[HISTORY: Adopted by the Rockland County
Board of Supervisors 3-18-1963 by L.L. No. 1-1963; amended in its entirety 1-18-1971 by L.L. No.
1-1971. Subsequent amendments noted where applicable.]
Pursuant to the provisions of § 806
of the General Municipal Law, the Legislature of Rockland County recognizes
that there are rules of ethical conduct for public officers and employees
which must be observed if a high degree of moral conduct is to be
obtained and if public confidence is to be maintained in our unit
of local government. It is the purpose of this chapter to promulgate
these rules of ethical conduct for the officers and employees of the
County of Rockland. These rules shall serve as a guide for official
conduct of the officers and employees of the County of Rockland. The
rules of ethical conduct of this chapter, as adopted, shall not conflict
with, but shall be in addition to any prohibition of Article 18 of
the General Municipal Law or special law relating to ethical conduct
and interest in contracts of municipal officers and employees.
As used in this chapter, the following terms
shall have the meanings indicated:
A pecuniary or material benefit accruing to a municipal officer
or employee.
An officer or employee of the County of Rockland, whether
paid or unpaid, including members of any administrative board, commission
or other agency thereof. No person shall be deemed to be a "municipal
officer or employee" solely by reason of being a volunteer fireman
or civil defense volunteer, except a chief engineer or assistant chief
engineer.
A gift having a value in excess of $25.
Every officer or employee of the County of Rockland
shall be subject to and abide by the following standards of conduct:
A.
Gifts. He shall not, directly or indirectly, solicit,
accept or receive any valuable gift, whether in the form of money,
services, loan, travel, entertainment, hospitality, thing or promise,
or any other form, from any person, firm or corporation which, to
his knowledge, is interested, directly or indirectly, in any manner
whatsoever, in business or professional dealings with the County or
any agency thereof. He, further, shall not accept a gift of any kind,
regardless of the value thereof, under circumstances in which it could
reasonably be inferred that the gift was intended to influence him,
or could reasonably be expected to influence him, in the performance
of his official duties or was intended as a reward for any official
action on his part.
B.
Confidential information. He shall not disclose confidential
information acquired by him in the course of his official duties or
otherwise or use such information to further his personal interest
or the interest of others. This subsection shall apply during the
period of County affiliation as herein described and for a period
of two years thereafter.
C.
Conflicts of interest prohibited. No officer or employee
of the County of Rockland, whether paid or unpaid, shall:
(1)
Be or become interested, directly or indirectly, in
any manner whatsoever, except by operation of law, in any business
or professional dealings with the County or any agency thereof.
(2)
Act as attorney, agent, broker, representative or
employee for any person, firm or corporation interested, directly
or indirectly, in any manner whatsoever, in business or professional
dealings with the County or any agency thereof.
(3)
Accept other employment or engage in any business
transactions or make any investments, directly or indirectly, which
create a conflict with his official duties.
D.
Notwithstanding the provisions hereinbefore set forth,
any person serving the County or any agency thereof without compensation
shall not be prohibited from so serving by reason of financial, professional
or business interests unless such interest is in conflict with the
proper discharge of his official duties.
E.
Disclosure of interest. Any officer or employee of
the County of Rockland who has a direct or indirect financial or other
private interest in any matter being considered by the Legislature
of Rockland County or by any other official board, agency, officer
or employee of the County of Rockland and who participates in discussions
before or gives opinions to such Legislature of Rockland County, or
any other board, agency or individuals, shall publicly disclose on
the official record the nature and extent of such interest. Any officer
or employee of the County of Rockland who has knowledge of any matter
being considered by the Legislature of Rockland County, or any board,
agency officer or employee of the County of Rockland, in which he
has any direct or indirect financial or other private interest shall
be required to disclose, in writing, his interest to such Legislature,
board, agency, officer or employee and the nature and extent thereof.
F.
Private employment. He shall not engage in, solicit,
negotiate for or promise to accept private employment or render services
for private interests when such employment or service creates a conflict
with or impairs the proper discharge of his official duties.
G.
Future employment. No person who has served as an
officer or employee of the County of Rockland shall, within a period
of two years after the termination of such service or employment,
appear before any board or agency of the County or receive compensation
for any services rendered on behalf of any person, firm, corporation
or association in relation to any case, proceeding or application
with respect to which such person was directly concerned or in which
he personally participated during the period of his service or employment
or which was under his active consideration.
Nothing herein shall be deemed to bar or prevent
the timely filing by a present or former municipal officer or employee
of any claim, account, demand or suit against the County of Rockland
or any agency thereof on behalf of himself or any member of his family
arising out of any personal injury or property damage or for any lawful
benefit authorized or permitted by law.
A.
A violation of any of the provisions of this code
shall constitute cause for fine, suspension or removal from office
or employment in the form and manner provided by law.
[Amended 9-4-1990 by L.L. No. 11-1990]
A.
The County Executive shall cause a copy of this chapter
to be distributed to every affected elected official, officer and
employee of the County within 30 days after the effective date of
this chapter. Each affected officer and employee elected or appointed
thereafter or nominated for office shall be furnished a copy before
entering upon the duties of his or her office or employment or within
10 days after nomination.
B.
The Rockland County Board of Elections shall cause
a copy of this chapter to be distributed to every political party
official and to every candidate within 30 days after the effective
date of this chapter. Said Board shall also cause a copy of this chapter
to be distributed to each person receiving financial disclosure forms
from said Board pursuant to Article 14 of the Election Law.
[Amended 9-4-1990 by L.L. No. 11-1990; 11-20-1990 by L.L. No.
14-1990]
There is hereby created and established a Board
of Ethics of Rockland County. Such Board shall have the powers, duties,
responsibilities and obligations set forth hereafter. Such Board shall
consist of five members to be appointed by the County Executive, subject
to confirmation by the Legislature, all of whom shall reside in the
County of Rockland and shall serve without compensation. None of such
members shall be an elected or appointed officer or employee of the
County of Rockland. Of the members first appointed to the Board, one
shall hold office for the term of one year, one for the term of two
years, one for the term of three years, one for the term of four years
and one for the term of five years from and after his or her appointment.
Their successors shall be appointed for terms of five years from and
after the expiration of the terms of their predecessors in office.
The members of the Board shall elect a Chairperson.
[Amended 9-4-1990 by L.L. No. 11-1990]
A.
The Board of Ethics shall have the powers and duties
prescribed by Article 18 of the General Municipal Law and shall render
advisory opinions to the officers and employees of the County of Rockland
with respect to Article 18 of the General Municipal Law.
B.
The Board shall promulgate its own rules and regulations
as to its forms and procedures and shall maintain appropriate records
of its opinions and proceedings.
[Added 9-4-1990 by L.L. No. 11-1990]
For purposes of §§ 66-10 through 66-17 of this chapter, the following terms shall have the meanings set forth hereafter:
The Rockland County Board of Ethics; provided, however, that
for purposes of receiving and filing annual statements of financial
disclosure for reporting years 1990 and 1991 and for purposes of investigating
violations and enforcing the filing provisions of this chapter relating
to said reporting years, the term "Board of Ethics" or "Board" shall
mean the temporary State Commission on Local Government Ethics established
pursuant to § 813 of the General Municipal Law.
[Amended 5-7-1991 by L.L. No. 5-1991]
Applies to any person seeking a nomination, designation or
election as an elected official or political party official.
Remuneration in money, services, merchandise, loans, promise,
travel or any other form.
Any claim, account or demand against or agreement with the
County, expressed or implied, and includes the designation of a depository
of public funds and the designation of an official newspaper.
Rockland County.
Any of the following individuals, over half of whose support,
for the calendar year in which the taxable year of the reporting individual
begins, was received from the reporting individual (or is treated
under Section 152 of Title 26 of the United States Code as received
from the reporting individual):
A descendant of an unemancipated child;
A brother, sister, stepbrother or stepsister;
The father or mother of the reporting individual
or an ancestor of either;
A stepfather or stepmother of the reporting
individual;
A son or daughter of a brother or sister of
the reporting individual;
A brother or sister of the father or mother
of the reporting individual;
A son-in-law, daughter-in-law, father-in-law,
mother-in-law, brother-in-law or sister-in-law of the reporting individual;
or
An individual (other than an individual who
at any time during the reporting individual's taxable year was the
spouse of the reporting individual) who, for the taxable year of the
reporting individual, has as a principal place of abode the home of
the reporting individual and is a member of the reporting individual's
household.
An elected official of the County, and includes members of
the County Legislature and the County Executive.
A pecuniary or material benefit accruing to an officer or
employee as the result of a business or professional transaction with
the County which such officer or employee serves. For the purpose
of this Article, an officer or employee shall be deemed to have an
"interest" in the affairs of:
His or her spouse, children or dependents;
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; or
A corporation, any stock of which is owned or
controlled directly by such officer or employee.
Any activity of a unit respecting the grant, denial, renewal
or amendment of a license, permit or other form of permission conferring
the privilege to engage in:
An administrative act carried out in a prescribed manner
not allowing for substantial personal discretion.
[Amended 5-7-1991 by L.L. No.
5-1991; 10-15-1991 by L.L. No. 11-1991; 3-16-1993 by L.L. No.
2-1993]:
The elected officials of the County of Rockland;
The heads (other than local elected officials)
of any unit of the County except Rockland Community College and such
of their deputies and assistants who hold policy-making positions
as annually determined by the County Legislature by resolution;
The officers and employees of Rockland Community
College who hold policy-making positions as annually certified to
the County Legislature by the Board of Trustees of Rockland Community
College not later than the fifth day of January of each year and as
thereafter annually approved by the County Legislature by resolution;
The members of the Board of Ethics; and
The officers and employees of the County of
Rockland who hold the following professional licenses, whether or
not those persons practice their professions privately and whether
or not those persons use their licenses in the performance of their
County functions, provided that those persons' annual compensation
exceed $7,500:
Any chairman of a County committee elected pursuant to the
Election Law or designated by the rules of a County political committee
as the County Leader or Chairman of the Executive Committee, or by
whatever title designated, pursuant to the rules of such County committee
or, who in actual practice, possesses or performs the principal political
executive and administrative functions of said County committee or
has the power of general management over the affairs of such County
committee or the power to exercise the powers of the Chairman of such
County committee in accordance with the rules of such County committee.
The spouse, child, stepchild or stepparent or any person
who is a direct descendant of the grandparents of the reporting individual
or of the reporting individual's spouse.
The person required by this article to file an annual financial
disclosure statement.
The husband or wife of the reporting individual unless:
Any son, daughter, stepson or stepdaughter under the age
of 18, unmarried and living in the household of the reporting individual.
Any department, division, hoard, commission or bureau of
the County.
[Amended 4-2-1991 by L.L. No. 4-1991; 3-16-1993 by L.L. No.
2-1993; 4-1-2004 by L.L. No. 4-2004; 11-7-2007 by L.L. No.
17-2007; 1-22-2014 by L.L. No. 1-2014]
A.
Types of statements required.
(1)
Every elected official, officer, employee and political party official and every candidate for County elected office shall file an annual statement of financial disclosure containing such information and in such form as is set forth in § 66-11 of this chapter.
(2)
Any person who is required to file an annual statement of financial
disclosure shall also file a no conflicting interest or activity affidavit
at the same time. Any person who serves on a County board or commission
whose title is not listed in Schedule A[1] shall file a no conflicting interest or activity yearly and file same by the date set forth in § 66-10B in the form set forth in this chapter.
[1]
Editor's Note: Schedule A is included as an attachment to this chapter.
(3)
Refusal to file no conflicting interest or activity affidavit.
(a)
Anyone refusing to execute and affirm the accuracy of the statement
of no conflicting interest or activity shall be ineligible for appointment
to any County board, commission, committee or similar entity. In the
case of confirmations, this statement shall be signed at or before
the legislative committee meeting taking up and voting on said confirmation.
(b)
If any person required to file a no conflicting interest or
activity affidavit is presently appointed to any County board, commission,
committee or is employed by the County, and such individual presently
refuses to sign the aforesaid statement by the date set forth in this
statute, that person's appointment shall become immediately voidable
and upon resolution of the County Legislature passed by simple majority
such appointment (should such person continue to refuse to sign) shall
upon passage be void (terminated).
B.
Such statement shall be filed on or before the 15th day of May with
respect to the preceding calendar year, except that:
(1)
A person who is subject to the reporting requirements of this subsection
and who has timely filed with the Internal Revenue Service an application
for automatic extension of time in which to file his or her individual
income tax return for the immediately preceding calendar or fiscal
year shall nonetheless be required to file such financial disclosure
statement on or before May 15. However, such a person 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 supplementary statement of financial disclosure. Such supplementary
statement shall be filed on or before the seventh day after the expiration
of the period of such automatic extension of time within which to
file such individual income tax return, provided that failure to file
or to timely file such supplementary statement of financial disclosure
or the filing of an incomplete or deficient supplementary statement
of financial disclosure shall be subject to the notice and penalty
provisions of this chapter respecting annual statements of financial
disclosure as if such supplementary statement were an annual statement.
(2)
Candidates for County elected office who file designating petitions
for nomination, at a primary election shall file a financial disclosure
statement within two business days after the last day allowed by law
for the filing of designating petitions naming said candidates for
the next succeeding primary election.
(3)
Candidates for independent nomination for County elected office who
have not been designated by a party to receive a nomination shall
file a financial disclosure statement within two business days after
the last day allowed by law for the filing of individual nominating
petitions naming said candidates as candidates for County elected
official in the next succeeding general or special election.
(4)
Candidates for County elected office who receive the nomination of
a party for a special election shall file a financial disclosure statement
within two business days after the date of the meeting of the party
committee at which they are nominated.
(5)
Political party officials, and any other person required to file
a financial disclosure statement, who commence employment after May
15 of any year shall file such statement within 30 days after commencing
employment or of taking the position of political party official,
as the case may be.
(6)
A person who is subject to the filing requirement of both Subdivision
2 of § 73-a of the Public Officers Law and of this chapter
may satisfy the requirements of this chapter by filing a copy of the
financial disclosure statement filed pursuant to § 73-a
of the Public Officers Law with the Rockland County Board of Ethics
on or before the filing deadline provided in such § 73-a,
notwithstanding the filing deadline otherwise imposed by this subsection.
(7)
A person who is subject to the filing requirement of this chapter
from more than one political subdivision within Rockland County may
satisfy the requirements of this chapter by filing only one annual
financial disclosure statement with the Rockland County Board of Ethics.
If such political subdivision crosses one or more county boundary
lines, then such single filing may be made for any of the counties
in which one of such political subdivisions is located; provided,
however, that the Board of Ethics is notified of the name of the county
of such compliance by the person who is subjected to the filing requirements
of this chapter, within the time limit for filing specified in this
chapter.
(8)
A County elected official who is simultaneously a candidate for County
elected official shall satisfy the filing deadline requirements of
this subsection by complying only with the deadline applicable to
one who holds such County elected office.
(9)
A candidate whose name will appear on both a party designating petition
and on an independent nominating petition for the same office or who
will be listed on the election ballot for the same office more than
once shall satisfy the filing deadline requirements of this chapter
by complying with the earliest applicable deadline only.
(10)
Upon the request of any person subject to the filing requirement
of this chapter, the Board of Ethics shall grant an additional period
of time within which to file such statement, such additional period
not to exceed 15 days. Upon a showing to the Board of justifiable
cause or undue hardship, such initial additional period may be further
extended for a period not to exceed 15 days.
(11)
A person who is required to file an annual financial disclosure statement
with the Board of Ethics and who is granted an additional period of
time within which to file such statement due to justifiable cause
or undue hardship, in accordance with required rules and regulations
on this subject, shall file such statement within the additional period
of time granted.
C.
As used in this section, the terms "party," "committee" (when used
in conjunction with the term "party"), "designation," "primary," "primary
election," "nomination," "independent nomination," "ballot" and "uncontested
office" shall have the same meanings as those contained in § 1-104
of the Election Law.
D.
The annual financial disclosure statement shall be submitted to the
Board of Ethics in a sealed envelope or via e-mail to the e-mail address
designated by the Board. The Board shall keep, as a matter of public
record, a log of all such filings by name and date on which such filing
was received. The Board shall open the same to determine that said
form is complete. Thereafter, the Board shall keep electronic copies
of the filings in a secured location except as hereafter provided.
F.
The Board of Ethics shall obtain from the Rockland County Board of
Elections lists of all candidates for County elected office and, from
such lists, shall determine and officially publish lists of those
candidates who have not, within two days after the required date for
filing a financial disclosure statement, filed the statement required
by this chapter.
A.
Form A. The annual statement of financial disclosure shall contain
the information and shall be in the form set forth below:
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ANNUAL STATEMENT OF FINANCIAL DISCLOSURE FOR COUNTY OF ROCKLAND
Calendar Year _______
(PURSUANT TO COUNTY OF ROCKLAND LOCAL LAW NO. 11 OF 1990, AS
AMENDED)
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1.
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Name
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2.
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(a)
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Title of Position
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(b)
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Department, Agency or other Governmental Entity
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(c)
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Address of Present Office
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(d)
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Office Telephone Number
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3.
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(a)
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Marital Status _______. If married, please give spouse's full
name including maiden name where applicable.
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(b)
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List the names of all unemancipated children.
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Answer each of the following questions completely, with respect
to calendar year, unless another period or date is otherwise specified.
If additional space is needed, attach additional pages.
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Whenever a "value" or "amount" is required to be reported herein,
such value or amount shall be reported as being within one of the
following Categories: Category A - under $50,000; Category B - $50,000
to under $100,000; Category C - $100,000 to under $250,000; Category
D - $250,000 or over.
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A reporting individual shall indicate the Category by letter
only.
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For the purposes of this statement, anywhere the term "local
agency" shall appear, such term shall mean a local agency of the County
of Rockland, as defined in § 810 of the General Municipal
Law.
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4.
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List any office, trusteeship, directorship, partnership, or
position of any nature, including honorary positions, if known, and
excluding membership positions, whether compensated or not, held by
the reporting individual, or by the spouse or unemancipated child
of the reporting individual, with any firm, corporation, association,
partnership, or other organization other than the State of New York
or Rockland County. If said entity was licensed by any state or local
agency, was regulated by any state regulatory agency or local agency,
or, as a regular and significant part of the business or activity
of said entity, did business with, or had matters other than ministerial
matters before, any state or local agency, list the name of any such
agency.
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Self,
Spouse
or Child
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Position
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Organization
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State or Local Agency
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5.
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List the name, address and description of any occupation, employment,
trade, business or profession engaged in by the reporting individual,
or by the spouse or unemancipated child of the reporting individual.
If such activity was licensed by any state or local agency, was regulated
by any state regulatory agency or local agency, or, as a regular and
significant part of the business or activity of said entity, did business
with, or had matters other than ministerial matters before, any state
or local agency, list the name of any such agency.
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Self,
Spouse
or Child
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Position
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Name and Address
of Organization
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Description
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State or
Local Agency
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6.
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List any interest, in excess of $1,000, excluding bonds and
notes, held by the reporting individual, such individual's spouse
or unemancipated child, in any contract made or executed by a state
or local agency. An "interest" includes membership in a partnership
or ownership of more than 10% of the stock of a corporation. Include
the name of the entity which holds such interest and the relationship
of the reporting individual or such individual's spouse or such child
to such entity and the interest in such contract. Do not list any
interest in any such contract on which final payment has been made
and all obligations under the contract except from guarantees and
warranties have been performed; provided, however, that such an interest
must be listed if there has been an ongoing dispute during the calendar
year for which this statement is filed with respect to any such guarantees
or warranties. Do not list any interest in a contract made or executed
by a state agency after public notice and pursuant to a process for
competitive bidding or a process for competitive requests for proposals.
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Self,
Spouse
or Child
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Entity
Which Held
Interest in
Value of
Contract
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Relationship
to Entity
and Interest
in Contract
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Contracting
State or
Agency
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Category
of Value
of Local
Contract
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7.
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List any position the reporting individual held as an officer
of any political party or political organization, as a member of any
political party committee, or as a political party district leader.
The term "party" shall have the same meaning as "party" in the Election
Law. The term "political organization" means any party or independent
body as defined in the Election Law or any organization that is affiliated
with or a subsidiary of a party or independent body.
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8.
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(a)
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If the reporting individual practices law, is licensed by the
Department of State as a real estate broker or agent or practices
a profession licensed by the Department of Education, give a general
description of the principal subject areas of matters undertaken by
such individual. Additionally, if such an individual practices with
a firm or corporation and is a partner or shareholder of the firm
or corporation, give a general description of principal subject areas
of matters a undertaken by such firm or corporation. Do not list the
name of the individual clients, customers or patients.
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(b)
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List the name, principal address and general description or
the nature of the business activity of any entity in which the reporting
individual or such individual's spouse had an investment in excess
of $1,000, excluding investments in securities and interests in real
property.
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9.
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For this reporting period, list each source of gifts, excluding
campaign contributions, in excess of $1,000, received by the reporting
individual or such individual's spouse or unemancipated child from
the same donor, excluding gifts from a relative. Include the name
and address of the donor. The term "gifts" does not include reimbursements,
which term is defined in Item 10. Indicate the value (by category)
and nature of each
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Self,
Spouse
or Child
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Name of
Donor
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Address
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Category
of
Nature
of Gift
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Category
of
Value
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10.
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Identify and briefly describe the source of any reimbursements
for expenditures, excluding campaign expenditures and expenditures
in connection with official duties reimbursed by the political subdivision
for which this statement has been filed, in excess of $1,000 from
each such source. For purposes of this item, the term "reimbursements"
shall mean any travel-related expenses provided by nongovernmental
sources and for activities related to the reporting individual's official
duties, such as speaking engagements, conferences, or fact-finding
events. The term "reimbursements" does not include gifts reported
under Item 9.
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Source
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Description
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11.
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List the identity and value, by category, if reasonably ascertainable,
of each interest in a trust, estate or other beneficial interest,
including retirement plans other than retirement plans of the State
of New York or the City of New York, and deferred compensation plans
established in accordance with the Internal Revenue Code, in which
the reporting individual held a beneficial interest in excess of $1,000
at any time during the preceding year. Do not report interests in
a trust, estate or other beneficial interest established by or for,
or the estate of, a relative.
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Identity
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Category of Value*
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*The value of such interest shall be reported only if reasonably
ascertainable.
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12.
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(a)
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Describe the terms of, and the parties to, any contract, promise,
or other agreement between the reporting individual and any person,
firm, or corporation with respect to the employment of such individual
after leaving office or position (other than a leave of absence).
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(b)
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Describe the parties to and the terms of any agreement providing
for continuation of payments or benefits to the reporting individual
in excess of $1,000 from a prior employer other than the political
subdivision for which this statement is filed. (This includes interests
in or contributions to a pension fund, profit-sharing plan, or life
or health insurance; buyout agreements; severance payments; etc.).
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13.
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List below the nature and amount, by category, of any income
in excess of $1,000 from each source for the reporting individual
and such individual's spouse for the taxable year last occurring prior
to the date of filing. "Nature of income" includes, but is not limited
to, salary for government employment, income from other compensated
employment, whether public or private, directorships and other fiduciary
positions, contractual arrangements, teaching income partnerships,
honorariums, lecture fees, consultant fees, bank and bond interest,
dividends, income derived from a trust, real estate rents, and recognized
gains from the sale or exchange of real or other property. Income
from a business or profession and real estate rents shall be reported
with the source identified by the building address in the case of
real estate rents and otherwise by the name of the entity and not
by the name of individual customers, clients or tenants, with the
aggregate net income before taxes for each building address or entity.
The receipt of maintenance received in connection with a matrimonial
action, alimony and child support payments shall not be listed.
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Self/Spouse
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Source
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Nature
|
Category of Amount
|
|---|---|---|---|
|
| |||
|
| |||
|
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|
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|
14.
|
List the sources of any deferred income in excess of $1,000
from each source to be paid to the reporting individual following
the close of the calendar year for which this disclosure statement
is filed, other than deferred compensation reported in Item 11, above.
Deferred income derived from the practice of a profession shall be
listed in the aggregate and shall identify as the source, the name
of the firm, corporation, partnership or association through which
the income was derived, but shall not identify individual clients.
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Source
|
Category of Amount
|
|---|---|
|
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|
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|
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|
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15.
|
List each assignment of income in excess of $1,000 and each
transfer other than to a relative during the reporting period for
which this statement is filed for less than fair consideration of
an interest in a trust, estate or other beneficial interest, securities
or real property, by the reporting individual, in excess of $1,000,
which would otherwise be required to be reported herein and is not
or has not been so reported.
|
|
Item Assigned
or Transferred
|
Assigned or
Transferred to
|
Category
of Value
|
|---|---|---|
|
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|
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|
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|
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16.
|
List below the type and market value of securities held by the
reporting individual or such individual's spouse from each issuing
entity in excess of $1,000 at the close of the taxable year last occurring
prior to the date of filing, including the name of the issuing entity.
Do not include securities held by the reporting individual issued
by a professional corporation. Whenever an interest in securities
exists through a beneficial interest in a trust, the securities held
in such trust shall be listed only if the reporting individual has
knowledge thereof except where the reporting individual or the reporting
individual's spouse has transferred assets to such trust for his or
her benefit. In that event, such securities shall be listed unless
they are not ascertainable by the reporting individual because the
trustee is under an obligation or has been instructed in writing not
to disclose the contents of the trust to the reporting individual
(e.g., a "blind trust"). Securities of which the reporting individual
or the reporting individual's spouse is the owner of record, but in
which such individual or the reporting individual's spouse has no
beneficial interest, shall not be listed. Indicate percentage of ownership
if the reporting person or the reporting person's spouse holds more
than 5% of the stock of a corporation in which the stock is publicly
traded, or more than 10% of the stock of a corporation in which the
stock is not publicly traded. Also list securities owned for investment
purposes by a corporation, more than 50% of the stock of which is
owned or controlled by the reporting individual or such individual's
spouse. For the purpose of this item, the term "securities" shall
mean bonds, mortgages, notes, obligations, warrants and stocks of
any class, investment interests in limited or general partnerships
and certificates of deposits, and such other evidences of indebtedness
and certificates of interest as are usually referred to as "securities."
|
|
The market value for such securities shall be reported only
if reasonably ascertainable and shall not be reported if the security
is an interest in a general partnership that was listed in Item 8(a)
or if the security is corporate stock, not publicly traded, in a trade
or business of a reporting individual or a reporting individual's
spouse.
|
|
Self/
Spouse
|
Issuing
Entity
|
Type of
Security
|
Category of Market
Value as of the Close
of the Taxable Year
Last Occurring Prior to
the Filing of This
Statement
|
Percentage of
Corporate
Stock
Owned or
Controlled
|
|---|---|---|---|---|
|
| ||||
|
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|
| ||||
|
| ||||
|
| ||||
|
17.
|
List below the location, size, general nature, acquisition date,
market value and percentage of ownership of any real property in which
any vested or contingent interest in excess of $1,000 is held by the
reporting individual or the reporting individual's spouse. Also list
real property owned for investment purposes by a corporation more
than 50% of the stock of which is owned or controlled by the reporting
individual or such individual's spouse. Do not list any real property
which is the primary or secondary personal residence of the reporting
individual or the reporting individual's spouse, except where there
is a co-owner who is other than a relative.
|
|
Self/
Spouse/
Other
Party
|
Location
|
Size
|
General
Nature
|
Acquisition
Date
|
Category of
Market
Value
|
Percentage
of
Ownership
|
|---|---|---|---|---|---|---|
|
| ||||||
|
| ||||||
|
| ||||||
|
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| ||||||
|
18.
|
List below all notes and accounts receivable, other than from
goods or services sold, held by the reporting individual at the close
of the taxable year last occurring prior to the date of filing and
other debts owed to such individual at the close of the taxable year
last occurring prior to the date of filing, in excess of $1,000, including
the name of the debtor, type of obligation, date due and the nature
of the collateral securing payment of each, if any, excluding securities
reported in Item 16, above. Debts, notes and accounts receivable owed
to the individual by a relative shall not be reported.
|
|
Name of Debtor
|
Type of Obligation,
Date Due, and
Nature of Collateral,
if any
|
Category
of Amount
|
|---|---|---|
|
| ||
|
| ||
|
| ||
|
| ||
|
| ||
|
19.
|
List below all liabilities (e.g., monies owed) of the reporting
individual and such individual's spouse, in excess of $5,000 as of
the date of filing of this statement, other than liabilities to a
relative. Do not list liabilities incurred by, or guarantees made
by, the reporting individual or such individual's spouse or by any
proprietorship, partnership or corporation in which the reporting
individual or such individual's spouse has an interest, when incurred
or made in the ordinary course of the trade, business or professional
practice of the reporting individual or such individual's spouse.
Include the name of the creditor and any collateral pledged by such
individual to secure payment of any such liability. A reporting individual
shall not list any obligation to pay maintenance in connection with
a matrimonial action, alimony or child support payments. Revolving
charge account information shall only be set forth if the liability
thereon is in excess of $5,000 at the time of filing. Do not include
any loan issued in the ordinary course of business by a financial
institution to finance educational costs, the cost of home purchase
or improvements for a primary or secondary residence, or purchase
of a personally owned motor vehicle, household furniture or appliances.
If any such reportable liability has been guaranteed by any third
person, list the liability and name the guarantor.
|
|
Name of Creditor
or Guarantor
|
Type of Liability
and Collateral, if any
|
Category
of Amount
|
|---|---|---|
|
| ||
|
| ||
|
| ||
|
| ||
|
The requirements of law relating to the reporting of financial
interests are in the public interest and no adverse inference of unethical
or illegal conduct or behavior will be drawn merely from compliance
with these requirements.
|
|
If you are submitting this form electronically, you must agree
to the statement below:
| ||
|
□
|
By checking this box, typing in my name and today's date and
e-mailing this document to the Board of Ethics, I understand and agree
that I am electronically signing and filing this Annual Statement
of Financial Disclosure for Rockland County. I understand that by
signing and submitting this Statement in this fashion, it is the legal
equivalent of having placed my handwritten signature on the submitted
Statement and this attestation. I also understand and agree that by
electronically signing and submitting this Statement in this fashion,
I am certifying that I personally completed this Statement, that I
reviewed its entire contents and that I am affirming the truth of
the information contained therein.
| |
|
| ||
|
|
| |
|
Type Name of Reporting Individual
|
Date (month/day/year)
| |
|
| ||
|
If you are NOT submitting this form electronically,
you must sign and date it below and submit a hard copy to the Board
of Ethics.
| ||
|
| ||
|
|
| |
|
Signature of Reporting Individual
|
Date (month/day/year)
| |
B.
Form B. The annual statement of financial disclosure shall contain
the information and shall be in the form set forth below. Answer each
of the questions completely, and if additional space is needed, attach
additional pages.
|
ROCKLAND COUNTY
ANNUAL STATEMENT OF FINANCIAL DISCLOSURE
Calendar Year _________
| |||
|
Last Name
|
First Name
|
Middle Initial
| |
|
| |||
|
Current Employer/ Business
|
Title/Position
| ||
|
| |||
|
Advisory Council/Board/ Commission/ Appointment(s)
| |||
|
| |||
|
Work Address
|
Work Phone No.
| ||
|
| |||
|
Home Address
|
Home Phone No.
| ||
|
Marital Status:
|
If married, please give spouse's full name, including maiden
name where applicable.
| ||
|
List the names of all children under 21 living with you at home:
| |||
|
| |||
|
| |||
|
| |||
|
The purpose of this disclosure statement is to identify potential
conflicts that may exist between private and public life with respect
to your duties while an elected official, officer, employee, political
party official, candidate for County elected office or serving on
a voluntary Rockland County board, commission or advisory council.
Please follow all directions carefully and attach additional pages
if necessary. Disclosure of the information on this form is required
for compliance with the Rockland County Code of Ethics and New York
General Municipal Law.
| |||
|
1.
|
Outside employment and business. List the name of every employer
or business from which you were paid more than $2,500 for services
performed or for goods sold or produced, whether you were a paid member,
officer, director, or employee during the reporting period. Do not
list the County of Rockland as an employer (this information is covered
in question 3 below) or individual customers or clients of the business.
Do not list businesses in which you were an investor only (these are
identified in question 2 below). Identify the nature and type of the
business, such as a partnership, corporation, limited-liability company,
or sole proprietorship, and list your relationship(s) to the employer
or business (i.e., owner, partner, officer, director, member, employee
and/or shareholder) and state your position with the employer. Provide
the same information for your spouse.
| ||
|
Name
|
Relationship
to you
|
Name of
Employer or
Business
|
Nature of
Business
|
Type of
Business
|
Position
Held
|
|---|---|---|---|---|---|
|
e.g.: John Doe
|
Husband
|
ABC Realty
|
Real Estate
|
Partnership
|
Employee
|
|
| |||||
|
| |||||
|
| |||||
|
| |||||
|
2.
|
Privately held investments. List the name of any privately held
entity in which, during the reporting period, you had an ownership
interest of at least 20% of the entity or an investment with a total
value of at least $50,000 in the entity. Do not list any entity listed
in response to question 1 above or any publicly traded entity. Identify
the nature of the business and the type of business (e.g., corporation,
limited-liability company, partnership). Provide the same information
for your spouse or children under 21 living with you at home.
|
|
Name
|
Relationship to you
|
Name of Entity
|
Nature of Business
|
Type of Business
|
|---|---|---|---|---|
|
e.g.: Mary Doe
|
Self
|
R&D Investigations
|
Private Investigations
|
Corporation
|
|
3.
|
Rockland County employment. List any and all relatives, defined
with respect to this question only as your spouse, children, siblings,
parents or in-laws, including yourself, who were employed by the County
of Rockland in a permanent, full-time capacity during the reporting
period. Please include the position or title and the department.
|
|
Name
|
Relationship
to you
|
Position Held/Title
|
County Department
|
|---|---|---|---|
|
e.g.: Ralph Roe
|
Father-in-law
|
Attorney
|
Law Department
|
|
| |||
|
| |||
|
| |||
|
4.
|
Government and not-for-profit positions. List each office or
position, whether paid or unpaid, that you held during the reporting
period with any federal, state or municipal government entity or with
any not-forprofit organization. Do not list entities where you were
only a member but had no office or position. Do not list entities
where you only volunteered in a non-policymaking, non-administrative
capacity, such as a neighborhood Girl Scout leader or a Little League
coach. Do not list any office or position reported elsewhere on this
form.
| |
|
Entity or Organization
|
Position
|
|---|---|
|
e.g. Salvation Army
|
Board Member
|
|
| |
|
| |
|
| |
|
5.
|
List each gift worth $75 or more that you or your spouse received
from any person, firm or entity that has or had a matter pending during
the reporting period before you, your department or the board, commission
or counsel upon which you serve. For purposes of this question, "matter
pending" means a formal request for a contract, goods, services, funding,
license or permit. A "gift" means anything of value for which you
or your spouse paid nothing or paid less than the fair market value
and may be in the form of money, services, reduced interest on a loan,
travel, travel reimbursements, entertainment, hospitality, or in any
other form. Note that separate gifts from the same or affiliated donor
during the reporting period must be added together for purposes of
the $75 threshold.
|
|
Name
|
Relationship to you
|
Donor of Gift
|
Nature of Gift
|
|---|---|---|---|
|
e.g.: Mary Doe
|
Self
|
XYZ Corp.
|
Free trip to Atlantic City
|
|
| |||
|
| |||
|
| |||
|
The reporting of information in this statement is required by
the New York State General Municipal Law and the Laws of Rockland
County. Improper use of the information contained in this statement
by any third person or entity in violation of privacy or other rights
is separately punishable in accordance with the law. Please be advised
that, pursuant to New York State law, this statement is available
in its entirety for public inspection and reproduction, but any information
within the statement deemed exempt by New York State law or the Laws
of Rockland County shall be redacted accordingly.
|
|
I certify that all of the above information is true to the best
of my knowledge and that within the past two weeks I have read the
attached summary of the Rockland County Code of Ethics.
|
|
If you are submitting this form electronically, you must agree
to the statement below:
| ||
|
□
|
By checking this box, typing in my name and today's date and
e-mailing this document to the Board of Ethics, I understand and agree
that I am electronically signing and filing this Annual Statement
of Financial Disclosure for Rockland County. I understand that by
signing and submitting this Statement in this fashion, it is the legal
equivalent of having placed my handwritten signature on the submitted
Statement and this attestation. I also understand and agree that by
electronically signing and submitting this Statement in this fashion,
I am certifying that I personally completed this Statement, that I
reviewed its entire contents and that I am affirming the truth of
the information contained therein.
| |
|
| ||
|
|
| |
|
Type Name of Reporting Individual
|
Date (month/day/year)
| |
|
| ||
|
If you are NOT submitting this form elecronically, you must
sign and date it below and submit a hard copy to the Board of Ethics.
| ||
|
| ||
|
|
| |
|
Signature of Reporting Individual
|
Date (month/day/year)
| |
C.
Required filings.
(1)
All members of Rockland County boards who are not identified as persons
who shall file either Form A or B financial disclosure forms shall
annually file with the County Ethics Board by the date set forth for
filing annual financial disclosure forms the "no conflicting interest
or activity affidavit" of the County. Failure to file shall be subject
to sanctions as set forth in the law.
(2)
Chairpersons of the County boards shall file the Form B (short form)
financial disclosure affidavit, except when all board members of a
board are required to file Form A (long form) per the annual list
of policymaking or influencing positions.
[1]
Editor's Note: This local law provided that
Form A, as set forth in Subsection A below, shall be utilized by persons
in positions identified annually by resolution of the Rockland County
Legislature, designating which positions are elected officers, employees
and appointees who hold policymaking or influencing positions. Form
B, as set forth in Subsection B below, shall be the form utilized
by volunteer members of boards and commissions as designated in the
annual resolution on financial disclosure. Nothing in this section
will prevent Form B filers from filing the Form A form if they wish
to do so.
[Added 5-7-1991 by L.L. No. 5-1991;
amended 4-7-1992 by L.L. No. 2-1992]
|
Persons holding any of the positions listed
in Schedule A annexed hereto[1] shall be considered officers and employees of the County
for the purpose of filing annual statements of financial disclosure,
pursuant to this article.
|
[1]
Editor's Note: Schedule A is included at the end of this chapter.
[Added 4-1-2004 by L.L. No. 4-2004;
amended 1-22-2014 by L.L. No. 1-2014]
The no conflicting interest or activity form
shall be as follows:
The no conflicting interest or activity form shall be as follows:
|
DISCLOSURE, ACKNOWLEDGEMENT AND AFFIRMATION OF NO CONFLICTING
INTEREST OR ACTIVITY,
WHICH WOULD CONSTITUTE A PERSONAL GAIN OR A CONFLICT OF INTEREST
(Short-Form Disclosure Affirmation)
|
|
With full knowledge and awareness I affirm that I do not have,
I have not engaged in, and I will not engage in any activity that
would provide a personal or pecuniary gain to myself, my spouse, or
my dependent(s) from the activity (activities) in which I now give
(or am about to give) my services, to the County of Rockland or any
affiliated or associated board, commission or agency thereof.
|
|
If you are submitting this form electronically, you must agree
to the statement below:
| ||
|
□
|
By checking this box, typing in my name and today's date and
e-mailing this Affidavit to the Board of Ethics, I understand and
agree that I am electronically signing and filing this No Conflicting
Interest or Activity Affidavit for Rockland County. I understand that
by signing and submitting this Affidavit in this fashion, it is the
legal equivalent of having placed my handwritten signature on the
Affidavit and this attestation. I also understand and agree that by
electronically signing and submitting this Affidavit in this fashion,
I am certifying that I personally completed this Affidavit, that I
reviewed its entire contents and that I am affirming the truth of
the information contained therein.
| |
|
| ||
|
|
| |
|
Type Name of Reporting Individual
|
Date (month/day/year)
| |
|
| ||
|
|
| |
|
Board or Activity
|
Email Address
| |
|
| |||
|
If you are NOT submitting this form electronically,
you must complete this section, sign and date it, and submit a hard
copy to the Board of Ethics.
| |||
|
| |||
|
|
| ||
|
Signature of Reporting Individual
|
Date (month/day/year)
| ||
|
| |||
|
|
|
| |
|
Type Name of Reporting Individual
|
Board or Activity
|
Email Address
| |
A.
A 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 article shall
be assessed a civil penalty in an amount not to exceed $10,000. Assessment
of a civil penalty shall be made by the Board of Ethics with respect
to persons subject to its jurisdiction. The Board of Ethics acting
pursuant to this chapter may impose a civil penalty as aforesaid,
and said Board shall 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.
B.
A civil penalty for false filing may not be imposed
hereunder in the event that a "value" or "amount" reported upon as
required by this chapter is incorrect, unless such reported information
is willfully understated. No other penalty, civil or criminal, may
be imposed for a failure to file or for a false filing of such statement
of financial disclosure, except that disciplinary action may be imposed
as otherwise provided by law or as may be provided by professional
oversight or licensing agencies.
C.
The Board of Ethics shall be deemed to be an agency
within the meaning of Article 3 of the State Administrative Procedure
Act and shall adopt rules governing the conduct of adjudicatory proceedings
relating to the assessment of the civil penalties herein authorized.
Such rules, which shall not be subject to the approval requirements
of the State Administrative Procedure Act, shall provide for due process
procedural mechanisms substantially similar to those set forth in
such Article 3, but such mechanisms need not be identical in terms
of scope. Such rules shall be subject to the approval of the County
Legislature and shall not be effective until so approved.
D.
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 proceeding against the Board of Ethics
pursuant to Article 78 of the Civil Practice Law and Rules.
The Board of Ethics created and established pursuant to § 66-7 of this chapter shall have and exercise such additional powers and duties as are set forth below:
A.
The Board may delegate authority to its Chairperson
to call meetings of the Board and to make preliminary review of any
matter before the Board; provided, however, that any such review is
subject to further review and ratification by the Board.
B.
The Board may appoint such staff as are deemed necessary
by the County Legislature to carry out its duties under this chapter,
with the appropriations and budget established by the County Legislature.
C.
The Board may recommend that the County Legislature
adopt, amend and rescind rules and regulations to govern procedures
and financial disclosure required hereunder. The Board may utilize
or modify such rules or regulations or adopt, subject to the approval
of the County Legislature, separate rules or regulations for the purposes
of Subdivision (d) of § 811 of the General Municipal Law.
D.
The Board may promulgate guidelines to assist the County Legislature in determining which persons hold policymaking positions for the purposes of Article II of this chapter.
E.
The Board may make available forms for annual statements of financial disclosure required to be filed pursuant to Article II of this chapter.
F.
The Board may review completed financial disclosure statements in accordance with the provisions of Article II of this chapter.
G.
The Board may receive complaints alleging a violation of the provision of Article II of this chapter or a violation of the criteria for reporting requirements established by this chapter.
H.
The Board may recommend to the County Legislature
rules and regulations relating to possible conflicts between private
interests and official duties of elected officials, political party
officials, officers and employees, and candidates for County elective
office.
I.
The Board may act as repository for completed financial
disclosure forms filed pursuant to this chapter.
J.
Upon certification of a question, the Board may determine
a question common to a class or defined category of persons or items
of information required to be disclosed, where determination of the
question will prevent undue repetition or prevent undue complication
in complying with the requirements of such section.
K.
In addition to any other powers and duties specified
by law, the Board shall have the power and duty to:
(1)
Administer and enforce all the provisions of this
chapter.
(2)
Conduct any investigation necessary to carry out the
provisions of this chapter. Pursuant to this power and duty, the Board
may administer oaths or affirmations, subpoena witnesses and compel
their attendance and require the production of any books or records
which it may deem relevant or material.
[Amended 5-7-1991 by L.L. No. 5-1991; 1-22-2014 by L.L. No.
1-2014]
A.
The records of the Board which shall be available for public inspection
are:
(1)
Notices of delinquency;
(2)
Notices of reasonable cause;
(3)
Notices of civil assessments imposed under this chapter; and
(4)
Information provided in an annual statement of financial disclosure
filed pursuant to this chapter, except the categories of value or
amount, all of which shall remain confidential.
B.
The meetings and proceedings of the Board shall be open to the public,
subject to the right to enter into executive session, in accordance
with the Open Meetings Law, as set forth in Article 7 of the Public
Officers Law.
A.
The Board shall inspect all financial disclosure statements
filed with it to ascertain whether any person subject to the reporting
requirements has failed to file such a statement, has filed a deficient
statement or has filed a statement which reveals a possible violation
of this chapter.
B.
If a person required to file a financial disclosure
statement with the Board has failed to file a disclosure statement
or has filed a deficient statement, the Board shall notify the reporting
person in writing, state the failure to file or detail the deficiency
and advise the person of the penalties for failure to comply with
the reporting requirements. The Board may, in respect to deficiency
that is not willful, provide the person with a period of time, not
to exceed 15 days, to cure the deficiency. Such notice shall be confidential.
If the person fails to make such filing or fails to cure the deficiency
within the specified time period, the Board shall send a notice of
delinquency:
A.
If a reporting individual has filed a statement which
reveals a possible violation of this chapter, or the Board receives
a sworn complaint alleging such a violation, or if the Board determines
on its own initiative to investigate a possible violation, the Board
shall notify the reporting individual in writing, describe the possible
or alleged violation of such law and provide the person with a fifteen-day
period in which to submit a written response setting forth information
relating to the activities cited as a possible or alleged violation
of law. If the Board thereafter makes a determination that further
inquiry is justified, it shall give the reporting person an opportunity
to be heard. The Board shall also inform the reporting person of its
rules regarding the conduct of adjudicatory proceedings and appeals
and the due process procedural mechanisms available to such person.
If the Board determines at any stage of the proceeding that there
is no violation or that any potential conflict of interest violation
has been rectified, it shall so advise the reporting person and the
complainant, if any. All of the foregoing proceedings shall be confidential.
C.
Such notice of reasonable cause shall specify, in
detail, the violation alleged to have occurred. The reporting person
shall be given a thirty-day period to respond to such notice, and
to request a hearing before the Board. The reporting person may be
represented by counsel at all stages of this process. Such hearing
shall be conducted pursuant to rules and regulations to be promulgated
by the Board, which rules and regulations shall be desigued to ensure
that the reporting person is afforded the due process of law. Testimony
before the Board shall be under oath, where the Board determines it
to be appropriate and necessary. At the conclusion of the hearing,
the Board shall make its determination and assess, if appropriate,
any penalty provided in this chapter, including civil penalty and
referral for prosecution. Such determination, assessment and referral
shall be open to the public.
D.
A copy of any notice of delinquency, notice of reasonable
cause, determination after hearing, notice of civil assessment or
referral for prosecution shall be included in the reporting person's
file and be available for public inspection.
Upon written request from any person, the Board
shall render advisory opinions on the requirements of said provisions.
Advisory opinions as to specific acts or omissions of any person subject
to the jurisdiction of the Board may only be rendered to the person
whose act or omission, or contemplated act or omission, is the subject
of the request for opinion. An opinion rendered by the Board in any
subsequent proceeding concerning the person who requested the opinion
and who acted thereon in good faith, unless material facts were omitted
or misstated by the person in the request for an opinion, may also
be relied upon by such person and may be introduced and shall be a
defense in any criminal or civil action. Such requests shall be confidential,
but the Board may publish such opinions, provided that the name of
the requesting person and other identifying details shall not be included
in the publication.
[Added 5-7-1991 by L.L. No. 5-1991]
Notwithstanding any other provision of this
chapter, for purposes of filing annual statements of financial disclosure
for reporting 1990 and 1991, any conflict between the provisions hereof
and the rules and regulations of the temporary State Commission on
Local Government Ethics shall be resolved in favor of the latter.
