[HISTORY: Adopted by the Board of Trustees
of the Village of Mamaroneck 1-12-2009 by L.L. No. 1-2009,[1] effective 1-15-2009; amended in its entirety 4-24-2024 by L.L. No. 6-2024,
effective 4-30-2024. Subsequent amendments noted where applicable.]
[1]
Editor's Note: This local law also superseded
former Ch. 21, Ethics, Code of, adopted 8-10-1987 by L.L. No. 10-1987,
effective 8-17-1987.
The Board of Trustees of the Village of Mamaroneck recognizes
that it must establish high standards of ethical conduct for officers,
elected and appointed board, commission and committee members and
employees of the Village so as to promote public confidence in the
integrity of local government. It is the purpose of this chapter to
establish those standards while affording those persons to whom this
chapter applies clear guidance on ethical standards, requiring public
disclosure of interests that may influence or appear to influence
the actions of Village officers, board, commission and committee members
and employees and providing for the fair and effective administration
of this chapter, including the protection of those who make good faith
disclosure of suspected unethical or wrongful conduct.
This chapter is enacted pursuant to § 806 of the General
Municipal Law of the State of New York and § 10 of the Municipal
Home Rule Law. It is not intended to authorize any conduct prohibited
by Article 18 of the General Municipal Law or any other general or
special law or conduct relating to conflicts of interest, ethical
conduct and interests of covered persons, as that term is defined
in this chapter, in contracts. To the extent this chapter is inconsistent
with the provisions of § 808 of the General Municipal Law,
the more restrictive provision applies.
As used in this chapter, the following terms shall have the
meanings indicated:
The statement required by § 21-6(C) of this chapter to be filed each year by each designated person.
Communicating in any form, including, without limitation,
in person or through another person or business entity, by letter,
email, facsimile, telephone or other means of communication.
A person who applies to be employed by the Village or a person
or business entity that applies for a zoning change, variance, special
permit, site plan approval, subdivision approval, license or other
approval or permit under the Code of the Village of Mamaroneck.
The statement required by § 21-6F of this chapter to be filed by each applicant.
Having or providing any contract, service, or work with or
to the Village or buying, selling, renting, leasing or otherwise acquiring
from or dispensing to the Village any goods, services, or property.
A corporation, limited liability company, limited liability
partnership, partnership, sole proprietorship or other business or
a not-for-profit corporation or other organization.
Information in any format that is 1) prohibited from disclosure
by federal, state or local law or ordinance or by resolution of the
Board of Trustees; or 2) exempt from mandatory disclosure under the
New York State Freedom of Information Law (FOIL); or 3) not required
to be discussed in a public meeting under the New York State Open
Meetings Law.[1] Confidential information includes, but is not limited
to, nonpublic information such as requests for proposals or bid specifications
prior to publication and bids or responses to requests for proposals
submitted by persons or business entities.
Members of the Village Board of Trustees, employees, officers,
and consultants of the Village, members of Village agencies, whether
compensated or uncompensated, except where otherwise provided in this
chapter or by Article 18 of the General Municipal Law. Volunteer firefighters,
auxiliary police officers and civil defense volunteers other than
Fire Chiefs and Assistant Fire Chiefs are not covered persons.
Any person or any business entity to whom or to which a covered
person has sold or supplied goods or services to the Village during
the previous 12 months having, in the aggregate, a value greater than
$1,000, and any covered person or business entity whose outside employer
or business entity has supplied goods or services to the Village during
the previous 24 months having, in the aggregate, a value greater than
$1,000, but only if the person knew or had reason to know the outside
employer or business entity supplied such goods or services to the
Village.
To prohibit a recipient from participating in Village procurement
contracts.
Any person whom the covered person claims as dependent for
income tax purposes.
Any covered person who is required to file an annual disclosure
statement.
Any act involving the exercise of judgment or discretion
by a covered person, either individually or as a member of any board,
body, department, commission, or committee.
Any participation, connection or involvement which may result
in a direct or indirect pecuniary or material benefit accruing to
a covered person. For the purpose of this chapter, a covered person
has a direct interest in the affairs of a relative, a business entity
in which a covered person is a member, partner, owner, director, officer
or employee or a corporation, in which 5% or more of the corporation's
stock is owned or controlled, directly or indirectly, by a covered
person.
An employer, other than the Village, of a covered person.
A spouse, domestic partner, parent, stepparent, sibling,
half-sibling, stepsibling, spouse of a sibling, child, stepchild,
uncle, aunt, nephew, niece, first cousin of a covered person, and
any other person who resides in the home of or is a dependent of a
covered person.
Any business dealing with or any application, petition, request
or receipt of any approval, grant, loan, license, permit, or other
privilege from any Village agency.
The statement required by § 21-6D of this chapter to be filed by each designated person.
The Village of Mamaroneck.
Any board, commission, committee, council, or other body
established, operated, or funded by the Village or by the Village
jointly with one or more other municipalities or government entities,
including, but not limited to, the Village Board of Trustees, Planning
Board, Zoning Board of Appeals and Harbor and Coastal Management Commission.
Any individual, group or firm which renders services on behalf
of the Village to any Village officer, Board of Trustees, Planning
Board, Board of Appeals or any other village agency.
[1]
Editor's Note: See Public Officers Law § 100
et seq.
A.
General standards applicable to covered persons. Every covered person must endeavor to pursue a course of conduct consistent with the declaration of policy and other provisions of this chapter and strive to act so as not to raise reasonable suspicion among the public that the covered person may or is likely to be engaged in conduct that is in violation of the public's confidence and trust. The specific prohibitions set forth in Subsections B through P of this section are a comprehensive, but not necessarily exclusive, list of provisions regarding the ethical conduct of covered persons. If a covered person is in doubt regarding any particular conduct or issue, the covered person should request an advisory opinion from the Ethics Board.
(1)
A covered person must not use the covered person's official
position or office, or take or fail to take any discretionary action,
in a manner which the covered person knows, or has reason to know,
may result in a personal financial benefit for any of the following
persons:
(a)
Any covered person;
(b)
Any covered person's employer (other than the Village);
(c)
A covered person's relative;
(d)
Any person or business entity that is a Customer or client of
the covered person; or
(e)
Any business entity in which the covered person or a relative
of the covered person has a financial or pecuniary interest or serves
as an employee, officer, or director, whether compensated or not compensated,
or of which the covered person or the covered person's relative
legally or beneficially owns or controls more than 5% of the outstanding
stock or has authority to decide upon dispensing grants or other monetary
benefits.
B.
Covered persons with responsibility for inspections and permits.
A covered person with the authority, either individually or as a member
of a board, commission, or other village agency, to conduct inspections
or issue permits or other Village approvals is not permitted to:
(1)
Engage in a business activity or have a financial interest in any
business entity that conducts such inspections or applies for or assists
in applications for such Village permits as a regular and significant
part of its business; or
(2)
Conduct any inspection or issue any permit with respect to an application
in which the covered person's outside employer or business has
been involved.
C.
Recusal.
(1)
A covered person must promptly recuse from participating in a matter before the Village in which the covered person has an interest when acting on the matter or failing to act on the matter may benefit the persons identified in § 21-4A(1), financially, or give the reasonable appearance of a conflict of interest or impropriety.
(2)
Whenever a covered person is required to recuse, the covered person
must do so on the record and/or in writing, refrain from any further
participation in the matter, and leave the room in which the discussion
of the matter is being held, whether in a public meeting or any executive
session or other nonpublic meeting.
D.
Gifts and solicitations.
(1)
A covered person must not directly or indirectly solicit any gift,
or accept or receive any gift having a value of $75 or more, whether
in the form of money, service, loan, travel, entertainment, hospitality,
thing or promise, or in any other form, under circumstances in which
it could reasonably be inferred that the gift was intended to influence
the covered person, or could reasonably be expected to influence the
covered person, in the performance of the covered person's official
duties or was intended as a reward for any official action on the
covered person's part.
(2)
The term "gift" does not include any of the following:
(a)
Complimentary attendance, food and beverage offered by the sponsor
of an event that is widely attended or was in good faith intended
to be widely attended, when attendance at the event is related to
the covered person's duties and responsibilities as a public
official or allows the covered person to perform a ceremonial function
appropriate to the covered person's position;
(b)
Complimentary attendance, including food and beverage, at bona-fide
charitable or political events, and food and beverage of a nominal
value offered other than as part of a meal;
(c)
Awards publicly presented in recognition of public service,
acts of heroism or for solving crimes;
(d)
Plaques or other commemorative tokens of recognition presented
by representatives of governmental bodies or political subdivisions
who are acting in their official capacities;
(e)
Anything, regardless of the value, that is given to the Village,
is accepted by the covered person on behalf of the Village, and is
to remain the property of the Village;
(f)
Promotional items having no substantial resale value, such as
pens, mugs, calendars, hats, and t-shirts, which bear an organization's
name, logo or message in a manner which promotes the organization's
cause; and
(g)
Political contributions that are subject to disclosure and not
otherwise prohibited by law.
(3)
A covered person must not, directly or indirectly, solicit any gift,
contribution, or donation from any person or business entity on Village
property.
(4)
A covered person must not, directly or indirectly, solicit any gift,
contribution or donation from any subordinate employee or member of
any village agency.
E.
Nepotism.
(1)
A relative of a covered person must not be employed by the Village
on a full-time basis under any of the following circumstances:
(a)
Where either the covered person or the covered person's
relative would have authority (or practical power) to supervise, appoint,
remove, or discipline the other;
(b)
Where the covered person or the covered person's relative
would be responsible for auditing the work of the other;
(c)
Where the covered person and the covered person's relative
would report to the same immediate supervisor;
(d)
Where other circumstances might lead to a potential conflict
between the interests the covered person or the covered person's
relative and the best interests of the Village; or
(e)
Where the covered person or the covered person's relative
is an elected official, except when the relative was employed by the
Village prior to the elected official attaining office or where the
relative becomes a family member of the elected official after being
an employee of the Village.
F.
Disclosure of confidential information.
(1)
A covered person must not disclose information acquired by the covered
person in the course of official duties or use such information to
further the covered person's personal interests or the private
interests of others.
(2)
A covered person must not accept employment or engage in a business
or professional activity which will require the covered person to
disclose confidential information gained by reason of the covered
person's official position or authority.
G.
Misuse of authority. A covered person must not use or attempt to
use the covered person's official position to secure unwarranted
privileges or exemptions for the covered person or others.
H.
Misuse of privilege. A covered person must not act so as to give
a reasonable basis for the impression that another can improperly
influence the covered person or unduly enjoy the covered person's
favor in the performance of the covered person's official duties
or that the covered person is affected by kinship, rank, position
or influence of any party or person.
I.
Private employment. A covered person must not engage in, receive
compensation for, or enter into any agreement for employment, express
or implied, when such employment or service creates or may reasonably
create a conflict with or may reasonably impair the proper impartial
discharge of the covered person's duties.
J.
Investments.
(1)
A covered person must not invest or hold any investment, directly
or indirectly, in any business entity or other transaction which creates
a conflict with the covered person's official duties.
(2)
A covered person must not engage in any activity that the covered
person has reason to believe may be directly involved in a decision
to be made or advice to be given by the covered person or which will
otherwise create a conflict of interest between the covered person's
duty to act in the public interest and the covered person's private
interest.
K.
Present and future employment.
(1)
A designated person must not, within two years following termination
of the designated person's service with the Village, accept present
or future employment with any person or business entity that engages
in any transaction with the Village unless the potential employment
is disclosed to and approved by the Board of Trustees before it is
accepted.
(2)
A covered person must not, for two years after termination of the
covered person's service with the Village, appear as part of
the covered person's employment before any village agency or
engage in any official Village business, transaction, or professional
activity with any Village officer, except with the prior approval
of the Board of Trustees.
(3)
A covered person must not appear, whether paid or unpaid, before
any village agency in relation to any case, proceeding, application
or other matter involving the same party or parties with respect to
which the covered person had participated personally and substantially
as a covered person through deliberation, decision, approval, recommendation,
investigation or other similar activities.
L.
Discrimination. A covered person or village agency must not:
(1)
Discriminate or cause involuntary segregation, directly or indirectly,
based upon age, race, creed, color, religion, ethnicity, national
origin, alienage or citizenship, familial status, marital status,
military status, sex, gender identity or expression, sexual orientation,
lawful source of income, predisposing genetic characteristics, status
as a victim of domestic violence, or disability or allow the preceding
to be factors affecting recruitment, selection, placement, assignment,
compensation or promotion of any Village officer, member of any village
agency, or employee.
M.
Interest in Village contracts. A covered person must not receive
compensation or enter into any agreement, express or implied, in connection
with or have an interest in, directly or indirectly, any contract
or agreement with the Village unless such compensation or interest
is first fully disclosed to and approved by the Board of Trustees
at a regular public meeting. A covered person must not take part in
any contracting decision relating to the covered person, a relative,
or any business entity in which the covered person has an interest.
If a contracting matter arises in which the covered person has an
interest that would require the covered person's recusal under
this chapter, the covered person must promptly advise the covered
person's supervisor, in the case of a Village employee, or the
Board of Trustees, in the case of a covered person who is not an employee,
of the relationship within 72 hours learning of the relationship and
must recuse from participating in any and all discussions or decisions
relating to the matter.
N.
Inducement of others. A covered person must not induce, threaten,
coerce or aid another covered person to violate, attempt to induce
any other person to violate, or aid any other person in violating,
any provision of this chapter or aid any other person in doing so.
O.
Use of subordinate employees. An officer or employee of the Village
must not direct or cause any subordinate officer or employee to do
or perform any service or work outside of the scope of the subordinate
officer or employee's public work responsibilities or employment.
Subordinate officers and employees may voluntarily perform such service
or work, with or without compensation, outside of the hours during
which they are assigned to perform duties for the Village, but they
must not wear any Village-issued uniform while engaged in any such
activity.
P.
Village property. A covered person must not use or request or permit
the use of Village-owned property, including, but not limited to,
vehicles, equipment, uniforms, materials or supplies, for personal
convenience, use or profit, except when such goods or services are
available to the public generally or are used by the covered person
in compliance with Village policy for such use or where the use of
Village-owned property for personal use is part of the covered person's
compensation. Village-issued cellphones may be used for incidental
and necessary personal calls that are of limited amount and duration
and which do not conflict with the proper exercise of the duties of
the covered person.
A.
Within 72 hours of the annual meeting of the Board of Trustees held
pursuant to § 3-302 of the Village Law of the State of New
York, the Board of Trustees must cause a list of designated persons
to be filed with the Ethics Board and the Village Clerk-Treasurer.
B.
The Clerk-Treasurer must notify each designated person by January
15 of each year of the designated person's obligation to file
an annual disclosure statement and provide each covered person with
the annual disclosure statement form. The Village Clerk-Treasurer
must also make the annual disclosure statement form available in the
Village Clerk-Treasurer's office and on the Village website.
A.
Distribution of Code of Ethics. Pursuant to New York General Municipal
Law § 806, the Village Manager must cause a copy of this
Code of Ethics to be distributed to each covered person upon the adoption
or amendment of this chapter and at the time of commencement of each
covered person's service in a new position. Each covered person
must acknowledge, in writing, that the covered person has received,
read, and understood this Code of Ethics. Failure to distribute, receive,
or acknowledge receipt of a copy of the Code of Ethics has no effect
on the covered person's duty to comply with the Code of Ethics
or on its enforcement.
B.
Posting of Article 18 of the General Municipal Law. As required by
General Municipal Law § 807, the Village Manager must post
a copy of General Municipal Law §§ 800 through 809
in a conspicuous place in each public building.
C.
Annual disclosure statement. Every covered person must file an annual
disclosure statement with the Ethics Board on or before February 15
of each year. If the information a covered person sets forth in the
annual disclosure statement changes, the covered person must file
with the Ethics Board an amended annual disclosure statement reflecting
any change within 30 days of the change, and must provide a copy of
the amended annual disclosure statement to the designated person's
supervisor, if the designated person is a Village employee, or to
the Board of Trustees, if the designated person is not a Village employee,
within 30 days of the change. Failure to file a required annual disclosure
statement or amended annual disclosure statement is a violation of
this chapter.
D.
Transactional disclosure statement. Any covered person who has an
interest in any transaction before a village agency or in any property
which may be affected by a transaction before a village agency, or
knows that a relative has such an interest in a transaction before
a village agency, must publicly disclose the nature and extent of
that interest by filing a transactional disclosure statement on the
record of the village agency before which the transaction is pending
and must file a written transactional disclosure statement with the
Village Clerk-Treasurer, the Ethics Board and the covered person's
immediate supervisor, in the case of a Village employee, or the Board
of Trustees, in the case of any other covered person. The village
agency to which the disclosure is made must maintain the transactional
disclosure statement as part of its public records. The Ethics Board
must review the transactional disclosure statement in a timely manner.
The covered person has a continuing duty to disclose any interest
in the transaction that becomes known to the covered person. If the
information contained in the transactional disclosure statement changes,
the covered person must file an amended transactional Disclosure setting
forth the changed information within 30 days of the change.
E.
Disclosure of interest in legislation and official action. To the
extent that any covered person knows or learns of any direct or indirect
interest the covered person may have in legislation pending before
the Board of Trustees or any official action pending before any village
agency with respect to any matter in which the covered person participates
or in which the village agency on which the covered person serves
is involved in the decision-making process, the covered person must
specifically and fully disclose on the official record of the Board
of Trustees at a regular public meeting of that Board, either in person
or by a writing that is made part of the official record, the nature
and extent of any direct or indirect interest that the covered person
has in the legislation or official action pending before the Village.
If the legislation or other official action is before the Board of
Trustees or village agency as the result of an application, the public
disclosure by the covered person must include disclosure of any political
contributions made to the covered person's political committee
by the applicant, the applicant's consultants, legal representatives,
and affiliates during the 12 months preceding the application. However,
no disclosure is required at any time with respect to political contributions
by persons who are not applicants or their consultants, legal representatives,
or affiliates.
F.
Applicant disclosure statement. Every applicant must submit as part
of the application an applicant disclosure statement stating the name,
nature and extent of any interest of any covered person in the application
that is known to the applicant and whether the covered person is required
to take any discretionary action with respect to the application.
The applicant has a continuing duty to disclose any interest of a
covered person that becomes known to the applicant.
G.
Upon the request of a covered person or applicant, and for good cause
shown, the Ethics Board may extend the time within which the covered
person or applicant must file a required disclosure statement. The
Ethics Board must inform the covered person or applicant of the extended
date on which the filing is due.
H.
Failure by a covered person or applicant to file a required disclosure
statement on the date on which the disclosure statement is due to
be filed, or on an extended date approved by the Ethics Board, is
punishable by a fine not to exceed $500. For each additional thirty-day
period during which a covered person or applicant fails to file the
disclosure statement, the failure to file is punishable by a fine
not to exceed $500. The Ethics Board may reduce or waive the fine
upon application by the covered person or applicant and for good cause
shown.
I.
If a covered person who is an appointed member of a village agency,
except a member of the Board of Trustees, fails to file a required
annual disclosure statement by the date due for filing, or by an extended
date approved by the Ethics Board, the covered person may not participate
in the meetings or other activities of the village agency until the
Village Clerk-Treasurer certifies to the village agency that the covered
person has duly filed the required disclosure statement. A covered
person whose participation is suspended for failure to file a required
disclosure statement is not eligible for appointment to any village
agency until the required disclosure statement is filed.
J.
If a covered person fails to file a required transactional disclosure
statement or an applicant fails to file a required applicant disclosure
statement, the village agency engaged in the transaction or the village
agency to which the application was made may terminate, deny, modify,
or vacate the transaction or approval of the application with respect
to which the disclosure was required. If a transaction or application
is under consideration by more than one village agency, a decision
by one village agency to terminate, deny or modify the transaction
or approval by one village agency constitutes termination, rejection,
modification or vacatur by all.
K.
If the Village Clerk-Treasurer or the Ethics Board determines that
a disclosure statement does not comply with the requirements of this
chapter, the Ethics Board must inform the person who filed the disclosure
statement of the reasons the disclosure statement is deficient. The
person may amend the disclosure statement without penalty within 15
days of receipt of the notification from the Ethics Board or the person
may, within the same fifteen-day period, file with the Ethics Board
and the Village Clerk-Treasurer an objection to the determination,
stating the reasons for the objection. Upon receiving the objection,
the Ethics Board must determine and inform the person within 30 days
whether the disclosure statement complies with the requirements of
this chapter. If the Ethics Board determines that the disclosure statement
does not comply with the requirements of this chapter, the person
must file an amended disclosure statement that does comply with the
requirements of this chapter within 15 days of notice of the decision.
The decision of the Ethics Board is final, subject to remedies available
under applicable law. If the person who filed the disclosure statement
is a member of a village agency, the person is suspended, upon receipt
of the notice, from participating in the activities of the village
agency on which the person serves. If the person who filed the disclosure
statement is an applicant, the person is suspended from engaging in
the transaction, until the person files a compliant disclosure statement.
The Ethics Board may, for good cause shown, vacate the suspension
and allow the person to participate in the activities of the village
agency or engage in the transaction while the Ethics Board is considering
the objection or the covered person is pursuing any legal remedy.
A.
The Ethics Board established by Local Law 1 of 2009 is continued.
B.
The Ethics Board consists of five members appointed by the Board
of Trustees. The members of the Ethics Board in office when this chapter
becomes effective will continue in office for the balance of their
respective terms. Each member of the Ethics Board thereafter will
serve a term of three years, commencing on the date of the annual
meeting of the Board of Trustees and until the member's successor
has been appointed and qualified. No member of the Ethics Board may
serve more than two consecutive full terms.
C.
The Board of Trustees must choose members of the Ethics Board for
their independence, integrity, civic commitment, and high ethical
standards.
D.
No more than two members of the Ethics Board may be enrolled in the
same political party. A member of the Ethics Board who changes party
enrollment must inform the Ethics Board and the Board of Trustees
of the change in writing within 48 hours of filing the change. If
as a result of the filing of the change of party enrollment more than
two members of the Ethics Board will be enrolled in the same political
party, the filing of the change of party enrollment constitutes the
resignation by the member from the Ethics Board on the date of the
filing, unless the member revokes the change within 10 days of filing.
E.
Restrictions on activities of Ethics Board members.
(1)
Ethics Board members must not hold office in a political party.
(2)
Ethics Board members must not be employed by or appear as part of
the member's paid employment before any agency of the Village
of Mamaroneck, the Town of Harrison, the Town of Rye, or the Town
of Mamaroneck.
(3)
Ethics Board members must not enter into any contract with the Village
of Mamaroneck, except a contract for the receipt of Village services
or benefits or the use of Village facilities, on the same terms and
conditions as are generally available to residents or a class of residents
of the Village.
(4)
Ethics Board members must not hold elective office in the Village
or be appointed officers or employees of the Village of Mamaroneck.
(5)
Ethics Board members are permitted to make campaign contributions
and post political signs on their property but must not:
(a)
Solicit, accept, or receive a donation or contribution for a
partisan political party, candidate for partisan political office,
or partisan political group, or permit their names to be listed as
having made contributions;
(b)
Be candidates for partisan political office;
(c)
Take an active part in partisan political campaigns in the Village
of Mamaroneck or the Town of Mamaroneck by, for example, campaigning
for or against a candidate or slate of candidates; making campaign
speeches or engaging in other campaign activities to elect partisan
candidates; distributing campaign material in partisan elections;
circulating designating or nominating petitions; or attending or hosting
fundraising events for candidates for public office; or
(d)
Take an active part in partisan political management by, for
example, holding office in political clubs or parties; organizing
or managing political rallies or meetings; or assisting in a partisan
voter registration drive.
(6)
The political activities of a relative of an Ethics Board member
are considered separate from the activities of the Ethics Board member.
However, if a relative of an Ethics Board member holds or seeks public
or party office in the Village or the Town of Mamaroneck, the Ethics
Board member must disclose to the Ethics Board the relative's
activity and the Ethics Board member's level of actual and/or
perceived involvement with that activity and the Ethics Board must
determine whether the activity should disqualify the Ethics Board
member from participating in the Ethics Board's consideration
of any matter. The Ethics Board member must not vote on the determination.
F.
Ethics Board members do not receive compensation for their service
but will be reimbursed reasonable expenses incurred in the performance
of their official duties.
A.
When a vacancy occurs in the membership of the Ethics Board, the
Board of Trustees must fill the vacancy for the unexpired portion
of the term within 60 days. Any person appointed to fill a vacancy
on the Ethics Board must meet the qualifications for membership set
forth in this chapter.
B.
The Board of Trustees may remove a member of the Ethics Board after notice and an opportunity to be heard for failure to meet the qualifications set forth in § 21-7 of this chapter, substantial neglect of duty, gross misconduct in office, inability to discharge the powers or duties of office, or violation of this chapter.
At its first meeting each year, the Ethics Board must elect
a Chair for that year from among its members. A majority of the total
number of authorized members of the Ethics Board is required for it
to take any action. The Chair or a majority of the Ethics Board may
call a meeting of the Ethics Board, and the Ethics Board must meet
at least quarterly.
A.
The Ethics Board may act only with respect to covered persons and
other persons and business entities whose activities are governed
by this chapter.
B.
The termination of a covered person's term of office, service
or employment with the Village of Mamaroneck does not affect the jurisdiction
of the Ethics Board with respect to the actions or interests of the
covered person while a covered person.
C.
The Ethics Board has the following powers and duties:
(1)
To prescribe and promulgate rules and regulations governing its own
internal organization and procedures in a manner consistent with this
chapter;
(2)
To require the assistance of the Village Attorney and the Village
Clerk-Treasurer in the performance of the Ethics Board's duties;
provided, however, that any communications between the Ethics Board
and the Village Attorney or Village Clerk-Treasurer are confidential
and must not be disclosed to anyone other than the Ethics Board or
its designees, except as otherwise required by state or federal law
or by this chapter;
(3)
To review, index, and maintain on file, and make available for public inspection and copying, lists of designated persons, annual disclosure statements, transactional disclosure statements and applicant disclosure statements filed with the Ethics Board pursuant to § 21-6;
(4)
To review, index, maintain on file, and dispose of complaints and
to make modifications and conduct investigations;
(5)
To conduct hearings, recommend disciplinary action, assess penalties,
make referrals, and initiate appropriate actions and proceedings;
(7)
To render, index, and maintain on file advisory opinions with respect
to this chapter;
(8)
To prepare an annual report and recommend changes to this chapter;
and
(9)
To provide for public inspection and copying of certain records.
D.
The Ethics Board may recommend a disciplinary action or assess a
penalty only if the complaint is filed or the investigation is commenced
within six years of the act that is or acts that are the subject of
the complaint or investigation.
E.
The Ethics Board must comply with the requirements of the Open Meetings
Law of the State of New York (Public Officers Law § 100
et seq.), even if that law does not apply because the Ethics Board
is acting in an advisory capacity.
The Village Clerk-Treasurer must promptly transmit to the Ethics
Board each disclosure statement that has been filed with the Clerk-Treasurer
and must index the disclosure statements, maintain them on file for
not less than six years, and make them available for public inspection
and copying.
A.
The Ethics Board must review:
(2)
All annual disclosure statements to determine whether any person
required to file such a statement has failed to file it, has filed
a deficient statement, or has filed a statement that reveals a possible
or potential violation of this chapter;
(3)
All transactional disclosure statements; and
(4)
All applicant disclosure statements.
B.
If the Ethics Board determines that a disclosure statement reveals
a possible or potential violation of this chapter, the Ethics Board
must notify the person who filed the statement in writing of the possible
or potential violation and of the penalties for failure to comply
with this chapter.
A.
Upon receipt of a complaint by any person subscribed and affirmed
by that person to be true under the penalties of perjury alleging
a violation of this chapter, or upon determining on its own initiative
that any such violation may exist, the Ethics Board is authorized
and required to conduct any investigation necessary to carry out the
provisions of this chapter. All Village agencies and covered persons
must, upon the request of the Ethics Board, furnish to the Ethics
Board such data, information and statements as may in the opinion
of the Ethics Board be necessary or appropriate for the proper exercise
of its functions, powers, and duties. The Ethics Board may also request
from other parties any data, information and statements as may in
the judgment of the Ethics Board be necessary or appropriate for the
proper exercise of its functions, powers and duties. In conducting
any investigation, the Ethics Board may administer oaths or affirmations,
subpoena witnesses, compel their attendance and require the production
of any books or records which it may deem relevant and material.
B.
The Ethics Board must state in writing the disposition of every complaint
it receives and of every investigation it conducts and the reasons
for the disposition. All such statements and all complaints must be
indexed and maintained on file by the Ethics Board.
C.
The Ethics Board must notify the complainant in writing of the disposition
of the complaint, to the extent permitted by law.
D.
All documents and hearings relating to any alleged violation of this
chapter must be kept confidential and must not be made available for
public inspection or open to the public, except as otherwise required
by state or federal law or by this chapter. All dispositions, including
negotiated dispositions, in which the Ethics Board finds a violation
of this chapter, must be made available for public inspection and
copying.
E.
The Ethics Board is not permitted to investigate itself or any of
its members. If the Ethics Board receives a complaint alleging that
the Ethics Board or any of its members has violated any provision
of this chapter, the Ethics Board must promptly transmit a copy of
the complaint to the Board of Trustees, which must consider the complaint,
either itself or by a designee, and dispose of the complaint in accordance
with the provisions of this chapter.
A.
Disciplinary action. In its discretion, after affording the subject
of the complaint or investigation a meaningful opportunity to be heard,
and subject to any applicable provisions of law and collective bargaining
agreements, the Ethics Board may recommend appropriate disciplinary
action to the appointing authority or the person or body authorized
by law to impose such sanctions. The Ethics Board must conduct and
complete the hearing with reasonable promptness, unless, in its discretion,
the Ethics Board refers the matter to the authority or person or body
authorized by law to take disciplinary action or to the appropriate
prosecutor, in which case the Ethics Board may adjourn the matter
pending determination by authority, person, body, or prosecutor.
B.
Civil fine. In its discretion and after a hearing providing the subject
of the complaint or investigation a meaningful opportunity to be heard,
the Ethics Board may assess a civil fine not to exceed $1,500 for
each violation, upon any person or business entity the Ethics Board
has found to have violated this chapter. The Ethics Board must conduct
and complete the hearing with reasonable promptness. The civil fine
must be paid to the Village of Mamaroneck.
C.
Damages. The Ethics Board may recommend to the Board of Trustees
that the Village initiate an action in the Supreme Court of the State
of New York to recover damages arising from the violation of this
chapter.
D.
Civil forfeiture. The Ethics Board may recommend to the Board of
Trustees that the Village initiate an action or special proceeding,
as appropriate, in the Supreme Court of the State of New York to obtain
civil forfeiture of any proceeds arising from the violation of this
chapter.
E.
Debarment. The Ethics Board may recommend to the Board of Trustees
that any person or business entity which violates this chapter be
debarred from transacting business with the Village.
F.
Injunctive relief. The Ethics Board may recommend to the Board of
Trustees that the Village initiate an action or special proceeding,
as appropriate, in the Supreme Court of the State of New York for
injunctive relief to enjoin a violation of this chapter or to compel
compliance with this chapter.
G.
Prosecutions. The Ethics Board may refer to the appropriate prosecutor
possible criminal violations of this chapter.
A.
Upon written application by a covered person or applicant and, in the case of a Village employee, the written approval of the Village Manager, the Ethics Board may waive any of the provisions of the Code of Ethics, except §§ 21-4K(2), 21-4N, 21-6C, 21-6D, 21-6E, and 21-6F, upon finding that waiving such provision would not conflict with the purposes of this chapter or impair the interests of the Village of Mamaroneck, but no such waiver may permit any conduct prohibited by Article 18 of the General Municipal Law.
B.
A waiver must be in writing, state the grounds on which it is granted,
and be available for public inspection and copying. The Ethics Board
must index and maintain on file every application, decision, and other
record relating to every waiver it issues.
A.
Upon a written inquiry, the Ethics Board will render a written advisory
opinion with respect to the interpretation or application of this
chapter to the future or continuing conduct or interest of the inquiring
party. The Ethics Board must deliver a copy of each advisory opinion
to the Village Clerk-Treasurer. The Village Clerk-Treasurer must index
the advisory opinions of the Ethics Board and maintain those opinions
on file and on the Village website.
B.
No communication from the Ethics Board or any member of the Ethics
Board regarding the meaning or intent of any provision of this chapter
except a written advisory opinion by the Ethics Board has any precedential
value or binding effect with respect to any determination to be made
by the Ethics Board. Only a written advisory opinion by the Ethics
Board given at the request of the party requesting the advisory opinion
and regarding the specific facts and circumstances of the matter for
which the inquiring party requested an advisory opinion has precedential
or binding effect.
C.
The Ethics Board may publish those of its advisory opinions that
it believes will provide guidance to other inquiring parties, but
must make those deletions from the publicly available advisory opinion
that are necessary to prevent disclosure of the identity of the inquiring
person and any other person involved.
A.
Any person aggrieved by a decision of the Ethics Board may seek judicial
review and relief pursuant to Article 78 of the Civil Practice Law
and Rules.
B.
Any person who has submitted to the Ethics Board a written request
for an advisory opinion may bring an action or special proceeding,
as appropriate, for a determination of the question posed in the request,
provided that at least six months and not more than 10 months have
elapsed since the request was filed.
B.
The Village Manager is responsible for developing and presenting
ethics educational programs, publishing, posting, and distributing
educational materials with respect to Article 18 of the General Municipal
Law and this chapter and ensuring that each Village officer or employee
receives ethics training, in the form determined by the Ethics Board,
at least once each year.
C.
The Village Manager must attach to every request for proposals or
solicitation for bids a copy of the Code of Ethics or an electronic
link to the Code of Ethics. Every person or business entity that is
awarded a contract by the Village must confirm in writing that the
person or business entity has received and understands the Code of
Ethics.
A.
The Ethics Board must prepare and submit an annual report to the
Board of Trustees summarizing the activities of the Ethics Board during
the preceding year. The report may also recommend changes to the text
or administration of the chapter.
B.
The Ethics Board must periodically review this chapter and the Ethics
Board's rules, regulations, and administrative procedures to
determine whether they promote integrity, public confidence, and participation
in Village government and whether they set forth clear and enforceable,
common-sense standards of conduct.
A.
The only records of the Ethics Board which shall be available for
public inspection are those whose disclosure is required by Article
6 of the Public Officers Law or by other state or federal law or by
this chapter.
B.
The meetings and proceedings of the Ethics Board are open to the
public to the extent required by the provisions of Article 7 of the
Public Officers Law or by other state or federal law or by this chapter
or upon the request of the affected officer or employee and the approval
of the Ethics Board.
A.
No existing right or remedy is lost, impaired, or affected by reason
of this chapter.
B.
Nothing in this chapter prohibits a person or business entity formerly
subject to this chapter from timely filing any claim, account, demand,
or suit against the Village of Mamaroneck on behalf of the person,
business entity or any member of the person's family arising
out of personal injury or property damage or any lawful benefit authorized
or permitted by law.
C.
If any provision of this chapter is held by a court of competent
jurisdiction to be invalid, that decision does not affect the validity
and effectiveness of the remaining provisions of this chapter.
A.
It is a violation of this chapter to retaliate against any person
who has, acting in good faith, submitted a complaint to the Ethics
Board, reported alleged waste, inefficiency, corruption, criminal
activity or conflicts of interest to any federal, state or county
regulatory or investigative authority, as expressly permitted by federal,
state or county law; provided information to the Ethics Board or to
a federal, state or county regulatory or investigative authority;
or acted or refused to act as required by this chapter and Article
18 of the General Municipal Law. No action protected by this section
is a violation of this chapter.
B.
In resolving a complaint that a person has violated this section,
the Ethics Board may, among other things, recommend that a retaliatory
personnel or regulatory action be reversed.
