[HISTORY: Adopted by the Board of Trustees
of the Village of Croton-on-Hudson 12-5-2022 by L.L. No. 16-2022.[1] Amendments noted where applicable.]
[1]
Editor's Note: This local law also repealed former Ch. 20,
Ethics, Code of, adopted 10-19-1970 by L.L. No. 1-1970.
The Board of Trustees of the Village of Croton-on-Hudson recognizes
that it must establish high standards of ethical conduct for public
officers, board members, and employees of the Village so as to promote
public confidence in the integrity of local government. Public officers
and employees of the Village hold their positions to serve and to
benefit the public and not for obtaining unwarranted personal or private
gain in the exercise and performance of their official functions.
It is the purpose of this chapter to afford public officers and employees
of the Village clear guidance on ethical standards and to serve as
a guide for clear and reasonable official conduct.
This Code is enacted pursuant to § 806 of the General
Municipal Law of the State of New York and § 10 of the Municipal
Home Rule Law. 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.
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, Water Control Commission, Zoning Board
of Appeals), commission or other agency or body comprised of two or
more municipal officers or employees.
A member of any Village board.
This Code of Ethics.
Any claim, account or demand against or agreement with a
municipality, express or implied, and shall include the designation
of a depository of public funds and the designation of a newspaper,
including, but not limited to, an official newspaper, for the publication
of any notice, resolution, ordinance, or other proceeding where such
publication is required or authorized by law.
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.
An officer or employee of the Village of Croton-on-Hudson,
whether paid or unpaid, and whether appointed, hired, or elected,
including all decision-making officers, employees, and members of
any decision-making board, body, council, commission, agency, department,
or committee. No person shall be deemed a municipal officer or employee
solely by reason of being a volunteer firefighter or civil defense
volunteer, except the Fire Chief or an Assistant Fire Chief.
The Village of Croton-on-Hudson. The word "municipal" refers
to the municipality.
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.
Every municipal officer or employee shall be subject to and
abide by the following standards of conduct:
A.
General prohibition. A municipal officer or employee shall not use
his or her official position or office, or fail to take any discretionary
action, in a manner in which he or she knows, or has reason to know,
may result in a personal, financial or material benefit to:
(1)
The Village officer or employee;
(2)
His or her outside employer or business;
(3)
A customer or client;
(4)
A person from whom the municipal officer or employee has received
election campaign contributions of more than $1,000 in the aggregate
during the past 12 months;
(5)
A relative; or
(6)
Any firm, corporation, association, partnership or other organization
in which the Village officer or employee, or a relative, serves as
an officer or director, whether compensated or uncompensated or of
which he or she legally or beneficially owns or controls more than
5% of the outstanding stock or has authority to decide upon grants
or other monetary benefits.
B.
Recusal and abstention.
(1)
A municipal officer or employee shall promptly recuse himself or herself from acting on any matter before the Village, including discussing the matter and participating in voting, when acting or failing to act on the matter may benefit the persons listed in § 20-4A, financially or otherwise, or give the reasonable appearance of a conflict of interest or impropriety.
(2)
Whenever a municipal officer or employee is required to recuse himself
or herself under this code, he or she:
(a)
Must promptly inform his or her superior, if any;
(b)
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 the information upon the public record
of the board; and
(c)
Must immediately refrain from participating further in the matter.
(3)
They must do so on the record and/or in writing and refrain from
any further participation in the matter.
(4)
If this section prohibits a municipal officer or employee from exercising
or performing a power or duty:
(a)
If the power or duty is vested in a board member, then the power
or duty shall be exercised or performed by the remaining members of
the board who are not subject to recusal.
(b)
If the power or duty is vested in an individual officer, then
the power or duty shall be exercised or performed by his or her deputy.
If the individual officer or employee does not have a deputy, the
power or duty shall be performed by another person to whom the Village
Manager may lawfully delegate the function.
(c)
If the power or duty is vested in an individual employee, he
or she shall refer the matter to his or her immediate supervisor,
and the immediate supervisor shall designate another individual to
exercise or perform the duty.
C.
Gifts and solicitations.
(1)
No municipal officer or employee shall directly or indirectly solicit
any gifts, whether in the form of money, services, travel, entertainment,
hospitality, thing, or promise, or in any other form, or accept any
gifts from any person, partnership, corporation, or other entity which
has a business relationship with the Village of Croton-on-Hudson.
(2)
No municipal officer or employee shall, directly or indirectly, solicit
any gift, contribution, or donation from any person on Village property.
(3)
No municipal officer or employee shall, directly or indirectly, solicit
any gift, contribution, or donation from any subordinate employee
or board member.
(4)
No municipal officer or employee may accept or receive any gift or
gifts from the same donor, having annual aggregate value of $75 or
more when:
(5)
Valuation of gifts.
(a)
The value of the gift is the gift's fair market value,
determined by the retail cost of the item or a comparable item, at
the time it is sought to be given.
(b)
The fair market value of a ticket or voucher entitling the holder
to food, refreshments, entertainment, or any other benefit is determined
by the face value of the ticket or the actual cost to the donor, whichever
is greater.
(c)
Determination of whether multiple gifts from a single donor
exceeds $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.
(6)
Gifts intended to influence or reward.
(a)
A gift to a municipal officer or employee is presumed to be
intended to influence the officer or employee in their 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 of employee.
(b)
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 sought municipal action involving
the exercise of discretion by or with the participation of the officer
or employee during the preceding 12 months.
(7)
The term "gift" does not prohibit any other gift, including:
(a)
Gifts made to the municipality;
(b)
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;
(c)
Gifts given on special occasions, such as marriage, holidays,
illness, or retirement, which are modest, reasonable, and customary;
(d)
Unsolicited promotional items having no substantial resale value,
such as pens, pencils, note pads, and calendars;
(e)
Awards and plaques having a value of $75 or less which are publicly
presented in recognition of public service or for other services rendered
to the community; or
(f)
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 or where the municipal official
is performing a ceremonial function, and the meals or refreshments
are made available to all participants.
D.
Political solicitations and campaign activities.
(1)
No municipal officer or employee shall directly or indirectly compel
or induce a subordinate municipal officer or employee to participate
in an election campaign or to make, or promise to make, any political
contribution, whether by gift of money, service, or thing of value.
(2)
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, because of the giving or withholding
or neglecting to make any contribution of money or service of any
other valuable thing for any political purpose.
(3)
No employee shall engage in political campaign activities during
the official hours of his or her Village of Croton-on-Hudson workday.
E.
Nepotism.
(1)
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 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 audit or supervise a relative
in the performance of the relative's official powers or duties.
(2)
An employee currently employed prior to the adoption of this chapter
shall be exempt.
F.
Disclosure of confidential information. 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
or duties.
G.
Disclosure of interest in legislation and official action.
(1)
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 the persons listed in § 20-4A, the municipal officer shall disclose, in writing, the nature of the interest.
(2)
The disclosure shall be made at the earlier of 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.
(3)
In all cases, the disclosure shall be filed with the Village Manager's
office. Any disclosure related to a member of a board shall be made
publicly at a meeting of the board and be included in the official
record of the meeting.
H.
Interest in Village contracts.
(1)
No municipal officer or employee may have an interest in a contract
that is prohibited by § 801 of the General Municipal Law.
(2)
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.
I.
Private employment in conflict with official duties.
(1)
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 § 20-4C 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)
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; or
(d)
Otherwise violates § 805-a(1)(c) through (d) of the
General Municipal Law.
(2)
A municipal officer or employee may not represent any other person
in any matter that person has before the municipality nor represent
any other person in any matter against the interests of the municipality.
(3)
A municipal officer or employee may not appear before any agency
of the municipality, except on his or her own behalf or on behalf
of the municipality.
J.
Future employment.
(1)
No municipal officer or employee may ask for, seek, 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 90 days following
final disposition of the matter.
(2)
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.
(3)
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.
K.
Investments in conflict with official duties.
(1)
No municipal officer or employee may acquire the following investments:
(a)
Investments that can be reasonably expected to require more than sporadic recusal and abstention under § 20-4C of this code; or
(b)
Investments that would otherwise impair the person's independence
of judgment in the exercise or performance of his or her official
powers or duties; or
(c)
Investments from any Village of Croton-on-Hudson auction if
the municipal 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.
(2)
This section does not prohibit a municipal officer or employee from
acquiring any other investments or the following assets:
(a)
Real property located within the municipality and used as his
or her personal residence; or
(b)
Less than 5% of the stock of a publicly traded corporation;
or
(c)
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.
L.
Treatment of public. A municipal officer or employee of the Village
of Croton-on-Hudson shall treat all members of the public, whether
a person, firm, 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.
This code's prohibition on use of a municipal position (§ 20-4A), disclosure requirements (§ 20-4G through H) and requirements relating to recusal and abstention (§ 20-4C) shall not apply with respect to the following matters:
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.
Pursuant to New York General Municipal Law § 806, the Village
Manager shall cause a copy of this code to be distributed to each
municipal officer and employee upon the adoption of this chapter and
at the time of commencement of each person's service in each
new capacity. The code, and any amendment thereto, shall be posted
publicly and conspicuously in each building under municipal 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 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.
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.
