Document cortlandcountyny_gov_doc_039facf84f

ORIGINAL NEW YORK STATE DEPARTMENT OF STATE Local Law Filing (Use this form to file a local law with the Secretary of State.) Text of law should be given as amended. Do not include matter being eliminated and do not use Italics or underlining to indicate new matter. . _ B County \ • City Cortland V • Town p - 1, -1 • Village Local Law No. 1 of the year 20 Q8 \ J ^ i ^ ^rr^^ 8, STATE BEC'* A local law ^ County Code of Ethics and Requiring Financial Disclosure (insert Title) by Certain County Officials and Employees; and Rescinding Local Law No. 5 of 1984 Be it enacted bythe Cortland County Legislatufe (Name ofLegislative Bo(3y) • County ° City Cortland as follows: • Town • Village SEE ATTACHED LOCAL LAW (If additional space is needed, attach pages the same size as this sheet, and number each.) DOS-239 (Rev. 05/051 ---PAGE BREAK--- (Complete the certification in the paragraph that applies to the filing of this locai law and strike out that which is not applicabie.) 1. (Fina! adoption by local legislative body only.) 2 ! hereby certify that the loca] iaw annexed hereto, designated as local law No. of 20 9^ of the (County)(City)(Town)(Village) of COUNTY OF CORTLAND was duly passed by the CORTLAND COUNTY LEGISLATURE AUGUST 28 20 08 , in accordance with the applicable (Name ofLegislative Body) provisions of law. 2. (Passage by local legislative body with approval, no disapproval or repassage after disapproval by the Elective Chief Executive Officer*.) 1 hereby certify that the local iaw annexed hereto, designated as loca! law No. of 20 of the (County)(Gity)(Town)(Village) of was duly passed by the on 20 .andwas(approved)(notapproved) (Name ofLegislative Body) (repassed after disapproval) by the and was deemed duly adopted (Elective Chief Executive Officer*) on 20 , in accordance w ith the applicable provisions of law. 3. (Final adoption by referendum.) 1 hereby certify that the local law annexed hereto, designated as iocal law No. of 20 of the (County)(City)(Town)(Village) of was duly passed by the on 20 .and was (approved)( not approved) (Name ofLegislative Body) (repassed after disapproval) by the on 20 (Elective ChiefExecutive Officer*) Such local law was submitted to the people by reason of a (mandatory)(permissive) referendum, and received the affirmative vote of a majority of the qualified electors voting thereon at the (genera!) (special)(annual) election held on 20 , in accordance with the applicabie provisions of law. 4. (Subject to permissive referendum and final adoption because no valid petition was filed requesting referendum.) 1 hereby certify that the loca! law annexed hereto, designated as local law No. of 20 of the (County)(City)(Town)(Village) of was duly passed by the on 20 , and was (approved)(not approved) (Name ofLegislative Body) (repassed afterdisapproval) bythe on 20 Such local (Elective ChiefExecutive Officer*) iaw was subject to permissive referendum and no valid petition requesting such referendum was filed as of 20 , in accordance with the applicable provisions of law. * Elective ChiefExecutive OfTicer means or includes the chief executive officer of a county elected on a county-wide basis or, if there be none, the chairperson of the county legislative body, the mayor of a city or village, or the supervisor of a town where such officer is vested with the power to approve or veto locai laws or ordinances. DOS-239 (Rev. 05/05) Page 2 of 3 ---PAGE BREAK--- 5. (City local law concerning Charter revision proposed by petition.) I hereby certify that the loca! iaw annexed hereto, designated as local law No of 20 of the City of having been submitted to referendum pursuant to the provisions of section (36)(37) of the IVlunicipa! Home Rule Law, and having received the affirmative vote ofa majority ofthe qualified electors ofsuch city voting thereon at the (special)(genera!) election held on 20 , became operative. 6. (County local law concerning adoption of Charter.) ! hereby certify that the local law annexed hereto, designated as local law No. of 20 of the County of State of New York, having been submitted to the electors at the General Election of November 20 , pursuant to subdivisions 5 and 7 ofsection 33 ofthe IVlunicipa! Home Rule Law, and having received the affirmative vote of a majcrity of the qualified electors of the cities of said county as a unit and a majority of the qualified electors of the towns of said county considered as a unit voting at said general election, became operative. (Ifany other authorized form of final adoption has been followed, please provide an appropriate certification.) I further certify that I have compared the preceding local law with the original on file in this office and that the same is a correct transcript therefrom and of the whole of such original local law, and was finally adopted in the manner indicated in paragraph 1 above. Clerk of the county legislative body, City, Town or Village Clerk or officer designated7by local legislative body (Seal) Date: (Certification to be executed by County Attorney, Corporation Counsel, Town Attorney, Village Attorney or other authorized attorney of locality.) STATE OF NEWYORK COUNTYOF CORTLAND 1, the undersigned, hereby certify that the foregoing local law contains the correct text and thatall proper proceedings have been had or taken for the enactment of the loca! law annexed hereto. fh Signature COUNTY ATTORNEY Title County City^^ CORTLAND Town Village Date. loO^ DOS-239 (Rev. C5/D5) Page 3 of 3 ---PAGE BREAK--- A Local Law Adopting a County Code of Ethics and Requiring Financial Disclosure by Cenain County Officials and Employees; and Rescinding Local Law No. 5 of 1984 Be it enacted by the Cortland County Legislature Article I. Purpose and Intent. Pursuant to the provisions of Article 18 of the General Municipal Law, the Cortland County Legislature recognizes that there are rules of ethical conduct forpublic 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 iocal govemment. The proper administration of the govemment of Cortland County requires its officers and employees, whether elected or appointed, paid or unpaid, including members of administrative boards, commissions or other agencies, to be impartial and free from conflicts of interest in fulfilling their public responsibilities. The purpose of this article is to state, for those officers, employees and appointees of Cortland County, and for the citizens of the county, standards of conduct necessaiy to assure these goals, in addition to, and in accordance with, the standards prescribed in Article 18 ofthe General Municipal Law. Further, it is the purpose of this article to promulgate the rules and serve as a guide of official and ethical conduct for officers, appointees and employees of Cortland County. These rules of ethical conduct, as adopted, shall not conflict with, but shall be in addition to, any prohibition of Article 18 of the General Municipal Law or any other general or special law relating to ethical conduct and interest in contracts of municipal officers and employees. Article IL Definitions Child - any son, daughter, stepson or stepdaughter of a County officer, employee or elected official, if such child is under (eighteen) 18 or is a dependent ofthe officer, employee or appointed official, as defmed in the Internal Revenue Code Section 152(a)(1) and and any amendments thereto. Interest - a direct or indirect pecuniary or material benefit accruing to a County officer, employee or appointed official, spouse or child, whether the result of a contract with the County or otherwise. For the purpose of this chapter, a County officer, employee or appointed official shall be deemed to have an interest in the contract if a spouse and/or children, except a contract of employment with the County; (ii) a firm, partnership or 1 of 13 ---PAGE BREAK--- association of which such officer, employee or appointed official or spouse or child is a member or employee; (iii) a corporafion of which such officer, employee or appointed official, or child is an officer or director; and (iv) the outstanding capital stock of a corporation which is owned by, or controlled directly or indirectly by an officer, employee or appointed official, or his/her spouse or child. Legislafion - a matter which appears upon the calendar ofthe Cortland County Legislature, or upon a committee thereof, upon which any official action has been taken including adopted acts, local laws or resolufions. Officer or employee - any officer or employee of Cortland County, whether paid or unpaid, including elected officials, appointed officials and heads of any agency, institution, department, district, office, branch, division, council, commission, board or bureau ofthe County. County elected official - a member ofthe County's goveming body, Coroner, County Clerk, County Treasurer, District Attomey, or Sheriff Appointed official - any individual appointed by the Chairman of the County's goveming body, the County's goveming body, or anyone having authority to appoint, derived from either of the foregoing, to any agency, institLition, department, district, office, branch, division, council, commission, board or bureau, whether unpaid or paid. Reporting officer, employee or appointed official - an officer, employee, appointed official or candidate for County elected office who is required to complete and file an annual statement of financial disclosure, pursuant to this Local Law. Spouse - the husband or wife of an officer, employee or appointed official subject to the provisions of this Local Law, unless legally separated from such officer, employee or appointed official. Jurisdicfion - having authority, capacity, pov/er or right to act with regard to the management and administration of policy and supervision of personnel ofthe County agency in which she/he is an officer, employee or appointed official Chief Elected Official - for the purposes of interpreting this local law only, the Chairperson of the County's goveming body or designee. 2 of 13 ---PAGE BREAK--- Article m . Code of Ethics Prohibited Acfivities It is the policy of the County that all officers and employees must avoid confiicts or potential conflicts of interest. A confiict, or a potenfial conflict exists, whenever an officer, employee or relative, as defined above, has an interest, direct or indirect, which confiicts with their duty to the County or which could adversely affect an individual's judgment in the discharge of their responsibilifies. No officer, employee or relafive shall: 1. Take acfion or participate, in any manner whatsoever, in their official capacity, in the discussion, negotiation or awarding of any contract, or in any business or professional dealings with the County, or any agency thereof, in which the official or employee has, or will have an interest, direct or indirect, in such contract or professional dealings. 2. Have an interest in any contract with the County of which they are an officer or employee as described in Secfion 801 of General Municipal Law except in those circumstances described in Section 802 of General Municipal Law. 3. Engage in, solicit, negotiate for or promise to accept private employment or render services for their personal benefit, when such employment or service creates a conflict or impairs the proper discharge of their official dudes. 4. Directly or indirectly, solicit any gifis, or receive or accept any gift having the value of SEVENTY-FIVE DOLLARS ($75.00), or more, whether in the form of money, services, loan, travel, entertainment, hospitality, thing or promise, or in any other form, under circumstances in which it could be reasonably inferred that the gift was intended to influence them, or could reasonably be expected to influence them, in the performance of their official duties, or was intended as a reward for any official acfion. 5. Disclose confidential information acquired in the course of official dufies or use such information to further their personal interest, or use, for profit, information about the property, affairs, finances or govemment ofthe County that is not generally available to the public, exclusive of informafion available to the public under Freedom of Informafion laws. 6. Take action on a matter before the County or any instrumentality thereof when the 3 of 13 ---PAGE BREAK--- performance of that acfion would provide a pecuniary or material benefit to themselves, their spouse or their child. 7. Pursue a course of conduct which will raise suspicion among the public that they may be engaged in acts that are in violafion of the public's trust or give the appearance of impropriety or unethical conduct. 8. No person who has served as an officer or employee of the county or any county agency shall, within a period of six months after terminafion of such service or employment, appear before any board or agency of Cortland County or receive any compensation for services rendered on behalf of any person (other than for themselves), firm, corporafion or associafion in relafion to any case, proceeding or applicafion, with respect to which such person was directly concemed or in which they personally participated during the period of their service or employment or was under consideration. 9. Use or permit the use of county property (including land, vehicles, equipment, materials and/or any other property) for personal convenience or profit, except when such use is available to county citizens, generally, or is provided as a condition of county employment or as a matter of departmental or county policy, Disclosure of Interest 1. Any officer or relative who has, will have or intends to acquire a direct or indirect interest in any matter being considered by the Board ofthe County or by any other official, board, agency, officer or employee ofthe County, and who participates in the discussion or gives an opinion or advice to any board, agency or individual considering the same, shall, as soon as reasonably possible, publicly disclose on the official record the nature and the extent ofsuch interest. 2. Any officer, employee or relative who has, will have or later acquires an interest in any actual or proposed contract with the County of which they are an officer or employee shall publicly disclose the nature and extent of the interest in wrifing to the County Legislature as soon as there is knowledge of such actual or prospective interest. 3. Any officer or employee ofthe County, or relative, who has knowledge of any matter being considered by any board, agency, officer or employee ofthe County in which matter they have, will have, or intends to acquire any direct or indirect interest, shall be required to immediately disclose, in wrifing, such interest to the board, agency, officer or employee, and the nature and extent thereof, to the degree that such disclosure gives substantial notice of any potential confiict of interest. 4 of 13 ---PAGE BREAK--- Limitation upon filing for elecfion; Dual Office Holding 1. No appointed County Officer or Department Head may mn for the County Legislature without first resigning their appointive posifion. The reason for this prohibition is to avoid the appearance of conflict that inevitably occurs when one in a posifion to render advice or infomiafion to the legislature places him/herself in a position to compete for the elecfive office to which he/she renders advice. 2. A County Officer shall be deemed to have offered themself for nomination or election to the County Legislature upon the filing of a nomination paper pursuant to New York State Election Law or formal public declarafion of candidacy for such office, whichever occurs first. 3. The resignation of the County Officer duly filed in wrifing with the officer, board or commission having jurisdiction of the office shall, if not accepted within ten days, be deemed to have become effective as ofthe date of filing. 4. No person shall hold the Office of Elecfion Commissioner concurrently with that of Chairman of any Political Party. 5. A person violating any provision of this secfion is guilty of misfeasance in office and the office held by such person shall be declared vacant. Annual Code of Ethics Review Every official and employee, as defined by this legislafion, shall attest, on an annual basis, to having reviewed the Code of Ethics of Cortland Coimty and such attestafion shall be made on or before May 15th of each year. Article IV. Financial Disclosure Posifions Required to File Attached hereto as 'Appendix which is fully incorporated into this law by this reference, is a hsting of all posifions for which financial disclosure is required ofthe persons holding one or more positions contained therein. Said "Appendix B" may be amended by the adopfion of a Resolufion of the Legislature, as needed, subject to provisions of this law and New York State statutes. Any such amendments shall be effective immediately, and a certified copy thereof shall be filed with the Board of Ethics within five days of adoption. 5 of 13 ---PAGE BREAK--- Fihng 1. Current Officials and Employees: Financial disclosure shaU be accomplished by completing a copy of the Financial Disclosure Form, attached to this iaw as 'Appendix which is fully incorporated into this law by this reference. Financial disclosure shall be required through the discretionary designafion ofthe Board, as stated in Arficle IV Secfion above, and is applicable to those persons as defined in Article II, sections and above, and to those who may not fall within the specific purview of this section but are, with proper discretion, deemed to be "policy making" within the of Article 18 of the New York State General Municipal Law, and whose position is listed in Appendix B, attached hereto. This form shall be completed and filed with the Board of Ethics on or before May 15 of each year for which the employment is in effect. 2. New Appointees and Amendments: Any person required to file an annual statement of financial disclosure who becomes so required, experiences a change in reporting levels, is elected to office or is appointed to an office or employment with the County after April 15th, shall file the appropriate annual statement within thirty (30) days of the date upon which the change becomes effecfive, or the office or employment commences. The Board of Ethics may grant, upon written applicafion, an extension of no more than thirty (30) additional days to a person filing pursuant to this paragraph upon finding that additional time is needed to file. Further extensions may only be granted for cause, upon a request made under the provisions of Article IV, Section Multiple Filings A person subject to financial disclosure fiiing requirements from more than one municipality may safisfy the requirements of this local law by filing only one annual statement of financial disclosure with one municipality, and filing a notice with the appropriate officials of the other(s) that such filing has been made. Such nofice shall include the date and place of the filing, and a copy of the financial disclosure form so filed. Extensions of Time to File 1. Automafic Extension: Any person subject to the reporting requirements of this local law, who shall fimely file with the Internal Revenue Service an application for automatic extension of time in which to file their individual income tax retum for the immediately preceding calendar or fiscal year, which would extend filing with the IRS beyond May 15 ofthe reporting year, shall be required to submit notice of said apphcadon, on or before April 15 of the reporting year, to the Board of Ethics. Such person shall file a disclosure form, complete, except for only those portions stated to 6 of 13 ---PAGE BREAK--- be within the application xo IRS for automatic extension, on or before May 15 ofthe reporting year. A supplementary- statement, containing all item(s) as were incomplete on the annual statement of financial disclosure shall be filed. There shall be no liability under Article IV of this local law, if said supplem.entary staiement is filed within fifteen (15) days of the expirafion of the automafic IRS extension. Extensions for Cause Showm: Any person required to file an armual statemeni of financial disclosure may request, prior to May 1 or 15 days prior to the date the filing would otherwise be due, an extension of fime to file for an additional specific period. Such request shall be made in writing to the Board of Ethics, with approval based upon substanfiafion of justifiable cause or undue hardship. The Board of Ethics may grant or deny the request, by vote of the membership, and extensions shall be for no longer than the specific period of additional fime requested. Article V. Ethics Advisory Board Established; Appointments; Quorum 1. Pursuant to Article 18 of the General Municipal Law, there is hereby established a County Board of Ethics, which shall be charged with general responsibility for ensuring full compliaiice with this code of ethics and disclosure and which shall serve at the pleasure of the Cortland County Legisiature as more fiilly described in Article V, below. 2. The County Board of Ethics shall consist of five members, each appointed by a majority vote of the County Legislature. The Chainnan of the Board of Ethics shall be selected by the Chairman ofthe County Legislature. Members ofthe Board of Ethics shall be constmed, under this local law, as poHcy-making officials, and thus be subject to all appropriate ethics and disclosure requirements. Each member of the Board of Ethics must be a resident ofthe County of Cortland. At least one member ofthe Board shall be an elected or appointed officer or employee ofthe County or a municipality of the County. In no instance shall elected or appointed officers or employees of the County or municipalities of the County constitute a majority of the Board. 3. The presence of three members shall constitute a quorum. Any acfion ofthe Board of Ethics shall require at least three affirmative votes. Reimbursement; Terms; Vacancies 1. Members of the Board of Ethics shall serve without compensation, but shall be 7 of 13 ---PAGE BREAK--- enfitled to reimbursement of reasonable expenses and mileage, in accordance with rules established by the County Legislature. 2. Members of the Board of Ethics shall serve terms of four years, however for the purpose of staggering the terms, initial appointments shall be as foUow^s: 1 member shall serve 1 year 1 member shall serve 2 years 1 member shall serve 3 years 2 members shall serve 4 years 3. Vacancies shall be filled for the remainder of the unexpired term ofthe predecessor. Removal In addition to penalties defined specifically for violafion of the Cortland County Ethics Law, and other pertinent sections of local, state and federal law, members of the Board of Ethics may be removed by the Chairman of County Legislature with the concurrence of two-thirds ofthe County Legislature. Prior to removal, the Board of Ethics member shall be given written nofice thereof, and be provided with an opportunity to reply. Powers and Duties 1. Statutory Powers - The Board of Ethics shall possess all pov^'er and duties authorized by Section 808 of General Municipal Law, as amended. 2. Necessary and Proper Powers - The Board of Ethics shall possess, exercise and enjoy all the rights, powers and privileges necessary and proper to the enforcement of the Code of Ethics and the complefion and filing by officers, employees and appointed officials, of annual statements of financial disclosure required by this law. 3. Regulatory Powers; Rule Promulgafion - The Board of Ethics shall promulgate rules and regulations in furtherance of its powers and duties, including rules goveming the conduct of adjudicatory proceedings and appeals relating to the assessment of civil penalties herein authorized, and shall maintain appropriate records of its opinions and proceedings. The Board of Ethics shall have the authority to conduct investigations necessary to carry out the provisions of this law. Pursuant to this power and duty, the Board of Ethics may administer oaths or affirmafions, subpoena witnesses, whether or not a County officer, employee or appointed official, compel their attendance and require the production of any document, books or records deemed relevant or material to the resolving any adjudicatory proceeding. 8 of 13 ---PAGE BREAK--- 4. Advisory Opinions - The Board of Ethics shall render advisory opinions, in writing, to officers, employees and appointed officials of the County, regarding specific matters pertaining to potential conflicts of interest, filings and reporting categories, with respect to this Law and Article 18 of the General Municipal Law, within 30 business days, whenever possible, after fuliy investigating the circum.stances surrounding the request. Such opinions shall be rendered only upon witten request ofthe officer, employee or appointed official conceming only the subject of the inquiry, as it pertains to the requesting individuars own filing requirements or inquiry. An opinion rendered by the Board of Ethics, until amended or revoked, shall be binding on the Board in any subsequent proceeding conceming the person who requested the opinion and who acted in good faith, unless material facts were omitted or misstated by the person in the request for an opinion. Such opinion may also be relied upon by such person and may be introduced in any criminal or civfi acfion. 5. Opinion Disclosure - Opinions shall not be publically disclosed, unless required by the Freedom of Informafion Law (Public Officers Law Article in which case the idenfity of the person requesfing the opinion shall not be disclosed, or unless required for use in a disciplinary proceeding or proceeding under Article VII of this Local Law. Whenever a request for access to an advisory opinion is received, the officer, employee or appointed official who originally requested the opinion shall be nofified of the request within forty-eight (48) hours of the receipt of the request. 6. Filing Repository - The Board of Ethics shall be the repository for completed annual statements of financial disclosure, pursuant to Secfion 808(5) ofthe General Municipal Law and Article IV herein, and such other written instruments, affidavits, and disclosures as required under this local law. 7. Reviewof Disclosure Statements - The Board of Ethics shall review the filed Financial Disclosure Statements and attestations submitted by officials and employees, as required by this Law, to ascertain whether any person subject to these reporting requirements has violated any local or state law governing conflicts of interest or prohibited activifies. Recommendation of Conflict Resolution - In addition to other powers conferred by this Local Law, the Board of Ethics may recommend to the official or employee, the manner in which the conflict of interest or appearance of impropriety may be resolved. An affidavit by the official or employee detailing compliance with the recommendafion may be sufficient reason to rescind the Board of Ethics decision to make a disclosure. The affidavit must be delivered to the Board of Ethics, at a specific time and place as determined and delineated by the Board of Ethics, through 9 of 13 ---PAGE BREAK--- a certified, return receipt requested, letter to such official or employee. Ifthe official or employee fails to follow the recommendations of the Board of Ethics by eliminafing the conflict of interest or appearance of impropriety, that fact shall also be disclosed. Nofiiing contained herein shall be construed or interpreted to mean that the Board of Ethics is under a duty to make such recommendafions to the official or the employee. The County Board of Ethics shall not act with respect to the officers and employees of any municipality located within such county or agency thereof, ifthe municipality has established its own Board of Ethics, except that the local Board of Ethics may, at its option, refer matters to the County Board of Ethics. Article VL Violations of the Code of Ethics Complaints - The Board of Ethics shall receive and invesfigate complaints alleging a violafion of the Code of Ethics. 1. All ethics complaints against county officials or employees must be in writing, signed and swom to, and must contain sufficient allegations of fact to support the accusation. All complaints shall be filed with the Clerk of the Legislature, on behalf of the Board of Ethics. If, after review, a majority ofthe members of the Board of Ethics find that the complaint may have merit the Board of Ethics shall further investigate, pursuant to its mles and this Local Law. 2. If a reporting person has filed a statement revealing a possible violafion of the Code of Ethics, or the Board of Ethics receives a swom complaint alleging such a violation, or if the Board of Ethics determines, on its own initiative, to investigate a possible violation, the Board of Ethics shall nofify the reporting person, in writing, describe the possible violation and provide the person fifteen (15) days to submit a written response setting forth information relating to the acfivities cited as a possible or alleged violafion oflaw. 3. If the Board of Ethics thereafter makes a determinafion that further inquiry is justified, it shall give the reporting person an opportunity to be heard. The Board of Ethics shall also inform the reporting individual of its mles regarding the conduct of adjudicatory proceedings and appeals and the due process procedural mechanisms available to such individual. 4. If the Board of Ethics detemiines that there is reasonable cause to believe that a violation has occurred, It shall send notice of reasonable cause to the reporting person, to the complainant, if any, and to the Clerk of the County Legislature. 10 of 13 ---PAGE BREAK--- 5. Ifthe Board of Ethics determines, at any stage ofthe proceeding, that there is no violation or that any potential confiict of interest violation has been rectified, it shall so advise the reporting person and the comiplainant, if any, and the Clerk of the County Legislature. 6. If the Board of Ethics finds the com.plaint frivolous or otherwise without merit, it shall dismiss the complaint. Any record ofa dismissed complaint shall be sealed and not subject to disclosure or inspection under the Freedom of Informafion Law or other applicable law, unless disclosure is ordered by a court of county-wide or statewide jurisdicfion, or a court of the United States. All ofthe foregoing proceedings shall be confidential, except as otherwise provided in the Freedom of Infonnafion Law and Pubfic Officer Law. Rules for Proceedings; Penalfies: and Appeals 1. Rules of Proceedings - Conceming adjudicatory proceeding, the Board of Ethics shall operate as if it were an agency within the meaning of Article 3 of the State Administrafive Procedure Act and shall adopt mles goveming the conduct of adjudicatory proceedings and appeals taken pursuant to a proceeding commenced under Article 78 ofthe Civil Practice Law and Rules as they relate to the assessment of the civil penalfies herein authorized and Board denials of requests for certain deletions or exemptions to be made from a financial disclosure statement as authorized in Article IV, paragraph E herein. Such mles, which shall not be subject to the approval requirements ofthe State Administrative Procedure Act, shall provide for due process procedural mechanisms substantially similar to those set forth in such Article 3 of the State Administrafive Procedure Act, but such mechanisms need not be identical in terms or scope. 2. Civil Penalty; Referral - A reporting individual who knowingly and willfully fails to file an annual statement of financial disclosure or who intends to deceive, makes a false statement or gives informafion known to be false shall be assessed a civil penalty, in an amount not to exceed TEN THOUSAND ($10,000) DOLLARS. Assessment of a civil penalty shall be made by the Board of Ethics. For a violation of this section, other than for conduct which consfitutes a violafion of subdivision twelve ofsection seventy-three of the Public Officers Law, the Board of Ethics may, in lieu ofa civil penalty, refer a violation to the appropriate prosecutor and upon such convicfion, shall be punishable as a Class A misdemeanor. A civil penalty for false filing may not be imposed hereunder in the event a category of "value" or "amount" reported hereunder is incorrect unless such reported information is intentionally understated. Upon an appropriate detennination and vote, the Board of Ethics may file a written recommendation with the Chief Elected Official or other disciplinary body, establishing grounds for removal for cause, in accordance with other provisions of Cortland County laws, mles, regulations or policies goveming conduct of officers, officials and employees. Notwithstanding any other provision oflaw to the contrary, 11 of 13 ---PAGE BREAK--- no other penalty, civil or criminal may be im.posed for a failure to file, or for a false filing, of such statement, except that the appointing authority may impose disciplinary acfion as otherwise provided by law. 3. Appeal - Assessment of a civil penalty or the Board of Ethics denial of any request shall be final, unless modified, suspended or vacated within 30 days of imposifion, with respect to the assessment of such penalty, or unless such denial of request is reversed within such time period and, upon becoming final, shall be subject to review at the insistence of the affected reporting individuals in a proceeding commenced against the Board pursuant to Article 78 of the Civil Practice Law and Rules. Article VII. Administrative and Legal Support Legal Counsel - The Cortland County Attomey may provide counsel to the Board of Ethics upon request. In the event of a conflict involving the County Attomey, the Board of Ethics shall advise the Chairman of the County Legislature, who may authorize another attorney, admitted to practice in the State ofNew York, to serve as counsel to the Board of Ethics. Support Staff - The Board of Ethics may request from the County Legisiature, support staff assistance in furtherance of its dufies and responsibilifies. Clerical Assistance - The confidenfial staff to the County Administrator may assist the Board of Ethics for the purpose of receiving and filing all disclosure forms, conespondence and documentation on behalf of fiie Board of Ethics, directing and disseminating correspondence, documents, notices, etc., to the Board of Ethics' members, and such other clerical duties as the Board of Ethics may direct, to the extent that other clerical staff have not been provided by die County Legislature. Article VIII. Records and Meetings of the Board of Ethics Records Notwithstanding the provisions of Article Six of the Public Officers Law, and pursuant to Article 18 of the General Municipal Law, the only records of the Board of Ethics which shall be available for public inspection are: the informafion set forth in an annual statement of financial disclosure filed pursuant to this law, except the categories of value or amount and any other information deleted pursuant to an exempfion granted pursuant to Article IV, of this law, which shall remain confidenfial; Notice of Delinquency issued; 12 of 13 ---PAGE BREAK--- Nofice of reasonable cause to believe that a violafion has occurred, after issuance; and Nofice of civil assessments imiposed. Meetings Noiwithstanding the provisions of Article Six of the Public Officers Law, and pursuant to Article 18 of the General Municipal Law, no meeting or proceeding of the Board of Ethics shall be open to the public, except if expressly provided otherwise by the Board of Ethics. Article IX. Annual Statement of Financial Disclosure The County Legislature hereby designates the "Financial Disclosure Form" attached as Appendix A, incorporated by reference, as the annual statement of financial disclosure for the purpose of fulfilling the requirements of the Cortland County Ethics and Disclosure Law and the General Municipal Law ofthe State ofNew York. Article X. Severabilitv The various elements of the Cortland County Ethics Law are explicitly intended to be constmed within the applicafion of Article 18 ofthe New York State General Municipal Law. Should any portion of this law be determined to be unconstitutional, improper, or otherwise void by any administrative body or court having jurisdiction, said determination shall have no bearing on the severable remainder of this locai law. Article XL Consistency with Laws This Local Law is a policy of the Cortland County Legislature, and supercedes all previously adopted Resolutions and Local Laws. STATE OF NEW YORK) SS: COUNTY OF CORTLAND) I, the undersigned, Clerk of the Cortland County Legislature, County of Cortland, hereby certify the above document was passed by the Cortland County Legislature of said County on the 28'^ day of August, 2008 and that the same is a correct and true transcript of actions talcen by the Cortland County Legislature. [N WITNESS WHEREOF I have hereunto set my hand And the official seal ofthe CORTLAND COUNTY LEGISLATURE, this day of September, 2008. L. Dennis Whitt, Clerk of the Legislature Cortland County 13 of 13 ---PAGE BREAK--- AN'NUAL STATEMENT OF FINANCIAL DISCLOSURE FOR THE CORTLAND COUNTY Name and Address. FOR 2007 Last Name Middle Initial First Name Title Department of Agency Department or Agency Address Telephone No. Residence Address Telephone No. 2. Financial Interests. a. Business Posifions. Do. You now hold any office, trusteeship, directorship, partnership, or other position in any business, association, proprietary, or not-for-profit organizafion involved with the County in any manner? (If yes, describe) b. Outside Employment. Do you have any outside occupation, employment, trade, business, or profession providing more than $ 1,000/year for you? (If yes, describe) Future Employment. Do you have any contract, promise or other agreement between you and anyone else with respect to your employment after leaving your County office or position? (If yes, describe) ---PAGE BREAK--- d. Real Estate holdings. Do you have any real estate within the County, or within five miles thereof? (If yes, describe) e. Investments. Do you have any investments in excess of S5,000 or five percent ofthe value in any business, corporation, partnership, any real estate within the County, or within five miles thereof? (If yes, describe) 3. Gives and Honorariums. Have you received any gifts aggregafing in excess of S75.00 during the last year, excluding gifts from a relative? The term "gifts" includes gifts of cash, property, personal items, payments to third parties on your behalf, forgiveness of debt, honorariums, and other payments that are not reportable as income. (If yes, describe) 4. Third Party Reimbursements. Have you during the last year, received any third-party reimbursement for travel-related expenditures in excess of $250.00 for any matter that relates to your official duties? The term "reimbursemenf' includes any travel-related expenses provided by anyone other than the County for speaking engagements, conferences, or fact-finding events that relate to your official duties. (If yes, describe) 5. Debts. Do you have any debts over $5,000 wherein the creditor does business with the County? (If yes, describe) I HEREBY REPRESENT THAT I AM FAMILIAR WITH THE CORTLAND COUNTY CODE OF ETHICS AND UNDERSTAND THAT I MUST ABIDE BY ALL THE PROVISIONS IN SAID CODE. IF IN THE FUTURE, IT IS ALLEGED BY COMPLAINT THAT I MAY BE IN VIOLATION OF THE CODE OF ETHICS OR, IN THE EVENT THAT CONDITIONS COME ABOUT SO THAT A CONFLICT OF INTEREST SHOULD BE REPORTED TO THE COUNTY, I AGREE TO SO REPORT THE CONFLICT AND TO COMPLETE A FINANCIAL DISCLOSURE FORM AND WILL INCLUDE THE MATTER CONSTITUTING A CONFLICT OF INTEREST WHETHER THAT INFORMATION IS REQUESTED IN THE FORM OR NOT, PROVIDED THE CONFLICT OF INTEREST IN QUESTION IS DEFINED AS SUCH IN THE CORTLAND COUNJTY CODE OF ETHICS. Signature ---PAGE BREAK--- REQUESTED IN THE FORM OR NOT, PROVIDED THE CONFLICT OF INTEREST IN QUESTION IS DEFINED AS SUCH IN THE CORTLAND CODE OF ETHICS. Signature Date: ---PAGE BREAK--- APPENDIX Officer's and Employees Required to File Financial Disclosure Statement County Legislators Clerk, Board of Legislature Director, Real Property Tax Sen/ice Agency Deputy County Clerk Assistant County Attorney Highway Superintendent Deputy Highway Superintendent Director of Community Services (Mental Health) Deputy Director Pubiic Health Commissioner of Social Sen/ices Director of Social Services Director of Financial Management Director of Administrative Services Hospice Director Deputy County Treasurer Director of Nursing Service Commissioners of Election Director of Data Processing Deputy Director of Data Processing Director of Fire/Emergency Management 1st Assistant Public Defender County Historian/Records Management Officer Director of Weights and Measures (Sealer) 1st Assistant District Attorney Director of Veterans Service Agency County Administrator Personnel Officer County Clerk County Attorney Director of Probation Director of Planning Director of Public Health Mental Health Admin. Jacobus Director Environmental Health Dir. County Auditor County Treasurer Sheriff Public Defender Undersheriff Social Sen/ices Attorney Youth Bureau Director County Coroners District Attorney ADVISORY BOARDS AND COMMITTEES Members of Ethics Advisory Board Members of Cortland County Industrial Development Agency/BDC Members ofthe Cortland County Board of Health Members ofthe Community Services Board Members ofthe Tobacco Asset Securitization Corporation Members ofthe TC3 Board of Trustees