Resolution Information
RESOLUTION TEXT +-
Referred to: The Government Efficiency and Review Committee (Chairman J. Parete
and Legislators Belfiglio, Briggs, Greene, R. Parete, and Ronk), and The Laws and
Rules, Governmental Services Committee (Chairman Roberts and Legislators
Belfiglio, Donaldson, R. Parete, and Rodriguez)
Legislator David B. Donaldson offers the following:
WHEREAS, this resolution has been introduced at the request of the Ulster
County Comptroller (“Comptroller”); and
WHEREAS, pursuant to § C-57 of the Ulster County Charter (“Charter”), the
Comptroller “shall be the chief auditing officer of the County” and in this role “shall
[. . .] have access to all [. . .] books, records, and accounts [of the County] at any time
except where precluded by law”; and
WHEREAS, pursuant to § C-25 of the Charter, “the [Ulster] County
Executive (“Executive”) shall be the chief executive of the County” and shall
“Supervise, direct and control the administration of all departments”; and
WHEREAS, in order to fulfill his Charter powers and duties, the Comptroller
must routinely request information, including copies of, or access to, records or
books of a Department, an Office, or an Administrative Unit of the County, whether
for the purpose of audit or review; and
WHEREAS, the current protocol in place for requesting information has
revealed itself to be inadequate in practice as far as the timely delivery of certain
information; now, therefore be it
RESOLVED, that in recognition of the powers vested in both the Executive
and the Comptroller, in the interest of timely and unfettered access to information,
and for the purpose of fostering orderly and efficient operations and functions of the
County, the Legislature has formulated a plan regarding the response of
administrative units to the Comptroller’s requests for access to the records, books,
and information of the Departments of the County, which shall read as follows:
POLICY FOR THE ULSTER COUNTY OFFICE OF THE COMPTROLLER’S
ACCESS TO RECORDS AND INFORMATION
The Comptroller may request general information, records created by software or by
hand, any back-up and originating documentation from both County and non-County
sources, or final work product produced or retained by the Department, Office, or
Administrative Unit as it relates to the business of the County. A request for
information made by any employee of the Comptroller’s Office shall be deemed and
treated as a request of the Comptroller.
If there is any question or concern about whether the information is privileged or
otherwise precluded by law from being disclosed, the Department Head or Deputy
must immediately contact and communicate with the County Attorney’s Office,
sharing any such findings with the Comptroller. Issues that may arise regarding
inquiries or records that are precluded by law include, among other things,
information protected by HIPPA, litigation matters, or other matters that may be
confidential.
Although the Comptroller may choose to extend the following timeframes governing
the delivery and production of records, books, and information for any reason his
Office sees fit, the Comptroller’s inquiry or request should be responded to in full
and in writing by the Department Head or Deputy within three (3) business days of
the date of inquiry. The response shall be in the form of an e-mail, letter, or similarly
written communication. This response shall:
(a) Attach and/or fully convey such responsive information and documents as are
readily available at that time;
(b) Identify the information and/or documents that are not readily available at that
time, if any, and provide a reason as to why, as well as an expected date of delivery
that shall not exceed five (5) days from the original date of inquiry. Examples of
such a specific reason that would preclude a response to the inquiry or the production
of documents within the time frame above shall be limited to the following:
(i) The information may be precluded by law; and the matter has been turned
over to the County Attorney for review and advice, including the potential
restriction of such information;
(ii) The information is not readily available within the files of the Department,
and the staff of the Department is attempting to locate it within its files or
among the records storage files of the County;
(iii) The individual responsible for the records within the Department is
unavailable, and the records cannot be located using reasonable efforts by
other personnel; or
(iv) The materials requested were never kept, do not exist, or were destroyed
and thus are not capable of being produced. Under no circumstances
should any Department attempt to create or re-create any records or
information.
(c) Acknowledge that the unit will be prepared for any on-site review or visit by the
Comptroller’s staff at the date and time indicated in the Comptroller’s inquiry that
shall be no sooner than three (3) business days from the date of the Comptroller’s
inquiry, if possible; or arrange for another date and time for the visit, not more than
three (3) business days from the Comptroller’s scheduled time or at a time mutually
agreed to, and identify the reason for the inability to be prepared at the time
proposed; and
(d) Detail any objection held by a Department regarding the production of any
requested information and documents.
and, be it further
RESOLVED, that this policy shall take effect immediately and apply to all
ongoing and future requests for records, books, and information made by the
Comptroller to any Department, Unit, Office, or Program of the County,
and moves its adoption.
ADOPTED BY THE FOLLOWING VOTE:
AYES: NOES:
Postponed in Committee: Government Efficiency and Review on June 20, 2016
Defeated in Committee: Government Efficiency and Review on July 18, 2016
Passed Committee: Laws and Rules, Governmental Services on_____________.
Petition to Discharge not executed.
FINANCIAL IMPACT:
NONE
Current Text: PDF
Updated: January 24, 2019
Votes on this Resolution
yes no abstained no voteCommittee Vote to Adopt Resolution No. 297.1
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