[HISTORY: Adopted by the Council of the City of Watervliet 4-20-1972 as Div. 2
of Art. IV of Ch. 2 of the Code of Ordinances of 1972; amended in
its entirety 4-5-2012 by L.L. No. 1-2012. Subsequent amendments
noted where applicable.]
This chapter shall be known as the "Code of Ethics."
Officers and employees of the City of Watervliet 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. The City of Watervliet recognizes that,
in furtherance of this fundamental principle, there is a need for
clear and reasonable standards of ethical conduct. This Code of Ethics
establishes those standards.
As used in this chapter, the following terms shall have the
meanings indicated:
The City Council and any Municipal administrative board (e.g.,
Planning Board, Zoning Board of Appeals), commission or other agency
or body comprised of two or more Municipal officers or employees.
This Code of Ethics.
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
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 private organization when he or she, his
or her spouse or a member of his or her household is an owner, partner,
member, director, officer or employee or directly or indirectly owns
or controls more than 5% of the organization's, outstanding stock.
The City of Watervliet. The word "municipal" refers to the
municipality.
A paid or unpaid officer or employee of the City of Watervliet,
including, but not limited to, the members of any Municipal board.
A spouse, domestic partner, parent, stepparent, sibling,
stepsibling, stepsibling'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.
This Code of Ethics applies to the officers and employees of
the City of Watervliet and shall supersede any prior Municipal Code
of Ethics. The provisions of this Code of Ethics shall 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 City of Watervliet.
No Municipal officer or employee shall use his or her Municipal
position or official powers to secure a financial or material benefit
for himself or herself, a relative or any private organization in
which he or she is deemed to have an interest.
A.
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 himself or herself, a
relative or any private organization in which he or she is deemed
to have an interest, the Municipal officer or employee shall disclose,
in writing, the nature of the interest.
B.
The disclosure shall 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.
C.
In the case of a person serving in an elective office, the disclosure
shall be filed with the City Council of the municipality. In all other
cases, the disclosure shall be filed with the person's supervisor,
or, if the person does not have a supervisor, the disclosure shall
be filed with the Municipal officer, employee or board having the
power to appoint to the person's position. In addition, in the
case of a person serving on a Municipal board, a copy of the disclosure
shall be filed with the board. Any disclosure made to a board shall
be made publicly at a meeting of the board and must be included in
the minutes of the meeting.
An officer or employee of the City of Watervliet shall treat
all members of the public, whether a person, firm or corporation or
other organization, with respect and in a professional manner, with
equal consideration and without special advantage in carrying out
his or her official duties.
A.
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 he or she knows or has reason to know that the action
could confer a direct or indirect financial or material benefit on
himself or herself, a relative or any private organization in which
he or she is deemed to have an interest.
B.
In the event that this section prohibits a Municipal officer or employee
from exercising or performing a power or duty:
(1)
If 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
(2)
If the power or duty is vested in a Municipal officer individually,
then the power or duty shall be exercised or performed by his or her
deputy, or if the officer does not have a deputy, the power or duty
shall be performed by another person to whom the officer may lawfully
delegate the function; or
(3)
If the power or duty is vested in a Municipal employee, he or she
must refer the matter to his or her immediate supervisor, and the
immediate supervisor shall designate another person to exercise or
perform the power or duty.
A.
This code's prohibition on use of a Municipal position (§ 28-5), disclosure requirements (§ 28-6) and requirements relating to recusal and abstention (§ 28-8) shall not apply with respect to the following matters:
A.
No Municipal officer or employee may acquire the following investments:
(1)
Investments that can be reasonably expected to require more than sporadic recusal and abstention under § 28-8 of this code; or
(2)
Investments that would otherwise impair the person's independence
of judgment in the exercise or performance of his or her official
powers and duties; or
(3)
Investments from any City of Watervliet auction if the employee or
officer is in the position to negotiate, prepare, authorize or approve
the contract for the sale upon which he or she is bidding.
B.
This section does not prohibit a Municipal officer or employee from
acquiring any other investments or the following assets:
(1)
Real property located within the municipality and used as his or
her personal residence; or
(2)
Less than 5% of the stock of a publicly traded corporation; or
(3)
Bonds or notes issued by the municipality and acquired more than
one year after the date on which the bonds or notes were originally
issued.
No Municipal officer or employee, during his or her 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:
A.
Can be reasonably expected to require more than sporadic recusal and abstention pursuant to § 28-8 of this code; or
B.
Can be reasonably expected to require disclosure or use of confidential
information gained by reason of serving as a Municipal officer or
employee; or
C.
Violates § 805-a(1)(c) or (d) of the General Municipal
Law; or
D.
Requires representation of a person or organization other than the
municipality in connection with litigation, negotiations or any other
matters to which the municipality is a party.
A.
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
90 days following final disposition of the matter.
B.
No Municipal officer or employee, for the one-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 Municipal office,
board, department or comparable organizational unit for which he or
she serves.
C.
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 or she personally and substantially participated while
serving as a Municipal officer or employee.
This code shall not be construed as prohibiting a Municipal
officer or employee from:
A.
Municipal resources shall be used for lawful Municipal purposes.
Municipal resources include, but are not limited to, Municipal personnel
and the municipality's money, vehicles, equipment, materials,
supplies or other property.
B.
No Municipal officer or employee may use or permit the use of Municipal
resources for personal or private purposes, but this provision shall
not be construed as prohibiting:
(1)
Any use of Municipal resources authorized by law or Municipal policy;
or
(2)
The use of Municipal resources for personal or private purposes when
provided to a Municipal officer or employee as part of his or her
compensation;
(3)
The occasional and incidental use during the business day of Municipal
telephones and computers for necessary personal matters such as family
care and changes in work schedule.
C.
No Municipal officer or employee shall cause the municipality to
spend more than is reasonably necessary for transportation, meals
or lodging in connection with official travel.
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.
Except as otherwise required by law:
A.
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 municipality or a Municipal board.
B.
No Municipal officer or employee may supervise a relative in the
performance of the relative's official powers or duties.
A.
No Municipal officer or employee shall 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.
B.
No Municipal officer or employee may act or decline to act in relation
to appointing, hiring, promoting, discharging or 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
his or her official City of Watervliet workday.
No 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 by law or in the course of exercising or performing
his or her official powers and duties.
A.
No Municipal officer or employee shall solicit, accept or receive
a gift in violation of § 805-a (l)(a) of the General Municipal
Law as interpreted in this section.
B.
No Municipal officer or employee may directly or indirectly solicit
any gift.
C.
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:
(1)
The gift reasonably appears to be intended to influence the officer
or employee in the exercise or performance of his or her official
powers or duties; or
(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.
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 twelve-month period preceding the receipt of the most recent
gift.
E.
Gifts intended to influence or reward.
(1)
A gift to a Municipal officer or employee is presumed to be intended
to influence the exercise or performance of his or her official powers
or duties when the gift is from a private person or organization that
seeks Municipal action involving the exercise of discretion by or
with the participation of the officer or employee.
(2)
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 Municipal action involving the exercise
of discretion by or with the participation of the officer or employee
during the preceding 12 months.
F.
This section does not prohibit any other gift, including:
(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 the
personal relationship, rather than the recipient's status as
a Municipal officer or employee, is the primary motivating factor
for the gift;
(3)
Gifts given on special occasions, such as marriage, illness or retirement,
which are modest, reasonable and customary;
(4)
Unsolicited advertising or promotional material of little intrinsic
value, such as pens, pencils, note pads and calendars;
(5)
Awards and plaques having a value of $75 or less which are publicly
presented in recognition of service as a Municipal officer or employee
or other service to the community; or
(6)
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.
A.
A local Board of Ethics, to be known as the City of Watervliet Board
of Ethics, is hereby established pursuant to Article 18 of the General
Municipal Law.
B.
Membership.
(1)
The Board of Ethics shall consist of three members appointed by a
majority of the City Council. One alternate may be appointed by a
majority of the City Council to serve in the absence of another member.
(2)
There shall be three members of the Board of Ethics initially serving
one three-year term, one two-year term and one one-year term. The
alternate member shall serve for one three-year term. Subsequently,
each member shall be appointed for a three-year term or until such
time as a successor is appointed.
(3)
Vacancy in office. If a vacancy shall occur otherwise than by expiration
of term, the City Council shall appoint the new member for the unexpired
term.
(4)
Removal of members. The City Council shall have the power to remove,
after public hearing, any member of the Board for cause.
(5)
The Board of Ethics in existence at the time of the enactment of
this section shall be dissolved.
C.
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 may hold office in a partisan political
party or hold elective office in the City of Watervliet. A Board member
may make campaign contributions and vote, but not otherwise participate
in any City of Watervliet election campaign.
(4)
Not more than two members of the Board of Ethics may be members of
the same political party.
(5)
No current officer or employee of the City of Watervliet is eligible
to serve on the Board of Ethics.
D.
Compensation. Members of the Board of Ethics shall serve without
compensation but may be reimbursed for reasonable and necessary expenses,
as approved by the City Council.
E.
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 the 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, except as stated in § 28-20E(9).
(2)
To prescribe and promulgate rules and regulations governing its own
internal organization and procedures in a manner not inconsistent
with this chapter or state or federal law.
(6)
To provide ethics training and education to City officers and employees
on the provisions of the City Code of Ethics and Article 18 of the
General Municipal Law.
(7)
The Board of Ethics of the City of Watervliet may act only with respect
to officers and employees of the municipality and persons having business
dealing with the municipality. The termination of a City officer's
or employee's term of office or employment with the City shall
not affect the jurisdiction of the City Board of Ethics with respect
to requirements imposed by this chapter on former City officers or
employees to the extent permitted by law.
(8)
The City Board of Ethics may refer any matter within its jurisdiction
to the County Ethics Board in its discretion.
(9)
A member of the Board of Ethics may be removed from office by a majority
vote of the City Council for failure to fulfill the duties of the
office or for violation of this chapter. The City Council must give
the Board member written notice and an opportunity to reply.
(10)
The Board of Ethics must prepare an annual report to the City
Council on its activities and recommend changes to the City Code of
Ethics.
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 Board of Ethics shall have the power and duty to conduct any investigation
necessary to carry out the provisions of this chapter. 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 City
Clerk and on the City website.
B.
The City Board of Ethics investigation shall be confidential until
such time that a final determination of the City Board of Ethics has
been made. Thereafter, the City Board of Ethics 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 City Council. 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 City 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 City Board of Ethics may 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 City Board of Ethics 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.
A.
The Board of Ethics shall render confidential advisory opinions only
to officers and employees of the City of Watervliet 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.
B.
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.
C.
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.
D.
The Board of Ethics will maintain a confidential, indexed file of
all advisory opinions issued by the Board.
A.
The Mayor must promptly cause a copy of this code, and a copy of
any amendment to this code, to be posted publicly and conspicuously
in each building under the municipality's control. 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 Mayor must promptly cause a copy of this code, including any
amendments to the code, to be distributed to every person who is or
becomes an officer or employee of the City of Watervliet.
C.
Every Municipal officer or employee who receives a copy of this code,
or an amendment to the code, must acknowledge such receipt in writing.
Such acknowledgment must be filed with the City Clerk who must maintain
such acknowledgment 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 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.
Any Municipal officer or employee who violates this code may
be censured, fined, suspended or removed from office or employment
in the manner provided by law.
