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HomeMy WebLinkAbout1989_01_25 Board of Ethics Minutes • T 47,/TOWN OF MAMARONECK BOARD OF ETHICS 401) RECEIVED FEB 21 1989 Minutes PATRTOWN ICIAMAAA A. NDiCIOCC10E ROCK Meeting of January 25, 1989 N.Y. 8 : 00 P.M. Town Center *Z2,' 1 j__ Attending: Carol Gristina John Herz Anna Reisman David Willey Councilwoman Carolyn Silverstone The minutes of the meeting of January 11, 1989 were reviewed and approved. John Herz brought to the attention of the Board a press report of a proposed ethics policy in Bronxville Village. It was agreed that David Willey should seek further information about the Bronx- ville proposal . In further discussion prompted by the December 7 , 1988 letter from the firm of Hall, Dickler, Lawler, Kent & Friedman, the Board concluded that while paragraph 24-5 0 of the Mamaroneck Code of 41116 Ethics precluded employment by a former town employee involving contacts with the town which can work to his special advantage because of his prior relationship, this would not preclude the town' s hiring such an individual ' s firm as bond counsel , providing that the decision to hire was made solely on the relative merits of the individual ' s firm. David Willey agreed to draft a letter to the Town Supervisor giving this view. Carol Gristina presented a review of the Definitions section of the Code of Ethics. The Board tentatively concluded that the Definitions section of the current Code did not require revision but that changes might usefully be made in the Disclosures section specifying which employees should file disclosure forms to make this section more complete and to add providers of goods and services to the town. Anna Reisman presented a review of Functions section of the Code of Ethics. The Board concluded that while the New York State Commission on Government Integrity draft proposal went too far in providing local boards of ethics with such powers as that of investigation, subpoena, and penalty imposition, the Board might consider sympathetically some enlargement of current powers to include review of disclosure forms. The Board also tentatively concluded that completed advisory forms should be a matter of public record. The Board set its next meeting for February 15, 1989 . H. David Willey 3 Glenn Road Larchmont, New York 10538 February 20, 1989 At Mrs. Dolores A. Battalia, Supervisor RECEIVED Town of Mamaroneck FEE 22 1989 740 West Boston Post Road , PATRICIA A.DiCI000IO TOWN CLERK Mamaroneck, NY 10543-3319 ` MAMARONECK Dear Dolores: �J � 4 The Board of Ethics, at its meetings on January 25, 1989, and February 14 , 1989 , reviewed its advisory opinion dated June 30, 1989 , in light of the letter dated December 7 , 1988 , from the Law offices of Hall, Dickler, Lawler, Kent & Friedman. Copies of the advisory opinion and the letter are enclosed. The Board' s consideration centered on the phrase in Section 24-5 (0) of the Code of Ethics against "employment which will involve contacts with the town which can work to his special advantage by virtue of his prior contact and relationship with the town. " The Board concluded: (1) while the Code would seem to be aimed at employment on behalf of a client, the Code is not literally re- stricted to this circumstance and would seem to apply as well to employment by the town itself. (2) no distinction should be drawn between employment by a partner of a law firm and his law firm. (3) the Code would not preclude a decision by the Town to employ a former employee if this decision were unre- lated to that person' s prior contact and relationship with the Town. Thus, bond counsel chosen on grounds clearly and suitably related to requirements of the job, could be a former employee. To avoid the appear- ance of conflict, the grounds for such a choice should be objectively justifiable. I hope this review of the earlier advisory opinion is helpful . Sincerely, t VM H. David Willey, Chairman Board of Ethics, Town of Mamaroneck cc: Members, Board of Ethics; Caroline Silverstone, Town Clerk 4 TOWN OF MAMARONECK BOARD OF ETHICS RECEIVED FEB [t 1989 Minutes PATRICIA A DiCIOCCIO TOWN AKIRO CK Meeting of January 25, 1989 N.Y. 8 : 00 P.M. Town Center Attending: Carol Gristina John Herz Anna Reisman David Willey Councilwoman Carolyn Silverstone The minutes of the meeting of January 11, 1989 were reviewed and approved. John Herz brought to the attention of the Board a press report of a proposed ethics policy in Bronxville Village. It was agreed that David Willey should seek further information about the Bronx- ville proposal. In further discussion prompted by the December 7 , 1988 letter from the firm of Hall, Dickler, Lawler, Kent & Friedman, the Board concluded that while paragraph 24-5 0 of the Mamaroneck Code of Ethics precluded employment by a former town employee involving contacts with the town which can work to his special advantage because of his prior relationship, this would not preclude the town's hiring such an individual ' s firm as bond counsel, providing that the decision to hire was made solely on the relative merits of the individual ' s firm. David Willey agreed to draft a letter to the Town Supervisor giving this view. Carol Gristina presented a review of the Definitions section of the Code of Ethics. The Board tentatively concluded that the Definitions section of the current Code did not require revision but that changes might usefully be made in the Disclosures section specifying which employees should file disclosure forms to make this section more complete and to add providers of goods and services to the town. Anna Reisman presented a review of Functions section of the Code of Ethics. The Board concluded that while the New York State Commission on Government Integrity draft proposal went too far in providing local boards of ethics with such powers as that of investigation, subpoena, and penalty imposition, the Board might consider sympathetically some enlargement of current powers to include review of disclosure forms. The Board also tentatively concluded that completed advisory forms should be a matter of public record. The Board set its next meeting for February 15, 1989 . H. David Willey RECEIVED PROPOSED VILLAGE ETHICS LAW PATRICIA A.Dj(1OCCIO TOWN CLERK MAMARONECK N.Y. Section 1. Declaration of Policy The government of the Village of Bronxville (the "Village"), is carried out by its Public Officials, as defined below. The goal of Village government is to provide fair, impartial, open and lawful administration of the Village,pursuant to the Municipal Code of the Village and the General Municipal Law of the State of New York. In order to accomplish this goal, it is necessary that the Village's Public Officials: Be independent, impartial and responsible to the residents of the Village. Observe in their official acts the highest standards of morality and discharge faithfully the duties of their office regardless of personal consideration, so that the public shall have the highest regard for the integrity of its government and its Public Officials. Make government decisions in the proper channels of government in an open and non-secretive manner. In recognition of these goals, there is hereby established a Code of Ethics which will provide ethical guidance and regulation of the official conduct of all Public Officials. In the event of any conflict between the provisions of this Code and the provisions of the General Municipal Law of the State of New York, the latter shall control. Section 2. Definitions When used in this local law and unless otherwise expressly stated or unless the context requires otherwise: 2.1 "Village Agency" shall mean the Village Trustees and any board, agency, commission, administrative, quasi-legislative or quasi-judicial tribunal created by the Village or existing solely for the benefit of the Village. Municipal Judges are specifically excluded from this definition, as they are subject to a judicial code of ethics. 2.2 "Contract" shall mean any express or implied claim, account or demand against or agreement with the Village, which shall include the designation of a depository of public funds and the designation of an official newspaper. 2.3 "Interest" shall mean a pecuniary or material benefit accruing to a Public Official, as defined below, as the result of a Contract or any other business or professional transaction with the Village. For the purpose of this public law, a Public Official shall be deemed to have an Interest in the affairs of(i) his or her spouse, minor children and dependents, (ii) any firm, partnership or other unincorporated association of which the Public Official is a member or employee; (iii) a corporation of which the Public Official is an officer or director or (iv) a corporation in which the Public Official owns or controls at least five percent (5%) of the issued and outstanding shares of any class of capital stock of the corporation. 2.4 "Public Official"shall mean any official, officer,employee or member of any Village Agency or attorney appointed by the Mayor as Village Counsel or as a Deputy or Assistant Village Counsel or Counsel to a Village Agency. A person shall be deemed to be a Public Official whether or not the person was appointed or elected to office and whether or not the person is a paid or an unpaid volunteer. Public Official shall also mean any person nominated by a political party or by independent nominating petition for any elective office of the Village. Notwithstanding this definition, no person shall be deemed to be a Public Official solely by reason of being (i) a volunteer fireman or civil defense volunteer, except a chief engineer or assistant chief engineer or (ii) independent legal counsel to the Village or a Village Agency for a specific matter. Section 3. Conflicts of Interest 3.1 No Public Official shall knowingly have any direct or indirect Interest, or engage in any business, Contract or transaction or professional activity or incur any obligation of any nature, which is or might reasonably tend to be in conflict with the proper and impartial discharge of his or her public duties. 3.2 No Public Official shall act as attorney, director, broker, agent, 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. 3.3 No Public Official shall accept other employment or engage in any business transactions or have any Interest which directly or indirectly conflicts with the proper discharge of his or her public duties. Section 4. Additional Standards for Specified Public Officials. The following conflict of interest standards for stated Public Officials are in addition to or in explanation of the general standards of Conflict of Interest described in Section 3, above, and are not intended as a limitation thereon: 4.1 Village Attorney. The Village Attorney, Deputy Village Attorney and Assistant Village Attorneys are prohibited from exercising any discretion in any matter being considered by the Village and its Village Agencies which shall involve any person or business entity which has been a client of the Village Attorney or his firm during one (1) year prior to the time that such a matter is referred or handled by the Village Attorney. During the appointment of such Attorney,any law firm which the Village Attorney or a Deputy or Assistant Village Attorney is a member of shall not represent a client before any Village Agency. 4.2 Building Inspectors. The Building Inspector and any Deputy or Assistant Building Inspector is prohibited from exercising any discretion or acting upon any matter of Village Interest which involves any real estate, insurance, building contracting business or other business matters in which he or she has an Interest. 4.3 Tax Assessors. The Village Tax Assessor and all employees of his or her office are prohibited from engaging in the business of real estate or directly or indirectly receiving or benefiting from any fees or commissions involving the sale of real estate located in the Village. 4.4 Mayor and Treasurer. Neither the Mayor nor the Treasurer nor any Deputy,Assistant or employee of either office, shall have a direct or indirect Interest in any bank or trust company designated as a depository, paying agent, or for investment of funds of the Village. Section 5. Disclosure of Interest 5.1 In the event that a conflict exists that is described in Sections 3 and 4, above, it shall be the duty of the affected Public Official to promptly inform the person in Village government to whom the Public Official reports of the nature and extent of the conflict and to disqualify him or herself from acting in an official capacity in the matter or matters for which the conflict of interest exists. A copy of such notice must be filed with the Village Administrator. 5.2 Any Public Official who has an Interest in any matter of which he or she has knowledge is being considered by the Village or any Village Agency, shall disclose, in writing, his or her Interest to the Village Administrator. 5.3 All disclosure statements filed hereunder with the Village Administrator shall be maintained as public record. Copies of each disclosure statement shall be delivered by the Office of the Village Administrator 2 to the Mayor, Trustees, Village Counsel, members of the Board of Ethics described below and the Chairperson of any Village Board which is affected by the conflict of interest or Interest. Section 6. Representation of Private Interests Before Village Agencies and Courts 6.1 Except for Section 63, below, no Public Official shall represent an Interest before any Village Agency nor represent an Interest in any action or proceeding against any matter'before the Village or any Village Agency or in any litigation to which the Village is a party.This shall not be construed to prevent a Village Official from appearing in the performance of a public or civic obligation. 6.2 A Public Official which is a member of a board or commission may not appear as an applicant before his or her Agency. No application which is prohibited for a Public Official hereunder may made by a surrogate,attorney or substitute,except in the case of a Public Official's application for a variance before the Zoning Board of Appeals regarding his or her residence. 6.3 A Public Official may appear before any Village Agency for the purpose of offering testimony regarding any matter in which such person has an Interest, provided that (i) he or she fully discloses his or her Interest in the proceeding,(ii)publicly recuses him or herself from voting or participating in the meeting as a Public Official, (iii)locates him or herself in the meeting with the public and apart from the Public Officials who are conducting the meeting, and (iv) clearly states that he or she is offering testimony or information as a private citizen. Section 7. Solicitation or Acceptance of Gifts and Favors 7.1 No Public Official shall directly or indirectly solicit or accept any gift or favor, irrespective of form, under circumstances in which a reasonable person would infer that the gift or favor was intended to influence him or her, or could be reasonably expected to influence him or her, in the performance of official duties, or was intended as a reward for an official action on his or her part. Customary unsolicited business gifts of nominal value received by mail or other impersonal delivery, such as calendars, need not be returned. 7.2 No Public Official may grant in the discharge of his or her duties, any improper favor, service or thing of value to another party outside the scope of the Public Official's duties. Section 8. Disclosure of Confidential Information 8.1 No Public Official shall accept employment or engage in any business or professional activity which will require him or her to disclose confidential information which he or she has gained by reason of the Public Official's position or authority. 8.2 No Public Official shall disclose confidential information acquired by him or her in the course of his or her Village duties or use such information to further his or her Interest or the private interest of another person or entity. Section 9. Improper Conduct 9.1 No Public Official shall use, attempt to use or intentionally create the reasonable impression that the Public Official intends to use his or her official position to secure unwarranted privileges or exemptions for the Public Official or his or her designee. 9.2 No Public Official shall grant any special consideration, treatment or advantage to any citizens beyond that which is available to every other citizen. 3 9.3 No Public Official shall by his or her conduct give reasonable basis for the impression that any person can unduly and improperly influence or enjoy the favor of the Public Official, or that the Public Official is affected by kinship, rank, position or the influence of any party or person. Section 10 Use of Village Property or Employees 10.1 No Public Official shall direct or cause to be directed any employee of the Village to do or perform any service or work within the hours of employment by the Village where the service or work is outside the scope of authorized public work or employment, or accept any such service or work for the Public Official's personal benefit, nor shall any Village employee perform any such work or service, even if requested by a higher ranking Public Official. This Section shall not preclude any Public Official from voluntarily performing any such service or work outside of the hours during which he or she is assigned to perform duties for the Village. 10.2 No Public Official shall request or permit the use of Village owned vehicles, equipment, materials or property for personal convenience or profit, except when such services are available to the public generally or are provided by Village policy for use of such Public Official. Section 11. Future Employment A Public Official, after termination of his or her public service to the Village,may not appear before any Village Agency in relation to any case, proceeding or application in which he or she personally participated during the period of his or her service or which was then under such person's active consideration, except at the invitation of such Agency to testify regarding public matters that the former Public Official has personal knowledge of arising out of his or her former Village service. Section 12. Prohibited Political Activities No Village Official shall solicit or receive any contribution for any political party or any candidate for public office or take any part in the management, affairs or political campaign of any political party or any such candidate, nor shall any such person make any contribution for any candidate or political party for public office within the Village,but he or she may exercise the rights of a citizen to express private opinions and to cast votes. Section 13. Right to Litigate Against Village Nothing herein shall prevent the timely filing by a present or past Public Official of any claim, account, demand or suit against the Village, or any Village Agency, on behalf of him or herself, 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. Section 14. Board of Ethics 14.1 The Mayor shall create and establish a bipartisan Board of Ethics consisting of three(3)members,none of whom shall serve in any other capacity as a Public Official. 14.2 The Board of Ethics shall render advisory opinions regarding the interpretation and implementation of this Code of Ethics, including opinions as to whether there has been a violation of the Ethics Code in situations in which the Mayor is unclear as to the application of this Code to the facts. 14.3 The Board of Ethics shall be free to publish its own rules and regulations as to forms and procedures and shall at all times maintain appropriate records of its opinions and proceedings. Section 15. Penalties for Violation of the Code of Ethics 15.1 Any violation of the provisions of this Code of Ethics shall, at the option of the Mayor, constitute cause for removal from office or employment. 4 i 15.2 Any person who knowingly violates this Code of Ethics shall, upon conviction or admission thereof, forfeit his or her office. 15.3 Any Contract entered or government approval gained in violation of this Code of Ethics shall be unilaterally voidable by the Village Board of Trustees. Section 16. Distribution of Ethics Code The Mayor shall cause this Ethics Code to be distributed to every Public Official of the Village. Each Public Official who enters government service after this distribution shall receive a copy of this Ethics Code before entering upon his or her duties and shall sign a statement that he or she has read, understood and shall abides by its requirements. Within sixty (60) days after the effective date of this Code of Ethics, the Village Administrator shall have obtained a similar signed statement from every Public Official whose office predates this Code of Ethics. Section 17. Severability Should any Section, clause or requirement of this Code of Ethics be found by a Court of Law to be unenforceable or unlawful or invalid, that Section, clause or requirement shall be severed from this Code of Ethics and the remainder shall continue to be in full force and effect. Section 18. Effective Date This local law shall take effect immediately. 5