[HISTORY: Adopted by the Board of Trustees of the Village
of West Hampton Dunes 1-14-2013 by L.L. No. 1-2013. Amendments noted where
applicable.]
This chapter shall be known as the "Code of Ethics of the Village
of West Hampton Dunes."
A.
Purposes. The proper operation of a Village government requires that
its officers and employees be independent, impartial, and accountable
to the people; that government decisions and policy be made in the
proper channels of the governmental structure; that the public office
not be used for personal gain; that the public officers and employees
observe in their official acts the highest standards of ethics and
discharge faithfully the duties of their public office regardless
of personal consideration. All officers and employees shall conduct
themselves in a professional and respectable manner towards the public
and one another. Realizing what is legal is not necessarily ethical,
it is the policy of the Village of West Hampton Dunes and the purpose
of this chapter to establish standards and guidelines for the ethical
conduct of officers and employees. Though assurance of such conduct
will continue to rest primarily on personal integrity and community
vigilance, the establishment of standards is another step toward providing
the highest caliber of public administration for the Village and ensuring
that government decisions are arrived at impartially and free of conflict
of interest thereby increasing confidence in public officials. It
is also the purpose of this chapter to protect officials and employees
from unwarranted accusations that impugn their integrity by distinguishing
material conflicts of interest from those that are inconsequential,
recognizing that for local government to attract and hold competent
and professional public servants, public service must not require
a complete divesting of all proprietary interests. In recognition
of these goals, there is hereby established a Code of Ethics for all
officers and employees of the Village of West Hampton Dunes. In the
event of any conflict or inconsistency between the provisions of this
code and the provisions of Article 18 of the General Municipal Law,
this code shall prevail, except that nothing in this code shall authorize
conduct otherwise prohibited by Article 18 of the General Municipal
Law.
B.
Applicability. This Code of Ethics is enacted pursuant to § 806
of the General Municipal Law and § 10 of the Municipal Home
Rule Law. Officers and employees of the Village must comply with the
provisions of the Code of Ethics, as well as the conflict of interest
standards prescribed by Article 18 of the General Municipal Law. This
Code of Ethics is in addition to the standards contained in Article
18, and is not intended to authorize any conduct prohibited by Article
18 of the General Municipal Law.
As used in this chapter, the following terms shall have the
meanings indicated:
Any person that receives a salary or wage from the Village
of West Hampton Dunes.
A parent, step parent, sibling, step sibling, spouse, child,
step child, grandparent, household member, or domestic partner of
a municipal officer or employee, and individuals having any of these
relationships to the spouse of the officer or employee.
A direct or indirect monetary, financial or material benefit,
but does not include any benefit arising from the provision or receipt
of any services generally available to the residents or taxpayers
of the municipality or an area of the municipality, or a lawful class
of such residents or taxpayers. A municipal officer or employee is
deemed to have an interest in any matter involving:
Any firm, partnership, association of which he or she, his or
her spouse, or a member of his or her household, is an owner, partner,
member, director, officer or employee; and
Any corporation of which any such person is a director, officer
or employee, or directly or indirectly owns or controls more than
5% of the corporation's outstanding stock.
Village of West Hampton Dunes. The word "municipal" refers
to the municipality.
An officer or employee of the Village of West Hampton Dunes.
A person serving as a paid or unpaid official of the Village
of West Hampton Dunes, including but not limited to elected officers,
members of the municipality's governing board, any of its administrative
boards (e.g., Planning Board, Zoning of Board of Appeals), commissions,
committees, agencies, department heads and others who work in a similar
like capacity.
No municipal officer or employee shall exercise or perform his
or her official powers and duties on the basis of family or private
business, nor create an appearance of impropriety by giving the impression
that he or she will exercise or perform his or her official powers
or duties on the basis of any consideration other than the best interests
of the municipality.
A.
No municipal officer or employee may use his or her position to secure
personal or private gain for himself or herself, or for any other
person or any organization. Personal or private gain does not include
payment, benefit or opportunity that is customarily and legally provided
to any of the following groups of people or a lawful class of such
groups:
B.
No municipal officer or employee shall cause the municipality to
expend more money and or Village resources than is reasonably necessary
for transportation, meals or lodging in connection with official travel.
C.
This section does not prohibit a municipal officer or employee from:
(1)
Voting to approve the municipality's annual budget;
(2)
Receiving lawful compensation for services as a municipal officer
or employee;
(3)
Receiving payment or reimbursement for actual and necessary expenses
reasonably incurred in the performance of official duty;
(4)
Receiving payments under a lawful municipal contract;
(5)
Using municipal personnel, vehicles, equipment, materials, supplies
or property for any purpose pursuant to law; or
(6)
Performing a ministerial function that does not require the exercise
of discretion.
An officer or employee of the Village of West Hampton Dunes
shall treat all members of the public, whether a person, firm or corporation,
or other organization without special advantage in carrying out his
or her official duties.
A.
Except as otherwise provided by this section, every municipal officer
and employee shall disclose the nature of his or her interest that
is known or should be known to him or her, or the interest of a family
member known or should be known to him or her, in any matter coming
before the Village of West Hampton Dunes or any officer, administrative
board, commission or other agency of the municipality. This section
shall not apply to ministerial matters.
B.
For purposes of this section, a "matter coming before" an officer
or employee of the municipality means any decision, issue or question
requiring the exercise of discretion by the individual officer or
employee. A "matter coming before" the Village of West Hampton Dunes,
or any administrative board, commission or other agency of the municipality
means a local law, ordinance, resolution, motion or any other decision,
issue or question requiring a vote of a body of municipal officers.
C.
The disclosure required by this section shall be made when the municipal
officer or employee first acquires knowledge of the interest requiring
disclosure. The disclosure shall be made in writing to the Village
Clerk and to the municipal officer or employee, administrative board,
commission or other agency having the power or duty to act in relation
to the matter in which the municipal officer or employee or family
member has the interest.
A.
No municipal officer or employee may have or acquire the following
investments:
(1)
Personal investments that will be directly affected by the exercise
or performance of the person's official powers and duties; or
(2)
Personal investments that would otherwise impair a reasonable person's
independence of judgment in the exercise or performance of his or
her official powers and duties.
B.
This section does not prohibit a municipal officer or employee from
acquiring any of the following assets:
A.
No municipal officer or employee may accept employment or engage
in any business or professional activity which:
(1)
Impairs the person's independence of judgment in the exercise
or performance of his or her official powers and duties;
(2)
Is likely to require disclosure or use of confidential information
gained by reason of serving as a municipal officer or employee; or
(3)
Requires representation of a person or organization other than the
municipality in connection with litigation, negotiations or any other
matter to which the municipality is a party.
B.
No municipal officer or employee may in a private capacity:
(1)
Represent another person or organization before the Village of West
Hampton Dunes, or any officer, administrative board, commission or
other agency of the municipality.
C.
This section does not prohibit a municipal officer or employee from:
(1)
Representing him or herself, or his or her spouse or minor children,
before the Village of West Hampton Dunes, or any officer, administrative
board, commission or other agency of the municipality, in connection
with any personal matter that does not arise from or involve a business,
commercial or professional activity;
(2)
Asserting a claim against the municipality on his or her own behalf,
or on behalf of his or her spouse or minor children, in connection
with any personal matter that does not arise from or involve a business,
commercial or professional activity.
A.
For a period of one year after leaving Village service, a former
officer or employee shall not communicate with his or her former municipal
agency, except on his or her own behalf, and shall never accept anything
of value to work on any particular matter that he or she personally
and substantially worked on while in Village service.
B.
This section does not prohibit a municipal officer or employee from:
(1)
Representing him or herself, or his or her spouse or minor children,
before the Village of West Hampton Dunes, or any officer, administrative
board, commission or other agency of the municipality, in connection
with any personal matter that does not arise from or involve a business,
commercial or professional activity;
(2)
Asserting a claim against the municipality on his or her own behalf,
or on behalf of his or her spouse or minor children, in connection
with any personal matter that does not arise from or involve a business,
commercial or professional activity.
C.
This section shall not apply to representation or services before
the Village of West Hampton Dunes' Justice Courts.
A.
Except as otherwise required by law or as provided by this section,
no municipal officer or employee may participate in the discussion
or vote on any matter, or exercise or perform any other official powers
or duties in connection with any matter, when he or she has an interest
in the matter and knows or should know that a family member has an
interest in the matter.
B.
In the event that Subsection A of this section prohibits a municipal officer or employee from exercising or performing his or her official powers or duties:
(1)
If the person is an officer serving as a member of a body of municipal officers, the power or duty shall be exercised or performed by the other members of the body who are not prohibited by Subsection A from exercising or performing the power or duty;
A.
No municipal officer or employee may have an interest in a contract
that is prohibited by § 801 of the General Municipal Law.
B.
Every municipal officer and employee shall disclose interests in
contracts with the municipality at the time and in the manner required
by § 803 of the General Municipal Law.
No officer or employee of the Village of West Hampton Dunes
may request or permit the use of Village-owned vehicles, equipment,
materials, resources or property for a non-Village purpose, except
when such use:
A.
No municipal officer or employee may participate in any decision
whether to appoint, hire, promote, discipline or discharge a family
member from any position at, for or within the Village of West Hampton
Dunes or an administrative board, commission or other agency of the
municipality.
B.
No municipal officer or employee may directly supervise a family
member in the performance of the family member's official powers
or duties.
A.
No municipal officer or employee shall directly or indirectly use
his or her official authority to compel or induce another municipal
officer or employee to make or promise to make any political contribution,
whether by gift of money, service or other thing of value.
B.
No municipal officer or employee may act or decline to act in relation
to appointing, hiring or 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.
C.
No employee shall engage in political campaign activities during
their official Village of West Hampton Dunes work day.
D.
No Village officer or employee shall use Village resources for any
political campaign or political activities.
E.
No Village officer or employee shall hold any office in a political
party or political organization.
F.
No Village officers or Village employees shall serve as a committee
person of any political party or political organization.
G.
Nothing contained herein shall prevent those Village officers and
Village employees who, as of the effective date of this Code of Ethics,
currently serve as committee persons, or who currently hold an office
in a political party or political organization, from continuing to
do so. Those people shall be grandfathered in and allowed to remain
in their current positions. However, they shall be prohibited from
seeking additional or different political positions in the future.
No Village officer or employee or former municipal officer or
employee who acquires confidential information in the course of exercising
or performing his or her official powers or duties may disclose or
use such information unless the disclosure or use is required or allowed
by law or in the course of exercising or performing his or her official
powers and duties.
A.
Soliciting gifts. No municipal officer or employee may directly or
indirectly solicit any gift from any person, firm or organization
in which the officer or employee who knows or should know that they
have a matter pending before the Village or has had a matter pending
before the Village during the previous 12 months or is likely to have
a matter pending before the Village during the following twelve-month
period. This shall not apply to ministerial matters.
B.
Per gift. No municipal officer or employee may accept or receive
any gift, or multiple gifts from the same donor within a continuous
twelve-month period valued at $75 or more when:
(1)
It appears that the gift is intended to influence the officer or
employee in the exercise or performance of his or her official powers
or duties;
(2)
The gift could reasonably be expected to influence the officer or
employee in the exercise or performance of his or her official powers
or duties; or
(3)
The gift is intended as a reward for any official action on the part
of the officer or employee.
C.
Per year. The value of the sum of all gifts accepted by an officer
or employee of the municipality during any continuous twelve-month
period may not exceed $75.
D.
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 an officer
or employee during the calendar year preceding the receipt of the
most recent gift. A gift does not include a lawful campaign contribution.
E.
Presumption.
(1)
A gift from a person or organization that seeks to contract with
the municipality is presumed to be a gift that is intended to influence
an officer or employee in the exercise or performance of his or her
official powers or duties.
(2)
A gift from a person or organization that has a contract with the
municipality, or has had a contract with the municipality during the
preceding 12 months, is presumed to be a gift intended as a reward
for official action.
F.
This section does not prohibit:
(1)
Gifts made to the municipality;
(2)
Gifts from a person with a family or personal relationship with the
officer or employee when the circumstances make it clear that it is
that personal relationship, rather than the recipient's status
as a municipal officer or employee, that is the primary motivating
factor for the gift;
(3)
Gifts which are de minimus, reasonable and customary, given on special
occasions, such as marriage, illness, or retirement;
(4)
Unsolicited advertising or promotional material of little intrinsic
value, such as pens, pencils, note pads, and calendars; or
(5)
Awards and plaques having no resale value which are publicly presented
in recognition of service as a municipal officer or employee, or other
service to the community.
A.
All Village of West Hampton Dunes officials and each member of the
Village Ethics Board shall file with the Village Clerk a financial
disclosure statement within 30 days after taking office and no later
than April 30 of each year thereafter.
B.
Matters to be disclosed on the financial disclosure form:
(1)
The official's home address, and the location of any real property
within the Village in which the Village official or spouse has an
ownership or other financial interest.
(2)
The name of any partnership, unincorporated association or other
unincorporated business of which the Village official or spouse is
an officer, employee or partner or in which the Village official or
spouse has a proprietary interest and the officer, employee or spouse's
position, if any, with the partnership, association or business, if
any such entity has engaged within the past 12 months or which is
anticipated to have any business dealings with the Village.
(3)
The name of any corporation of which the Village official or spouse
is an officer or director or employee or of which he or she or his
or her spouse or of which the Village official or spouse legally or
beneficially owns or controls more than 5% of the outstanding stock,
and any such entity that he or she has engaged within the past 12
months or which he or she is anticipated to have any business dealings
with the Village, and the Village official's and spouse's
position, if any, with the corporation.
(4)
The name of any persons from whom the Village official or his or
her spouse has derived income in excess of $10,000 whereby such income
was derived from a business dealing with the Village of West Hampton
Dunes.
A.
Membership.
(1)
The Board of Ethics shall consist of five members appointed and approved
by a minimum of four members of the Village Board.
(2)
There shall be five members of the Ethics Board with the initial
Board having three members serving three year terms and two members
serving two-year terms.
(3)
The Board of Ethics in existence at the time of the enactment of
this section shall be dissolved.
B.
Qualification of Board members.
(1)
All members of the Board of Ethics must be residents of the municipality.
(2)
The members of the Board of Ethics should be qualified by temperament
and experience to carry out the duties and responsibilities of the
Board.
(3)
No member of the Board of Ethics shall be a committee person or hold
office in a partisan political organization or hold elective office
in the Village of West Hampton Dunes. A Board member may make campaign
contributions and vote, but not otherwise participate in any Village
of West Hampton Dunes election campaign.
(4)
Not more than three members of the Board of Ethics may be members
of the same political party.
(5)
No officer or employee of the Village of West Hampton Dunes is eligible
to serve on the Board of Ethics.
C.
Compensation. Members of the Board of Ethics shall serve without
compensation, but may be reimbursed for reasonable and necessary expenses,
as approved by the Village Board.
D.
Powers and duties of the Board of Ethics.
(1)
The Board of Ethics shall select its own Chairperson from within
the Board for a one-year term and appoint such staff as necessary
to carry out its duties under this chapter and to delegate authority
to the Chairperson, if any, to act in the name of Board between meetings
of the Board, provided that the delegation is in writing and the specific
powers to be delegated are enumerated, and further provided that the
Board may not delegate the power to conduct hearings, determine violations,
recommend disciplinary action, impose civil fines, refer any matter
to a prosecutor or render advisory opinions.
(2)
To prescribe and promulgate rules and regulations governing its own
internal organization and procedures in a manner not inconsistent
with this section or state or federal law.
(3)
To review lists of municipal officials and disclosure statements pursuant to § 63-18 of the West Hampton Dunes Code of Ethics.
(7)
To provide ethics training and education to Village officers and
employees on the provisions of the West Hampton Dunes Code of Ethics
and Article 18 of the General Municipal Law.
(8)
The Ethics Board of the Village of West Hampton Dunes may act only
with respect to officers and employees of the municipality and persons
having business dealing with the municipality. The termination of
a Village officer's or employee's term of office or employment
with the Village shall not affect the jurisdiction of the Village
Ethics Board with respect to requirements imposed by this chapter
on current and former Village officers or employees to the extent
permitted by law.
(9)
The Village Ethics Board may refer any matter within its jurisdiction
to the County Ethics Board in its discretion.
(10)
A member of the Board of Ethics may be removed from office by
a minimum of four votes of the Village Board for failure to fulfill
the duties of the office or for violation of this chapter. The Village
Board must give the Board member written notice and an opportunity
to reply.
(11)
The Ethics Board must prepare an annual report to the Village
Board on its activities and recommend changes to the Village Ethics
Law.
A.
Upon receipt of a form duly sworn by the person requesting an investigation
of an alleged violation of this chapter or upon the Board determining
on its own initiative that a violation of this chapter may exist,
the Ethics Board shall have the power and duty to conduct any investigation
necessary to carry out the provisions of this section. In conducting
any such investigation, the Board may administer oaths or affirmations,
subpoena witnesses and compel their attendance and require the production
of any books or records which it may deem relevant or material. The
form to be utilized in requesting an investigation of an alleged violation
of this chapter shall be the form available in the office of the Village
Clerk.
B.
The Village Ethics Board investigation shall be confidential until
such time that a final determination of the Village Ethics Board has
been made. Thereafter the Village Ethics Board shall state, in writing,
its disposition of every sworn complaint it receives and of every
investigation it conducts and shall set forth the reasons for the
disposition to the Village Board. Any findings of violations of this
chapter or other applicable law shall be served upon the subject of
the investigation within seven days of such service of any findings
of violations of this chapter and violations shall be made a public
record and shall be indexed and maintained on file by the Village
Clerk.
A.
In its discretion and after a hearing in accordance with Article
3 of the State Administrative Procedure Act (SAPA) and subject to
§ 75 of the Civil Service Law and any collective bargaining
agreements, to the extent practicable, the Village Ethics Board may
publicly recommend for action appropriate disciplinary action which
may include a written warning, or reprimand, forfeiture of accrued
leave with pay, required attendance at ethics training seminars, suspension,
or termination of employment to the authority, or person, or body
authorized by law to impose such sanctions.
B.
The Ethics Board shall conduct and complete the hearing with reasonable
promptness, and shall not act without notice and opportunity to be
heard, and shall observe appropriate due process.
The Board of Ethics shall render confidential advisory opinions
only to officers and employees of the Village of West Hampton Dunes
with respect to Article 18 of the General Municipal Law and this Code
of Ethics. Officers and employees of the municipality are encouraged
to seek advisory opinions whenever they are uncertain whether their
conduct may violate the Code of Ethics. The Board of Ethics will prepare
an advisory opinion, based on a thorough review of the facts and applicable
law. The Board's opinion is to be based solely on the facts presented
in the request or subsequently submitted in a written signed document.
The opinion will be rendered in writing to the requester as expeditiously
as is practicable, with special attention to the time requirements
of a given case. An officer or employee of the municipality whose
conduct or action is the subject of an advisory opinion will not be
subject to penalties or sanctions by virtue of acting, or failing
to act, due to a reasonable reliance on the opinion, unless material
facts were omitted or misstated in the material submitted by the requester.
The Board of Ethics will maintain a confidential indexed file of all
advisory opinions issued by the Board.
A.
The Village of West Hampton Dunes must promptly cause a copy of this
Code of Ethics and a copy of Article 18, §§ 800 through
809, of the General Municipal Law, and a copy of any amendment to
this Code of Ethics, to be posted publicly and conspicuously in each
building under the municipality's control. The Code of Ethics
must be posted within 10 days following the date on which the code
takes effect. An amendment to the Code of Ethics must be posted within
10 days following the date on which the amendment takes effect.
B.
The Village of West Hampton Dunes must promptly cause a copy of this
Code of Ethics, including any amendments to the code, to be distributed
to every person who is or becomes an officer and employee of the Village
of West Hampton Dunes.
C.
Every municipal officer or employee who receives a copy of this Code
of Ethics or an amendment to the code must acknowledge such receipt
in writing. Such acknowledgments must be filed with the Village Clerk
who must maintain such acknowledgments as a public record.
D.
The failure to post this Code of Ethics or an amendment to the code
does not affect either the applicability or enforceability of the
code or the amendment. The failure of a municipal officer or employee
to receive a copy of this Code of Ethics or an amendment to the code,
or to acknowledge receipt thereof in writing, does not affect either
the applicability or enforceability of the code or amendment to the
code.
All officers and employees of the Village of West Hampton Dunes
and members of the Village of West Hampton Dunes Ethics Board must
complete an ethics training seminar on a biennial basis. Ethics training
will be provided at the direction of the Village Board, in conjunction
with the Village Ethics Board. Ethics training will be provided by
qualified professionals proficient in municipal ethics, and will be
designed to keep recipients knowledgeable of current standards and
issues in municipal ethics. The training seminar will be made available
each year. Scheduling and records documenting compliance with this
section will be performed and maintained by the Village Clerk.
