Village of Sands Point, NY Chapter 12 Ethics, Code of

[HISTORY: Adopted by the Board of Trustees of the Village of Sands Point 11-1-1970 by L.L. No. 1-1970; amended in its entirety 11-21-2023 by L.L. No. 12-2023. Subsequent amendments noted where applicable.]

§ 12-1 Purpose.

Municipal Officers or Employees of the Village hold their positions to serve and benefit the public, and not for obtaining unwarranted personal or private gain in the exercise and performance of their official powers and duties. Pursuant to the provisions of § 806 of the General Municipal Law, the Village Board recognizes that there are rules of ethical conduct for public officers and employees that 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 Municipal Officers or Employees. These rules will serve as a guide for official conduct of Municipal Officers or Employees of the Village. The rules of ethical conduct of this chapter, as adopted, will not conflict with, but will 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 or Employees.

§ 12-1.1 Applicability.

This Code applies to the Municipal Officers or Employees of the Village and will supersede any prior municipal code of ethics. The provisions of this Code will apply in addition to all applicable State and local laws relating to conflicts of interest and ethics including, but not limited to, Article 18 of the General Municipal Law and all rules, regulations, policies, and procedures of the Municipality.

§ 12-2 Definitions.

As used in this chapter, the following terms shall have the meanings indicated:

Board

The governing board of a municipality and any municipal administrative board (e.g., planning board, zoning of board of appeals), commission, or other agency or body comprised of two or more Municipal Officers or Employees.

Code

The Village's Code of Ethics.

Interest

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 Village or an area of the Village, or a lawful class of those residents or taxpayers. A Municipal Officer or Employee is deemed to have an interest in any private organization when the officer, the officer's spouse, or a member of the officer's household, is an owner, partner, member, director, officer, employee, or directly or indirectly owns or controls more than 5% of the organization's outstanding stock.

Municipal Officer or Employee

An officer or employee of the Village, whether paid or unpaid, including members of any administrative board, commission, or other agency thereof. No person shall be deemed to be a Municipal Officer or Employee solely by reason of being a volunteer fireman or civil defense volunteer, except a chief engineer or assistant chief engineer.

Municipality or Village

The Incorporated Village of Sands Point. The word "municipal" refers to the municipality.

Relative

A spouse, parent, stepparent, sibling, stepsibling, sibling's spouse, child, stepchild, uncle, aunt, nephew, niece, first cousin, or household member of a Municipal Officer or Employee, and individuals having any of these relationships to the spouse of the officer or employee.

Village Board

The Board of Trustees of the Village.

§ 12-3 Standards of conduct.

Every Municipal Officer or Employee of the Village shall be subject to and abide by the following standards of conduct:

A. Prohibition on use of municipal position for personal or private gain. No Municipal Officer or Employee will use his/her/their municipal position or official powers and duties to secure a financial or material benefit for him/her/themself, a relative, or any private organization in which the Municipal Officer or Employee is deemed to have an interest.

B. Disclosure of interest in legislation and other matters.

(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 him/her/themself, a relative, or any private organization in which the Municipal Officer or Employee is deemed to have an interest, the Municipal Officer or Employee will disclose in writing the nature of the interest.

(2) The disclosure will be made when the matter requiring disclosure first comes before the Municipal Officer or Employee, or when the Municipal Officer or Employee first acquires knowledge of the interest requiring disclosure, whichever is earlier.

(3) In the case of a person serving in an elective office, the disclosure will be filed with the Village Board of the municipality. In all other cases, the disclosure will be filed with the person's supervisor or, if the person does not have a supervisor, the disclosure will be filed with the Municipal Officer or Employee, or Board having the power to appoint to the person's position. In addition, in the case of a person serving on a Board, a copy of the disclosure will be filed with the Board. Any disclosure made to a Board will be made publicly at a meeting of the Board and must be included in the minutes of the meeting.

C. Recusal and abstention.

(1) No Municipal Officer or Employee may participate in any decision or take any official action with respect to any matter requiring the exercise of discretion, including discussing the matter and voting on it, when the Municipal Officer or Employee knows or has reason to know that the action could confer a direct or indirect financial or material benefit on him/her/themself, a relative, or any private organization in which the Municipal Officer or Employee is deemed to have an interest.

(2) In the event that 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 Municipal Officer as a member of a Board, then the power or duty shall be exercised or performed by the other members of the Board; or

(b) If the power or duty is vested in a Municipal Officer individually, then the power or duty will be exercised or performed by his/her/their deputy or, if the Municipal Officer does not have a deputy, the power or duty will be performed by another person to whom the Municipal Officer may lawfully delegate the function.

(c) If the power or duty is vested in a Municipal Employee, he/she/they must refer the matter to his/her/their immediate supervisor, and the immediate supervisor will designate another person to exercise or perform the power or duty.

D. Prohibition inapplicable; disclosure, recusal and abstention not required.

(1) This Code's prohibition on use of a municipal position, disclosure requirements, and requirements relating to recusal and abstention, will not apply with respect to the following matters:

(a) Adoption of the Village's annual budget;

(b) Any matter requiring the exercise of discretion that directly affects any of the following groups of people or a lawful class of such groups:

[1] All Municipal Officers or Employees;

[2] All residents or taxpayers of the Village or an area of the Village; or

[3] The general public; or

(c) Any matter that does not require the exercise of discretion.

(2) Recusal and abstention will not be required with respect to any matter:

(a) Which comes before a Board when a majority of the Board's total membership would otherwise be prohibited from acting by the recusal and abstention provision of this Code;

(b) Which comes before a Municipal Officer when the Municipal Officer would be prohibited from acting by the recusal and abstention provision of this Code and the matter cannot be lawfully delegated to another person.

E. 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 the recusal and abstention provision of this Code; or

(b) Investments that would otherwise impair the person's independence of judgment in the exercise or performance of his/her/their official powers and duties.

(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 Village and used as his/her/their personal residence;

(b) Less than 5% of the stock of a publicly traded corporation; or

(c) Bonds or notes issued by the Village and acquired more than one year after the date on which the bonds or notes were originally issued.

F. Private employment in conflict with official duties. No Municipal Officer or Employee, during his/her/their 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:

(1) Can be reasonably expected to require more than sporadic recusal and abstention pursuant to the recusal and abstention provision of this Code;

(2) Can be reasonably expected to require disclosure or use of confidential information gained by reason of serving as a Municipal Officer or Employee;

(3) Violates § 805-a(1)(c) or (d) of the General Municipal Law; or

(4) Requires representation of a person or organization other than the Village in connection with litigation, negotiations or any other matter to which the Village is a party.

G. Future employment.

(1) No Municipal Officer or Employee may ask for, pursue, 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 30 days following final disposition of the matter.

(2) No Municipal Officer or Employee, for the two-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 Village office, Board, department, or comparable organizational unit for which he/she/they serve(s).

(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/she/they personally and substantially participated while serving as a Municipal Officer or Employee.

H. Personal representations and claims permitted. This Code will not be construed as prohibiting a Municipal Officer or Employee from:

(1) Representing him/her/themself, or his/her/their spouse or minor children before the Village; or

(2) Asserting a claim against the municipality on his/her/their own behalf, or on behalf of his/her/their spouse or minor children.

I. Use of village resources.

(1) Village resources will be used for lawful Village purposes. Village resources include, but are not limited to, Village personnel, and the Village's money, vehicles, equipment, materials, supplies, or other property.

(2) No Municipal Officer or Employee may use or permit the use of Village resources for personal or private purposes, but this provision will not be construed as prohibiting:

(a) Any use of Village resources authorized by law or Village policy;

(b) The use of Village resources for personal or private purposes when provided to a Municipal Officer or Employee as part of his/her/their compensation; or

(c) The occasional and incidental use during the business day of Village telephones and computers for necessary personal matters such as family care and changes in work schedule.

(3) No Municipal Officer or Employee will cause the Village to spend more than is reasonably necessary for transportation, meals, or lodging in connection with official travel.

J. Interests in 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 or Employee will disclose interests in contracts with the Village at the time and in the manner required by § 803 of the General Municipal Law.

K. 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 Village or a Board of the Village.

(2) No Municipal Officer or Employee may supervise a relative in the performance of the relative's official powers or duties.

L. Political solicitations.

(1) No Municipal Officer or Employee will directly or indirectly compel or induce a subordinate Municipal Officer or Employee to make, or promise to make, any political contribution, whether by gift of money, service, or other thing of value.

(2) No Municipal Officer or Employee may act or decline to act in relation to appointing, hiring, promoting, discharging, disciplining, or in any manner changing the official rank, status, or compensation of any Municipal Officer or Employee, or an applicant for a position as a Municipal Officer or Employee, on the basis of the giving or withholding or neglecting to make any contribution of money or service or any other valuable thing for any political purpose.

M. Confidential information. No Municipal Officer or Employee who acquires confidential information in the course of exercising or performing his/her/their official powers or duties may disclose or use the information unless the disclosure or use is required by law or in the course of exercising or performing his/her/their official powers and duties.

N. Gifts.

(1) No Municipal Officer or Employee will solicit, accept, or receive a gift in violation of § 805-a(1)(a) of the General Municipal Law as interpreted in this section.

(2) No Municipal Officer or Employee may directly or indirectly solicit any gift.

(3) No Municipal Officer or Employee may accept or receive any gift, or multiple gifts from the same donor, having an annual aggregate value of $75 or more when:

(a) The gift reasonably appears to be intended to influence the Municipal Officer or Employee in the exercise or performance of his/her/their official powers or duties;

(b) The gift could reasonably be expected to influence the Municipal Officer or Employee in the exercise or performance of his/her/their official powers or duties; or

(c) The gift is intended as a reward for any official action on the part of the Municipal Officer or Employee.

(4) For purposes of this section, a "gift" includes anything of value, whether in the form of money, service, loan, travel, entertainment, hospitality, thing, or promise, or in any other form. The value of a gift is the gift's fair market value, determined by the retail cost of the item or a comparable item. The fair market value of a ticket entitling the holder to food, refreshments, entertainment, or any other benefit is the face value of the ticket, or the actual cost to the donor, whichever is greater. Determination of whether multiple gifts from a single donor exceed $75 must be made by adding together the value of all gifts received from the donor by a Municipal Officer or Employee during the twelve-month period preceding the receipt of the most recent gift.

(a) A gift to a Municipal Officer or Employee is presumed to be intended to influence the exercise or performance of his/her/their official powers or duties when the gift is from a private person or organization that seeks Village action involving the exercise of discretion by or with the participation of the Municipal officer or 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 obtained Village action involving the exercise of discretion by or with the participation of the Municipal Officer or Employee during the preceding 12 months.

(5) This section does not prohibit any other gift, including:

(a) Gifts made to the Village;

(b) Gifts from a person with a family or personal relationship with the 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, illness, or retirement, which are modest, reasonable, and customary;

(d) Unsolicited advertising or promotional material of little intrinsic value, such as pens, pencils, note pads, and calendars;

(e) Awards and plaques having a value of $150 or less, which are publicly presented in recognition of service as a Municipal Officer or Employee, or other service 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 and the meals and refreshments are made available to all participants.

§ 12-4 Board of Ethics.

A. There shall be established a Board of Ethics for the municipality. The Board of Ethics will consist of members, a majority of whom will not be Municipal Officers or Employees, but at least one of whom must be a Municipal Officer or Employee. The members of the Board of Ethics will be appointed by the Village Board, serve at the pleasure of the Village Board, and receive no salary or compensation for their services as members of the Board of Ethics.

B. The Board of Ethics will render advisory opinions to the Municipal Officer or Employee of the Village with respect to Article 18 of the General Municipal Law and this Code. The advisory opinions must be rendered pursuant to the written request of any Municipal Officer or Employee pursuant to rules and regulations as the Board of Ethics may prescribe. The Board of Ethics will have the advice of the Village's legal counsel. In addition, the Board of Ethics may make recommendations with respect to the drafting and adoption of the Code of Ethics, or amendments thereto, upon the request of the Village Board.

§ 12-5 Annual Statement of Financial Disclosure Required.

It is hereby required that Municipal Officers or Employees, shall annually file a statement of financial disclosure in such form as may be promulgated from time to time by the Village Board, with the Board of Ethics and Village Clerk or Administrator.[1] The financial disclosure statement shall be filed on or before the 15th day of May with respect to the preceding calendar year, unless otherwise permitted to be filed at another time.

[1] Editor's Note: The annual statement of financial disclosure form is included as an attachment to this chapter.

§ 12-6 Applicant disclosure in land use applications.

A. Every application, petition, or request submitted for a variance, amendment, change of zoning, approval of a plat, exemption from a plat or official map, license or permit, pursuant to the provisions of any local law, rule, or regulation constituting the zoning regulations of the Village shall state the name, residence, and the nature and extent of the interest of any officer of the state, or any officer or employee of the County of Nassau, or of the Village, or any party officer as defined by New York Election Law § 2(4), in the person, partnership or association making the application, petition or request to the extent known.

B. For the purpose of this disclosure requirement, a Municipal Officer or Municipal Employee shall be deemed to have an interest in the applicant when he or she, his or her spouse, domestic partner, or their brothers, sisters, parents, children, grandchildren, or the spouse of any of them:

(1) Is the applicant; or

(2) Is an officer, director, partner, or employee of the applicant; or

(3) Legally or beneficially owns or controls stock of a corporate applicant or is a member of a limited-liability company, partnership, or association applicant (except that ownership of less than 5% of the stock of a publicly traded corporation shall not constitute an interest for the purposes of this disclosure requirement); or

(4) Is a party to an agreement with such an applicant, express or implied, whereby he or she will receive any payment or other benefit, whether or not for such services rendered, dependent or contingent upon the favorable approval of such application, petition or request.

§ 12-7 Posting and Distribution.

A. The Village Clerk of the Village will promptly cause a copy of this Code of Ethics, and a copy of any amendment to this Code, to be posted publicly and conspicuously in each building under the Village's control and in which Municipal Employees or Officers regularly work. The Code must be posted within 10 days following the date on which the Code takes effect. An amendment to the Code must be posted within 10 days following the date on which the amendment takes effect.

B. The Village Clerk must promptly cause a copy of this Code, including any amendments to the Code, to be distributed to every person who is or becomes as Municipal Officer or Employee of the Village.

C. Every Municipal Officer or Employee who receives a copy of this Code or an amendment to the Code must acknowledge receipt of same in writing. The acknowledgments must be filed with the Village Clerk, who must maintain the acknowledgments as a public record.

D. The failure to post this Code or an amendment to the Code does not affect either the applicability or enforceability of the Code or the amendment. The failure of a Municipal Officer or Employee to receive a copy of this Code or an amendment to the Code, or to acknowledge receipt thereof in writing, does not affect either the applicability or enforceability of the Code or amendment to the Code.

§ 12-8 Penalties for offenses.

In addition to any penalty contained in any other provision of law, any person who knowingly and intentionally violates any of the provisions of this Code may be censured, fined, suspended, or removed from office or employment, as the case may be, in the manner provided by law.