Village of Sagaponack, NY Chapter 71 Ethics, Code of

[HISTORY: Adopted by the Board of Trustees of the Village of Sagaponack 8-13-2007 by L.L. No. 6-2007. Amendments noted where applicable.]

§ 71-1 Purpose; effect on other requirements.

A. Purposes. Specifically, the purposes of this chapter are to:

(1) Enable and require the officers and employees of the Village to act fairly, impartially, without taint of conflict of interest and without any appearance of conflict of interest in fulfilling their public responsibilities.

(2) Set clear guidelines for high standards of ethical conduct for officers and employees of the Village.

(3) Afford officers and employees of the Village clear guidance concerning such standards, including specific guidance in the form of advisory opinions.

(4) Promote public confidence in the integrity of the government and administration of the Village and its agencies and administrative offices.

(5) Facilitate consideration of potential ethical problems before they arise, minimize unwarranted suspicion, and enhance the accountability of government to the people.

(6) Provide fair and speedy resolution of questions and complaints concerning the conduct of officers and employees of the Village.

(7) Protect the public from unethical conduct and to protect the officers and employees of the Village from frivolous claims.

(8) Educate the public, officers and employees of the Village regarding this Code of Ethics.

B. Construal with other provisions. Any requirements or standards set forth in this chapter are in addition to other requirements, prohibitions or rules governing ethical conduct set forth in Article 18 of the General Municipal Law or any other general or special law relative to ethical conduct and interests in municipal contracts.

§ 71-2 Definitions.

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

AGENCY

Any Village authority, agency, board, bureau, commission, committee or council created by law or appointed by the Board of Trustees or Mayor, except for an advisory committee.

APPEAR and APPEAR BEFORE

Communicating in any form, including, without limitation, personally, through another person, by letter, by telephone or by electronic communication, with or without compensation.

BENEFIT

Any gain or advantage to the beneficiary, and includes any gain or advantage to a third person pursuant to the desire or consent of the beneficiary, and any promise thereof. The term "benefit" does not include campaign contributions authorized by law.

CLIENT or CUSTOMER

A. Any person to whom a Village officer or employee has supplied goods or services during the previous 24 months having, in the aggregate, a value greater than $1,000; or

B. Any person to whom a Village officer's or employee's outside employer or business has supplied goods or services during the previous 24 months having, in the aggregate, a value greater than $1,000, but only if the officer or employee knows or has reason to know the outside employer or business supplied the goods or services.

CONSULTANT

Any individual, association, partnership or corporation or any employee or agent thereof who has been retained to assist any board or agency in the discharge of its duties. "Consultant" shall also include any business partner, employer or members of the consultant's firm or company.

CONTRACT

As defined in Article 18 of General Municipal Law, any claim, account or demand against or agreement with the Village, express or implied.

FORMER VILLAGE OFFICER OR EMPLOYEE

Any person who held at any time in the past any position described in the definition of "Village officer or employee."

INTEREST

As defined in Article 18 of the General Municipal Law, a direct or indirect pecuniary or material benefit accruing to a Village officer or employee as the result of a contract with the Village which such officer or employee serves. For purposes of this chapter, a Village officer or employee shall be deemed to have an interest in the contract of:

A. His or her spouse or relative, as defined herein, except a contract of employment with the Village which such Village officer or employee serves.

B. A firm, partnership or association of which such Village officer or employee is an officer, member or employee.

C. A corporation of which such Village officer or employee is an officer, director, or employee.

D. A corporation of which any stock is owned or controlled directly or indirectly by such Village officer or employee.

MINISTERIAL ACT or MINISTERIAL DECISION or MINISTERIAL MATTER

An administrative action performed in a prescribed manner not allowing for substantial personal discretion.

OUTSIDE EMPLOYER OR BUSINESS OF A VILLAGE OFFICER OR EMPLOYEE

A. Any activity, other than service to the Village, from which the Village officer or employee receives compensation, or anticipates or has reason to anticipate receiving compensation, for services rendered or goods sold or produced;

B. Any person from whom the Village officer or employee receives compensation, or anticipates or has reason to anticipate receiving compensation, for services rendered or goods sold or produced;

C. Any entity, other than the Village, of which the Village officer or employee is a member, officer, director, or employee, or with which the Village officer or employee anticipates or has reason to anticipate becoming a member, officer, director, or employee within the next 24 months;

D. Any entity in which the Village officer or employee has an ownership interest, unless the Village officer or employee owns less than 5% of such entity, and such interest is worth less than $10,000;

E. Any entity in which the Village officer or employee anticipates or has reason to anticipate obtaining or receiving an ownership interest, unless the ownership interest in question constitutes less than 5% of such entity, and such interest is worth less than $10,000; or

F. Any activity, person or entity described in Subsections A through E above with which the Village officer or employee ceased to have any involvement or participation, or ceased to hold any position, or from which the Village officer or employee ceased to receive any compensation within the preceding 24 months from the date when the Village officer or employee disclosed the termination of the outside employer or business relationship.[1]

PARTICULAR MATTER

Any case, proceeding, application, request for a ruling or benefit, determination, contract limited to the duration of the contract as specified therein, investigation, charge, accusation, arrest or other similar action which involves a specific party or parties, including actions leading up to a particular matter, provided that a particular matter shall not be construed to include the proposal, consideration or enactment of local laws or resolutions by the Board of Trustees, or any action on the budget.

PERSON

A human being, a public or private corporation, an unincorporated association, a partnership, a government or a governmental instrumentality.

RELATIVE

A spouse, former spouse, child, stepchild, son- or daughter-in-law, brother, sister, parent, brother-in-law, sister-in-law, parent-in-law, niece or nephew of the Village officer or employee, as well as any person claimed as a dependent on the Village officer's or employee's most recently filed state personal income tax return.

SPOUSE OF A VILLAGE OFFICER OR EMPLOYEE

As defined in Article 18 of the General Municipal Law, the husband or wife of the Village officer or employee, unless living separate and apart 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.

SUBORDINATE OF A VILLAGE OFFICER OR EMPLOYEE

Any other Village officer or employee over whose activities he or she has direction or control, either directly or indirectly.

UNEMANCIPATED CHILD OF A VILLAGE OFFICER OR EMPLOYEE

As defined in Article 18 of the General Municipal Law, any son, daughter, stepson or stepdaughter who is under age 18 years, unmarried and living in the household of the Village officer or employee.

VILLAGE OFFICER OR EMPLOYEE

An officer or employee of the Village of Sagaponack, whether paid or unpaid, elected or appointed, including members of any administrative board, commission or other agency thereof.

[1] Editor's Note: Amended at time of adoption of Code (see Ch. 1, General Provisions, Art. I).

§ 71-3 Standards of conduct.

A. Ethical conduct. In fulfilling their public responsibilities, Village officers and employees shall act fairly, impartially, without taint of conflict of interest and without any appearance of conflict of interest.

B. General prohibitions.

(1) Except as provided for in Subsection B(3) below, a Village officer or employee shall not use his or her official position or office, or take or fail to take any action, in a manner which he or she knows or has reason to know may result in a benefit to any of the following persons:

(a) The Village officer or employee;

(b) The outside employer or business of the Village officer or employee;

(c) Any person who shares the residence of the Village officer or employee;

(d) A customer or client of the Village officer or employee; or

(e) A relative of the Village officer or employee.

(2) A Village officer or employee shall not use his or her official position or office, or induce any of the persons listed above, to impose financial detriment or harm on any person without reasonable justification.

(3) Recusal. A Village officer or employee shall promptly recuse himself or herself from acting on a matter before the Village when acting on the matter, or failing to act on the matter, may benefit any of the persons listed in Subsection B(1) above. However, recusal is not required by an elected Village official so long as any relationship described in Subsection B(1) above is disclosed as part of the public record, in accordance with the provisions of this chapter.

C. Gifts.

(1) In accordance with § 805-a of Article 18 of General Municipal Law, a Village officer or employee shall not directly or indirectly solicit any gift, nor accept any gift having a value of $75 or more, from any person, whether in the form of money, services, loan, travel, entertainment, hospitality, thing or promise or any other form, under circumstances in which it could be reasonably be inferred that the gift was intended to influence him or her or could reasonably be expected to influence him or her in the performance of official duties or was intended as a reward for any official action on his or her part.

(2) In particular, it is a conflict of interest for a Village officer or employee to accept anything worth more than $75 from any of the following:

(a) A person who is currently seeking a benefit from the Village;

(b) A person who the Village officer or employee knows, or has reason to know, will seek a benefit from the Village within the 24 months following the solicitation or acceptance; or

(c) A person who the Village officer or employee knows, or has reason to know, has received or sought a benefit from the Village within the 24 months preceding the solicitation or acceptance.

D. Confidential information.

(1) In accordance with § 805-a of Article 18 of General Municipal Law, a Village officer or employee, and a former Village officer or employee, shall not disclose any confidential or privileged information that he or she has acquired in the course of his or her official duties, except as provided for in Subsection D(3) of this subsection;

(2) A Village officer or employee, and a former Village officer or employee, shall not use any confidential or privileged information that he or she has acquired in the course of his or her official duties to further or to harm the interests of any person or further his or her personal interests.

(3) A Village officer or employee may disclose confidential or privileged information in the following situations:

(a) If the Village officer or employee is acting in furtherance of his or her official duties; or

(b) Pursuant to the order of a court of competent jurisdiction.

E. Representation; appearances. To supplement the provisions of § 805-a of Article 18 of the General Municipal Law, which prohibits representation before a Village agency over which the Village officer or employee has jurisdiction and also prohibits representation before any Village agency on any matter for a contingent fee, a Village officer or employee shall not:

(1) Represent any other person in any matter before any Village agency in which the Village officer or employee is, or may be, called upon to render any decision on behalf of the Village;

(2) Represent any other person in any matter against the interest of the Village; or

(3) Appear before any agency of the Village, except on behalf of the Village, or on his or her own behalf.

F. Investments in conflict with official duties. Whenever a Village officer or employee holds an investment, directly or indirectly, in any financial, business, commercial or other private transaction which creates a conflict with his or her official duties, he or she shall provide public disclosure in accordance with § 71-4D and shall refrain from involvement in the matter which creates such conflict with his or her official duties.

G. Private employment. A Village officer or employee shall not engage in, solicit, negotiate for or promise to accept private employment or render services for private interests when such employment or service creates a conflict with or impairs the proper discharge of his or her official duties. This shall not be construed to apply to private employment outside of the jurisdictional limits of the Village, or whenever a Village officer or employee has provided public disclosure in accordance with § 71-4B and has acted in accordance with § 71-4D.

H. Avoidance of conflicts. A Village officer or employee shall not knowingly acquire, solicit, negotiate for, or accept any benefit, interest, employment, or other thing of value that would put him or her in violation of this Code of Ethics.

§ 71-4 Disclosure of interest in contract, transaction or legislation.

A. Prohibited interests in contracts. No Village officer or employee shall have an interest in a contract with the Village, or an interest in a bank or trust company, that is prohibited by § 801 of Article 18 of the General Municipal Law of the State of New York. Any contract willfully entered into by or with the Village in which there is an interest prohibited by that section shall be null, void, and wholly unenforceable, to the extent provided by Subdivision 2 of § 805-a of Article 18 of the General Municipal Law.

B. Disclosable interests in contracts or legislation.

(1) In accordance with § 803 of the General Municipal Law, whenever a Village officer or employee has, will have, or later acquires an interest in any actual or proposed contract with the Village, he or she shall publicly disclose the nature and extent of such interest in writing to the relevant Village agency as soon as he or she has knowledge of such actual or prospective interest. Such written disclosure shall be made part of and set forth in the official record of the proceedings of such Village agency.

(2) To the extent that the Village officer or employee knows that a relative of the Village officer or employee has an interest in any actual or proposed contract with the Village, the Village officer or employee shall publicly disclose the nature and extent of such interest in writing to the relevant Village agency as soon as he or she has knowledge of such actual or prospective interest. Such written disclosure shall be made part of and set forth in the official record of the proceedings of such Village agency.

(3) To the extent that the Village officer or employee knows that any relative of the Village officer or employee has an interest gained by the sale of a service or property to the Village, the Village officer or employee shall publicly disclose the nature and extent of such interest in writing to the relevant Village agency as soon as he or she has knowledge of such actual or prospective interest. Such written disclosure shall be made part of and set forth in the official record of the proceedings of such Village agency.

(4) To the extent that the Village officer or employee knows thereof, the Village officer or employee, whether paid or unpaid, shall publicly disclose the nature and extent of any direct or indirect financial or other private interest in any matter, application, petition, or pending legislation in writing to the relevant Village agency. Such written disclosure shall be made part of and shall be set forth in the official record of the proceedings of such Village agency.

(5) To the extent that the Village officer or employee knows that any relative of the Village officer or employee has any direct or indirect financial or other private interest in any matter, application, petition, or pending legislation before any Village agency, the Village officer or employee shall publicly disclose the nature and extent of any direct or indirect financial or other private interest in any matter, application, petition, or pending legislation in writing to the relevant Village agency. Such written disclosure shall be made part of and set forth in the official record of the proceedings of such Village agency.

C. Violations. Any Village officer or employee who willfully and knowingly violates any provision of Subsection A, Prohibited interests in contracts, shall be guilty of a misdemeanor pursuant to § 805 of Article 18 of the General Municipal Law.

D. Whenever a Village officer or employee makes a public disclosure pursuant to Subsection B or is otherwise required to recuse himself or herself pursuant to § 71-3B(3) of this chapter, he or she shall immediately:

(1) Refrain from any further involvement in the matter; and

(2) Inform his or her immediate supervisor, if any, and shall immediately disclose in writing to the Village Clerk and orally on the record the reason for recusal.

§ 71-5 Exclusions from standards of conduct and transactional disclosure.

The provisions of this chapter shall not prohibit, or require, recusal or transactional disclosure as a result of:

A. An action specifically authorized by statute, rule, or regulation of the United States or by the State of New York;

B. A ministerial act;

C. Gifts to the Village officer or employee which are:

(1) Received from his or her parent, spouse, or child;

(2) Valued less than $75 in aggregate from any person during any twelve-month period;

(3) Accepted on behalf of the Village and transferred to the Village; or

(4) Benefits having a value of $75 or less that are received by a Village officer or employee listed in § 11 of the Domestic Relations Law of the State of New York for the solemnization of a marriage by the Village officer or employee at a place other than his or her normal public place of business or at a time other than his or her normal hours of business;

D. Receipt of Village services or benefits, or use of Village facilities, on the same terms and conditions as such services or benefits are available to residents or a class of residents in the Village; or

E. Representation of constituents by elected Village officials without compensation in matters of public advocacy.

§ 71-6 Applicant disclosure on land use applications.

A. This section applies to applicants seeking approvals from Village agencies or ministerial acts.

B. Every application, petition, or request submitted for a variance, amendment, change of zoning, approval of a subdivision map, site plan, special exception use, request for exemption from a subdivision map or official map, license or permit, or grant requiring approval from any Village agency pursuant to the provisions of any ordinance, local law, rule, or regulation constituting the zoning and planning regulations of the Village shall state the information required by § 809 of the General Municipal Law of the State of New York.