[Adopted 10-11-2011 by L.L. No. 55-2011[1]]
[1]
Editor’s Note: This local law also repealed former Art.
I of this chapter, Financial Disclosure, adopted 6-13-1978 by L.L.
No. 12-1978 (Ch. 61 of the 1985 Code), as amended.
When used in this Part 1, the following terms shall have the
meanings indicated:
A department, division, bureau, board, commission, advisory
committee, office or other agency of County government.
To make any communication, for compensation, other than those
involving ministerial matters.
A person or firm associated with a public servant includes
a spouse, domestic partner, child, parent or sibling; a person with
whom the public servant has a business or other financial interest;
and each firm in which the public servant has an interest.
The Board of Ethics.
Any transaction with the County involving the sale, purchase,
rental, disposition or exchange of any goods, services, or property,
or any license, grant or benefit, and any performance with respect
to any of the foregoing, but shall not include any transaction involving
the public servant's residence or any ministerial matter.
The County of Suffolk or any agency of the County of Suffolk.
All elected officials and public servants who are employed
by the County and compensated for their services, but shall not include
members of occupational licensing boards.
A person holding office as County Executive, District Attorney,
Clerk, Comptroller, Sheriff or member of the County Legislature.
[Amended 6-17-2014 by L.L. No. 32-2014]
A sole proprietorship, joint venture, partnership, corporation
or any other form of business enterprise.
A financial interest in a firm or a position with a firm
held by a public servant, the public servant's spouse, domestic partner
or unemancipated child.
A person or firm registered as a lobbyist with the County of Suffolk pursuant to Chapter 580 of the Suffolk County Code or any successor statute thereto.
A member of the Board of Ethics.
An administrative act, including the issuance of a license,
permit or other permission of the County, which is carried out in
a prescribed manner and which does not involve substantial personal
discretion.
An interest in a firm held by a public servant, or the public
servant's spouse, domestic partner or unemancipated child, which exceeds
5% of the firm or an investment of $25,000 in cash or other form of
commitment, whichever is less, and any lesser interest in a firm when
the public servant, or the public servant's spouse, domestic partner
or unemancipated child, is an officer of the firm or exercises managerial
control or responsibility regarding such firm, but shall not include
interests held in any pension plan, deferred compensation plan or
mutual fund, the investments of which are not controlled by the public
servant, the public servant's spouse, domestic partner or unemancipated
child.
Any case, proceeding, application, request for a ruling or
benefit, determination, contract, investigation, charge, accusation,
arrest or similar action which involves a specific party or parties.
A chairperson of any County political party committee elected
pursuant to § 2-112 of New York Election Law or the chairperson
of any duly constituted Town political party committee.
A position in a firm, such as an officer, director, trustee
or employee, or any management position, or as an attorney, agent,
broker or consultant to the firm, which does not constitute an ownership
interest in the firm.
All officials, officers and employees of the County, whether
paid or unpaid.
A husband or wife of a public servant who is not legally
separated from such public servant.
Any person having the authority to control or direct the
work of a public servant.
Any son, daughter, stepson or stepdaughter who is under the
age of 18, unmarried and living in the household of the public servant.
A.
No public servant shall have an ownership interest in a firm which
such public servant knows is engaged in business dealings with the
department or agency served by such public servant.
B.
No County employee shall have an ownership interest in a firm which
such employee knows is engaged in business dealings with the County.
C.
An individual who, prior to becoming a public servant, has an ownership
interest which would be prohibited under this section, shall either:
D.
A public servant who has an ownership interest and did not know of
a business dealing which would cause the interest to be prohibited,
but has subsequently gained knowledge of such business dealing; or
a public servant who holds an ownership interest which, subsequent
to the public servant's acquisition of the interest, enters into a
business dealing which would cause the ownership interest to be prohibited;
or a public servant, who, by operation of law, obtains an ownership
interest which would be prohibited shall disclose to the Board such
ownership interest. Further, the public servant will, within 15 days
of knowing of the business dealing, either:
E.
When an individual discloses an ownership interest to the Board pursuant to Subsection C of this section, or a public servant requests that the Board make a determination regarding an ownership interest pursuant to Subsection D, the Board shall issue an order setting forth its determination as to whether or not such interest, if maintained, would be in conflict with the proper discharge of the public servant's official duties. In making such determination, the Board shall take into account the nature of the public servant's duties, the manner in which the interest may be affected by any action of the County, the appearance of conflict and such other factors as the Board deems appropriate. If the Board determines a conflict exists, the Board's order shall require divestiture or such other action as it deems appropriate which may mitigate such conflict.
A.
A public servant who has an interest in a firm which is not prohibited by § 77-2 shall not take any action as a public servant particularly affecting that interest.
B.
No public servant shall engage in any business, transaction or private
employment, or have any financial or private interest which is in
conflict with the proper discharge of his or her official duties.
C.
No public servant shall use his or her official position or office,
or take or fail to take any action, in a manner which he or she knows
or has reason to know may result in a personal financial benefit to
himself or herself, a person or firm associated with the public servant,
a customer or client of the public servant or any person from whom
the public servant has received a gift or any goods or services for
less than fair market value, during the preceding 12 months.
D.
No public servant shall disclose any confidential information concerning
the property, affairs or government of the County which is obtained
as a result of the official duties of such public servant and which
is not otherwise available to the public or use such information to
advance any financial or private interest of the public servant or
of any person associated with the public servant; provided, however,
that this shall not prohibit any public servant from disclosing information
concerning conduct which the public servant knows or reasonably believes
to involve waste, inefficiency, corruption, criminal activity or conflict
of interest.
E.
No public servant shall solicit or accept any gift having a value
of $75 or more from any person or firm which such public servant knows
is or intends to become engaged in business dealings with the County.
F.
No public servant shall receive compensation for performing any official
duty except from the County or accept or receive any gift or gratuity
from any person or entity whose interests will be affected by the
public servant's official action or whose interests have been affected
by the public servant's official action.
G.
No public servant shall solicit, accept or receive any gift or gratuity
from a lobbyist.
H.
No public servant shall, for compensation, represent private interests
before any County agency or appear directly or indirectly on behalf
of private interests in matters involving the County. For a public
servant who is not a County employee, this prohibition shall apply
only to the agency served by the public servant.
I.
No public servant shall appear as attorney or counsel against the
interests of the County in any litigation in which the County is a
party, or in any action or proceeding in which the County, or any
public servant of the County, acting in the course of official duties,
is a complainant, provided that this subsection shall not apply to
an elected official representing himself or herself, or to a public
servant employed by an elected official who appears as attorney or
counsel for that elected official, in any litigation, action or proceeding
in which the elected official has standing and authority to participate
by virtue of his or her capacity as an elected official. This subsection
shall not apply to an elected official who represents himself or herself
in an election law matter or to a public servant who represents a
defendant in a criminal proceeding. For a public servant who is not
a County employee, this prohibition shall apply only to the agency
served by the public servant.
J.
No public servant shall coerce or attempt to coerce, by intimidation,
threats or otherwise, another public servant to engage in political
activities or participate in a political campaign. Participation in
a political campaign shall include managing or aiding in the management
of a campaign, soliciting votes, circulating nominating petitions
or canvassing voters for a particular candidate or performing similar
acts which are unrelated to the public servant's duties or responsibilities.
K.
No public servant shall compel, induce or request any person to make
a monetary or in-kind contribution to any candidate for elected office,
committee or political party under threat of prejudice to, or promise
of, advantage in rank, compensation or other job-related status.
L.
No public servant shall attempt to influence the course of any proposed
legislation in the County Legislature that will affect an interest
of the public servant or the interest of a person or firm associated
with the public servant without publicly disclosing to the Legislature
the nature and extent of the private interest.
M.
No public servant shall give or promise to give any portion of his
or her compensation or any money or valuable thing to any person in
consideration of having been nominated, appointed, elected or employed
as a public servant.
N.
No public servant shall make personal use of County letterhead, personnel,
equipment, supplies or resources.
A.
No political party officer shall be eligible to serve as an elected
official, department commissioner, assistant district attorney or
member of any board, commission, authority, or public benefit corporation
whose members are appointed by the County Executive or County Legislature.
B.
No elected official shall hold another paid position of employment
with the County or a paid position of employment with any department,
office, commission, board or agency of the United States of America,
New York State, any town or village government, or public benefit
corporation created under the provisions of New York State law. This
provision shall not apply to an elected official who also holds a
position as a teacher in a public school district or a professor at
a public university or college.
C.
A political party officer may represent private interests before
a County agency but he or she shall first disclose to the Board the
nature and scope of the services to be provided.
D.
No political party officer or firm in which he or she holds an ownership
interest shall have business dealings with the County, except that
a political party officer or his or her firm may receive a contract
from the County as a result of a competitive bidding process conducted
in accordance with Article 5-A of the New York General Municipal Law.
This article shall not prohibit:
A.
An elected official from appearing without compensation before any
County agency on behalf of constituents in the performance of his
or her public duties and responsibilities.
B.
A public servant from accepting or receiving any County benefit which
is provided for or made available to residents generally, or a substantial
class of residents to which the public servant belongs.
C.
An elected official from proposing or voting on a measure that will
provide a benefit to the elected official, if the benefit will be
available to County residents generally or to a substantial class
of residents to which the public servant belongs.
D.
A public servant or public servant's spouse from acting as an attorney,
agent, broker, officer, director or consultant for any not-for-profit
corporation or other entity which operates on a not-for-profit basis,
which has business dealings with the County, provided that such public
servant takes no direct or indirect part in such business dealings
and that the public servant receives no salary or other compensation
for such activities.
E.
A contract between the County and a public servant for instructing
approved emergency medical services training service programs.
F.
A contract between the County and a public servant for the purpose
of providing a foster home for a child under the care of the Suffolk
County Department of Social Services, unless the public servant's
official responsibilities include approving, authorizing or auditing
foster care payments.
G.
An elected official from accepting an invitation to, and attending
and participating in, an event sponsored by a community group or organization.
A.
No public servant shall solicit, negotiate for, or accept employment
with any firm which is involved in business dealings with the County
while such public servant is directly concerned with or personally
participating in those business dealings on behalf of the County.
This prohibition shall not apply to positions in the federal, state
or any local government.
B.
No former public servant shall appear, within a two-year period after
his or her separation from County service, before the County agency
served by such public servant. This prohibition shall not apply to
a former public servant who appears before a County agency on behalf
of any government entity, including the County of Suffolk, as an elected
representative, employee or consultant, provided that, in the case
of a former public servant serving as a consultant, such former public
servant contracts to provide such consultant services directly with
the County.
[Amended 12-20-2016 by L.L. No. 1-2017]
C.
No person who has served as a public servant shall appear before
the County, or receive compensation for any services rendered, in
relation to any particular matter in which such person had participated
personally and substantially as a public servant, provided that such
prohibition shall not apply to a former public servant serving as
a consultant to the County, where such former public servant contracts
to provide such consultant services directly with the County.
[Amended 12-20-2016 by L.L. No. 1-2017]
D.
No elected official shall appear before any agency in the branch
of County government served by such elected official within a period
of two years after such official's separation from County service.
For the purposes of this section, the executive branch consists of
all agencies of the County, except the County Legislature. This prohibition
shall not apply to a former elected official who appears before a
County agency on behalf of another governmental entity as an elected
representative or employee.
E.
No public servant shall, after leaving County service, disclose or
use for private advantage any confidential information gained from
County service which is not otherwise available to the public; however,
this shall not prohibit any former public servant from disclosing
any information concerning conduct which the public servant knows
or reasonably believes to involve waste, inefficiency, corruption,
criminal conduct or conflict of interest.
F.
No elected official may resign prior to the completion of his or
her term of office and be employed by the County in any other position
for a period of two years after his or her resignation.
G.
No elected official may resign prior to the completion of his or
her term of office and be employed with a certified employee organization
which engages in collective bargaining negotiations with the County
for a period of two years after his or her resignation.
H.
No elected official whose term of office has expired may accept employment
with a certified employee organization which engages in collective
bargaining negotiations with the County for a period of two years
after the expiration of his or her term.
I.
Nothing contained in this section shall prohibit a former public
servant from being associated with or having a position in a firm
which appears before a County agency or from acting in a ministerial
matter regarding business dealings with the County.
A.
A public servant shall promptly recuse himself or herself from acting
on any matter when acting on the matter, or failing to act on the
matter, would constitute prohibited conduct under the Code of Ethics
or would financially benefit the public servant, a person or firm
associated with the public servant, a customer or client or any person
from whom the public servant has received a gift, or any goods or
services for less than market value in the preceding 12 months.
B.
Whenever a public servant is required to recuse himself or herself
under the Code of Ethics, he or she shall:
A.
Where a public servant has, or acquires, an interest in any actual
or proposed contract, purchase agreement, lease agreement or other
agreement with the County, the public servant shall disclose the nature
and extent of that interest in writing to his or her immediate supervisor
and to the Board as soon as he or she has knowledge of the actual
or prospective interest.
B.
For the purposes of this section, "interest" means a direct or indirect
pecuniary or material benefit accruing to the public servant as a
result of a contract with the County. A public servant shall be deemed
to have an interest in the contract of:
Notwithstanding any other provision of law to the contrary,
the following public servants and persons shall file with the Board
the approved disclosure statement by May 15 of each year, unless a
different date is provided below, answering each and every question
contained in the statement:
A.
Elected officials and chairpersons of County political party committees.
B.
Each person, who is not otherwise required to file a financial disclosure
statement pursuant to this article, who has declared his or her intention
to seek nomination or election and who has filed a petition for the
Office of County Executive, District Attorney, Comptroller, Clerk,
Sheriff or County Legislature, shall file such statement on or before
the last day for filing his or her designating petitions.
[Amended 6-17-2014 by L.L. No. 32-2014]
C.
Each person, who is not otherwise required to file a financial disclosure
statement pursuant to this article, who has been designated to fill
a vacancy in a designation or nomination for the Office of County
Executive, District Attorney, Comptroller, Clerk, Sheriff or County
Legislature, shall file such statement within 15 days after a certificate
designating such person to fill such vacancy is filed with the Board
of Elections.
[Amended 6-17-2014 by L.L. No. 32-2014]
D.
Each department head, chief deputy department head and deputy department
head.
E.
Each employee of the County Executive's Office and the County Legislature
whose responsibilities include the independent exercise of managerial
or policymaking functions, as annually determined by the appointing
authority, subject to review by the Board.
F.
Each County employee, other than an employee of the County Executive's
Office and the County Legislature, who holds a policymaking position
as annually determined by the head of his or her agency, subject to
review by the Board.
G.
Each County employee whose duties at any time during the preceding
calendar year involved the negotiation, authorization or approval
of leases, franchises, revocable consents, concessions, real estate
licenses and contracts, including those involving the sale, rental,
or lease of real property.
H.
Members appointed to the Suffolk County Planning Commission, the
Board of the Suffolk County Off-Track Betting Corporation, the Suffolk
County Industrial Development Agency, the Suffolk County Water Authority,
and the Board of Trustees of the Department of Parks, Recreation and
Conservation.
A.
Each agency head shall determine by February 15 of each year, subject to review by the Board, which persons within the agency are required to submit a financial disclosure statement pursuant to the provisions § 77-10F and G, and shall inform such employees of their obligation to file the statement. All agency heads shall file with the Board, by March 1 each year, a list of persons within their agency obligated to file a financial disclosure statement.
B.
The County Executive and the Presiding Officer of the County Legislature shall determine by February 15 of each year, subject to review by the Board, which persons within their respective offices are required to submit a financial disclosure statement pursuant to the provisions of § 77-10E. The County Executive and the Presiding Officer shall file with the Board, by March 1 each year, a list of persons within their offices obligated to file a financial disclosure statement.
C.
The Board shall promulgate rules establishing procedures whereby
a person required to file an annual financial disclosure statement
may request an additional period of time within which to file such
report, due to justifiable cause or undue hardship. However, in no
case shall the Board's rules authorize the filing of a statement later
than September 1 in any year.
D.
Any amendments and changes to a financial disclosure statement made
after its filing shall be made on a separate form to be provided by
the Board and attached to the statement.
E.
The Board may establish rules and procedures for the electronic filing
of financial disclosure statements.
A.
The financial disclosure statement filed in any given year shall
provide financial information for the preceding calendar year.
B.
The statement set forth in the Exhibit A, attached hereto and made
a part of this Part 1,[1] shall be the approved financial disclosure statement for the County of Suffolk. Notwithstanding any other provision of law to the contrary, each person subject to financial disclosure requirements pursuant to § 77-10, shall file this approved financial disclosure statement, except that the members of the Suffolk County Planning Commission and the Suffolk County Parks Trustees shall complete the statement set forth in Exhibit B, which is attached hereto and made a part of this Part 1.[2]
[1]
Editor's Note: Exhibit A is included as an attachment to this chapter.
[2]
Editor's Note: Exhibit B is included as an attachment to this chapter.
The Board or its staff will review each financial disclosure
statement filed with it to determine if there has been compliance
with this article governing financial disclosure.
A.
Information filed in financial disclosure statements required by
this article shall be maintained by the Board, shall not be deemed
confidential, and shall be made available for public inspection, upon
written request on such form as the Board shall prescribe, regardless
of whether a Freedom of Information Law ("FOIL") request has been
made for the release of said information. The Board shall respond
to requests for inspection of financial disclosure statements in the
order that they are received, and the Board shall make the records
available for inspection within 10 business days of the request.
[Amended 4-25-2017 by L.L. No. 10-2017]
B.
Any person required to file a statement may, at the time the statement
is filed, submit a request to the Board, in such form as the Board
shall require, to withhold any item disclosed therein on the ground
that the inspection of such item by the public would constitute an
unwarranted invasion of his or her privacy or a risk to the safety
or security of any person. The Board shall evaluate such request and
any such item shall be withheld from public inspection upon a finding
by the Board that the inspection of such item by the public would
constitute an unwarranted invasion of privacy or a risk to the safety
or security of any person. The Board shall provide a written notification
of the Board's determination to the person who requested that information
be withheld from public inspection in a timely manner, and shall not
release the information subject to the request until at least 10 days
after mailing such notification.
C.
Whenever the Board produces a financial disclosure statement for
public inspection, the Board shall notify the person who filed the
report of the production and of the identity of the person to whom
such statement was produced.
D.
Categories of value shall be confidential and this information will
be redacted by the Board before a financial disclosure statement is
made available for public inspection.
Statements filed pursuant to this article and other records
of the Board shall be retained and disposed of in accordance with
the Records Retention and Disposal Schedule issued pursuant to Article
57-A of the New York Arts and Cultural Affairs Law.
A.
Any person required to file a financial disclosure statement with
the Board pursuant to this article or any provision of County law
who has not so filed at the end of one week after the required filing
date shall be subject to a fine of not less than $250 or more than
$1,000. In determining the amount of the fine, the Board shall consider
factors, including, but not limited to, the person's failure in prior
years to file a report in a timely manner, and the length of the delay
in filing. The Board may waive a fine entirely if a person establishes
that the failure to file a report in a timely manner was due to illness,
injury or other hardship.
[Amended 11-8-2014 by L.L. No. 1-2015]
B.
If any County employee subject to financial disclosure requirements
fails to file a statement as required by this article, the Board shall
notify the employee's supervisor and the County Comptroller of such
failure. Upon such notification, the Comptroller shall withhold the
pay checks of said employee.
C.
Any intentional violation of this article, including but not limited
to failure to file, failure to include assets or liabilities, and
misstatement of assets or liabilities, shall constitute a misdemeanor
punishable by imprisonment for not more than one year or by a fine
not to exceed $1,000, or both, and shall constitute misconduct and
be grounds for disciplinary action, including removal from employment
in the manner provided by law.