[HISTORY: Adopted by the Village Board of Trustees of the
Village of Lima 7-10-2018 by L.L.
No. 2-2018. Amendments noted where applicable.]
A.
Pursuant to the provisions of § 806 of the General Municipal
Law, the Village Board of Trustees of the Village of Lima recognizes
that there are rules of ethical conduct for public 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 unit
of local government. It is the purpose of this chapter to promulgate
these rules of ethical conduct for the officers and employees of the
Village of Lima. These rules shall serve as a guide for official conduct
of the officers and employees of the Village of Lima. 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.
B.
Pursuant to the provisions of § 808 of the General Municipal
Law, the Village Board of Trustees of the Village of Lima intends
to implement this objective through the establishment of standards
of conduct, to provide for punishment of violation of such standards
and to provide a forum by which a Board of Ethics may render advisory
opinions to the Village's officers and employees as provided herein.
C.
The Village Board further recognizes that it is authorized by Municipal
Home Rule Law to supersede certain provisions of § 808 of
the General Municipal Law in the creation and governance of the Village
Board of Ethics, and by this chapter elects to do so.
Chapter 15 of the Code of the Village of Lima, entitled "Code of Ethics," is hereby amended, repealed and superseded by this enactment, which shall be entitled "Ethics Code Local Law of the Village of Lima."
As used in this chapter, the following terms shall have the
meanings indicated:
As used in this chapter, a treasurer is the Village Clerk/treasurer,
a fire department treasurer, improvement district treasurer, or other
officer possessing similar powers and duties. If such position is
officially created by the Village, a chief fiscal officer is a comptroller,
commissioner of finance, director of finance or other officer possessing
similar powers and duties.
A conflict of interest is a limitation on the holding of
a municipal office when the holder of the office has certain other
private interests affecting the municipality.
A contract is any claim, account or demand against or agreement
with a municipality, express or implied, and includes the designation
of a depository of public funds and the designation of a newspaper,
including but not limited to an official newspaper.
Discretionary powers are outlined in General Municipal Law
§ 801 and include the power or duty to negotiate, prepare,
authorize or approve the contract or authorize or approve payment
thereunder; audit bills or claims under the contract; or appoint an
officer or employee with any of these powers or duties.
An interest is defined as a direct or indirect pecuniary
(monetary) benefit accruing to an individual as a result of a contract
they have with a municipality for which they also serve as an officer
or an employee. Municipal officers and employees are deemed to have
an interest in the contracts of the following individuals and entities,
whether or not the officer or employee directly received a pecuniary
or material benefit from such contracts:
His or her spouse, minor children and dependents, except a contract
of employment with the municipality which the officer or employee
serves;
A firm, partnership or association of which the officer or employee
is a member or employee;
A corporation of which the officer or employee is an officer,
director or employee; and
A corporation, any stock of which is owned or controlled directly
or indirectly by the officer or employee.
An officer or employee of a municipality, whether paid or
unpaid, including members of any administrative board, commission
or other agency thereof. No person will be deemed to be a municipal
officer or employee solely by reason of being Village Engineer or
Village Attorney or accountant or bookkeeper for the Village, or a
volunteer fireman or civil defense volunteer, except a Fire Chief
or assistant Fire Chief.
The Village of Lima, or any agency or instrumentality of
said Village.
Officers and employees of the Village of Lima shall be subject
to and abide by the following ethical standards of conduct:
A.
General prohibition on the use of municipal office for private gain.
A municipal officer or employee shall not use his or her official
position or office, or take or fail to take any action, in a manner
which he or she knows or has reason to know may result in a personal
financial benefit for any of the following persons:
(1)
The municipal officer or employee;
(2)
His or her outside employer or business;
(3)
A member of his or her household;
(4)
A customer or client;
(5)
A relative;
(6)
A person or entity with which the municipal officer or employee has
had a financial relationship within the previous 12 months;
(7)
A person from whom the municipal officer or employee has received
election campaign contributions of more than $1,000 in the aggregate
during the previous 24 months.
B.
Recusal. A municipal officer or employee shall promptly recuse himself or herself from acting on a matter before the municipality when acting on the matter, or failing to act on the matter, may financially benefit any of the persons listed in Subsection A of this section.
C.
Misuse of municipal resources. No municipal officer or employee shall
request or permit the use of Village-of-Lima-owned vehicles, equipment,
material or property for personal convenience or profit, except when
such services are available to the public generally or are provided
as a matter of municipal policy for the use of such officer or employee
in the conduct of official business. No employee shall engage in private
work or activity for himself or for another party during hours that
such employee is working for the Village.
D.
Gifts. A municipal officer or employee shall not directly or indirectly
solicit or accept any gift having a value of $75 or more, whether
in the form of money, services, loan, travel, entertainment, hospitality,
thing or promise or any other form, under circumstances in which it
could reasonably be inferred that the gift was intended to influence
him or could reasonably be expected to influence him in the performance
of his official duties or was intended as a reward for any official
action on his part.
E.
Gratuities (tips). A municipal officer or employee shall not request
or accept anything from any person or entity other than the municipality
for doing his or her municipal job.
F.
Representation. A municipal officer or employee shall not represent
any person or entity in any matter that person or entity has that
is before the municipality nor represent any person or entity in any
matter that involves the municipality.
G.
Appearances. A municipal officer or employee shall not appear before
any agency of the municipality, except on his or her own behalf or
on behalf of the municipality.
H.
Confidential information. A municipal officer or employee shall not
disclose confidential information or use it for any nonmunicipal purpose,
even after leaving municipal service.
I.
Obligation to citizens. No officer or employee of the Village of
Lima shall use or attempt to use his official position to secure unwarranted
privileges or exemptions for himself or others or grant any special
consideration, treatment or advantage to any citizen beyond that which
is available to every other citizen. An officer or employee of the
Village of Lima should not by his conduct give reasonable basis for
the impression that any person can unduly influence him or improperly
enjoy his favor in the performance of his official duties or that
he is affected by the kinship, rank, position or influence of any
party or person.
J.
Private employment. A municipal officer or employee shall not seek
or obtain any nonmunicipal employment with any person or entity he
or she is dealing with in his or her municipal job.
K.
Revolving door for high level officials (lobbyist provision). For
one year after leaving municipal service, a former municipal officer
or employee shall not communicate with his or her former municipal
agency, except on his or her own behalf, and should never accept anything
of value to work on any particular matter that he or she personally
and substantially worked on while in municipal service.
L.
Avoiding conflicts. Municipal officers and employees may not knowingly
acquire, solicit, negotiate for, or accept any interest, employment,
or other thing of value which would put them in violation of this
code of ethics.
M.
Inducing others. A municipal officer or employee may not induce or
aid another officer or employee of the municipality to violate any
of the provisions of this code of ethics.
N.
Transactional disclosure. Whenever a municipal officer or employee
is required to recuse himself or herself under this code of ethics,
he or she:
(1)
Must promptly inform his or her superior, if any;
(2)
Must promptly file with the Municipal Clerk a signed statement disclosing
the nature and extent of the prohibited action or, if a member of
a board, must state that information upon the public record of the
Board; and
(3)
Must immediately refrain from participating further in the matter.
O.
Nepotism. 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.
P.
Lawyers and experts. A municipal officer or employee shall not be
a lawyer or expert against the municipality's interests in any lawsuit.
Q.
Coercive political solicitation. A municipal officer or employee
shall not use his or her municipal position to make threats or promises
for the purpose of trying to get anyone to do any political activity
or make a political contribution.
R.
Political solicitation of vendors, contractors, and licenses. A municipal
officer or employee shall not ask any person or entity that does or
intends to do business with the municipality or that has or is seeking
a license, permit, grant, or benefit from the municipality or that
has done business with the municipality during the previous 12 months
to make any political contribution or engage in any political activity.
S.
Solicitation of subordinates. A municipal officer or employee shall
not knowingly request or knowingly authorize anyone else to request
any subordinate of the officer or employee to purchase anything from,
or give or contribute anything to, any person or organization, including
any not-for-profit organization.
T.
Annual disclosure. All public officers and employees of the Village
of Lima shall file with the Village Clerk an annual disclosure and
conflict of interest statement using the Village's prescribed form.
The form is found at Schedule A at the end of this chapter.[1] All public officers and employees of the Village of Lima
consent to and permit the transmission of such conflict of interest
statements to the Board of Ethics.
[1]
Editor's Note: See "Annual Disclosure and Conflict of Interest Statement," which form is included as an attachment to this chapter.
As permitted by law, the Village Board of Trustees of the Village
of Lima, pursuant to the powers given it by the Village Law, the General
Municipal Law and Municipal Home Rule Law, hereby authorize the Livingston
County Board of Ethics to act and function as the local Board of Ethics.
The Board of Ethics is specifically empowered to render advisory
opinions to help ensure on behalf of the public that governmental
decisions are being made solely in the public interest:
A.
The Board of Ethics is directed to consider written requests made
by a Village official or employee concerning an issue or concern directly
involving that official or employee, for the purposes of assisting
that official or employee in the proper furtherance of his or her
duties. In such instance, an advisory opinion of the Board of Ethics
will help to determine if the action or participation of an official
or employee in a course of conduct does or does not violate official
standards.
(1)
The Board of Ethics shall also be directed to consider written requests
made by the Village Board to determine if the action or participation
of an official or employee in a course of conduct does or does not
violate ethics standards.
(2)
The Board of Ethics shall not be authorized to act upon an inquiry
of the public at large.
B.
Opinions of the Board of Ethics shall be advisory and confidential.
All opinions shall be in writing. In no event shall the opinion or
the identity of the Village employee or official involved be disclosed
by the Board of Ethics to any party other than to the involved employee
or official and to the Village Board of Trustees.
[Amended at time of adoption of Code (see Ch. 1, General
Provisions, Art. I)]
C.
If, upon consideration of the facts presented to it, the Board of
Ethics determines that no reasonable basis exists for a finding that
an action or course of conduct of an official is unethical, then such
Board shall immediately issue a written statement to that effect.
[Amended at time of adoption of Code (see Ch. 1, General
Provisions, Art. I)]
Upon entering office or employment, every Village officer and
employee shall receive a copy of the Code of Ethics of the Village
of Lima, together with the annual disclosure form. Each officer and
employee shall, upon initially taking Village office or entering Village
employment, sign a copy of the Code of Ethics acknowledging that said
party has read and understood it. All present officers and employees
of the Village shall receive and acknowledge a copy of the Code of
Ethics within 30 days of its adoption. All officers and employees
of the Village shall sign and file with the Village Clerk the annual
disclosure form made a part of this chapter. Failure to distribute
any such copy or failure of any officer or employee to receive such
copy shall have no effect on the duty of compliance with such Code
of Ethics, nor the enforcement of provisions thereof.
Insofar as this chapter may so regulate, it is the intention
of this chapter that the Board of Ethics shall govern its actions
and inquiries as follows:
A.
The Board of Ethics shall only consider requests for advisory opinions
from officers and employees having the apparent conflict, and from
the Village Board.
B.
The opinion request shall be in writing, clearly state the question
and provide relevant facts.
C.
The Board of Ethics may request additional information or require
that the individual making the inquiry appear before the Board to
clarify ambiguities or provide additional material.
D.
In considering inquiries the Board should review the municipality's
Code of Ethics, consider opinions of the Attorney General and Comptroller,
and review relevant provisions of the General Municipal Law.
E.
The Board's advisory opinion should only answer the question raised
and only include facts that are relevant to its findings. Opinions
must be in writing.
F.
In considering the inquiry, the name of the individual seeking the
advisory opinion should be kept confidential, thus encouraging inquiries.
In addition to any penalty contained in any other provision
of law, any person who shall knowingly and intentionally violate any
of the provisions of this chapter may be fined, suspended or removed
from office or employment, as the case may be, in the manner provided
by law.
This chapter shall take effect immediately upon its filing in
the Office of the Secretary of State.
