[HISTORY: Adopted by the Board of Trustees of the Village
of Dundee 3-12-2013 by L.L. No. 2-2013.[1] Amendments noted where applicable.]
[1]
Editor's Note: This local law also superseded former
Ch. 9, Ethics, Code of, adopted 12-15-1970 by Res. No. 70, as amended.
Officers and employees of the Village of Dundee hold their positions
to serve and benefit the public and not for obtaining unwarranted
personal or private gain in the exercise and performance of their
official powers and duties. The Village of Dundee recognizes that,
in furtherance of this fundamental principle, there is a need for
clear and reasonable standards of ethical conduct. This Code of Ethics
establishes those standards.
As used in this chapter, the following terms shall have the
meanings indicated:
The Village Board of Trustees and any municipal administrative
board (e.g., Planning Board, Zoning Board of Appeals, etc.), commission
or other agency or body composed 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 or employee or directly or indirectly owns
or controls more than 5% of the organization's outstanding stock.
The Village of Dundee. The word "municipality" refers to
the municipality.
A paid or unpaid officer or employee of the Village of Dundee,
including, but not limited to, the members of any municipal board.
A spouse, domestic partner, parent, stepparent, sibling,
stepsibling, stepsibling's spouse, child, stepchild, uncle, aunt,
nephew, niece, first cousin or household member of 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 Dundee 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 Dundee.
No municipal officer or employee shall use his or her municipal
position or official powers 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 Board of Trustees of the municipality. In
all other cases, the disclosure shall be filed with the person's
supervisor, or, if the person does not have a supervisor, the disclosure
shall be filed with the 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.
An officer or employee of the Village of Dundee shall treat
all members of the public, whether a person, firm or corporation or
other organization, with respect and in a professional manner, with
equal consideration and without special advantage in carrying out
his or her official duties.
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 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 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.
This code's prohibition on use of a municipal position (§ 9-4), disclosure requirements (§ 9-5) and requirements relating to recusal and abstention (§ 9-7) shall not apply with respect to the following matters:
A.
No
municipal officer or employee may acquire the following investments:
(1)
Investments that can be reasonably expected to require more than sporadic recusal and abstention under § 9-7 of this code; or
(2)
Investments that would otherwise impair the person's independence
of judgment in the exercise or performance of his or her official
powers and duties; or
(3)
Investments from any Village of Dundee auction if the employee or
officer is in the position to negotiate, prepare, authorize or approve
the contract for the sale upon which he or she is bidding.
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; or
(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 § 9-7 of this code; or
B.
Can be reasonably expected to require disclosure or use of confidential
information gained by reason of serving as a municipal officer or
employee; or
C.
Violates § 805-a, Subdivision 1c or 1d, 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
matters to which the municipality is a party.
A.
No municipal officer or employee may ask for, pursue or accept a
private postgovernment 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 90 days following
final disposition of the matter.
B.
No municipal officer or employee, for the one-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 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, promoting, discharging or 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.
C.
No employee shall engage in political campaign activities during
his or her official Village of Dundee workday.
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, Subdivision 1a, 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; 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 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.
Gifts intended to influence or reward.
(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.
Any question of conflict of interest or other matter concerning
the standards of conduct of any Village officer, employee or contract
professional shall be referred to the Board of Ethics of the County
of Yates unless the Board of Trustees of the Village of Dundee, by
resolution, hereafter creates a Board of Ethics for the Village of
Dundee.
A.
Upon receipt of a form duly sworn by the person requesting an investigation
of an alleged violation of this chapter or upon the Board determining
on its own initiative that a violation of this chapter may exist,
the Ethics Board shall have the power and duty to conduct any investigation
necessary to carry out the provisions of this chapter. In conducting
any such investigation, the Board may administer oaths or affirmations,
subpoena witnesses and compel their attendance and require the production
of any books or records which it may deem relevant or material. The
form to be utilized in requesting an investigation of an alleged violation
of this chapter shall be the form available in the office of the Village
Clerk.
B.
The Ethics Board investigation shall be confidential until such time
that a final determination of the Ethics Board has been made. Thereafter,
the Ethics Board shall state, in writing, its disposition of every
sworn complaint it receives and of every investigation it conducts
and shall set forth the reasons for the disposition to the Board of
Trustees. Any findings of violations of this chapter or other applicable
law shall be served upon the subject of the investigation within seven
days of such service of any findings of violations of this chapter,
and violations shall be made a public record and shall be indexed
and maintained on file by the Village Clerk.
A.
In its discretion and after a hearing in accordance with Article
3 of the State Administrative Procedure Act (SAPA), and subject to
§ 75 of the Civil Service Law as well as any collective
bargaining agreements, to the extent practicable, the Ethics Board
may recommend for action appropriate disciplinary action, which may
include a written warning or reprimand, forfeiture of accrued leave
with pay, required attendance at ethics training seminars, suspension
or termination of employment, to the authority or person or body authorized
by law to impose such sanctions.
B.
The Ethics Board shall conduct and complete the hearing with reasonable
promptness and shall not act without notice and opportunity to be
heard and shall observe appropriate due process.
A.
The Board of Ethics shall render confidential advisory opinions only
to officers and employees of the Village of Dundee with respect to
Article 18 of the General Municipal Law and this Code of Ethics. Officers
and employees of the municipality are encouraged to seek advisory
opinions whenever they are uncertain whether their conduct may violate
the Code of Ethics.
B.
The Board of Ethics will prepare an advisory opinion based on a thorough
review of the facts and applicable law. The Board's opinion is
to be based solely on the facts presented in the request or subsequently
submitted in a written, signed document. The opinion will be rendered,
in writing, to the requester as expeditiously as is practicable, with
special attention to the time requirements of a given case.
C.
An officer or employee of the municipality whose conduct or action
is the subject of an advisory opinion will not be subject to penalties
or sanctions by virtue of acting, or failing to act, due to a reasonable
reliance on the opinion, unless material facts were omitted or misstated
in the material submitted by the requester.
D.
The Board of Ethics will maintain a confidential, indexed file of
all advisory opinions issued by the Board.
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. An amendment to the code must be posted within 10 days following
the date on which the amendment takes effect.
B.
The Mayor must promptly cause a copy of this code, including any
amendments to the code, to be distributed to every person who is or
becomes an officer or employee of the Village of Dundee.
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 acknowledgment must be filed with the Village Clerk who must
maintain such acknowledgment 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.
