The purpose of this article is to:
A.
Promulgate a form of annual statement of financial disclosure which is designed to assure disclosure by certain municipal officers and employees and to assure disclosure by elected officials of such financial information as is determined by this City Council.
B.
Continue the use of an authorized form of annual statement of financial disclosure in use on the date such article is adopted.
C.
Designate the Board of Ethics of the City of New Rochelle as the Board to receive and review such filing.
This article is being enacted pursuant to § 811, Subdivision 1, and § 812, Subdivision 3, of the General Municipal Law and any other applicable section of the General Municipal Law of the State of New York and is enacted pursuant to the authority granted therein by the State of New York to the City of New Rochelle.
As used in this article, the following words shall have the following meanings:
LOCAL ELECTED OFFICIAL An elected official of the City of New Rochelle, except Judges or Justices of the Unified Court System.
LOCAL OFFICER OR EMPLOYEE The heads (other than local elected officials) of any agency, department, division, council, board, commission or bureau of the City of New Rochelle and their deputies and assistants and the officers and employees of the City, departments, divisions, boards, bureaus, commissions or councils who hold policymaking positions, as annually determined by the City of New Rochelle and set forth in a written instrument which shall be filed with the Board of Ethics during the month of February, except that the term "local officer or employee" shall not mean a Judge, Justice, officer or employee of the Unified Court System.
RELATIVE Such individual's spouse, child, stepchild, stepparent or any person who is a direct descendant of the grandparents of the reporting individual or of the reporting individual's spouse.
SPOUSE The husband or wife of the reporting individual unless living separate and apart from the reporting individual with the intention of terminating the marriage or providing for permanent separation or unless separated pursuant to a judicial order, decree or judgment or a legally binding separation agreement.
UNEMANCIPATED CHILD Any son, daughter, stepson or stepdaughter who is under the age of 18, unmarried and living in the household of the reporting individual.
There is hereby established a Board of Ethics for the City of New Rochelle to be known as the "New Rochelle Board of Ethics."
If a person required to file a financial disclosure statement with the Board of Ethics has failed to file a disclosure statement or has filed a deficient statement, the Board of Ethics 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 of Ethics shall send a notice of delinquency to the reporting person and to the appointing authority for such person.
A reporting individual who knowingly and willfully fails after notice 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 article 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 of Ethics with respect to the persons subject to its jurisdiction. For a violation of this article other than for conduct which constitutes a violation of Subdivision 12 of § 73 of the Public Officers Law, the Board of Ethics may, in lieu of a civil penalty, refer a violation to the appropriate prosecutor and, upon conviction after such a referral, violation shall be punishable as a Class A misdemeanor. A civil penalty for false filing may not be imposed hereunder in the event that a category of value or amount reported hereunder is incorrect unless such reported information is falsely understated. Notwithstanding any other provision of this article 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, except that the City Council of the City of New Rochelle may impose disciplinary action as otherwise provided by law. The Board of Ethics shall be deemed to be an agency within the meaning of Article 3 of the State Administrative Procedure Act and shall adopt rules governing the conduct of adjudicatory proceedings and appeals relating to the assessment of civil penalties herein authorized. Such rules, which shall not be subject to the approval requirements of the State Administrative Procedure Act, shall provide for due process procedural mechanisms substantially similar to those set forth in such Article 3, but such mechanisms need not be identical in terms of scope. Assessment of a civil penalty shall be final unless modified, suspended or vacated within 30 days of imposition with respect to the assessment of such penalty and upon becoming final shall be subject to review at the instance of the affected reporting individuals in a proceeding commenced against the Board of Ethics pursuant to Article 78 of the Civil Practice Law and Rules.
A copy of any notice of delinquency or notice of reasonable cause sent pursuant to this article shall be included in the reporting person's file and be available for public inspection.
Upon written request from any person who is subject to the jurisdiction of the Board of Ethics, the Board of Ethics shall render advisory opinions on the requirements of said provisions. An opinion rendered by the Board of Ethics, until and unless amended or revoked, shall be binding on the Board of Ethics in any subsequent proceeding concerning the person who requested the opinion and who acted in good faith, unless material facts were omitted or misstated by the person in the request for an opinion. Such opinion may also be relied upon by such person and may be introduced and shall be a defense in any criminal or civil action. Such requests shall be confidential, but the Board of Ethics may publish such opinions, provided that the name of the requesting person and other identifying details shall not be included in the publication.
In addition to any other powers and duties specified by this article, the Board of Ethics shall have the power and duty to:
A. Administer and enforce all the provisions of this article.
B. Conduct any investigation necessary to carry out the provisions of this article. Pursuant to this power and duty, the Board may administer oaths or affirmations, subpoena witnesses, compel their attendance and require the production of any books or records which it may deem relevant or material.
Members of the Board of Ethics shall not receive compensation but shall be reimbursed for reasonable expenses incurred in the performance of their official duties from funds duly appropriated for the purpose by the City Council.
The Board of Ethics shall be empowered to request support staff assistance from the City Council or City Manager in furtherance of its duties and responsibilities.
Upon the adoption of this article, the City Manager shall cause a copy thereof to be distributed to every City employee of this City. Failure to distribute such copy or failure of any City employee to receive such copy shall have no effect on the duty of compliance with this code nor the enforcement of the provisions hereof. The City Manager shall further cause a copy of this article to be kept posted conspicuously in each public building under the jurisdiction of the City. Failure to adopt this article shall have no effect on the duty of compliance herewith nor enforcement provisions hereof.
Within 30 days of the adoption of this article, the City Clerk shall file a copy thereof in the Comptroller's office of the State of New York.
The City Council may appropriate moneys from the general City funds for the maintenance of and for personal services to the Board of Ethics established hereunder, but such Board of Ethics may not commit expenditures of City moneys except within the appropriations provided herein.