[Adopted 12-8-1992 by Ord.
No. 302-1992]
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:
An elected official of the City of New Rochelle, except Judges or
Justices of the Unified Court System.
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.
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.
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.
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."
A.
The Board of Ethics shall consist of three members who
shall serve five-year terms of office, one such term expiring each year. Members
shall be appointed by the City Manager subject to approval by the City Council.
If the City Manager shall fail to appoint the members within 30 days after
the establishment of the Board of Ethics or within 30 days after a vacancy
occurs on the Board of Ethics, the City Council shall appoint such member
or members, as the case may be. Only one member of the Board shall be an officer
or employee of the City of New Rochelle. In the event that a vacancy occurs
prior to the expiration of the five-year term, such vacancy shall be filled
for the balance of such term in the same manner as members are appointed to
full terms.
B.
No more than two members of the Board may be affiliated
with the same political party. No member of the Board may hold an officer's
position in any political party, except that such person may be a member of
a county committee of a political party. For purposes of this subsection,
"political party" shall mean any political party which appears on the ballot
in the last biennial City election. The members shall elect a Chairperson
from among themselves and such other officers as may be deemed necessary from
time to time.
C.
A Board of Ethics member may be removed by the City Manager
with the approving consent of not fewer than five members of the City Council
after a finding of substantial neglect of duty, gross misconduct in office,
inability to discharge the powers or duties of the office or violation of
this article after written notice of the charges and an opportunity for reply.
D.
The City Clerk shall be the Clerk of the Board of Ethics,
and all documents filed with the City Clerk shall be deemed, for the purposes
of this article, to be filings with the Board of Ethics.
E.
The Board of Ethics shall have all the powers and duties
as prescribed by Article 18 of the General Municipal Law. The Board of Ethics
may adopt and amend such rules or procedures as are appropriate.
A.
The City of New Rochelle recognizes that matters of finance
do exist which are so personal in nature and are so unrelated to the performance
of public employees' duties that no useful purpose can be served by such disclosure.
Nonetheless, certain financial information may be relevant to a public official's
or employee's duties and impact the integrity of the City of New Rochelle
government. To that extent, the following City officers and elected officials
shall file with the Board of Ethics of the City of New Rochelle annually,
on or before February 28 of every year following the enactment of this article
during the term of their office, a statement of their financial holdings,
assets, liabilities and net worth. The time for filing such statement may
be extended, pursuant to the rules of the Board of Ethics, for justifiable
cause and for undue hardship upon application to the Board of Ethics pursuant
to the rules and regulations set forth in this article and, if applicable,
to §§ 811, 812 and 813 of the General Municipal Law of the
State of New York.
(1)
All department and bureau heads.
(2)
All deputies to department and bureau heads.
(3)
All assistants to deputies.
(4)
All local elected officials.
(5)
All Board of Appeals on Zoning members.
(6)
All Board of Assessment Review members.
(7)
All Board of Examiners of Electricians members.
(8)
All Municipal Civil Service Commissioners.
(9)
All Historical and Landmark Review Board members.
(10)
All Human Rights Commissioners.
(11)
All MacLeay Wood Housing Corporation members.
(12)
All Municipal Arts Commission members.
(13)
All Municipal Housing Authority members.
(14)
All New Rochelle Neighborhood Revitalization members.
(15)
All Planning Board members.
B.
In addition to the officers and employees listed in Subsection A above, all elected officials of the City of New Rochelle and any local officer or employee who is determined by the City Council of the City of New Rochelle to be a policymaker or to perform any of the duties listed in § 33-11A(9)(a) to (d) of this article shall be required to file a financial disclosure statement.
C.
The designated officers and employees and elected officials
shall file with the Board of Ethics a disclosure statement answering each
and every question. The statement shall be in the form set forth in Appendix
A attached hereto.[1]
[1]
Editor's Note: Appendix A is on file in the City Clerk's office.
A.
The Board of Ethics shall have the power to:
(1)
Adopt, amend and rescind rules and regulations to govern
procedures of the Board of Ethics, which shall include, but not be limited
to, the procedure whereby a person who is required to file an annual financial
disclosure statement with the Board of Ethics may request an additional period
of time within which to file such statement, due to justifiable cause or undue
hardship. Such rules and regulations shall provide for a date beyond which
in all cases of justifiable cause or undue hardship no further extension of
time will be granted. The Board of Ethics may utilize or modify such rules
and regulations or adopt separate rules and regulations for the purposes of
Subdivision 1(d) of § 811 of the General Municipal Law.
(2)
Promulgate guidelines to assist the City Council in determining
which persons hold policymaking positions for the purposes of § 811
and Subdivision 3 of § 812 of the General Municipal Law and this
article.
(3)
Make available forms for annual statements of financial
disclosure required to be filed pursuant to this article.
(4)
Review completed financial disclosure statements in accordance
with the provisions of this article, the rules and regulations of the Board
of Ethics and any local law, ordinance or Code of Ethics established by the
City Council of the City of New Rochelle.
(5)
Receive complaints alleging a violation of this article
or a violation of the criteria for reporting requirements established by this
article, any Code of Ethics of the City of New Rochelle, local law, ordinance
or resolution regarding the filing of the completed statements with the Board
of Ethics.
(6)
Permit any person required to file a financial disclosure
statement to request the Board of Ethics to delete from the copy thereof made
available for public inspection one or more items of information, which may
be deleted by the Board of Ethics 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 of Ethics, in its notification of denial,
shall inform the person of his right or her right to appeal the Board's determination
pursuant to the rules governing adjudicatory proceedings and appeals adopted
pursuant to this article and any applicable section of the General Municipal
Law. The Board of Ethics shall promulgate rules and regulations governing
the issuance of written decisions in connection with appeals.
(7)
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 of Ethics upon
a finding by the majority of the total members of the Board of Ethics 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.
(8)
Advise and assist any local official in establishing
rules and regulations relating to possible conflicts between private interests
and official duties of present or former elected officials, local party officials
and local officers and employees.
(9)
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 of Ethics 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
of Ethics, the public interest does not require disclosure and the applicant's
duties do not involve the negotiation, authorization or approval of:
(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.
(10)
Prepare an annual report to the City Manager and City
Council summarizing the activities of the Board of Ethics and recommending
changes in the laws governing the conduct of local elected officials and officers
and employees of the City covered by this article.
(11)
Act as a repository for completed financial disclosure
forms filed pursuant to this article.
B.
Upon certification of a question by the City Council
to the Ethics Board, the Board may determine a question common to a class
or defined category of persons or items of information required to be disclosed
where determination of the question will prevent undue repetition of requests
for exemption or deletion or prevent undue complication in complying with
the requirements of this article.
C.
The Board of Ethics shall inspect all financial disclosure
statements filed with the Board of Ethics to ascertain whether any person
subject to the reporting requirements of this article, a Code of Ethics, local
law, ordinance or resolution has failed to file such a statement, has filed
a deficient statement or has filed a statement which reveals a possible violation
of this article, a Code of Ethics, law, ordinance or resolution of the City
of New Rochelle.
D.
The Board of Ethics shall have all necessary authority
to enforce the filing requirements of this article, including the authority
to promulgate such rules and regulations as the Board of Ethics determines
are necessary to implement this article. The Board of Ethics shall be authorized
to review requests for exceptions with respect to complying with timely filing
of such disclosure statements due to justifiable cause or undue hardship.
E.
The Board of Ethics shall have the power to expend City
Council appropriated funds to retain or hire legal counsel to advise it on
any matter arising under this article.
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.
If a reporting person has filed a statement which reveals
a possible violation of a duly adopted Code of Ethics of the City of New Rochelle,
local law, ordinance or resolution or the Board of Ethics receives a sworn
complaint alleging such a violation or if the Board of Ethics determines on
its own initiative to investigate a possible violation, the Board of Ethics
shall notify the reporting person in writing, describe the possible or alleged
violation of such Code of Ethics, local law, ordinance or resolution or this
article and provide the person with a fifteen-day period in which to submit
a written response setting forth information relating to the activities cited
as a possible or alleged violation of law. If the Board of Ethics thereafter
makes a determination that further inquiry is justified, it shall give the
reporting person an opportunity to be heard. The Board shall also inform the
reporting individual of its rules regarding the conduct of adjudicatory proceedings
and appeals and the due process procedural mechanisms available to such individual.
If the Board determines at any stage of the proceeding that there is no violation
or that any potential conflict of interest violation has been rectified, it
shall so advise the reporting person and the complainant, if any. All of the
foregoing proceedings shall be confidential.
B.
If the Board determines that there is reasonable cause
to believe that a violation 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 New Rochelle.
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.
A.
Notwithstanding the provisions of Article 6 of the Public
Officers Law, the only records of the Board of Ethics which shall be available
for public inspection are the following:
B.
Notwithstanding the provisions of Article 7 of the Public
Officers Law, no meeting or proceeding of the Board of Ethics shall be open
to the public, except if expressly provided otherwise by the Board of Ethics.
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.
