[HISTORY: Adopted by the County Legislature of the County
of Ulster 5-17-2022 by L.L. No. 2-2022.[1] Amendments noted where applicable.]
[1]
Editor's Note: This local law repealed former Ch. 44, Ethics
and Disclosure, adopted 12-10-2008 by L.L. No. 11-2008, as amended.
A.ย
Title. This chapter shall be known as and may be cited as the "Ulster
County Ethics Law." This local law[1] amends, repeals and entirely replaces Ulster County Code Chapter 44 (adopted by the County Legislature of the County of Ulster December 10, 2008, by Local Law No. 11-2008, and known as the "Ulster County Ethics and Disclosure Law"); this law also repeals Ulster County Charter ยงยงย 105 through 107 and Administrative Code ยงยงย 33-1 through 33-3 and amends and replaces those Charter and Administrative Code sections with the text specified in Section 15.[2]
B.ย
Purpose.
(1)ย
Officers and employees of the County of Ulster hold their positions
to serve and benefit the public and not for obtaining unwarranted
personal or private gain in the exercise and performance of their
official powers and duties. The County of Ulster recognizes that,
in furtherance of this fundamental principle, there is a need for
clear and reasonable standards of ethical conduct.
(2)ย
The purposes of this chapter are to:
(a)ย
Establish standards of ethical conduct for officers, employees
and consultants of Ulster County;
(b)ย
Provide officers, employees and consultants of Ulster County,
whether elected or appointed, paid or volunteer, with clear guidance
on such standards;
(c)ย
Promote public confidence and integrity in the agencies and
administrative offices of our local government;
(d)ย
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
(e)ย
Provide for the fair and effective administration of this chapter.
C.ย
This chapter is enacted pursuant to ยงย 806 of the General
Municipal Law of the State of New York and ยงย 10 of the Municipal
Home Rule Law and is not intended to, nor shall it authorize any conduct
prohibited by, Article 18 of the General Municipal Law.
Unless otherwise stated or unless the context otherwise requires,
the following terms shall, for the purpose of this chapter, have the
meaning herein indicated:
Communicating in any form, including, without limitation,
personally, through another person, by letter, or by telephone or
electronic means for compensation or pro bono (professional services
rendered for the public good or on behalf of those who cannot afford
them for little or no compensation), other than those involving ministerial
acts.
The Board of Ethics of the County of Ulster, reestablished and reconstituted pursuant to ยงย 44-4 of this chapter.
The Commissioner of Finance or other officer having similar
powers and duties.
Any child or stepchild of a County officer or employee.
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.
Any work performed or goods delivered by a person or entity
to the customer or client under mutual agreement of the two parties
and provided the transaction has been finalized, without dispute,
by the two parties.
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.
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:
An individual when serving in his or her capacity as a judge,
justice, officer or employee of the court system; or
A member of an advisory board of the County if, but only if,
the advisory board has no authority to implement its recommendations
to act on behalf of the County, or to restrict the authority of the
County to act.
Any person for whom a County officer or employee has directly
supplied contractual goods/services during the previous 24 months.
The giving of some item of value, or the use of income from property, without expecting to receive something of at least equal value in return. An interest-free or reduced-interest loan or the sale of an item for less than fair market value also constitute the making of a gift. "Gift" does not include campaign contributions authorized by law or other items or services otherwise excluded as gifts as provided for in ยงย 44-5F of this chapter.
Shall include a spouse, unemancipated child or person claimed
as a dependent on the County officer's or employee's latest
individual or joint state income tax return or unrelated persons who
are continually or at regular intervals living, or in the preceding
calendar year continually or at regular intervals lived, in the same
household, including an individual who may not be related to another
person in the same household legally, or biologically, but who has
provided for the person's basic needs, or regularly cares for
that person.
A direct or indirect pecuniary or material benefit accruing
to a County officer or employee as the result of a contract with the
County of Ulster which such officer or employee serves. "Interest"
does not include any benefit arising from the provision or receipt
of any services generally available to the residents or taxpayers
of the County of Ulster, any political subdivision of the County of
Ulster, or a lawful class of such residents or taxpayers. "Interest"
does not include any negotiated or contracted benefits or entitlements
that are procured for the benefit of any County employee(s) or officers.
(For example, union membership, health insurance, vision and dental
benefits, deferred compensation, disability benefits; please note,
this list is not exclusive).
For purposes of this chapter, a County officer or employee shall
be deemed to have an interest in the contract of:
Their spouse, unemancipated children, dependents, and members
of the household except a contract of employment with the County which
such officer or employee serves;
A firm, partnership, company, or association of which such officer
or employee is a member or employee of;
A corporation of which such officer or employee is an officer,
director or employee; and
A corporation, any stock of which is owned and controlled directly
or indirectly by such officer or employee, where such officer or employee
owns 10% or more of outstanding stock or membership units but shall
not include any publicly traded corporation.
An expenditure to acquire property or other assets in order
to produce revenue or for financial gain; the placing of capital or
laying out of money in a way intended to secure income or profit from
its employment.
An elected official of the political subdivision (County
Executive, District Attorney, County Clerk, Sheriff, Comptroller,
and Legislators), except judges or justices of the Unified Court System.
An action performed in a prescribed manner without the exercise
of judgment or discretion as to the propriety of the act.
Any organization organized under the New York Not-for-Profit
Corporation Law.
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;
Any entity, other than the County, of which the County officer
or employee is a member, officer, director, or employee and from which
they receive compensation for services rendered or goods sold or produced;
or
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 10% of the outstanding stock or company membership
units.
For purposes of this definition, "compensation" shall not include
reimbursement for necessary expenses, including travel expenses or
allowances.
Both individuals and entities.
Shall have the same meaning as the term "party" as contained
in ยงย 1-104 of the NYS Election Law.
Any person or entity with whom a County officer or employee
that is subject to this chapter has sought employment from, or to
contract with as an independent contractor, within the past 12 months.
Any person or entity with whom the immediate family member of
such County officer or employee has sought employment from, or to
contract with as an independent contractor, within the past 12 months,
to the extent that such County officer or employee has actual knowledge
of such immediate family member actually seeking such employment from
(or contract with) such person or entity.
The phrase "past 12 months" shall not refer to the 12 months
preceding the adoption of this chapter but the 12 months preceding
the matter giving rise to the conduct that permits or disallows a
contract or expenditure under this chapter.
Any brother, sister, half-brother or half-sister, stepbrother
or stepsister, or equivalently related nonbinary persons, of a County
officer or employee.
The subordinate of a County officer or employee means another
County officer or employee over whose activities they have direction,
supervision, or control, either directly or indirectly (for example,
the subordinate of a subordinate), except those who serve in positions
that are in the exempt classification under ยงย 41 of the
Civil Service Law of the State of New York or in the unclassified
service under Subdivisions (a) through (f) of ยงย 35 of that
law.
Any child or stepchild of a County officer or employee living
in the household of the reporting individual, or is claimed or could
be claimed by law on the state income tax returns of the reporting
individual as a dependent.
Ulster County Charter ยงยงย 105 through 107, Administrative Code ยงยงย 33-1 through 33-3 and Code Chapter 44 (adopted by the County Legislature of the County of Ulster December 10, 2008, by Local Law No. 11-2008, and known as the "Ulster County Ethics and Disclosure Law") are repealed upon the effective date of this chapter; provided, however, that nothing, including this section, shall prohibit the prosecution, continuation, hearing, determination or enforcement of any matter, including potential or pending cases, arising under the said preexisting Charter, Administrative Code and Code sections of the County of Ulster, for actions or inactions done or not done as the case may be, by those subject to said preexisting Charter, Administrative Code and Code sections of the County of Ulster, prior to the effective date of this chapter. All fines, penalties and criminal and civil liability, as the case may be, shall remain in full force and effect and available for prosecution, hearing, determination and enforcement by the Board of Ethics reestablished under ยงย 44-4 hereof, under such repealed preexisting Charter, Administrative Code and Code sections of the County of Ulster, for any applicable actions or inaction of those subject to such law as if such law remained in full force and effect for actions taken or inaction prior to the effective date of this chapter.
B.ย
Membership; qualification of Board members; removal.
(1)ย
Appointment and confirmation. The Board of Ethics shall consist of
seven members, appointed by the County Executive, one of whom shall
be nominated by the Chair of the Ulster County Legislature, one of
whom shall be nominated by the Majority Leader of the Ulster County
Legislature, one of whom shall be nominated by the Minority Leader
of the Ulster County Legislature, three of whom shall be nominated
by the County Executive of Ulster County, and one of whom shall be
nominated by the Board of Ethics once all other members have been
seated. Of the three nominated by the Chair, Majority Leader and Minority
Leader of the Ulster County Legislature, no more than two shall be
of the same enrolled party affiliation. Of the three nominated by
the County Executive, no more than two shall be of the same enrolled
party affiliation. All appointments shall be confirmed by the Legislature.
If the Executive fails to appoint a nominee nominated by the Chair,
Majority Leader or Minority Leader within 30 days after written notice
of the nomination is delivered to the Executive's Office, said
nominee(s) shall be deemed appointed, unless written notice articulating
the basis for the Executive's decision not to appoint is received
by the Clerk of the Legislature prior to the expiration of said thirty-day
period. In the event of the failure to gain approval or in the instance
of the creation of a vacancy, such succeeding member shall be determined
by the entity from which the original member was selected.
(2)ย
Residency and eligibility requirements. All members of the Board
of Ethics shall reside in the County of Ulster and be eligible to
register to vote in Ulster County. Enrollment in a political party
shall be deemed effective in conformance with Article 5 of Election
Law of the State of New York. No member shall currently serve as a
federal, state, County, or local elected official or County employee,
or concurrently hold the office of Chair, First Vice Chair, Second
Vice Chair, Secretary or Treasurer, or Sergeant at Arms in a federal,
state or Ulster County political party. At least one member of the
Board of Ethics shall be an employee of a Town, Village or City within
the County of Ulster. Nothing in this section shall preclude eligibility
for service on the Ulster County Board of Ethics by duly elected Fire
Commissioners, and/or members of School or Library Boards, solely
by virtue of their election to said office.
(3)ย
Term of office.
(a)ย
The members of the Board of Ethics shall serve staggered five-year
terms. At the expiration of the term of office of any member of the
Board of Ethics, said member shall continue to serve until reappointed
or replaced by a new member.
[1]ย
The members shall first be appointed to serve as follows:
[a]ย
The first member nominated by the County Executive shall serve
for five years, the second member nominated by the County Executive
shall serve for four years, and the third member nominated by the
County Executive shall serve for three years, as determined by the
order the nominations are filed with the Clerk of the Legislature;
and
[b]ย
The member nominated by the Chair of the Legislature shall serve
for five years; and
[c]ย
The member nominated by the Majority Leader serve for three
years; and
[d]ย
The member nominated by the Minority Leader serve for four years;
and
[e]ย
The member nominated by the Board of Ethics shall serve for
a term of five years.
(b)ย
Each term shall commence on September 1, 2022. Thereafter, each
member shall be nominated for a term of five years by the County Executive,
Chair, the Majority Leader or the Minority Leader, according to the
original manner of nomination.
(4)ย
Vacancies. Vacancies in the Board of Ethics shall be filled in the
manner the vacated position was initially appointed and for the balance
of the unexpired term.
(5)ย
Removal of Board members. In addition to the penalties defined specifically
for violation of this chapter, and other pertinent sections of local,
state and federal law, members of the Board of Ethics may be removed
for cause by the County Executive upon his or her own initiative,
or upon the recommendation to the County Executive by a vote of at
least two-thirds of the members of the Legislature. Prior to removal,
the Board of Ethics member shall be given written notice of the grounds
for removal and an opportunity to demand and receive an adjudicatory
proceeding before a neutral and disinterested hearing officer to be
provided by the Ulster County Attorney. Said proceeding shall be conducted
according to the "Regulations for Adjudicatory Proceedings" formulated
and adopted by the Ulster County Legislature. In the event that a
removal proceeding is so commenced, the Ulster County Attorney shall
provide notice thereof to the Legislative Counsel and Minority Counsel.
(6)ย
Compensation. 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.
(7)ย
Hiring of staff and consultants.
(a)ย
The Board of Ethics shall be responsible for the hiring or retaining
of any staff or consultants to the Board of Ethics consistent with
civil service and other applicable laws and within appropriations
made therefor. The Secretary to the Board of Ethics shall not be a
member of the Board of Ethics.
(b)ย
The Board of Ethics may engage outside counsel as necessary
and as provided for within designated budget appropriations. Legislative
Counsel, Minority Counsel, and the County Attorney or Attorneys may
not serve as such outside counsel.
(c)ย
The Board of Ethics shall utilize special counsel in reviewing
and/or advising on and/or acting on any matter relating to an attorney
actually engaged in the practice of law who is employed by Ulster
County. Neither such special counsel nor the counsel's firm shall
have appeared in a case during the two years preceding the matter
referred to the Board of Ethics, where such Ulster-County-employed
attorney or the individual's office or department has appeared.
(8)ย
Organization and meeting requirements. The Board of Ethics shall
elect a Chair and other officers from among its members. The Chair
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. Four members of
the Board shall constitute a quorum and shall be required for the
purpose of conducting a meeting. Unless otherwise provided by law,
a concurring vote of four members shall be required for the Board
to take action.
C.ย
Render advisory opinions. The Board of Ethics shall render advisory
opinions to existing or prospective 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 Law"), and the Charter and 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.
(1)ย
To whom opinions may be issued. An advisory opinion shall be rendered
on the request of an existing or prospective County officer or employee
or supervisory official of a County officer or employee and shall
apply only to such person. 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.
(2)ย
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 person. The Board of Ethics
shall endeavor in all circumstances to render an advisory opinion
within 10 business days from the date in which the Board of Ethics
determines that it has received sufficient information to render such
opinion but shall do so within 30 days from the date of receiving
all such sufficient information, unless the person seeking the opinion
consents to an extension and agrees to not engage in the action which
triggered the request for an opinion during the pendency of the request
for an opinion.
(3)ย
Advisory Opinions to be summarized as part of the Annual Report.
The Board of Ethics shall provide a summary of the advisory opinions
issued in each year as part of the Board of Ethics annual report.
The advisory opinions of the Board shall be maintained on an annual
and cumulative basis.
D.ย
Receive information and act on the same. The Board may 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.
(1)ย
Complaints to be signed. All such complaints shall be signed.
(2)ย
Complaints to remain Confidential unless Violation. All such complaints
or allegations are to be kept in the confidential records of the Board
by the Board unless made public by the Board after a determination
of a violation has been made.
(3)ย
Ethics Board member to bring forward an allegation or complaint of
a conflict of interest. To the extent that a Board member personally
receives information of an allegation or complaint of a conflict of
interest based upon information and belief, then such member of the
Board of Ethics shall bring the complaint forward for review and investigation
by the Board of Ethics. Such member may continue to participate in
the review of the allegation or complaint only so long as such member
is not a witness but only forwarded an allegation received. The members
of the Ethics Board shall be entitled to the source of the information
and belief of the allegation or complaint, which information may be
chosen to be kept confidential by the Ethics Board to the extent permitted
by law.
(4)ย
Should the Board determine, by a two-thirds vote of its members,
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 or alleged violation of
this chapter. 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 30 days to respond either
orally or in writing and shall have the right to be represented by
counsel or any other person. The Board of Ethics shall have the authority
to grant an additional 30 days at its sole discretion.
(5)ย
If, after consideration of the response of the officer or employee,
the Board determines by a two-thirds vote of its members 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 and/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.
(6)ย
If the Board determines, by clear and convincing evidence and by
a two-thirds vote of its members, 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.
(7)ย
The Board's findings and conclusions and order shall be provided
to the County officer or employee. A copy shall also be provided to
the County officer or employee's supervisor or department head,
where applicable. If it is determined that the person who was the
subject of the hearing violated this chapter, the Board's findings
and conclusions and order shall be made public, at a minimum by inclusion
in the annual report. If it is determined that the person who was
the subject of the hearing did not violate this chapter, the Board's
findings and conclusions and order shall not be made public, unless
specifically requested by the person who was the subject of the hearing.
(8)ย
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.
(9)ย
Remedy Not Exclusive. 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.
(10)ย
Dismissal of Complaint. 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.
E.ย
Meetings of Board and hearings by Board.
(1)ย
Meetings of the Board shall conform to Article 7 (Open Meetings Law)
of the Public Officers Law.
(2)ย
Confidentiality of Hearings/Meetings relating to possible violation
of this chapter. 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 written
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.
F.ย
Regulations for adjudicatory proceedings and appeals. The Ulster
County Legislature hereby adopts regulations governing the conduct
of adjudicatory proceedings and appeals relating to the proceedings
authorized herein, including the assessment of the civil penalties
herein authorized, which are appended to this chapter as Appendix
C. Such regulations shall provide for the due process procedural mechanisms
substantially similar to those set forth in Article 3 of the State
Administrative Procedure Act, but such mechanisms need not be identical
in terms of scope.
G.ย
Appointment of hearing officers. In January of each calendar year,
the Board of Ethics shall select a panel of five individuals, licensed
to practice law in the State of New York, to serve as hearing officers
during the calendar year.
H.ย
Right to counsel. 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
or such other person as may be provided by a collective bargaining
agreement with Ulster County applicable to such person.
I.ย
Other powers of Board. In addition to other powers and duties provided
for herein, the Board:
(1)ย
May make recommendations with respect to this chapter or amendments
thereto upon its own motion or upon the request to the Ulster County
Executive, the Ulster County Legislature, or both;
(2)ย
Shall promulgate rules and regulations governing its own organization
and procedures, except as prescribed herein;
(3)ย
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 and County Attorney
within 10 days of their adoption;
(4)ย
Shall administer the provisions of this chapter;
(5)ย
Shall review, index and maintain all annual disclosure statements
filed with the Board of Ethics.
(6)ย
Shall prepare and submit an annual report to the Ulster County Executive
and Legislature summarizing the activities of the Board of Ethics,
listing any recommended changes to the text or administration of this
chapter.
(7)ย
Shall provide for public inspection of certain records. The 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 other state or federal
law or regulation.
J.ย
Waiver.
(1)ย
A County officer or employee may apply for a waiver request from any of the standards set forth herein upon a showing of compelling need, except as set forth herein in Subsection J(2).
(2)ย
No waiver shall be granted from the filing of the annual disclosure
statement.
(3)ย
The Board of Ethics shall acknowledge receipt of the waiver request
within five business days of said receipt. The Board of Ethics shall
endeavor to render its decision to grant or deny the waiver within
10 business days from the date in which the Board of Ethics determines
that it has received sufficient information to render its decision.
The Board of Ethics may grant a waiver of all or of part of any such
request. The request for a waiver shall be deemed abandoned if the
County officer or employee fails to provide such information within
the time frames established by the Board of Ethics.
(4)ย
A waiver request form will be available from the Secretary of the
Ethics Board.
K.ย
Referral by local boards to Board of Ethics. 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.
A.ย
General prohibition. A County officer or employee, whether or not
required to file an ethics disclosure form as otherwise provided for
herein, shall not use an official County position or office or take
or fail to take any action in a matter which is known or has reason
to be known may provide a personal financial benefit or secure unwarranted
privileges or exemptions for any person, employer, business, or prospective
employer of any person.
B.ย
Recusal by officers and employees.
(1)ย
A County officer or employee shall promptly recuse themselves from
acting on a matter before the County when knowingly acting on the
matter, or knowingly failing to act on the matter, may cause a direct
or indirect pecuniary or material benefit to:
(a)ย
Such person;
(b)ย
The outside employer, business, or prospective employer of such
County officer or employee;
(c)ย
The outside employer, business, or prospective employer of an
immediate family member of the County officer or employee; an immediate
family member; or a customer or client of any such person.
C.ย
Representation. No County officer or employee shall appear as attorney
or counsel against the interest of the County in any litigation in
which the County is a party, or any County officer or employee acting
in the course of official duties is a party. This section shall not
prohibit a County officer or employee from representing themselves
in any action against the County of Ulster. This section shall not
apply to an elected official representing themselves, in any litigation,
action or proceeding in which the elected official has standing and
authority to participate by virtue of their capacity as an elected
official. This section shall not apply to an elected official who
represents themselves in an Election Law matter. For County officers
who are not County employees, this prohibition shall apply only to
the department or agency served by the County officer. This section
may be waived in accord with the New York Rules of Professional Conduct.
D.ย
Appearances. A County employee shall not appear before any agency
or department of the County except on the individual's own behalf
or on behalf of the County or on behalf of the individual's constituent(s)
in the case of an elected official or attorney therefor. A County
officer shall not appear before the department or agency served by
the County officer of the County except on the individual's own
behalf or on behalf of the County or on behalf of the individual's
constituent(s) in the case of an elected official or attorney thereof.
This section shall not apply to appearances before Ulster County courts.
E.ย
Hiring practices ("antinepotism") and disclosure regarding contract
relationship and County employment of immediate family members and/or
members of the household.
(1)ย
No County officer or employee with actual authority to cause the
hiring of any person shall participate in any decision to hire any
immediate family member and/or member of the household, excluding
hires made pursuant to civil service examinations.
(2)ย
Such actual authority shall be presumed even if the person extending
the offer of employment is not the immediate family member of the
person being hired if the person or persons extending the offer of
employment is appointed by or serves at the pleasure of the immediate
family member or member of the household of the person being hired.
(3)ย
Definition of "immediate family member" expanded for antinepotism.
Every County officer and employee related equal to or closer in degree,
by blood or marriage, than first cousin, and members of the household,
to any person(s) seeking a contractual relationship with the County
or seeking employment within any department, section or function of
the County shall promptly disclose such relationship upon learning
of such relationship or the seeking of such relationship.
(4)ย
The disclosure requirements of this section shall be made in writing,
directed to the Chair of the Board of Ethics, and shall be made upon
learning of such relationship or the seeking of such relationship.
The disclosure requirements shall also be provided to the relevant
department head/supervisor.
F.ย
Prohibition on acceptance of gifts.
(1)ย
A County officer or employee shall not accept or solicit any gift
or gifts having an aggregate value of $75 or more in any twelve-month
consecutive period from the same individual or entity, nor shall a
County officer or employee accept or solicit any gift or financial
benefit 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 the individual's official duties or was
intended to be a reward for any official action by the individual.
(2)ย
The following are excluded from the definition of a gift:
(a)ย
Complimentary attendance, at a value greater than $75, including
food and beverage, at bona fide charitable or political events, provided
that such value shall be disclosed on the Annual Statement of Financial
Disclosure Form;
(b)ย
Complimentary attendance, food and beverage offered by the sponsor
of a widely attended event. The term "widely attended event" shall
mean an event which at least 25 individuals other than members, officers,
or employees from the governmental entity in which the public official
serves attend or were, in good faith, invited to attend, and which
is related to the attendee's duties or responsibilities or which
allows the public official to perform a ceremonial function appropriate
to their position. For the purposes of this exclusion, a public official's
duties or responsibilities shall include but not be limited to either:
[1]ย
Attending an event or a meeting at which a speaker or attendee
addresses an issue of public interest or concern as a significant
activity at such event or meeting; or
[2]ย
For elected public officials, or their staff attending with
or on behalf of such elected officials, attending an event or a meeting
at which more than 1/2 of the attendees, or persons invited in good
faith to attend, are residents of the County, district or jurisdiction
from which the elected public official was elected;
(c)ย
Awards, plaques, and other ceremonial items which are publicly
presented, or intended to be publicly presented, in recognition of
public service, provided that the item or items are of the type customarily
bestowed at such or similar ceremonies and are otherwise reasonable
under the circumstances, and further provided that the functionality
of such items shall not determine whether such items are permitted
under this subsection;
(d)ย
An honorary degree bestowed upon a public official by a public
or private college or university or school;
(e)ย
Promotional items having no substantial resale value such as
pens, mugs, calendars, hats, and t-shirts which bear an organization's
name, logo, or message in a manner which promotes the organization's
cause;
(f)ย
Goods and services, or discounts for goods and services, offered
to the general public or a segment of the general public defined on
a basis other than status as a public official and offered on the
same terms and conditions as the goods or services are offered to
the general public or segment thereof;
(g)ย
Gifts from a family member, member of the same household, or
person with a personal relationship with the public official, including
invitations to attend personal or family social events, when the circumstances
establish that it is the family, household, or personal relationship
that is the primary motivating factor; in determining motivation,
the following factors shall be among those considered:
[1]ย
The history and nature of the relationship between the donor
and the recipient, including whether or not items have previously
been exchanged;
[2]ย
Whether the item was purchased by the donor; and
[3]ย
Whether or not the donor at the same time gave similar items
to other public officials; the transfer shall not be considered to
be motivated by a family, household, or personal relationship if the
donor seeks to charge or deduct the value of such item as a business
expense or seeks reimbursement from a client;
(h)ย
Contributions reportable under Article 14 of the Election Law,
including contributions made in violation of that article of the Election
Law;
(i)ย
Travel reimbursement or payment for transportation, meals and
accommodations for an attendee, panelist or speaker at an informational
event or informational meeting when such reimbursement or payment
is made by a governmental entity or by an in-state accredited public
or private institution of higher education that hosts the event on
its campus; provided, however, that the public official may only accept
lodging from an institution of higher education:
(j)ย
Provision of local transportation to inspect or tour facilities,
operations or property located in New York State or in an adjoining
state; provided, however, that such inspection or tour is related
to the individual's official duties or responsibilities and that
payment or reimbursement for expenses for lodging or travel expenses
to and from the locality where such facilities, operations or property
are located shall be considered to be gifts unless otherwise permitted
under this subdivision;
(k)ย
Meals or refreshments when participating in a professional or
educational program and the meals or refreshments are provided to
all participants;
(l)ย
Food or beverage valued at $20 or less, and in no event shall
the total value of such food or beverage exceed $75 in any twelve-month
consecutive period from the same individual or entity; and
(m)ย
Payment by any for-profit or nonprofit association or organization
which the County officer or employee receives professional training
or assistance from and is directly related to their position or duties;
by way of example and not limitation, if the New York State Association
of Counties provides a partial or whole payment for a County officer
or employee to attend a seminar, meeting, or training session, the
same is not a gift;
(n)ย
Professional advice with respect to issues that come before
the County of Ulster which has a monetary value.
(3)ย
Nothing herein shall permit the acceptance of any travel costs, services,
or reimbursement thereof without permission from the County Executive
or such other County officer or employee based on personnel or other
policies of the County.
G.ย
Political solicitation. No County officer or employee shall, directly
or indirectly, use their authority or official influence to compel
or induce any subordinate of the officer or employee to participate
in an election campaign or contribute to a political committee.
H.ย
Maintenance of confidential information.
(1)ย
The New York State Freedom of Information Law (Public Officers Law
ยงย 87, Subdivision 2) describes information that is not required
to be released under the Freedom of Information Law. This description
should guide County employees and officers as to the information that
may be considered confidential. Confidential information under this
chapter does not exceed the bounds for confidential information set
by Public Officers Law ยงย 87, Subdivision 2. Before a County
employee or officer discloses information that may be considered confidential,
the individual is encouraged to seek a written determination from
the Department's Records Access Officer. The Department's
Records Access Officer may seek an opinion from the County Attorney
or his/her designee prior to making a determination.
(2)ย
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 than the possessor's association with the County.
I.ย
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,
including but not limited to solicitation of employment with any County
contractor for themselves, their spouse, or a child member of the
household if such officer or employee has discretion to award a contract
to such contractor or has appropriate money for such specific contract
(but not a contract awarded under an appropriation in the annually
adopted County budget).
J.ย
Prohibition of inducement of others. A County officer or employee
shall not induce or aid an officer or employee of the County to violate
any of the provisions in this chapter.
K.ย
Investments by County officers/employees. A County officer or employee
shall not knowingly invest or knowingly hold any investment directly
or indirectly in any business, financial, commercial or other private
transaction doing business with the County of Ulster which would create
a conflict with the individual's official duties.
L.ย
Related prohibitions. No officer or employee shall take action or
participate in any manner whatsoever in an official capacity in the
discussion, negotiation or the awarding of any contract or in any
business or professional dealings with the County of Ulster or any
agency thereof in which the official or employee, an immediate family
member, or member of their household has or will have an interest,
direct or indirect, in such contract or professional dealings.
A.ย
Prohibited interests.
(1)ย
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 New York State General Municipal Law ยงย 801.
(2)ย
Unless the contract is required by law to have been so awarded, a
contract entered into between the County and the prospective employer
or outside employer of any person who appropriated funds for such
contract, other than as part of the adopted annual County budget,
or any employee who recommended such contract or approved such contract,
shall be null, void, and wholly unenforceable.
(3)ย
Unless the contract is required by law to have been so awarded, a
contract willfully entered into by or with the County and the prospective
employer or actual employer of any immediate family member of a person
who appropriated funds for such contract, other than as part of the
adopted annual County budget, or any employee who played a role in
recommending such contract for approval or approved such contract,
shall be null, void, and wholly unenforceable.
(4)ย
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 General Municipal Law ยงย 804.
(5)ย
Any contract willfully entered into by or with the County where an
officer or employee violated the provisions of this chapter due to
the relationship (or in the case of a prospective employer, the prospective
relationship) between such officer or employee or immediate family
member or a member of the household of such officer or employee shall
be null, void, and wholly unenforceable.
B.ย
Disclosure of interest. In accordance with General Municipal Law
ยงย 803, any County officer or employee who has, will have,
or later acquires an interest in or whose spouse or a member of the
household 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
file with the individual's immediate supervisor, if they have
a supervisor, and the Clerk of the County Legislature as soon as the
individual has knowledge of such actual or prospective interest and
in an annual ethics disclosure form if such form is required to be
filed as described 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 immediately file
a copy of such disclosure with the County Executive and the Board
of Ethics.
Annual disclosure will take place in accordance with General
Municipal Law ยงย 812, except the following provisions shall
be controlling:
A.ย
County officers, employees, and contractors 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 are employees of contractors and have the authority for policy-making
decisions, including but not limited to the list of titles and contractors
appended to this chapter as Appendix A, which may be amended from
time to time by resolution of the County Legislature. The list of
contractors includes the actual person, not the employer of such person
who performs substantive managerial or administrative functions as
a contracting party on behalf of Ulster County.
B.ย
County political party officials. The annual financial disclosure
statement shall also be required of the Chair, First Vice Chair, Second
Vice Chair, Treasurer and Secretary, and Sergeant at Arms of a County
political party, if such person or their successor in office received
compensation or reimbursement of expenses from a constituted committee
or political committee funds during the reporting period aggregating
a combined total of $30,000 or more.
C.ย
Any person who shall become a candidate for the office of any elected
official of Ulster County. The Ulster County Board of Elections shall
provide the Ulster County Personnel Department with a list of individuals
who have filed designating and/or nominating petitions within seven
days of the filing. A copy of this chapter and Statement of Financial
Disclosure Form shall be made available to the candidate by the Personnel
Department within seven days of receipt of the list. The disclosure
form shall be filed by the candidate within 14 days after receiving
the disclosure form.
E.ย
Changes in disclosed information. If it becomes apparent to any person
required to file an annual disclosure form that there was an error
in the same, the same shall be promptly corrected by filing an amended
form with the Board of Ethics.
F.ย
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 local law as provided for
in and in conformity with ยงย 811 or other applicable provisions
of the General Municipal Law. The Board of Ethics shall have the power
and authority to promulgate and amend the waiver request form from
time to time and provide a copy of same to the Ulster County Legislature.
All such forms shall be posted on the Board of Ethics webpage.
G.ย
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 B. The Legislature, may, by local law, amend such
form, and such updated form shall be transmitted by the Clerk of the
Legislature to the Chair of the Ethics Board for use in the following
calendar year or for use in such year as the amendment to the form
is made if made before April 1. Such revised form shall also be utilized
by new employees or officers who have not yet filed a disclosure form;
provided, however, that such new employee or officer shall have 60
days from commencing employment until when the revised form must be
filed.
H.ย
Maintenance of annual disclosure statements. The Secretary of the
Board of Ethics shall transmit to the Board of Ethics all annual disclosure
statements required by this chapter within five business days of receiving
such statements.
I.ย
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 member of the household or other person as required by this chapter 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 those efforts are set forth in the individual's annual disclosure statement.
J.ย
Distribution of disclosure form. On or before the first day of March
of each year, beginning with the year 2023 and thereafter, the Chair
of the Board of Ethics shall cause the annual statement of financial
disclosure to be distributed to those persons required to file the
same. The Chair of the Board of Ethics may request the assistance
of the Personnel Director, provided the County Executive concurs with
the same, in causing such dissemination to occur.
K.ย
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 an
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 extension of time actually
granted 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.
L.ย
Disclosure forms subject to Public Officers Law Article 6 ("Freedom
of Information Law"). Ethics disclosure forms of County elected officials
(County Executive, District Attorney, Sheriff, County Clerk, Comptroller
and Legislators) shall be posted on the Ulster County Board of Ethics
website. All other ethics disclosure forms shall be available for
inspection and photocopying in accordance with New York State Freedom
of Information Law. Prior to public disclosure of any ethics disclosure
form, the following personal information will be redacted: the address,
phone number, and email address of any person, the names of the employee
or officer's minor children, the signature of the filer and notary
and any other relevant information determined by the Ethics Board
as necessary or appropriate to be redacted for reasons relating to
the public safety of one or more persons or otherwise permitted to
be redacted under the Public Officers Law, on the Ethics Board's
own initiative, or upon the request of the officer or employee with
the consent of the Ethics Board, but only if such information is not
required to be made public pursuant to the Public Officers Law. The
Sheriff and County Attorney of Ulster County may be consulted by the
Ethics Board in making a determination relating to portions of forms
(or entire forms) not to be published.
M.ย
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.
A.ย
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 unenforceable, to the extent provided by
ยงย 804 of General Municipal Law or the provisions of this
chapter.
B.ย
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 or the value of any financial benefit obtained by
the violator or the spouse, child, or member of the household of the
violator of this chapter, whichever is greater, provided that multiple
violations of this chapter arising from the same common nucleus of
fact shall be deemed a single violation for the purposes of the imposition
of a civil penalty. 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.ย
Criminal penalties. For a violation of this chapter, the 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.ย
Disciplinary action. Any County officer or employee who violates
any provision of this chapter may be warned, reprimanded, suspended,
or removed from office or employment, and/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.
Employment solicitation. No officer or employee shall engage
in, solicit, negotiate for or promise to accept private employment
or render services for personal benefit when such employment or service
creates a conflict or impairs the proper discharge of the individual's
official duties.
A.ย
Six-month restriction for appropriators or authorizers. No County
officer or employee responsible for appropriating funds for the effectuation
of, or negotiating or authorizing a contract or signing a contract
may ask for, pursue or accept a private post-government employment
opportunity with any person or entity who actually received such contract
while the matter is pending or within 180 days following the final
disposition of the matter. Appropriating funds for the effectuating
of a contract shall relate to a specific matter, not voting generally
on the annual County budget.
B.ย
Two-year restriction. Unless requested in writing by the County Executive
or Chair of the Ulster County Legislature, no County officer or employee,
for the two-year period after serving as a County officer or employee,
may represent or render services to a private person or organization
in connection with any matter involving the exercise of discretion
before the municipal office, board, department or agency for which
the individual serves. The exercise of discretion does not relate
to ministerial matters.
C.ย
Waiver. The above provisions of this section may be waived by the
Board of Ethics upon a finding that:
(1)ย
An appropriating, negotiating or contracting person on behalf of
the County had no direct involvement with the selection of the contractor
or that the involvement was limited to issuing an approval of or appropriation
for a recommended contractor that the approver or appropriator was
not otherwise involved with the selection of; or
(2)ย
The restrictions set forth in this ยงย 44-9 would create a financial hardship for the County officer or employer.
(3)ย
The person seeking the waiver shall demonstrate their entitlement
to it by clear and convincing evidence presented to the Board of Ethics.
D.ย
Action by Board of Ethics against former employee. The Board of Ethics
provided by this chapter has the authority to act against any former
County officer or employee and levy fines or make referrals as if
such County officer or employee were still a County officer or employee
during the two-year period provided for herein, provided the said
Board of Ethics shall have commenced (on notice to such former employee
or officer) their review or investigation of the transaction giving
rise to the investigation or transaction within two years of such
officer's or employee's ceasing to be an Ulster County officer
or employee.
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.
The Personnel Director, with the assistance of the Ethics Board,
shall provide training to all officers or employees of Ulster County.
Such training may consist of written and/or audio or video presentations
or the dissemination of written materials. The training shall provide
illustrative, but nonexclusive, examples in relation to acceptable
and unacceptable gifts and when a County employee shall be required
to notify someone of a conflict or potential conflict.
Whenever the requirements of this chapter are inconsistent with
the provisions of Article 18 of the General Municipal Law, the more
restrictive provisions or those imposing higher standards shall govern.
A.ย
No existing right or remedy (including employees' rights provided
for in collective bargaining agreements) shall be lost, impaired,
or affected by reason of this chapter.
B.ย
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 themselves
or any member of their family arising out of personal injury or property
damage or any lawful benefit authorized or permitted by law.
C.ย
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.
A.ย
Within 90 days after the adoption 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 30 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.ย
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
30 days after receipt of those copies, the Clerk of the Legislature,
with the assistance of the Personnel Director, 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 upon entering upon the duties of the individual's
position.
C.ย
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 provision.