requiring disclosure
first comes before the municipal officer or employee, or when the
municipal 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 Village Manager.
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 municipal 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 municipal officer or employee
from exercising or performing a power or duty:
(1)
If the power or duty is vested in a municipal 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 municipal officer individually,
then the power or duty shall be exercised or performed by his or her
deputy, or, if the officer does not have a deputy, the power or duty
shall be performed by another person to whom the 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.
A.
This code's prohibition on use of a municipal position (§ 23-4), disclosure requirements (§ 23-5), and requirements relating to recusal and abstention (§ 23-6), shall not apply with respect to the following matters:
A.
No municipal officer or employee may acquire the following investments:
B.
This section does not prohibit a municipal 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 municipal officer or employee, during his or her tenure as
a municipal 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 § 23-6 of this code;
B.
Can be reasonably expected to require disclosure or use of confidential
information gained by reason of serving as a municipal officer or
employee;
C.
Violates § 805-a(l)(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 municipal 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 municipal 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 municipal officer or employee, for the two-year period after serving
as a municipal 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 municipal office,
board, department or comparable organizational unit for which he or
she serves.
C.
No municipal officer or employee, at any time after serving as a
municipal 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 municipal officer or employee.
This code shall not be construed as prohibiting a present or
former municipal officer or employee from:
A.
Representing himself or herself, or his or her spouse or minor children
before the municipality; or
B.
Asserting a claim against the municipality on his or her own behalf,
or on behalf of his or her spouse or minor children; or
C.
Filing of any claim, account, demand or suit against the municipality
or any agency or board thereof on behalf of the municipal officer
or employee, his or her spouse or minor children.
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 municipal 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)
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 municipal officer or employee as part of his or her
compensation; or
(3)
The infrequent and incidental use of municipal telephones and computers
for necessary personal matters such as family care and changes in
work schedule.
C.
No municipal 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 municipal officer or employee may have an interest in a contract
that is prohibited by § 801 of the General Municipal Law.
B.
Every municipal 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.
A.
It is the policy of the municipality to be an equal opportunity employer
and to hire individuals on the basis of their qualifications and ability
to do the job to be filled. Except as otherwise required by law:
(1)
No municipal 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.
(2)
No municipal officer or employee may supervise a relative in the
performance of the relative's official powers or duties.
(3)
If municipal officers or employees who are married, marry or live
together do work in a supervisory relationship with one another, the
municipality will attempt to reassign one of them to another position
for which he or she is qualified, if such a position is available.
(4)
Relatives of members of appointed board shall not be employed within
a department which is responsible to that board.
B.
Personnel employed prior to the effective date of this section shall
not be affected by this policy, except in the case of promotion or
advancement.
C.
In the event of a scarcity of qualified applicants to fill a specific
job title, a waiver of this policy may be requested from the Village
Manager on a case-by-case basis.
D.
This policy shall not apply in the case of seasonal part-time or
temporary employment.
A.
No municipal officer or employee shall directly or indirectly compel
or induce a subordinate municipal 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 municipal 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 municipal officer or employee, or an applicant for a position
as a municipal 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 municipal 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.
A.
No municipal officer or employee shall solicit, accept or receive
a gift in violation of § 805-a(l)(a) of the General Municipal
Law as interpreted in this section.
B.
No municipal officer or employee may directly or indirectly solicit
any gift.
C.
No municipal officer or employee may accept or receive any gift,
or multiple gifts from the same donor, having an annual aggregate
value of $75 or more when:
(1)
The gift reasonably appears to be intended to influence the 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 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 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 officer
or employee during the twelve-month period preceding the receipt of
the most recent gift.
E.
Influence and rewards.
(1)
A gift to a municipal 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 officer or employee.
(2)
A gift to a municipal 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 officer or employee
during the preceding 12 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
officer or employee when the circumstances make it clear that the
personal relationship, rather than the recipient's status as
a municipal 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 municipal officer or employee
or other service to the community; or
(6)
Meals and refreshments provided when a municipal 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 municipality.
The Board of Ethics shall consist of three members, a majority of
whom shall not be officers or employees of the municipality, but at
least one of whom must be a municipal officer or employee. The members
of such Board of Ethics shall be appointed by the Village Manager,
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 investigate all charges of unethical conduct
against a municipal officer or employee and render advisory opinions
to the officers and employees of the Village of Horseheads 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
officer or employee under such rules and regulations as the Board
of Ethics may prescribe. The Board of Ethics shall have the advice
of the municipality's legal counsel, provided that the legal
counsel is not charged with violating the code, which in the latter
case the Board of Ethics may request authorization from the Village
Manager to retain other legal counsel for assistance in its work.
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 or Village Manager.
C.
All charged violations of unethical conduct against municipal officers
and employees shall be referred to the Board of Ethics. The Board
of Ethics shall appoint a Chairperson, Deputy Chairperson, and a Secretary
from its members. The Secretary shall be responsible for keeping the
records of the Board of Ethics. Meetings shall be held at the call
of the Chairperson. The Chairperson, or Deputy Chairperson in the
Chairperson's absence, may administer oaths, request attendance
of witnesses and take testimony. The Board of Ethics shall keep written
records of its deliberations and meetings, showing the subject matter
under consideration, the testimony it hears and the opinions o each
member, and shall record all absences. All opinions of the members
of the Board of Ethics shall be compiled and reported to the Village
Manager within 60 days of referral of a charged violation. A record
of the Board of Ethics' advisory opinions and its written records
shall be kept on file with the Village Clerk-Treasurer. The Board
of Ethics shall possess all powers and duties authorized by General
Municipal Law § 808.
A.
The Village Manager 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 public building under the municipality's control. The
code must be posted within 10 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 Village Manager 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 officer and/or employee of the municipality.
C.
Every municipal 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 Village Clerk-Treasurer
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 municipal 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.
In addition to any penalties contained in any other provision
of law, any municipal officer or employee who violates this code may
be censured, fined, suspended or removed from office or employment
in the manner provided by law.
