The purposes of this chapter are to:

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.

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:

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).

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.

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.

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.

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.

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.

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.

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.

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.

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.

Disclosure regarding contract with employment of relatives and domestic partners.

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.

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.

Prohibited interests.

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.

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.

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.

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.

Time and place for filing. Annual disclosure statements shall be filed with the Clerk of the County Legislature:

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.

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.

The annual disclosure form shall be acknowledged and notarized and in substantially the form which is annexed hereto and made a part hereof as Appendix A.[1]

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.

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.

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.

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.

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.

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.

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.

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.

Establishment.

Qualifications.

Powers and duties.

The Board of Ethics shall also have the following powers and duties:

No existing right or remedy shall be lost, impaired, or affected by reason of this chapter.

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.

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.

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.

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.

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.