[HISTORY: Adopted by the Board of Trustees of the Village
of Suffern 4-11-2016 by L.L. No.
6-2016.[1] Amendments noted where applicable.]
GENERAL REFERENCES
Chief of Police — See Ch. 10.
Defense and indemnification — See Ch. 14.
Salaries and compensation — See Ch. 53.
[1]
Editor's Note: This local law also repealed former Ch. 22,
Ethics, Code of, adopted 2-8-1971 as Ch. 16A of the 1971 Code, as
amended.
This chapter shall be known and cited as the "Ethics in Government
Law of the Village of Suffern" (repealing and replacing the former
Chapter 22 of the Code of Ethics of the Village of Suffern originally
adopted February 8, 1971).
In a democracy, government should be open, accessible, equitable
and efficient. Democratic government requires that elected officials
be independent, impartial and responsible to the people. Government
decisions and policy must be made through the appropriate channels
of government structure. Public office must not be used or be perceived
for personal gain. The public must have confidence in the integrity
of its government. In order to strengthen the democratic operation
of the Village of Suffern and to enhance public trust in that government,
this code requires disclosure of financial interests that may influence
or be perceived to influence the actions of elected officials, covered
employees or Village employees. Elected officials, covered employees
or Village employees hold office for the benefit of the public, and
their conduct must be of the highest standard. It is of the utmost
importance that all individuals covered by that law must be seen to
be acting solely in the public interest. Therefore, it is the intent
of this legislation to:
A.
Establish high standards of ethical conduct for elected officials,
covered employees and Village employees.
B.
Afford elected officials, covered employees and Village employees
clear guidance to such standards.
C.
Promote public confidence in the integrity of Village government.
D.
Require disclosure of financial interests that may influence or be
perceived to influence the actions of elected officials, candidates
for elected office and covered employees.
E.
Facilitate consideration of potential problems before they arise,
minimize unwarranted suspicion and enhance the accountability of government
to the people.
A.
Nothing contained in this chapter shall be deemed to supersede the
provisions of §§ 800, 801, 802, 803 and 809 of the
General Municipal Law, but rather this chapter is deemed supplementary
thereto. However, should a higher standard of disclosure of conflict
of interest be required by this chapter, then the provisions of this
chapter shall govern.
B.
All other legal requirements pertaining to the conduct of elected
officials, covered employees and Village employees shall not be deemed
to have been superseded by this chapter, including but not limited
to rules of any state or county agency relating to licensing and discipline
and any other applicable disciplinary codes.
As used in this chapter, the following terms shall have the
meanings indicated:
Any agency, department, division, board, commission or bureau
of the Village of Suffern.
The Board of Ethics of the Village of Suffern.
Having or providing any contract, service or work with the
Village; buying, selling, renting, leasing or otherwise acquiring
from or dispensing to the Village any goods, services or property;
or obtaining any approval, grant, loan, license, permit or other privilege
from the Village, excepting that by operation of law.
A candidate for Village-wide office who receives the designation
of a party and who files a designating petition for nomination at
a primary election, or who receives the nomination of a party other
than at a primary election (whether or not for an uncontested office),
or who seeks independent nomination and who has not been designated
by a party to receive a nomination but files a designating petition,
or whose name appears on a primary or election ballot pursuant to
§ 6-148 of the Election Law. The terms "party," "designation,"
"primary election," "nomination" and "independent nomination," as
used herein, shall have the same meaning as those contained in § 1-104
of the Election Law.
Any money, thing of value or financial benefit conferred
in return for services rendered or to be rendered.
The heads, other than elected officials, of any agency, department,
division, council, board, commission or bureau of the Village and
their deputies and assistants and the officers, employees and consultants
on annual retainers of such agencies, departments, divisions, boards,
bureaus, commissions or councils who hold policy-making positions
as determined by the Village Board and set forth in a written instrument
annexed hereto as Appendix I,[1] which shall be filed with the Board of Ethics.
An elected official of the Village of Suffern.
A direct or indirect pecuniary or material benefit accruing
to an elected official, covered employee or Village employee, his
or her spouse, child or dependent, whether as a result of a contract
with the Village or otherwise.
Any agency activity respecting the grant, denial, renewal,
revocation, enforcement, suspension, annulment, withdrawal, recall,
cancellation or amendment of a license, permit or other form of permission
conferring the right or privilege to engage in a profession, trade
or occupation or any business or activity regulated by a regulatory
agency which, in the absence of such license, permit or other form
of permission, would be prohibited.
An administrative act carried out in a prescribed manner
not allowing for substantial personal discretion.
Such individual's spouse, child, stepchild, stepparent, or
any person who is a direct descendant of the grandparents of the reporting
individual or of the reporting individual's spouse.
The presentation of the interests of a client or other person
pursuant to an agreement, express or implied, for compensation for
services.
The husband or wife of the reporting individual unless living
separate and apart from the reporting individual with the intention
of terminating the marriage or providing for permanent separation
or unless separated pursuant to a judicial order, decree or judgment
or a legally binding separation agreement.
A child of one's husband or wife, but not born of the marriage.
Any son, daughter, stepson or stepdaughter who is under the
age of 22, unmarried and living in the household of the reporting
individual.
Any employee other than an elected official or covered employee
of the Village of Suffern, whether paid or unpaid.
[1]
Editor's Note: Appendix I is included as an attachment to this chapter.
A.
No elected official, covered employee or Village employee shall directly
or indirectly solicit or receive compensation or agree to receive
compensation for services rendered concerning matters before any Village
agency, nor shall any such person accept other employment or engage
in any business transactions or make any investments directly or indirectly
which create a conflict with his or her official duties.
B.
No elected official, covered employee or Village employee shall have
any business or professional dealings or be interested, directly or
indirectly, in any manner whatsoever, except by operation of law,
in any business or professional dealings with the Village of Suffern
or any agency thereof.
C.
No elected official, covered employee or Village employee shall be
employed, with or without compensation, as an attorney, agent, broker,
director, representative or employee for any person, firm or corporation
interested, directly or indirectly, in any manner whatsoever, in business
or professional dealings with the Village or any agency thereof unless
full disclosure is made as to such employment to the Village Board,
in writing, and such elected official, covered employee or Village
employee disqualifies himself or herself from acting in his or her
official capacity in matters affecting such person, firm or corporation.
D.
No elected official, covered employee or Village employee shall,
directly or indirectly, solicit any gift or gifts, or accept or receive
any gift or gifts with an aggregate value of $75 or more within any
twelve-month period, whether in the form of a service, loan, thing,
travel, entertainment, hospitality or promise, or any other form of
gratuity, from any person other than a relative or from any firm,
any organization or any corporation which, to his or her knowledge,
is interested, directly or indirectly, in any manner whatsoever, in
business or any case, proceeding or application or professional dealings
with the Village or any agency thereof. Refreshments or meals that
are provided as part of an informational presentation in a group setting
or as part of a reception shall not be considered gifts, nor shall
the receipt or acceptance of gifts or other things of value less than
$150 received from other elected officials, covered employees or Village
employees for purposes of being social, showing appreciation or celebrating
a holiday or other event be considered gifts.
E.
No former elected official, former covered employee or former Village
employee shall directly or indirectly appear, render services or have
any business transaction before any Village agency concerning a matter
in which he or she was personally involved for two years after termination
of his or her service of employment.
F.
No elected official, covered employee or Village employee who is
a member of a firm which is appearing before a Village agency may
communicate about the matter with an elected official, covered employee
or Village employee concerned with the matter. However, printed material
such as the letterhead or stationery imprinted with the name of the
elected official, covered employee or Village employee is deemed not
to be a communication so long as the printed material is not issued
or signed by the elected official, covered employee or Village employee.
G.
No elected official, covered employee or Village employee shall disclose
confidential information concerning the property, government or affairs
of the Village except when permitted or required by law, nor shall
be or she use such information to advance the financial or other private
interests of any person, firm or corporation.
H.
Any applicant or any representative of any applicant before any agency
must disclose, in writing and on the record, any previous business
dealings and/or business transactions that said applicant or representative
has had with any member of said agency within the previous two years.
I.
Each elected official, covered employee or Village employee shall be furnished a copy of the Code of Ethics, Chapter 22 of the Code of the Village of Suffern, by the Personnel Administrator before entering the duties of his or her office of employment.
J.
Each elected official, covered employee or Village employee shall
be barred from videotaping and/or audiotaping any individual or proceeding,
involving Village business, without the consent of each of the individuals
who are being video- and/or audiotaped. Notwithstanding the foregoing,
any individual who is acting as agent or under the direction or on
behalf of law enforcement, whether local, state or federal, is permitted
to video- and/or audiotape if such conduct is at the law enforcement
agency's direction.
Each elected official, covered employee and candidate for elected
office must file an annual financial disclosure statement containing
the information and in the form set forth as Appendix II[1] hereto. Such statement shall be filed with the Board of
Ethics on or before the 15th day of May with respect to the preceding
calendar year, with the following exceptions:
A.
A person who is subject to the reporting requirements of this section
and who timely filed with the Internal Revenue Service an application
for automatic extension of time in which to file his or her individual
income tax return for the immediately preceding calendar or fiscal
year shall be required to file such financial disclosure statement
on or before May 15, but may, without being subjected to any civil
penalty on account of a deficient statement, indicate with respect
to any item of the disclosure statement that information with respect
thereto is lacking but will be supplied in a supplementary statement
of financial disclosure, which shall be filed on or before the seventh
day after the expiration of the period of such automatic extension
of time within which to file such individual income tax return, provided
that failure to file or to timely file such supplementary statement
of financial disclosure or the filing of any incomplete or deficient
supplementary statement of financial disclosure shall be subject to
the notice and penalty provisions of this section respecting annual
statements of financial disclosure as if such supplementary statement
were an annual statement.
B.
A person who is required to file an annual financial disclosure statement
with the Board and who is granted an additional period of time within
which to file such statement due to justifiable cause or undue hardship,
in accordance with required rules and regulations on the subject adopted
by the Board, shall file such statement within the additional period
of time granted.
C.
Candidates for elected office shall file such annual financial disclosure
statement within seven days after the last day allowed by law for
the filing of primary election designating petitions; or the last
day allowed by law for the filing of independent nominating petitions;
or the date of the meeting of the party committee at which they are
nominated; or within seven days of receiving the designation or nomination
or independent nomination or otherwise becoming a candidate by virtue
of § 6-148 of the Election Law, as shall be applicable to
the form of their candidacy.
D.
Any person required to file an annual financial disclosure statement
who commences employment after April 15 of any year shall file such
statement within 30 days after commencing employment.
E.
A person who is required to file an annual financial disclosure statement
in more than one capacity need file only one such statement but must
observe the earliest filing date with respect to each of such capacities.
[1]
Editor's Note: Appendix II is included as an attachment to this chapter.
A.
There shall be a Board of Ethics consisting of five members to be appointed by the Village Board, all of whom shall reside in the Village of Suffern and who shall serve without compensation, which shall be set by resolution of the Village Board. The members of the present Board existing on the effective date of this chapter shall continue in office until the expiration of their respective terms unless they or any one of them is in violation of any of the provisions of Subsection B hereof, in which case said member or members are deemed to have vacated their office as of the effective date of this chapter. The members of the Board shall elect a Chairman and a Secretary.
B.
No member of the Board shall:
(1)
Hold any public office, elected or appointed, or be a public officer or employee. This provision is adopted so as to establish a Board of Ethics that is an unquestionably independent body, pursuant to and by the authority granted to the Village by the New York Constitution, Article IX, § 2(c) and § 10(1)(i) and (ii)(a)(1) of the Municipal Home Rule Law to adopt a Code provision not inconsistent with and stricter than § 808(3) of the General Municipal Law.
(2)
Hold office in any political party or be employed as a lobbyist.
(4)
Be a party to any civil proceeding against the Village other than
that arising out of a personal injury or property damage claim or
from any lawful benefit, or have any business dealings with the Village,
other than applications for building permits, certificates of occupancy,
marriage licenses, or other similar ministerial matters.
C.
Any vacancy occurring on the Board shall be filled within 60 days
of its occurrence by the Village Board in the same manner as the member
whose vacancy is being filled was appointed. A person appointed to
fill a vacancy shall be appointed for the unexpired term of the member
he or she succeeds.
D.
Three members of the Board shall constitute a quorum, and the Board
shall have power to act by a majority vote of the total number of
members of the Board without vacancy.
E.
The term of office for members of the Board shall be five years.
Members of the Board may be removed by the Village Board for cause
amounting to substantial neglect of duty, gross misconduct in office,
inability to discharge the powers or duties of the office or violation
of this chapter, after a hearing on written notice and opportunity
to respond.
F.
The members of the Board shall receive no compensation.
G.
The Board shall be the repository for all financial disclosure statements
required pursuant to the provisions of this chapter. The information
set forth in the annual statement of financial disclosure filed pursuant
to this chapter shall be available for public inspection except the
categories of value or amount, which shall remain confidential. All
other documents filed with the Board, except as otherwise provided
in this chapter, shall be kept confidential and shall not be used
for any purpose outside of the jurisdiction of the Board except pursuant
to a lawfully issued subpoena by or on behalf of a law enforcement
agency. The Board shall notify the Temporary State Commission on Local
Government Ethics, if such Commission is in existence, and, if not,
shall file a statement with the Village Clerk that it is the authorized
repository for completed annual statements of financial disclosure
and that, on account thereof, such completed statements will be filed
with it and not with the Commission.
H.
The Board shall inspect all financial disclosure statements filed
with the Board to ascertain whether any person subject to the reporting
requirements of this chapter has failed to file such a statement,
has filed a deficient statement or has filed a statement which reveals
a possible violation of § 811 or 812 of the General Municipal
Law or of this chapter, as the case may be.
I.
The Board shall obtain from the Rockland County Board of Elections
lists of all candidates for elected office. The Board shall determine
from such lists those candidates who have not, after the required
date for filing such statement, filed the statement required by this
chapter.
J.
The Board shall meet at least annually in the month of June for purposes
of organization and to review the status of all confidential memoranda
required to be on file with it and to transact any other business
as may properly come before it and shall report publicly to the Village
Board not later than the 15th day of September annually on its current
state of organization and on the currency of all reports required
to be on file and for which notices of delinquency have been issued
and on any other matters which may appear to be a just and proper
exercise of its responsibility.
K.
The Board shall adopt, amend and rescind rules and regulations to
govern procedures of the Board, which shall include but not be limited
to the procedure whereby a person who is required to file an annual
financial disclosure statement with the Board may request an additional
period of time within which to file such statement, due to justifiable
cause or undue hardship. Such rules or regulations shall provide for
a date beyond which, in all cases of justifiable cause or undue hardship,
no further extension of time will be granted.
L.
The Board shall receive only sworn complaints alleging a violation
of any of the provisions of this chapter. The source of the complaint
shall be verified prior to the commencement of any investigation thereof.
M.
The Board shall permit any person required to file a statement of
financial disclosure to request an exemption from any requirement
to report one or more items of information which pertain to such person's
spouse or unemancipated children, which item or items may be exempted
by the Board upon a finding by a majority of the total number of members
of the Board without vacancy that the reporting individual's spouse,
on his or her own behalf or on behalf of an unemancipated child, objects
to providing the information necessary to make such disclosure, and
that the information which would otherwise be required to be reported
will have no material bearing on the discharge of the reporting person's
official duties.
N.
Upon written request from any person who is subject to the jurisdiction
of the Board, the Board shall render advisory opinions on the requirements
of the provisions of this chapter. An opinion rendered by the Board,
until and unless amended or revoked, shall be binding on the Board
in any subsequent proceeding concerning the person who requested the
opinion and who acted in good faith unless material facts were omitted
or misstated by the person in the request for an opinion. Such opinion
may also be relied upon by such person and may be introduced and shall
be a defense in any criminal or civil action. Such request and any
such opinions shall be confidential.
O.
If a person required to file a financial disclosure statement with
the Board has failed to file a disclosure statement or has filed a
deficient statement, the Board shall notify the reporting person,
in writing, state the failure to file or detail the deficiency, provide
the person with a fifteen-day period to cure the deficiency and advise
the person of the penalties for failure to comply with the reporting
requirements. Such notice shall be confidential. If the person fails
to make such filing or fails to cure the deficiency within the specified
time period, the Board shall send a notice of delinquency to the reporting
person and, in the case of a covered employee, to the appointing authority
for such person. Such notice shall be available for public inspection.
P.
If a reporting person has filed a statement which reveals a possible
violation of the Code of Ethics of this chapter or the Board receives
a sworn complaint alleging such a violation or if the Board determines
on its own initiative to investigate a possible or alleged violation,
the Board shall notify the reporting person, in writing, describe
the possible or alleged violation of such Code of Ethics and provide
the person with a fifteen-day period in which to submit a written
response setting forth information relating to the activities cited
as a possible or alleged violation of law. If the Board thereafter
makes a determination that further inquiry is justified, it shall
give the reporting person an opportunity to be heard. The Board shall
also inform the reporting person of its rules regarding the conduct
of adjudicatory proceedings and the due process procedural mechanisms
available to such individual. If the Board determines at any stage
of the proceeding that there is no violation or that any potential
conflict of interest violation has been rectified, it shall so advise
the reporting person and the complainant, if any. All the foregoing
proceedings shall be confidential. If the Board determines that there
is reasonable cause to believe that a violation has occurred, it shall
send notice of reasonable cause to the reporting person, to the complainant,
if any, and, in the case of a covered employee, to the appointing
authority for such person. Such notice shall be available for public
inspection.
Q.
The Board shall adopt rules governing the conduct of adjudicatory
proceedings relating to the assessment of civil penalties herein authorized.
Such rules shall provide for due process procedural mechanisms substantially
similar to those set forth in Article 3 of the State Administrative
Procedure Act, but such mechanisms need not be identical in terms
or scope. Assessment of a civil penalty shall be final unless modified,
suspended or vacated within 30 days of imposition and, upon becoming
final, shall be subject to review at the instance of the affected
reporting individual in a proceeding commenced against the appropriate
body pursuant to Article 78 of the Civil Practice Law and Rules.
R.
The Board shall conduct any investigation necessary to carry out
the provisions of this chapter. Pursuant to this power and duty, the
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 or material.
S.
All decisions of the Board not otherwise required to be kept confidential
shall be printed and made public within 30 days after their decision
and shall be filed with the Village Clerk and shall be available for
public inspection during regular business hours.
A.
Any person who shall violate any of the provisions of § 22-5 of this chapter shall be subject to a civil fine in an amount not to exceed $10,000 for each violation. Assessment of a civil penalty hereunder shall be made by the Board.
B.
In addition, any person who shall violate any of the provisions of § 22-5 of this chapter shall be guilty of a Class A misdemeanor as that term is defined in the New York State Penal Law.
C.
An elected official, covered employee or candidate for elected office who knowingly and willfully fails to file an annual statement of financial disclosure or who knowingly and willfully, with intent to deceive, makes a false statement or gives information which such individual knows to be false on such statement of financial disclosure filed pursuant to § 22-6 of this chapter shall be assessed a civil penalty in an amount not to exceed $10,000. The Board may, in lieu of a civil penalty, refer a violation to the appropriate prosecutor and, upon such conviction, but only after such referral, such violation shall be punishable as a Class A misdemeanor. A civil penalty for false filing may not be imposed hereunder in the event that a category of value or amount reported hereunder is incorrect, unless such reported information is falsely understated. Notwithstanding any other provision of law to the contrary, no other penalty, civil or criminal, may be imposed for a failure to file or for a false filing of such statement, except that the Board may impose disciplinary action as otherwise provided by law.
D.
In the event that a civil penalty assessed by the Board shall become
final and shall not be reviewed pursuant to Article 78 of the Civil
Practice Law and Rules or, if so reviewed such civil penalty shall
be sustained or modified and, as so modified, sustained in part or,
if after referral to the appropriate prosecutor by the Board the reporting
person shall be convicted, the Board is hereby directed to review
the facts and, if appropriate, to file appropriate disciplinary charges
and to impose disciplinary action as provided by law.
A.
The Village Clerk shall maintain as a record subject to public inspection:
(1)
A copy of this chapter or any amendments hereto adopted, within 30
days after the adoption thereof.
(2)
A statement that the Village of Suffern has established a Board of
Ethics in accordance with this chapter and the composition of such
Board, within 30 days after the establishment of such Board.
(3)
A copy of the form of annual statement of financial disclosure and
a statement of the date such annual statement form was promulgated
by this chapter.
Notwithstanding anything to the contrary contained in this chapter,
the Village of Suffern hereby elects to remove itself from the ambit
of all of the provisions of § 812, other than Subdivision
3 of such section, of the General Municipal Law, in accordance with
the provisions of Subdivision 3 of such section.
Any person who induces any elected official, covered employee
or Village employee to take any action or refrain from taking any
action, which is in violation of this chapter, shall be guilty of
a Class A misdemeanor as that term is defined in the New York State
Penal Law and shall be barred from doing business with the Village
for a period of five years from the date of conviction.
Nothing herein shall be deemed to bar the timely filing by a
present or former elected official, covered employee or Village employee
of any claim, demand, or suit against the Village, made individually
or in a representative capacity, arising out of any personal injury
or property damage or from any lawful benefit, or from receiving a
municipal service or benefit that is generally available to the public.
A.
CONTRACT
INTEREST
(1)
(2)
(3)
Definitions. For purposes of this section, the following definitions
shall apply to acts under this section:
Any claim, account or demand against or agreement with a
municipality, express or implied, and shall include the designation
of a depository of public funds and the designation of a newspaper,
including, but not limited to, an official newspaper, for the publication
of any notice, resolution, ordinance, or other proceeding where such
publication is required or authorized by law. "Contract" shall include,
for the purposes of this section, an approval or denial of a rezoning,
subdivision, variance or other discretionary application and shall
also include a determination made pursuant to § 8-0101 et
seq. of the Environmental Conservation Law. "Contract" shall not include,
for purposes of this section, a proposed collective bargaining agreement
with the Village that may collaterally affect one or more of the persons
set forth in Subsection (2) of the definition of "interest" herein
when such person is classified as a nonexempt position person by said
collective bargaining agreement.
A direct or indirect pecuniary or material benefit accruing
to an elected official or covered employee as a result of a contract
with the Village which such elected official or covered employee serves.
For the purposes of this section an elected official or covered employee
shall be deemed to have an interest in the contract of:
A spouse, child, stepchild or dependent;
Business partners, or a business, association, partnership, corporation, or other entity of which the elected official or covered employee is an owner, partner, officer, director, or shareholder, as identified in the financial disclosure statement of said elected official or covered employee executed by him or her pursuant to § 22-6 herein; and
A person, business, association, partnership, corporation, or other entity who is represented in a professional capacity (such as attorney-client or real estate broker/customer) by the elected official or covered employee, as identified in the financial disclosure statement of said elected official or covered employee executed by him or her pursuant to § 22-6 herein.
B.
Prohibited actions. Whenever an elected official or covered employee
is called upon to vote on, advise on, or otherwise take discretionary
action before the Village in which the elected official or covered
employee has an interest, the elected official or covered employee
shall immediately declare the nature of the interest and shall refrain
from taking any action or inaction that would affect the outcome of
the matter. Such declaration shall be made a part of the public record
concerning the matter.
