City of Albany, NY
Albany County
[HISTORY: Adopted by the Common Council of the City of Albany 1-5-1989. Amendments noted where applicable.]

§ 54-1 Title.

This chapter shall be known as the "City of Albany Financial Disclosure Ordinance."

§ 54-2 Purpose.

The purpose of this chapter is to comply with § 806 of the General Municipal Law of the State of New York and to provide guidelines and criteria for financial disclosure for those persons to whom this chapter is applicable.

§ 54-3 Declaration of policy.

It is hereby declared the policy of the City of Albany:
A. 
To recognize that the citizens of the City of Albany are entitled to a high standard of conduct from their public servants.
B. 
To provide to the citizens of the City of Albany a City government that is administered free from any conflicts of interest by an employee which affect the integrity of City government.
C. 
To discourage conflicts of interest and the appearance of impropriety.
D. 
To instill in the public a sense of confidence, integrity and impartiality in its public servants.

§ 54-4 Definitions.

For the purpose of this chapter, the following definitions shall apply:
CLERK
The Albany City Clerk.
COMMITTEE
The Committee on Ethical Standards and Conduct of Officers and Employees of the City of Albany.
EMPLOYEE
The Mayor, Comptroller, Treasurer, Common Council President and members, Corporation Counsel, Budget Director and all department heads and deputies.
INTEREST
Any legal or equitable interest, whether or not subject to an encumbrance or condition, which was owned or held in whole or in part, jointly or severally, directly or indirectly, at any time during the preceding 12 months for which a required statement is to be filed pursuant to this chapter. It shall include, but not be limited to, any information required in the verified statement of public disclosure.
STATEMENT
The statement and contents therein as set forth in § 54-5 of this chapter, which is required to be filed pursuant to this chapter.

§ 54-5 Financial disclosure statement.

[Amended 12-17-2001 by Ord. No. 37.91.00[1]]
The financial disclosure statement shall be as follows:
CITY OF ALBANY-ANNUAL STATEMENT OF
FINANCIAL DISCLOSURE
FOR CALENDAR YEAR
NAME
HOME ADDRESS
TITLE OF POSITION
DEPARTMENT/AGENCY
BUDGET CODE
MARITAL OR DOMESTIC PARTNER STATUS
SPOUSE'S OR DOMESTIC PARTNER'S FULL NAME
NAMES OF UNEMANCIPATED CHILDREN
The following chart will be used for the completion of the disclosure form:
MONETARY CATEGORIES
A. UNDER $10,000 B. $10,001 TO $50,000 C. Over $50,000
1. PRIMARY SOURCE OF INCOME
Name of employer
Address of employer
Salary range (letter only)
1A. OPTIONAL SPOUSE OR DOMESTIC PARTNER INFORMATION
Name of employer
Address of employer
Salary range (letter only)
2. ADDITIONAL SOURCES OF EMPLOYMENT INCOME IN AMOUNTS OVER $10,001.
Name of employer
Address of employer
Salary range (letter only)
2A. OPTIONAL SPOUSE OR DOMESTIC PARTNER INFORMATION
Name of employer
Address of employer
Salary range (letter only)
3. ALL INTEREST AND DIVIDEND INCOME
List all sources of income
List annual amount after each source (letter only)
Interest income: names and addresses of bank/financial institutions where accounts are registered
3A. OPTIONAL SPOUSE OR DOMESTIC PARTNER INFORMATION
List all sources of income
List annual amount after each source (letter only)
Interest income: names and addresses of banks/financial institutions where accounts are registered
4. REAL ESTATE HOLDINGS
Address of properties (street number, City, state-other specific information)
Estimated value of ALL real estate holdings (letter only)
4A. OPTIONAL SPOUSE OR DOMESTIC PARTNER INFORMATION
Address of properties (street number, City, state-other specific information)
Estimated value of ALL real estate holdings (letter only)
5. DEBTS AND/OR LIABILITIES
List all debts and/or liabilities in excess of $10,001. (DO NOT list moneys for the following: matrimonial action, credit card charges, educational loans, home mortgages/home improvement loans, home equity loans, auto loans, recreational vehicle loans, furniture or appliance loans.)
Name of creditor and type of liability
5A. OPTIONAL SPOUSE OR DOMESTIC PARTNER INFORMATION
List all debts and/or liabilities in excess of $10,001. (DO NOT list moneys for the following: matrimonial action, credit card charges, educational loans, home mortgages/home improvement loans, home equity loans, auto loans, recreational vehicle loans, furniture or appliance loans.)
Name of creditor and type of liability
6. OFFICES OR POSITIONS HELD
List any office, trusteeship, directorship or position of ANY nature, whether compensated or uncompensated, held by you with ANY firm, corporation, association, partnership or other organization who or which is known by you to do or have any matter pending with, or be licensed or regulated by, any City of Albany department, agency, authority or commission.
Position held
Name of firm, organization, corporation, etc.
6A. OPTIONAL SPOUSE OR DOMESTIC PARTNER INFORMATION
List any office, trusteeship, directorship or position of ANY nature, whether compensated or uncompensated, held by you with ANY firm, corporation, association, partnership or other organization who or which is known by you to do or have any matter pending with, or be licensed or regulated by, any City of Albany department, agency, authority or commission.
Position held
Name of firm, organization, corporation, etc.
7. CONFLICT OF INTEREST DISCLAIMER
To recognize that the citizens of the City of Albany are entitled to a high standard of conduct from their public servants and to provide to the citizens of the City of Albany a City government that is administered free from any conflicts of interest by an employee which affect the integrity of City government and to discourage conflicts of interest and the appearance of impropriety and to instill in the public a sense of confidence, integrity and impartiality in its public servants, I affix my signature as evidence of this declaration.
Signature
Date
7A. OPTIONAL SPOUSE OR DOMESTIC PARTNER DECLARATION
Signature
Date
[1]:
Editor's Note: This ordinance provided that it take effect 1-1-2003.

§ 54-6 Filing of statement required.

Each and every employee set forth in § 54-4 shall file a financial disclosure statement.

§ 54-7 Authorized repository for annual statements.

The Committee on Ethical Standards and Conduct of Officers and Employees of the City of Albany shall be the authorized repository for completed annual statements of financial disclosure.

§ 54-8 Procedure for filing statements.

Completed annual statements of financial disclosure shall be filed at the City Clerk's office. The City Clerk shall forward all statements to the Committee.

§ 54-9 Filing date.

A. 
The completed financial disclosure statement shall be filed on or before the 15th day of May with respect to the preceding calendar year.
B. 
Extension of time to file may be granted by the Committee due to justifiable cause or undue hardship. The Committee shall prescribe rules and regulations related to such exceptions with respect to extensions and additional periods of time within which to file such statements, including the imposition of a time limitation upon such extensions.
C. 
In the event that a person shall become an employee as defined in § 54-4, such person shall file a financial disclosure statement within 120 days of becoming an employee. Thereafter, subsequent financial disclosure statements shall be filed in accordance with this section.

§ 54-10 Rules and regulations.

The Committee shall have the authority to promulgate rules and regulations necessary to carry out the purposes of this chapter.

§ 54-11 Civil penalty.

A reporting employee who knowingly and willfully fails to file an annual statement 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 shall be assessed a civil penalty in an amount not to exceed $500. Assessment of a civil penalty hereunder shall be made by the Committee. The Committee may adopt rules governing the conduct of adjudicatory proceedings relating to the assessment of the civil penalty herein authorized. The rules shall provide for due process procedural mechanisms.

§ 54-12 Public inspection of statements.

Every financial disclosure statement, except for amounts or value, shall be available for public inspection pursuant to the provisions of the Freedom of Information Law (Public Officers Law, Articles 6 and 6-A).

§ 54-13 Severability.

If any section of this chapter or the application thereof to any person or circumstance shall be adjudged invalid by a court of competent jurisdiction, such order or judgment shall be confined in its operation to the controversy in which it was rendered and shall not affect or invalidate the remainder of any provision of any section or the application of any part thereof to any other person or circumstances, and, to this end, the provisions of each section of this chapter are hereby declared to be severable.

§ 54-14 Effective date.

This chapter shall take effect January 1, 1990. The form may be used at the option of each employee for the calendar year of 1989.

§ 54-15 Environmental significance.

The enactment of this chapter is determined to be a Type II action having no adverse impact upon the environment.