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
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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
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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.
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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.
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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.
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