[HISTORY: Adopted by the County Legislature of the County
of Ulster 12-10-2008 by L.L. No. 11-2008. Amendments noted where applicable.]
044a App A Annual Statement
§ 44-1 Title.
§ 44-2 Purpose; statutory authority.
§ 44-3 Definitions.
§ 44-4 Standard of conduct.
§ 44-5 Interest in contracts with County.
§ 44-6 Annual disclosure.
§ 44-7 Penalties for offenses.
§ 44-8 Board of Ethics.
§ 44-9 Judicial review.
§ 44-10 Supersession of state law.
§ 44-11 Construal of provisions.
§ 44-12 Distribution and posting.
§ 44-1 Title.
This chapter shall be known as the "Ulster County Ethics and
Disclosure Law."
§ 44-2 Purpose; statutory authority.
A.
The
purposes of this chapter are to:
(1)
Establish standards of ethical conduct for officers, employees and
consultants of Ulster County;
(2)
Provide officers, employees and consultants of Ulster County, whether
elected or appointed, paid or volunteer, with clear guidance on such
standards;
(3)
Promote public confidence and integrity in the agencies and administrative
offices of our local government;
(4)
Facilitate the consideration of potential ethical problems before
they arise, minimize unwarranted suspicion, and enhance the accountability
of government to the people by requiring public disclosure of financial
interests that may influence or be perceived to influence the actions
of Ulster County officers and employees; and
(5)
Provide for the fair and effective administration of this chapter.
B.
This
chapter is enacted pursuant to § 806 of the General Municipal
Law of the State of New York and § 10 of the Municipal Home
Rule Law and is not intended to authorize any conduct prohibited by
Article 18 of the General Municipal Law.
§ 44-3 Definitions.
Unless otherwise stated or unless the context otherwise requires,
the following terms shall, for the purpose of this chapter, have the
meaning herein indicated:
- APPEAR and APPEAR BEFORE
- Communicating in any form, including, without limitation, personally, through another person, by letter, or by telephone or electronic means.
- BOARD OF ETHICS
- The Board of Ethics of the County of Ulster established pursuant to § 44-8 of this chapter.
- CHIEF FISCAL OFFICER
- The Commissioner of Finance or other officer possessing similar
powers and duties.[Amended 8-17-2010 by L.L. No. 3-2010]
- CONTRACT
- Any claim, account or demand against or agreement with the County, express or implied, and shall include the designation of a depository of public funds and the designation of a newspaper, including but not limited to an official newspaper, for the publication of any notice, resolution, ordinance, local law or other proceeding where such publication is required or authorized by law.
- CONTRACTUAL GOODS/SERVICES
- Any work performed or goods delivered by the County officer to another person under mutual agreement of the two parties and provided the transaction has been finalized, without dispute, by the two parties.
- COUNTY
- County of Ulster, and shall include any County improvement district, district corporation, or other district or a joint service established for the purpose of carrying on, performing or financing one or more improvements or services intended to benefit the health, welfare, safety or convenience of the inhabitants of the County or to benefit the real property within the County.
- COUNTY OFFICER OR EMPLOYEE
- Any officer or employee of the County, whether paid or unpaid, and includes, without limitation, all members of any office, board, body, advisory board, council, commission, agency, department, district, administration, division, bureau or committee of the County. "County officer or employee" shall not include:
- A. A judge, justice, officer or employee of the court system; or
- B. A member of an advisory board of the County if, but only if, the advisory board has no authority to implement its recommendations or to act on behalf of the County or to restrict the authority of the County to act. No entity established pursuant to the General Municipal Law of the State of New York shall be deemed an advisory board for purposes of this subsection.
- CUSTOMER or CLIENT
- Any person for whom a County officer or employee has directly supplied contractual goods/services during the previous 24 hours.
- A. A person at least 18 years of age who, with respect to another person:
- (1) Is formally a party in a domestic partnership or similar relationship with the other person, entered into pursuant to the laws of the United States or any state, local or foreign jurisdiction, or registered as the domestic partner of the person with any registry maintained by the employer of either party or any state, municipality, or foreign jurisdiction;
- (2) Is formally recognized as a beneficiary or covered person under the other person's employment benefits or health insurance; or
- (3) Is dependent or mutually interdependent on the other person for support, as evidenced by the totality of the circumstances indicating a mutual intent to be domestic partners, including but not limited to common ownership or joint leasing of real or personal property; common house-holding, shared income or shared expenses; children in common; signs of intent to marry or become domestic partners under Subsection A(1) or (2) of this definition; or the length of the personal relationship of the persons.
- (1)
- B. Each party to a domestic partnership shall be considered to be the domestic partner of the other party. "Domestic partner" shall not include a person who is related to the other person by blood in a manner that would bar marriage to the other person in New York State. "Domestic partner" shall also not include any person who is less than 18 years of age or who is the adopted child of the other person or who is related by blood in a manner that would bar marriage in New York State to a person who is the lawful spouse of the other person.
- GIFT and FINANCIAL BENEFIT
- Includes any money, service, license, permit, contract, authorization, loan, travel, entertainment, hospitality, or any promise thereof or any other gratuity or promise thereof or anything of value. A financial transaction may be a financial benefit but shall not be a gift unless it is on terms not available to the general public. "Gift" and "financial benefit" do not include campaign contributions authorized by law.
- INTEREST
- Direct or pecuniary or material benefit accruing to a County officer or employee as a result of a contract with the County which such officer or employee serves. For purposes of this chapter, a County officer or employee shall be deemed to have an interest in the contract of:
- A. His or her spouse, domestic partner, minor children and dependents, except a contract of employment with the County which such officer or employee serves;[Amended 8-17-2010 by L.L. No. 3-2010]
- B. A firm, partnership or association of which such officer is a member or employee;
- C. A corporation of which such officer or employee is an officer, director or employee; and
- D. A corporation, any stock of which is owned and controlled directly or indirectly by such officer or employee.
- MINISTERIAL ACT
- An action performed in a prescribed manner without the exercise of judgment or discretion as to the propriety of the act.
- A. Any activity, other than service to the County, from which the County officer or employee receives compensation for services rendered or goods sold or produced;
- B. Any entity, other than the County, of which the County officer or employee is a member, officer, director, or employee and from which he/she receives compensation for services rendered or goods sold or produced; or
- C. Any entity in which the County officer or employee has an ownership interest, except a corporation of which the County officer or employee owns less than 5% of the outstanding stock.
- D. For purposes of this definition, "compensation" shall not include reimbursement for necessary expenses, including travel expenses.
- PERSON
- Both individuals and entities.
- RELATIVE/IMMEDIATE FAMILY MEMBER
- A spouse, domestic partner, child or person claimed as a dependent on the County officer's or employee's latest individual state income tax return.
- SUBORDINATE
- The subordinate of a County officer or employee means another County officer or employee over whose activities he/she has direction, supervision, or control, except those who serve in positions that are in the exempt classification under § 41 of the Civil Service Law of the State of New York or in the unclassified service under § 35(a) through (f) of that law.
§ 44-4 Standard of conduct.
A.
General prohibition. A County officer or employee shall not use his/her
official position or office or take or fail to take any action in
a matter which he/she knows or has reason to know may provide a personal
financial benefit or secure unwarranted privileges or exemptions for
any of the following persons:
B.
Recusal. A County officer or employee shall promptly recuse himself/herself
from acting on a matter before the County when acting on the matter,
or failing to act on the matter, may benefit the persons listed above,
financially or otherwise, or give the reasonable appearance of a conflict
of interest or impropriety. Whenever a County officer or employee
is required to recuse himself/herself, he/she must refrain from further
participation in the matter (as officer or employee, but not as a
private citizen).
C.
Gifts. No County officer or employee shall, directly or indirectly,
solicit, accept, or receive any gift(s) or financial benefit valued
over $75 from any one person, business, or organization in a calendar
year under circumstances in which it could reasonably be inferred
that the gift was intended to influence such County officer or employee
in the performance of his/her official duties or was intended to be
a reward for any official action on his/her part.
[Amended 11-22-2016 by L.L. No.
6-2016]
D.
Representation. A County officer or employee shall not represent
any private interest before any County agency or in any litigation
in which the County of Ulster is a party or complainant.
E.
Appearances. A County officer or employee shall not appear before
any agency of the County except on his/her own behalf or on behalf
of the County or on behalf of his or her constituent(s) in the case
of a Legislator.
F.
Confidential information. The New York State Freedom of Information
Law (Public Officers Law § 87, Subdivision 2) describes
information that is confidential. This description should guide County
employees and officers as to the information that should be considered
confidential. Confidential information under this chapter does not
exceed the bounds for confidential information set by Public Officers
Law § 87, Subdivision 2. Before a County employee or officer
discloses information that may be considered confidential, he/she
is encouraged to seek a written determination from the County Records
Access Officer. The County Records Access Officer may seek an opinion
from the County Attorney prior to making a determination. The restrictions
on disclosure and use of confidential information described herein
apply without regard to the circumstances in which the information
was acquired and include information gained through means other that
the possessor's association with the County.
G.
Political solicitation. A County officer or employee shall not request
or authorize anyone else to request any subordinate of the officer
or employee to participate in an election campaign or contribute to
a political committee.
H.
Future employment. A County officer or employee shall not, after
the termination of service or employment with the County, appear for
financial gain before any board or agency of the County in relation
to any case for a period of two years and shall not appear for financial
gain at any time in any proceeding or application in which he/she
personally participated during the period of his/her service or employment
or which was under his/her active consideration.
I.
Avoidance of conflicts. County officers and employees shall not knowingly
acquire, solicit, negotiate for, or accept any interest, employment,
or anything of value which would put them in violation of this chapter.
J.
Inducement of others. A County officer or employee shall not induce
or aid another officer or employee of the County to violate any of
the provisions in this chapter.
K.
Investments. A County officer or employee shall not invest or hold
any investment directly or indirectly in any business, financial,
commercial or other private transaction which would create a conflict
with his/her official duties.
L.
Disclosure regarding contract with employment of relatives and domestic
partners.
(1)
Every County officer and employee related closer in degree, by blood
or marriage, than first cousin, including a domestic partner or person
related by domestic partner circumstances, to any person(s) seeking
a contractual relationship with the County or seeking employment within
any department, section or function of the County shall disclose such
relationship as provided for pursuant to the further provisions of
this section.
(2)
Any member of any County board, commission, council or other County
agency related closer in degree, by blood or marriage, than first
cousin, including a domestic partner or person related by domestic
partner circumstances, to any person(s) seeking employment or making
application before such body in which he/she serves shall disclose
such relationship as provided for in this section.
(3)
The disclosure requirements of this section shall be made in writing,
directed to the Clerk of the Legislature, and shall be made at the
earliest opportunity next following the date upon which such officer,
employee, or board member, commission member, council member, or agency
member first learns of or has knowledge of the making of the application
by the person seeking employment and/or appointment.
M.
Use of public property. No officer or employee shall request or permit
the use of County-owned vehicles, equipment, materials or property
for personal convenience or profit except when such services are available
to the public generally or are provided as policy for the use of such
officer or employee in the conduct of official duties.
N.
Waiver. A County officer or employee may apply for a waiver request
form from any of the standards set forth herein upon a showing of
compelling need. A waiver request form will be available from the
Clerk of the Legislature or the Board of Ethics and may be modified
from time to time as deemed necessary.
§ 44-5 Interest in contracts with County.
A.
Prohibited interests.
(1)
No County officer or employee shall have an interest in a contract
with the County, or an interest in a bank or trust company, that is
prohibited by § 801 of the General Municipal Law of the
State of New York.
(2)
Specifically, no County officer or employee shall have an interest
in any contract with the County when he or she, individually or as
a member of a board, has the power or duty to negotiate, prepare,
authorize or approve the contract or approve payment thereunder, audit
bills or claims under the contract, or appoint an officer or employee
who has any powers or duties set forth above, and no County chief
fiscal officer, or his or her deputy or employee shall have an interest
in a bank or trust company designated as a depository, paying agent,
or registration agent for investment of funds of the County of Ulster.
This shall in no event be construed to preclude the payment of lawful
compensation and necessary expenses of any County officer or employee
in one or more positions of public employment, the holding of which
is not prohibited by law.
[Amended 8-17-2010 by L.L. No. 3-2010]
(3)
Any contract willfully entered into by or with the County in which
there is an interest prohibited shall be null, void, and wholly unenforceable,
to the extent provided by § 804 of the General Municipal
Law.
B.
Discloseable interests. In accordance with § 803 of General Municipal Law, any County officer or employee who has, will have, or later acquires an interest in or whose spouse or domestic partner has, will have or later acquires an interest in any actual or proposed contract, purchase agreement, lease agreement or other agreement, including oral agreements, with the County shall publicly disclose the nature and extent of such interest in writing to and filing with his or her immediate supervisor and the Clerk of the County Legislature as soon as he or she has knowledge of such actual or prospective interest and as more specifically set forth in § 44-6 (annual disclosure) herein. Such written disclosure shall be made a part of and set forth in the official records of the proceedings of the Legislature. The Clerk of the Legislature shall also immediately file a copy of such disclosure with the County Executive and the Board of Ethics.
§ 44-6 Annual disclosure.
Annual disclosure will take place in accordance with § 812
of General Municipal Law, except the following provisions shall be
controlling:
A.
County officials and employees required to file disclosure statement.
Annual disclosure statements shall be filed by all elected County
officials, department heads and their deputies and those individuals
who have the authority for policy-making decisions, including but
not limited to the following list of titles, which may be amended
from time to time by the chief executive officer of the County of
Ulster with the approval of the County Legislature so as to include
all those titles that are applicable.
[Amended 4-7-2009 by Res.
No. 134]
(1)
County officers.
[Amended 5-18-2010 by Res. No. 133; 8-17-2010 by L.L. No. 3-2010]
EXECUTIVE
Executive
Deputy Executives
| |
LEGISLATURE
Chairperson
Legislators
Clerk to the Legislature
Deputy Clerks
Counsel to the Legislature
Minority Counsel
| |
DISTRICT ATTORNEY
District Attorney
Assistant District Attorneys
| |
CONSUMER FRAUD BUREAU
Director of Consumer Affairs
Deputy Director of Consumer Affairs
Director of Weights and Measures
Deputy Director of Weights and Measures
| |
DEPARTMENT OF PUBLIC DEFENDER
Public Defender
Deputy and Assistant Public Defenders
| |
COMPTROLLER
Comptroller
Deputy Comptrollers
Auditor
Deputy Auditors
| |
DEPARTMENT OF FINANCE
Commissioner of Finance
Deputy Commissioners of Finance
| |
DEPARTMENT OF PURCHASING
Director of Purchasing
Deputy Directors of Purchasing
| |
REAL PROPERTY TAX SERVICE AGENCY
Director
Deputy Directors
| |
COUNTY CLERK
County Clerk
Deputy County Clerks
Motor Vehicle Supervisors
| |
COUNTY ATTORNEY
County Attorney
Deputy County Attorneys
Assistant County Attorneys
| |
DEPARTMENT OF PERSONNEL
Personnel Director
Deputy Personnel Directors
| |
BOARD OF ELECTIONS
Commissioners
Deputy Commissioners
| |
DEPARTMENT OF PUBLIC WORKS
Commissioner of Public Works
Deputy Commissioners of Public Works
Buildings and Grounds Administrative Manager
Highways and Bridges Administrative Manager
| |
DEPARTMENT OF PUBLIC TRANSPORTATION
Director of Public Transportation
Deputy Directors of Public Transportation
| |
DEPARTMENT OF INFORMATION SERVICES
Information Services Director
Deputy Information Services Directors
Assistant Director I.S./Application Development
Assistant Director I.S./Operations
Assistant Director I.S./Technical Support
| |
INSURANCE DEPARTMENT
County Insurance Officer
Deputy Insurance Officers
| |
SHERIFF
Sheriff
Undersheriff
Head of Civil Division
Head of Criminal Division
Corrections Superintendent
Warden
| |
DEPARTMENT OF PROBATION
Director
Deputy Probation Directors
| |
ALTERNATIVE SENTENCING PROGRAM
Coordinator
Deputy Coordinators
| |
STOP DWI
Coordinator
Deputy Coordinators
| |
FIRE COORDINATOR
Fire Coordinator
Deputy Coordinator
| |
DEPARTMENT OF EMERGENCY COMMUNICATIONS/EMERGENCY MANAGEMENT
Director
Deputy Directors
| |
DEPARTMENT OF HEALTH
Commissioner of Health or Public Health Director
Deputy Commissioner of Health or Deputy Public Health Director
Director of Patient Services
Medical Examiner
Deputy Medical Examiners
Medical Consultant
| |
DEPARTMENT OF MENTAL HEALTH
Director
Deputy Director of Administration
Commissioner of Mental Health
Deputy Commissioners of Mental Health
| |
DEPARTMENT OF COMMUNITY CORRECTIONS
Director
Assistant Director
| |
DEPARTMENT OF SOCIAL SERVICES
Commissioner of Social Services
Deputy Commissioners of Social Services
| |
DEPARTMENT OF RESIDENTIAL HEALTH CARE FACILITIES
Director of Residential Health Care Facilities
Deputy Directors
| |
DEPARTMENT OF EMPLOYMENT AND TRAINING
Director of Employment and Training
Deputy Directors
| |
VETERANS' SERVICE AGENCY
Director
Deputy Directors
| |
OFFICE FOR THE AGING
Director
Deputy Directors
| |
YOUTH BUREAU
Director of the Youth Bureau
Deputy Directors
| |
DEPARTMENT OF PLANNING
Director
Deputy Directors
| |
SAFETY DEPARTMENT
Safety Officer
Deputy Safety Officer
| |
ULSTER COUNTY COMMUNITY COLLEGE
President
Vice President
Dean of Administration
Dean of Academic Affairs
Dean of Advancement & Continuing Education
College Attorney
| |
COMMISSION OF HUMAN RIGHTS
Commissioner of Human Rights
| |
BOARD OF ETHICS
Members of the Board of Ethics
| |
PERIODIC COMPENSATION REVIEW COMMITTEE
Members of Periodic Compensation Review Committee
| |
DEPARTMENT OF THE ENVIRONMENT
Coordinator of the Department of Environment
Deputy Coordinators
| |
DEPARTMENT OF TOURISM
Director of Tourism
Deputy Directors
| |
TRAFFIC SAFETY
Coordinator of Traffic Safety
Deputy Coordinator of Traffic Safety
| |
COUNTY HISTORIAN
County Historian
| |
ULSTER COUNTY DEVELOPMENT CORPORATION
Members of Ulster County Development Corporation and/or Public
Authority
| |
ULSTER COUNTY INDUSTRIAL DEVELOPMENT AGENCY
Chief Executive Officer or Director of the Agency
Members of the Agency
| |
ULSTER COUNTY RESOURCE RECOVERY AGENCY
Chief Executive Officer or Director of the Agency
Members of the Agency
|
(2)
Local political party officials. The annual financial disclosure
statement shall also be required of local political party officials.
The term "local political party official" shall mean:
(a)
Any chairperson of a County committee elected pursuant to § 2-112
of the Election Law, or his or her successor in office, who received
compensation or expenses from constituted committee or political committee
funds during the reporting period aggregating a combined total of
$30,000 or more; or
(b)
That person by whatever title designated who, pursuant to the
rules of a County committee or in actual practice, possesses or performs
any or all of the following duties or roles, provided that such person
received compensation or expenses from constituted committee or political
committee funds during the reporting period aggregating a combined
total of $30,000 or more:
[1]
The principal political, executive and administrative office
of the County committee;
[2]
The power of general management over the affairs of the County
committee;
[3]
The power to exercise the powers of the chairperson of the County
committee as provided for in the rules of the County committee;
[4]
The power to preside at all meetings of the County Executive
Committee, if such a committee is created by the rules of the County
committee or exists de facto, or any other committee or subcommittee
of the County committee vested by such rules with or having de facto
the power of general management over the affairs of the County committee
at times when the County committee is not in actual session;
[5]
The power to call a meeting of the County committee or of any
committee or subcommittee vested with the rights, powers, duties or
privileges of the County committee pursuant to the rules of the County
committee for the purpose of filling an office at a special election
in accordance with § 6-114 of the Election Law, for the
purpose of filling a vacancy in accordance with § 6-116
of such law, or for the purpose of filling a vacancy or vacancies
in the County committee which exist by reason of an increase in the
number of election districts with the County occasioned by a change
of the boundaries of one or more election districts taking effect
after the election of its members or for the purpose of determining
the districts that the elected members shall represent until the next
election at which such members of such committee are elected; provided,
however, that in no event shall such power encompass the power of
a chairperson of an assembly district committee or other district
committee smaller than a County and created by the rules of the County
committee to call a meeting of such district committee for such purpose;
[6]
The power to direct the treasurer of the party to expend funds
of the County committee; or
[7]
The power to procure from one or more bank accounts of the County
committee the necessary funds to defray the expense of the County
committee.
B.
The terms "constituted committee" and "political committee," as used
in this section, shall have the same meanings as those contained in
§ 14-100 of the Election Law.
C.
Each appointing authority or department head shall annually determine,
by February 1 of each year, if there are any other officers or employees
within his/her department holding policy-making positions. A list
of such employees or officers shall then be immediately forwarded
to the Chairperson of the Ulster County Legislature for the year 2008
and to the County Executive thereafter.
E.
Changes in disclosed information. Except as provided in § 44-5B herein, within 30 days after a change in the information contained in his/her most recently filed annual disclosure statement, a County officer or employee shall file a signed amendment to the statement.
F.
Contents of annual disclosure statements and waiver request forms.
The County Legislature shall have the power and authority to promulgate
and amend the form from time to time by resolution and as provided
for in and in conformity with § 811 of General Municipal
Law.
H.
Maintenance of annual disclosure statements. The Clerk of the County
Legislature shall transmit to the Board of Ethics and the chief executive
officer of the County all annual disclosure statements required by
this chapter within five business days of receiving such statements.
All annual disclosure statements shall be submitted in sealed envelopes.
I.
Good faith efforts. Failure to disclose the information required by Subsection A of this section with respect to a County officer's or employee's spouse or domestic partner or other relative shall not constitute a violation of the subsection if the officer or employee has made a good faith effort to obtain the information and if he/she sets forth those efforts in his/her annual disclosure statement.
J.
Distribution of disclosure form. On or before the first day of March of each year, beginning with the year 2009 and thereafter, the County Executive of the County of Ulster shall cause the annual statement of financial disclosure to be distributed to those persons filling the positions as denominated in Subsections A and B set forth above.
K.
Hardship provision. Any person who is subject to the reporting requirements
of this section and who timely filed with the Internal Revenue Service
an application for automatic extension of time in which to file his
or her individual income tax return for the immediately preceding
calendar or fiscal year shall be required to submit such financial
disclosure statement on or before May 1 but may, without being subjected
to any civil penalty on account of a deficient statement, indicate
with respect to any item of the disclosure statement that information
with respect thereto is lacking but will be supplied in a supplemental
statement of financial disclosure which shall be filed on or before
the seventh day after the expiration of the period of such automatic
extension of time within which to file such individual income tax
return, provided that failure to file or to timely file such supplementary
statement of financial disclosure or the filing of an incomplete or
deficient supplementary statement of financial disclosure shall be
subject to the notice and penalty provisions of this chapter respecting
annual statements of financial disclosure as if such supplementary
statements were an annual statement.
§ 44-7 Penalties for offenses.
A.
Void contracts. Any contract or agreement entered into by or with
the County in which there is an interest prohibited by this chapter
shall be null, void, and wholly unenforceable, to the extent provided
by § 804 of General Municipal Law, unless ratified by the
County Legislature.
(1)
Such ratification shall not affect the imposition of any criminal
or civil penalties pursuant to this chapter or any other provision
of law.
(2)
Upon determination by the Board of Ethics that such a violation has
occurred, the Board of Ethics shall have the power, upon consultation
with the head of the department involved or with the chief executive
officer of the County, to render forfeit and void the transaction
in question.
B.
Civil penalties. Any County officer or employee who violates any
provision of this chapter, including any reporting individual who
knowingly and willfully fails 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 chapter, 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 Ulster County Board of Ethics. Assessment of a civil penalty
shall be final unless modified, suspended or vacated within 30 days
of imposition and, upon becoming final, shall be subject to review
at the instance of the affected reporting individual in a proceeding
commenced against the Ulster County Board of Ethics pursuant to Article
78 of the Civil Practice Law and Rules.
C.
Criminal penalties. For a violation of this chapter, other than for
conduct which constitutes a violation of Subdivision 12 of § 73
of the Public Officers Law, the Ulster County Board of Ethics may,
in lieu of a civil penalty, refer a violation to the appropriate prosecutor,
and upon such conviction, but only after such referral, such violation
shall be punishable as a Class A misdemeanor. A civil penalty for
false filing may not be imposed hereunder in the event a category
of "value" or "amount" reported hereunder is incorrect unless such
reported information is falsely understated.
D.
Disciplinary action. Any County officer or employee who violates
any provision of this chapter may be warned or reprimanded or suspended
or removed from office or employment or be subject to any other sanction
authorized by law or collective bargaining agreement by the appointing
authority or body authorized by law to impose such sanctions. A warning,
reprimand, suspension, removal or other authorized sanction may be
imposed in addition to any other penalty contained in this section
or in any other provision of law.
§ 44-8 Board of Ethics. [1]
A.
Establishment.
(1)
There shall be a Board of Ethics consisting of five members who, prior to January 1, 2009, shall be appointed by the Ulster
County Legislature and thereafter shall be appointed by the
County Executive, subject to confirmation of the County Legislature.
(2)
Board of Ethics members shall serve without compensation and at the pleasure of the County Legislature prior to January 1,
2009, and thereafter at the pleasure of the County Executive.
(3)
No more than two members shall be of the same political party.
(4)
Members of the Board of Ethics shall receive no compensation
for services rendered but shall be entitled to their reasonable and
necessary expenses incurred in the performance of their duties, within
appropriations made for such purposes.
(5)
There shall be support staff and funds as may be appropriated annually
toward the Ethics Board's maintenance and operation.
(6)
The County Attorney or Attorney(s) shall provide legal and advisory
services to the Board of Ethics as it may require in the performance
of its duties. If the County Attorney or Attorney(s) for the County
has a potential conflict of interest, the County shall make funds
available for outside counsel.
(7)
The Board of Ethics shall elect a Chairperson from among its members.
The Chairperson or a majority of the Board may call a meeting of the
Board. The Board of Ethics shall meet a minimum of two times a year.
(8)
Three members of the Board shall constitute a quorum and shall be
required for the purpose of conducting a meeting. A concurring vote
of three members shall be required for the Board to take action.
(9)
Prior to January 1, 2009, any Board of Ethics member may be removed
from office by a majority vote of the County Legislature for failure
to fulfill the duties of the office or for the violation of this chapter
and shall be given written notice and an opportunity to be heard.
After January 1, 2009, members shall serve at the pleasure
of the County Executive and may be removed from office by
the County Executive at his or her discretion.
B.
Qualifications.
(1)
All members of the Board of Ethics shall reside in the County of
Ulster, be over 25 years of age, and be a registered voter for at
least five years prior to appointment.
(2)
No more than two members of the Board of Ethics may be enrolled
in the same political party. Enrollment in a political party
shall be deemed effective in conformance with Article 5 of Election
Law of the State of New York.
(3)
No member shall hold office in a political party or hold elective
office in the County. For purposes of this section, "office in a political
party" shall mean all offices in any political party including the
office of committee person or committee member.
(4)
A member may make campaign contributions but not otherwise participate
in any Ulster County election campaign.
(5)
One member may be an appointed officer or employee of the County.
C.
Powers and duties.
(1)
The Board of Ethics shall render advisory opinions to the
officers and employees of the County of Ulster with respect to Article
18 of General Municipal Law, the Code of Ethics of the County of Ulster (as set forth herein and known as the "Ulster County Ethics and
Disclosure Law"), and the Administrative Code. Such advisory
opinions shall be in response to written request from any such officer
or employee under such rules and regulations as the Board may prescribe.
(a)
The Board shall render advisory opinions with respect to all
matters covered by this chapter. An advisory opinion shall be rendered
on the request of a County officer or employee or supervisory official
of a County officer or employee and shall apply only to such public
servant. The request shall be in such form as the Board may require
and shall be signed by the person making the request. The opinion
of the Board shall be based on such facts as presented in the request
or subsequently submitted in a written, signed document.
(b)
Advisory opinions shall be issued only with respect to proposed
future action by a public servant. A County officer or employee whose
conduct or action is the subject of an advisory opinion shall not
be subject to penalties or sanctions by virtue of acting or failing
to act due to a reasonable reliance on the opinion, unless material
facts were omitted or misstated in the request for an opinion. The
Board may amend a previously issued advisory opinion after giving
reasonable notice to the County officer or employee that it is reconsidering
its opinion, provided that such amended advisory opinion shall apply
only to future conduct or action of the public servant.
(c)
The Board shall make public its advisory opinions with such
deletions as may be necessary to prevent disclosure of the identity
of any County officer or employee or other involved party. The advisory
opinions of the Board shall be indexed by subject matter and shall
be maintained on an annual and cumulative basis.
(d)
For purposes of this subsection, "County officer or employee"
includes a current, prospective and former County officer or employee,
and "supervisory official" includes a supervisory official who shall
supervise, supervises or has supervised either a current, prospective
or former County officer or employee.
[Amended 8-17-2010 by L.L. No. 3-2010]
(2)
The Board may also accept from the general public or any
of its own members or any County officer or employee a complaint or allegation of conflict of interest of any officer
or employee of Ulster County. The Board may also accept from
the general public or any of its own members or any County officer
or employee a complaint or allegation of a violation of this chapter
by a County officer or employee.
(3)
Should the Board determine that there appears to be no merit to the
complaint, it shall dismiss the complaint and notify the County officer
or employee of its determination in writing.
(4)
Hearings.
(a)
Should the Board determine that there appears to be
merit or probable cause in the complaint or allegation,
it shall send a written invitation to the officer or employee in question
to appear at a private meeting of the Board and explain the apparent
conflict of interest. The written invitation shall be in
the form of a notice and shall contain a statement of the facts upon
which the Board has relied for its determination of probable cause
and a statement of the provisions of law allegedly violated. The Board
shall also inform the County officer or employee of the Board's
procedural rules. Such County officer or employee shall have a reasonable
time to respond either orally or in writing and shall have the right
to be represented by counsel or any other person.
(b)
If, after consideration of the response of the officer or employee,
the Board determines that there remains probable cause to believe
that a violation has occurred, the Board shall hold or direct a hearing
to be held on the record to determine whether such violation has occurred
or refer the matter to the appropriate department or appointing authority
if the County officer or employee is subject to the jurisdiction of
any state law or collective bargaining agreement which provides for
conduct of disciplinary proceedings. When such matter is referred
to such department or appointing authority, the department or appointing
authority shall consult with the Board before issuing a final decision.
(c)
Should such officer or employee fail to appear in response
to such invitation or should he or she appear and fail to satisfy
the Board that there is no conflict of interest or violation
of this chapter, the Board shall send a written report on
the matter to the County Executive and the Clerk of the Legislature. The report shall not be made public except by the County Executive
or by the unanimous vote of the Board.
(d)
If the Board determines, after a hearing or the opportunity
for a hearing, that a County officer or employee has violated this
chapter, it shall, after consultation with the head of the department
or appointing authority for the officer or employee, issue an order
either imposing such penalties as provided for by this chapter as
it deems appropriate or recommending such penalties to the head of
the department or appointing authority. The order shall include findings
of fact and conclusions of law. When a penalty is recommended, the
head of the department or the appointing authority shall report to
the Board what action was taken.
(e)
Hearings of the Board shall not be public unless requested by
the public servant. The order and the Board's findings and conclusions
shall be made public.
(f)
The Board shall maintain an index of all persons found to be
in violation of this chapter by name, office and date of order. The
index and the determination of probable cause and orders in such cases
shall be made available for public inspection and copying.
(g)
Nothing contained in this section shall prohibit the appointing
officer of a County officer or employee from terminating or otherwise
disciplining such public servant, where such appointing officer is
otherwise authorized to do so; provided, however, that such action
by the appointing officer shall not preclude the Board from exercising
its powers and duties under this chapter with respect to actions of
any public servant.
(h)
For purposes of this subsection, the term "County officer or
employee" shall include both current and former County officers and
employees.
(i)
The Board of Ethics shall adopt rules governing the conduct
of adjudicatory proceedings and appeals relating to the proceedings
authorized herein, including the assessment of the civil penalties
herein authorized. Such rules shall provide for the due process procedural
mechanisms substantially similar to those set forth in Article Three
of the State Administrative Procedure Act, but such mechanisms need
not be identical in terms of scope.
(j)
Any person compelled to appear in person or who voluntarily
appears before the Board of Ethics shall be accorded the right to
be accompanied, represented by, and/or advised by counsel.
(5)
In addition, the Board may make recommendations with respect
to the County Code of Ethics or amendments thereto upon the request
of the Ulster County Legislature (as set forth herein and
known as the "Ulster County Ethics and Disclosure Law"). The
Board, upon its formulation, shall promulgate its own rules and regulations
as to its forms and procedures and shall maintain records of its opinions
and proceedings. Copies of all rules and regulations promulgated by
the Board and any and all amendments thereto which may be adopted
from time to time shall be filed with the Clerk of the Ulster County
Legislature within 10 days of their adoption.
(6)
The Board shall not act with respect to officers and employees
of any municipality located within the County or agency thereof where
such municipality has established its own Board of Ethics, except
that the local board may, at its option, refer matters to the County
Board.
(7)
No meeting or proceeding or hearing of the Board of Ethics concerning
a possible violation of this chapter by a County officer or employee
shall be open to the public, except upon the request of the officer
or employee or as required by the provisions of Article 7 of the Public
Officers Law or by some other state or federal law or regulation.
D.
The Board of Ethics shall also have the following powers and duties:
(1)
To administer the provisions of this chapter.
(2)
To prescribe and promulgate rules and regulations governing its own
organization and procedures.
(3)
To review, index and maintain all annual disclosure statements filed
with the Board of Ethics.
(4)
To prepare and submit an annual report to the Ulster County Legislature
summarizing the activities of the Board of Ethics, listing any recommended
changes to the text or administration of this chapter.
(5)
To provide for public inspection of certain records. The only records
of the Board of Ethics which shall be available for public inspection
are those whose disclosure is required by Article 6 of the Public
Officers Law of the State of New York or by some other state or federal
law or regulation.
[1]
Note: This section incorporates relevant provisions of the
Ulster County Charter. Charter language is included in italics and
cannot be changed without amending the Charter.
§ 44-9 Judicial review.
Any person aggrieved by a recommendation of the Board of Ethics,
as implemented by the County, may seek judicial review and relief
pursuant to Article 78 of the Civil Practice Law and Rules of the
State of New York.
§ 44-10 Supersession of state law.
Whenever the requirements of this chapter are inconsistent with
the provisions of § 808 of the General Municipal Law, the
more restrictive provisions or those imposing higher standards shall
govern.
§ 44-11 Construal of provisions.
A.
No existing right or remedy shall be lost, impaired, or affected
by reason of this chapter.
B.
Nothing in this chapter shall be deemed to bar or prevent a present
or former County officer or employee from timely filing any claim,
account, demand, or suit against the County on behalf of himself/herself
or any member of his/her family arising out of personal injury or
property damage or any lawful benefit authorized or permitted by law.
C.
If any provision of this chapter is held by a court of competent
jurisdiction to be invalid, that decision shall not affect the validity
and effectiveness of the remaining provisions of this chapter.
§ 44-12 Distribution and posting.
A.
Within 90 days after the effective date of this chapter and thereafter
as appropriate, the Board of Ethics shall transmit to the Ulster County
Legislature and Clerk of the Legislature, in a form suitable for posting,
copies of those provisions of this chapter which the Board of Ethics
deems necessary for posting in the County of Ulster. Within 10 days
after receipt of those copies, the Clerk of the Legislature shall
cause the copies to be posted conspicuously where public notices are
generally posted.
B.
Within 90 days after the effective date of this chapter and thereafter
as appropriate, the Board of Ethics shall transmit to the Clerk of
the Legislature, in a form suitable for distribution, copies of those
provisions of this chapter which the Board of Ethics deems necessary
for distribution to the officers and employees of the County. Within
10 days after receipt of those copies, the Clerk of the Legislature
shall cause the copies to be distributed to every officer and employee
of the County and made readily available to the public. Every County
officer or employee elected or appointed thereafter shall be furnished
a copy of those provisions within 10 days after entering upon the
duties of his/her position.
C.
Failure of the County to comply with the provisions of this section
or failure of any County officer or employee to receive a copy of
those provisions of this chapter shall have no effect on the duty
of compliance with this chapter or on the enforcement of its provisions.