[HISTORY: Adopted by the Town Board of the Town of North
Castle 6-8-2016 by L.L. No. 4-2016.[1] Amendments noted where applicable.]
Officers and employees, whether elected or appointed, paid or
unpaid, including members of any administrative boards, commissions,
committees or other agencies, of the Town of North Castle 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 Town of North Castle recognizes that,
in furtherance of this fundamental principle, there is a need for
clear and reasonable standards of ethical conduct. This Code of Ethics
sets forth standards of conduct for the guidance of those individuals.
As used in this chapter, the following terms shall have the
meanings indicated:
The governing board of a municipality and any municipal administrative
board (e.g., Planning Board, Zoning Board of Appeals), commission,
committee, or other agency or body composed 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 organization including, but not limited
to, when he or she or his or her relative directly or indirectly (e.g.,
individually or through one or more organizations and/or as a grantor,
beneficiary or trustee of one or more trusts); i) is a partner, member,
or other full or partial owner; ii) is a director, officer, manager
or employee; or iii) owns or controls more than 5% of the outstanding
stock of a publicly traded corporation.
[Amended 10-26-2022 by L.L. No. 10-2022]
A paid or unpaid officer or employee of the Town of North
Castle, including, but not limited to, the members of any municipal
board, whether elected or appointed, paid or unpaid, including members
of any administrative boards, commissions, committees or other agencies.
The Town of North Castle. The word "municipal" refers to
the municipality.
A spouse, parent, stepparent, sibling, stepsibling, sibling'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 municipal officer
or employee, including any such relationship by adoption, marriage,
civil union, or same-sex marriage.
This Code applies to the municipal officers or employees, and
shall supersede any prior municipal Codes of Ethics. This Code is
voluntarily enacted pursuant to § 806 of the General Municipal
Law and § 10 of the Municipal Home Rule Law. The provisions
of this code 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 Town of North Castle.
No municipal officer or employee shall use his or her municipal
position or official powers and duties 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.
As further set forth herein, municipal officers or employees
shall treat all members of the public, whether a person, firm, corporation
or other organization, with equal consideration and without special
advantage and shall not give preferential treatment to former municipal
officers or employees.
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 immediately
disclose in writing, including by electronic means, the nature of
the interest.
B.
No municipal officer shall, without prior disclosure, vote on any
matter which materially and directly benefits a political supporter
who, in the election just prior to when that matter came before the
board, contributed more than $500 to that board member's election
campaign or gave that board member a contribution of goods or goods
and services valued at more than $500.
C.
The disclosure, including the nature of the interest, 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.
D.
The disclosure shall be filed as follows:
(1)
In the case of a person serving in an elective office, the disclosure
shall be filed with the Town Board.
(2)
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 shall be
included in the minutes of the meeting.
(3)
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 or employee or the board
having the power to appoint to the person's position.
E.
Upon election or appointment and thereafter on an annual basis, the
following individuals shall watch a brief Town of North Castle ethics
training video, which shall be consistent with the Code of Ethics,
and complete a Town of North Castle disclosure statement materially
in the form attached as Appendix A: elected officials, members of
the Planning Board, Zoning Board of Appeals, Architectural Review
Board, and Board of Assessment Review.
[Amended 12-11-2019 by L.L. No. 1-2020; 10-26-2022 by L.L. No. 10-2022]
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/or 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, partner, or business associate or
any private organization in which he or she is deemed to have an interest
or had an interest within the previous six months.
[Amended 12-13-2023 by L.L. No. 8-2023]
B.
In the event that this section prohibits a municipal officer or employee
from exercising or performing a power or duty:
(1)
If the 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 and such alternate board members,
if any, as may be provided for in the applicable code or rules; 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 municipal 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
shall 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 requirements relating to recusal and abstention shall
not apply with respect to the following matters:
A.
Each municipal officer or employee shall abstain from making personal
investments in enterprises which he or she has reason to believe will
be directly or indirectly involved in decisions, recommendations or
the giving of advice to be made by him or her which will otherwise
create conflict between his or her duty in the public interest and
his or her private interest or would otherwise materially impair the
person's independence of judgment in the exercise or performance of
his or her official powers and duties. This shall not preclude a municipal
officer or employee from acquiring an investment in real property
located within the municipality and used as his or her personal residence
or place of business.
B.
No municipal officer or employee, nor any firm or association of
which such municipal officer or employee is a member, nor any corporation,
a five-percent portion of the stock of which is owned or controlled
directly or indirectly by such municipal officer or employee, shall
sell goods or services to any person, firm, corporation or association
which is licensed or whose rates are fixed by the Town in which such
municipal officer or employee serves or is employed.
A.
No municipal employee, during his or her tenure as a municipal employee,
may engage in any private employment, including the rendition of any
business, commercial, professional or other types of services, when
the employment creates a conflict with or impairs the proper discharge
of his or her official duties.
B.
No municipal officer, during his or her tenure, may engage in any
private employment, including the rendition of any business, commercial,
professional or other types of services, when the employment:
(1)
Violates § 805-a, Subdivision 1c or 1d, of the General
Municipal Law;
(2)
Can be reasonably expected to require more than sporadic recusal and abstention pursuant to § 27-6 of this code;
(3)
Can be reasonably expected to require disclosure or use of confidential
information gained by reason of serving as a municipal officer; or
(4)
Requires representation of a person or organization other than the
municipality in connection with litigation, negotiations or any other
matter 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 that municipal officer or employee, either individually
or as a member of a board, for six months after serving as a municipal
officer or employee.
B.
No municipal officer or employee, for the two-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 served.
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 include, but are not limited to, municipal personnel,
and the municipality's money, vehicles, equipment, materials, supplies
or other property.
B.
Municipal resources shall be used only for lawful municipal purposes.
C.
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;
(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; or
(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.
D.
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 or 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.
Every municipal officer or employee of a relative seeking employment
within any department, section or function of the municipality shall
disclose the relationship as provided herein. Such disclosure shall
be made in writing to the Town Clerk and shall be made at the earliest
opportunity following the date upon which such municipal officer or
employee first learns or has knowledge of the application.
B.
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.
C.
Other than those in place at the time this code takes effect, no municipal officer or employee may supervise a relative in the performance of the relative's official powers or duties. Incidental supervision as may be required by exigent circumstances shall not be construed as a violation of this Subsection C.
A.
No municipal officer or employee shall directly or indirectly solicit,
attempt to 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 or promoting, discharging, 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 municipal officer or employee shall directly or indirectly solicit,
attempt to compel, or induce to make, or promise to make, any political
contribution, whether by gift of money, service or other thing of
value from any person who, to the knowledge of the municipal officer
or employee, has or, within the previous 12 months, has had any business
dealings with the municipality or is reasonably expected to have business
dealings with the municipality in the next 12 months. This subsection
shall not prohibit a general solicitation of a class of persons.
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.
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.
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 if:
(1)
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 municipal officer or employee.
(2)
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 municipal officer or employee during the preceding
12 months.
D.
Any municipal officer or employee who is the unwitting recipient
of a prohibited gift shall return it and advise the sender that the
acceptance of such gift is prohibited. If the sender persists, the
municipal officer or employee shall notify the Town Board of the incident
in writing.
E.
This section does not prohibit:
(1)
Gifts made to the municipality;
(2)
Gifts from a person with a family or personal relationship with the
municipal 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 in the form of food or beverage not to exceed $25 in any single
instance and no more than $200 in the aggregate over a single calendar
year;
(4)
Gifts given on special occasions, such as marriage, illness, or retirement,
which are modest, reasonable and customary;
(5)
Unsolicited advertising or promotional material of little intrinsic
value, such as pens, pencils, notepads, and calendars;
(6)
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
(7)
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.
The Board of Ethics in existence at the time of the enactment of
this section is hereby dissolved.
B.
There is hereby established a Board of Ethics for the municipality. The Board of Ethics shall consist of five members. The members of such Board of Ethics shall be appointed by the Town Board and shall serve for a term of five years, except as specified in Subsection D, and receive no salary or compensation for their services as members of the Board of Ethics. No more than three members shall be members of the same political party. All Board of Ethics members shall be residents of the Town of North Castle. No Board of Ethics member shall be a paid municipal officer or employee.
C.
Any person who holds an office or leadership position (defined as
Chairman, President, Vice Chairman, Vice President, Treasurer, Comptroller,
Secretary or any other title or position of authority whose duties
include those commonly recognized as the duties of those official
titles or positions) in a political party, as defined in the Election
Law of the State of New York, § 1-104, Subdivision 3, specifically
excluding official positions and titles of authority in political
party structures on the county, state or national level, shall not
be eligible for appointment to the Board of Ethics.
D.
When originally constituted, the first member will serve for a one-year
term, the second member will serve for a two-year term, the third
member will serve for a three-year term, the fourth member will serve
for a four-year term, and the fifth member will serve for a five-year
term. Each year, the Town Board will appoint one member to serve a
five-year term to fill the vacancy created by the member whose term
has expired.
E.
The Town Board shall also appoint two alternate members, each of
whom shall serve staggered five-year terms and be eligible to serve
if a member or members of the Board of Ethics is or are unable to
proceed on a particular matter. The alternates shall not be from the
same political party. When not serving on the Board of Ethics, the
alternate members may attend all meetings and proceedings of the Board
of Ethics but shall not vote on any matter unless he or she is serving
on the Board of Ethics as a member on the particular matter.
[Amended 12-13-2023 by L.L. No. 8-2023]
F.
Notwithstanding a member's term, a member may be removed from the
Board of Ethics by the Town Board for cause. Removal shall require
approval by at least four affirmative votes cast by members of the
Town Board. Grounds for removal include, but are not limited to: neglect
of duty, misconduct in office, inability to discharge the powers or
duties of office, violation of this code, or conviction of a crime.
G.
The Board of Ethics shall render advisory opinions to the municipal
officers or employees of the Town of North Castle pursuant to Article
18 of the General Municipal Law and this code. Such advisory opinions
shall be rendered pursuant to the written request of any such municipal
officers or employees under such rules and regulations as the Board
of Ethics may prescribe. Formal advisory opinions rendered by the
Board of Ethics at the conclusion of an investigation shall be public
records and shall be indexed and maintained on file in an appropriate
manner by the Board. Informal advisory opinions, issued in response
to a written request for an interpretation of the code, shall be confidential
and shall not be disclosed, unless applicable law requires such records
be produced.
H.
A municipal officer or employee whose ethical violation occurs in
reliance on an advisory opinion shall not be subject to sanction or
prosecution where such reliance is reasonable.
I.
The Board of Ethics may solicit the advice of the Town Attorney.
In the event that the Town Attorney has excused himself/herself from
said matter, the Town Board shall provide the Board of Ethics with
the services of substitute counsel. In addition, the Board of Ethics
may make recommendations with respect to the drafting and adoption
of a Code of Ethics, or amendments thereto.
J.
The Board of Ethics shall have the power and authority to investigate
allegations of unethical practices in violation of this code, and
to render reports of such investigations and recommendations to the
Town Board for action:
(1)
Upon complaint against a member of the Town Board being filed by
any member of the Town Board;
(2)
Upon complaint against any other municipal officer or employee being
filed by two members of the Town Board;
(3)
By an individual who shall submit the necessary documentation to the Board of Ethics as described in Subsection K but only regarding elected officials; or
(4)
On its own initiative based on a majority vote.
K.
Complaint forms submitted by an individual citizen must be verified
under oath and based on personal knowledge and shall at a minimum
bear the legible signature of the person filing the complaint, include
that person's address and telephone number and set forth in reasonable
detail, with supporting documentation if appropriate, the conduct
alleged to have violated the code. The completed form and support
materials shall be either mailed by certified mail or personally filed
with the Town Clerk.
L.
The member of the Board of Ethics who calls a potential violation
to the attention of the Board of Ethics shall recuse him/herself from
all further proceedings with respect to that alleged violation.
M.
A quorum of the Board of Ethics shall consist of four members.
N.
The Board of Ethics shall be reimbursed for all reasonable expenses
incurred in the performance of its duties.
A.
In the event a proceeding is commenced by complaint by an individual,
on its own initiative, or a member of the Town Board, the Board of
Ethics, within 10 business days, shall review the allegations to determine
whether there is reasonable cause to believe that a violation of the
code has occurred. The Board shall render its determination, by majority
vote, within five business days thereafter.
B.
In the event a proceeding is commenced by complaint by an individual,
on its own initiative, or a member of the Town Board, the Board of
Ethics shall inform the Town Attorney. The Town Attorney shall inform
the Town Board.
C.
In the event the Board of Ethics determines that the complaint does
not allege a violation of the code, the complaint shall be dismissed
and simple notice of the dismissal, without further detail, shall
be mailed to the complainant, the Town Board, and to the subject of
the complaint. The complaint, the determination and any related records
shall be sealed and not available to any person not a member or alternate
member of the Board of Ethics, unless applicable law requires such
records be produced. However, the subject of the complaint may disclose
any records provided to him or her.
D.
In the event that a member of the Board of Ethics raises the possibility
of a violation of this code, the Board of Ethics shall first determine,
by majority vote, whether there is reasonable cause to believe that
a violation of the Code has occurred. In the event the Board of Ethics
determines that the conduct would not constitute a violation of the
Code, it shall render a written determination. The allegation, determination
and any related records shall be sealed and not available to any person
not a member of the Board of Ethics, unless applicable law requires
such records be produced. However, the subject of the complaint may
disclose any records provided to him or her.
E.
In the event that the Board of Ethics determines there is reasonable
cause to believe a violation has occurred, the Board of Ethics shall,
within 20 business days, provide written notice of reasonable cause
to the subject of the complaint; to the complainant, if any; and to
the Town Board. Such determination of reasonable cause shall be confidential
and shall not be made public or disclosed unless applicable law requires
such records be produced.
F.
If reasonable cause is established, the Board of Ethics shall schedule
a hearing, to be held within 60 days, at which the subject of the
complaint is entitled to legal and other representation of his or
her own choosing and at his or her own expense. Testimony shall be
taken under oath, and the proceeding shall be recorded and subject
to the rules of due process. The Board of Ethics shall issue a written
decision, containing specific findings, within 30 days of the completion
of the hearing. Any determination that a violation has occurred shall
be made by a super majority vote (four votes). A copy of the decision
shall be served, by certified mail, on the accused individual or his
or her legal representative, the complainant, and the Town Board.
This decision of the Board of Ethics shall be a matter of public record
and kept on a docket maintained by the Board of Ethics.
G.
Upon receipt of a form by the person requesting an investigation
of an alleged violation of this code or upon the Board of Ethics determining
on its own initiative that a violation of this code may exist, the
Board of Ethics shall have the power and duty to conduct any investigation
necessary to carry out the provisions of this code, subject to § 75
of the Civil Service Law when applicable. In conducting any such investigation,
the Board of Ethics 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 code shall be the form available in the office of the Town
of North Castle Clerk and on the municipality's website.
H.
The Board of Ethics investigation shall be confidential until such
time that a final determination of the Board of Ethics has been made.
Thereafter, the Board of Ethics shall state, in writing, its disposition
of every complaint it receives and of every investigation it conducts
and shall set forth the reasons for the disposition to the Town Board.
Any findings of violations of this Code or other applicable law shall
be served upon the subject of the investigation within seven days
of such findings of violations of this Code, and violations shall
be made a public record and shall be indexed and maintained on file
by the Town Clerk.
Any municipal officer or employee who violates this code may
be censured, suspended or removed from office or employment, in the
manner provided by law. Any penalty imposed pursuant to this section
shall be so imposed by the Town Board after considering the recommendation,
if any, of the Board of Ethics.
A.
Any person who holds an office or leadership position (defined as
Chairman, President, Vice Chairman, Vice President, Treasurer, Comptroller,
Secretary or any other title or position of authority whose duties
include those commonly recognized as the duties of those official
titles or positions) in a political party, as defined in the Election
Law of the State of New York, § 1-104, Subdivision 3, specifically
excluding official positions and titles of authority in political
party structures on the county, state or national level, shall not
be eligible for appointment to the Planning Board, the Zoning Board
of Appeals, the Assessment Board of Review, the Architectural Board
of Review or the Conservation Board of the Town of North Castle.
B.
Any person who holds the chief executive position (defined as Chairman,
President or any other title or position of authority whose duties
include those commonly recognized as the duties of those official
titles or positions) in any organization, a purpose of which is to
represent the interests of a geographic area that is inclusive of
part but not all of the Town of North Castle, shall not be eligible
for appointment to the Planning Board, the Zoning Board of Appeals,
the Assessment Board of Review, the Architectural Board of Review
or the Conservation Board of the Town of North Castle.
C.
Any new advisory Board created by resolution of the Town Board of
the Town of North Castle shall fall under the restrictions for membership
eligibility prescribed by this code unless specifically excluded by
resolution of the Town Board.
A.
The Town of North Castle shall 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 shall be posted within 10 days following the date on which the
code takes effect. An amendment to the code shall be posted within
10 days following the date on which the amendment takes effect.
B.
The Town Clerk shall promptly cause a copy of this code, including
any amendments to the code, to be distributed to every person who
is or becomes a municipal officer or employee of the Town of North
Castle.
C.
Every municipal officer or employee who receives a copy of this code
or an amendment to the code shall acknowledge such receipt in writing.
Such acknowledgments shall be filed with the Town Clerk, who shall
maintain such acknowledgments 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 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 amendments to the code.
This chapter shall take effect immediately upon its adoption
and filing with the Secretary of State.
