[HISTORY: Adopted by the Board of Trustees
of the Village of Mount Kisco 12-16-2019 by L.L. No. 4-2019[1]. Amendments noted where applicable.]
[1]
Editor's Note: This local law also repealed former Ch. 9,
Ethics, Code of, adopted 9-3-1968 by L.L. No. 2-1968.
Officers and employees of the Village of Mount Kisco 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 Mount Kisco 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.
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 limitation on the holding of a municipal office when the
holder of the office has certain other private interests affecting
the municipality.
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, or officer, or directly or indirectly owns or controls
more than 5% of the organization's outstanding stock.
A paid or unpaid officer or employee of the Village of Mount
Kisco, including, but not limited to, the members of any municipal
board. This term also means unpaid members of any administrative board,
commission or committee. No person will be deemed to be a municipal
officer or employee solely by reason of being a volunteer fireman
or civil defense volunteer, except a fire chief or assistant fire
chief.
Village of Mount Kisco. The word "municipal" refers to the
municipality.
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.
Certain contracts are exempt as conflicts of interest under
Article 18 of the General Municipal Law. Such exemptions include,
but are not limited to:
This Code of Ethics applies to the officers and employees of
the Village of Mount Kisco as defined herein 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, the Constitution of the State
of New York, and all rules, regulations, policies and procedures of
the Village of Mount Kisco.
No municipal officer or employee shall directly or indirectly
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. Financial or material benefit does not include a payment,
benefit or opportunity that is customarily and legally provided to
residents, taxpayers and the general public in the ordinary course
of municipal operations.
A.
No
municipal officer or employee shall exercise or perform his or her
official powers and duties in furtherance of family or private interest,
nor create an appearance of impropriety, by giving the impression
that he or she will exercise or perform his or her official powers
or duties on the basis of any consideration other than the best interests
of the Village of Mount Kisco.
B.
Municipal
officers or employees shall treat all members of the public, whether
a person, firm or corporation, or other organization, without special
advantage in carrying out his or her official duties.
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 or on
the record at a public hearing 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. 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 the person's position.
D.
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 shall 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 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
officer's supervisor or appointing authority shall appoint another
municipal officer or employee to perform the function.
(4)
If the power or duty is vested in an official that has neither a
subordinate or a supervisor, the Village Board shall select an alternative
acting appointment.
A.
A
municipal officer or employee may not acquire the following investments:
(1)
Personal investments that will be directly and materially affected
by the exercise or performance of the person's official powers
and duties; or
(2)
Personal investments that would otherwise impair the person's
independence of judgment in the exercise or performance of his or
her official powers and duties.
B.
This
section does not prohibit a municipal officer or employee from acquiring
any other investments or the following assets:
During his or her tenure as a municipal officer or employee,
a municipal officer or employee should not engage in any private employment,
including the rendition of any business, commercial, professional
or other types of services, when that employment:
A.
Can be reasonably expected to require disclosure or use of confidential
information gained by reason of serving as a municipal officer or
employee;
B.
Violates General Municipal Law § 805-a(1)(c) or (d); or
C.
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.
This section does not prohibit a municipal officer or employee
from:
A.
Representing him- or herself, or his or her spouse or minor children,
before the Village of Mount Kisco, or any officer, administrative
board, commission or other agency of the Village of Mount Kisco, in
connection with any personal matter that does not arise from or involve
a business, commercial or professional activity; or
B.
Asserting a claim against the Village of Mount Kisco on his or her
own behalf, or on behalf of his or her spouse or minor children, in
connection with any personal matter that does not arise from or involve
a business, commercial or professional activity.
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;
(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.
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, 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 directly supervise a relative
in the performance of the relative's official powers or duties.
C.
This section shall not apply to temporary or seasonal employment.
A.
No municipal officer or employee shall directly or indirectly use
his or her official authority to compel or induce another 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.
C.
No municipal officer or employee shall engage in political campaign
activities during their official Village of Mount Kisco workday.
D.
No municipal officer or employee shall use Village resources for
any political campaign or political activities.
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. For purposes of this section,
"confidential" shall mean any information which is prohibited from
disclosure by law or privilege; information which is of a personal
or financial nature concerning any municipal officer or employee;
and any information which, if disclosed, will compromise the interests
of the Village of Mount Kisco.
A.
No municipal officer or employee shall solicit, accept or receive
a gift in violation of § 805-a(1)(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 within a twelve-month period,
having an annual aggregate value of $75 or more when the gift:
(1)
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)
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)
Is intended as a reward for any official action on the part of the
municipal 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 a municipal
officer or employee during the twelve-month period preceding the receipt
of the most recent gift.
E.
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.
F.
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 favorable municipal action involving
the exercise of discretion by or with the participation of the municipal
officer or employee during the preceding 12 months.
G.
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
municipal 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 having a value of
$75 or less during a twelve-month period, such as pens, pencils, notepads,
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.
(1)
The Board of Ethics shall consist of five members appointed and approved
by the Village Board.
(2)
The Board of Ethics in existence at the time of the enactment of
this section shall be deemed reappointed with the same term expiration
as its present terms.
(3)
Each member of the Board of Ethics shall serve for a term of three
years.
(4)
The Board of Ethics shall select a chairperson from among its members
for a term of two years.
(5)
A member of the Board of Ethics may be removed from office by a minimum
of four votes of the Village Board for failure to fulfill the duties
of the office or for violation of this chapter. The Village Board
must give such Board member written notice and an opportunity to reply.
B.
Qualification of Board members.
(1)
All members of the Board of Ethics must be residents of the Village.
(2)
The members of the Board of Ethics should be qualified by temperament
and experience to carry out the duties and responsibilities of the
Board.
(3)
No member of the Board of Ethics shall be a committeeperson or hold
office in a partisan political organization or hold elective office
in the Village of Mount Kisco.
(4)
Not more than three members of the Board of Ethics may be members
of the same political party.
(5)
No officer or employee of the Village shall be eligible to serve
on the Board of Ethics, except that the Village Attorney shall be
a nonvoting member ex officio of the Board.
C.
Compensation. Members of the Board of Ethics shall serve without
compensation, but may be reimbursed for reasonable and necessary expenses
approved by the Village Board.
D.
Powers and duties of the Board of Ethics.
(1)
To request and receive, from any Village body or any Municipal Official
or employee, such assistance and information as will enable the Board
of Ethics properly to carry out its functions and powers.
(2)
To render written advisory opinions with respect to the interpretation and application of this chapter. Such opinions shall be rendered at the written request of the majority vote of the Village Board, the Municipal Official or employee whose conduct is in question, or on a good faith complaint filed by an individual or entity in accordance with § 9-19. The Board of Ethics shall notify the Village Board within 30 days whenever any request for an advisory opinion is received and furnish a copy of any advisory opinion in accordance with § 9-19 which it shall render to the Village Board and the Village Attorney. The Board of Ethics shall keep a record of its proceedings and maintain a confidential indexed file of all advisory opinions on file at Village Hall.
(3)
To prescribe forms for disclosures required under this chapter.
(4)
To receive legal assistance from the Village Attorney, who shall
serve as counsel to the Board of Ethics. In the event that the Village
Attorney has a conflict of interest on a particular matter, then the
Village Board shall provide the Board of Ethics with the services
of substitute counsel.
(5)
To process complaints alleging violations of this chapter and/or Article 18 of the General Municipal Law, and to render opinions with respect to such complaints, pursuant to § 9-19 of this Code of Ethics.
(6)
To perform such other functions as may from time to time be requested
by the Village Board.
A.
The Board of Ethics shall have the authority to investigate complaints,
hold hearings and render advisory opinions to the Village Board with
respect to alleged acts or omissions by any municipal officer or employee
in violation of this Code of Ethics and/or Article 18 of the General
Municipal Law. Any individual or entity may initiate a good faith
complaint by submitting a concise statement of allegations on the
form(s) attached as Attachment 1 to this Code[1] to the Chairperson of the Board of Ethics or any member
thereof. Complaints may be submitted on the forms and by the means
prescribed by the Board of Ethics. The Board of Ethics shall not consider
complaints which are anonymous, incomplete, or are not submitted in
good faith. The decision whether a complaint is made in good faith
is in the sole discretion of the Board of Ethics. The Board of Ethics
shall cause a copy of such complaint to be mailed or otherwise furnished
to the municipal officer or employee who is the subject of the complaint.
[1]
Editor's Note: Said attachment is on file in the Town/Village
offices.
B.
Within 60 days of receipt of such complaint, the Board of Ethics
shall determine whether the complaint was made in good faith and is
complete and whether there is reasonable cause to believe that a violation
of the Village Code or Article 18 of the General Municipal Law has
occurred. Any such findings shall require an affirmative vote of the
majority of the Board.
C.
In the event the Board of Ethics determines that a complaint does
not sufficiently allege a violation of the Village Code or Article
18 of the General Municipal Law, written notice of such finding shall
be mailed or otherwise furnished to the complainant and the municipal
officer or employee who is the subject of the complaint.
D.
In the event that the Board of Ethics determines there is reasonable
cause to believe a violation has occurred, written notice of such
finding shall be promptly mailed or otherwise furnished to the complainant
and the municipal officer or employee who is the subject of the complaint.
If reasonable cause is established, the Board of Ethics shall conduct
an investigation or hearing, as it deems necessary, to develop a fair
and complete factual record relating to the subject matter of the
complaint. In the event that the Board of Ethics conducts a hearing,
the municipal officer or employee will be provided the opportunity
to review documents relevant to the complaint, testimony shall be
taken under oath, and a transcript of the proceeding may be made available.
The Board of Ethics may redact any information not related to the
complainant and of a personal nature. The Village shall furnish a
copy of the hearing transcript, if any, to the municipal officer or
employee who is the subject of the complaint.
E.
Within 45 days of the completion of any investigation or hearing,
the Board of Ethics shall issue a written advisory opinion setting
forth its findings. A copy of the advisory opinion, together with
copies of any hearing transcript and all documents reviewed by the
Ethics Board in connection with its investigation or hearing, shall
be provided to the Village Board and the municipal officer or employee
who is the subject of the complaint.
F.
The Board of Ethics shall issue an advisory opinion. After receiving
such an advisory opinion, the Village Board may take such action as
it deems warranted under the circumstances and applicable laws.
G.
Where a criminal investigation or prosecution arises out of the same
facts as an alleged ethics violation, the Board of Ethics shall suspend
any investigation or hearing concerning the alleged ethics violation
until after the criminal investigation or prosecution is concluded.
H.
The Board of Ethics shall have the power from time to time to adopt
rules and regulations, not inconsistent with law or this chapter,
governing its procedures and transaction of its business. Every such
rule and regulation shall be filed in the office of the Village Clerk
and shall constitute a public record.
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 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 a municipal officer and employee of the Village of Mount
Kisco.
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 Manager's
office 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 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.
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 takes effect upon its filing with the Department of
State.
