[HISTORY: Adopted by the Board of Trustees
of the Village of Westhampton Beach 5-5-2011 by L.L. No. 6-2011[1]. Amendments noted where applicable.]
GENERAL REFERENCES
Defense and indemnification of officers and employees — See Ch. 15.
[1]
Editor's Note: This local law also repealed former Ch. 23,
Ethics, Code of, adopted 9-11-1970 by resolution, as amended.
The Board of Trustees does hereby adopt this Code of Ethics
standards of conduct for the municipal officers and employees of the
Village of Westhampton Beach, New York, pursuant to the provisions
of Article 18 of the General Municipal Law; unless otherwise expressly
stated or unless the context otherwise requires, the definitions set
forth in said Article 18 shall apply to this Code of Ethics.
When used in this chapter and unless otherwise expressly stated
or unless the context otherwise requires, the following terms shall
have the meanings indicated:
Any claim, account or demand against or agreement with the
Village of Westhampton Beach express or implied including 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 pecuniary or material benefit accruing
to a municipal official or employee as a result of a contract with
the Village of Westhampton Beach. For the purposes of this chapter,
a municipal officer or employee shall be deemed to have an interest
in the contract of:
His spouse, minor children and dependents, except a contract
of a spouse, minor children and dependents of employment with the
Village of Westhampton Beach;
A firm, partnership or association of which such officer or
employee is a member or employee;
A corporation of which such officer or employee is an officer,
director or employee; and
A corporation, any stock of which is owned or controlled directly
or indirectly by such officer or employee.
An officer or employee of the Village of Westhampton Beach,
whether paid or unpaid, including members of any administrative board,
commission or other agency thereof.
Every officer or employee of the Village of Westhampton Beach
shall be subject to and abide by the following standards of conduct:
A.
An
officer or employee shall not use or attempt to use said person's
position as a public servant to obtain any financial gain, contract,
license, privilege or personal advantage, direct or indirect, for
such officer or employee or any person, firm or corporation associated
with such officer or employee.
B.
Gifts.
An officer or employee shall not, directly or indirectly, solicit
or accept any gift having a monetary value of $150 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
such officer or employee, or could reasonably be expected to influence
such officer or employee, in the performance of such officer or employee's
official duties or was intended as a reward for any official action
on the part of such officer or employee.
C.
Confidential
information. An officer or employee shall not disclose confidential
information acquired by such officer or employee in the course of
such officer or employee's official duties or use such information
to further such officer or employee's personal interest.
D.
Representation
before one's own agency. An officer or employee shall not receive
or enter into any agreement, express or implied, for compensation
for services to be rendered in relation to any matter before any municipal
agency of which such officer or employee is and officer, member or
employee or of any municipal agency over which such officer or employee
has jurisdiction or to which such officer or employee has the power
to appoint any member, officer or employee.
E.
Representation
before any agency for a contingent fee. An officer or employee shall
not receive or enter into any agreement, express or implied, for compensation
for services to be rendered in relation to any matter before any agency
of such officer or employee's municipality, whereby such officer
or employee's compensation is dependent or contingent upon any
action by such agency with respect to such matter, provided that this
subsection shall not prohibit the fixing of any kind of fees based
upon the reasonable value of the services rendered.
F.
Disclosure
of interest in legislation. To the extent that such officer or employee
knows thereof a member of the Board of Trustees and any officer or
employee of the Village of Westhampton Beach, whether paid or unpaid,
who participates in the discussion or gives official opinion to the
Board of Trustees on any legislation before the Board of Trustees
shall publicly disclose on the official record the nature and extent
of any direct or indirect financial or other private interest such
officer or employee has in such legislation.
G.
Investments
in conflict with official duties. An officer or employee shall not
invest or hold any investment, directly or indirectly, in any financial,
business, commercial or other private transaction which creates a
conflict with such officer or employee's official duties. This
shall not be construed to apply when such officer or employee has
recused himself or herself from involvement in the matter before the
Village which creates a conflict with such officer or employee's
duties.
H.
Private
employment. An officer or employee shall not engage in, solicit, negotiate
for or promise to accept private employment or render services for
private interests when such employment or service creates a conflict
with or impairs the proper discharge of such officer or employee's
official duties. This shall not be construed to apply when such officer
or employee has recused himself/herself from involvement in a matter
before the Village which creates a conflict with or impair of such
officer or employee's official duties.
A.
Except as provided in Subsection C below:
(1)
No municipal officer or employee shall have an interest in the Village
of Westhampton Beach when such officer or employee, as a member of
a board or individually, has the power or duty to:
(2)
No Village Treasurer or his deputy or employee shall have an interest
in a bank or trust company designated as a depository, paying agent,
registration agent for investment of funds of the Village of Westhampton
Beach.
B.
The provisions of Subsection A above shall in no event be construed to preclude the payment of lawful compensation and necessary expenses of any municipal officer or employee in one or more positions of public employment, the holding of which is not prohibited by law.
C.
The provisions of Subsection A shall not apply to:
(1)
The designation of a bank or trust company as a depository, paying
agent, registration agent for investment of funds of the Village of
Westhampton Beach except when the Village Treasurer, or his/her deputy
or employee has an interest in such bank or trust company; provided
however, where designation of a bank or trust company outside the
Village would be required because of the foregoing restrictions, a
bank or trust company within the Village may nevertheless be so designated;
(2)
A contract with a person, firm, corporation or association in which
a Village officer or employee has an interest which is prohibited
solely by reason of employment as an officer or employee thereof,
if the remuneration of such employment will not be directly affected
as a result of such contract and the duties of such employment do
not directly involve the procurement, preparation or performance of
any part of such contracts;
(3)
The designation of a newspaper, including but not limited to an official
newspaper, for the publication of any notice, resolution, local law
or other proceeding which such publication is required or authorized
by law;
(4)
The purchase by the Village of real property or an interest therein,
provided the purchase and consideration therefor is approved by order
of the Supreme Court upon petition of the Board of Trustees;
(5)
The acquisition of real property or any interest therein, through
condemnation proceedings according to law;
(6)
A contract with a membership corporation or other nonprofit corporation
or association;
(7)
The sale of bonds and notes pursuant to § 60.10 of the
Local Finance Law;
(8)
A contract in which a Village officer or employee has an interest,
if such contract was entered into prior to the time he/she was elected
as a Village officer or appointed as an officer or employee, but this
subsection shall in no event authorize a renewal of any such contract;
(9)
A contract with a corporation in which a Village officer or employee
has an interest by reason of stockholdings when less than 5% of the
outstanding stock of the corporation is owned or controlled directly
or indirectly by such officer or employee;
(10)
A contract for the furnishing of public utility services when the
rates or charges therefor are fixed or regulated by the Public Service
Commission;
(11)
A contract for the payment of a reasonable rental of a room or rooms
owned or leased by an officer or employee when the same are used in
the performance of his official duties and are so designated as an
office or chamber;
(12)
A contract for the payment of a portion of the compensation of a
private employee of an officer when such employee performs part-time
service in the official duties of office;
(13)
A contract in which a Village officer or employee has an interest
if the total consideration payable thereunder, when added to the aggregate
amount of all consideration payable under contracts in which such
person had an interest during the fiscal year, does not exceed the
sum of $750;
(14)
A contract with a member of a private industry council established
in accordance with the Federal Job Training Partnership Act or any
firm, corporation, association in which such member holds an interest,
provided the member discloses such interest to the council and the
member does not vote on the contract.
A.
Any municipal officer or employee who has, will have or later acquires
an interest in any actual or proposed contract with the Village of
Westhampton Beach shall publicly disclose the nature and extent of
such interest in writing to his immediate supervisor and to the Board
of Trustees as soon as he has knowledge of such actual or prospective
interest. Such written disclosure shall be made part of and set forth
in the official record of the proceedings of said Board.
No person who has served as an officer or employee of the Village
of Westhampton Beach shall with respect to any case, proceeding, application
or matter which was pending before a board, agency or department while
he was serving as an officer or employee of such a board, agency or
department, within a period of six months after the termination of
such service or employment, appear before any such board, agency or
department or act as counsel, attorney or agent with respect to any
such case, application or matter.
A.
There is hereby created and established a Board of Ethics consisting
of five members to be appointed by the Board of Trustees, to serve
without compensation. The term of each member shall be three official
years, except as otherwise hereinafter provided. The original three
members shall be appointed by the Board of Trustees at its organizational
meeting in July 2011; one member's term shall expire at the end
of the official year in July 2012, and the appointment to fill this
vacancy shall be made by the Board of Trustees for a period of three
years; one member's term shall expire at the end of the official
year in July 2013, and the appointment to fill this vacancy shall
be made by the Board of Trustees for a period of three years; one
member's term shall expire at the end of the official year in
July 2014, and the appointment to fill this vacancy shall be made
by the Board of Trustees for a period of three years. Succeeding appointments
shall be made for terms of three official years. The members of the
Board of Ethics shall elect a Chairman annually. At least one member
of the Board of Ethics shall be an elected or appointed officer or
employee of the Village of Westhampton Beach. A majority of the members
of the Board of Ethics shall not otherwise be officers or employees
of the Village of Westhampton Beach.
B.
The Board of Ethics shall render advisory opinions to officers or employees of the Village of Westhampton Beach with respect to this Code of Ethics and Article 18 of the General Municipal Law. Such advisory opinions shall be rendered pursuant to the procedures set forth in Subsection C below, and under such rules and regulations as the Board may prescribe. The Board shall have the advice of counsel employed by the Board of Trustees or, if none, the Village Attorney.
C.
Procedures relating to requests for and issuance of advisory opinions.
(1)
All requests for advisory opinions shall be in writing, shall identify
all pertinent facts and circumstances, shall be directed to the Chairperson
of the Board of Ethics, and shall only be opened by the Chairperson
of the Board of Ethics;
(2)
Upon receipt of a written request for an advisory opinion, the Chairperson
of the Board of Ethics shall promptly convene a meeting of the Board
to review such request and to discuss the procedures applicable to
such request;
(3)
The Chairperson of the Board may appoint members of the Board to
conduct fact finding and background research, which may include interviewing
the requester, the officer or employee who is the subject of the request
for an advisory opinion, appropriate supervisory personnel and other
affected parties, gathering applicable policies, procedures, legal
and contractual information, reviewing past advisory opinions and
obtaining legal advice;
(4)
If the officer or employee who is the subject of a request for an
advisory opinion (to wit, the officer or employee whose conduct or
prospective conduct is involved in a request for an advisory opinion)
is not the person who requested the advisory opinion, the following
procedures shall be applicable thereto:
(a)
Prior to conducting any fact finding, the Board shall send a
copy of the request for an advisory opinion, in a form which blocks
out or deletes the name (identity) of the requester, to the officer
or subject of the request (such officer or employee being hereinafter
referred to as the subject of the request), together with written
notice providing the subject of the request with a reasonable period
of time (the specific amount of time to be specified by the Board
in such notice) within which to submit a written response to the Board.
(b)
Prior to rendering an advisory opinion, the Board shall send
to the subject of the request written notice containing a statement
of the facts and circumstances upon which an advisory opinion will
be based and providing the subject of the request a reasonable period
of time (the specific amount of time to be specified by the Board
in such notice) within which to submit a written response to the Board.
(5)
During an inquiry, the members of the Board may not be contacted
by any officer or employee of the Village. The Board will initiate
all interviews. Comments from interested parties must be in writing
to the Board;
(6)
To protect the confidentiality of all involved, no member of the
Board of Ethics may discuss any matter of its inquiry (outside of
the Board of Ethics) with any other person, including but not limited
to members of the Board of Trustees;
(7)
The Board shall determine whether the subject of a request for an
advisory opinion is within the jurisdiction of the Board. If the Board
determines that the subject of the request is not within the jurisdiction
of the Board, the Chairperson shall so notify the requester in writing;
(8)
The Board shall determine whether it has sufficient information to
render an advisory opinion. If the Board determines that it does not
have sufficient information to render an advisory opinion, the Chairperson
of the Board shall so notify the requester in writing;
(9)
The Board shall determine in its sole discretion whether it will
or will not render an advisory opinion. If the Board determines that
it will not render an advisory opinion, the Chairperson of the Board
shall so notify the requester or in writing. In determining whether
it will or will not render an advisory, the Board may consider, in
addition to specific factors related to a request, the following general
factors: whether an advisory opinion would assist the requester and
guide future conduct; whether the issue is one of general application
to others who are subject to the Code of Ethics;
(10)
Every advisory opinion shall be labeled "Advisory Opinion" and shall
contain the following statement:
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"The primary purpose of the Board of Ethics is to render advisory
opinions upon request. The opinions are unenforceable by the Board
of Ethics but are meant to enrich the knowledge of the Board of Trustees
as it decides issues relevant to the Code of Ethics of the Village
of Westhampton Beach."
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(11)
Every advisory opinion shall be authorized and approved by resolution
of the Board. The Board shall keep minutes of such resolutions showing
the vote of each member on such resolution. Every advisory opinion
shall be signed by the Chairperson of the Board on behalf of the Board;
(12)
If the officer or employee who is the subject of an advisory opinion
is the person who requested such opinion, the advisory opinion shall
be issued to the officer or employee who is the subject of such opinion
and a copy of the advisory opinion shall be filed with the Board of
Trustees;
(13)
If the officer or employee who is the subject of an advisory opinion
is not the person who requested such opinion, the advisory opinion
shall be issued to the officer or employee who is the subject of such
opinion, and a copy of the advisory opinion shall be filed with the
Board of Trustees. Upon issuing such opinion, the Board of Ethics
shall send written notice to the requester (the person who requested
the opinion) that the Board of Ethics has issued an advisory opinion
and has filed a copy thereof with the Board of Trustees, but the Board
of Ethics shall not send a copy of the advisory opinion to the requester;
(14)
No meeting or proceeding of the Board of Ethics relating to the request
for an issuance of advisory opinions shall be open to the public,
except upon the request of the officer or employee who is the subject
thereof or as otherwise required by Article 7 of the Public Officers
Law or some other state or federal law. It is the intent of this provision
that all meetings and proceedings of the Board of Ethics relating
to requests for and issuance of advisory opinions shall be closed
to the public to the fullest extent allowed by law;
(15)
No record of the Board of Ethics relating to requests for an issuance
of advisory opinions (including but not limited to the requests for
advisory opinions and the advisory opinions) shall be available for
public inspection, except as otherwise required by Article 6 of the
Public Officers Law or some other state or federal law. It is the
intent of this provision that, to the fullest extent allowed by law,
all records of the Board of Ethics relating to requests for an issuance
of advisory opinions (including but not limited to requests for advisory
opinions and the advisory opinions) shall not be available for public
inspection and shall not be publicly disclosed by the Board of Ethics;
(16)
Except as otherwise expressly required by a procedure set forth in this Subsection C, all records of the Board of Ethics relating to requests for an issuance of advisory opinions (including but not limited to requests for advisory opinions and advisory opinions) shall be held in confidence by the Board of Ethics and shall not be disclosed by any member of the Board of Ethics to any person;
(17)
Upon the filing of a copy of an advisory opinion with the Board of
Trustees, such advisory opinion shall be held in confidence by the
Board of Trustees and shall not be disclosed by any member of the
Board of Trustees to any person, except as otherwise hereinafter provided.
After discussing such advisory opinion in executive session, the Board
of Trustees may determine by resolution the extent of any disclosure
of such advisory opinion;
(18)
The Board of Ethics may publicly disclose its advisory opinions in
a form which deletes identifying details (to wit, the name/identity
of the officer or employee who is the subject of the advisory opinion
and other identifying details), provided that the Board of Trustees
has approved the form in which the advisory opinion is publicly disclosed.
Prior to such public disclosure, the Board of Ethics shall submit
to the Board of Trustees for review by the Board of Trustees the form
in which the advisory opinion is proposed to be publicly disclosed;
after discussing such proposed form in executive session, the Board
of Trustees shall by resolution approve or disapprove such proposed
form. Upon obtaining approval from the Board of Trustees of the form
in which the advisory opinion is to be publicly disclosed, the Board
of Ethics may publicly disclose the advisory opinion in such approved
form. Such public disclosure shall include sending a copy of the advisory
opinion in such approved form to the person who requests the opinion
and to the officer or employee who is the subject of the opinion.
The Board of Ethics shall maintain a file containing its advisory
opinions in the form approved by the Board of Trustees for public
disclosure and such advisory opinions in such form shall be available
for public inspection;
In addition to any penalty contained in any other provision
of law, any person who shall knowingly and intentionally violate this
Code of Ethics may be disciplined, suspended or removed from office
or employment in the manner provided by law.
