Unless otherwise stated or unless the context otherwise requires,
the following terms shall, for the purpose of this chapter, have the
meaning herein indicated:
APPEAR and APPEAR BEFORE
Communicating in any form, including, without limitation,
personally, through another person, by letter, or by telephone or
electronic means for compensation or pro bono (professional services
rendered for the public good or on behalf of those who cannot afford
them for little or no compensation), other than those involving ministerial
acts.
CHILD
Any child or stepchild of a County officer or employee.
CONTRACT
Any claim, account or demand against or agreement with the
County, express or implied, and shall include the designation of a
depository of public funds and the designation of a newspaper, including
but not limited to an official newspaper, for the publication of any
notice, resolution, ordinance, local law or other proceeding where
such publication is required or authorized by law.
CONTRACTUAL GOODS/SERVICES
Any work performed or goods delivered by a person or entity
to the customer or client under mutual agreement of the two parties
and provided the transaction has been finalized, without dispute,
by the two parties.
COUNTY
County of Ulster, and shall include any County improvement
district, district corporation, or other district or a joint service
established for the purpose of carrying on, performing or financing
one or more improvements or services intended to benefit the health,
welfare, safety or convenience of the inhabitants of the County or
to benefit the real property within the County.
COUNTY OFFICER OR EMPLOYEE
Any officer or employee of the County, whether paid or unpaid,
and includes, without limitation, all members of any office, board,
body, advisory board, council, commission, agency, department, district,
administration, division, bureau or committee of the County. "County
officer or employee" shall not include:
A.
An individual when serving in his or her capacity as a judge,
justice, officer or employee of the court system; or
B.
A member of an advisory board of the County if, but only if,
the advisory board has no authority to implement its recommendations
to act on behalf of the County, or to restrict the authority of the
County to act.
CUSTOMER or CLIENT
Any person for whom a County officer or employee has directly
supplied contractual goods/services during the previous 24 months.
GIFT
The giving of some item of value, or the use of income from property, without expecting to receive something of at least equal value in return. An interest-free or reduced-interest loan or the sale of an item for less than fair market value also constitute the making of a gift. "Gift" does not include campaign contributions authorized by law or other items or services otherwise excluded as gifts as provided for in §
44-5F of this chapter.
IMMEDIATE FAMILY MEMBER/MEMBER OF HOUSEHOLD
Shall include a spouse, unemancipated child or person claimed
as a dependent on the County officer's or employee's latest
individual or joint state income tax return or unrelated persons who
are continually or at regular intervals living, or in the preceding
calendar year continually or at regular intervals lived, in the same
household, including an individual who may not be related to another
person in the same household legally, or biologically, but who has
provided for the person's basic needs, or regularly cares for
that person.
INTEREST
A.
A direct or indirect pecuniary or material benefit accruing
to a County officer or employee as the result of a contract with the
County of Ulster which such officer or employee serves. "Interest"
does not include any benefit arising from the provision or receipt
of any services generally available to the residents or taxpayers
of the County of Ulster, any political subdivision of the County of
Ulster, or a lawful class of such residents or taxpayers. "Interest"
does not include any negotiated or contracted benefits or entitlements
that are procured for the benefit of any County employee(s) or officers.
(For example, union membership, health insurance, vision and dental
benefits, deferred compensation, disability benefits; please note,
this list is not exclusive).
B.
For purposes of this chapter, a County officer or employee shall
be deemed to have an interest in the contract of:
(1)
Their spouse, unemancipated children, dependents, and members
of the household except a contract of employment with the County which
such officer or employee serves;
(2)
A firm, partnership, company, or association of which such officer
or employee is a member or employee of;
(3)
A corporation of which such officer or employee is an officer,
director or employee; and
(4)
A corporation, any stock of which is owned and controlled directly
or indirectly by such officer or employee, where such officer or employee
owns 10% or more of outstanding stock or membership units but shall
not include any publicly traded corporation.
INVESTMENT
An expenditure to acquire property or other assets in order
to produce revenue or for financial gain; the placing of capital or
laying out of money in a way intended to secure income or profit from
its employment.
LOCAL ELECTED OFFICIAL
An elected official of the political subdivision (County
Executive, District Attorney, County Clerk, Sheriff, Comptroller,
and Legislators), except judges or justices of the Unified Court System.
MINISTERIAL ACT
An action performed in a prescribed manner without the exercise
of judgment or discretion as to the propriety of the act.
OUTSIDE EMPLOYER OR BUSINESS
A.
Any activity, other than service to the County, from which the
County officer or employee receives compensation for services rendered
or goods sold or produced;
B.
Any entity, other than the County, of which the County officer
or employee is a member, officer, director, or employee and from which
they receive compensation for services rendered or goods sold or produced;
or
C.
Any entity in which the County officer or employee has an ownership
interest, except a corporation of which the County officer or employee
owns less than 10% of the outstanding stock or company membership
units.
D.
For purposes of this definition, "compensation" shall not include
reimbursement for necessary expenses, including travel expenses or
allowances.
PERSON
Both individuals and entities.
POLITICAL PARTY
Shall have the same meaning as the term "party" as contained
in § 1-104 of the NYS Election Law.
PROSPECTIVE EMPLOYER
A.
Any person or entity with whom a County officer or employee
that is subject to this chapter has sought employment from, or to
contract with as an independent contractor, within the past 12 months.
B.
Any person or entity with whom the immediate family member of
such County officer or employee has sought employment from, or to
contract with as an independent contractor, within the past 12 months,
to the extent that such County officer or employee has actual knowledge
of such immediate family member actually seeking such employment from
(or contract with) such person or entity.
C.
The phrase "past 12 months" shall not refer to the 12 months
preceding the adoption of this chapter but the 12 months preceding
the matter giving rise to the conduct that permits or disallows a
contract or expenditure under this chapter.
SIBLING
Any brother, sister, half-brother or half-sister, stepbrother
or stepsister, or equivalently related nonbinary persons, of a County
officer or employee.
SUBORDINATE
The subordinate of a County officer or employee means another
County officer or employee over whose activities they have direction,
supervision, or control, either directly or indirectly (for example,
the subordinate of a subordinate), except those who serve in positions
that are in the exempt classification under § 41 of the
Civil Service Law of the State of New York or in the unclassified
service under Subdivisions (a) through (f) of § 35 of that
law.
UNEMANCIPATED CHILD
Any child or stepchild of a County officer or employee living
in the household of the reporting individual, or is claimed or could
be claimed by law on the state income tax returns of the reporting
individual as a dependent.
Ulster County Charter §§ 105 through 107, Administrative Code §§ 33-1 through 33-3 and Code Chapter
44 (adopted by the County Legislature of the County of Ulster December 10, 2008, by Local Law No. 11-2008, and known as the "Ulster County Ethics and Disclosure Law") are repealed upon the effective date of this chapter; provided, however, that nothing, including this section, shall prohibit the prosecution, continuation, hearing, determination or enforcement of any matter, including potential or pending cases, arising under the said preexisting Charter, Administrative Code and Code sections of the County of Ulster, for actions or inactions done or not done as the case may be, by those subject to said preexisting Charter, Administrative Code and Code sections of the County of Ulster, prior to the effective date of this chapter. All fines, penalties and criminal and civil liability, as the case may be, shall remain in full force and effect and available for prosecution, hearing, determination and enforcement by the Board of Ethics reestablished under §
44-4 hereof, under such repealed preexisting Charter, Administrative Code and Code sections of the County of Ulster, for any applicable actions or inaction of those subject to such law as if such law remained in full force and effect for actions taken or inaction prior to the effective date of this chapter.
Annual disclosure will take place in accordance with General
Municipal Law § 812, except the following provisions shall
be controlling:
A. County officers, employees, and contractors required to file disclosure
statement. Annual disclosure statements shall be filed by all elected
County officials, department heads and their deputies and those individuals
who are employees of contractors and have the authority for policy-making
decisions, including but not limited to the list of titles and contractors
appended to this chapter as Appendix A, which may be amended from
time to time by resolution of the County Legislature. The list of
contractors includes the actual person, not the employer of such person
who performs substantive managerial or administrative functions as
a contracting party on behalf of Ulster County.
B. County political party officials. The annual financial disclosure
statement shall also be required of the Chair, First Vice Chair, Second
Vice Chair, Treasurer and Secretary, and Sergeant at Arms of a County
political party, if such person or their successor in office received
compensation or reimbursement of expenses from a constituted committee
or political committee funds during the reporting period aggregating
a combined total of $30,000 or more.
C. Any person who shall become a candidate for the office of any elected
official of Ulster County. The Ulster County Board of Elections shall
provide the Ulster County Personnel Department with a list of individuals
who have filed designating and/or nominating petitions within seven
days of the filing. A copy of this chapter and Statement of Financial
Disclosure Form shall be made available to the candidate by the Personnel
Department within seven days of receipt of the list. The disclosure
form shall be filed by the candidate within 14 days after receiving
the disclosure form.
D. Time and place for filing. Annual disclosure statements shall be
filed with the Secretary of the Board of Ethics:
(1) Within 60 days of taking office; and
(2) No later than May 1 of each year thereafter.
E. Changes in disclosed information. If it becomes apparent to any person
required to file an annual disclosure form that there was an error
in the same, the same shall be promptly corrected by filing an amended
form with the Board of Ethics.
F. Contents of annual disclosure statements and waiver request forms.
The County Legislature shall have the power and authority to promulgate
and amend the form from time to time by local law as provided for
in and in conformity with § 811 or other applicable provisions
of the General Municipal Law. The Board of Ethics shall have the power
and authority to promulgate and amend the waiver request form from
time to time and provide a copy of same to the Ulster County Legislature.
All such forms shall be posted on the Board of Ethics webpage.
G. The annual disclosure form shall be acknowledged and notarized and
in substantially the form which is annexed hereto and made a part
hereof as Appendix B. The Legislature, may, by local law, amend such
form, and such updated form shall be transmitted by the Clerk of the
Legislature to the Chair of the Ethics Board for use in the following
calendar year or for use in such year as the amendment to the form
is made if made before April 1. Such revised form shall also be utilized
by new employees or officers who have not yet filed a disclosure form;
provided, however, that such new employee or officer shall have 60
days from commencing employment until when the revised form must be
filed.
H. Maintenance of annual disclosure statements. The Secretary of the
Board of Ethics shall transmit to the Board of Ethics all annual disclosure
statements required by this chapter within five business days of receiving
such statements.
I. Good-faith efforts. Failure to disclose the information required by Subsection
A of this section with respect to a County officer's or employee's spouse or member of the household or other person as required by this chapter shall not constitute a violation of the subsection if the officer or employee has made a good-faith effort to obtain the information and if those efforts are set forth in the individual's annual disclosure statement.
J. Distribution of disclosure form. On or before the first day of March
of each year, beginning with the year 2023 and thereafter, the Chair
of the Board of Ethics shall cause the annual statement of financial
disclosure to be distributed to those persons required to file the
same. The Chair of the Board of Ethics may request the assistance
of the Personnel Director, provided the County Executive concurs with
the same, in causing such dissemination to occur.
K. Hardship provision. Any person who is subject to the reporting requirements
of this section and who timely filed with the Internal Revenue Service
an application for automatic extension of time in which to file an
individual income tax return for the immediately preceding calendar
or fiscal year shall be required to submit such financial disclosure
statement on or before May 1 but may, without being subjected to any
civil penalty on account of a deficient statement, indicate with respect
to any item of the disclosure statement that information with respect
thereto is lacking but will be supplied in a supplemental statement
of financial disclosure which shall be filed on or before the seventh
day after the expiration of the period of such extension of time actually
granted within which to file such individual income tax return, provided
that failure to file or to timely file such supplementary statement
of financial disclosure or the filing of an incomplete or deficient
supplementary statement of financial disclosure shall be subject to
the notice and penalty provisions of this chapter respecting annual
statements of financial disclosure as if such supplementary statements
were an annual statement.
L. Disclosure forms subject to Public Officers Law Article 6 ("Freedom
of Information Law"). Ethics disclosure forms of County elected officials
(County Executive, District Attorney, Sheriff, County Clerk, Comptroller
and Legislators) shall be posted on the Ulster County Board of Ethics
website. All other ethics disclosure forms shall be available for
inspection and photocopying in accordance with New York State Freedom
of Information Law. Prior to public disclosure of any ethics disclosure
form, the following personal information will be redacted: the address,
phone number, and email address of any person, the names of the employee
or officer's minor children, the signature of the filer and notary
and any other relevant information determined by the Ethics Board
as necessary or appropriate to be redacted for reasons relating to
the public safety of one or more persons or otherwise permitted to
be redacted under the Public Officers Law, on the Ethics Board's
own initiative, or upon the request of the officer or employee with
the consent of the Ethics Board, but only if such information is not
required to be made public pursuant to the Public Officers Law. The
Sheriff and County Attorney of Ulster County may be consulted by the
Ethics Board in making a determination relating to portions of forms
(or entire forms) not to be published.
M. Whenever the Board produces a financial disclosure statement for
public inspection, the Board shall notify the person who filed the
report of the production and of the identity of the person to whom
such statement was produced.
Employment solicitation. No officer or employee shall engage
in, solicit, negotiate for or promise to accept private employment
or render services for personal benefit when such employment or service
creates a conflict or impairs the proper discharge of the individual's
official duties.
A. Six-month restriction for appropriators or authorizers. No County
officer or employee responsible for appropriating funds for the effectuation
of, or negotiating or authorizing a contract or signing a contract
may ask for, pursue or accept a private post-government employment
opportunity with any person or entity who actually received such contract
while the matter is pending or within 180 days following the final
disposition of the matter. Appropriating funds for the effectuating
of a contract shall relate to a specific matter, not voting generally
on the annual County budget.
B. Two-year restriction. Unless requested in writing by the County Executive
or Chair of the Ulster County Legislature, no County officer or employee,
for the two-year period after serving as a County officer or employee,
may represent or render services to a private person or organization
in connection with any matter involving the exercise of discretion
before the municipal office, board, department or agency for which
the individual serves. The exercise of discretion does not relate
to ministerial matters.
C. Waiver. The above provisions of this section may be waived by the
Board of Ethics upon a finding that:
(1) An appropriating, negotiating or contracting person on behalf of
the County had no direct involvement with the selection of the contractor
or that the involvement was limited to issuing an approval of or appropriation
for a recommended contractor that the approver or appropriator was
not otherwise involved with the selection of; or
(2) The restrictions set forth in this §
44-9 would create a financial hardship for the County officer or employer.
(3) The person seeking the waiver shall demonstrate their entitlement
to it by clear and convincing evidence presented to the Board of Ethics.
D. Action by Board of Ethics against former employee. The Board of Ethics
provided by this chapter has the authority to act against any former
County officer or employee and levy fines or make referrals as if
such County officer or employee were still a County officer or employee
during the two-year period provided for herein, provided the said
Board of Ethics shall have commenced (on notice to such former employee
or officer) their review or investigation of the transaction giving
rise to the investigation or transaction within two years of such
officer's or employee's ceasing to be an Ulster County officer
or employee.
Any person aggrieved by a recommendation of the Board of Ethics,
as implemented by the County, may seek judicial review and relief
pursuant to Article 78 of the Civil Practice Law and Rules of the
State of New York.
The Personnel Director, with the assistance of the Ethics Board,
shall provide training to all officers or employees of Ulster County.
Such training may consist of written and/or audio or video presentations
or the dissemination of written materials. The training shall provide
illustrative, but nonexclusive, examples in relation to acceptable
and unacceptable gifts and when a County employee shall be required
to notify someone of a conflict or potential conflict.
Whenever the requirements of this chapter are inconsistent with
the provisions of Article 18 of the General Municipal Law, the more
restrictive provisions or those imposing higher standards shall govern.