[HISTORY: Adopted by the Board of Trustees
of the Village of Saugerties 6-18-2012 by L.L. No. 4-2012.[1] Amendments noted where applicable.]
[1]
Editor’s Note: The provisions of this local law were originally adopted as Ch. 94, but were redesignated as Ch. 11 to fit the organizational structure of the Code. This local law also superseded former Ch. 11, Ethics, Code of, adopted 7-16-1984 by L.L. No. 1-1984 as Ch. 9 of the 1984 Code, as amended.
As a municipal officer or employee, your job by its very nature
places you in a position of public trust and endows you with the responsibility
of ensuring public resources are used in the best interests of the
public. You also have a duty to use the limited public resources available
to you as effectively and efficiently as possible. When serving in
your public capacity, the interests of your municipality must come
before your own. In fact and appearance, your actions and interests
must be above reproach.
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 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 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.
The Village of Saugerties. The word "municipal" refers to
the municipality.
A paid or unpaid officer or employee of the Village of Saugerties,
including, but not limited to, the members of any municipal board.
A spouse, parent, stepparent, sibling, step-sibling, 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 Saugerties, 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 New York State General Municipal Law and all rules, regulations,
policies, and procedures of the Village of Saugerties.
No municipal officer or employee shall use his or her municipal
position of 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 elected office, the disclosure
shall be filed with the governing board of the municipality. In all
other cases, the disclosure shall be filed with the person's
supervisor or, if the person does not have a supervisor, filed with
the municipal officer, employee or board having the power to appoint
to the person's position. 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 and become part of the public record.
A.
No municipal officer or employee may participate in any decision,
including but not limited to discussing the matter and voting on it,
or take any official action with respect to any matter requiring the
exercise of discretion, 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; or
(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.
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 § 11-6 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, Subdivision 1c or d, of the New York
State 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 90
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 served.
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 substantially participated while serving
as a municipal officer or employee.
This code shall not be construed as prohibiting a municipal
officer or employee from:
A.
Municipal resources shall be used for lawful municipal purposes.
Municipal resources include, but are not limited to, municipal personnel,
and the municipality's money, vehicles, equipment, materials,
supplies or other property.
B.
No 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)
Any use of municipal resources authorized by law or municipal policy;
or
(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 occasional and incidental use during the business day of municipal
telephones and computers for necessary personal matters such as family
care and changes in work schedule.
C.
No 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.
Except as otherwise required by law:
A.
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.
B.
No municipal officer or employee may supervise a relative in the
performance of the relative's official powers or duties.
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/her official powers
or duties may disclose or use such information, or use such information
to further his or her personal interests, 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, Subdivision 1a, of the New
York State 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; or
(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 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.
(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.
E.
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.
Membership. There shall be a membership of three members appointed
by the Village of Saugerties Board of Trustees consisting of:
(1)
Three members of the general public residing in the Village of Saugerties;
and
(2)
One alternate member to act only in any meeting wherein an appointed
member is absent or has recused him- or herself from involvement in
a particular matter. The alternate will be asked to sit for a particular
matter on an as-needed basis. An alternate appointed to sit for a
particular matter shall continue to sit as a regular member in place
of the absent or recused member and vote on the cases in which he
or she has substituted for the absent or recused member.
B.
Establishment of the Board. Upon adoption of this chapter, the Board
of Ethics shall be established by the Board of Trustees such that
the appointment of members to the Ethics Board shall be for terms
so fixed that one member's term shall expire at the end of the
calendar year in which such member was initially appointed and the
remaining members' terms shall be so fixed that the terms of
two members shall expire at the end of the next year thereafter, and
two members' terms shall expire at the end of the second year
next succeeding the end of the year in which such members were initially
appointed. At the expiration of each original member's appointment,
each replacement member shall be appointed for a term of three years,
which shall be subject to continuous term renewal in the discretion
of the Board of Trustees for a term not exceeding three years.
C.
Role of the Board. The function of the Board of Ethics is to render
advisory opinions to the Village Board regarding General Municipal
Law, Article 18, and this local code of ethics when a request is made
regarding a third party alleged ethical misconduct. The Board of Ethics
shall also render advisory opinions to the officers and employees
that have requested ethical clarification with respect to Article
18 of the General Municipal Law and this code. It may also act as
the repository of any financial disclosure documents. Such advisory
opinions shall be rendered pursuant to the written request of the
Village Board, a Village officer or Village employee, under such rules
and regulations as the Village Board may prescribe, and shall have
the advice and counsel furnished by the Village Board. In addition,
it may make recommendations with respect to the drafting and adoption
of amendments to the code of ethics, or a new code of ethics, upon
the request of the Village Board. The Village Board retains subpoena
power in connection with the collection of information for the Board
of Ethics, and the Board of Ethics shall have no subpoena power in
connection with its duties.
A.
The Mayor must promptly cause a copy of this code, and a copy of
any amendment to this code, to be posted publicly and conspicuously
in each building under the municipality's control. The code must
be posted within 10 days following the date on which the code takes
effect. Any amendment to the code must be posted within 10 days following
the date on which the amendment takes effect.
B.
The Mayor must promptly cause a copy of this code, including any
amendments to the code, to be distributed to every person who is or
who becomes an officer and employee of the Village of Saugerties.
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 acknowledgements must be filed with the Village Clerk who must
maintain such acknowledgements as part of the 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.
Municipal officials must attend periodic training, scheduled
by the Village Board of Trustees, concerning the requirements of the
Code of Ethics and the procedure for seeking an opinion or investigation
by the Board of Ethics. Training may also be received at the annual
NYCOM meeting. The Village Board may approve alternative training.
A member of a board or commission who is appointed by the Village
Board of Trustees and serves without remuneration may submit a bid
to propose to perform paid work for the Village, provided that the
procurement policy of the Village is followed, and the job is unrelated
to the employee's duties as a board or committee member.
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.
This code shall take effect when filed with the Secretary of
State's office.
