[HISTORY: Adopted by the Council of the City of Mount Vernon
as indicated in article histories. Amendments noted where applicable.]
[Adopted 12-24-1958 by L.L. No. 7-1958, approved 1-14-1959]
One of the most vital concerns of a free, representative government
is the maintenance of moral and ethical standards which are above
cause for reproach and which warrant the confidence of the people.
These standards must be practical; government is and should be fairly
representative of the people who elect it. The people are entitled
to expect from their public servants a standard above that of the
marketplace, for such public servants are entrusted with the welfare
of the City. Some conflicts of interest are clearly wrong and should
be proscribed by sanctions. Some are composed of such diverse circumstances,
events and intangible and indirect concerns that only the individual
conscience will ever serve as an infallible guide. For matters of
such complexity and close distinctions the City Council finds that
standards of conduct reasonably to be expected of City officers and
employees should be established.
[Amended 2-9-1977 by L.L. No. 2-1977[1]]
As used in this article, the following terms shall have the
meanings indicated:
The City of Mount Vernon.
All departments, boards, committees, commissions or bureaus
of the City, but not including the judicial officers or the courts
of the City.
Includes all persons employed by the City full time or part
time, including temporary, provisional, classified and unclassified
employees.
Includes all persons elected or appointed to any office of
the City of Mount Vernon established or authorized to be established
by the Charter of the City of Mount Vernon or otherwise by local law,
resolution or ordinance, persons performing services under contract
with the City, and members of City boards, agencies, bureaus, committees
or commissions who serve with or without pay, but shall not include
Commissioners of Deeds, volunteer firemen or civil defense volunteers.
[1]
Editor's Note: This local law was adopted over Mayor's veto.
[Amended 12-16-1970 by L.L. No. 5-1970, approved 12-28-1970]
A.
No
City officer or employee shall:
(1)
Directly or indirectly solicit any gift; or accept or receive any
gift, whether in the form of money, services, loan, travel, entertainment,
hospitality, thing or promise or any other form, under circumstances
in which it could reasonably be inferred that the gift was intended
to influence him or could reasonably be expected to influence him
in the performance of his official duties or was intended as a reward
for any official action on his part.
[Amended 2-9-1977 by L.L. No. 2-1977]
(2)
Disclose confidential information acquired by him in the course of
his official duties to unauthorized persons or use such information
to further his personal interest.
(3)
Invest or hold any investment directly or indirectly in any financial,
business, commercial or other private transaction which creates a
conflict with his official duties.
(4)
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 official
duties.
(5)
After the termination of service or employment with such municipality,
appear before any board or agency of the City of Mount Vernon in relation
to any case, proceeding or application in which he personally participated
during the period of his service or employment or which was under
his active consideration.
(6)
Perform any professional services for others, for compensation, in
relation to any proceeding, petition or hearing before any City agency
as herein defined.
(7)
Represent any person, firm or corporation being sued by the City
of Mount Vernon in the defense of such suit, or represent or appear
for any person, firm or corporation filing a claim against or prosecuting
a legal action or proceeding against the City of Mount Vernon, in
the filing of such claim or the prosecution of such action or proceeding.
(8)
Appear for or represent any person, firm or corporation in an action
involving the prosecution of such person, firm or corporation for
violation of any City ordinances or codes.
(9)
Take part in or vote or pass upon any matter before him or any board
or commission of which he is a member, in which matter he has any
direct or indirect pecuniary interest.
B.
Nothing
herein contained shall be deemed to limit, restrict or prohibit City
officers or employees from performing their official duties nor from
appearing as a witness in any action, proceeding or hearing involving
the City of Mount Vernon nor from applying for certificates, licenses
or permits issued by City agencies without hearings.
C.
Nothing
herein shall be deemed to bar or prevent the timely filing by a present
or former municipal officer or employee of any claim, account, demand
or suit against the City of Mount Vernon or any agency thereof on
behalf of himself or any member of his family arising out of any personal
injury or property damage or for any lawful benefit authorized or
permitted by law.
[Added 2-9-1977 by L.L. No. 2-1977]
D.
No
full-time City officer or employee shall engage directly or indirectly
in any other trade, business, occupation or profession during the
regular City working hours.
[Added 2-9-1977 by L.L. No. 2-1977]
E.
Whistle blower protection.
[Added 8-10-2011 by L.L. No. 3-2011, approved 9-21-2011]
(1)
Neither the City nor any person, including City officers and employees,
may take or threaten to take, directly or indirectly, official or
personal action, including but not limited to discharge, discipline,
personal attack, harassment, intimidation, or change in job, salary,
or responsibilities, against any official, employee, or other person
(or against any member of their family) because that person, or a
person acting on his or her behalf: a) reports, verbally or in writing,
or files a complaint with the Board of Ethics; or b) is requested
by the Board of Ethics to participate in an investigation, hearing,
or inquiry, or is involved in a court action relating either to the
alleged violation or to evidence presented or given as part of a Board
of Ethics investigation or hearing; or c) for acting or refusing to
act as required by the City's Ethics Code and/or Article 18 of the
General Municipal Law. The provisions of this subsection are not applicable
when the complainant, witness, or reporter of a violation made accusations
or other statements that were malicious and false.
(3)
In resolving a complaint that a City officer or employee has violated
this subsection, the Board of Ethics may recommend that a retaliatory
personnel action be reversed.
(4)
With regard to making a report of information concerning conduct
which any City officer, employee or other knows or reasonably believes
to involve corruption, criminal activity, conflict of interest, gross
mismanagement or abuse of authority by another City officer or employee,
which concerns his or her office or employment, all City officers,
employees and others are hereby advised of the State of New York Whistleblower
Laws, Labor Law § 740 and Civil Service Law § 75-b,
and should be guided accordingly. Those laws are hereby included by
reference and are a part hereof of this subsection entitled "Whistleblower
Laws.
(5)
City officers, employees and others are hereby advised that a report of information regarding issues stated in Subsection E(4) above can be made to the Board of Ethics and will be handled in accordance with the same Board of Ethics rules and regulations for reported violations of the Ethics Code and Article 18 of the General Municipal Law.
F.
Political activity.
[Added 8-10-2011 by L.L. No. 3-2011, approved 9-21-2011]
(1)
An official, employee, or municipal candidate may not knowingly request,
or authorize anyone else to request, that any subordinate or potential
future subordinate participate in an election campaign or make a political
contribution.
(2)
No candidate for any elected office of the City and no City officer
or employee shall knowingly request or knowingly authorize any person
to request that any of the following persons participate in any political
campaign activity in connection with any campaign for City elected
office: a City officer or employee; or any person who has received
a financial benefit from the City within the prior 12 months, including
but not limited to persons that have contracts to supply goods and
services to the City. Nothing in this subsection shall require that
individual names of City officers and employees be deleted from general
mailing lists soliciting campaign contributions from City residents,
generally, or by geographic area.
(3)
Disclosure is required when a person or corporation makes a campaign
contribution to a City officer or employee in the prior 12 months
in excess of an aggregate total amount of $5,000 where that person
or corporation is engaged in a professional contract with the City.
The disclosure shall be made in writing and shall be retained in the
office of the City Clerk as well as in the records of the Board of
Ethics. Nothing herein shall require recusal by the City officer or
employee; solely disclosure.
(4)
No City officer or employee shall engage in any political campaign
activity while on duty for the City, with the use of City funds, supplies,
vehicles, or facilities, or during any period of time during which
he or she is normally expected to perform services for the City, for
which compensation is paid.
(5)
No City officer or employee shall solicit any subordinate to engage
in political campaign activity on behalf of any candidate for any
elected office, including but not limited to City elected office.
(6)
No City officer or employee shall request any subordinate to change
their political affiliation.
(7)
Nothing herein shall prevent any City officer or employee from voluntarily:
engaging in any political campaign activity, voting, making a campaign
contribution, engaging in free speech, assembling for political purposes,
or engaging in other acts not prohibited by this section.
[Added 12-16-1970 by L.L. No. 5-1970, approved 12-28-1970]
To the extent that he knows thereof, a member of the City Council
and any officer or employee of the City of Mount Vernon, whether paid
or unpaid, who participates in the discussion or gives official opinion
to the City Council on any legislation before the Council, shall publicly
disclose on the official record the nature and extent of any direct
or indirect financial or other private interest he has in such legislation.
[Amended 12-16-1970 by L.L. No. 5-1970, approved 12-28-1970]
As standards of conduct, it is deemed advisable that no City
officer or employee should:
A.
Accept
employment or engage in any business or professional activity which
might require or induce him to disclose confidential information which
he has obtained by reason of his City employment.
B.
Use
or attempt to use his official position to secure unwarranted privileges
or exemptions for himself or others.
C.
Engage
in any transaction as representative or agent of the City with any
business entity in which he has a direct or indirect financial or
other interest that might reasonably tend to conflict with the proper
discharge of his official duties.
D.
Give
reasonable basis by his conduct for the impression or belief that
any person can improperly influence him or unduly enjoy his favor
in the performance of his official duties or that he is affected by
the kinship, rank, position or influence of any party or person.
E.
Make
any personal investments in enterprises which he has reason to believe
may be directly involved in decisions or rulings to be made by him
or which will otherwise create substantial conflict between his duty
in the public interest and his private interest.
F.
Pursue
any course of conduct which will raise or create public suspicion
that he is likely to be engaged in acts that are in violation of his
public trust.
[Amended 5-25-1977 by L.L. No. 5-1977, approved 6-10-1977]
A.
Penalty. Subject to the provisions of the Civil Service Law and in addition to any penalty contained in any other provision of law, any City officer or employee who is found guilty, after a hearing, of violating any of the provisions of §§ 24-3 and 24-4 of this article may be fined, suspended or removed from office or employment in the manner provided by law by the officer or body having the power of appointment over him or by any other manner prescribed by law.
B.
Procedure. A person against whom disciplinary action is proposed shall have written notice thereof and of the reasons therefor, shall be furnished a copy of the charges preferred against him and shall be allowed at least eight days for answering the same in writing. The hearing upon such charges shall be held by the officer or body having the power to remove the person against whom such charges are preferred or by a deputy or other employee of such officer or body designated in writing for the purpose. In case a deputy or other employee is so designated, he shall, for the purpose of such hearing, be vested with all the powers of such officer or body and shall make a record of such hearing, which shall, with his recommendations, be referred to such officer or body for review and decision. The person or persons holding such hearing shall, upon the request of the person against whom charges are preferred, permit him to be represented by counsel and shall allow him to summon witnesses in his behalf. The burden of proving a violation of §§ 24-3 and 24-4 of this article shall be upon the person alleging the same. Compliance with technical rules of evidence shall not be required.
C.
If
such officer or employee is found guilty, a copy of the charges, his
written answer thereto, a transcript of the hearing and the determination
shall be filed in the office of the department, board or agency in
which he has been employed, and a copy thereof shall be filed with
the Municipal Civil Service Commission or other officer or body having
jurisdiction over such position. A copy of the transcript of the hearing
shall, upon request of the officer or employee affected, be furnished
to him without charge.
[Added 2-9-1977 by L.L. No. 2-1977; amended 5-25-1977 by L.L. No.
5-1977, approved 6-10-1977]
A.
A
Board of Ethics is hereby established to be composed of seven members
appointed by the City Council, all of whom shall reside in the City
of Mount Vernon. The members of such Board shall receive no salary
or compensation for their services as members of such Board. Two of
the initial members of the Board shall be appointed for terms of one
year and three of the initial members of the Board shall be appointed
for terms of two years; thereafter all appointments shall be for a
term of two years. The members of such Board shall not otherwise be
officers and employees of the City.
[Amended 4-11-2018]
B.
The
Board of Ethics shall act only with respect to officers, employees
and agency members of the City of Mount Vernon. The Board shall render
advisory opinions to such officers, employees and members of City
agencies of the City, with respect to this Code of Ethics and to Article
18 of the General Municipal Law of the State of New York and amendments
thereof. Such advisory opinions shall be rendered pursuant to written
request of any City officer, employee or agency under such rules and
regulations as the Board of Ethics may prescribe and shall have the
advice and counsel of the Corporation Counsel. The Board of Ethics
may also make recommendations to the City Council with respect to
amendments to this Code of Ethics upon the request of the City Council.
No amendment initiated by the City Council shall be adopted by the
City Council without affording the Board of Ethics at least 30 days
to consider such amendment.
C.
The
Board of Ethics each year shall elect from its membership a Chairman
and Secretary, and upon its formation shall promulgate its rules and
regulations as to its forms and procedures and maintain proper records
of its opinions and proceedings, for which expenses it shall be reimbursed
as a City charge, and an adequate appropriation for its operation
shall be budgeted.
D.
The
identity of the requesting officer, employee or agency member shall
be treated as confidential, but the opinion of the Board shall be
a matter of public record and filed in the office of the City Clerk.
E.
The
Board of Ethics shall have the power and authority, in its discretion,
upon complaint being filed with it or on reference from the City Council
or on its own initiative, to investigate allegations of unethical
practices in violation of this article or any statute, rule or regulation
relating to conflicts of interest, ethical conduct and interest of
municipal officers and employees in contracts, and to render reports
of such investigations and recommendations to the City Council for
action. Investigative proceedings shall be treated as confidential
unless the subject thereof requests that they be made public. The
City Council, in its discretion and consistent with statutory provisions
relating to the discipline or removal of officers, employees and agency
members, may publicly disclose the reports and recommendations of
the Board of Ethics filed with it.
F.
All
agencies of the City and all officers, employees and agency members
shall furnish to the Board of Ethics in connection with its investigations
such data, information and statements as may in the opinion of the
Board be necessary for the proper exercise of its functions, powers
and duties.
G.
The
Board of Ethics shall have the power and authority to:
[Added 4-15-1993 by L.L. No. 1-1993, approved 4-29-1993]
(1)
Review completed financial disclosure statements in accordance with
§§ 810 through 813 of the General Municipal Law, the
provisions of this article, the rules and regulations of the Board
of Ethics and any other local law, ordinance or Code of Ethics established
by the City Council of the City of Mount Vernon.
(2)
Permit any person required to file a financial disclosure statement
to request the Board to delete from the copy made available for public
inspection, one or more items of information which may be deleted
by the Board upon a finding that the information which would otherwise
be required to be disclosed will have no material bearing on the discharge
of the reporting person's official duties. If such request for deletion
is denied, the Board, in its notification of denial, shall inform
the person of his or her right to appeal the Board's determination
pursuant to the rules governing appeals adopted pursuant to this provision
and any applicable section of the General Municipal Law. The Board
shall promulgate rules and regulations governing the issuance of written
decisions in connection with appeals.
(3)
Permit any person required to file a financial disclosure statement
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 the majority of the total 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.
(4)
Permit any person who has not been determined by the City Council
to hold a policymaking position but who is otherwise required to file
a financial disclosure statement to request an exemption from such
requirement in accordance with the rules and regulations governing
such exemptions. Such rules and regulations shall provide for exemptions
to be granted either on the application of the individual or on behalf
of persons who share the same job title or employment classification
which the Board deems to be comparable for purposes of this section.
Such rules and regulations may permit the granting of an exemption
where, in the discretion of the Board, the public interest does not
require disclosure and the applicant's duties do not involve the negotiation,
authorization or approval of the following:
(a)
Contracts, leases, franchises, revocable consents, concessions, variances,
special permits or licenses as defined in § 73 of the Public
Officers Law;
(b)
The purchase, sale, rental or lease of real property, goods or services
or a contract therefor;
(c)
The obtaining of grants of money or loans; or
(d)
The adoption or repeal of any rule or regulation having the force
and effect of law.
H.
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 to the appointing authority for such person and shall assess a
civil penalty in an amount not to exceed $10,000.
[Added 4-15-1993 by L.L. No. 1-1993, approved 4-29-1993; amended 9-11-2019, approved 9-11-2019]
I.
If
the Board determines that there is reasonable cause to believe that
a violation of the reporting requirement has occurred, it shall send
a notice of reasonable cause to the reporting person to the complainant,
if any, and to the City Council of the City of Mount Vernon.
[Added 4-15-1993 by L.L. No. 1-1993, approved 4-29-1993]
J.
A
reporting individual 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 this section shall be assessed a civil
penalty in an amount not to exceed $10,000. Assessment of a civil
penalty hereunder shall be made by the Board with respect to the persons
subject to its jurisdiction. For a violation of this subdivision,
other than for conduct which constitutes a violation of Subdivision
12 of § 73 of the Public Officers Law, 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 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.
[Added 4-15-1993 by L.L. No. 1-1993, approved 4-29-1993]
K.
A
copy of any notice of delinquency or notice of reasonable cause sent
pursuant to this section shall be included in the reporting person's
file and be available for public inspection.
[Added 4-15-1993 by L.L. No. 1-1993, approved 4-29-1993]
L.
Notwithstanding
the provisions of Article 6 of the Public Officers Law, the only records
of the Board which shall be available for public inspection are:
[Added 4-15-1993 by L.L. No. 1-1993, approved 4-29-1993]
M.
Additional
powers.
[Added 9-11-2019, approved 9-11-2019]
(1)
To further its investigative power and authority as outlined in § 24-7E, F and G of the City Code, the Board of Ethics shall have the power to compel the attendance of witnesses and the production of books, papers or other evidence at any meeting of the Board of Ethics or of any committee thereof, and for that purpose may issue subpoenas to be signed by the Chair, Vice-Chair or Secretary of the Board of Ethics.
(2)
This
provision will expire on August 31, 2020.
N.
Failure
to comply.
[Added 9-11-2019, approved 9-11-2019]
(1)
If a
person willfully fails to comply with a subpoena duly issued by the
Board of Ethics, that person will first be provided with a written
notice stating that unless they fully comply with the subpoena within
10 days, they may i) found to be in contempt of the Board of Ethics,
and ii) be subject to a civil penalty.
(2)
If that
person still fails to comply with the subpoena within five days, a
majority plus one of the members may determine that person i) to be
in contempt, and ii) impose a civil penalty of up to $500 per day,
not to exceed $5,000, until full compliance.
(3)
If that
person is employed by the City of Mount Vernon, the Comptroller shall
deduct said civil penalty from that person's pay at a rate of 10%
of that person's gross pay each pay period until the penalty is fully
paid.
(4)
If that
person is not employed by the City of Mount Vernon, the Board of Ethics
may maintain an action or proceeding in a court of competent jurisdiction
to enforce the civil penalty.
(5)
This
provision will expire on August 31, 2020.
O.
Procedure
upon violation.
[Added 9-11-2019, approved 9-11-2019]
(1)
Following a hearing as set forth in Subsection B, should the Board determine a City employee has violated the prohibited activities itemized in § 24-3A, D, or F, or has violated the Standards of Conduct itemized in § 24-5A, B, C, D, E, or F, the Board shall assess a civil penalty in an amount not to exceed $10,000.
(2)
Procedure.
A person against whom an ethical violation is proposed shall have
written notice thereof and the reasons therefor, shall be furnished
a copy of the charges against him and shall be allowed at least 10
days for answering the same in writing. The Board of Ethics will then
conduct a hearing on the charges and the employee will be given an
opportunity to present evidence and to dispute the charges.
A.
If
any clause, sentence, paragraph, section or part of this article shall
be adjudged by any court of competent jurisdiction to be invalid,
such adjudication shall not affect, impair or invalidate the remainder
thereof, but shall be confined in its operation to the clause, sentence,
paragraph, section or part thereof directly involved in the controversy
in which said judgment shall have been rendered.
B.
Nothing
herein contained shall be deemed to impair, limit or affect the provisions
for dismissal and removal of City officers and employees as may be
otherwise provided by law.
C.
The
rules of ethical conduct of this article, as adopted, shall not conflict
with but shall be in addition to any prohibition of Article 18 of
the General Municipal Law or any other general or special law relating
to ethical conduct and interest in contracts of municipal officers
and employees.
[Added 12-16-1970 by L.L. No. 5-1970, approved 12-28-1970]
The resolution of the City Council adopted January 21, 1956,
entitled "Code of Ethics," is hereby repealed.
This article shall take effect February 1, 1959.
[Adopted 12-23-2008, approved 12-24-2008]
A.
The following
elected officials, officers and employees of the City of Mount Vernon
shall be required to file a financial disclosure statement required
by General Municipal Law § 811 et seq.:
(1)
Mayor.
(2)
Corporation
Counsel.
(3)
First
Assistant Corporation Counsel.
(4)
Comptroller.
(5)
First
Deputy Comptroller.
(6)
Commissioner
of Assessment.
(7)
Assistant
Commissioner of Assessment.
(8)
City
Clerk.
(9)
Deputy
City Clerk.
(10)
Affirmative
Action Officer.
(11)
Commissioner
of Management Services.
(12)
Commissioner
of Department of Public Works.
(13)
Deputy
Commissioner of Department of Public Works.
(14)
Commissioner
of Public Safety.
(15)
Deputy
Commissioner of Public Safety.
(16)
Chief
of Police.
(17)
Director
of Parking Bureau.
(18)
Commissioner
of Fire Department.
(19)
Deputy
Commissioner of Fire Department.
(20)
Chief
of Fire Department.
(21)
Commissioner
of Department of Buildings.
(22)
Deputy
Commissioners of Department of Buildings.
(23)
Director
of Civil Defense.
(24)
Director
of Veterans' Service Agency.
(25)
Deputy
Director of Veterans' Service Agency.
(26)
Commissioner
of Recreation.
(27)
Deputy
Commissioner of Recreation.
(28)
Advocate
for Office of the Aging.
(29)
Executive
Director — Youth Bureau.
(30)
Commissioner
of Water Department.
(31)
Deputy
Commissioner of Water Department.
(32)
Commissioner
of Planning Department.
(33)
Deputy
Commissioner of Planning Department.
(34)
Zoning
Board of Appeals.
(35)
Planning
Board.
(36)
City
Council.
(37)
Architectural
Review Board.
(38)
Civil
Service Commission.
(39)
Inspector
General.
(40)
Chief
of Staff.
(41)
Deputy
Chief of Staff.
(42)
Special
Assistant to the Mayor-Governmental Relations.
(43)
Special
Assistant to the Mayor-Community Relations.
(44)
Commissioner
of Human Resources.
(45)
Deputy
Commissioner of Human Resources.
B.
Said required
elected officials, officers and employees of the City of Mount Vernon
are directed to file said financial disclosure statements as prescribed
by General Municipal Law § 811 et seq. and in accordance
with the rules and regulations as set forth in the aforementioned
General Municipal Law.
