[HISTORY: Adopted by the Board of Supervisors of Saratoga
County 1-20-1998 by L.L. No. 1-1998. Amendments noted where applicable.]
The Board of Supervisors of the County of Saratoga hereby adopts a Code of Ethics for the guidance of its officers, employees, appointees and volunteers setting forth standards of conduct reasonably expected of them and, pursuant to Subdivision 3 of § 812 of the General Municipal Law, requiring those officers, employees, appointees and volunteers classified or designated in Attachment A hereto [1]to annually file an Attestation and a completed Financial
Disclosure Statement. This chapter shall hereafter be referred to
as the "Saratoga County Code of Ethics."
[1]
Editor's Note: Attachment A is included at the end of this chapter.
As used in this chapter, the following terms shall have the
meanings indicated:
A direct or indirect pecuniary or material benefit accruing
to a municipal officer or employee as the result of a contract with
the municipality which such officer or employee serves. For the purposes
of this chapter, a municipal officer or employee shall be deemed to
have an interest in the contract of:[1]
His spouse, minor children and dependents, except a contract
of employment with the municipality which such officer or employee
serves;
A firm, partnership or association of which such officer or
employee is a member or employee;
A corporation of which such officer or employee is an officer,
director or employee; and
A corporation any stock of which is owned or controlled directly
or indirectly by such officer or employee.
An official, employee, appointee or volunteer of the County of Saratoga, whether paid or unpaid, who is a member of one or more of the boards, commissions, departments or agencies which serve the County, as listed in Attachment A.[2] The Board of Supervisors is hereby authorized to add by
resolution such other individuals or entities as it deems appropriate.
The husband or wife of the official, employee, appointee
or volunteer unless living separate and apart from the spouse with
the intention of terminating the marriage, providing for permanent
separation or unless separated pursuant to a judicial order, decree
or judgment or a legally binding separation agreement.
Any son, daughter, stepson or stepdaughter who is less than
18 years of age, unmarried, and living in the household of the official,
appointee or volunteer.
[2]
Editor's Note: Attachment A is included at the end of this chapter.
A.
Prohibited activities. All County officials, employees, appointees
and volunteers must avoid conflicts of interest or potential conflicts
of interest. A conflict or potential conflict exists whenever such
person has knowledge, actual or constructive, that he or she has or
will foreseeably have any interest, direct or indirect, which conflicts
with his or her duty to the County or which could adversely affect
the individual's judgment in the discharge of his or her County
responsibilities. No official, employee, appointee or volunteer shall:
(1)
Take any action in his or her official capacity in the discussion,
negotiation or the awarding of any contract or in any business or
professional dealings with the County of Saratoga or any agency thereof
in which he or she had, has or will have any interest, direct or indirect,
in such transaction.
(2)
Engage in, solicit, negotiate for or promise to accept private employment
or render services for his or her personal benefit when such employment
or service creates a conflict of interest or impairs the proper discharge
of his or her official duties.
(3)
Solicit, directly or indirectly, any gift, or receive or accept any
gift having the value of $75 or more, whether in the form of money,
services, loan, travel, entertainment, hospitality, thing or promise,
or in any other form, under such circumstances that it could be reasonably
inferred that the gift was intended or expected to influence him or
her in the performance of official duties or was intended as a reward
for any official action or inaction on his or her part.
(4)
Disclose confidential information acquired in the course of his or
her official duties or use such information to further his or her
personal interest.
(5)
Accept employment or engage in any business or activity which will
require him or her to disclose confidential information which he or
she has gained by reason of his or her County position.
(6)
Take action or fail to act on a matter before the County or any board,
department, agency or instrumentality thereof when, to his or her
knowledge, the performance of that action or failure to act would
provide a pecuniary or material benefit to himself or herself.
B.
Disclosure of interest.
(1)
Any official, employee, appointee or volunteer who at any time during
the last two years had or now has, or who will have or intends to
acquire a direct or indirect interest in any matter being considered
by the County of Saratoga or by any official, board, agency, officer
or employee of the County of Saratoga, and who participates in any
discussion with or gives an opinion or advice to any board, agency
or individual considering the same, shall publicly disclose forthwith
on the official record the nature and the extent of such interest.
(2)
Any person who, in his or her County capacity or function, is involved
in making any decision with respect to a matter in which he or she
has a conflict of interest or a potential conflict of interest may,
following disclosure of such interest, recuse himself or herself forthwith
from any further deliberation and decision making with respect to
the subject matter of the conflict.
C.
Annual review.
A.
County officials, employees, appointees and volunteers shall annually
file an Attestation and a Financial Disclosure Statement containing
the information required therein. Each shall be filed in the office
of the County Attorney by February 1 and shall cover the preceding
calendar year. Newly appointed or elected officials, employees, appointees
or volunteers whose duties commence on or after January 1 shall file
the forms within 30 days after the commencement of their duties. Within
30 days of any material change in his or her filed statement, each
individual shall file a duly signed amendment disclosing such change.
The County Attorney shall monitor the status of the filings for all
individuals and shall notify the Ethics Advisory Council of any failure
to file.
B.
The form of the Attestation shall be as set forth at the end of this
chapter.
C.
The form of the Financial Disclosure Statement shall be as set forth
at the end of this chapter.
D.
These forms shall be retained by the County Attorney for at least
seven years from the date of filing or as prescribed by the State
Commissioner of Education.
The Board of Supervisors recognizes that public access to filed
Financial Disclosure Statements enhances public confidence, deters
the existence or creation of conflicts of interest and assists in
the avoidance of such.
A.
Any person, organization or news media desiring to review a filed
Financial Disclosure Statement shall submit a written request to the
County Ethics Advisory Council which shall include the following:
B.
Any official, employee, appointee or volunteer whose Financial Disclosure
Statement has been inspected or copied shall be notified by the office
of the County Attorney as soon as practicable of the name and the
address of the applicant and/or the person or organization represented.
A.
The Ethics Advisory Council shall consist of five members, one only
of whom shall be an official or employee of Saratoga County or a municipality
located within the County and all of whom shall be appointed by the
Board of Supervisors. Each member shall be a County resident. The
Chair of the Ethics Advisory Council shall be selected by the Chair
of the Board of Supervisors for a term of one year. Appointment and
tenure of the Council members and Chair shall be deemed to be continuing
absent resignation by such member or Chair or removal by the Board
of Supervisors.
B.
Except as provided in Subsection A above, none of the Council's members may be an employee of the County of Saratoga or hold any elected public office, other than as an officer of a fire, fire alarm or fire protection district.
C.
Each member shall be appointed for a term of four years; however,
two of the original appointees shall be appointed to serve an initial
term of two years.
D.
Four members of the Ethics Advisory Council shall constitute a quorum
and the affirmative vote of at least three members shall be required
for action by the Council.
E.
The members of the Council shall not be compensated; however, they
may be reimbursed for reasonable expenses incurred in the performance
of their duties.
F.
Responsibilities.
(1)
The Ethics Advisory Council shall meet at the County Complex each
April and at such other times and places subject to the call of the
chair. At each meeting, an opportunity shall be provided for receipt
of complaints of unethical practices or other Ethics Code violations
which may be brought by any citizen. Any complaint must be written
and mailed or delivered on any business day during business hours
to the office of the County Attorney. No anonymous complaints will
be investigated. At its meeting in April, the Council shall review
all filed Attestations and Financial Disclosure Statements and determine
which employees, officials, appointees or volunteers have not complied
with the filing provisions herein and shall make a report of its findings
to the County Attorney.
(2)
The Council shall hear and determine upon the evidence presented
to it whether a conflict of interest, any impropriety or other violation
of this Ethics Code exists between the public duties of the official
or employee, appointee or volunteer and his or her private activities.
(3)
When the Council deems that a conflict of interest, any impropriety or appearance thereof or other violation of this Code exists it shall cause and direct that the relevant documents, information, and decision or opinion of the Council pertaining to such alleged conflict or impropriety of a particular individual shall be filed with the Ethics Board but only after compliance with provisions of Subsection F(4) herein. The Ethics Board shall accept such documents and information and maintain separate, appropriate files for each matter. Such files shall be kept in the office of the County Attorney for seven years or such time as prescribed by regulation of the Commissioner of Education.
(4)
Prior to such disclosure and transfer of the matter to the Ethics
Board, the Council shall specify, by written opinion, its findings
of facts and its conclusions and set forth reasons which justify notification
and transfer of the matter to the Ethics Board. Prior to the filing
of the opinion with the Ethics Board, a copy shall be mailed to the
individual by certified mail, return receipt requested. The individual
may respond, rebut or otherwise refute the opinion of the Council,
either in writing, personally, by counsel or any combination thereof
before the Council at a time and place which shall be specified by
the Council. The failure to respond within 21 days from the date the
opinion is mailed to him or her shall constitute a waiver by the individual
of the opportunity for such response. The Council then may, in its
discretion, amend, revise or rewrite its opinion or rescind such opinion
by a majority vote of the entire membership.
(5)
In addition to its other powers, the Council may recommend in writing
to the individual a manner of resolution of such conflict of interest
or appearance of impropriety. An affidavit by the individual detailing
compliance with those recommendations may provide sufficient reason
for the Council's rescission of its prior actions, including
a decision to transfer the matter to the Ethics Board. The affidavit
of compliance must be delivered to the Council in care of the County
Attorney at the time and place specified in the Council's certified,
return receipt requested letter to such individual. Any recommendation
and failure by an individual to comply with it shall be disclosed
to the Ethics Board. Nothing herein shall be construed to impose upon
the Council a duty to make any recommendation to any individual.
(6)
The Council may accept and consider written requests from officials,
employees, appointees or volunteers for advisory opinions regarding
conflicts of interests or the appearance thereof. If the Council renders
an advisory opinion, it shall be in writing and directed to the official,
employee, appointee or volunteer making such request with copies thereof
to be sent to the County Administrator and the County Personnel Officer.
Such advisory opinions shall be deemed to be in the nature of personnel
matters and shall remain confidential except as provided for herein.
(7)
The Council may extend the filing date of a Financial Disclosure
Statement upon written request addressed to the Council care of the
County Attorney's office setting forth facts showing justifiable
cause or undue hardship. The Council, by majority vote, may grant
additional extensions of time to file and shall impose time limitations
upon such extensions.
(8)
The Council may permit an official, employee, appointee or volunteer
to delete from his or her Financial Disclosure Statement one or more
items of information upon a finding by a majority of the Council that
the information which would otherwise be required to be disclosed
has no material bearing on the discharge of the duties of the individual.
In this connection, when requested, the Council may issue advisory
opinions.
(9)
Notwithstanding the provisions of Article VI of the Public Officers
Law, the only records of the Ethics Advisory Council available for
public inspection are Attestation and Financial Disclosure Statements
filed pursuant to this Ethics Code.
A.
The Ethics Board of the County of Saratoga shall consist of five
members, one only of whom shall be an elected or appointed official
or employee of Saratoga County or a municipality located within the
County and all of whom shall be appointed by the Board of Supervisors.
Each appointee must be a County resident. The Chair of the Ethics
Board shall be selected by the Chair of the Board of Supervisors for
a term of one year. Appointment and tenure of the Board members and
the Board Chair shall be deemed to be continuing absent resignation
by such member or Chair or removal by the Board of Supervisors.
B.
Except as provided in Subsection A above, none of the members of the Ethics Board may be an employee of the County of Saratoga or hold any elected public office other than as an officer of a fire, fire alarm or fire protection district.
C.
Each member shall be appointed for a term of four years; however,
two of the original appointees shall be appointed to serve an initial
term of two years.
D.
Four members of the Ethics Board shall constitute a quorum and an
affirmative vote of at least three members shall be required for action
by the Board.
E.
The members of the Ethics Board shall not be compensated; however,
they may be reimbursed for reasonable expenses incurred in the performance
of their duties.
F.
Responsibilities.
(1)
The Ethics Board shall meet upon the call of the chair, or to organize,
or when a matter is transferred to it by the Council together with
all documentation and written opinion. In any event, the Ethics Board
shall meet annually in April. At its meetings, the Ethics Board shall
receive and consider Financial Disclosure Statements, complaints and
other matters transferred to it by the Ethics Advisory Council.
(2)
The Ethics Board shall hear and determine upon the evidence presented to it whether a violation of this Ethics Code has been established by a fair preponderance of the evidence. An audio tape record of all proceedings before the Ethics Board shall be maintained and a transcript of such record may be requested at the discretion of the Board. The recording requirements shall not apply to the deliberations of the Board. The Board shall specify, by written opinion, its findings of fact and conclusions as to whether there has been a violation and/or misconduct in accordance with the provisions of this subsection. Upon such a finding, the Board shall direct that all relevant information be filed with the Board of Supervisors but only after compliance with Subsection F(3) herein. The findings and conclusions will constitute a public record available to anyone who makes proper application to examine such record. The Board of Supervisors shall receive such information and shall maintain separate files for each matter and take such action as it deems appropriate.
[Amended 12-15-1998 by L.L. No. 3-1998]
(3)
Prior to the filing of such findings of fact and conclusions, a copy
of such shall be mailed to the official, employee, appointee or volunteer
by certified mail, return receipt requested. The individual may respond,
rebut or otherwise refute the decision and/or opinion, the findings
of fact and conclusions of the Ethics Board, either in writing, personally,
by counsel or any combination thereof, at a time and place specified
by the Board. The failure of the individual to respond within 21 days
from the mailing to him or her of the Ethics Board's decision
and/or opinion shall constitute a waiver by the individual of the
opportunity for response. The Ethics Board then may, in its discretion,
amend, revise, or rescind its decision and/or opinion, findings of
fact and conclusions, by a majority vote of its entire membership.
(4)
In addition to its other powers, the Ethics Board may recommend in
writing to the individual a manner in which the conflict of interest,
impropriety, or appearance thereof, or other violations of this code,
may be resolved. An affidavit by the individual, detailing compliance
with those recommendations, may provide sufficient reason for the
Ethics Board to rescind its decision to file the matter with the Board
of Supervisors. The affidavit must be delivered to the Ethics Board
in care of the office of the County Attorney at a time and place set
forth in the Board's certified, return receipt requested letter
to such individual. Any recommendation and the failure of the individual
to comply therewith shall be disclosed to the Board of Supervisors.
(6)
In addition to any other powers and duties specified by this Ethics
Code, the Ethics Board is hereby granted the power and duty to conduct
any investigations necessary to carry out its responsibilities. Pursuant
to this power and duty, the Ethics Board may administer oaths or affirmations,
subpoena witnesses and compel the attendance of witnesses and require
the production of any books or records which the Ethics Board deems
relevant or material.
(7)
Notwithstanding the provisions of Article VI of the Public Officers
Law, the only Ethics Board records available for public inspection
are:
A.
Grounds for suspension or dismissal.
(1)
If any official, employee, appointee or volunteer refuses or fails
to file a Financial Disclosure Statement required by this Ethics Code,
the Ethics Board shall notify the Board of Supervisors of such refusal
or failure. Upon such notification, the Board of Supervisors may suspend
the individual with or without pay. The individual shall be given
notice of suspension by certified mail return receipt requested and
a copy of such notice shall be provided to the Ethics Board. Such
notice shall also inform the individual that the required Financial
Disclosure Statement is not on file with the Ethics Board in care
of the County Attorney and must be filed forthwith. Once filed, the
Ethics Board shall promptly so notify the Board of Supervisors which
may then reinstate the individual and may release any monies withheld
pursuant to this section.
(2)
Notwithstanding any other possible penalties imposed by this section,
the following shall be deemed violations of this Ethics Code and/or
misconduct in office and grounds for suspension and/or dismissal by
the appropriate authority:
(a)
The failure of any individual to file the required Financial
Disclosure Statement within 15 days of the mailing of written notice,
by certified mail, return receipt requested, that such individual
has failed to file such statement;
(b)
A determination by the Ethics Board, after a hearing, that an
official, employee, appointee or volunteer has filed a Financial Disclosure
Statement with intent to deceive or intentionally misrepresent the
information contained therein; or
[Amended 12-15-1998 by L.L. No. 3-1998]
(c)
The false answering of any information demanded by the Financial
Disclosure Statement, including but not limited to intentional failure
to disclose such information.
(3)
Upon receipt of findings and conclusions of the Ethics Board that there is reasonable cause to believe that a violation and/or misconduct in accordance with the provisions of § 42-7F(2) has occurred, the Board of Supervisors may then take any action it deems appropriate, including suspension or dismissal of the offending individual.
[Amended 12-15-1998 by L.L. No. 3-1998]
B.
If the Ethics Board determines after a hearing that an official or
employee has filed a statement with intent to deceive or has intentionally
misrepresented, otherwise fraudulently answered any questions set
forth in the Financial Disclosure Statement, or has intentionally
withheld any information required by the Statement, and if such deception
or misrepresentation is found to be both intentional and material,
then such individual may be assessed a civil penalty of not more than
$10,000 by the Ethics Board. An assessment of a civil penalty will
be final unless suspended or vacated within 30 days of imposition
by the Ethics Board.
C.
It is a violation of this Ethics Code for any individual, except
the individual who files such Financial Disclosure Statement, to disclose
any information contained on a Financial Disclosure Statement except
as authorized by this Ethics Code. A civil action may be brought by
the Ethics Board against any organization or individual who or which
violates this subsection.
D.
Nothing in this Section shall be construed to preclude the prosecution
of officials, employees, appointees or volunteers for any violation
of law or any offense, criminal or civil, pursuant to the laws of
the State of New York.
A copy of this Saratoga County Ethics Code shall be filed as
required by General Municipal Law § 806.
