[HISTORY: Adopted by the Town Board of the
Town of New Castle 4-8-2014 by L.L. No. 3-2014.[1] Amendments noted where applicable.]
[1]
Editor's Note: This local law also repealed former Ch. 9,
Ethics, Code of, adopted 6-25-1970 by L.L. No. 3-1970, as amended.
A.
Purpose.
It is the policy of the Town of New Castle and the purpose of this
chapter to establish standards and guidelines for the ethical conduct
of its officers and employees. It is also the purpose of this chapter
to protect officials and employees from unwarranted accusations that
impugn their integrity by distinguishing material conflicts of interest
from those that are inconsequential, recognizing that for local government
to attract and hold competent and professional public servants, public
service must not require a complete divesting of all proprietary interests.
In the event of any conflict or inconsistency between the provisions
of this code and the provisions of Article 18 of the General Municipal
Law, this code shall prevail, except that nothing in this code shall
authorize conduct otherwise prohibited by Article 18 of the General
Municipal Law.
B.
Applicability.
This Code of Ethics is enacted pursuant to § 806 of the
General Municipal Law and § 10 of the Municipal Home Rule
Law. Officers and employees of the Town must comply with the provisions
of the Code of Ethics, as well as the conflict of interest standards
prescribed by Article 18 of the General Municipal Law. This Code of
Ethics supplements the standards contained in Article 18, and is not
intended to authorize any conduct prohibited by Article 18 of the
General Municipal Law.
As used in this chapter, the following terms shall have the
meanings indicated:
Any person that receives a salary or wage from the Town of
New Castle.
A parent, stepparent, sibling, stepsibling, spouse, child,
stepchild, grandparent, household member, or domestic partner of a
Town officer or employee, and individuals having any of these relationships
to the spouse of the officer or employee.
A direct or indirect monetary, 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 Town or an area of the Town, or a lawful class of such residents
or taxpayers. A Town officer or employee is deemed to have an interest
in any matter involving:
Any firm, partnership, association of which he or she, his or
her spouse, or a member of his or her household, is an owner, partner,
member, director, officer or employee; and
Any corporation of which any such person is a director, officer
or employee, or directly or indirectly owns or controls more than
5% of the corporation's outstanding stock.
A person serving as a paid or unpaid official of the Town
of New Castle, including, but not limited to, elected officers, members
of the Town's governing board, any of its administrative boards (e.g.,
Planning Board, Zoning Board of Appeals), commissions, committees,
agencies, department heads and others who serve in a similar capacity.
An officer, employee or member of any board, committee, commission,
agency or department of the Town of New Castle.
A.
No
Town officer or employee shall exercise or perform his or her official
powers and duties on the basis of family or private business, nor
create an appearance of impropriety by giving the impression that
he or she will exercise or perform his or her official powers or duties
on the basis of any consideration other than the best interests of
the Town.
B.
Town
officers or employees shall treat all members of the public, whether
a person, firm or corporation, or other organization, without special
advantage in carrying out his or her official duties.
A.
No
Town officer or employee may use his or her position to secure personal
or private gain for himself or herself, or for any other person or
any organization. Personal or private gain does not include payment,
benefit or opportunity that is customarily and legally provided to
Town residents, taxpayers and the general public in the ordinary course
of the Town's municipal operations.
B.
No
Town officer or employee shall cause the Town to expend more money
and/or Town resources than is reasonably necessary for transportation,
meals or lodging in connection with official travel.
C.
This
section does not prohibit a Town officer or employee from:
(1)
Voting to approve the Town's annual budget;
(2)
Receiving lawful compensation for services as a Town officer or employee;
(3)
Receiving payment or reimbursement for actual and necessary expenses
reasonably incurred in the performance of official duties;
(4)
Receiving payments on behalf of the Town of New Castle under a lawful
municipal contract;
(5)
Using Town personnel, vehicles, equipment, materials, supplies or
property in connection with execution of their official duties; or
(6)
Performing a ministerial function that does not require the exercise
of discretion.
D.
No
officer or employee of the Town of New Castle may request or permit
the use of Town-owned vehicles, equipment, materials, resources, property
or facilities for a non-Town purpose, except when such use:
A.
Except
as otherwise provided by this section, every Town officer and employee
shall disclose the nature of his or her interest that is known or
should be known to him or her, or the interest of a family member
that is known or should be known to him or her, in any matter coming
before the Town of New Castle or any officer, administrative board,
commission or other agency of the Town.
B.
For
purposes of this section, a "matter coming before" an officer or employee
of the Town, means any decision, issue or question requiring the exercise
of discretion by the individual officer or employee. A "matter coming
before" the Town of New Castle, or any administrative board, commission
or other agency or department of the Town means a local law, ordinance,
resolution, motion or any other decision, issue or question requiring
a vote, decision or determination of a body of Town officers.
C.
The
disclosure required by this section shall be made when the Town officer
or employee first acquires knowledge of the interest requiring disclosure.
The disclosure shall be made in writing to the Town Clerk and to the
Town officer or employee, administrative board, commission or other
agency having the power or duty to act in relation to the matter in
which the Town officer or employee or family member has the interest.
The Town Clerk shall present the disclosure at the next scheduled
meeting of the Town Board and shall summarize the substance of the
disclosure on the record.
A.
No
Town officer or employee may have or acquire the following investments:
(1)
Personal investments that will be directly and materially affected
by the exercise or performance of the person's official powers and
duties; or
(2)
Personal investments that would otherwise impair a reasonable person's
independence of judgment in the exercise or performance of his or
her official powers and duties.
B.
This
section does not prohibit a Town officer or employee from acquiring
any of the following assets:
A.
No
Town officer or employee may accept employment or engage in any business
or professional activity, or pursue any private endeavor, which:
(1)
Impairs the person's independence of judgment in the exercise or
performance of his or her official powers and duties;
(2)
Is likely to require or be facilitated by the disclosure or use of
confidential information gained by reason of serving as a Town officer
or employee; or
(3)
Requires representation of a person or organization other than the
Town in connection with litigation, negotiations or any other matter
to which the Town is a party.
B.
No
Town officer or employee may in a private capacity represent another
person or organization before the Town of New Castle, or any officer,
administrative board, commission or other agency of the Town.
C.
This
section does not prohibit a Town officer or employee from:
(1)
Representing him or herself, or his or her spouse or minor children,
before the Town of New Castle, or any officer, administrative board,
commission or other agency of the Town, in connection with any personal
matter that does not arise from or involve a business, commercial
or professional activity; or
(2)
Asserting a claim against the Town on his or her own behalf, or on
behalf of his or her spouse or minor children, in connection with
any personal matter that does not arise from or involve a business,
commercial or professional activity.
A.
Except
as otherwise required by law or as provided by this section, no Town
officer or employee may participate in the discussion or vote on any
matter, or exercise or perform any other official powers or duties
in connection with any matter, when he or she has an interest in the
matter and knows or should know that a family member has an interest
in the matter.
B.
In the event that Subsection A of this section prohibits a Town officer or employee from exercising or performing his or her official powers or duties:
(1)
If the person is an officer serving as a member of a body of Town
officers, the power or duty shall be exercised or performed by the
other members of the body.
(2)
If the person is an officer, and does not serve as a member of a
body of Town officers, and has a deputy who is not prohibited from
exercising or performing the power or duty, the deputy shall exercise
or perform the power or duty.
A.
No Town officer or employee may participate in any decision whether
to appoint, hire, promote, discipline or discharge a family member
from any position at, for or within the Town of New Castle or an administrative
board, commission or other agency of the Town.
B.
No Town officer or employee may directly supervise a family member
in the performance of the family member's official powers or duties.
A.
No Town officer or employee shall directly or indirectly use his
or her official authority to compel or induce another Town 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 Town 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 Town officer or employee, or an applicant for a position as a
Town 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 Town employee shall engage in political campaign activities during
their official Town of New Castle workday.
D.
No Town officer or employee shall use Town resources for any political
campaign or political activities.
E.
No Town officer or employee shall hold any office in a political
party or political organization.
F.
No Town officer or employee may serve as a committeeperson of any
political party or political organization.
G.
Nothing contained herein shall prevent those Town officers and employees
who, as of the effective date of this Code of Ethics, currently serve
as committeepersons, or who currently hold an office in a political
party or political organization, from continuing to do so, provided
they shall be prohibited from seeking additional or different political
positions following expiration of their current term of office for
such organization.
No Town officer or employee or former Town 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 or allowed
by law or in the course of exercising or performing his or her official
powers and duties. For purposes of this section, "confidential" shall
mean any information which is prohibited from disclosure by law or
privilege; information which is of a personal or financial nature
concerning any Town officer or employee; and any information which,
if disclosed, will compromise the interests of the Town of New Castle.
A.
Soliciting gifts. No Town officer or employee may use their position
with the Town to directly or indirectly solicit any gift from any
person, firm or organization.
B.
Per gift. No Town officer or employee may accept or receive any gift,
or multiple gifts, from the same donor within a continuous twelve-month
period valued at $75 or more when:
(1)
It appears that the gift is intended to influence the officer or
employee in the exercise or performance of his or her official powers
or duties;
(2)
The gift could reasonably be expected to influence the officer or
employee in the exercise or performance of his or her official powers
or duties; or
(3)
The gift is intended as a reward for any official action on the part
of the officer or employee.
C.
Per year. The total value of all gifts accepted by a Town officer
or employee during any continuous twelve-month period may not exceed
$75.
D.
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. The value of
a gift is the gift's fair market value, determined by the retail cost
of the item or a comparable item. The fair market value of a ticket
entitling the holder to food, refreshments, entertainment, or any
other benefit is the face value of the ticket, or the actual cost
to the donor, whichever is greater. Determination of whether multiple
gifts from a single donor exceed $75 must be made by adding together
the value of all gifts received from the donor by an officer or employee
during the calendar year preceding the receipt of the most recent
gift. A "gift" does not include a lawful campaign contribution.
E.
This section does not apply to:
(1)
Gifts made to the Town;
(2)
Gifts from a person with a family or personal relationship with the
officer or employee when the circumstances make it clear that it is
that personal relationship, rather than the recipient's status as
a Town officer or employee, that is the primary motivating factor
for the gift;
(3)
Gifts which are of de minimis value and customarily given on special
occasions, such as marriage, illness, or retirement;
(4)
Unsolicited advertising or promotional material of little intrinsic
value, such as pens, pencils, notepads, and calendars;
(5)
Awards and plaques having no resale value which are publicly presented
in recognition of service as a Town officer or employee, or other
service to the community; or
(6)
Legal campaign and political contributions.
A.
Membership.
[Amended 3-22-2022 by L.L. No. 3-2022]
(1)
The Board of Ethics shall consist of seven members appointed and
approved by the Town Board.
(2)
The Board of Ethics in existence at the time of the enactment of
this section is hereby dissolved.
(3)
Each member of the Board of Ethics shall serve for a term of three
years, except that two members of the initial Board of Ethics shall
serve two-year terms.
(4)
The Board of Ethics shall select a chairperson from among its members
for a term of two years.
(5)
A member of the Board of Ethics may be removed from office by a minimum
of four votes of the Town Board for failure to fulfill the duties
of the office or for violation of this chapter. The Town Board must
give such Board member written notice and an opportunity to reply.
B.
Qualification of Board members.
(1)
All members of the Board of Ethics must be residents of the Town.
(2)
The members of the Board of Ethics should be qualified by temperament
and experience to carry out the duties and responsibilities of the
Board.
(3)
No member of the Board of Ethics shall be a committeeperson or hold
office in a partisan political organization or hold elective office
in the Town of New Castle. A Board member may make campaign contributions
and vote, but not otherwise participate in any Town of New Castle
election or campaign.
(4)
Not more than three members of the Board of Ethics may be members
of the same political party.
(5)
No officer or employee of the Town of New Castle is eligible to serve
on the Board of Ethics.
C.
Compensation. Members of the Board of Ethics shall serve without
compensation, but may be reimbursed for reasonable and necessary expenses
approved by the Town Board.
D.
Powers and duties of the Board of Ethics.
[Amended 9-26-2017 by L.L. No. 7-2017]
(1)
To request and receive, from any Town body or any Town official or
employee, such assistance and information as will enable the Board
of Ethics properly to carry out its functions and powers.
(2)
To render written advisory opinions with respect to the interpretation
and application of this chapter. Such opinions shall be rendered at
the written request of the Town Board, the Town Attorney, or the Town
official or employee whose conduct is in question. The Board of Ethics
shall notify the Town Board whenever any request for an advisory opinion
is received and furnish a copy of any advisory opinion which it shall
render to the Town Board and the Town Attorney. The Board of Ethics
shall keep a record of its proceedings and maintain a confidential
indexed file of all advisory opinions.
(3)
To prescribe forms for disclosures required under this chapter, and
to distribute and make available to every Town official and employee
copies of all rules and regulations enacted by the Board of Ethics
and all forms prescribed by the Board of Ethics.
(4)
To receive legal assistance from the Town Attorney, who shall serve
as counsel to the Board of Ethics. In the event that the Town Attorney
has recused himself or herself from a particular matter due to a conflict
of interest, then the Town Board shall provide the Board of Ethics
with the services of substitute counsel at the request of the Board
of Ethics or at the pleasure of the Town Board.
(5)
To process complaints alleging violations of this chapter and/or Article 18 of the General Municipal Law, and to render opinions with respect to such complaints, pursuant to § 9-14.1 of this Code of Ethics.
(6)
To perform such other functions as may from time to time be requested
by the Town Board.
(7)
To render written advisory opinions with respect to compliance with
the Town's Social Media and Communication Policy at the request of
the Supervisor or any Town Board member. The Board of Ethics shall
promptly notify the Town Board whenever any such request for an advisory
opinion is received to ensure that all interested parties have an
opportunity to be heard. The Ethics Board shall thereafter furnish
a copy of any advisory opinion that it shall render to the Town Board
and the Town Attorney. All such requests and any advisory opinions
issued in connection therewith shall be accessible as public records.
[Added 3-22-2022 by L.L. No. 3-2022]
[Added 9-26-2017 by L.L.
No. 7-2017]
A.
The Board of Ethics shall have the authority to investigate complaints,
hold hearings and render advisory opinions to the Town Board with
respect to alleged acts or omissions by any Town officer or employee
in violation of this Code of Ethics and/or Article 18 of the General
Municipal Law. Any individual or entity may initiate such a complaint
by submitting a concise, notarized statement of allegations to the
Chairperson of the Board of Ethics or any member thereof. The Board
of Ethics shall cause a copy of such complaint to be mailed or otherwise
furnished to the Town officer or employee who is the subject of the
complaint.
B.
Within 60 days of receipt of such complaint, the Board of Ethics
shall determine whether there is reasonable cause to believe that
a violation of the Town Code or Article 18 of the General Municipal
Law has occurred, provided that any such finding of reasonable cause
shall require an affirmative vote of at least 75% of its members constituting
a quorum.
C.
In the event the Board of Ethics determines that a complaint does
not allege a violation of the Town Code or Article 18 of the General
Municipal Law, written notice of such finding shall be mailed or otherwise
furnished to the complainant and the Town officer or employee who
is the subject of the complaint.
D.
In the event that the Board of Ethics determines there is reasonable
cause to believe a violation has occurred, written notice of such
finding shall be promptly mailed or otherwise furnished to the complainant
and the Town officer or employee who is the subject of the complaint.
If reasonable cause is established, the Board of Ethics shall conduct
an investigation or hearing, as it deems necessary, to develop a fair
and complete factual record relating to the subject matter of the
complaint. The Board of Ethics shall afford the Town officer or employee
who is the subject of the complaint an opportunity to be heard, including,
without limitation, the opportunity to review any documents that the
Board of Ethics has received from the complainant. In the event that
the Board of Ethics conducts a hearing, testimony shall be taken under
oath and a transcript of the proceeding shall be made. The Town shall
furnish a copy of any hearing transcript to the Town officer or employee
who is the subject of the complaint.
E.
Within 45 days of the completion of any investigation or hearing,
the Board of Ethics shall issue a written advisory opinion setting
forth its findings. A copy of the advisory opinion, together with
copies of any hearing transcript and all documents reviewed by the
Ethics Board in connection with its investigation or hearing, shall
be provided to the Town Board and the Town officer or employee who
is the subject of the complaint.
F.
No advisory opinion rendered by the Board of Ethics after an investigation
or hearing shall bind the Town Board. After receiving such an advisory
opinion, the Town Board may take such action as it deems warranted
under the circumstances and applicable laws.
G.
Where a criminal investigation or prosecution arises out of the same
facts as an alleged ethics violation, the Board of Ethics shall suspend
any investigation or hearing concerning the alleged ethics violation
until after the criminal investigation or prosecution is concluded.
H.
The Board of Ethics shall have the power from time to time to adopt
rules and regulations, not inconsistent with law or this chapter,
governing its procedures and transaction of its business. Every such
rule and regulation shall be filed in the office of the Town Clerk
and shall constitute a public record.
A.
Any Town official or employee who shall willfully and knowingly violate
any provision of this chapter shall, upon conviction thereof by a
court of competent jurisdiction, be guilty of a violation and be subject
to:
(1)
A fine of not more than $100 for the first offense and not more than
$250 for each subsequent offense;
(2)
A civil penalty owed to the Town and equal to the amount of any profit
or gain realized by such person from such violation;
(3)
Suspension or removal from office or employment pursuant to the discretion
of the Town Board; or
(4)
Any combination thereof, as determined in the sole discretion of
the Town Board.
B.
If an ethics violation is committed in connection with any transaction
or contract said transaction or contract shall be void and unenforceable
in accordance with General Municipal Law § 804.
A.
This Code of Ethics shall be posted publicly and conspicuously in
each public building under the jurisdiction of the Town. The Town
also shall cause a copy of this Code of Ethics, including any amendments
thereto, to be distributed to every person who is or becomes an officer
and employee of the Town of New Castle.
B.
The failure to post this Code of Ethics or any amendment thereto
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 of Ethics or an amendment to the code
does not affect either the applicability or enforceability of the
code or amendment to the code.
