EXECUTIVE ORDER NO. 1-1998 WHEREAS, pursuant the Laws of Westchester County section 297.21, all Westchester County offices shall be open for the transaction of business between the hours of nine o'clock a.m. to five o'clock p.m.; WHEREAS, from time to time, it may be necessary for Commissioners and/or Deputy Commissioners of County departments to work hours other than those hours required by the Laws of Westchester County section 297.21 in order to perform their duties; NOW, THEREFORE, I, ANDREW J. SPANO, as County Executive of the County of Westchester, do hereby order and direct to each and every department, board, agency, and commission of the County of Westchester under my jurisdiction as follows: The hours of work of Commissioners and/or Deputy Commissioners of County departments, as may be required to perform their duties, shall be subject to the discretion of the Commissioner of each respective County department. This Executive Order shall take effect immediately. The County of Westchester
Dated: January 6, 1998 White Plains, New York EXECUTIVE ORDER NO. 2-1998 WHEREAS, according to an Executive Order dated March 1, 1988, for the past ten years it has been the policy of this County to fly the American flag jointly with the POW/MIA flag; NOW, THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, do hereby order the American flag to continue to fly jointly with the POW/MIA flag. This Executive Order shall take effect immediately and shall remain in effect until otherwise superceded or revoked.
Dated: January, 1998 White Plains, New York EXECUTIVE ORDER NO. 3-1998 WHEREAS, it is the public policy of the County of Westchester and the law of the State of New York that prevailing wages and supplements be paid to all workers engaged to perform work under public contracts; and WHEREAS, it is in the public interest to ensure that employees performing work under such public contracts receive the benefits required by law; and WHEREAS, prior Executive Orders dated October 28, 1988, October 2, 1989, January 2, 1990, and January 1, 1994, directed each and every department, board, agency, and commission of the County of Westchester, under the jurisdiction of the County Executive to implement procedures in furtherance of the public policy of the County of Westchester; and WHEREAS, the County Executive has determined to renew and reaffirm the provisions contained in Executive Order No. 3 of 1994, dated January 1, 1994; and WHEREAS, Executive Order No. 3 of 1994 expressly expired on December 31, 1997; NOW, THEREFORE, I ANDREW J. SPANO, as County Executive of the County of Westchester do hereby order and direct to each and every department, board, agency, commission of the County of Westchester, under my jurisdiction, as follows: 1. There shall be a clause inserted in every specification for a construction contract let by the County of Westchester requiring each and every prospective bidder to provide an affirmative statement that the bidder has not been found guilty of a willful violation of the New York State Labor Law for failure to pay prevailing wages and supplements, as those terms are defined by New York State Labor Law, within the 12 months immediately preceding the submission of the bid. 2. A New York State registered and approved apprenticeship training program shall be required for all construction contracts where the actual contract or subcontract amount, as awarded, exceeds $50,000.00; provided, however, that such approved apprenticeship training program, although recommended, shall not be required of a contractor or subcontractor upon receipt of a verified written statement that the total number of persons employed by such contractor or subcontractor is 14 or less. 3. A clause shall be inserted into the specifications and incorporated into the contract for each construction contract to be let by the County of Westchester which shall be read substantially as follows: In the event that the contractor shall fail, in one or more instances, to pay the prevailing wages and supplements in accordance with Article 8 of the New York State Labor Law section 220 et seq. and as described in this contract, it shall be considered a material breach. For the breach or violation of this provision, without limiting any other rights or remedies to which the County or any individual may be entitled or any civil or criminal penalty for which any violator may be liable, the County shall have the right, in its discretion, to terminate this agreement immediately upon notice. In such event, the contractor shall be liable to the County for any additional costs incurred by the County in the completion of the project. 4. It is the public policy of the County of Westchester that prevailing wages and supplements in accordance with labor law be paid to all workers engaged to perform work under construction contracts with the County of Westchester. Moreover, the County of Westchester will consider evidence or allegations of violation of the New York State Labor Laws in connection with the award of contracts for public work or the approval of subcontracts in connection with such work. A finding by the New York State Department of Labor of a willful violation of a provision of the New York State Labor Law shall be deemed prima facie evidence and shall constitute sufficient grounds for the denial of a contract award. All department heads are directed to investigate, to the maximum extent practicable, any allegation of a violation of the labor laws by the apparent low bidder seeking award of a public contract and shall report its findings to the Board of Acquisition and Contract for consideration in the award of the contract. If any investigation shall disclose that one or more of the principals of the apparent low bidder are (or have been at the time a violation occurred) a principal of any other business entity which has been found guilty of a single willful violation of the New York State Labor Laws within the preceding thirty-six (36) months, then those circumstances shall be deemed to create a rebuttable presumption that the apparent low bidder is not responsible. In such event, the apparent low bidder shall be advised of the evidence or allegations and given a period of not less than five (5) business days to respond in writing. The failure of the apparent low bidder to respond shall be deemed sufficient ground for the denial of the award of the contract. A summary of the evidence or allegations and the response, if any, from the apparent low bidder shall be reported to the Board of Acquisition and Contract for consideration prior to the award of the contract. For the purposes of this paragraph, the term "principal" shall be construed to mean a person possessing at least one-third ( 1/3 ) of the issued and outstanding capital stock, partnership shares or other ownership interest; or a person actively engaged in the management of the business entity and possessing an ownership interest of any degree. 5. This Executive Order shall take effect immediately and shall remain in full force and effect until otherwise superseded or revoked.
Dated: January 30, 1998 White Plains, New York EXECUTIVE ORDER NO. 5-1998 WHEREAS, it is estimated the between 23 percent and 28 percent of the population smokes, with variations in percentages depending upon age, sex, occupation, income and educational levels; and WHEREAS, while 434,000 deaths in the United States this year will result from smoking, another 53,000 will result from the inhalation of secondhand smoke, specifically 37,000 from heart disease, 4,000 from lung cancer and 12,000 from other cancers; and WHEREAS, smoking causes more premature deaths than AIDS, cocaine, heroin, alcohol, fire, automobile accidents, homicide, and suicide combined; and WHEREAS, direct and indirect costs associated with cigarette smoking in New York State were about $6 billion in 1992; and WHEREAS, the secondhand smoke cancer risk to the nonsmoking office workers appears to be 250 to 1,000 times the level of acceptable risk using standard federal guidelines for carcinogens in air, water or food, and the simple separation of smokers and nonsmokers within the same work environment and air space does not eliminate the exposure of nonsmokers to Environmental Tobacco Smoke (ETS); and WHEREAS, the United State Environmental Protection Agency has declared secondhand smoke a Class A carcinogen, along with arsenic and asbestos; and WHEREAS, Executive Order No. 1 of 1995 established a smoke-free workplace policy for the County of Westchester; and WHEREAS, Executive Order No. 1 of 1995 expressly expired on December 31, 1997; NOW, THEREFORE, I, ANDREW J. SPANO, as County Executive of the County of Westchester, do hereby renew and reaffirm the smoke-free workplace policy previously implemented by Executive Order No. 1 of 1995: 1. Every indoor County "workplace", shall become a smoke-free area. The smoking or carrying of lighted cigarettes, cigars, pipes, or any other tobacco-based products, or products that result in smoke, is banned. 2. Every indoor County workplace shall be covered under this Executive Order, including the Westchester County Jail in Valhalla and the Westchester County Center in White Plains. This Executive Order shall not apply to County-owned facilities that are not County "workplaces," such as employee housing or privately run restaurants on County property (such as restaurants at the County golf courses), however, privately run restaurant establishments shall remain subject to the provisions of the Westchester County Sanitary Code Article XX (Laws of Westchester County section 873.2001-873.2071). 3. The Richard J. Daronco County Courthouse shall not, for purposes of this Executive Order, be considered a County "workplace", and therefore shall be not be required to be smoke-free. 4. As provided in Section 1399-o(6)(i) of the New York State Public Health Law, this Executive Order is intended to be consistent with, and not to modify, any and all County agreements made with the collective bargaining units. 5. Notice of the County's no-smoking policy shall be prominently posted around affected County office buildings and worksites by supervisors, informing employees of same. 6. As with any internal policy, adherence to this no smoking policy shall be the responsibility of supervisors and managers. Any violation of this policy shall be reported to an employee's supervisor or manager or, if action is not promptly taken, to the commissioner of the department. 7. Our government recognizes that smoking is an addiction. Therefore, smoking cessation programs will be offered to all County employees. 8. This Executive Order shall take effect immediately and shall remain in full force and effect until otherwise superseded or revoked.
Dated: January 30, 1998 White Plains, New York EXECUTIVE ORDER NO. 6-1998 WHEREAS, Westchester County government has had a longstanding commitment to maintaining a drug-free workplace as expressed in the County's Drug-Free Workplace Policy and Procedures developed in accordance with the Federal Drug-Free Workplace Policy Act of 1988 and the Omnibus Transportation Employee Testing Act of 1991; and WHEREAS, this commitment results equally from a concern for the health and well-being of our employees and a recognition of our responsibility as public servants in maintaining the highest standards when conducting public business; and WHEREAS, the Employee Assistance Program was established several years ago to offer confidential help to any employee and his or her family suffering with a drug, alcohol, financial, or personal problem; and WHEREAS, the Employee Assistance Program has successfully helped thousands of these aforementioned employees and their families overcome difficult problems including substance abuse; NOW, THEREFORE, I, ANDREW J. SPANO, as County Executive for the County of Westchester, do hereby affirm by commitment to a drug-free workplace and to immediate and appropriate assistance to any employee suffering from substance abuse by directing and ordering the following government policy: 1. A written comprehensive policy shall be distributed to all employees with an acknowledgment of receipt of such policy. Such acknowledgment shall be signed by each employee and kept in the employee's departmental personnel file. This policy must adhere to the federal statutes and regulations by which all employees must be notified that the unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance or illegal drug is prohibited in the workplace. In addition, driving County owned or leased vehicles or vehicles used for County purposes while under the influence of drugs or alcohol is prohibited. 2. Employees convicted of a violation of a federal or state drug statute occurring in the workplace must immediately notify the head of his or her department in writing. In addition, employees convicted for a violation of a federal or state criminal or vehicle and traffic statute relating to the use or sale of alcohol occurring at the workplace must immediately notify the head or his or her department in writing. Drivers of commercial motor vehicles who are subject to state and federal reporting requirements must comply with such requirements. 3. Employees in supervisory positions who complete comprehensive training regarding the implementation of the Westchester County Drug-Free Workplace Policy and Procedures with the focus on determining reasonable suspicion, the process of sending an employee for drug/alcohol testing, and referring an employee to the Employee Assistance Program, are authorized to implement the procedures discussed during such comprehensive training with the approval of the appropriate department head, if applicable, and provided that employees within the department are notified of such procedures. 4. The Personnel Office will coordinate the implementation of the Westchester County Drug-Free Workplace Policy and Procedures and, for such purpose, has established a 24-hour support telephone line to provide technical assistance to ensure compliance with applicable provisions of law. 5. The Employee Assistance Program, which was created to help any employee with a drug or alcohol problem seek assistance, shall continue to offer confidential help in lieu of disciplinary action. 6. Alcohol and drug testing shall be conducted in compliance with the United States Constitution and the New York State Constitution and in accordance with applicable federal regulations and collective bargaining agreements. Moreover, alcohol and drug testing shall be conducted according to applicable federal and state guidelines and by systematic, reliable, and confidential methods. 7. Any violation of Westchester County's Drug-Free Workplace Policy and Procedures may be considered grounds for dismissal under applicable provisions of law. 8. This Executive Order shall take effect immediately and continue in full force and effect until otherwise modified or superseded by subsequent Executive Order.
Dated: May 13, 1998 White Plains, New York
EXECUTIVE ORDER NO. 7-1998 EXECUTIVE ORDER NO. 8-1998 WHEREAS, Westchester County has a fleet of motor vehicles for use by authorized individuals who are performing a County function; and WHEREAS, occasionally individuals who are not County employees but who are performing a County purpose have utilized the County vehicles; and WHEREAS, such individuals were only required to be authorized by a Department Head or his or her designee; and WHEREAS, the practice of authorizing individuals who are not County employees to drive a County vehicle increases the risk of County liability; and WHEREAS, a procedure must be implemented in order to minimize the use of a County vehicle by an individual who is not a County employee; NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, do hereby order as follows: Any individual who is not a Westchester County employee who wishes to utilize a Westchester County vehicle must have the express written authorization of either the County Executive, Deputy County Executive, Chief Advisor to the County Executive or the County Attorney. This Executive Order shall take effect immediately.
Dated: July 31, 1998 White Plains, New York
EXECUTIVE ORDER NO. 9-1998 EXECUTIVE ORDER NO. 10-1998 WHEREAS, on June 3, 1998, I signed Executive Order No. 7-1998 regarding an Inspector General who was to assist me with my powers and duties to order investigations of the affairs, functions, accounts, methods, personnel and efficiency of departments, offices or officers under my jurisdiction; and WHEREAS, I subsequently submitted legislation to the Westchester County Board of Legislators for the purpose of creating a new Department of Investigations to be headed by the Inspector General; and WHEREAS, the Westchester County Board of Legislators voted against the adoption of the proposal for a Department of Investigations and also indicated its disapproval with my Executive Order 7-1998; NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned, do hereby repeal and revoke Executive Order No. 7-1998, pending further consideration of this matter and without prejudice to the further use of my investigative powers as authorized by the Westchester County Charter.
Dated: December 31, 1998 White Plains, New York
EXECUTIVE ORDER NO. 1-1999
EXECUTIVE ORDER NO. 1-2000 EXECUTIVE ORDER NO. 2-2000 WHEREAS, Westchester Community College ("WESTCHESTER COMMUNITY COLLEGE") has, in the past, requested additional operational flexibility to meet its unique operational needs and educational mission; and WHEREAS, I have worked with the President of Westchester Community College and the Chair of the College Board of Trustees, in consultation with the County Attorney, to develop an operational arrangement which would enable Westchester Community College to reduce the cost and expense of its operations through greater administrative and operational flexibility; and WHEREAS, I proposed a local law (Local Law Intro. No. 9-1999) to the County Board of Legislators which would no longer mandate that the Department of Public Works have sole charge of certain duties at Westchester Community College; and WHEREAS, said proposed local law was formally adopted by the County Board of Legislators on July 26, 1999 subject to a mandatory referendum; and WHEREAS, the public passed the Proposition at the November 2, 1999 election, and the local law was certified by the County Board of Elections on November 18, 1999 and has been certified as Local Law 15-1999; and WHEREAS, the Local Law was duly filed in the office of the Secretary of the Department of State of the State of New York; and WHEREAS, Section 110.11 of the Laws of Westchester County places the responsibility to supervise, direct and control, subject to law, the administrative services and departments of the County, upon the County Executive; and WHEREAS, Section 164.71 of the Laws of Westchester County provides that the Board of Trustees of the Westchester Community College shall have and exercise all powers and duties conferred or imposed upon them by law and such other duties as may be prescribed by the County Executive. NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that: 1. The Board of Trustees of the Westchester Community College shall: a. have charge and control over the plans and specifications for the design, construction, alteration, management and repair of all buildings, structures, utilities and other public works located on the campus of the Westchester Community College in Valhalla, New York; b. establish standards of layouts of space in the buildings utilized by Westchester Community College on its campus in Valhalla, New York, after such space has been allocated by the Budget Director; c. have charge and control of vehicles utilized by the Westchester Community College, except charge and control of any vehicles from the County automotive fleet shall vest in the Commissioner of Public Works [] d. have charge and supervision of the design, construction, repair, maintenance and traffic controls and road illuminating systems of all roads, streets, parking areas, bridges, structures and permanent improvements of every kind under the jurisdiction of the County at the Westchester Community College campus other than those specifically placed under the jurisdiction of any other County department; e. have charge and control over the design and preparation of plans and specifications for the construction, alteration, and repair of all lateral sewers and service connections, sewage facilities serving only College facilities, and the water distribution system servicing the Westchester Community College campus; f. have charge and supervision of the design and construction of County buildings, parks and grounds, drains and drainage systems, traffic controls and road illuminating systems and other structures in the nature of public works serving the Westchester Community College campus as the County may construct; g. maintain and operate such traffic controls and road illuminating systems and other related structures in the nature of public works as have been, or may be, constructed or purchased or leased by the County, or otherwise brought under its authority at the Westchester Community College campus; h. have charge of surveys, pertaining to structures under the jurisdiction of the Board of Trustees of the Westchester Community College; i. conduct traffic surveys on any or all roads, streets and parking areas within the Westchester Community College campus and from time to time make recommendations to the appropriate authorities with regard to traffic regulations and the location, placement and character of all signs, lights and other devices for the direction of traffic; j. maintain adequate financial and engineering records of all matters under its jurisdiction; k. shall perform the aforesaid functions pursuant to all applicable federal, state and local laws, acts of the Board of Legislators and County policies, including, but not limited to, the provisions of the Westchester County Procurement Policy, Article V of Chapter 277 of the Laws of Westchester County relating to the Professional Prequalification Board and Professional Selection Board, Project Labor Agreements, Chapter 167 of the Laws of the County of Westchester relating to Capital Budget requirements and approval by the County Attorney as to form and manner of execution of all contracts; l. provide copies of all "As-Built" plans for all projects undertaken at the Westchester Community College campus to the Commissioner of the Department of Public Works. [] 2. All issues with regard to payments of the prevailing wage by contractors to individuals performing work at Westchester Community College, though the responsibility of the Board of Trustees of the Westchester Community College, shall continue to be monitored by the Office of the County Executive. 3. The Commissioner of Public Works [] shall establish grades for all roads, streets and bridges located on the Westchester Community College campus. 4. All of the other powers and duties of the Department of Public Works pursuant to Section 131.11 of the Laws of Westchester County relating to Westchester Community College which have not been expressly referred to in this Executive Order will continue to be performed by the Department of Public Works. [] 5. The Board of Trustees of the Westchester Community College may enter into written interdepartmental agreements, including with the Department of Public Works, [] for the provision of any or all of the services enumerated above. 6. In the event that both Westchester Community College and the Department of Public Works [] jointly determine that a particular project can not adequately be performed given the parameters set forth above, and after having notified me or my designee as to the particular nature of the problem, then Westchester Community College and the Department of Public Works will cooperate with each other to determine the best method in which to perform the project and to perform said project accordingly. 7. As a condition for the grant of authority contained herein, the Board of Trustees of Westchester Community College is required to report to me as County Executive, or my designee, to keep me informed, no less frequently than once every three months, as to the manner in which Westchester Community College is complying with all of the aforementioned requirements and provide a status report of any and all projects performed by Westchester Community College pursuant to this Executive Order; and 8. This Executive Order shall be effective as of January 1, 2000 and shall remain in full force and effect until otherwise superseded or revoked.
Dated: February 8, 2000 White Plains, New York
EXECUTIVE ORDER NO. 3-2000
EXECUTIVE ORDER NO. 4-2000
EXECUTIVE ORDER NO. 5-2000 EXECUTIVE ORDER NO. 6-2000 WHEREAS, Westchester County believes in the dignity of every individual and recognizes the rights of all people to equal opportunity and to a workplace free from sexual and other forms of harassment or discrimination; and WHEREAS, it has been Westchester County's long-standing policy to protect and safeguard the rights and opportunities of all applicants and employees to seek, obtain and hold employment without being subjected to harassment or discrimination in the workplace on the basis of race, color, religion, age, national origin, alienage, citizenship status, ethnicity, marital status, familial status, creed, gender, sexual orientation, disability, criminal convictions or any other basis prohibited by law; and WHEREAS, Westchester County seeks to ensure that all of its employees are not subject to any form of harassment or discrimination based on race, color, religion, age, national origin, alienage, citizenship status, ethnicity, marital status, familial status, creed, gender, sexual orientation, disability, criminal convictions or any other characteristic protected by law; and WHEREAS, Westchester County prohibits any conduct that creates an intimidating, hostile or offensive work environment or which is inappropriate or unprofessional; and WHEREAS, Westchester County maintains a zero tolerance policy towards sexual and all other forms of harassment or discrimination by employees, supervisors, vendors, contractors or others; and WHEREAS, Westchester County encourages all employees to report any behavior or conduct that they believe is harassing, discriminatory, unprofessional or inappropriate in the workplace, regardless of who engages in the conduct; and WHEREAS, Westchester County prohibits retaliation against an employee who provides information or participates in the complaint or investigation process; and WHEREAS, any employee found to have violated the County's Zero Tolerance of Harassment and Discrimination Policy and Procedure will, depending on the nature and severity of the conduct, be subject to disciplinary or corrective action, such as an oral or written reprimand, training or counseling, demotion, transfer or termination; and WHEREAS, I have determined that it is in the best interests of the County to formally enact policies and procedures to address sexual and all other forms of harassment or discrimination; and NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that: (1) the following Zero Tolerance of Harassment and Discrimination Policy be implemented; (2) the policies and procedures set forth therein be complied with; (3) the Zero Tolerance of Harassment and Discrimination Policy be posted and disseminated to all County officers and employees; and, (4) that the County's policy and procedure take effect immediately.
WESTCHESTER COUNTY STATEMENT OF POLICY This Policy supplements, and where there is a conflict supersedes, all other policies. Westchester County maintains a zero tolerance policy towards sexual and all other forms of harassment or discrimination by employees, supervisors, vendors, contractors or others. Westchester County prohibits any conduct that creates an intimidating, hostile or offensive work environment or which is inappropriate or unprofessional. Simply stated, Westchester County seeks to ensure that all of its employees are not subject to any form of harassment or discrimination based on race, color, religion, age, national origin, alienage, citizenship status, ethnicity, marital status, familial status, creed, gender, sexual orientation, disability, criminal convictions or any other basis prohibited by law or any other characteristic protected by law. Westchester County encourages all employees to report any behavior or conduct that they believe is harassing, discriminatory, unprofessional or inappropriate in the workplace, regardless of who engages in the conduct. If an employee believes that he or she has been harassed or discriminated against (or has observed any such misconduct) and would like to obtain guidance about how to resolve the situation or to complain about the conduct, that employee should contact the Office of Equal Employment Opportunity/ Affirmative Action. Since all employees are encouraged to report complaints to the County, retaliation against an employee who makes a complaint of harassment or discrimination or who provides information or participates in the complaint or investigation process strictly is prohibited. I. BACKGROUND Westchester County believes in the dignity of every individual and recognizes the rights of all people to equal opportunity and to a workplace and environment free of sexual and other forms of harassment or discrimination. As part of its longstanding policy of protecting and safeguarding the rights and opportunities of all applicants and employees to seek, obtain and hold employment without being subjected to harassment or discrimination in the workplace on the basis of race, color, religion, age, national origin, alienage, citizenship status, ethnicity, marital status, familial status, creed, gender, sexual orientation, disability, criminal convictions or any other basis prohibited by law, Westchester County has enacted this policy and stand committed to its enforcement. II. POLICY Westchester County prohibits harassment and discrimination involving race, color, religion, age, national origin, alienage, citizenship status, ethnicity, marital status, familial status, creed, gender, sexual orientation, disability, criminal convictions and other characteristics protected by law. The County will take all steps necessary to prevent and stop the occurrence of sexual or other harassment in the workplace and asks that every employee join in that effort. A. Westchester County will not tolerate sexual or other harassment or discrimination in the workplace of County employees by co-workers, supervisors, contractors or others (including anyone having any relationship with the County). B. Commissioners, Department Heads and other supervisory personnel are responsible for ensuring a work environment free from unwelcome or intimidating sexual overtures, comments or other conduct of a sexual nature. Similarly, harassment on any other basis prohibited by law also will not be tolerated. Supervisors must take immediate and appropriate corrective action when instances of sexual or other harassment or discrimination come to their attention. When a supervisor learns of any act which is believed to be sexual or other harassment or discrimination, he or she must immediately report that conduct to the Office of Equal Employment Opportunity/Affirmative Action (whether by telephone, e-mail, in person, in writing or by any other appropriate means) and also must document the reported incident and forward it to the Office of Equal Employment Opportunity/Affirmative Action. The Office of Equal Employment Opportunity/ Affirmative Action will ensure that actions are taken to address the situation and to comply with this policy. If the employee's supervisor or Department Head is believed to be involved in the harassment or discrimination or does not appear to be helpful in addressing the complaint, the employee should make a report directly and promptly to the Office of Equal Employment Opportunity/Affirmative Action. C. All employees will be held accountable for avoiding or eliminating sexual or other harassment or discrimination. Employees are encouraged to report immediately any suspected violation of this policy to their supervisor, Department Head, or to the Office of Equal Employment Opportunity/ Affirmative Action. Every employee must be part of the process of eliminating sexual or other harassment or discrimination in the workplace. If you believe that you have been harassed or discriminated against or that someone else has been subject to harassment or discrimination, you should contact the Office of Equal Employment Opportunity/Affirmative Action (914-285-2141) to report the misconduct. The Office of Equal Employment Opportunity/Affirmative Action will select an investigator to conduct the investigation. D. Any employee who is found to have committed an act of sexual or other harassment may be subject to corrective or disciplinary action as provided by County procedures, which can include termination of employment. E. Since employees are encouraged to participate in our program of avoiding sexual or other harassment and addressing of any incident, the County will not tolerate retaliation against any employee who has reported sexual or other harassment or discrimination. Intimidation, coercion, threats, reprisals or discrimination against any employee for complaining about harassment or discrimination is prohibited. F. Employees are encouraged to read and ask questions about this policy. If anything about this policy is unclear, you should contact the Office of Equal Employment Opportunity/Affirmative Action to ask questions or to obtain clarification. G. Supervisors will be advised of the County's policy and instructed to comply with it. H. Performance evaluations of or other communications with supervisors will confirm their awareness of the County's policy and their obligation to comply with it. III. DEFINITION OF SEXUAL HARASSMENT A. Overview-What Is Sexual Harassment? When considering the broad scope of harassing, discriminatory, unprofessional or inappropriate conduct prohibited by our policy, you should note that: • The victim, as well as the harasser, may be a male or female. • The victim does not have to be of the opposite sex and can be of the same sex as the victim of the harassment. • The harasser can be the victim's supervisor, an agent of the employer, a supervisor in another area, a co-worker, or a non-employee (such as a vendor, contractor or member of the public). • The victim does not have to be the person who was directly harassed; it could be anyone affected by the conduct. • Unwelcome sexual harassment may occur without economic injury to, or discharge, of the victim. Westchester County will not permit harassing or discriminatory behavior at all, regardless of the impact of that misconduct. • Harassment on the basis of sex is a violation of Civil Rights Act of 1964, title VII, section 703 (United States Code, title 42, section 2000e-2). Unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature constitute sexual harassment under Title VII when (1) submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment, (2) submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting such individual, or (3) such conduct has the purpose or effect of unreasonably interfering with an individual's work performance or creating an intimidating, hostile, or offensive working environment. B. Harassment And Discrimination Are Strictly Prohibited. While there is no intent to regulate personal morality, the County insists that the work environment be free from sexual or other forms of harassment or discrimination. For example, while it is not easy to define precisely what types of conduct could constitute sexual harassment, it certainly could include unwelcome sexual advances, requests for sexual favors, obscene gestures, displaying sexually-graphic magazines, calendars or other materials, sending sexually-explicit e-mails or voicemails or other verbal or physical conduct of a sexual nature. Depending upon the circumstances, prohibited conduct also can include sexual jokes, vulgar or offensive conversations or comments, inappropriate comments about an employee's physical appearance, conversations about your own or someone else's "sex life," teasing or other inappropriate workplace conduct. Simply stated, unwelcome sexual conduct or any form of harassment or discrimination is not a term or condition of employment with the County and should be reported immediately so that it can be addressed. With respect to sexual harassment, unwelcome sexual advances, requests for sexual favors or other verbal or physical conduct of a sexual nature violate the County's policy and must be avoided. Harassment is personally offensive, fails to respect the rights of others, lowers employee morale and violates our policy. If you have any doubt about whether conduct is appropriate or inappropriate, please refrain from engaging in that conduct. Such conduct never should be an implicit or explicit term or condition of employment. Similarly, submission to or rejection of sexually-related conduct should not be used as the basis for any employment decision, whether promotion, transfer, termination or otherwise. Finally, sexual conduct which has the purpose or effect of unreasonably interfering with an individual's work performance or creating an intimidating, hostile or offensive working environment violates our policy and the law. Specific forms of behavior that Westchester County considers to be unprofessional and inappropriate include, but are not limited to, the following: 1. Verbal: Abusive verbal language related to an employee's sex, including sexual innuendoes, sexual advances, demands for sexual favors, slurs, suggestive or derogatory or insulting comments or sounds, lewd whistling, jokes of a sexual nature, sexual propositions, threats, sexually-oriented comments about an employee's body or any similar conduct that interferes with an employee's work performance, creates an intimidating, hostile or offensive working environment, or that is unwelcome. 2. Non-Verbal: Abusive written language, showing or displaying pornographic or sexually-explicit objects or pictures, graphic commentaries, leering or obscene gestures in the workplace. 3. Physical: Physical contact, including touching, petting, pinching, coerced sexual interactions, assault, brushing up against a person's body or any other inappropriate conduct. IV. PROCEDURE A. Anyone who feels that he or she has been subjected to conduct which violates this policy or who has observed such conduct should immediately report the conduct to their supervisor, their Department Head or the Office of Equal Employment Opportunity/Affirmative Action. After business hours, you may call the Office of Equal Employment Opportunity/Affirmative Action at (914) 285-2141. If you are unsure who you should contact to raise an issue of harassment or discrimination, or if you have not received a satisfactory response after reporting any incident of what you perceive to be harassment or discrimination (or sooner if you feel the problem requires immediate attention or if the conduct is physical or threatening), please immediately contact the Director of the Office of Equal Employment Opportunity/Affirmative Action, who will ensure that an investigation promptly is conducted. NOTE: If the employee's supervisor or Department Head is believed to be involved in the harassment, the report should be made directly to the Office of Equal Employment Opportunity/Affirmative Action. B. Since Westchester County has a zero tolerance policy prohibiting harassment or discrimination, employees are expected to report incidents of harassment or other discrimination, whether affecting them or anyone else, as soon as possible after their occurrence. C. All supervisors, Department Heads or County representatives who learn of any report of harassment are responsible for documenting the report and immediately informing the Office of Equal Employment Opportunity/Affirmative Action. The Office of Equal Employment Opportunity/Affirmative Action will investigate situations in which a supervisor requests or requires assistance, just as the Office will do when an individual directly contacts the Office of Equal Employment Opportunity/Affirmative Action. D. If an employee believes he/she has been harassed or discriminated against (or has observed conduct affecting someone else), he or she should report that incident to the Office of Equal Employment Opportunity/Affirmative Action. Similarly, if an employee believes that he or she has been harassed or discriminated against (or has observed harassing or discriminatory conduct affecting someone else) and would like to obtain guidance as to how to proceed in filing a complaint, that employee should contact the Office of Equal Employment Opportunity/Affirmative Action. COMPLAINT AND INVESTIGATIVE PROCESS Any employee who believes that he or she has been subjected to harassment or discrimination or who has observed such conduct immediately should report that misconduct. An employee can contact his or her supervisor or Department Head or can go directly to the Office of Equal Employment Opportunity/Affirmative Action and file an oral or written complaint. • An investigator will be assigned to conduct a thorough and complete investigation and will submit, in writing, a confidential summary of the complaint, including the response and the facts of the investigation to the Deputy Director of the Office of Equal Employment Opportunity/Affirmative Action, in about seven (7) working days. (The complaint investigation time may be extended by the Director of the Office of Equal Employment Opportunity/Affirmative Action, as may be required by the particular circumstances of each situation.) • Unless the complainant, the alleged harrassor, and the Office of Equal Employment Opportunity/Affirmative Action agrees, the investigator will not be from the same department as the employee making the complaint or the employee accused of misconduct. • The Deputy Director, after conducting a review of the facts of the investigation and interviews with the parties involved, will issue a final recommendation based on what has been reported. • If there is cause to believe that our policy has been violated and that disciplinary or corrective action should be taken, depending on the nature and severity of the conduct, the Deputy Director of the Office of Equal Employment Opportunity/Affirmative Action, in the final recommendation, shall, if appropriate, suggest corrective action, such as an oral or written reprimand, training or counseling, demotion, transfer or termination. • The recommendation will be forwarded to the Head of the Department where the employee accused of misconduct is employed to act upon the recommendations. The complaining employee shall be notified that the investigation has been completed and advised as to the results. • If the Head of the Department/Commissioner disagrees with the proposed recommendation(s), he or she promptly shall submit to the Office of Equal Employment Opportunity/Affirmative Action alternate recommendation(s) to address the situation and to correct any problem. • If there is a disagreement as to what remedial action should be taken, an appeal shall be taken to the Director of Equal Employment Opportunity/Affirmative Action, the Appeals Officer, who shall determine the appropriate corrective or disciplinary action to be taken or pursued. • An employee who reports harassment, discrimination or misconduct can ask to skip any step in this process (i.e., such as initially reporting the harassment or discrimination to his or her supervisor) or, at any time, can ask to be assisted by a representative of the Office of Equal Employment Opportunity/Affirmative Action. • After corrective action has been taken, the Office of Equal Employment Opportunity/Affirmative Action will monitor the conduct of the employee accused of harassment or discrimination or the department in which the alleged harassment or discrimination occurred, for approximately ninety (90) days, to ensure compliance with the proposed recommendation, to prevent subsequent acts of harassment, discrimination or misconduct, and to prevent retaliation. (The employee who reported the harassment or discrimination can request a longer period of oversight.) • All disciplinary action must comply with the procedures mandated by Civil Service Law § 75, or the collective bargaining agreements, as applicable. E. Investigation of a complaint by the Office of Equal Employment Opportunity/Affirmative Action may include conferring with the parties involved and any named or potential witnesses, as well as review of records. The particular facts of the allegation will be examined individually, with a review of the nature of the behavior and the context in which the incident(s) occurred. F. If the allegation of harassment or discrimination is made by or about an employee in the Office of Equal Employment Opportunity/Affirmative Action, the allegation will be investigated by an official to be designated by the County Executive or his designee. G. Employees who believe they have been unjustly charged with harassment or discrimination will be afforded the opportunity to offer and present information in their defense. H. If an employee believes that any supervisor or other individual to whom a complaint has been made is not sufficiently responsive, he or she immediately should contact the Office of Equal Employment Opportunity/Affirmative Action. I. All complaints will be handled in a timely manner. If an employee who reports harassment or discrimination is not satisfied with the investigation or the manner of resolution, he or she should contact the Director of Equal Employment Opportunity/Affirmative Action. (The employee should contact the Director of Equal Employment Opportunity/Affirmative Action within seven (7) days after receipt of notice of the result of the investigation if he or she is dissatisfied with the result of the investigation and the action taken. To ensure that the Office of Equal Employment Opportunity/Affirmative Action is advised fully of the reason for the appeal, a written memo or an e-mail message should be prepared and forwarded to the Director of Equal Employment Opportunity/Affirmative Action. If assistance is required to prepare the written appeal, the employee should contact the Director of Equal Employment Opportunity/Affirmative Action.) J. Any employee who participates in this procedure may do so without fear of retaliation, such as unjustifiable demotion, discharge or other adverse action taken because a complaint was made. Retaliation against any employee who has filed a discrimination or harassment complaint violates our policy and may result in corrective or disciplinary action. K. An employee who is found to have committed an act of harassment or discrimination may be subject to disciplinary action as provided by County operating procedures and law, which can result in discharge. L. An employee who makes a false complaint or statement is subject to disciplinary action. M. An employee who is the subject of a complaint will be given the option, upon request, to have a union representative present while he or she is questioned. N. Pending resolution of a complaint, personnel action against an employee accused of misconduct or an employee who makes such a complaint must first be reviewed by the Department Head. O. Nothing in this policy should be construed as, in any way, limiting any employee's right to utilize any collectively bargained grievance procedure, to file a complaint with the New York State Division of Human Rights, the U.S. Equal Employment Opportunity Commission, or any other fair employment practices agency, or to take any legal action which they may deem advisable. V. EFFECTIVE DATE This Executive Order shall be effective immediately and shall remain in full force and effect until otherwise superseded or revoked.
Dated: December 8, 2000 White Plains, New York EXECUTIVE ORDER NO. 1-2001 WHEREAS, Westchester County government has the opportunity to promote sustainable landscapes by choosing native plants, i.e., plants native to the County of Westchester; and WHEREAS, invasive, non-native plants are one of the greatest threats to the natural ecosystems and the natural heritage of Westchester County and New York State; and WHEREAS, invasive, non-native plants are destroying our natural history and identity, disrupting the ecology of our natural ecosystems, displacing native plant and animal species, and degrading our unique and diverse biological resources; and WHEREAS, native plants enhance the beauty of the landscape, maintain and restore biodiversity, minimize maintenance costs and the need for chemical applications, prevent invasive exotic plants from taking root, provide habitat for native organisms, attract native pollinators, butterflies, and birds, and protect local ecosystems and environmental health; and WHEREAS, native plants enrich the soil by helping rain to percolate into the soil through their root systems, thereby reducing erosion and water irrigation requirements and filtering storm water runoff, which, in turn, improves water quality; and WHEREAS, native plants have historical and cultural interest that help promote Westchester County's regional identity; and WHEREAS, landscape demonstration projects promote public awareness and education and can be a catalyst for the general public to use native plants in private and commercial landscaping; NOW, THEREFORE, I ANDREW J. SPANO, as County Executive of the County of Westchester, do hereby order and direct to each and every department, board, agency, commission of the County of Westchester, under my jurisdiction, as follows: 1. Plant materials native to Westchester County shall be used exclusively in designing, planting, maintaining and managing the landscape features of all County roadsides, parks, public areas and other County properties and facilities, unless no native plant fits the ecological niche, in which case, plants which are non-invasive and beneficial to wildlife shall be used in place of native plants. 2. Plans and specifications for any Westchester County contract involving landscaping and/or plantings shall, where practicable and appropriate, require the use of native plants. 3. Installation of plant species noted in the New York State Top 20 Invasive Species by the Invasive Plant Council of New York shall be prohibited in all Westchester County parks and on all other County lands, along County roadsides, and in gardens surrounding County buildings, and, where possible, these species shall be eradicated from County parks and other lands, as well as along County roadsides and in gardens surrounding County buildings. 4. Appropriate site and soil analyses shall be performed, matching plant characteristics with site and soil conditions, to ensure success of the planting of native plants. 5. Site design and construction as well as plant selection shall incorporate considerations such as biological needs, low maintenance, low water usage, character of plant communities at project sites, and minimal need for fertilizers and pesticides. 6. The public shall, through various means, be educated about the importance of native plants to the Westchester County landscape. 7. Outdoor demonstration projects shall be created and maintained in Westchester County parks and parkway rest areas exhibiting and promoting the benefits of native species and environmentally sound landscaping practices. 8. Public/private partnerships with educational institutions, arboreta, commercial nurseries, botanic gardens and garden clubs shall be encouraged to increase the availability of native plants, and share knowledge about their use, maintenance and propagation. 9. This Executive Order shall apply in all instances unless the Department of Planning or the Department of Parks, Recreation and Conservation determines that no native plant fits the ecological niche and therefore plants which are non-invasive and beneficial to wildlife should be utilized in place of native plants. 10. This Executive Order shall take effect immediately and shall remain in full force and effect until otherwise superseded or revoked.
Dated: December 31, 2001 White Plains, New York
EXECUTIVE ORDER NO. 1-2002 EXECUTIVE ORDER NO. 2-2002 WHEREAS, during my previous term as County Executive, I issued various Executive Orders; WHEREAS, Executive Orders Nos. 2-1998 (Flying the POW/MIA flag jointly with the American flag); 3-1998 (Prevailing Wage relating to County Construction Contractors); 5-1998 (Smoke-Free Workplace); 6-1998 (Drug-Free Workplace); 2-2000 (Duties of WCC and DPW relating to WCC campus); 6-2000 (Zero Tolerance of Harassment and Discrimination Policy); and 1-2001 (Encouraging the Planting of Native Plants) clearly state that they are to remain in effect until otherwise superseded or revoked; WHEREAS, Executive Orders Nos. 1-1998 (County office hours for the transaction of business); 8-1998 (Use of a County Vehicle by a Person Who is Not a County Employee); 9-1998 (Westchester County Equal Employment Opportunity Policy); 1-2000 (Firearm Storage Requirements for Authorized County Employees); 4-2000 (Prohibiting the Possession of Firearms by County Employees who are not required to possess a Firearm for the Performance of their Duties); and 5-2000 (Purchasing of Handguns by the County Purchasing Agent) do not clearly express the duration for effective; WHEREAS, I have determined that it is in the best interests of the County that I formally express my intention to continue all of the aforementioned Executive Orders until they are otherwise superseded, repealed or revoked; NOW, THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, do hereby order that all of the aforementioned Executive Orders are to remain effective until they are otherwise superseded, repealed or revoked.
Dated: January 10, 2002 White Plains, New York
EXECUTIVE ORDER NO. 3-2002 EXECUTIVE ORDER NO. 4-2002 WHEREAS, the County of Westchester is committed to ensuring that County buildings and property are secure for its employees and members of the public who visit; and WHEREAS, the wearing by employees of proper County employee photo identification enables staff, visitors and security personnel to ascertain the identity and department of the employee wearing the badge; and WHEREAS, the visible display of County employee photo identification assists security personnel to identify those persons who are not authorized to be in the building and to prevent incidents or potential safety problems before they occur; and WHEREAS, the wearing of County employee photo identification is necessary to a safe working environment; and WHEREAS, each County employee must do his or her part to assist the County in its efforts to protect County office buildings and property by complying with the County's policy requiring the wearing of employee photo identification cards; and WHEREAS, the failure by County employees to adhere to the County's Work Badge Policy places other employees and visitors at risk; and WHEREAS, any employee found to have violated the County's Work Badge Policy will, depending on the nature and severity of the conduct, be subject to disciplinary or corrective action, such as an oral or written reprimand, training or counseling, demotion, transfer or termination; and WHEREAS, I have determined that it is in the best interests of the County to formally enact policies and procedures to address this important workplace safety issue; and NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that: (1) the following Work Badge Policy be implemented; (2) the policies and procedures set forth therein be complied with; (3) the Work Badge Policy be posted and disseminated to all County officers and employees; and (4) the County's policy take effect immediately. COUNTY WORK BADGE POLICY I. Purpose This policy has been established to ensure the use of employee photo identification cards for all County employees in order to assure a safe and secure work environment. II. Word Usage The terms work badge and employee photo identification card are used interchangeably in this Policy. III. Definitions The terms work badge or employee photo identification card mean a photo identification card issued by the County of Westchester but shall not include an identification card issued by the Westchester County Departments of Public Safety, Correction and Probation to County peace or police officers. IV. Application This policy shall apply to all employees of the County of Westchester, with the exception of County peace and police officers. V. Wearing of Employee Photo Identification Cards All County employees shall display their employee photo identification cards at all times while inside County buildings, facilities and worksites. This photo identification card will be worn in plain sight and photo side showing. Employee photo identification cards may not be affixed to carry items such as handbags or backpacks. Employee photo identification cards may be either clipped on an article of clothing that is not normally removed or worn on a lanyard around the neck. VI. Employee Photo Identification Cards Are Non-Transferable Employee photo identification cards issued to employees are not transferable for any purpose. Employee photo identification cards issued to employees are not transferable for any purpose. Employee photo identification cards may not be lent to or used by anyone other than the person whose name and photograph appear on the card. VII. Reporting to Work Without an Employee Photo Identification Card County employees who report to work without their employee photo identification card must obtain a visitor identification card and record their entry into the building, indicating their status as a County employee and the department in which they work, on the building visitor log at the security desk. In the event that there is no security desk at their place of employ, County employees must report to their immediate supervisor to obtain a visitor identification card. VIII. Replacing Employee Photo Identification Cards County employees whose employee photo identification card is lost or stolen must immediately report the loss or theft in writing to their supervisor or Department Head. County employees must provide written authorization from their supervisor or Department Head to the Department of Human Resources/Personnel Department in order to secure a replacement photo identification card. IX. Fees for Employee Photo Identification Cards A. Initial Employee Photo Identification Cards Employees are not charged for their first employee photo identification card. B. Stolen Employee Photo Identification Cards Stolen employee photo identification cards will be replaced at no charge if a copy of a police report is presented. C. Lost Employee Photo Identification Cards County employees will be charged a $10.00 replacement fee for each lost employee photo identification card. X. Recurring Losses of Employee Photo Identification Cards Recurring losses of employee photo identification cards will be treated as a security violation. XI. Disposition of Employee Photo Identification Cards Upon Termination Employee photo identification cards are the property of the County of Westchester. County employees who separate from County employment for any purpose shall surrender their photo identification card(s) to the Department of Human Resources/Personnel Office. The Department Head will ensure confiscation of the photo identification cards of employees who separate from County employment and of interns who are relieved of their assignments. XII. Notification of Security Personnel of Security Concerns All County employees should notify security personnel on the premises immediately if they observe any individual inside a County building, facility or worksite without proper work or visitor identification. XIII. Violations of Policy Any violation or non-adherence to this Work Badge Policy may lead to appropriate disciplinary action, including, where legally appropriate, termination of employment. XIV. Enforcement of Employee Photo Identification Card Policy Adherence to this Work Badge Policy shall be the responsibility of supervisors and managers. Any violation of this policy shall be reported to an employee's supervisor or manager or, if action is not promptly taken, to the Head of the Department. XV. Policy Consistent with Collective Bargaining Agreements This Executive Order is intended to be consistent with, and not to modify, any and all County agreements made with the collective bargaining units. XVI. Effective Date This Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: April 22, 2002 White Plains, New York
EXECUTIVE WORK ORDER NO. 5-2002
EXECUTIVE ORDER NO. 6-2002 EXECUTIVE ORDER NO. 7-2002 WHEREAS, Section 110.11 of the Laws of Westchester County places the responsibility to supervise, direct and control, subject to law, the administrative services and departments of the County upon the County Executive; and WHEREAS, it would promote the safety of the people of Westchester County and the security of County property to investigate the character of prospective applicants for employment with the County of Westchester by reviewing such applicants' criminal history reports; and WHEREAS, the New York State Division of Criminal Justice Services is capable of conducting fingerprint-based searches of the criminal history reports it maintains; and WHEREAS, subdivision 8-a of Section 837 of the New York State Executive Law authorizes the New York State Division of Criminal Justice Services to charge a fee when, pursuant to statute it conducts a search of its criminal history records and returns a report thereon in connection with an application for employment; and WHEREAS, the Westchester County Commissioner of Human Resources performs the duties of a municipal civil service commission for the County of Westchester pursuant to the terms of Section 15 of the New York State Civil Service Law and Section 179.01 of the Westchester County Charter; and WHEREAS, pursuant to Section 50 of the New York State Civil Service Law, municipal civil service commissions are directed to ascertain the fitness of applicants for positions in the competitive class of the civil service and may refuse to examine an applicant, or may refuse to certify an eligible, who has been guilty of a crime; and WHEREAS, the Westchester County Commissioner of Human Resources could better perform the statutory duty of ascertaining the fitness of applicants for positions in the competitive class of the civil service by having access to the criminal history reports maintained by the New York State Division of Criminal Justice Services; NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties do hereby order that: 1. The Westchester County Commissioner of Human Resources enter into an agreement with the New York State Division of Criminal Justice Services, at the earliest possible date, to receive the criminal history reports of prospective applicants for employment in the competitive class of the civil service of the County of Westchester; and 2. Subsequent to the effective date of the agreement referred to above, all prospective applicants for employment in the competitive class of the civil service of the County of Westchester be fingerprinted for the purpose of procuring a criminal history report from the New York State Division of Criminal Justice Services. This Executive Order shall be effective immediately and shall remain in full force and effect until otherwise suspended or revoked.
Dated: June 25, 2002 White Plains, New York EXECUTIVE ORDER NO. 8-2002 WHEREAS, the County of Westchester is committed to ensuring that all County employees to be appointed to the position of Commissioner, Deputy Commissioner, Director, Deputy Director, Department Head, or any other appointment to be included at the discretion of the County Executive are properly trained, educated and otherwise suitable for the position for which they have been hired; and WHEREAS, background investigations will assist the County in determining whether a candidate for County employment possesses the experience, qualifications, and ability to perform in the position to which they have been appointed and fitness for public service; WHEREAS, background investigations will help to ensure that the information provided by prospective appointees is truthful, complete and accurate; and WHEREAS, background investigations are necessary to protect the health and welfare of Westchester County residents, employees and visitors, by ensuring that persons appointed to provide public services are suitable for a particular position; and WHEREAS, any prospective employee found to have violated the County's Background Investigation Policy will, depending on the nature and severity of the conduct, be subject to the appropriate disciplinary or corrective action; and WHEREAS, I have determined that it is in the best interests of the County to formally enact policies and procedures to address this important public safety issue; NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that: (1) the following Background Investigation Policy be implemented; (2) the policies and procedures set forth therein be complied with by the appointed County employees; (3) the Background Investigation Policy be disseminated to the appropriate County officers and employees; and (4) the County's policy take effect immediately. COUNTY BACKGROUND INVESTIGATION POLICY I. Purpose This policy has been established to create a procedure for employment background investigations for candidates to be appointed to the position of Commissioner, Deputy Commissioner, Director, Deputy Director, Department Head, or any other appointment to be included at the discretion of the County Executive, in Westchester County Government. II. Application This policy shall apply to all candidates for the positions of Commissioner, Deputy Commissioner, Director, Deputy Director, Department Head, or any other appointment to be included at the discretion of the County Executive. III. Procedure A. Background investigations will be commenced by the Applicant Investigation Unit of the Department of Public Safety when an individual under consideration for appointment is referred to the Department of Public Safety at the direction of the Deputy County Executive, pursuant to a conditional offer of employment. B. Upon a conditional offer of employment, the candidate will be directed to appear at Department of Public Safety Headquarters to: (1) complete a Release of Information Form, (2) be fingerprinted, and (3) provide a copy of his/her driver's license. The candidate will be given a Background Investigation packet, which is required to be completed by the candidate and returned to the Applicant Investigation Unit with all required supporting documentation, within seven (7) business days. C. The background investigation will be conducted in two (2) phases. Phase I will include a check of: driver's license, outstanding warrants, the candidate's educational background and the candidate's past two (2) employers. Phase I will be completed within five (5) business days of receipt by the Applicant Investigation Unit of a candidate's completely executed Phase I form. Phase II will be comprised of all of the remaining items in the investigation packet, including a criminal history check based on the fingerprint submission. D. A preliminary report of Phase I findings will be submitted by the Department of Public Safety Investigator to the First Deputy Commissioner, who will review and forward the report to the Commissioner of Public Safety. Upon the Commissioner's review, the findings will be forwarded to the Deputy County Executive for action as may be deemed appropriate, including, but not limited to termination of the application process. E. If any candidate is delinquent in submitting any items pursuant to the investigation, the First Deputy Commissioner of Public Safety will make such notification to the Deputy County Executive. F. The completed Background Investigation report will be submitted to the First Deputy Commissioner of Public Safety for review, and will be forwarded to the Commissioner of Public Safety for final review. The results of the report will be forwarded to the Deputy County Executive. G. No candidate will be appointed to the position prior to the completion of Phase I of the background investigation. However, in the event that the services of a candidate are needed immediately, such person may be appointed but will not be placed on the County payroll until Phase I of the Background Investigation is completed. H. If a candidate has been convicted of a felony and/or misdemeanor, any decision regarding such candidate's fitness for a position must be made on a case-by-case review of the factors contained in Sections 752 and 753 of the New York State Corrections Law. IV. Effective Date This Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: August 14, 2002 White Plains, New York
EXECUTIVE ORDER NO. 9-2002
EXECUTIVE ORDER NO. 10-2002
EXECUTIVE ORDER NO. 11-2002
EXECUTIVE ORDER NO. 1-2003 EXECUTIVE ORDER NO. 2 of 2003 WHEREAS, citizens and employees of the County of Westchester have a basic right to be safe and free from intimidation, threats, and injury, both at home and in the workplace; and WHEREAS, domestic violence is abusive behavior whereby a person intends to establish and maintain power and control over a person with whom he or she has, or has had, a significant personal relationship; and WHEREAS, this power and control are exerted through physical, sexual, psychological and or economic means; and WHEREAS, domestic violence instills fear and harms victims and families and must not be tolerated; and WHEREAS, domestic violence is criminal activity that statistics show affects everyone regardless of race, income, or age; occurs in every community; and destroys relationships, families, and lives; and WHEREAS, domestic violence is not a private family matter but rather follows victims to their places of employment, and deprives victims and their co-workers of a safe and productive workplace; and WHEREAS, domestic violence costs American businesses an estimated 3 to 5 billion dollars each year in absenteeism or tardiness, lost productivity when abusers harass victims at work or when victims must handle personal situations, and increased insurance and medical costs; and WHEREAS, the County of Westchester as an employer is not exempt from these costs; and WHEREAS, employed victims of domestic violence typically do not ask co-workers or supervisors for help, out of shame or for fear of losing their jobs; and WHEREAS, co-workers and supervisors may not know the signs of domestic violence, and may not know what to do if they suspect a co-worker is being abused; WHEREAS, the County of Westchester, as an employer, desires to provide needed support and assistance to employees who are victims of domestic violence; and WHEREAS, I have determined that it is in the best interests of the County to formally enact policies and procedures to address this important issue; and NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that: (1) the following Domestic Violence in the Workplace Policy be implemented; (2) the policies and procedures set forth therein be complied with; (3) the Domestic Violence in the Workplace Policy be posted and disseminated to all County officers and employees; and (4) the County's policy take effect immediately. COUNTY OF WESTCHESTER DOMESTIC VIOLENCE IN THE WORKPLACE POLICY A. Policy Statement Domestic violence permeates the lives and compromises the safety of hundreds of Westchester County residents, including Westchester County employees each day, with tragic, destructive, and sometimes fatal results. Domestic violence occurs within a wide spectrum of relationships, including married and formerly married couples, couples with children in common, and couples who live together or have lived together. Inter-generational violence in families, including child abuse and abuse of dependent elderly, are also considered domestic violence. Domestic violence is defined as a pattern of coercive tactics which can include physical, psychological, sexual, economic and emotional abuse perpetrated by one person against a family or household member, with the goal of establishing and maintaining power and control over the victim. It is not a private matter. In addition to exacting a tremendous toll from the individuals it directly affects, domestic violence often spills over into the workplace, compromising the safety of both victims and co-workers and resulting in lost productivity, increased health care costs, increased absenteeism, and increased employee turnover. Therefore, Westchester County, to the fullest extent possible without violating any existing rules, regulations, statutory requirements, contractual obligations or collective bargaining agreements, designates and directs appropriate management, supervisory, and/or human resources staff to implement the following guidelines. B.en; Definitions For purposes of this policy, the following terms will be defined as follows. Domestic Violence: A pattern of coercive tactics, which can include physical, psychological, sexual, economic and emotional abuse, perpetrated by one person against a family or household member, with the goal of establishing or maintaining power and control over the victim. Family or Household Member: Includes persons related by blood or marriage; persons legally married to one another; persons formerly married to one another; persons who have a child in common, regardless of whether such persons are married or have lived together at any time, and unrelated persons who are continually or at regular intervals living in the same household or who have in the past continually or at regular intervals lived in the same household. Abuser: A person who perpetrates a pattern of coercive tactics which can include physical, psychological, sexual, economic, and emotional abuse against a family or household member, with the goal of establishing or maintaining power and control over the victim. Victim: The person against whom an abuser directs coercive and violent acts. Domestic Violence Service Provider: Agency or staff member of an agency that primarily or exclusively provides comprehensive services to victims of domestic violence, including residential programs licensed by the New York State Office of Children and Family Services. C. Guidelines I. Employee Awareness It is the goal of Westchester County to increase awareness of domestic violence and inform employees of available sources of assistance. To do this the County will: A. Have each Department post information on domestic violence and available resources in all work sites in places where employees can obtain it without having to request it or be seen removing it, such as employee rest rooms, on the County electronic media (Intra-net) or lounge areas. Such information shall include available sources of assistance such as Employee Assistance Programs (EAP), local domestic violence service providers, and/or human resources personnel who are trained and available to serve as confidential sources of information, support, and referral. Information shall be made available on employee bulletin boards and included in employee newsletters, as appropriate. B. Include information on domestic violence awareness and services in new employees' benefits packages and as part of new employee orientation. C. Conduct domestic violence awareness activities such as "brown bag" lunch programs and other health and wellness programs. D. Inform employees that New York State law prohibits insurance companies and health maintenance organizations from discriminating against domestic violence victims. The law prohibits designation of domestic violence as a preexisting condition. An insurance company cannot deny or cancel an insurance policy or require a higher premium or payment because the insured is or has been a domestic violence victim. [Section 2612 of the New York State Insurance Law.] E. Integrate information on domestic violence into existing materials and literature, policies, protocols, and procedures, as appropriate. The Office for Women shall be responsible for the provision of this material. II. Management/Supervisory Responsibility A. Each department shall have a compliance officer who shall be responsible for implementation of this Policy. B. All Department Heads and Supervisors will be trained by the Office for Women on the issue of domestic violence. C. All Department Heads/Supervisors shall set a tone communicating that domestic violence is behavior that will not be tolerated and that the Department will actively provide information and support to employees who are victims of such abuse. D. All Department Heads/Supervisors shall follow the policy and procedures set forth in this Policy. E. All Department Heads/Supervisors shall disseminate copies of the County Domestic Violence in the Workplace Policy to all employees upon implementation and to all new employees. III. Non-Discriminatory and Responsive Personnel Policies for Victimized Employees It is the goal of Westchester County to ensure that personnel policies and procedures do not discriminate against victims of domestic violence and are responsive to the needs of victims of domestic violence. A. New York State law makes it a crime for employers to penalize an employee who, as a victim or witness of a criminal offense, is appearing as a witness, consulting with a district attorney, or exercising his/her rights as provided in the New York State Criminal Procedure Law, the New York State Family Court Act, and the New York State Executive Law. This law requires employers, with prior day notification, to allow time off for victims or witnesses to pursue legal action related to domestic violence. [Section 214.15 of the New York State Penal Law] B. When an employee needs to be absent from work as a result of being a victim of domestic violence, County Departments will assist the employee in determining the best use of her/his attendance and leave benefits, taking into consideration the employee's particular situation. C. When Department policies require an employee to submit documentation to justify absences, Departments should be aware that victims of domestic violence may initially lack documentation or may have difficulty obtaining documentation without compromising their safety. Therefore, Departments should consult with the employee to identify what documentation she/he might have, or be able to obtain, that will not compromise his/her safety-related needs and will satisfactorily meet the documentation requirement of the employer. D. Employees who are victims of domestic violence and who separate from a spouse (or terminate a relationship with a domestic partner, if covered), shall be allowed to make reasonable changes in benefits at any time during the calendar year where possible, in accordance with statute, regulation, contract and policy. E. Westchester County shall prohibit inquiries about a job applicant's current or past exposure to domestic violence, and prohibit staffing decisions from being based on any assumptions about or knowledge of such exposure. F. In cases in which it is identified that an employee's work performance difficulties are a result of being a victim of domestic violence, said employee shall be afforded all of the proactive measures outlined in this Policy, and shall be provided clear information about performance expectations, priorities, and performance evaluation. If a disciplinary process is initiated, Departments should take special care to consider all aspects of the victimized employee's situation, and exhaust all available options in trying to resolve the performance problems, including making a referral to the Employee Assistance Program (EAP), consistent with existing collective bargaining unit agreements, statutes, regulations and Department policy. G. If reasonable measures have been taken to resolve domestic violence-related performance problems of victimized employees, but the performance problems persist and the employee is terminated or voluntarily separates from employment, the Department Head/Supervisor shall inform the employee of his or her potential eligibility for unemployment insurance and respond quickly to any requests for information that may be needed in the claims process. New York State law provides that a victim of domestic violence who voluntarily separates from employment may, under certain circumstances, be eligible for unemployment insurance benefits, [Section 593 of New York State Labor Law.] IV. Workplace Safety Plans In cooperation with the Office for Women, the Department of Public Safety, the Department of Human Resources, on-site security personnel, and other appropriate departments, Department Heads, supervisors, and human resources personnel must develop and have in place workplace safety response plans. Department Heads, supervisors, and human resources personnel must provide reasonable means to assist victimized employees, consistent with existing collective bargaining agreements, statutes and regulations. The Office for Women will be available to assist in the development of individualized safety plans for victimized employees. A workplace domestic violence safety response plan might include: A. Facilitating the enforcement of all known court orders, particularly orders in which abusers have been ordered to stay away from the work site. Note: The County cannot enforce orders of which it has not officially been notified. B. Assisting the victim in enforcement of an existing order, including gathering and providing evidence relating to whether a violation of an order has occurred. C. Having an emergency security plan in place, including: • procedures for contacting the appropriate law enforcement agency, and • providing employees with clear instructions about what to do and who to contact if they observe anyone engaging in threatening behavior. Such a plan will allow appropriate actions to be taken if an abuser gains unauthorized access to the work site, or if an abuser engages in any acts that threaten the safety of employees or clients. D. Consulting with victimized employees to develop and implement individualized workplace safety plans, which may include, when possible and appropriate: • advising co-workers and the employee's bargaining representative of the situation; • setting up procedures for alerting work site security and/or the police; • temporary relocation of the victim to a secure area; • options for voluntary transfer or permanent relocation to a new work site; • reassignment of parking space; • escort for entry to and exit from the building; • dealing with telephone, fax, e-mail or mail harassment; and • keeping a photograph of the abuser and/or a copy of any existing court orders in a confidential on-site location and providing copies to security personnel. E. Having Department Heads, supervisors, human resources personnel, and security staff inform victims of any confidentiality limitations that may exist (such as the appropriate sharing of information through the supervisory chain of command). Information related to an employee being a victim of domestic violence shall not be divulged without the express written consent of the victimized employee, unless it is determined that maintaining said confidentiality puts the victim or other employees at risk of physical harm. In these cases, where possible, Department Heads, supervisors, human resources personnel, and security staff shall give prior notification to the victimized employee of the intent to provide information to other parties. V. Accountability for Employees Who Are Offenders Westchester County shall hold accountable employees who engage in the following behavior: (1) misusing County resources to commit an act of domestic violence; (2) committing an act of domestic violence from or at the workplace or from any other location while on official County business or on County time; or (3) misusing his/her job-related authority and/or County resources in order to negatively affect victims and/or to assist offenders in locating a victim and/or to commit an act of domestic violence. a. Westchester County will take corrective or disciplinary action in accordance with existing collective bargaining unit agreements, statutes and regulations against any employee who is found to have committed an act of domestic violence as defined in this Policy, using County authority, resources, or time. b. In cases in which a Department has verification that an employee has committed a domestic violence-related offense, or is enjoined by a temporary or permanent order of protection as a result of domestic violence, and where said employee has job functions that include the authority to take actions that may directly impact victims of domestic violence and/or protect abusers from appropriate consequences for their behavior**, Department Heads, supervisors, and/or human resources personnel, shall determine if corrective action is warranted, in accordance with existing collective bargaining unit agreements, statutes and regulations. **Example of "actions that may protect abusers from appropriate consequences for their behavior" include, but are not limited to, withholding from or providing false information to supervisors or other authorities; destroying or tampering with evidence or documentation of an abuser's act(s) of domestic violence; assisting an abuser in filing false claims against the victim; and failing to report violations of employer policy or of the law. c. In cases in which an employee intentionally misuses his/her job-related authority and/or intentionally misuses County resources in order to negatively impact a victim of domestic violence, assist an abuser in locating a victim, assist an abuser in committing acts of domestic violence as defined in this Policy, or protect an abuser from appropriate consequences for his/her behavior**, said employee shall be subject to corrective or disciplinary action, in accordance with existing collective bargaining unit agreements, statutes and regulations. VI. Firearms (Note: only for applicable departments) Pursuant to New York State and federal law, a person convicted of a domestic violence-related crime or subject to an order of protection, under certain circumstances, forfeits the right to legally possess a firearm or long gun. Additionally, federal law contains prohibitions relating to shipping, transportation, or receiving firearms or ammunition. a. In addition to complying with these laws, Westchester County employees who are authorized to carry a firearm as part of their job responsibilities are required to notify their Department if they are arrested and/or convicted on a domestic violence-related offense and/or are served with an order of protection. Under certain circumstances, such employees are responsible for surrendering their firearms to the issuing Department or to the appropriate police agency. b. Should an employee fail to comply with the requirements set forth in Section VI.a., said employee shall be subject to corrective or disciplinary action, in accordance with existing collective bargaining unit agreements, statutes or regulations. In addition, the appropriate law enforcement agency shall be notified for possible criminal action. VII. Training The Office for Women shall regularly make available training on domestic violence and its impact on the workplace for all Department Heads, supervisors, employee assistance professionals, human resources personnel, and security staff. This training is mandatory. It will also be made available to union and labor representatives. a. Training curricula shall be developed and provided by the Office for Women. When possible, training can be integrated into existing union and management training programs, Department training programs, EAP training, etc. b. Training shall prepare staff to identify possible cues and indicators of victimization; make appropriate referrals; work with professionals to assist identified victims in safety planning; and develop individualized responses in recognition of the physical, social, and cultural realities that may affect an individual victim's situation. Training shall also include information on the ways in which domestic violence impacts the workplace, including the potential impact on worker productivity, and the safety risks to on-site personnel and visitors. D. Policy Consistent with Collective Bargaining Agreements This Executive Order is intended to be consistent with, and not to modify, any and all County agreements made with the collective bargaining units. E. More Stringent County Department Domestic Violence Policy Will Govern Whenever the provisions of a Domestic Violence Policy promulgated by a County Department are more stringent or impose higher standards than are required by this Executive Order, such County Department policy shall govern and prevail. F. Effective Date This Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: February 24, 2003 White Plains, New York EXECUTIVE ORDER NO. 3-2003 WHEREAS, the County owns various facilities that are held in trust for the public and are considered to be public property for the enjoyment of adults and children alike; and WHEREAS, the public nature of certain County facilities mandates that the County allow individuals to exercise their First Amendment rights on said public property; and WHEREAS, the need for these restrictions is especially necessary when such First Amendment conduct that is performed on public property may attract crowds and children; and WHEREAS, the exercise of a single individual's right under the First Amendment should not infringe upon another individual's enjoyment relating to the use of County property; and WHEREAS, Section 110.11 of the Laws of Westchester County places the responsibility to supervise, direct and control, subject to law, the administrative services and departments of the county, upon the County Executive; and WHEREAS, pursuant to Laws of Westchester County § 712.291, I have the authority to issue permits for meetings and demonstrations held on County-Owned Property; and WHEREAS, pursuant to Laws of Westchester County § 712.291, I also have the authority to designate a representative to issue permits for meetings and demonstrations held on County-Owned Property and have exercised this authority via Executive Order, the most recent one of which is Executive Order No. 1-2003; and WHEREAS, I have determined that it is in the best interests of the County to formally enact policies and procedures relating to the issuance of permits by my designated representatives in order to protect individuals who utilize County facilities; and NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that: (1) the following Permit Policy be implemented; (2) the policies and procedures set forth therein be complied with; (3) the County Permit Policy be posted at County facilities where applicable; and (4) the County's policy take effect immediately. WESTCHESTER COUNTY PERMIT POLICY I. Purpose. This policy has been established to ensure reasonable restrictions on permits to solicit, perform, demonstrate or engage in other similar conduct utilizing props and/or equipment on Westchester County property that constitutes a public forum by limiting the time, place and manner of such activity in order to assure a safe and secure environment for the protection of the public at large. II.\ Application. This policy shall apply to all individuals seeking to obtain a permit to solicit, perform, demonstrate, or engage in similar conduct utilizing props and/or equipment on public property owned by the County that is considered to be a public forum. These restrictions are being imposed for the safety of the public at large and to ensure their enjoyment of the County facilities. These restrictions are to be uniformly applied to all individuals regardless of the form of First Amendment expression and these restrictions shall not be utilized for the sole purpose of suppressing any individual's activity. III. Designated Permit Zones. On County public property that is deemed to be a public forum, there shall be a predetermined, designated zone where solicitation, performance, demonstration or other similar conduct utilizing props and/or equipment may be conducted. This permit zone shall be located in an area which shall minimize congestion or the obstruction of pathways, but shall also be situated in an area that is visible and accessible to the general public. These permit zones are being created to give the County the ability to effectively monitor and coordinate permitting throughout the County. In addition, this permit zone will enable the County to safeguard the peace, good order and comfort of the general public. Within thirty (30) days of the execution of this Executive Order, these permit zones shall be designated by the County officer in charge of issuing permits in said area. The permit zones must also be sufficient in number and size so as to leave open ample channels of communication. Under no circumstances shall these permit zones prevent purely expressive conduct that is not more disruptive or substantial than the conduct normally engaged in by the general public in said location. IV. Display of Permits. All individuals that obtain a permit shall conspicuously display their permits at the location authorized by said permit for the solicitation, performance, demonstration or other similar conduct. The permit shall contain the name of the individual and/or the organization as appropriate, the type of activity authorized by the permit, the date, time and place restrictions and a telephone number for the public to utilize in order to comment about the conduct and/or activity of the permittee. V. Permits Are Non-Transferable. Permits issued to individuals to solicit, perform, demonstrate or any other similar activity are not transferable. Any permit that is being utilized by an individual and/or organization other than the person and/or organization authorized to utilize said permit shall be immediately revoked. VI. Prohibition. In accordance with guidelines set forth in Article 23-a of the New York State Correction Law, any individual seeking a permit that has been convicted of a crime may be denied a permit if it is determined that: (1) there is a direct relationship between the criminal offense and the specific permit being sought; or (2) if the issuance of the permit would involve an unreasonable risk to property or safety or welfare of the general public. Notwithstanding the aforementioned, no individual known to have been convicted of a sexual offense against a minor shall be permitted to obtain a permit if the solicitation, performance, demonstration or other similar activity would entice a child to congregate around that person since the granting of such a permit would involve an unreasonable risk to the safety and welfare of children. VII. Revocation of Permit. Any violation or non-adherence to the requirements of this Permit Policy may lead to the immediate revocation of the permit. The Department of Public Safety is also authorized to revoke a permit if the permitted activity: (i) presents a clear and present danger to the public safety, good order or health; (ii) interferes with ingress to or egress onto the County's property or otherwise violates the terms and conditions contained in the permit; or (iii) results in bodily harm to any individual, damage to property, or imminent breach of the peace such that good order cannot otherwise be maintained. A permit may also be revoked upon receipt of complaints regarding a particular permittee, and after a review by the County of the conduct being complained of, provided however, that the conduct being complained of, is not purely a matter of one's expression of his or her First Amendment rights. VIII. Coordination of Efforts. The Department of Public Safety, the Department of Parks, Recreation and Conservation and any other appropriate County Department shall work together in order to properly administer and effectuate the provisions of this Executive Order, including but not limited to, coordinating with state and local law enforcement agencies to review the databases, as allowable under the law, that will assist in identifying known sexual offenders. IX. S.E.Q.R.A. Determination In accordance with the requirements of the State Environmental Quality Review Act ("SEQRA"), the Westchester County Department of Planning has determined that this Executive Order which establishes a permit policy for the use of certain County property is a Type II action, pursuant to Parts 617.5(c)(15) and 617.5(c)(27) of Title 6 of the Official Compilation of Codes, Rules and Regulations of the State of New York ("N.Y.C.R.R.") and therefore, that no further environmental review of this Executive Order is required. X. Effective Date. This Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: March 9, 2003 White Plains, New York EXECUTIVE ORDER NO. 4 of 2003 WHEREAS, the fastest growing financial crime in the United States is the crime of identity theft; and WHEREAS, it is estimated that identity theft affects upwards of 700,000 individuals per year and that monetary losses associated with identity theft are approximately $745 million per year; and WHEREAS, identity theft may ruin the good name and credit of consumers whose identities are misappropriated, and victims of identity theft may be denied otherwise well-deserved credit, may have to spend enormous time, effort, and sums of money to remedy their circumstances, and may suffer extreme emotional distress including deep depression founded in profound frustration as they address the array of problems that may arise as a result of identity theft; and WHEREAS, social security numbers have become tools that can be used to facilitate the crime of identity theft; and WHEREAS, the prevalence of the use and display of social security numbers and the ease by which individuals can obtain another person's social security number have raised serious concerns over privacy and opportunities for fraud; and WHEREAS, the County of Westchester is committed to doing its part to deter, where possible, the crime of identity theft; and WHEREAS, I have determined that it is in the best interests of the County to formally enact policies and procedures to address this important issue in order to lessen the potential misuse of social security numbers; and WHEREAS, Section 110.11 of the Laws of Westchester County places the responsibility to supervise, direct and control, subject to law, the administrative services and departments of the county, upon the County Executive; and WHEREAS, the Department of Planning has advised that this proposed Local Law does not constitute an action as defined under the State Environmental Quality Review Act regulations, 6 NYCRR Part 617.2(b), and therefore, pursuant to SEQRA, no environmental review is required; and NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, and in keeping with the spirit and purpose of the Federal Privacy Act of 1974, Pub. L. No. 93-579, § 7, 88 Stat. 1896, 1909 (1974), reprinted in 5 U.S.C. § 552a, to protect the privacy interests of individuals in their social security numbers, do hereby order and direct each and every department, board, agency, and commission of the County of Westchester under my jurisdiction to comply with and implement the County Identity Theft Deterrence Policy as follows. COUNTY IDENTITY THEFT DETERRENCE POLICY I. Purpose This policy has been established to encourage County departments, boards, agencies and commissions to take appropriate measures to limit, where practicable, the publication and distribution of social security numbers of County employees, in order to lessen the potential misuse of social security numbers. II. Application This policy shall apply to all departments, boards, agencies and commissions of the County of Westchester. III. Publication and Distribution of Social Security Numbers Each department, board, agency and commission of the County of Westchester that utilizes social security numbers in the exercise of its lawful functions, shall, to the extent practicable, take appropriate measures to limit the publication and distribution of any County employee's social security number, or any derivative of such number. IV. Appearance of Social Security Numbers on Identification Cards Each department, board, agency and commission of the County of Westchester shall prohibit the display of any County employee's social security number, or any derivative of such number, on any identification card. V. Display of Social Security Numbers on Checks Issued By the County of Westchester. The County Department of Finance shall prohibit the display of the social security number of any County employee on any check issued for any payment by the County of Westchester or on any document attached to or accompanying such a check. VI. The Display of Social Security Numbers on Other Cards Issued by Private Entities. Each department, board, agency and commission of the County of Westchester shall encourage any private entity doing business with the County of Westchester to limit the display of the social security numbers on any card or document issued by such private entity to any County employee, such as, for example, employee insurance benefits cards, or to any individual member of such board, agency or commission. VII. Access to Social Security Numbers. Each department, board, agency and commission shall ensure that access to social security numbers, and any derivative of such numbers, is restricted solely to: (1) officers and employees who are authorized to have such information in order to carry out the duties of their position; and (2) other persons or entities who are authorized to obtain such information. VIII. Review of Policies and Procedures and Issuance of Report of Findings. Each County department, board, agency and commission shall, within ninety days of the effective date of this Policy: (1) review its policies and procedures to determine the ways in which such department, board, agency and commission may best implement this Policy; and (2) issue an Action Plan to the Office of the County Executive detailing its findings. IX. Implementation of Executive Order Each County department, board, agency and commission shall implement its Action Plan, subject to amendment by the County Executive, no later than sixty days after the County Executive's review and approval of such Action Plan. X. Policy Consistent with Federal, State and Local Laws, Rules and Regulations. This Executive Order is intended to be consistent with applicable Federal, State and local laws, rules and regulations. XI. Effective Date This Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: April 1, 2003 White Plains, New York Executive Order No. 1-2004 WHEREAS, both federal and New York State law allow qualifying low and moderate income working families to claim a tax credit, known as the Earned Income Tax Credit, which operates to either reduce the qualifying family's overall tax burden or to produce a refund in the event that the credit exceeds the family's total tax liability; and WHEREAS, the Earned Income Tax Credits available at both the State and federal levels are designed to provide economic relief to qualifying low and moderate income families; and WHEREAS, according to the United States Census Bureau, Earned Income Tax Credit programs have been credited with lifting millions of families out of poverty and provide welfare recipients, particularly single parents, with an incentive to work because such programs allow qualifying families to retain a greater percentage of every dollar earned and therefore make work a more attractive option than welfare; and WHEREAS, in New York State, the total credit available to working families who qualify for the State and federal Earned Income Tax Credits ranges from approximately $500.00 for working families without children up to approximately $5,000.00 for working families with two or more children; and WHEREAS, it has come to my attention that, nationally, a large percentage of qualifying working families do not apply for, and therefore do not receive, the benefit of available state and federal Earned Income Credit programs; and WHEREAS, in 2000, only twenty-four (24%) percent of Westchester County families who filed tax returns which met the threshold income limit and which may have met all other qualifying factors applied for the State and federal Earned Income Tax Credits; and WHEREAS, I have determined that it is in the best interests of the County to formally enact policies and procedures which are designed to educate potentially qualifying residents about State and federal Earned Income Tax Credit programs in order to maximize the participation of Westchester county residents therein, and, thereby, to enhance the quality of life for those working families who would not otherwise be informed of, or apply for, these important tax-based programs; and WHEREAS, in order to achieve this goal, the County wishes to establish sites for the distribution of Earned Income Credit informational forms at those County offices currently providing walk-in services to the public and on the Westchester County website, to reach a broad range of working families who may qualify for the State and federal Earned Income Credits. NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that: (1) the following Earned Income Credit Information Form Distribution Policy be implemented; (2) the policies and procedures set forth therein be complied with by the designated County departments and commissions as specified herein; and (3) the County's policy take effect on the date hereof. COUNTY EARNED INCOME CREDIT INFORMATION FORM DISTRIBUTION POLICY I. Purpose This policy has been established to create a procedure for the distribution of informational materials relating to the State and federal Earned Income Tax Credit programs by County departments and commissions, and on the Westchester County website, in order to educate potentially qualifying families in Westchester County about such programs to maximize the participation of Westchester County residents therein, and, thereby, to enhance the quality of life for those working families who would not otherwise be informed of, or apply for, these important tax-based programs; and II. Application A. This policy shall apply to the following Westchester County administrative departments: 1. County Clerk's Office; 2. Department of Community Mental Health; 3. Department of Health; 4. Department of Social Services; 5. Department of Human Resources; 6. Department of Senior Programs and Services; 7. Westchester Community College; 8. Department of Probation; 9. Department of Parks, Recreation and Conservation; 10. Department of Corrections; 11. Human Rights Commission; 12. Office for the Disabled; and 13. Youth Bureau. B. Informational materials regarding the State and federal Earned Income Tax Credit programs shall also be posted on the official website of Westchester County. III. Procedure The Westchester County administrative departments and commissions named in Section II. above, shall serve as distribution centers for informational materials relating to the State and federal Earned Income Tax Credit programs. Supplies of such information materials, which shall be made available in both English and Spanish language versions, shall be maintained in a prominent display in the public access area of the offices of said departments and commissions. The employees of said departments and commissions shall not, however, provide any advice to members of the public regarding the Earned Income Credit programs or assist in the completion or filing of State or federal Earned Income Credit forms, except to the extent of directing individuals to the location of the informational forms and/or to direct such individuals to contact the pertinent State or federal agencies to obtain the necessary tax forms and/or instructions regarding the completion of same. Further, the administrative departments and commissions named in Section II, above, shall use their best efforts to encourage local agencies with which such departments or commissions contract to join with the County of Westchester in promoting the dissemination of information regarding the Earned Income Tax Credit to persons which may benefit therefrom. IV. Effective Date This Executive Order shall take effect on the date hereof, and shall remain in effect until otherwise superseded, repealed or revoked.
Dated: February 18, 2004 White Plains, New York Executive Order No. 2-2004 WHEREAS, advancements in technology have led to an unprecedented proliferation of a wide variety of communication devices; and WHEREAS, these devices such as cell phones and personal digital assistants have become a way of life for many individuals and, for the most part, provide a beneficial service to their users and to the general public; and WHEREAS, however beneficial these devices have become, their rapid advancement coupled with their widespread use requires an assessment as to the potential harm such instrumentalities may cause to the health, safety welfare of the general public; and WHEREAS, cellular telephones are now capable of capturing and transmitting images as easily as voices and this ability to take pictures without the knowledge or consent of unsuspecting individuals has raised concerns regarding personal privacy, particularly because cellular telephones that take pictures are not easily distinguished from those that do not; and WHEREAS, recent reports have indicated that "picture phones" are being used in areas that people normally expect some degree of privacy, such as bathrooms, locker rooms and changing rooms, and as a result, fitness centers around the country have already begun to limit the use of cell phones to designated areas; and WHEREAS, New York State Law prohibits the use of cameras and similar imaging devices to secretly view, broadcast or record a person dressing or undressing or the sexual or other intimate parts of such person at a place and time when such person has a reasonable expectation of privacy, without such person's knowledge or consent; and WHEREAS, Westchester County administers many facilities, including pools, beaches and golf-courses, that contain showers, locker rooms, changing rooms or similar facilities where there is a reasonable expectation of privacy, and it is the responsibility of the County to ensure that the public is properly informed and made aware of the potential for abuse of devices such as camera phones in these facilities; and NOW, THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned, and in accordance with my statutory duties, and consistent with New York State law, do hereby order, effective immediately, that: 1. No person shall utilize any mechanical, digital, or electronic viewing device or any other instrument capable of recording, storing or transmitting visual images, in any indoor facility owned or operated by the County, or portion thereof that is used by the general public primarily for the purpose of showering and/or changing clothes or in similar facilities where there is a reasonable expectation of privacy. 2. Every person charged with administering an indoor facility owned or operated by the County of Westchester, or portion thereof that is used by the general public primarily for the purpose of showering and/or changing clothes or other similar facilities where there is a reasonable expectation of privacy shall conspicuously post a notice at the entrance of such facility to read as follows: ALL CELL PHONE USE, INCLUDING ANY PICTURE TAKING DEVICES, IS PROHIBITED IN THIS AREA.
Dated: April 5, 2004 White Plains, New York Executive Order No. 3-2004 WHEREAS, the health and welfare of the residents of the County of Westchester requires a fiscally responsible and accountable government; and WHEREAS, the County of Westchester has made great strides in searching for and implementing new and efficient ways to promote fiscal integrity; and WHEREAS, the County of Westchester has consolidated the duties and functions of various department and employees in an effort to optimize efficiency and reduce the cost to its taxpayers; and WHEREAS, the County of Westchester wishes to continue this practice by critically analyzing the costs of any new programs or requirements; and WHEREAS, in the past, the County of Westchester has provided such fiscal information informally to the County Board of Legislators through documentation and the testimony of its County officers and employees at the various Committee meetings; and WHEREAS, the County of Westchester is committed to continuing this vital practice to sustain its fiscal health and growth and accountability to the general public; and WHEREAS, memorializing information regarding fiscal impact in writing will guarantee that all the members of the County Board of Legislators and the general public are fully apprised of the costs associated with newly proposed legislation; and WHEREAS, the accompaniment of a Fiscal Impact Statement with all local legislation introduced to the County Board of Legislators will ensure that members of the County Board and the general public are undeniably made aware of the fiscal impact of proposed legislation on the County prior to passage of such legislation; and WHEREAS, provided with essential financial information, the County of Westchester will be better able to ensure that newly enacted legislation is cost effective; and WHEREAS, I have determined that it is in the best interests of the County to formally enact a policy requiring that a Fiscal Impact Statement accompany all legislation submitted by the County administration to the County Board of Legislatures; and NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that: (1) the following Fiscal Impact Statement Policy be implemented, (2) the policies and procedures set forth therein be complied with; and (3) the County's policy take effect immediately. FISCAL IMPACT STATEMENT POLICY I. Requirement of Fiscal Impact Statement. Every proposed local law, act or resolution submitted to the County Board of Legislators that would affect the revenues or expenditures of the County shall have appended thereto a written statement of the fiscal impact of such legislation. II. Contents of Fiscal impact Statement. A statement of fiscal impact shall contain, but not be limited to, the following information: (a) total estimated annual operating cost(s) or impact on the County General Fund and or other County funds; (b) proposed source(s) of funding; (c) total estimated operating cost(s) or impact over the current year and the next four (4) years on the County; and (d) total estimated amortization and interest. III. Fiscal Impact Statement Forms. The Fiscal Impact Statement form shall consist of two parts, the Operating Budget Impact Form and the Capital Budget Impact Form. A copy of the Fiscal Impact Statement form is annexed hereto. IV. Preparation of Fiscal Impact Statement. The Operating Department (i.e., the Department impacted by the proposed legislation) is responsible for completing the Fiscal Impact Statement, in consultation with and upon the review of, the Departments of Budget and Finance, as is appropriate. The Operating Department shall obtain any information necessary to complete the Fiscal Impact Statement from the Department(s) best suited to furnish the information. V. Application. The requirement of this Fiscal Impact Statement shall apply to all legislation submitted to the County Board of Legislators to be placed as a communication on the agenda of a meeting of the County Board of Legislators after June 14, 2004. Matters that are currently pending before the County Board of Legislators and/or any of its Committees shall not be required to contain a Fiscal Impact Statement. V. Effective. This Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: White Plains, New York
EXECUTIVE ORDER NO. 4-2004
EXECUTIVE ORDER NO. 1-2005
EXECUTIVE ORDER NO. 2 OF 2005 EXECUTIVE ORDER NO. 3 OF 2005 WHEREAS, the conservation of energy and natural resources, whenever possible, will simultaneously reduce the amount of pollutants and nonrecoverable wastes released into the environment, as well as slow the ongoing depletion of energy source materials and other natural resources; and WHEREAS, by Executive Order No. 9-2002, I implemented a policy recommending the purchase and utilization of products that meet ENERGY STAR requirements, or other high energy-efficiency standards, by the County of Westchester wherever the price of such products is reasonably competitive and the quality adequate for the purposed intended; and WHEREAS, in furtherance of my environmental protection policies and practices, and in an effort to provide leadership in the field of resources conservation and energy-efficiency, I have determined that it is in the best interests of the County to expand on the policy set forth in Executive Order No. 9-2002 by formally enacting an Environmentally Preferable Purchasing Program which favors the procurement of a broader range of products provided that they are more environmentally-sound and/or energy-efficient than other competing products, to the extent feasible under all applicable laws, rules, and regulations. NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that: (1) wherever the price is reasonably competitive and the quality adequate for the purpose intended, purchase and utilization of Environmentally Preferable Products, as defined and in accordance with the procedures set forth herein, is recommended and (2) where feasible, Environmentally Preferable Products purchasing standards shall be developed by the County Purchasing Office, in conjunction with those County administrative departments which engage in purchasing decisions, and implemented in a consistent and uniform manner in accordance with the standards set forth herein. I. Purpose. This policy has been established to create a procedure whereby the purchase and utilization of products by the County of Westchester will take into account both the energy-efficiency and environmental-soundness of such products. II. Definitions. A. "Environmentally Preferable Products" shall mean products that have a lesser impact on human health and the environment when compared with competing products that serve the same purpose, including but not limited to those products which meet the ENERGY STAR requirements for energy efficiency as set forth in Executive Order No. 9-2002. The comparison specified herein may consider raw materials acquisition; production; manufacturing; packaging; distribution; reuse; operation; maintenance or disposal of the product, as well as the extent to which comparable products contribute to/detract from the production of waste and/or the creation of reusable materials; the use of energy; the use of water; greenhouse gas emissions; indoor air quality; and the presence of hazardous materials in the ground, water and/or atmosphere. B. "Environmentally Preferable Products Purchasing Agents" shall mean the person or persons so designated in each County administrative department which engages in the purchase of products to perform the duties specified herein. III. Application. This policy shall apply to all purchases made by and for the County of Westchester in accordance with all applicable laws, rules, and regulations. IV. Procedure. A. Whenever the price is reasonably competitive and the quality adequate for the purpose intended, the purchase and utilization of Environmentally Preferable Products is hereby recommended; and B. Environmentally Preferable Products purchasing standards shall be developed, to the extent feasible, by the County Purchasing Office in conjunction with those County administrative departments which engage in purchasing, and implemented in a consistent and uniform manner thereby in order to ensure the standardization of this Environmentally Preferable Products Purchasing Policy in Westchester County; and C. The Environmentally Preferable Products Purchasing Agent/s shall coordinate the implementation of this policy in their respective departments; collect data on the Environmentally Preferable Products purchasing decisions made in such departments; and annually report to the County Purchasing Office and the County Executive describing the progress of such Agent/s in implementing this policy, including: (1) the quantities, costs, and types of Environmentally Preferable Products purchased; (2) a summary of savings achieved thereby; and (3) recommendations, if any, for policy revisions in furtherance of the purposes outlined herein. V. Executive Order No. 9-2002 Superseded. Executive Order No. 9-2002 is hereby superseded by the enactment of this Executive Order. VI. Effective Date This Executive Order shall take effect on the date hereof, and shall remain in effect until otherwise superseded, repealed, modified or revoked.
Dated: May 12, 2005 White Plains, New York
EXECUTIVE ORDER NO. 4-2005 EXECUTIVE ORDER NO. 5 OF 2005 WHEREAS, natural and man-made disasters have and may occur in any part of the county; WHEREAS, the majority of emergency incidents are mitigated by local responders; WHEREAS, county agencies may be called upon to respond to and/or assist in recovery from the effects of emergency incidents and disasters; WHEREAS, the county of Westchester is committed to achieving a system that will provide a consistent countywide approach for federal, state, county and local governments to work effectively and efficiently together to prevent, prepare for, detect, respond to, operate at, and recover from emergencies and disasters, regardless of cause, size or complexity; WHEREAS, the Homeland Security Presidential Directive (HSPD)5 requires federal departments and agencies to adopt the National Incident Management System (NIMS) and as a condition for federal preparedness assistance, beginning in Fiscal Year 2005, state and local organizations are mandated by HSPD-5 to adopt NIMS as the model for incident management in times of disaster; WHEREAS, in times of disaster, local and county agencies will work closely with state and federal agencies; and WHEREAS, NIMS provides a consistent nationwide template for all agencies to work together to prevent, prepare for, detect, respond to, operate at, and recover from all hazards; NOW THEREFORE, I, Andrew J. Spano, County Executive of the county of Westchester, by virtue of the authority vested in me by the Laws of Westchester County, hereby order as follows: 1. All county agencies which may be required to participate in the management of emergency incidents and disasters shall follow the NIMS as the model for preparing for, detecting, responding to, operating at and recovering from emergency incidents and disasters; 2. The Department of Emergency Services, shall be the lead agency for determining overall county compliance with the requirements of NIMS and oversee the planning, training and implementation of NIMS within the county; 3. With assistance from the Department of Emergency Services, each county department/agency shall review its agency Emergency Operations Plan to ensure compliance with the requirements of NIMS; 4. All county agencies shall maintain an internal inventory of resources that may be needed in the event of an emergency or disaster and shall establish a process that provides for the expeditious identification and procurement of external resources needed in an emergency or disaster; and be it further RESOLVED, that this Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: August 8, 2005 White Plains, New York
EXECUTIVE ORDER NO. 7-2005
EXECUTIVE ORDER NO. 8-2005 EXECUTIVE ORDER NO. 9-2005 WHEREAS, pursuant to Executive Order No. 7-2002, the Westchester County Commissioner of Human Resources was directed to enter into an agreement with the New York State Division of Criminal Justice Services for the purpose of receiving criminal history reports of all prospective applicants for employment in the competitive class of the civil service of the County of Westchester; and WHEREAS, such agreement has been entered into and the Commissioner of Human Resources has been fingerprinting prospective applicants for employment in the competitive class of the civil service of the County of Westchester and receiving the resulting criminal history reports in accordance with the aforementioned Executive Order; and WHEREAS, since the enactment of Executive Order No. 7-2002, New York State Law has been amended by Chapter 575 of the Laws of 2004, which, in part, requires all New York State Office of Mental Health ("OMH") and the Office of Mental Retardation and Developmental Disabilities ("OMRDD") licensed, funded or approved providers to request criminal background checks for prospective employees who will have regular and substantial unrestricted or unsupervised contact with clients. The law requires that OMH and OMRDD conduct the check of criminal history information on behalf of the provider and establishes a procedure by which prospective employees are approved or denied for employment with a provider based on results of the criminal history check; and WHEREAS, the Westchester County Department of Community Mental Health is a "provider" pursuant to the New York State Mental Hygiene Law and also hires personnel that would fall into the dual categories of Westchester County competitive class civil servants and employees of OMH and OMRDD licensed, funded or approved providers; and WHEREAS, the requirement that the Westchester County Department of Human Resources conduct criminal history information checks on prospective Westchester County employees includes those prospective employees who will have regular and substantial unrestricted or unsupervised contact with clients of the Westchester County Department of Community Mental Health. Therefore, these prospective Westchester County employees are also required, pursuant to New York State law, to undergo an additional criminal history check by OMH and/or OMRDD, thus resulting in a duplication of services; and WHEREAS, given the fact that the New York State has enacted Chapter 575 of the Laws of 2004, requiring criminal history checks of certain prospective employees of the Westchester County Department of Community Mental Health, it is prudent to provide the Westchester County Commissioner of Human Resources with the ability to waive the requirements of Executive Order No. 7-2002 in cases where OMH and/or OMRDD will conduct criminal history checks with respect to eligibility and appropriateness for this particular type of public employment. NOW, THEREFORE, I ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties do hereby order that: In any case where a criminal history check is required pursuant to Chapter 575 of the Laws of New York of 2004 regarding a potential employee of the Westchester County Department of Community Mental health, the Commissioner of Human Resources shall waive the requirements of Executive Order No. 7-2002 and shall instead abide by the results of such criminal history check in determining whether or not a prospective applicant is eligible for employment with Westchester County.
Dated: October 24, 2005 White Plains, New York EXECUTIVE ORDER NO. 1 OF 2006 WHEREAS, identity theft is one of the fastest growing crimes in the United States whereby people's identities are being stolen by criminals who falsely apply for loans, access bank accounts, open fraudulent credit card accounts, and other similar activities; and WHEREAS, it is estimated that identity theft affects upwards of 700,000 individuals per year and that monetary losses associated with identity theft are approximately $745 million per year; and WHEREAS, identity theft may ruin the good name and credit of consumers whose identities are misappropriated, and victims of identity theft maybe denied otherwise well-deserved credit, may have to spend enormous time, effort, and sums of money to remedy their circumstances, and may suffer extreme emotional distress including deep depression founded in profound frustration as they address the array of problems that may arise as a result of identity theft; and WHEREAS, it is imperative that entities which contain personal information deploy new technologies to protect said information and establish the policies and procedures to inform individuals in the event of a breach in security; and WHEREAS, the County of Westchester is the custodian of sensitive personal material and information; and WHEREAS, the County of Westchester is committed to doing its part to deter, where possible, the crime of identity theft; and WHEREAS, Executive Order No. 2 of 2005 was issued in order to require that the County of Westchester take reasonable technological measures to protect its computerized data, and to notify the public when the possibility of an unauthorized acquisition or dissemination of their personal information may occur as a result of a security breach of the County's computer system or database; and WHEREAS, since 2003, the County Executive and the County Board of Legislators have urged the New York State Legislature to enact legislation to address this issue as well; and WHEREAS, since the issuance of Executive Order No. 2 of 2005, the New York State legislature amended the New York State Technology Law by adding a new section which would provide people with notice that their private information was acquired due to a security breach; and WHEREAS, I have determined that it is in the best interests of the County to formally enact policies and procedures, such as that contained in Executive Order No. 2 of 2005, to address this important issue in order to actively guard against identity theft in the event that a breach of our security measures has occurred; and WHEREAS, Section 110.11 of the Laws of Westchester County places the responsibility to supervise, direct and control, subject to law, the administrative services and departments of the county, upon the County Executive; and WHEREAS, the Department of Planning has advised that this proposed Executive Order constitutes a Type II action as defined under the State Environmental Quality Review Act ("SEQRA") regulations, 6 NYCRR § 617.5(c)(20) and § 617.5(c)(27) insofar as it relates to "continuing agency administration and management" and the "adoption of regulations, policies, procedures" in connection with such continuing agency administration and management. As such, no further environmental review is required pursuant to SEQRA; an NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties to protect the privacy interests of individuals by notifying them of any security breach of the County's computer systems, do hereby order and direct each and every department, board, agency, and commission of the County of Westchester under my jurisdiction to comply with and implement the County Security Breach Notification Policy as originally contained in Executive Order No. 2-2005 and as is hereby amended as follows: COUNTY SECURITY BREACH NOTIFICATION POLICY I. Purpose This policy has been established to require that the County of Westchester take reasonable technological measures to protect its computerized data, and to notify the public when the possibility of an unauthorized acquisition or dissemination of their personal information may occur as a result of a security breach of the County's computer system or database. II. Application This policy shall apply to all departments, boards, agencies and commissions of the County of Westchester. III. Definitions A. "Breach of the security of the system" shall mean the unauthorized acquisition or dissemination of computerized data which compromises the security, confidentiality or integrity of personal information maintained by the County of Westchester. Good faith acquisition of personal information by a County officer or employee or agent thereof is not a breach of the security of the system, provided that the personal information is not used or subject to further unauthorized disclosure. B. "Personal information" shall mean any information concerning a natural person which, because of name, number, personal mark or other identifier, can be used to identify such natural person. Personal information shall include, but not be limited to: 1. social security number; 2. driver's license number; 3. account number, credit or debit card number, in combination with any required security code, access code, or password which would permit access to an individual's financial account. Personal information does not include publicly available information that is lawfully made available to the general public from federal, state, or local records. C. "Unauthorized acquisition or dissemination of personal information" shall include access by an unauthorized person and/or dissemination by a county officer, employee or agent who decides to sell or misuse confidential, sensitive or personal information. IV. Technological Measures The County of Westchester, through its Department of Information Technology, shall take any technological measures it deems reasonable and appropriate in order to protect the County's computer database and to alert the County to any possible breach in its security system. V. Notification The County of Westchester shall disclose any breach of the security of its computer system following discovery or notification of a breach in the security of its computerized data to any person whose personal information was, or is reasonably believed to have been, acquired by, or disseminated to, an unauthorized person. VI. Types of Notification A. Written Notice B. Substitute Notice, if the County demonstrates that the cost of providing notice would be overly excessive, or if the County does not have sufficient contact information. Substitute notice shall consist of all of the following: 1. e-mail notice if the e-mail address of the person is readily available to the County; 2. conspicuous posting of the notice on the County's web site; and 3. notification to the local newspaper. VII. Notification Timeframe A. The notification to a person whose information may have been disclosed shall be made within five (5) business days of the discovery or notification of a breach in the security of the computerized data. B. The five (5) business day timeframe may be extended as deemed necessary to: 1. be consistent with the legitimate needs of law enforcement, as provided in Section VIII below, or 2. determine the scope of the breach and restore the reasonable integrity of the data system. VIII. Law Enforcement Considerations The notification required by this Executive Order may be delayed if a law enforcement agency determines that such notification impedes a criminal investigation. The notification required by this section shall be made after such law enforcement agency determines that such notification does not compromise such investigation. IX. Policy Consistent with Federal, State and Local Laws, Rules and Regulations. This Executive Order is intended to be consistent with applicable Federal, State and local laws, rules and regulations. X. Effective Date This Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: January 24, 2006 White Plains, New York EXECUTIVE ORDER NO. 2 OF 2006 WHEREAS, while proper sanitation and cleaning are necessary components of a healthy building environment, many cleaning products contain harmful chemicals that contaminate the environment and endanger human health; and WHEREAS, there are effective cleaning products on the market which have positive environmental attributes such as biodegradability; low toxicity; low volatile organic compound content; reduced packaging; and low life-cycle energy use; and WHEREAS, utilizing these less hazardous cleaning products in County workplaces and facilities can minimize the harmful impacts to office and custodial workers, as well as other occupants of County facilities; improve indoor air quality; and reduce water and ambient air pollution; and WHEREAS, by Executive Order No. 3-2005, I implemented the Environmentally Preferable Products Purchasing Program, which favors the procurement of a broad range of products provided that they are more environmentally-sound and/or energy-efficient than other competing products, to the extent feasible under all applicable laws, rules, and regulations; and WHEREAS, in furtherance of my environmental protection policies and practices, and in order to best protect the health and safety of all County employees and visitors, I have determined that it is in the best interests of the County to supplement the policy set forth in Executive Order No. 3-2005 in order to require specific application of the existing Environmentally Preferable Products Purchasing Program to the cleaning products utilized in County workplaces and facilities. NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that: I. "Environmentally Preferable Cleaning Products" shall mean those cleaning products that reduce or minimize the risks of harmful effects to employees, custodial workers, visitors and other building occupants through biodegradability; low toxicity; low volatile organic compound content; reduced packaging; and low life-cycle energy use, while maintaining a level of effectiveness which ensures the protection of public health and safety. II. Wherever the price is reasonably competitive and the quality adequate for the purpose intended, Environmentally Preferable Cleaning Products shall be purchased and utilized in County workplaces and facilities, in accordance with the Environmentally Preferable Products Purchasing Program policy and procedures as set forth in Executive Order No. 3-2005. III. The transition to Environmentally Preferable Cleaning Products, where feasible, shall occur as soon as possible in a manner that avoids wasting of existing inventories; accommodates establishment of supply chains for new products; enables the training of personnel in appropriate work methods; and allows the phase-out of products and practices inconsistent with this Order. IV. This Executive Order shall take effect on the date hereof, and shall remain in effect until otherwise superseded, repealed, modified or revoked.
Dated: May 25, 2006 White Plains, New York
EXECUTIVE ORDER NO. 3-2006 EXECUTIVE ORDER NO. 4 OF 2006 WHEREAS, approximately twenty-five percent of persons who live in Westchester County are foreign-born; and WHEREAS, immigrants have made significant contributions to every facet of the County's economic, educational and cultural life; and WHEREAS, it is the policy of the County of Westchester to promote the utilization of its services by all of its residents who are entitled to and in need of them; WHEREAS, meeting the needs of the County's immigrant population is important to maintaining public trust and confidence in county government and its agencies; and WHEREAS, access to County services by the immigrant communities of Westchester County is essential to the well-being of those communities and their continued integration into the County's life; and WHEREAS, the County's Human Rights Law protects aliens from discrimination in the areas of employment, housing and public accommodations, and the County is committed to enforcing those protections to the maximum extent permitted by federal law; and WHEREAS, checking on the immigration status of Westchester County residents is not a local responsibility and is only carried out in compliance with requirements of federal or state law; and WHEREAS, the public health, safety and general welfare of the County will be furthered by promoting access to County programs, services and activities by all residents; WHEREAS, the obtaining of pertinent information, which is essential to the performance of a wide variety of government functions, may in some cases be difficult or impossible if some expectation of confidentiality is not preserved, and preserving confidentiality in turn requires that governments regulate the use of such information by their employees; and WHEREAS, in furtherance of this policy, confidential information in the possession of County agencies relating to immigration status or other personal or private attributes should be disclosed only as provided herein; NOW, THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester in light of the aforementioned and in accordance with my statutory duties, do hereby order that: I. As used herein, a. "Alien" means any person who is not a citizen or national of the United States; b. "Confidential Information" means any information obtained and maintained by a County agency relating to an individual's sexual orientation, status as a victim of domestic violence, status as a victim of sexual assault, status as a crime witness, receipt of public assistance or immigration status, and shall include all information contained in any individual's income tax records. c. "Illegal activity" means unlawful activity but shall not include mere status as an undocumented alien. II. No County officer or employee shall disclose confidential information, unless: a. Such disclosure has been authorized in writing by the individual to whom such information pertains, or if such individual is a minor or is otherwise not legally competent, by such individual's parent or legal guardian; or b. Such disclosure is required by law; or c. Such disclosure is to another County officer or employee and is necessary to fulfill the purpose or achieve the mission of any County agency; or d. In the case of confidential information other than information relating to immigration status, such disclosure is necessary to fulfill the purpose or achieve the mission of any County agency; or e. In the case of information relating to immigration status: (1) the individual to whom such information pertains is suspected by such officer or employee or such officer's or employee's agency of engaging in illegal activity, other than mere status as an undocumented alien; or (2) the dissemination of such information is necessary to apprehend a person suspected of engaging in illegal activity, other than mere status as an undocumented alien. III. A County officer or employee, other than law enforcement officers, shall not inquire about a person's immigration status unless: a. Such person's immigration status is necessary for the determination of program, service or benefit eligibility or the provision of County services; or b. Such officer or employee is required by law to inquire about such person's immigration status. IV. 1. A police officer or peace officer including members of the Department of Public Safety and the Department of Correction: a. shall not inquire about a person's immigration status unless investigating illegal activity other than mere status as an undocumented alien. b. shall continue to cooperate with federal authorities in investigating and apprehending aliens suspected of criminal activity. 2. It shall be the policy of the Department of Public Safety not to inquire about the immigration status of crime victims, witnesses, or others who call or approach the police seeking assistance. V. Any service provided by a County agency shall be made available to all aliens who are otherwise eligible for such services. VI. County agencies may develop individual policies, procedures and training programs, consistent with this Executive Order, to ensure the proper and timely administration of health, safety and education programs, and social services. VII. This Executive Order shall take effect on the date hereof, and shall remain in effect until otherwise superseded, repealed, modified or revoked. EXECUTIVE ORDER NO. 5-2006 WHEREAS, Executive Order No. 1-2003 is hereby repealed; and WHEREAS, Section 110.11 of the Laws of Westchester County places the responsibility to supervise, direct and control, subject to law, the administrative services and departments of the county, upon the County Executive; and WHEREAS, pursuant to Laws of Westchester County § 712.291, I have the authority to designate a representative to issue permits for meetings and demonstrations held on County-Owned Property; and WHEREAS, the frequency of such meetings and demonstrations has increased in recent months; and WHEREAS, I have determined that it is in the best interests of the County that I formally designate the specific duty to issue permits exclusively for meetings and demonstrations to the appropriate officials in charge of the respective County areas where such meetings and demonstrations are to occur; NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order, effective immediately, that: 1. The President of the Westchester Community College, is hereby my designated representative authorized to issue permits required for meetings and demonstrations held on the Westchester Community College campus; 2. The Commissioner of the Department of Parks, Recreation and Conservation, is hereby my designated representative authorized to issue permits required for meetings and demonstrations held on the County parklands, including Playland; 3. The Commissioner of the Department of Transportation, [] is hereby my designated representative authorized to issue permits required for meetings and demonstrations which are held at the Westchester County Airport; and 4. The Commissioner of the Department of Public Works, [] is hereby my designated representative authorized to issue permits required for meetings and demonstrations which are held at any other area of County property which is not subject to the provisions of 1, 2, and 3 above. EXECUTIVE ORDER NO. 1-2007 WHEREAS, there is a deep concern regarding the integrity and ethics in government which has correctly led the United States Congress as well as the New York State Legislature to implement ethics reforms for public officials; and WHEREAS, Governor Spitzer has committed his administration to a new standard of unqualified integrity to insure the public trust; and WHEREAS, the County not only endorses the "transparency improvement" concept, but has encouraged this continuing effort to improve accountability by employees within Westchester County; and WHEREAS, the duty of trust, honesty and responsibility to the residents of Westchester County by the employees of Westchester County is of paramount importance; and WHEREAS, it is in the best interests of the County to implement policies and procedures with regard to outside employment to ensure that conflicts of interest do not exist between an employee's County position and any outside employment; NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that: I. Any County employee holding a position in Grade 10 or above is prohibited from working in more than one County job and receives two separate salaries from the County. II. a. Any County employee holding a position in Grade 10 or above who currently holds a second job outside County government or who currently engages in any outside employment with a company or business enterprise that currently does business with the County shall immediately inform their Commissioner or Department Head in writing that they are engaged in outside employment and shall provide the Commissioner with information regarding their outside employment to enable a determination to be made as to whether a conflict of interest exists. b. In the event that any County employee holding a position in Grade 10 or above obtains a second job or any outside employment in the future with a company or business enterprise that does business with the County, the County employee shall report such employment to their Commissioner or Department Head in writing prior to commencing such employment to enable a determination to be made as to whether a conflict of interest exists. c. For the purposes of this Executive Order, outside employment shall include any ownership interest in a business enterprise, full time, seasonal or periodic employment or part time employment. d. Written notification of outside employment to the Commissioner or Department Head shall include all of the following information: 1. the employee's name and title; 2. name and address of employer; 3. description of the type of employment (ownership interest, seasonal, periodic); 4. description of the nature of the employment; 5. whether the second employer is also County employee; 6. if the second employer does contracting work for the County. 7. a statement that the outside employment does not represent a conflict with his or her County employment and in the event that a conflict arises in the future, the employee will immediately terminate such outside employment. II. Upon receipt of such notification, a Commissioner or Department Head may disapprove of an employee's outside employment when such outside employment: (1) is contrary to departmental policies; or (2) presents an appearance of impropriety or conflict with the employee's County position. III. Any violation of this Executive Order may result in the initiation of appropriate disciplinary action against the employee. IV. This Executive Order shall not replace any existing Departmental policies regarding outside employment. V. This Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: February 12, 2007 White Plains, New York EXECUTIVE ORDER NO. 2-2007 WHEREAS, all across America citizens are demanding that government be accountable to the people; and WHEREAS, open government is crucial to a strong and vibrant democracy; and WHEREAS, people are truly interested in learning about what their government is doing and therefore government processes, officials and decision-making should be visible; and WHEREAS, government transparency requires regular reporting to the public on all matters affecting the government's fiscal condition and further requires government to be explicit about long term objectives and short term intentions; and WHEREAS, transparency in government will improve public access to fiscal and operational information so that County residents may better understand how their government works; and WHEREAS, the County has made great strides in implementing new and efficient ways to promote fiscal integrity and therefore enthusiastically endorses the "transparency improvement" concept; and WHEREAS, it is in the best interests of the County to continue to implement policies and procedures to ensure that County government is accountable to the residents of Westchester County; NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that: I. When any County Department, Division or Agency is seeking approval by the appropriate official or board to enter into a contract on behalf of the County, a statement indicating the public purpose for such contract shall be contained in any documents requesting such approval as follows: 1. All contracts requiring the approval of the Board of Acquisition and Contract shall include the statement indicating the public purpose for such contract in the cover memorandum annexed to the proposed contract authorization/award resolution that is submitted to the Board of Acquisition and Contract. 2. All contracts authorized pursuant to a delegation of authority from the County Executive under section 161.11(1)(c) of the Law of Westchester County (hereinafter "short form contracts") shall include the statement indicating the public purpose for such contract in the Budget Department approval form required to be completed for all such short form contracts. II. A contract will be deemed to have a public purpose when: 1. such contract promotes the public health, safety and general welfare, including, but not limited to, the economic and physical security of the inhabitants or residents of the County; 2. the ultimate goal or benefit of the project/contract will be for the public good; 3. the public interest will be served by the project/contract. III. All County Departments, Divisions and Agencies contracting with any not-for-profit ("NFP") entities, shall insure that such agencies are meeting the performance standards included in such contracts. 1. Contract agencies shall complete reports which track the NFP's progress towards meeting it's Targets/Objectives and which will enable the County to conduct audits including on-site inspections as may be necessary, to track or verify the NFP's performance under the agreement. 2. As part of the contract monitoring process the reports of the NFP's progress toward meeting the performance standards shall be reviewed by the Department responsible for the contract in consultation with the Budget Department. a. Each Department is responsible for promptly communicating any areas of concern regarding the NFP's performance under the Contract to the particular NFP. b. Departments are also responsible for monitoring the resolution of these concerns with regard to the NFP's efforts to meet the performance standards during the remainder of the contract term. 3. Departments shall prepare Contract NFP report cards prior to the expiration of the contract term to include an assessment of: 1. the ability of the NFP to achieve its targets/objectives; 2. the per-unit cost attributable to each service; 3. an overview of the NFP reporting and responsiveness to County inquiries/audits. III. This Executive Order shall take effect 45 days after execution and shall remain in effect until otherwise superseded or revoked.
Dated: , 2007 White Plains, New York
EXECUTIVE ORDER NO. 3-2007 EXECUTIVE ORDER NO. 4-2007 WHEREAS, the Clean Air Act requires the United States Environmental Protection Agency (EPA) to set National Ambient Air Quality Standards (NAAQS) for the six (6) principal air pollutants considered harmful to public health and the environment, namely: (1) carbon monoxide (2) lead; (3) nitrogen dioxide; (4) ozone; (5) particulate matter; and (6) sulfur dioxide; and WHEREAS, the EPA monitors the level of these pollutants in the air as well as the amounts of emissions from various sources which contribute to the presence of these pollutants on an annual basis, and analyzes the current state of air pollution on both nationwide and regional bases, including identification of certain non-attainment zones where the level of pollutants in the air exceeds the NAAQS; and WHEREAS, Westchester County is located within an EPA-designated non-attainment zone for particulate matter; and WHEREAS, Westchester County is also located within an EPA-designated moderate non-attainment zone for ozone; and WHEREAS, pursuant to New York State Department of Environmental Conservation ("NYSDEC") statistics, motor vehicle use comprises the largest single source of three major air pollutants, namely: carbon monoxide, hydrocarbons, and nitrogen oxide and that emissions from heavy-duty diesel powered trucks are significant contributors to elevated levels of ozone and fine particulate matter in the New York Metropolitan area; and WHEREAS, the EPA has stated that the reduction of sulfur levels in diesel fuels will provide immediate public health benefits by reducing the fine particulate matter and other pollutants released into the atmosphere which can cause pollution-related illnesses such as asthma, increased risk of cancer and other life-threatening health conditions; and WHEREAS, in 2005, I issued Executive Order No. 1-2005 to require that certain diesel powered vehicles utilized in connection with Westchester County contracts to operate on low sulfur fuel to help reduce atmospheric pollution; and WHEREAS, in 2006, I supported Westchester County Act No. 19-2006 codifying the adoption of Sec. 873.1329 to the Laws of Westchester County which imposed stricter requirements with respect to the sulfur content for diesel-powered vehicles than those contained in my Executive Order in order to minimize the emission of air pollutants locally and thereby assist in achieving the NAAQS; and WHEREAS, the Federal Government issued regulations relating to the use of ultra low-sulfur diesel fuel nationwide in a manner which also contained stricter requirements than set forth in Executive Order 1-2005; WHEREAS, in furtherance of my commitment to environmental protection policies and clean-air initiatives, I have determined that it is in the best interests of the County of Westchester to repeal Executive Order 1-2005; and WHEREAS, Westchester County will abide by the stricter Local and Federal standards thereby rendering Executive Order No. 1-2005 unnecessary; NOW THEREFORE, I, Andrew J. Spano, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that Executive Order No. 1-2005 is hereby repealed.
Dated: March 21, 2007 White Plains, New York EXECUTIVE ORDER NO. 52007 WHEREAS, the County of Westchester has long been committed to energy conservation and the reduction of greenhouse gas emissions; and WHEREAS, studies have shown that the replacement of old-fashioned incandescent light bulbs significantly reduces carbon dioxide emissions; and WHEREAS, compact fluorescent lamps (CFLs) are an energy-efficient and cost-effective alternative to the old-fashioned incandescent bulbs; and WHEREAS, CFLs use 75 percent less energy than standard incandescent bulbs to provide the same amount of light, last up to 10 times longer than incandescent bulbs, and help to save $30 or more in energy costs over each bulb's lifetime; and WHEREAS, replacing just one incandescent light bulb with a CFL prevents about 150 pounds of carbon dioxide from being emitted into the atmosphere each year, and WHEREAS, saving energy reduces pollution and the County of Westchester wants to do its part to address global warming and to reduce greenhouse gas emissions; and WHEREAS, Section 110.11 of the Laws of Westchester County places the responsibility to supervise, direct and control, subject to law, the administrative services and departments of the County, upon the County Executive; and WHEREAS, the Department of Planning has advised that since this Executive Order essentially favors one product over another serving the same purpose, for the environmental benefits of reducing energy consumption and carbon dioxide emissions, the proposed action has been classified as Type II, pursuant to section 617.5(c)(20), "routine or continuing agency administration and management, not including new programs or major reordering of priorities that may affect the environment," and section 617.5(c)(27), "adoption of regulations, policies, procedures and local legislative decisions in connection with any action on this list," and as such, no further environmental review is required; and NOW, THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that the use of incandescent light bulbs is prohibited in County-owned buildings and facilities and that all incandescent light bulbs shall be replaced as soon as practicable with compact fluorescent light bulbs, with the following exclusions: (1) exterior lighting fixtures, except that wherever practicable, exterior lights bulbs shall be replaced with energy-efficient bulbs; and (2) light fixtures at County-owned buildings or facilities that appear to have historic significance, have been determined eligible for National Register of Historic Places listings or are listed in the National Register which if replaced would compromise the historic character of the facility. This Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: April 19, 2007 White Plains, New York EXECUTIVE ORDER NO. 6 OF 2007 WHEREAS, lead is more dangerous to children than adults because it can harm their developing brains thereby resulting in reduced IQ, learning disabilities and behavioral problems as well as other deleterious physical manifestations, such as liver and kidney damage; and WHEREAS, despite the fact that lead exposure in Americans has fallen dramatically since the 1970s, the United States Center for Disease Control and Prevention has determined that there are still about 310,000 children in the United States between the ages of 1 and 5 today that have high levels of toxin in their blood; and WHEREAS, there is no acceptable level of lead exposure for a child; and WHEREAS, recently millions of Chinese-manufactured toys have been recalled because they contained lead paint; and WHEREAS, it is imperative that entities which sell, distribute or otherwise provide access to toys, jewelry and other items intended for use by children under the age of six, take the necessary precautions to assure that the products do not contain lead; and WHEREAS, the County of Westchester is committed to protecting the children and to do its part to assure, where possible, that toys, jewelry and other similar items intended for use by children under the age of six containing lead products are not being distributed to children under the age of six; and WHEREAS, it is in the best interests of the County to formally enact policies and procedures to address this important issue in order to actively guard against the sale or distribution of items which contain lead to children under the age of six at county owned facilities and/or county sponsored events; and WHEREAS, Section 110.11 of the Laws of Westchester County places the responsibility to supervise, direct and control, subject to law, the administrative services and departments of the county, upon the County Executive; and WHEREAS, the Department of Planning has advised that this proposed Executive Order constitutes a Type II action as defined under the State Environmental Quality Review Act ("SEQRA") regulations, 6 NYCRR § 617.5(c)(20) and § 617.5(c)(27) insofar as it relates to "continuing agency administration and management" and the "adoption of regulations, policies, procedures" in connection with such continuing agency administration and management. As such, no further environmental review is required pursuant to SEQRA; an [] NOW THEREFORE, I, ANDREW J. SPANO, Westchester County Executive, in light of the aforementioned and in accordance with my statutory duties to protect the health, safety and welfare of children who come to County facilities and/or County sponsored events, do hereby order and direct each and every department, board, agency, and commission of the County of Westchester under my jurisdiction, especially the Department of Parks/Playland, to ensure that no toys, jewelry or other similar items intended for use by children under the age of six containing lead are sold or distributed to children under the age of six; and All vendors of toys, jewelry or other similar items intended for use by children under the age of six who sell such items to the County must affirm to the particular County department, board, agency and commission that any such toys, jewelry or other similar items which may be sold or distributed to children under the age of six by the County are lead free. All promoters of events to be sponsored by the County must affirm that they will ensure that the groups who participate at such events will not sell or distribute any toys, jewelry or other similar items intended for use by children under the age of six unless such items are lead free. This Executive Order is intended to be consistent with applicable Federal, State and local laws, rules and regulations. In addition, this Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: August 31, 2007 White Plains, New York
EXECUTIVE ORDER NO. 7 OF 2007 EXECUTIVE ORDER NO. 8 OF 2007 WHEREAS, the New York City water supply watershed is a critical drinking water source for approximately eight million New York City consumers and approximately one million upstate consumers. Over eighty-five percent (85%) of Westchester County's residents consume water from the New York City water supply system; and WHEREAS, eutrophication is a natural aging process of lakes or streams brought on by nutrient enrichment. Eutrophication can be greatly accelerated by human activities that increase the rate at which nutrients and organic substances enter aquatic ecosystems from their surrounding watersheds; and WHEREAS, as a result of accelerated eutrophication, enhanced plant growth reduces dissolved oxygen in the water creating severely impaired water bodies with unpleasant water taste and odor, discoloration, release of toxins and increased turbidity that interferes with the health and diversity of indigenous fish, plant, and animal populations and with the recreational use of rivers, lakes and wetlands. Consequently, eutrophication restricts water use for fisheries, recreation, industry, and drinking due to the increased growth of undesirable algae and aquatic weeds and the oxygen shortages caused by their death and decomposition; and WHEREAS, nutrient pollution due to human activities is one of the leading causes of eutrophication in the NYC Watershed, and is specifically accelerated by the introduction of excessive phosphorus into the environment. In fact, most reservoirs in the East of Hudson portion of the New York City Watershed (5 of the 7 located in Westchester County) are designated as phosphorous-restricted basins in accordance with the New York City Watershed Rules & Regulations due to excessive phosphorous volumes which have not been reduced despite phosphorous reductions mandated by the New York State Department of Environmental Conservation (NYSDEC); and WHEREAS, one unnecessary source of phosphorus pollution in the watershed is the many pounds of lawn fertilizer applied by residents and businesses in the County of Westchester each year, and WHEREAS, when phosphorus fertilizer is applied to phosphorus-rich lawns, much of the excess simply runs off of the lawn into the storm drainage systems where it can be carried into rivers, lakes, streams, and wetlands, causing eutrophication; and WHEREAS, soil tests conducted pursuant to a six-year study by the Cornell Cooperative Extension, an extension of the State's designated Land-Grant University, have shown that approximately 90% of the lawns in Westchester County have medium-to-high levels of phosphorus; and WHEREAS, the New York City Watershed Pesticide and Fertilizer Technical Working Group, established by the New York City Watershed Memorandum of Agreement, issued a report in 2000, noting the high percentage of phosphorus in regional soils and recommending that phosphorus-based lawn fertilizers be added only when a soil analysis identifies phosphorus deficiencies. WHEREAS, the proposed Stormwater Phase II regulations recently issued by the New York State Department of Environmental Conservation, and which are expected to go into effect in January of 2008, will allow the use of phosphorus-based lawn fertilizers on municipally-owned land only where soil testing indicates that phosphorus concentrations are inadequate, in order to ensure that municipalities in the New York City Watershed are taking satisfactory steps to achieve the above-referenced mandatory phosphorous reductions. WHEREAS, the United States Environmental Protection Agency has also determined that a Nonpoint Source Implementation Plan was necessary in the Croton Watershed because the phosphorus reductions necessary to meet the targeted applicable water quality standards could not be achieved by wastewater treatment plant upgrades alone; and WHEREAS, Section 110.11 of the Laws of Westchester County places the responsibility to supervise, direct and control, subject to law, the administrative services and departments of the county, upon the County Executive; and WHEREAS, I have determined that restricting the application and use of lawn fertilizer containing phosphorus on all County-owned property will address one source of unnecessary and preventable phosphorus pollution and will improve water quality in the County; and WHEREAS, the Department of Planning, after review of the applicable regulations under the State Environmental Quality Review Act, has advised that this Executive Order has been classified as a Type II action, pursuant to 6 N.Y.C.R.R. § 617.5(c)(20), "routine or continuing agency administration and management, not including new programs or major reordering of priorities that may affect the environment," and 6 N.Y.C.R.R. § 617.5(c)(27), "adoption of regulations, policies, procedures and local legislative decisions in connection with any action on this list." As such, no further environmental review is required. NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned, do hereby order and direct each and every department, board, agency, and commission of the County of Westchester under my jurisdiction to ensure that the policies and procedures set forth in the following Phosphorus-Free Lawn Fertilizer Policy are complied with. COUNTY OF WESTCHESTER PHOSPHORUS-FREE LAWN FERTILIZER POLICY I. Definitions: (1) "Certified laboratory" means any laboratory certified by the New York State Department of Health pursuant to section five hundred two of the New York State Public Health Law to conduct soil analysis. (2) "Commercial fertilizer" means any substances containing one or more recognized plant nutrients which is used for its plant nutrient content, and which is designed for use or claimed to have value in promoting plant growth, except unmanipulated animal or vegetable manures, agricultural liming material, wood ashes, gypsum and other products exempted by regulation of the New York State Commissioner of Agriculture and Markets. (3) "Lawn fertilizer" means a commercial fertilizer distributed primarily for non-farm use, such as lawns, shrubbery, flowers, golf courses, municipal parks, cemeteries, greenhouses and nurseries, and such other use as the commissioner may define by regulation. Lawn fertilizer does not include fertilizer products intended primarily for garden and indoor plant application. II. Use and Application of Lawn Fertilizer: (1) Any lawn fertilizer that is labeled as containing more than 0% phosphorus or other compound containing phosphorus, such as phosphate, shall not be applied upon any County-owned property, except as provided in section III. of this Executive Order. (2) No lawn fertilizer shall be applied upon County-owned property when the ground is frozen. (3) Lawn fertilizer shall not be applied to any impervious surface upon County-owned property, including parking lots, roadways, and sidewalks. If such application occurs, the fertilizer must be immediately contained and either applied to turf in a manner consistent with this Executive Order or placed in an appropriate container. III. Exemptions: The prohibition against the use of lawn fertilizer under section II. of this Executive Order shall not apply to: (1) Newly established turf or lawn areas during their first growing season. (2) Turf or lawn areas that soil tests, performed within the past three years by a certified laboratory or by the Cornell University Cooperative Extension of Westchester County, confirm the need for additional phosphorus application in accordance with the phosphorus levels established by the Cornell University Cooperative Extension of Westchester County. The lawn fertilizer application shall not contain an amount of phosphorus exceeding the amount and rate of application recommended in the soil test evaluation. (3) Agricultural uses, vegetable and flower gardens, or application to trees or shrubs. IV. The transition to phosphorus-free lawn fertilizer shall occur as soon as possible in a manner that avoids wasting of existing inventories; accommodates establishment of supply chains for new products; enables the training of County employees and licensees in appropriate work methods; and allows the phase-out of products and practices inconsistent with this Executive Order. However, in no event shall lawn fertilizer containing phosphorus (i.e., labeled as containing more than 0% phosphorus or other compound containing phosphorus, such as phosphate) be applied upon County-owned property after January 1, 2009, unless an exemption set forth in Section III. of this Executive Order applies. V. This Executive Order shall take effect on the date hereof, and shall remain in effect until otherwise superseded, repealed, modified or revoked.
Dated: December 19, 2007 White Plains, New York EXECUTIVE ORDER NO. 1 OF 2008 WHEREAS, Westchester County contracts with various businesses and agencies to provide essential services to the County and its residents, encourages volunteers to assist certain County businesses and agencies in carrying out certain functions and provides housing to certain County employees, their spouses/domestic partners and their families on County property; and WHEREAS, the County of Westchester is committed to ensuring that all County services performed by outside vendors, employees of a vendor, third parties under the direction and control of vendors, such as subcontractors and volunteers are carried out by persons who are suitable for the work for which the vendor has been hired, for which the person has volunteered for, or to be on County property with access to County facilities and/or the general public; and WHEREAS, several County employees live in County provided housing located on County property and the County is committed to ensuring that any family members or other persons living in the household of such an employee do not pose a risk to any County resident visiting such County property; and WHEREAS, background inquiries to determine the suitability of individuals to perform any work or services for the County or to be on County property, will assist the County in promoting the safety and security of County employees and the general public, the security of facilities and data, and will protect vulnerable populations, including children, seniors and the infirm that are served by the County; and WHEREAS, background inquiries are necessary to protect the health and welfare of Westchester County residents, employees and visitors, by ensuring that persons who have a criminal record, or who have criminal charges pending against them, are evaluated to determine their suitability to perform work or services for the County, to perform work at a County-owned site, or to live on County property and WHEREAS, such background inquiries will enhance the public's trust in County government, and WHEREAS, I have determined that it is in the best interests of the County to formally enact policies and procedures to address this important public safety issue; NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that: 1. Executive Order No. 7-2007 is hereby revoked. 2. It shall be the duty of the Procuring Officer in each Department to maintain a record of criminal background disclosure from all persons providing work or services in connection with any contract entered into by the County, including leases of County owned real property and licenses, (hereinafter "County Contract"), where the following criteria apply: a. If any of the persons providing work or services to the County in relation to a County Contract are not subject to constant monitoring by County staff while performing tasks and/or while such persons are present on County property pursuant to the County Contract; and b. If any of the persons providing work or services to the County in relation to a County Contract may, in the course of providing those services, have access to sensitive data (for example, SSNs and other personal/secure data); facilities (secure facilities and/or communication equipment); and/or vulnerable populations (for example, children, seniors and the infirm). 3. The following persons shall be subject to the disclosure described in this Executive Order: a. Consultants, Contractors, Licensees, Lessees of County owned real property, their principals, agents, employees, volunteers or any other person acting on behalf of said Contractor, Consultant, Licensee, or Lessee who is at least sixteen (16) years old, including but not limited to Subconsultants, Subcontractors, Sublessees or Sublicensees who are providing services to the County. b. Any family member or other person, who is at least sixteen (16) years old, residing in the household of a County employee who lives in housing provided by the County located on County property. For the purposes of this Executive Order such persons shall be designated "Persons Subject to Disclosure." 4. The following Persons Subject to Disclosure shall be exempt from the disclosure required by this a. Those persons for whom the County has already conducted a background check and issued a security clearance that is in full force and effect; or b. Those persons for whom another state or federal agency having appropriate jurisdiction has conducted a security and/or background clearance or has implemented other protocols or criteria for this purpose that apply to the subject matter of a County Contract that is in full force and effect. If a Person Subject to Disclosure is not subject to the disclosure described in this Executive Order because of either "a" or "b" above, then the Consultant, Contractor, Licensee, or Lessee of County owned real property shall notify the Procuring Officer of its claim of exemption and it shall be the responsibility of the Procuring Officer to verify each exemption. If the Procuring Officer determines that the Consultant, Contractor, Licensee or Lessee is exempt under sections "a" or "b" above, the Procuring Officer shall confirm same with the Consultant, Contractor, Licensee or Lessee in writing, and maintain a written record including all supporting details of the verification of and acknowledgement of said exemption. If the Procuring Officer determines that the Consultant, Contractor, Licensee or Lessee is not exempt under sections "a" or "b" above, the Procuring Officer shall notify the Consultant, Contractor, Licensee or Lessee in writing, and the Contractor shall be required to submit the required forms addressed below. 5. "Procuring Officer" shall mean the head of the department or the individual or individuals authorized by the head(s) of the department(s) undertaking the procurement and with respect to those matters delegated to the Bureau of Purchase Supply pursuant to Section 161.l1(a) of the Laws of Westchester County, the Purchasing Agent. 6. The County shall have the right to bar any Persons Subject to Disclosure from providing services or work to the County subject to the applicable provisions of New York Correction Law §§ 752 and 753, if any such person has either one of the following: (1) a conviction of a crime (all felonies and misdemeanors as defined under the New York State Penal Law or the equivalent under Federal law or the laws of any other State); (2) a pending criminal proceeding for a crime(s) as defined above; or (3) a refusal to answer such questions. 7. It shall be the duty of every County Consultant, Contractor, Licensee or Lessee to disclose and to inquire of each and every Person Subject to Disclosure, whether they have been convicted of a crime or whether they are subject to pending criminal charges. In furtherance of this requirement, every County Consultant, Contractor, Licensee or Lessee shall submit completed applicable criminal disclosure forms that shall be provided by the Procuring Officer and approved by the County Executive's Office. 8. The criminal disclosure forms shall include a certification that each Consultant, Contractor, Licensee, Lessee and every Person Subject to Disclosure has been asked whether they or their company have been convicted of a crime or are currently subject to pending criminal charges. Should any Consultant, Contractor, Licensee, Lessee, or any Person Subject to Disclosure affirmatively advise that they have been convicted of crime or are subject to criminal charges; said individual or company shall be required to provide additional details in a corresponding disclosure form(s). Should any individual refuse to answer whether they or their company has been convicted of a crime or are currently subject to pending criminal charges, the name and title of said individual(s) shall also be identified in a corresponding form. 9. It shall be the duty of the County Consultant, Contractor, Licensee or Lessee to submit to the County all of the applicable disclosure forms described in this Executive Order from all Persons Subject to Disclosure prior to the commencement of the County Contract. 10. The County Consultant, Contractor, Licensee or Lessee shall be required to make the same inquiry and forward updated disclosure forms to the County regarding additional Persons Subject to Disclosure in connection with any County Contract during the term of such County Contract. The County Consultant, Contractor, Licensee or Lessee shall have a continuing obligation to maintain the accuracy of the disclosure forms for the duration of any County Contract, including any amendments or extensions thereto, and shall provide any updates to the information provided to the County as necessary to comply with the provisions of this Executive Order. 11. In times of emergency, the provisions of this Executive Order may be waived by the County Executive or his designee. A written record of such waiver shall be made by the contracting department which shall detail the time the waiver was issued, who issued it and what, if any, conditions were placed upon such waiver. Said written record shall be filed in the office of the Commissioner of the contracting department with a copy to the County Executive within ten (10) days after the termination of the emergency. 12. This Executive Order shall take effect within sixty (60) days after execution, shall apply to Contracts executed after such effective date, and shall remain in effect until otherwise superseded or revoked.
Dated: February 6, 2008 White Plains, New York EXECUTIVE ORDER NO. 2 OF 2008 WHEREAS, § 6032 of 109 P.L. 171 (42 USCS § 1396a (a) (68) (a)(c)) (hereinafter the "Deficit Reduction Act of 2005" or "DRA") requires compliance with DRA requirements from any private or public entity receiving or making annual payments under the State Medicaid plan of at least $5,000,000 ("Entity"); and WHEREAS, the DRA requires each Entity to establish written policies regarding the false claims laws and whistleblower protections, which policies shall provide for detecting and preventing fraud, waste and abuse, and which policies must be distributed, included in relevant employee handbooks and/or made available to all employees; contractors and agents; and WHEREAS, each Entity in New York must annually certify to the State Office of the Medicaid Inspector General that it is and remains compliant with DRA requirements; and WHEREAS, the County of Westchester (the "County") must comply with DRA requirements as the County through the activities of its various departments receives amounts and makes payments under the State Medicaid plan in excess of $5,000,000 each year and shall continue to do so into the foreseeable future; and NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that the attached Policies and Procedures concerning false claims and whistleblower protections be and are adopted and apply to the entire County; and Each head of each County department shall be responsible for educating all employees of his/her respective department, and any contractors, vendors, agents or assigns with access to information concerning County Medicaid transactions, of this Executive Order and the attached Policies and Procedures by directing those individuals to the designated County intranet or internet site, by providing a paper copy of such or by any other manner of professional communication, and a representative of each County department must certify to the County Compliance Officer, described below, that such information has been distributed to all appropriate individuals; and Any new employee of the County shall receive the attached Policies and Procedures in a handbook, a paper copy or by being directed to the appropriate internet or intranet site, and that all County employee handbooks shall be updated to include the attached Policies and Procedures; and I appoint County Attorney as the Compliance Officer responsible for annually submitting the Certification of Compliance with 42 USC § 1396a(a)(68), Employee Education About False Claims, and any other similar certification document(s) regarding compliance with medicaid, false claims and whistleblower requirements, to the proper State authorities. All County departments that have information relevant to this annual certification are responsible for regularly communicating such information to the Compliance Officer.
Dated: April 3, 2008 White Plains, New York
THE COUNTY OF WESTCHESTER
POLICY It is the obligation of the County of Westchester (the "County") to prevent and detect any fraud, waste and abuse in its organization related to Federal and State health care programs (Medicare, Medicaid and other governmental payer programs). To this end, the County maintains a vigorous Compliance Program and strives to educate our work force regarding the importance of submitting accurate claims and reports to Federal and State governments, as well as regarding the requirements, rights and remedies of Federal and State laws governing the submission of false claims, including the rights of employees to be protected as whistleblowers under such laws. The County prohibits the knowing submission of a false claim for payment in relation to a Federal or State funded health care program. Such a submission violates the federal False Claims Act as well as various state laws, and may result in significant civil and/or criminal penalties. PURPOSE Under the Deficit Reduction Act ("DRA") of 2005, the County is committed to the education and requirement of all employees, medical staff, volunteers, contractors, vendors, and residents that the County is committed to prevent fraud and abuse through. SCOPE This policy applies to all County employees, contractors, medical staff, volunteers, vendors, and residents. POLICY AUTHOR The Office of the County Attorney, 914-995-2660. PROCEDURE A. Fraud and Abuse Detection, Prevention and Employee Protection. To assist the County in meeting its legal and ethical obligations, the Health System expects and encourages any employee who is aware of or reasonably suspects the preparation or submission of a false claim or report or any other potential fraud, waste, or abuse related to a Federally or State funded health care program, to report such information to his/her supervisor, the General Counsel or the Corporate Compliance Officer. Any employee who reports such information will have the right and opportunity to do so anonymously and will be protected against retaliation for making the report. The County obligates itself to swiftly and thoroughly investigate any reasonably credible report of fraud, waste, or abuse or any reasonable suspicion thereof through the County Compliance Program. Please note that the County retains the right to take appropriate action against an employee who has participated in a violation of law or hospital or County policy. B. State and Federal Fraud and Abuse Detection, Prevention and Employee Protection What is the Federal False Claims Act? The False Claims Act (31 USC 3729-33) ("FCA") makes it a crime for any person or organization to knowingly make a false record or file a false claim with the government for payment. "Knowingly" means actual knowledge, deliberate ignorance or reckless disregard of facts that make the claim false. The FCA does not require proof of a specific intent to defraud the United States government; instead health care providers can be prosecuted for a wide variety of conduct that leads to the submission of fraudulent claims to the government, including but not limited to the following: a. Knowingly billing for services that were not provided; b. Knowingly billing for services that were not ordered by the physician; c. Double-billing for items or services; d. Submitting bills for services never performed or items never furnished; e. Billing for services that are not necessary for the treatment of patient; f. Billing for services that are more complex and at a higher reimbursement than the actual service provided (i.e., Up coding); g. Billing for services separately instead of billing the code that includes multiple services (i.e., Unbundling); h. Falsifying a diagnosis to justify test, surgeries or other procedures that are not medically necessary. What are the FCA Penalties? Violators of the FCA are liable under a civil penalty for each claim of not less than $5,500 and not more than $11,000, plus up to three times the amount of damages sustained by the federal government. How is the FCA Enforced? What is a "Qui Tam" Lawsuit? The FCA is enforced by a civil action commenced by either the government or private citizens. To encourage individuals to come forward and report misconduct involving "false claims", the federal FCA includes a "qui tam" or whistleblower provision. This provision allows any person with actual knowledge of allegedly false claims to the government to file a lawsuit on behalf of the U.S. government. Such a person is referred to as a "relator". Individuals seeking whistleblower status must meet several criteria. The whistleblower/relator must file his/her lawsuit on behalf of the government in a federal district court. The lawsuit will be "under seal" meaning the lawsuit is kept confidential while the government reviews and investigates the allegation. If the government decides not to join in the lawsuit the whistleblower may pursue the action alone. (The government may still join in later if it demonstrates good cause in doing so.) What are the Whistleblower Protections? The FCA also protects anyone who files a false claims lawsuit from being fired, demoted, threatened or harassed by his/her employer for filing the suit. If a court finds that the employer retaliated, the court can order the employer to re-hire the employee and to pay the employee twice the amount of back pay that is owed, plus interest and attorney fees. New York State Labor Law Protections New York Labor Law-740 provides that an employer may not take any retaliatory action against an employee if the employee discloses information about the employer's policies, practices or activities to a regulatory, law enforcement or other similar agency or public official. The employee's disclosure is protected only if the employee first brought up the matter with a supervisor and gave the employer a reasonable opportunity to correct the alleged violation. Whistleblower Rewards and Penalties As an incentive to bring these cases, the FCA provides that whistleblowers who file a qui tam action may receive a reward of 1530% of the monies recovered for the government plus attorneys' fees and costs. This reward may be reduced, however, if for example the court finds the whistleblower planned and initiated the violation. The FCA also provides that "whistleblowers" who bring frivolous qui tam claims can be held liable to a defendant for its attorneys' fees and costs. New York State Laws (a) Administrative and Civil Laws 1. Social Services Law § 145-c. If any person applies for or receives public assistance, including Medicaid, by intentionally making a false or misleading statement, or intending to do so, the person's, the person's family's needs are not taken into account for 6 months if a first offense, 12 months if a second (or once if benefits received are $1,0003,900), 18 months if a third (or once if benefits received are over $3,900) and five years for 4 or more offenses. 2. Social Services Law § 145-b False Statements. It is a violation to knowingly obtain or attempt to obtain payment for items or services furnished under any Social Services program, including Medicaid, by use of a false statement, deliberate concealment or other fraudulent scheme or device. 3. The State or the local Social Services district may recover three times the amount incorrectly paid. In addition, the Department of Health may impose a civil penalty of up to $2,000 per violation. If repeat violations occur within 5 years, a penalty up to $7,500 per violation may be imposed if they involve more serious violations of Medicaid rules, billing for services not rendered or providing excessive services. (b) Criminal Laws 1. Social Services Law § 145, Penalties. Any person, who submits false statements or deliberately conceals material information in order to receive public assistance, including Medicaid, is guilty of a misdemeanor. 2. Social Services Law § 366-b, Penalties for Fraudulent Practices. a. Any person who obtains or attempts to obtain, for himself or others, medical assistance by means of a false statement, concealment of material facts, impersonation or other fraudulent means is guilty of a Class A misdemeanor. b. Any person who, with intent to defraud, presents for payment any false or fraudulent claim for furnishing services, knowingly submits false information to obtain greater Medicaid compensation or knowingly submits false information in order to obtain authorization to provide items or services is guilty of a Class A misdemeanor. 3. Penal Law Article 155, Larceny. The crime of larceny applies to a person who, with intent to deprive another of his property, obtains, takes or withholds the property by means of trick, embezzlement, false pretense, false promise, including a scheme to defraud, or other similar behavior. It has been applied to Medicaid fraud cases. a. Fourth degree grand larceny involves property valued over $1,000. It is a Class E felony. b. Third degree grand larceny involves property valued over $3,000. It is a Class D felony. c. Second degree grand larceny involves property valued over $50,000. It is a Class C felony. d. First degree grand larceny involves property valued over $1 million. It is a Class B felony. 4. Penal Law Article 175, False Written Statements. Four crimes in this Article relate to filing false information or claims and have been applied in Medicaid fraud prosecutions: a. § 175.05, falsifying business records involves entering false information, omitting material information or altering an enterprise's business records with the intent to defraud. It is a Class A misdemeanor. b. § 175.10, Falsifying business records in the first degree includes the elements of the § 175.05 offense and includes the intent to commit another crime or conceal its commission. It is a Class E felony. c. § 175.30, Offering a false instrument for filing in the second degree involves presenting a written instrument (including a claim for payment) to a public office knowing that it contains false information. It is a Class A misdemeanor. d. § 175.35, Offering a false instrument for filing the first degree includes the elements of the second degree offense and must include an intent to defraud the state or a political subdivision. It is a Class E felony. 5. Penal Law Article 176, Insurance Fraud, applies to claims for insurance payment, including Medicaid or other health insurance and contains six crimes. a. Insurance fraud in the 5th degree involves intentionally filing a health insurance claim knowing that it is false. It is a Class A misdemeanor. b. Insurance fraud in the 4th degree is filing a false insurance claim for over $1,000. It is a Class E felony. c. Insurance fraud in the 3rd degree is filing a false insurance claim for over $3,000. It is a Class D felony. d. Insurance fraud in the 2nd degree is filing a false insurance claim for over $50,000. It is a Class C felony. e. Insurance fraud in the 1st degree is filing a false insurance claim for over $1 million. It is a Class B felony. 6. Penal Law Article 177, Health Care Fraud, applies to claims for health insurance payment, including Medicaid, and contains five crimes: a. Health care fraud in the 5th degree is knowingly filing, with intent to defraud, a claim for payment that intentionally has false information or omissions. It is a Class A misdemeanor. b. Health care fraud in the 4th degree is filing false claims and annually receiving over $3,000 in aggregate. It is a Class E felony. c. Health care fraud in the 3rd degree is filing false claims and annually receiving over $10,000 in the aggregate. It is a Class D felony. d. Health care fraud in the 2nd degree is filing false claims and annually receiving over $50,000 in the aggregate. It is a Class C felony. e. Health care fraud in the 1st degree is filing false claims and annually receiving over $1 million in the aggregate. It is a Class B felony. Whistleblower Protection 1. New York Labor Law § 740 a. An employer may not take any retaliatory action against an employee if the employee discloses information about the employer's policies, practices or activities to a regulatory, law enforcement or other similar agency or public official. Protected disclosures are those that assert that the employer is in violation of a law that created a substantial and specific danger to the public health and safety. The employee's disclosure is protected only if the employee first brought up the matter with a supervisor and gave the employer a reasonable opportunity to correct the alleged violation. b. If an employer takes a retaliatory action against the employee, the employee may sue in state court for reinstatement to the same, or an equivalent position, any lost back wages and benefits and attorneys' fees. If the employer is a health provider and the court finds that the employer's retaliatory action was in bad faith, it may impose a civil penalty of $10,000 on the employer. EXECUTIVE ORDER NO. 3 OF 2008 WHEREAS, the County of Westchester is committed to serving the citizens of the County and therefore the residents of Westchester County are entitled to fair, ethical and accountable County government which has earned the public's full confidence for integrity; and WHEREAS, public service is a public trust, and as an organization entrusted with public funds, it is critical that every County employee be committed to the highest standards of ethical behavior. WHEREAS, all County employees must perform their duties in a manner that maintains and enhances public confidence and trust in the integrity, objectivity and impartiality of the County; and WHEREAS, trust and mutual respect are the cornerstones of any relationship between the public and its government and as an organization entrusted with public funds, the County is obligated to ensure the protection and appropriate use of all its resources and assets; and WHEREAS, the County recognizes that it is only through the commitment and effort of each employee in its large workforce that the excellent quality of these services is achieved and public trust is maintained in this level of government. WHEREAS, as its most valuable and important asset, County employees are therefore expected to demonstrate the highest standards of behavior; and WHEREAS, implementing a Westchester County Code of Conduct for all employees will ensure that the County continues to act in the best interest of it's citizens and uphold the public trust; and WHEREAS, this Code clarifies the County's expectations of its employees, and reaffirms our commitment to caring for our community's needs and maintaining fiscal responsibility on behalf of the public and our employees; and WHEREAS, it is in the best interests of the County to continue to implement policies and procedures to ensure that County government is accountable to the residents of Westchester County; NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that: (1) the following Code of Conduct be implemented; (2) the policies and procedures set forth therein be complied with; (3) the Code of Conduct shall be provided to all County employees as follows: a. new employees at the time of commencement of such employment; b. all County employees on an annual basis; (4) Upon receipt of the Code of Conduct all County employees shall review such Code and sign an acknowledgement indicating that that they have read, understand and are in compliance with such Code; (5) the County's Code of Conduct shall take effect immediately. WESTCHESTER COUNTY CODE OF CONDUCT AIM Westchester County exists to serve the public interest. All employees of Westchester County must conduct themselves in a manner that promotes respect, trust, ethics, honesty, transparency and confidence in County government. Westchester County employees should avoid engaging in any activity that appears to be a violation of the public trust. The purpose and intent of this Code is to establish guidelines for ethical and individual standards of conduct for all Westchester County employees (full time, part time and seasonal). This Code of Conduct is not intended to replace the Westchester County Code of Ethics rather, it should be interpreted in conjunction with the Code of Ethics. This Code of Conduct is not intended to be applied in a vacuum. The absence of a reference to specific conduct does not mean that such offense is condoned or permissible. EQUITY AND FAIRNESS All Westchester County employees must refrain from all forms of discrimination or harassment against a co-worker, supervisor, vendor, contractor or member of the public. All Westchester County employees should provide courteous, efficient and impartial service to the public and should treat all persons with dignity and respect and in line with the County's Affirmative Action Program. PRIVATE AND PERSONAL INTERESTS A Westchester County employee must not use his/her official position to secure a benefit or advantage for either him/herself personally, nor shall a County employee use his/her official position to secure a benefit or advantage for someone with whom you have a relationship. Example: If the Department of Finance is auctioning off County vehicles, an employee of the Department of Finance, or an immediate family member or domestic partner of that employee should not be permitted to bid on auction items. Example: A Westchester County official must not use his position with the County to secure a job for an immediate family member or domestic partner with a company that currently does business with the County or wants to do business with the County. A Westchester County Commissioner should not hire an employee in his Department or another Department to perform a service for that Commissioner of a personal nature. Additionally, someone in a supervisory position should not hire a subordinate County employee to perform a service for that supervisor of a personal nature. Example: It would be inappropriate for a Commissioner to hire one of his employees, during off hours, to power wash his house, or complete renovations on his house. Similarly, it is inappropriate for a Commissioner to hire an employee who does not work in his Department, to perform that same type of service during off hours, because the appearance of impropriety is present. A Westchester County employee shall not use his/her position with the County or any board or agency to, in any way coerce or give the appearance of coercing, any person to provide financial gain for the County employee, immediate family member of that employee, or domestic partner. Example: A Westchester County employee cannot say to a company that transacts business with the County or wants to transact business with the County that his/her daughter is looking for a job, and if they want to continue to do business with the County, they should hire her. A Westchester County employee must not transact, conduct or solicit business for their private interests while on County premises and on County time. The use of County time and County resources must be limited to serving the public rather than a private interest. Example: A County employee may not use his County time or resources, such as County office space, a County telephone, County computer or other office equipment to conduct private business. Example: A County employee may not book a job for his private photography business on County time. Some employees have conditions of employment which require them to obtain written consent to take outside employment. All employees are obligated to familiarize themselves with Executive Order 1-2007 as well as any Departmental rules or regulations regarding outside employment. PROHIBITION AGAINST USE OF COUNTY PROPERTY Westchester County supplies, equipment, computers, personnel and other resources may not be used for non-governmental purposes, including personal purposes or for outside activities of any kind. This prohibition includes, but is not limited to, the following: Official County stationery may not be used for non-governmental purposes. County government resources may not be used to mail personal correspondence. Example: A County employee may not use County envelopes or stationary to pay personal bills or send out other personal mail. Under no circumstances may government postage, mail, internal office mail, or inter-County mail be used for non-governmental purposes. Example: A County employee cannot use County postage for personal mail. A County employee cannot use the internal office mail to circulate a wedding invitation. Absent a family emergency, County telephones may not be used for non-governmental long-distance calls, excessive or lengthy personal telephone calls, collect calls or calls billed to a personal telephone number. County telephones may be used for incidental and necessary personal local calls that are of limited duration and do not interfere with the proper exercise of the employee's duties. Example: An occasional local brief telephone call to make an appointment or check on a family member is a permissible use of County resources. County computers may be used for incidental and necessary personal purposes, provided that such use is of a limited amount and duration and does not interfere with the proper exercise of the employee's duties. The use of email or the internet for private commercial purposes (including but not limited to gambling, pornography, online auction sites and computer games) is forbidden. All computer files are the property of the County of Westchester regardless of their physical location or the form in which they are maintained. Example: A County employee may not use a County computer to conduct or further his own personal business. Example: A County employee uses the County computer to burn DVDs or CDs because the employee has a business on the side. That is an inappropriate use of the County system because the employee is using County equipment to pursue a private interest on County time. Example: A County employee may use a County vehicle to make a stop for lunch on the way back to the office immediately following a meeting, but a County employee is not authorized to use a County vehicle to attend a meeting and then, after the meeting, run a series of personal errands. County vehicles may only be driven by a County employee with a valid driver's license. If an employee drives a County vehicle as part of his job duties, and while employed by the County, his license is suspended or revoked, that employee may not operate a County vehicle and must immediately report the suspension/revocation of his/her license to Risk Management and his/her Commissioner. Example: If a Public Works employee who is required to operate a County vehicle as part of his job, loses his license because of a traffic conviction, such employee is no longer authorized to operate a County vehicle and is responsible for immediately reporting the loss of his/her license to Risk Management and his/her Commissioner. GIFTS A County officer or employee is prohibited from directly or indirectly soliciting any gifts, or accepting a gift that has a value of $75 or more regardless of the form of the gift, if it could reasonably be expected to influence the employee in the performance of his official duties. A County officer or employee is also prohibited from directly or indirectly soliciting or accepting a gift in excess of $75.00 if it is intended as a reward for performing an official act. The gift does not have to be cash or a check. The gift could be a meal, theatre tickets, tickets to a sporting event, a trip, some type of service-limousine, boat ride, etc. Example: A County employee cannot accept a dinner invitation or tickets to a sporting event from a person or company who currently transacts business or wants to transact business with the County if the value of the dinner or the tickets is in excess of $75.00, if the gift could reasonably be expected to influence the County employee in the performance of his duties. Comment: If you are unsure if it is appropriate to accept a gift, the gift should be declined. A gift could even include something that is intangible, such as a promise to do something in the future which could reasonably be expected to influence a County official in the performance of his official duties. Example: A County official may not vote to approve a contract with a certain contractor because that contractor promised the County official season tickets to the New York Yankees. Comment: Compensation for performing public duties is to limited an employee's salary and benefits. An employee must decide whether to accept a gift or favor, but in doing so, that employee must also realize that the public will judge that employee on his actions and will decide if there is an appearance of influence on the County employee's action by accepting the gift. County employees are permitted to accept plaques, souvenirs or mementos of nominal value associated with a given event. DONATIONS A donation by a person to someone seeking public office or party office, or to a committee in support of a candidate is not considered a gift. County employees may make monetary contributions to political campaigns. AVOIDANCE OF APPEARANCE OF IMPROPRIETY An employee's conduct in both his/her official and private affairs should be above reproach to ensure that his/her public position is not used or perceived as being used for personal gain. Example: A County employee is a voting member of the Board of Health. The Board of Health needs to vote on whether to hire a consultant. The consultant happens to be a cousin of the County employee. The County employee must disclose the relationship and not participate in either the discussion or vote to hire the consultant. HONESTY County employees should be completely honest in their dealings with the public, elected officials, appointing authorities, supervisors and fellow employees. REPORTING FRAUD AND OTHER UNUSUAL ACTIVITIES County employees should be alert to situations in which other employees commit or are about to commit acts which violate the law, County policy or this Code of Conduct. Illegal, unethical or dishonest actions harm us all. Each County employee has a responsibility and duty to report a coworker's illegal or unethical conduct to the Office of Professional Responsibility on the County hotline number which is 864-7850 or any other County designated number. When reporting any illegal or unethical conduct to the Office of Professional Responsibility, the employee may remain anonymous. There is no obligation for an employee to identify him or herself when making a report. Also, all reports of illegal conduct or unethical conduct by an employee will remain confidential. The Office of Professional Responsibility protocol is as follows: In order to enhance the County's ability to conduct an appropriate investigation into allegations of wrongdoing, either criminal or administrative, and to ensure that all County employees perform their services in accordance with the highest standards of integrity and professionalism, the following protocol is in effect: When an employee is either suspected of committing, committing or has committed an act that may constitute serious or criminal misconduct, the County employee with knowledge of the illegal or unethical conduct shall contact the Office of Professional Responsibility at 864-7850 as soon as practicable, or any other number designated by the County. Any evidence or materials related to the investigation should be secured and possible witnesses should be identified. No interviews, either formal or informal, should be conducted with the suspected employee. If an urgent circumstance exists that requires immediate notification during non-business hours, notification should be made to the Westchester County Police Desk. The officer at the Westchester County Police Desk shall immediately make notification to the Commissioner of the Department of Public Safety, through appropriate channels, who may then make notification to the County Attorney. Upon being advised of the nature of the conduct and the facts or information substantiating the suspicion, the Deputy County Attorney shall consult with the Commanding Officer of the Department of Public Safety's Special Investigations Unit to determine the investigative steps, either criminal or administrative, that will be initiated in furtherance of the investigation. A County employee may also report the illegal or unethical conduct to his or her supervisor, appointing authority or Department head. Example: If you observe a co-worker taking County equipment or supplies and loading it into a personal vehicle, you should report this conduct immediately. Example: If you observe your co-worker falsifying his time card to reflect that he was at work when he was not, that conduct should be reported immediately. Example: If one of your co-workers is out of work because of a job injury, and you observe that coworker engaging in activities that are inconsistent with his injury, that conduct should be reported immediately. ALCOHOLIC BEVERAGES Except for approved functions, Westchester County prohibits the sale or consumption of alcoholic beverages on County premises. A Westchester County employee is prohibited from reporting to work or working while under the influence of alcohol. ILLEGAL DRUGS A Westchester County employee shall not possess, use, sell, distribute or be under the influence of any unauthorized substance on County premises. An unauthorized substance is any illegal drug or illegal controlled substance, or any drug which has been legally obtained but is not being used in the prescribed dosage for prescribed purposes. FIREARMS/HAZARDOUS MATERIALS The possession or use of a firearm or other lethal weapon, ammunition, explosive or hazardous material by an employee on County premises who is not authorized to possess such weapons is prohibited. A County employee is prohibited from applying for a pistol license on the basis of County employment in the absence of a written authorization from the employee's Appointing Authority. CONFLICT OF INTEREST An employee must not engage in any business or transaction, and must not have a financial or personal interest (direct or indirect) that is incompatible with his/her official duties or would impair his/her independence, judgment or action in the performance of his/her duties. County employees should avoid situations where their official actions may affect or appear to affect their private interests, financial or non-financial. Example: If a County employee is an officer of an organization that conducts business with the County, that County employee may not vote or participate in a vote to decide if that same organization should be awarded a contract with the County. Example: A County employee may not evaluate a contractor's performance on a contract if the County employee's spouse, immediate family member, or domestic partner works for the contractor and receives a monetary benefit based upon the success of the County contract. Comment: Hiring, supervising or disciplining a relative must be avoided because it is a special type of conflict of interest, which can effect employee morale and compromise a manager's ability to effectively manage a department. Example: A County manager or supervisor should not ask a subordinate employee who has a talent for fixing computers to take a look at his personal computer as a personal favor. Example: A County manager or supervisor should not ask a subordinate employee, who works in another department, to take a look at a friend's computer as a personal favor to him because the subordinate employee has a talent for electronics. DISCLOSURE OF CONFIDENTIAL INFORMATION County employees shall maintain the confidentiality of information obtained in the course of their employment. They shall not disclose information not made available to the general public or use any such information to obtain, directly or indirectly, financial benefit for themselves, members of their families, their business associates or friends. PARTICIPATION IN POLITICAL ACTIVITIES No County employee is permitted, during regular working hours of employment, to take an active part opposing or supporting any candidate in any political campaign. Further, an employee is not permitted to seek signatures for any petition which seeks to advance the candidacy of any person for any municipal office on County time. No County employee may be threatened or negatively affected for not contributing to a political campaign, nor may a County employee be rewarded for contributing to a political campaign. Comment: County employees are not prohibited from seeking election or appointment to public office or from being active in political campaigns; however, a County employee may not do so on County time. FAVORITISM A supervisory or management employee may not participate in the appointment or recommend the appointment of an immediate family member, domestic partner, and/or a person with whom the employee has a close personal or business relationship to a position in any department, office, bureau or division over which he/she has control. Example: A Commissioner may not recommend or participate in the appointment of a spouse or domestic partner to a supervisory position in his/her department. Example: An employee's use of his or her position to influence or pressure a contractor or vendor with Westchester County to hire a relative or domestic partner creates a circumstance ripe for a conflict of interest. FUTURE EMPLOYMENT A Westchester County employee is not permitted to discuss or negotiate for future employment with any person, firm or organization that currently does business with the County concerning matters within the employee's area of responsibility, or upon which the employee will be required to make a recommendation, when that person's employment status would create an advantage not available to other organizations. No County official or employee shall, upon termination of his/her employment with the County, become employed or accept employment with the county or as a paid consultant to the County or any agency of the County in the absence of a waiver approved by the Board of Legislators. It is the former employee's responsibility to obtain the waiver. Example: A Deputy Commissioner cannot resign from County employment and then accept a position as a consultant to the County, unless that employee has sought and obtained a waiver from the Board of Legislators. Comment: County employees should be aware that they are vulnerable to offers of a job with a company that does or desires to conduct business with the County if they share confidential information. County employees cannot share information or do favors for a company that does or desires to conduct business with the County as this may lead to an appearance of impropriety. Offers of future employment in return for information or favors is clearly improper. DOCUMENTATION Appointing authorities are required to issue a copy of the Code of Conduct to every employee under their authority. Issuance of the Code must be documented by having the employee sign the "Acknowledgment" below. ACKNOWLEDGMENT I _______, have read, understand and am in compliance with the provisions of the Code of Conduct. I have also read the summary of polices attached to the Code of Conduct and have read, understand and in compliance with those policies mentioned as well. I am not aware of any violations of the Code of Conduct or attached policies at this time. Should I become aware of any violations of this Code of Conduct, I understand it is my obligation to notify the Office of Professional Responsibility, my supervisor, appointing or department head. Signed: _____Date: _____ Department: _______ Summary of Policies Below is a summary of the policies mentioned in the Code of Conduct. Each and every County employee is expected to be familiar with these policies. In addition to the summary, if you have any questions about the policy, you can read it by going to the links listed below. Also, you may consult your Department Head on questions regarding County policies. Code of Ethics The purpose of the Code of Ethics is to establish guidelines of ethical conduct on the part of County officers and employees to maintain the public trust, confidence and integrity in County government. www.web009/PersonnelDoc/CodeofEthics Alcohol and Drugs This Executive Order prohibits County employees from reporting to work while under the influence of drugs or alcohol, or using drugs or alcohol while at work. This Executive Order also prohibits the operation of a County vehicle while under the influence of drugs or alcohol. This Executive Order also advises County employees that if they have a problem with drugs or alcohol, they can have access to Employee Assistance and get assistance in treating this condition in a confidential manner. cww.westchestergov.com/executiveOrders/EO199806.htm Firearms This Executive Order prohibits County employees, who have a license to carry a firearm without regard to place of possession, from carrying or possessing a firearm while performing their duties or while on County property. This Order does not apply to those County employees required to possess a firearm for the performance of their official duties. cww.westchestergov.com/executiveOrders/E00004.htm Acceptable Computer Use Policy This policy advises County employees that the computer equipment provided to you by the County is owned by the County and that an employee has no expectation of privacy when using a County computer. Additionally, County computers are to be used primarily for business related purposes. County computers may be used for personal purposes as well, provided it does not interfere with the employee's work performance. Most importantly, this policy advises County employees that County equipment is not to be used to access inappropriate websites, such as a pornographic website or a gambling website. www.web009/PersonnelDoc/AcceptableComputerUsePolicy Executive Order 1-2007-Outside Employment This Policy provides that any County employee who is in a Job Group 10 or above is prohibited from holding two positions with the County and receiving two paychecks. Additionally, any County employee who is a Job Group 10 or above and who has outside employment with a company that conducts business with the County must immediately inform their Commissioner or Appointing Authority to determine if a conflict of interest between the two positions exist. cww.westchestergov.com/executiveOrders/2007 Executive Order 3-2007 - Workplace Violence Policy Westchester County will not tolerate violence in the workplace. All incident of violence or threats of violence or harassment or intimidation or other disruptive behavior should be reported and investigated to ensure that Westchester County can provide its employees with a reasonably safe and secure work environment. cww.westchestergov.com/executiveOrder/2007 Executive Order 8-2005-Equal Employment Opportunities and Anti-Discrimination Policies This Policy reaffirms Westchester County's commitment to providing an equal opportunity to all individuals in employment practices and actively seeks to employ and advance qualified individuals without regard to race, color, national origin, religion, age, alienage or any other basis prohibited by law. This policy also reaffirms Westchester County's commitment to a zero tolerance towards all forms of harassment or discrimination toward its employees by co-workers, supervisors or other persons having a relationship with the County and prohibits any conduct that creates an intimidating, hostile or offensive work environment or which is otherwise inappropriate or unprofessional. cww.westchestergov.com/executiveOrder/2005 This Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: May 7, 2008 White Plains, New York EXECUTIVE ORDER NO. 4-2008 WHEREAS subdivision "2" of Section 400.00 of the New York State Penal Law authorizes the issuance of a license to have and carry a firearm without regard to place of possession; and WHEREAS only certain law enforcement personnel who work for the County are required to carry a firearm as part of their official duties; and WHEREAS with the exception of certain law enforcement positions, County employment does not require the use of a firearm for the performance of official duties; and WHEREAS other County employees not required to possess a firearm for the performance of their official duties may also hold firearm licenses; and WHEREAS the maintenance of a safe workplace is of paramount importance; and WHEREAS the New York State Attorney General has opined that a municipality may prohibit its employees from carrying firearms while on duty; NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, do hereby order that: 1. Executive Order No. 4 of 2000 is hereby revoked. 2. Employees of the County of Westchester not required to possess a firearm for the performance of their official duties who are applying for a license authorizing the carrying of a firearm without regard to place of possession, shall not use County employment in any application to obtain a pistol permit as a basis to establish proper cause for the issuance of such license, without the written approval of their Commissioner/Department Head. 3. Employees of the County of Westchester not required to possess a firearm for the performance of their official duties, who hold any license authorizing the carrying/possession of a firearm, shall not possess such a firearm while performing their duties or while present upon any real property of the County of Westchester, unless such an employee has secured the prior written consent of the Commissioner of Public Safety. 4. This Executive Order shall not apply to the employees of those County departments that have adopted a formal, written firearm policy. This Executive Order shall take effect immediately.
Dated: May 13, 2008 White Plains, New York EXECUTIVE ORDER NO. 5-2008 WHEREAS, all County departments and agencies are responsible for the proper management, retention and disposition of their records; and WHEREAS, Chapter 631 of the Laws of Westchester County established a Records Management and Archives Program for Westchester County; and WHEREAS, the Chief Information Officer is required to act as the Records Management Officer for county records and is responsible for establishing a process for: (1) the transfer of inactive records to the Records Center; (2) the retention of records of continuing value; and (3) for the prompt and orderly disposal of records no longer possessing sufficient administrative, legal, fiscal or historical value to warrant their further retention; and. WHEREAS, the Westchester County Records Commission is responsible for overseeing and monitoring the development and implementation of Records Management and Archives Program; and WHEREAS, on June 17, 2008, the Westchester County Records Commission approved proposed changes and improvements to the Records Management and Archives Program developed by the Chief Information Officer; and WHEREAS, in October of 2008; the Chief Information Officer drafted a memorandum incorporating such proposed changes to clarify the County's policies regarding County records; and WHEREAS, a copy of said memorandum has been attached hereto; NOW THEREFORE, I, Andrew J. Spano, County Executive of the County of Westchester, by virtue of the authority vested in me by the Laws of Westchester County, hereby order the memorandum drafted by the Chief Information Officer relating to the Management, Retention and Disposition of County Records be incorporated herein by reference and be considered and utilized by all County departments and agencies in connection with the proper management, retention and disposition of their County records. RESOLVED, that this Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: December 9, 2008 White Plains, New York
Memorandum
To: Commissioners and Department Heads From: Marguerite Beirne, Chief Information Officer Re: Management, Retention And Disposition of County Records Date: November 1, 2008 Under the guidance of the Chief Information Officer (CIO), all departments and agencies of County government are responsible for the proper management, retention and disposition of their records. The purpose of this memo is to further clarify the County's policies regarding records in all their various forms. Since most of us are more familiar with paper records, a significant emphasis below is on electronic records, although the rules apply to both kinds. (Note that this memo replaces and updates both the May 2002 and the Jan. 2008 memos on this subject. This is the version recently reviewed and approved by the Westchester County Records Commission.) If you have further questions, please free to contact me. 1 What Is A County Record? A County Record is defined in the County Charter as "any book, paper, drawing, plan, picture, sketch, rendering, photograph, map, form, machine-readable information, microfilm, or any other documentary material, regardless of physical form or characteristics...created or received by any department in pursuance of law or in connection with the transaction of governmental business." State regulations clearly indicate that all .records in electronic format, including email, videotapes, voice mail, etc. are also considered County records and are subject to the same rules and schedules used to manage paper records. The Department of Information Technology (DoIT) has systems in place to store, backup and retrieve electronic records of data contained in the databases used by your departments. It is clear that such data meets the requirement of a "government transaction." Subject to the general regulations and specific ones applicable to their professional areas, the individual departments and users who create general business electronic records. Such as email and documents on shared servers and desktop computer hard drives, must decide if each record represents a transaction of government business or policy document. 2 Legal and Regulatory Requirements There are two general sources of the rules concerning records. The first comes out of State and County legislation and regulation. The second, more recent, applies to the discovery rules in Federal litigation. In addition to these two sources, special rules may apply to your department's handling, retention and disposition of records as a result of legislation-including those from HIPPA (which has additional confidentiality and privacy requirements), Court Administration, NYS Board of Elections or various higher level criminal justice agencies. In 1991, the County Board of Legislators formally adopted, for use by all County Officers, the NYS Archives Records Retention and Disposition Schedule C0-2 — available at http://www.archives.nysed.gov/alrecords/mr pub co2.pdf Ch. 631 of The Laws of Westchester County outlines the County's Records Management and Archives Program. Here are the key points: • Section 631.21(a) states that the CIO shall establish a process for the transfer of inactive records to the Records Center, which has, of course, been in place for sometime. • Section 631.51(1) states that a "County department is the legal custodian of its records and shall retain custody of records deposited in the County Records Center." • Section 631.31 further provides that the Chief Information Officer shall initiate action to dispose of these records within six months after their retention period has ended. Moreover, no records of a department shall be destroyed or otherwise disposed of without a certification by the department head that the records are no longer necessary to its administration and a certification the records have no historical value by the CIO, who is the overall County records officer. (The Charter also notes that approval from State authorities is needed prior to disposition, but that approval, according to State regulations, now operates through the County's records officer.) In practice, DoIT's role is to advise and support the departments in their handling of records. However, if a document is of enduring, historical value, it will be moved to the Archives rather than destroyed when the retention period has been reached. 3 Department Records Coordinator Chapter 631 also requires a department head to appoint a Records Coordinator to carry out the County's records management policies and procedures on the departmental level. It is also the department head's responsibility to ensure that when a records coordinator either leaves county employment or assumes different responsibilities that a new records coordinator is appointed in a timely fashion and receives the required training. To that end, the County Archives & Records Center (part of DoIT), as well as the NYS Archives, offer training and support to the records coordinators and assist them in the interpretation of C0-2. While individual users have the tools to meet the requirements oflaw and regulation for the handling of unstructured records, such as email and documents, the Department Records Coordinator, working with you, especially neeto monitor and check that the requirements are being met. No transfers of inactive records in excess of 100 cu. ft. boxes will be accepted by the Records Center without advance planning and approval by both the departmental Records Coordinator and supervisory personnel at the Center. 4 Retention and Disposition of Business Records In Databases A number of our records are generated by major computer programs that support the work of the County, such as the financial system or the jail system and are stored in databases. As a general rule, a full backup of these databases is made each weekend. This includes all files residing on all disk drives. In addition, an incremental backup is run late each night — Monday through Friday —intended to save any new files or changed files, since the last full backup. This method of data protection makes it possible to restore the data from a server as of the last backup in the event of any failure on that server. As part of your department's formal documentation about authorized disposal, your department's Records Coordinator should prepare annually a proposed list or rules for deleting any records that need to be deleted from databases. The department head should then authorize or veto the proposed deletions. Finally, these should be provided to DoIT staff, who can prepare the appropriate programs to do so. If there is any County data maintained off-site by a vendor under contract, it is the department's obligation to ensure that similar procedures are followed as if the data were in the County Data Center. 5 Retention and Disposition Of General Business Records Because the burden of handling general business records falls on the shoulders of users, this section goes into greater detail to help you and your staff understand statutory and regulatory requirements. Note that this memo is not intended to and cannot address all records retention and disposition requirements under State Law, since special rules apply for particular subjects and professional areas relevant to your department. Please discuss these with your department's Records Coordinator. 5.1 Background Information If the record is about a significant policy or decision or a significant event, or deals with legal precedents or significant legal issues, it is to be retained permanently. All business-related records containing routine legal, fiscal or administrative information — in paper or electronic form — are to be kept for a minimum of 6 years. To ensure that your electronic documents are kept properly, there is an Official Docs folder on the computer server that is set up for your department's use. Annual reports, program summaries and web pages that are born digital are examples of e-records you might file in your department's folders. If an email was used to forward another email, it does need to be retained. But, the original of any attachment might have a different holding period. All non-business related items may be deleted upon receipt. Transitory communication, such as invitations, cover notes and transmittals, may also be deleted upon receipt. To efficiently manage email, an employee should save all business-related e-mails in a Personal folder or folders on the hard drive for a minimum of 6 years. Once a folder with business-related records has reached its 6-yr. retention period, it should be examined by the employee and only those emails and/or the attachments originating with that employee that require obvious permanent retention would be kept. It is important to note that general business records are stored: • on computer servers, that are devoted to particular departments to hold their shared documents (U: and S: drives) and email messages (on their way to the personal computers) and • in personal computers on the desks of County staff. 5.2 Records On Computer Servers As a general rule, a full backup of every server is made each weekend. This includes all files residing on all disk drives. In addition, an incremental backup is run late each night — Monday through Friday —intended to save any new files or changed files, since the last full backup. This method of data protection makes it possible to restore the data from a server as of the last backup in the event of any failure on that server. For departmental servers used for email (Exchange) and shared files, including those in "Official Docs", both full and incremental backups are kept only for 30 calendar days. It is worth remembering that any file kept on the server will be backed up no matter how old it is. To safeguard electronic records having enduring historical value, inactive records maintained in "Official Docs" folders may be deleted by your Records Coordinator, only if their retention time is over and the procedure for authorized disposal is followed, as outlined in Section 4 above. 5.3 Records In Personal Computers DoIT backs up data residing on PCs. The backup software makes a full backup of the disks on the computer only once - when it is installed. After that, incremental backups are automatically scheduled daily, Monday through Friday. (It is possible for the user to make changes to this schedule and, for example, run the backup manually.) Whether there is an available backup of a particular file depends upon user actions: • When a user deletes a file/document, it will continue to be saved for 15 calendar days. After 15 days, it is discarded and cannot be restored. • If a file/document is changed, the older versions will be saved for 15 calendar days before discarding them. • Any files that have not been deleted or changed will continue to have a back up copy. As noted before, it is the responsibility of the users (with guidance from the Records Coordinator) to determine when the retention period is over, based upon his/her assessment of the contents of the document and how State regulations are to be interpreted in light of the contents. 5.4 Special Considerations For Email The availability of old emails is more complicated and it helps to understand a little about how email is stored. Basic Outlook folders — Inbox, Calendar, Contacts, Deleted Items, Drafts, Outbox, Sent Items, and Tasks — are saved on the department server and also on the user's desktop PC. The two computers are regularly synchronized so they have the same information. If you delete an email from Outlook on your desktop PC, it will also be marked as deleted on the server. Any email in the standard Outlook folders is saved in the server backup process. But remember: if the email was deleted more than 30 calendar days ago, it is gone forever since that is the longest time an image of your email files will be kept, unless it is part of a legal hold. (In situations where DoIT is notified by the Law Department of a legal proceeding, the retention period is made indefinite.) Generally, the basic Outlook folders are intended only as a temporary location for email because there is not enough room to keep everyone's email stored on the servers forever. So we recommend that all users move email from the basic Outlook folders, especially your Inbox and Sent Folders, to Personal Folders on your PC. If you move an email from one of the Outlook folders to a Personal folder, then that email will only be on your PC, and backed up daily along with all other files stored there. (Not to make it more confusing, but if you delete an email from a Personal folder, that email will just go into a separate Deleted Items area of your Personal folders. You'll then have to manually empty out that Deleted Items part of your Personal folders.) Another possible way to save important e-mails outside of your Inbox is to move them as separate files to folders on your hard drive. You can do this by clicking "Save As" from the email and choosing the appropriate file folder in which to store the email. 5.5 Former Employees' Electronic Records When an employee leaves County employment or is transferred to another department, his or her records must be maintained in accordance with the retention schedules. As department head, the business documents of that employee become your responsibility, although you can clearly transfer those records to the person succeeding the departing employee. 6 Federal Rules of Discovery At the end of 2006, the Federal Rules of Civil Procedure were extensively amended in order to address the issue of Electronic Discovery ("E-Discovery")-that is, discovery of records which are in electronic form. The July 27, 2007 memo from the County Executive underscored the County Attorney's opinion regarding the need for compliance with these newly amended Federal rules. Regardless of the requirements for destruction of records according to State retention rules, if a subject becomes part of a Federal Court proceeding, then the Federal Rules of Civil Procedure apply. That means that all relevant documents (including electronic documents) related to the subject matter of the litigation must be retained and may not be destroyed for as long as the litigation is pending (or the scheduled retention period requires, whichever is longer). An email that might typically be considered "routine" correspondence could become subject to a litigation hold and must be retained until the end of the litigation. Examples of this could range from a remark about a potential candidate for hire, to a decision to select a particular vendor or to a plan for installation of County equipment on a non-County piece of property. However, if such emails (as well as paper and other similar records) had been destroyed, before the litigation hold, according to State rules "under the normal course of business," then the issue no longer presents itself as a legal question in a discovery. There are Search tools in both Outlook and Windows that will assist in locating the requested records. DoIT is available to assist you in showing you how these tools work or in finding records in electronic databases. As noted above, these records — created by your employees — are your records and the determination as to whether or not they are discoverable is yours to make, not DoIT's. EXECUTIVE ORDER NO. 1 OF 2009 WHEREAS, nutrient pollution is one of the foremost water quality problems in major water bodies in and around Westchester County, including both the Long Island Sound and the New York City watershed; and WHEREAS, eutrophication is a process where excess nutrients enter into water bodies, such as lakes, estuaries and streams, and overstimulate the growth of algae, resulting in an algae bloom. This algae bloom blocks sunlight from penetrating the water which reduces the growth of plants that provide vital underwater food and shelter. In turn, the animals that depend on those plants either emigrate or die. In addition, when the algae decompose, much of the available oxygen in the water is consumed. As a consequence, dissolved oxygen levels in the water drop drastically. A condition known as 'hypoxia' occurs where the level of dissolved oxygen has been reduced to such a degree that fish and other aquatic life are deprived of life-sustaining oxygen; and WHEREAS, the result of hypoxia is both a devastated ecosystem and a severely impaired water body with unpleasant taste and odor, discoloration, the presence of toxins and increased turbidity; and WHEREAS, this eutrophication process can be greatly accelerated by human activities that increase the rate at which nutrients and organic substances enter aquatic ecosystems from their surrounding watersheds. In fact, increased eutrophication and hypoxia from nutrient pollution, specifically nitrogen and phosphorous, due to human activities is the primary water quality problem facing Westchester County today; and WHEREAS, by Executive Order No. 8-2007, I implemented a Phosphorus-Free Lawn Fertilizer Policy applicable to each and every department, board, agency, and commission of the County of Westchester under my jurisdiction, requiring the substantial transition to phosphorus-free lawn fertilizer by January 1, 2009, and the training of County employees and licensees in appropriate work methods designed to reduce the impact of fertilization at County facilities, as a means to address the fact that one unnecessary source of phosphorus pollution in the watershed is the many pounds of lawn fertilizer applied by residents and businesses in the County of Westchester each year; and WHEREAS, improper practices with respect to human activities also serve as key sources for the introduction of nitrogen and other stormwater pollutants into the environment. These human activities include: use of lawn fertilizer; placement of composting piles; disposal of animal waste; stormwater management; maintenance of riparian buffers; erosion and sediment control; and vehicle maintenance; and WHEREAS, over the course of the last thirty years, the Long Island Sound ("Sound") has periodically been in violation of U.S. Clean Water Act standards relating to dissolved oxygen levels. Since 1985, the U.S. Environmental Protection Agency and the States of New York and Connecticut have engaged in a continuous process of researching, monitoring, and assessing the water quality of the Sound, known as the Long Island Sound Study ("LISS"), in order to address the growing incidence of hypoxia in the Sound during summer months. The LISS and related research established that nitrogen was the primary nutrient contributing to hypoxia in the Sound. In fact, approximately 100,000 tons of nitrogen enters the Sound ecosystem each year. While some of the nitrogen in the Sound occurs naturally, the majority of sources are associated with human activity and can be classified as either point or non-point sources; and WHEREAS, point sources are those which are discharged from a single "point," such as wastewater treatment plants (WWTPs), while non-point sources are more diffuse and originate from land use activities. The primary non-point source of nitrogen in the Sound comes from storm water runoff. Essentially, rainwater, including melted snow, which is not absorbed into the soil is carried across land cover and into waterways, and eventually flows into the Sound. Contaminants which exist on land and roadways in the path of stormwater are picked up and carried into the Sound where they contribute to nitrogen-based pollution; and WHEREAS, because the Sound watershed covers more than 16,000 square miles and extends as far north as Quebec, the amount of point-source nitrogen contributed by facilities, such as WWTPs, in the Sound is significant. However, Westchester County's four Sound WWTPs contribute less than 1% of the nitrogen load in the Sound overall. Despite this, the County's WWTPs are subject to a federal and New York State mandate that will require the County to spend hundreds of millions of dollars to achieve certain specified point-source nitrogen reductions at the Sound Shore WWTPs. At the same time, non-point sources remain largely immune from the mandatory nitrogen reductions applicable to WWTPs; and WHEREAS, while facilities such as WWTPs provide an essential public health and sanitation function that is critical to the fundamental existence of our Sound shore communities and, therefore, the point-sources of nitrogen which are a by-product of the operations of these facilities can never be entirely eliminated, the County is undertaking significant efforts to reduce, to the maximum extent practical, the amount of nitrogen from such facilities; and WHEREAS, non-point sources of nitrogen and other stormwater pollutants have been identified as a significant contributor to water pollution and are largely untreated. Controlling the introduction of non-point sources of nitrogen from County operations will enable the County to make a meaningful contribution to the reduction of nitrogen pollution within the County, and particularly in the Sound, with minimal expense and also to provide guidance to the community as a whole regarding the reduction of nitrogen-based pollution; and WHEREAS, Section 110.11 of the Laws of Westchester County places the responsibility to supervise, direct and control, subject to law, the administrative services and departments of the county, upon the County Executive; and WHEREAS, I have determined that establishing best management practices with respect to use of lawn fertilizer; placement of composting piles; disposal of animal waste; stormwater management; maintenance of riparian buffers; erosion and sediment control; and vehicle maintenance on all County-owned property will address these sources of unnecessary and preventable nitrogen and other stormwater pollutants and will improve water quality in the County; and WHEREAS, the Department of Planning, after review of the applicable regulations under the State Environmental Quality Review Act, has advised that this Executive Order has been classified as a Type II action, pursuant to 6 N.Y.C.R.R. § 617.5(c)(20), "routine or continuing agency administration and management, not including new programs or major reordering of priorities that may affect the environment," and 6 N.Y.C.R.R. § 617.5(c)(27), "adoption of regulations, policies, procedures and local legislative decisions in connection with any action on this list." As such, no further environmental review is required. NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned, do hereby order and direct each and every department, board, agency, and commission of the County of Westchester under my jurisdiction to ensure that the policies and procedures set forth in the attached Best Management Practices for Reducing Nitrogen and Other Stormwater Pollutants policy, as well as any amendments thereto that may be made by the Commissioner of Planning from time to time, are complied with.
This Executive Order shall take effect on the date hereof, and shall remain in effect
until otherwise superseded, repealed, modified or revoked. ;sigl \ANDREW J. SPANO
Dated: February 25, 2009 White Plains, New York
COUNTY OF WESTCHESTER I. Applicability. This Best Management Practices for Reducing Nitrogen & Other Stormwater Pollutants policy shall apply to each and every department, board, agency, and commission of the County of Westchester under my jurisdiction II. Implementation. The implementation of this policy shall be managed by and through the Department of Planning. The Department of Planning shall undertake an assessment of County facilities and functions in conjunction with the best management practices cited in Section III. hereof, and establish a schedule for implementation thereof on or before May 30, 2009. Thereafter, the Department of Planning shall provide the County Executive with an annual report on the implementation of this policy on or before May 30th of each year, beginning in 2010. III. Best Management Practices. The following practices and protocols are hereby adopted as the Westchester County Best Management Practices for Reducing Nitrogen & Other Stormwater Pollutants on County property. Lawn Maintenance ♦ Perform annual soil test and seasonal pH test before applying any fertilizer product. ♦ Apply only amount of fertilizer deemed necessary as a result of soil tests. ♦ Apply only slow-release, organic fertilizers. ♦ No application between November 1st and April 1st to avoid runoff issues associated with snowmelt or rains on frozen ground. ♦ No application on impervious surfaces, such as pavement and sidewalks. Any accidental applications must be cleaned up immediately to ensure that fertilizer product will not be washed into streets, storm drains and/or water bodies. ♦ No application of fertilizer within 24 hours of an anticipated rain event (e.g., a reliable weather forecast indicates a 30% or greater chance of precipitation). ♦ No heavy (i.e., more than ¼″) watering or irrigation for 24 hours after fertilizer application. Composting/Mulching Leave a naturally vegetated buffer strip, and provide a separation distance of least 200 feet between compost piles and wetlands, watercourses and/or water bodies, wherever possible. ♦ Composting operations are to be designed and maintained with adequate drainage to prevent leachate runoff. ♦ If composting animal waste (such as from horses), store all compost: (a) in a contained area; (b) with a waterproof covering to prevent rain soaking; (c) on an impervious surface with curbing along its edges and a storm drain system to prevent any leachate from entering the soil below it and direct it to a treatment practice; (d) located a minimum of 200 feet from any wetland or watercourse; (e) with natural vegetation maintained between the compost and any wetland or watercourse in order to filter any residual pollutants. ♦ Applications of compost or mulch within 100 feet of a watercourse or water body must ensure that the material will not be easily eroded and transported to the watercourse or water body. Pet Waste ♦ Pet waste shall not be disposed of in or where runoff may flow to a wetland, watercourse or waterbody; or in a street, gutter, storm drain or other inlet to a storm sewer system; because these typically flow to a watercourse and/or water body. Animal waste should be properly composted, disposed of in sealed bags and placed in waste receptacles, or disposed of using other approved methods. Signs should be posted, where applicable, informing the public of proper disposal methods. Where feasible, areas that become inundated with bird waste such as underpasses should be designed with perch or roosting controls to minimize bird habitation. Stormwater Management ♦ Evaluate all County facilities and develop a list of priority projects and recommended improvements for the reduction of stormwater runoff from impervious surfaces. Strategies for consideration may include: mowing and land maintenance protocols, pre-treatment of road and parking runoff to collect trash, debris, sand and soil particles, and suspended pollutants; installation of deep sump catch basins with bell traps, hydrodynamic separators, or similar devices; and/or use of vegetated treatment practices such as stormwater wetlands and bioretention basins with submerged, horizontal flow systems as to filter dissolved pollutants such as nitrogen from stormwater runoff. ♦ Where ever practicable, retrofit facilities to direct roof runoff to appropriate treatment device or structure that encourages infiltration such as rain gardens, drywells and infiltration trenches. ♦ Maintain, restore or create wetlands for their ability to filter pollutants such as nitrogen, wherever practicable. ♦ Prohibit the discarding of any and all materials in street, parking lots, and storm drains. ♦ When warranted, implement or increase street sweeping operations to minimize discharge of waste and/or turbid stormwater. Riparian Buffers ♦ Maintain existing, naturally vegetated buffers, a minimum of 25 feet wide, along wetlands, watercourses and water bodies, wherever practicable. ♦ Evaluate riparian and other buffers, and develop a list of priority projects and recommended improvements necessary to restore or enhance degraded riparian (streamside) and other buffers that protect water resources. ♦ Wherever practicable and deemed necessary, create new riparian buffers to filter stormwater before it enters the stream. Erosion and Sediment Control ♦ During the site planning process, reduce to the maximum extent practicable the amount of disturbed area needed for development. Proper site planning and construction phasing will also reduce the amount of area needed for material storage and construction access. ♦ Avoid and, where avoidance is not possible, minimize disturbance of highly erodable soils and steep slopes. Mitigate by using appropriate erosion control practices during construction, and stabilize as soon as possible. ♦ Place priority on erosion control rather than sediment control by emphasizing construction phasing (stabilizing a designated phase or area of disturbance before advancing to another area), and limiting the area of disturbance by permanently preserving undisturbed areas to the fullest practicable extent, especially vegetated areas along wetlands, watercourses and water bodies. ♦ Employ appropriate sedimentation control practices, such as stabilization mats and silt traps. ♦ Install sediment control practices, such as silt fence, and construct sediment basins to capture any sediment that erodes from a site. Inspect and maintain these practices regularly and particularly before and after rain events. ♦ Restore degraded stream banks and other areas where erosion is evident to provide a natural filter and prevent the release of nutrients and pollutants from eroded soils. Vehicle Maintenance ♦ Perform vehicle maintenance activities indoors to the extent practicable. Ensure that floor drains connect to a sanitary system only. Floor drains should have devices to capture oils and other pollutants. ♦ Wherever there is a possibility of spills, all outdoor vehicle maintenance or storage areas should have a collection system with a device(s) to capture oils and other pollutants and an emergency valve to prevent spills from entering the stormwater system. Spill containment kits must be made easily accessible and personnel adequately trained in spill response. ♦ Vehicle Fueling Areas: Evaluate and implement strategies to prevent rain and stormwater from carrying residual fluids from equipment and fueling area into stormwater runoff, including covering fueling and equipment areas. ♦ Vehicle Washing Areas: Evaluate and implement strategies for reducing impacts of vehicle washing. Wherever practicable, vehicle washing should take place indoors using a closed loop system that captures treats and reuses water and directs wastewater to the sanitary sewer. Outdoor vehicle washing should only be done if mechanical washing systems as described above are not available and where appropriate measures can be implemented to prevent negative impacts (e.g., use of biodegradable soaps and directing runoff to vegetated areas where it will be treated). IV. The Department of Planning shall continue to maintain a multi-faceted public education campaign aimed at the reduction of non-point source pollution in Westchester County. Such public education campaign will include the promotion of best management practices to residents, businesses and municipalities and shall specifically address the impacts of nitrogen and phosphorous on water quality in and around Westchester County. EXECUTIVE ORDER NO. 2 of 2009 WHEREAS, the County of Westchester provides equal opportunity to all individuals in its personnel and employment practices and actively seeks to employ and advance qualified individuals indiscriminately; and WHEREAS, to further illustrate the County of Westchester's commitment regarding equal employment opportunity, Executive Order No. 5-2002 entitled "Westchester County Equal Employment Opportunity Policy" was signed, filed and has remained effective since June 2002; and WHEREAS, said Executive Order prohibits discrimination on the basis of race, color, religion, age, national origin, alienage, citizenship status, ethnicity, marital status, familial status, creed, gender, sexual orientation, disability or any other basis prohibited by law; and WHEREAS, by Executive Order No. 8 of 2005, the terms of Executive Order No. 5-2002 were continued and expanded to include and to protect members of the military and individuals predisposing genetic characteristics; and WHEREAS, the Office of Equal Employment Opportunity/Affirmative Action has been moved from the Department of Human Resources to the Human Rights Commission, the Office of Equal Employment Opportunity/Affirmative Action has been restructured and there have been some slight modifications to the implementation responsibilities and the complaint procedures set forth in Executive Order No. 5 of 2002, without any diminution to the County policies prohibiting discrimination in all phases of employment including all terms, benefits and conditions thereof; NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned do hereby repeal Executive Order No. 5 of 2002, Executive Order No. 8 of 2005 and direct that the following be substituted in their place;
Westchester County Article I. Statement of Policy The County of Westchester provides equal opportunity to all individuals in its personnel and employment practices. In compliance with Federal and New York State Human Rights Laws, and its own policies, the County of Westchester prohibits discrimination on the basis of race, color, religion, age, national origin, alienage, citizenship status, ethnicity, marital status, familial status, creed, gender, sexual orientation, disability, military status, predisposing genetic characteristics or any other basis prohibited by law, in all part-time, full-time, temporary or other employment practices including termination, promotion, compensation and other terms, conditions and privileges within County employment. Further, contractors doing business with the County are required to meet equal employment opportunity standards. The County of Westchester actively seeks to employ and advance qualified individuals, regardless of their race, color, religion, age, national origin, alienage, citizenship status, ethnicity, marital status, familial status, creed, gender, sexual orientation, disability, or any other basis prohibited by law. To this end, all County appointing authorities are directed to hire, recruit, transfer and promote so as to reflect, in the County's workforce, the basic composition of the County's general labor force. The County monitors hiring, transfer, promotion, discharge and other personnel actions to identify and address instances of adverse impact caused by discriminatory practices. Additionally, the County examines its job specifications to eliminate unnecessary barriers to advancement on merit and fitness, and seeks the development of all members of the work force. Responsibility for overall coordination, implementation and administration of the County's Equal Employment Opportunity and Anti-Discrimination Policy is vested with the Office of Equal Employment Opportunity/Affirmative Action. The Office is responsible for developing policies and programs to ensure that the County fully complies with the Equal Employment Opportunity Act of 1972, the New York State Human Rights Law, all other applicable State and Federal laws and regulations, and County laws and policies pertaining to equal employment opportunity and discrimination, whether expressed by legislative act or executive order. Article II. Policy Objectives Section 1. To preclude discriminatory practices in all phases of employment in Westchester County government, including all terms, benefits and conditions thereof, the County is committed to nondiscriminatory and appropriate: A. Recruitment: including, but not limited to: - design and content of application forms; - posting of job and promotional opportunities; - design and content of recruitment literature to reflect the diversity of the County's population; - review of positions and turnover rates to identify statistically significant adverse impact and to investigate origins thereof; - methods and techniques used in interviewing job applicants; - referral agencies used by the County for the purpose of securing job applicants; and - maintenance of contacts with referrals from persons of color, Hispanics, women, the disabled, mature workers and professional and trade organizations using advertisements when feasible. B. Selection, Appointment and Placement: including, but not limited to: - examinations, including the distribution of test announcements and job-relatedness of recommended test components; - the application process from selection through appointment; - review of all essential job functions for jobs, and - provision of reasonable accommodations for otherwise qualified disabled workers and those requiring accommodations of religious beliefs and practices, if applicable and if such accommodation would not constitute an undue hardship. C. Classification and Compensation: including, but not limited to: - the design, review and revision of job specifications; - certification of new and existing titles; and - monitoring of vacancies. D. Training, Promotion and Upward Mobility: including, but not limited to: - internal training programs; - external training opportunities, including County-sponsored programs; - qualifications for promotion such as evaluations, oral examinations and seniority (to the extent permitted by New York State Civil Service Law); - granting of leaves, including leaves for further education and/or training, where appropriate; - promotion patterns within the County, Departments and Units; - upward mobility programs and the communication of these programs for all employees; - the development and implementation of career ladders and bridges, where feasible; - methods for assisting employees with career development planning; and - inventories of skills and abilities of employees to aid in the identification of persons to be trained and promoted, to the extent permitted by New York Civil Service. E. Termination, Resignation and Retirement: including, but not limited to: - review of decisions regarding of termination, resignation and retirement; - conducting exit interviews; and - monitoring of post-termination grievances or other proceedings. Section 2. The County will take measures to develop and implement an effective system to communicate the County's Equal Employment Opportunity (hereinafter "EEO policy") to employees, job applicants and residents about, inter alia: a. County training programs; b. New employee orientation sessions c. Yearly or other performance evaluations d. Periodic retraining of EEO Compliance Officers and EEO Counselors; and e. Intra-departmental yearly staff development programs Section 3. To provide a procedure for addressing and resolving complaints of discriminatory conduct and harassment. Article III. Implementation Responsibilities Section 1. County Executive: The County Executive has the ultimate authority and responsibility for ensuring that the objectives of the County EEO policy are met, and for enforcing Federal and State equal employment opportunity and anti-discrimination laws within County government. Specific responsibilities of the County Executive include, but are not limited to: 1. Establishing an Office of Equal Employment Opportunity/Affirmative Action, within the Human Rights Commission with personnel necessary and appropriate to effectuate this policy; 2. Effectuating corrective action, to the extent permissible under Federal, State and County laws, collective bargaining agreements, and as otherwise deemed necessary to implement the objectives of this policy and the fact-finding determinations of the Office of Equal Employment/Affirmative Action; and 3. Reviewing and approving all goals and objectives of the EEO policy. Section 2. The Office of Equal Employment Opportunity/Affirmative Action: The Office of Equal Employment Opportunity/Affirmative Action (hereafter "Office of EEO/AA") is responsible for the implementation and administration of the County's EEO policy and reports directly to the Executive Director of the Human Rights Commission. Specific responsibilities include, but are not limited to: 1. Reviewing, on an annual basis, the goals and objectives of the County's Equal Employment Opportunity and Anti-Discrimination policy. Developing specific programs designed to achieve measurable goals and targets for submission to the County Executive for review and approval; 2. Administering the training of EEO Compliance Officers, EEO Counselors, and others as deemed appropriate; 3. Administering the complaint procedure, by: a) making available at least one (1) trained EEO Compliance Officer in or for each department; b) making available trained EEO Counselors to respond to complaints throughout the County; c) processing, filing, monitoring and forwarding of all complaints to the appropriate parties. d) submitting written findings and determinations with respect to the alleged discriminatory conduct contained in complaints to the complainant, the Department and the alleged discriminator. 4. Communicating the County's EEO policy, internally and externally, by: a) meeting with employees, organizations, and community members and their organizations; b) participating in County training and orientation programs, and other public information outreach efforts; c) acting as liaison between the County, as directed by the Executive Director of the Human Rights Commission, and other government agencies concerned with equal employment opportunity. 5. Monitoring compliance with all Federal and State EEO/Human Rights reporting requirements; 6. Meeting individually with department heads, as needed, to implement and administer the EEO policy, plans and programs; 7. Consulting with the Executive Director of the Human Rights Commission, as needed, to implement and administer EEO policy, plans and programs; 8. Providing annual recertification of EEO Counselors. Section 3. Executive Director of the Human Rights Commission: The Executive Director of the Human Rights Commission shall provide management oversight to the program. Specific responsibilities include, but are not limited to: 1. Providing administrative oversight for development and implementation of the EEO policy; 2. Monitoring personnel procedures and policies that relate to recruitment, classification, compensation, training, resignation, retirement and other terms, conditions and benefits of employment; 3. Providing staff support to assist, as necessary, with implementation of County EEO goals and objectives; 4. Consulting with the EEO/AA staff, as needed, on the overall policy, plan and program administration. Section 4. Commissioners/Department Heads/Appointing Authorities ("Department Heads"): Department Heads are generally responsible for ensuring that the County's EEO policy is fully implemented within their departments. Specific responsibilities include, but are not limited to: 1. Designating and maintaining an EEO compliance officer for their departments; 2. Developing and implementing a departmental EEO plan, including the annual update of said plan(s); 3. Disseminating the EEO policy, to their employees, on an on-going basis; and 4. Ensuring the implementation of any actions as determined or requested by either the County Executive or the Office of EEO/AA, with regard to attaining the goals of the EEO policy within their department, including corrective actions. Section 5. EEO Compliance Officers: EEO Compliance Officers are designated by the Commissioner/Department Head/Appointing Authority to assist her/him in the implementation and coordination of the respective department EEO policy. Responsibilities may include: 1. Coordinating the department's annual EEO-4 report; 2. Developing and writing the EEO Plan for the department, and annual update of said plan; 3. Developing procedures to monitor the EEO Plan within the department; 4. Upon receipt, reviewing statistical work force information such as work force analysis, availability analysis, underutilization analysis, in furtherance of achieving goals of their departmental EEO policy; 5. Providing all assistance required in any Department or elsewhere. Section 6. EEO Counselors: The EEO Counselors are generally responsible for the investigation and resolution of complaints of discriminatory conduct to the extent possible at the departmental level, as assigned by the Office of EEO/AA. Specific responsibilities include, but are not limited to: 1. Investigating and counseling employees on complaints filed under the EEO policy; 2. Attending training and informational meetings on EEO policy, plans and programs; 3. Communicating EEO policy and programs to workers. Article IV. Discrimination Complaint Procedure Section 1. Reporting of a Complaint 1. Obligations of Employee. Since Westchester County has a zero tolerance policy against discrimination, employees are expected to report incidents of discrimination, whether affecting them or anyone else, as soon as possible after their occurrence. Anyone who feels that he or she has been subjected to discrimination or other conduct which violates this policy or who has observed such conduct should immediately report the conduct to their supervisor, their Department Head, the EEO Compliance Officer assigned to their Department, or the Office of Equal Employment Opportunity/Affirmative Action (hereafter "Office of EEO/AA"). It is the employee's choice as to where to report. If the employee's supervisor or Department Head is believed to be involved in the discrimination or does not appear helpful in addressing the complaint, the employee immediately should make a report directly and promptly to the Office of EEO/AA. At any time, any employee who would like guidance as to how to proceed in filing a complaint or who requires assistance at any time may contact the Office of EEO/AA. After business hours or on weekends, you may call the Office of EEO/AA at (914) 995-7710. The voice-mail is checked throughout the evening and weekends. 2. Obligations of Supervisor. If a complainant reports allegedly discriminatory behavior to a supervisor, or if a supervisor independently observes such behavior, the supervisor shall promptly report this information to the Office of EEO/AA, which shall assign an investigator, as described below. If the initial report by the complainant was verbal, the supervisor also must document the complaint in writing and provide that document to the Office of EEO/AA. As set forth below, the Office of EEO/AA will ensure that actions are taken to address the situation and to comply with this policy. Section 2. Time Frame. A complaint regarding discrimination should be submitted as soon as possible after an alleged act of discrimination takes place. An employee's failure to promptly report discrimination may delay the investigation, make it more difficult to gather information necessary to investigate the report, and impede the County's ability to take prompt corrective action. Section 3. Complaint and Investigative Process 1. Investigator. Once an employee has filed either a verbal or written complaint with the appropriate supervisor, Department Head, EEO Compliance Officer or the Office of EEO/AA, an investigator will be assigned by the Office of EEO/AA and notification of the assigned investigator will be sent to the Department Head, complainant, and alleged discriminator(s). Upon receipt of said notification, Department Heads should accommodate the provision of release time for investigators, complainants, alleged discriminator(s) and relevant witnesses, as determined by the Office of EEO/AA. Unless the complainant, the alleged discriminator, and the Office of EEO/AA agree, the investigator will not be from the same Department as the complainant or the accused employee. If the allegation of discrimination is made by or about an employee in the Office of EEO/AA, the allegation will be investigated by an official to be designated by the County Executive or his designee. 2. Investigation. The investigator will conduct a prompt, thorough and fair investigation. This investigation may include interviewing the parties involved and any relevant and necessary witnesses, as well as reviewing any appropriate records. The particular facts of the allegation will be examined individually, with a review of the nature of the behavior and the context in which the incident(s) occurred. Employees who have been accused of discrimination will be afforded the opportunity to offer and present information in their defense. Additionally, an employee accused of misconduct may have a union representative present while he or she is questioned regarding the allegations of the complaint, if it is likely to lead to disciplinary action. 3. Confidentiality. The County will make every effort to keep such complaints confidential to the extent deemed reasonably practicable. However, a full investigation may be impossible without disclosing certain information to the person allegedly engaging in prohibited behavior, or to potential witnesses. Additionally, all records, with the exception of the Complaint, Resolution of Complaint Form, Complaint Withdrawal Form and determinations by the Office of EEO/AA and appeal determinations generally will be confidential. Disclosure thereof will be made only if authorized by the Office of the County Attorney. A party opposing disclosure may be given an opportunity to provide the County, in writing, with an explanation of why he or she opposes disclosure of any information contained in an investigative file. 4. Investigation Report. Upon completion of the investigation, the investigator will prepare and submit to the Office of EEO/AA a written confidential summary of the complaint, including the response and the facts of the investigation. The investigator will endeavor to complete the investigation and to submit the report within seven (7) working days, but this time may be extended by the Office of EEO/AA, as may be required by the particular circumstances of each situation. Section 4. Final Fact-Finding Determination of EEO/AA Office. The Office of EEO/AA after reviewing the report, promptly will issue a final written fact-finding determination. If there is cause to believe that the County's policy against discrimination has been violated and that disciplinary or corrective action should be taken, depending on the nature and severity of the conduct, the Office of EEO/AA in the final fact-finding determination, shall, if appropriate, recommend appropriate disciplinary or corrective action. The final fact-finding determination promptly shall be forwarded to the Head of the Department where the employee accused of misconduct is employed, to the complainant and to the alleged discriminator(s). Section 5. Corrective or Disciplinary Action. Any employee who is found to have committed an act of discrimination may be subject to corrective or disciplinary action as provided by County procedures, up to and including termination. In the event that the final fact-finding determination issued by the Office of EEO/AA includes a recommendation that disciplinary or other corrective action be taken, then the Head of the Department shall independently determine if it is appropriate to initiate a disciplinary proceeding or take other corrective action, pursuant to Civil Service Law § 75 and applicable collective bargaining agreements. If the Department Head determines that it is not appropriate to initiate a disciplinary proceeding or take other corrective action, the Department Head may contact the Office of EEO/AA to discuss the fact-finding determination. Section 6. Appeals. After a fact-finding determination has been made pursuant to the sections set forth above, the complaining employee or the person who has been found to have engaged in the discriminatory behavior may appeal the decision. To ensure that the Office of EEO/AA is apprised fully of the basis for the appeal, the person appealing should submit a detailed written memo. Such appeal must be submitted within seven (7) working days of the issuance of the final fact-finding determination. A designated Hearing Officer shall make such additional investigation as is reasonably necessary, and then, unless a longer period of time is required, within seven (7) working days after such further investigation promptly issue a written appeal recommendation. The Executive Director of the Human Rights Commission shall review such recommendation and make a final determination. A copy of the appeal determination shall be provided to the Department, the complainant and the employee accused of misconduct. Section 7. Monitoring. After corrective action has been taken, the Office of EEO/AA will monitor the conduct of the employee accused of discrimination or the department in which the alleged discrimination occurred, for approximately ninety (90) days to ensure compliance with the proposed recommendation, to prevent subsequent acts of discrimination or misconduct, and to prevent retaliation. (The employee who reported the discrimination can request a longer period of oversight.) Section 8. False Complaints. An employee who in bad faith makes a false complaint or statement, whether during an investigation or otherwise, is subject to disciplinary action. EFFECTIVE DATE This Executive Order shall supersede all previous orders. It shall be effective immediately, shall be disseminated to all employees, and shall remain in full force and effect until otherwise superseded or revoked.
Dated: June 30, 2009 White Plains, New York EXECUTIVE ORDER NO. 3 of 2009 WHEREAS, the County of Westchester maintains a zero tolerance policy towards all forms of harassment or discrimination toward its employees by co-workers, supervisors, vendors, contractors or others having a relationship with the County and prohibits any conduct that creates an intimidating, hostile or offensive work environment or which is otherwise inappropriate or unprofessional; and WHEREAS, to further illustrate the County of Westchester's commitment regarding anti-harassment and discrimination in the workplace, Executive Order 6-2002 entitled "Westchester County Anti-Harassment and Discrimination Policy" was signed, filed and has remained effective since June 2002; and WHEREAS, said Executive Order prohibits discrimination on the basis of race, color, religion, age, national origin, alienage, citizenship status, ethnicity, marital status, familial status, creed, gender, sexual orientation, disability or any other basis prohibited by law in the workplace; and WHEREAS, by Executive Order No. 8 of 2005, the terms of Executive Order No. 6-2002 were continued and expanded to include and to protect members of the military and individuals predisposing genetic characteristics; and WHEREAS, the Office of Equal Employment Opportunity/Affirmative Action has been moved from the Department of Human Resources to the Human Rights Commission, the Office of Equal Employment Opportunity/Affirmative Action has been restructured and there have been some slight modifications to the implementation responsibilities and the complaint procedures set forth in Executive Order No. 6 of 2002 as continued and expanded by Executive Order No. 8 of 2005, without any diminution to the County policy of maintaining zero tolerance towards all forms of harassment or discrimination toward its employees by coworkers, supervisors, vendors, contractors or others having a relationship with the County; NOW THEREFORE, I, ANDREW J. SPANO, County Executive of the County of Westchester, in light of the aforementioned do hereby repeal Executive Order No. 6 of 2002 and direct that the following be substituted in its place;
Westchester County Article I. Statement of Policy Westchester County maintains a zero tolerance policy towards all forms of harassment or discrimination toward its employees by co-workers, supervisors, vendors, contractors or others having a relationship with the County. The County prohibits any conduct that creates an intimidating, hostile or offensive work environment or which is otherwise inappropriate or unprofessional. Simply stated, Westchester County seeks to ensure that none of its employees is subjected to any form of harassment or discrimination on the basis of race, color, religion, age, national origin, alienage, citizenship status, ethnicity, marital status, familial status, creed, gender, sexual orientation, disability, military status, predisposing genetic characteristics or any other basis prohibited by law. Moreover, the County believes in the dignity of every individual and recognizes the rights of all people to equal opportunity and to a workplace free from all forms of harassment or discrimination. To that end, the County maintains a zero tolerance policy prohibiting all forms of harassment or discrimination against its employees by coworkers, supervisors, vendors, contractors or others. The County encourages everyone to work together amicably and respectfully. All employees will be expected to comply with this policy and to take appropriate action so that such conduct does not occur. In addition, each supervisor has a special duty to maintain a workplace free of all types of discrimination and harassment. This duty includes discussing this policy with subordinates, other employees and non-employees. Finally, the County expects that corrective action, as appropriate, will be taken promptly whenever discriminatory or harassing conduct is identified. Article II. General Anti-Discrimination and Harassment Protections Section 1. Prohibited Practices. Westchester County prohibits all forms of harassment and discrimination, including, but not limited to, the following areas: a. harassment, discrimination, or hostile environment on the basis of race, color, religion, sex, age, national origin, alienage, citizenship status, ethnicity, marital status, familial status, creed, gender, sexual orientation, disability or any other characteristic protected by law; b. retaliation against an individual for filing a charge of discrimination, participating in an investigation, or opposing discriminatory practices; c. employment decisions based on stereotypes or assumptions about the abilities, traits, or performance of individuals of a certain race, color, religion, sex, age, national origin, alienage, citizenship status, ethnicity, marital status, familial status, creed, gender, sexual orientation, disability or any other characteristic prohibited by law; d. denying employment opportunities to a person because of marriage to, or association with, an individual of a particular race, color, religion, sex, age, national origin, alienage, citizenship status, ethnicity, marital status, familial status, creed, gender, sexual orientation, disability, or any other basis prohibited by law; e. denying employment to a person because of an arrest or criminal accusation which terminated in favor of that person, or because of a conviction record, other than as permitted by the New York State law; f. failure to reasonably accommodate the disability of an otherwise qualified employee or prospective employee, unless doing so would impose an undue hardship on the County; g. failure to reasonably accommodate the religious belief of an employee or prospective employee, unless doing so would impose an undue hardship on the County. Section 2. No Retaliation. Retaliation against an employee who makes a good faith complaint of harassment or discrimination or who provides information or participates in the complaint or investigative process is strictly prohibited and shall be subject to appropriate corrective or disciplinary measures. Retaliation includes such prohibited acts as intimidation, coercion, threats, reprisals and adverse job actions taken because a complaint was made or because he or she participated in an investigatory process. Pending resolution of a complaint and within twelve (12) months thereafter, the Department Head must first review personnel action against an employee accused of misconduct or an employee who makes such a complaint. Any employee who believes that he or she has been retaliated against for filing a discrimination complaint or otherwise participating in the investigation or resolution of a complaint, should follow the harassment and discrimination complaint procedures as set forth in this Policy. Supervisors are required to assist employees to utilize that procedure. Section 3. Other Employee Rights. Nothing in this policy or procedure shall be construed as in any way limiting any employee's right to use any collective bargaining agreement procedure, to file a complaint with the New York State Division of Human Rights, the U.S. Equal Employment Opportunity Commission, or any other fair employment practices agency, or to take any legal action which the employee may deem advisable. Article III. Sexual Harassment Section 1. Generally. Sexual harassment is a form of employment discrimination based upon gender which is prohibited by federal, state and County law. Sexual harassment can occur between individuals of different sexes or of the same sex. It may be overt or subtle sexually-related conduct that is not welcome, is personally offensive, interferes with an individual's work performance and effectiveness, or creates an intimidating, hostile or offensive work environment. Section 2. Definition of Sexual Harassment. The County prohibits all forms of harassing conduct. For example, prohibited sexual harassment consists of unwelcome advances and other unwelcome physical, verbal and nonverbal conduct of a sexual nature, including conduct where: a) submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment; b) submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting such individual; c) such conduct has the purpose or effect of unreasonably interfering with an individual's work performance or creating an intimidating, hostile or offensive working environment; or d) in third party situations, an individual is offended by the sexual interaction, conduct or communications between others. Section 3. Forms of Sexual Harassment. Forms of sexual harassment may include, but are not limited to, the following: a) Verbal: Abusive verbal language related to an employee's sex, including sexual innuendos, sexual advances, demands for sexual favors, slurs, suggestive or derogatory or insulting comments or sounds, lewd whistling or other noises, jokes of a sexual nature, sexual propositions, threats, sexually-oriented comments about an employee's body, continuing to express sexual or social interest after being informed directly that the interest is unwelcome, or any similar conduct that interferes with an employee's work performance, creates an intimidating, hostile or offensive working environment, or that is otherwise unwelcome. b) Visual: Abusive written language, such as sexually suggestive or obscene letters, e-mails, notes, invitations; circulating or displaying pornographic or sexually explicit objects, pictures, cartoons, posters, magazines or graphic commentaries, including by computer; leering or staring at another's body; obscene gestures. c) Physical: Physical contact and gestures, including petting, pinching, coerced sexual interactions, assault, brushing up against a person's body, impeding or blocking movement, or any other inappropriate physical conduct. Like other forms of conduct, unwanted touching can also be sexual harassment, depending on the context. Article IV. Harassment and Discrimination Complaint Procedure A. General guidelines. Westchester County has a zero tolerance policy and prohibits all forms of harassment, discrimination, or other hostile work environment on the basis of race, color, religion, sex, age, national origin, alienage, citizenship status, ethnicity, marital status, familial status, creed, gender, sexual orientation, disability or other characteristics protected by law. The County encourages all employees to report any behavior or conduct that they believe is harassing, discriminatory, unprofessional or inappropriate in the workplace, regardless of who engages in that conduct. If an employee believes that he or she has been harassed or discriminated against, or has observed such misconduct, the employee should follow the steps set forth below under the section entitled "B. Procedures". B. Procedures. Section 1. Reporting of a Complaint 1. Obligations of Employee. Since Westchester County has a zero tolerance policy against all forms of harassment or discrimination, employees are expected to report incidents of harassment or other discrimination, whether affecting them or anyone else, as soon as possible after their occurrence. Anyone who feels that he or she has been subjected to harassment, discrimination or other conduct which violates this policy or who has observed such conduct should immediately report the conduct to their supervisor, their Department Head, the EEO Compliance Officer assigned to their Department, or the Office of Equal Employment Opportunity/Affirmative Action (hereafter "Office of EEO/AA"). It is the employee's choice as to where to report. If the employee's supervisor or Department Head is believed to be involved in the harassment or discrimination or does not appear helpful in addressing the complaint, the employee immediately should make a report directly and promptly to the Office of EEO/AA. At any time, any employee who would like guidance as to how to proceed in filing a complaint or requires assistance at any time may contact the Office of EEO/AA. After business hours or on weekends, you may call the Office of EEO/AA at (914) 995-2141. The voice-mail is checked throughout the evening and weekends. 2. Obligations of Supervisor. If a complainant reports allegedly harassing or discriminatory behavior to a supervisor, or if a supervisor independently observes such behavior, the supervisor shall promptly report this information to the Office of EEO/AA, which shall assign an investigator, as described below. If the initial report by the complainant was verbal, the supervisor also must document the complaint in writing and provide that document to the Office of EEO/AA. As set forth below, the Office of EEO/AA will ensure that actions are taken to address the situation and to comply with this policy. Section 2. Time Frame. A complaint regarding discrimination or harassment should be submitted as soon as possible after an alleged act of discrimination or harassment takes place. An employee's failure to promptly report harassment or discrimination may delay the investigation, make it more difficult to gather information necessary to investigate the report, and impede the County's ability to take prompt corrective action. Section 3. Complaint and Investigative Process 1. Investigator. Once an employee has filed either a verbal or written complaint with the appropriate supervisor, Department Head, EEO Compliance Officer or the Office of EEO/AA, an investigator will be assigned by the Office of EEO/AA and notification of the assigned investigator will be sent to the Department Head, complainant, and alleged discriminator/harasser(s). Upon receipt of said notification, Department Heads should accommodate the provision of release time for investigators, complainants, alleged discriminator/harassers and relevant witnesses, as determined by the Office of EEO/AA. Unless the complainant, the alleged harasser, and the Office of EEO/AA agree, the investigator will not be from the same Department as the complainant or the accused employee. If the allegation of harassment or discrimination is made by or about an employee in the Office of EEO/AA, the allegation will be investigated by an official to be designated by the County Executive or his designee. 2. Investigation. The investigator will conduct a prompt, thorough and fair investigation. This investigation may include interviewing the parties involved and any relevant and necessary witnesses, as well as reviewing any appropriate records. The particular facts of the allegation will be examined individually, with a review of the nature of the behavior and the context in which the incident(s) occurred. Employees who have been accused of harassment or discrimination will be afforded the opportunity to offer and present information in their defense. Additionally, an employee accused of misconduct may have a union representative present while he or she is questioned regarding the allegations of the complaint, if it is likely to lead to disciplinary action. 3. Confidentiality. The County will make every effort to keep such complaints confidential to the extent deemed reasonably practicable. However, a full investigation may be impossible without disclosing certain information to the person allegedly engaging in prohibited behavior, or to potential witnesses. Additionally, all records, with the exception of the Complaint, Resolution of Complaint Form, Complaint Withdrawal Form and determinations by the Office of EEO/AA and appeal determinations the Office of EEO/AA, generally will be confidential. Disclosure thereof will be made only if authorized by the Office of the County Attorney. A party opposing disclosure may be given an opportunity to provide the County, in writing, with an explanation of why he or she opposes disclosure of any information contained in an investigative file. 4. Investigation Report. Upon completion of the investigation, the investigator will prepare and submit to the Office of EEO/AA a written confidential summary of the complaint, including the response and the facts of the investigation. The investigator will endeavor to complete the investigation and to submit the report within seven (7) working days, but this time may be extended by the Office of EEO/AA, as may be required by the particular circumstances of each situation. Section 4. Final Fact-Finding Determination of EEO/AA Office. The Office of EEO/AA after reviewing the report, promptly will issue a final written fact-finding determination. If there is cause to believe that the County's policy against harassment and discrimination has been violated and that disciplinary or corrective action should be taken, depending on the nature and severity of the conduct, the Office of EEO/AA in the final fact-finding determination, shall, if appropriate, recommend appropriate disciplinary or corrective action. The final fact-finding determination promptly shall be forwarded to the Head of the Department where the employee accused of misconduct is employed, to the complainant and to the alleged harasser/discriminator(s). Section 5. Corrective or Disciplinary Action. Any employee who is found to have committed an act of harassment or discrimination may be subject to corrective or disciplinary action as provided by County procedures, up to and including termination. In the event that the final fact-finding determination issued by the Office of EEO/AA includes a recommendation that disciplinary or other corrective action be taken, then the Head of the Department shall independently determine if it is appropriate to initiate a disciplinary proceeding or take other corrective action, pursuant to Civil Service Law § 75 and applicable collective bargaining agreements. If the Department Head determines that it is not appropriate to initiate a disciplinary proceeding or take other corrective action, the Department Head may contact the Office of EEO/AA to discuss the fact-finding determination. Section 6. Appeals. After a fact-finding determination has been made pursuant to the sections set forth above, the complaining employee or the person who has been found to have engaged in the harassing or discriminatory behavior may appeal the decision. To ensure that the Office of EEO/AA is apprised fully of the basis for the appeal, the person appealing should submit a detailed written memo. Such appeal must be submitted within seven (7) working days of the issuance of the final factfinding determination. The designated Hearing Officer shall make such additional investigation as is reasonably necessary, and within seven (7) working days after such further investigation promptly issue a written appeal recommendation. The Executive Director of the Human Rights Commission shall review such recommendation and make a final determination. A copy of the appeal determination shall be provided to the Department, the complainant and the employee accused of misconduct. Section 7. Monitoring. After corrective action has been taken, the Office of EEO/AA will monitor the conduct of the employee accused of harassment or discrimination or the department in which the alleged harassment or discrimination occurred, for approximately ninety (90) days to ensure compliance with the proposed recommendation, to prevent subsequent acts of harassment, discrimination or misconduct, and to prevent retaliation. (The employee who reported the harassment or discrimination can request a longer period of oversight.) Section 8. False Complaints. An employee who in bad faith makes a false complaint or statement, whether during an investigation or otherwise, is subject to disciplinary action. EFFECTIVE DATE This Executive Order shall supersede all previous orders. It shall be effective immediately, shall be disseminated to all employees, and shall remain in full force and effect until otherwise superseded or revoked.
Dated: June 30, 2009 White Plains, New York EXECUTIVE ORDER NO. 1-2011 WHEREAS, workplace violence, which the New York State Department of Labor has defined as any physical assault or acts of aggressive behavior occurring where a public employee performs any work-related duty in the course of his or her employment, presents a serious occupational safety hazard for workers; and WHEREAS, in 2002, the Occupational Safety and Health Administration of the U.S. Department of Labor reported that two million American workers are victims of workplace violence annually; and WHEREAS, workplace violence is the fourth leading cause of fatality in the workplace for all workers; and was the cause of 564 deaths in 2005; and WHEREAS, in a 2005 U.S. Department of Labor Bureau of Labor Statistics survey, it was found that approximately 54% of local government employers with more than 1,000 employees reported an incident of workplace violence within the prior 12 months; and WHEREAS, the County of Westchester is committed to working with its employees to maintain a work environment free from violence and disruptive behavior to the greatest degree possible; and WHEREAS, the County of Westchester presently has a number of workplace violence prevention policies, procedures and programs in place, including, among other things, Domestic Violence in the Workplace Policy (Executive Order No. 2-2003), Anti-Harassment and Discrimination Policy (Executive Order Nos. 8-2005 and 3-2009), County Work Badge Policy (Executive Order No. 4-2002), Drug-free Workplace Policy (Executive Order No. 6-1998), Firearm Prohibition Policy (Executive Order No. 4-2008), Criminal Background Checks for Contractors (Executive Order No. 1-2008), preemployment screening, Employee Assistance Program (EAP), and workplace security enhancements; and WHEREAS, on June 7, 2006, New York State legislation created a new Section 27-b of the New York State Labor Law that requires every public employer (other than schools covered under the school safety plan requirements of the New York State Education Law) to perform a risk evaluation of their workplace to determine the presence of factors or situations that might place employees at risk from occupational assaults and homicides and to develop and implement programs to prevent and minimize workplace violence caused by assaults and homicides; and WHEREAS, the New York State Workplace Violence Prevention Law is designed to ensure that the risk of workplace assaults and homicides are regularly evaluated by public employers and that workplace violence protection programs are implemented to prevent and minimize the hazard to public employees; WHEREAS, this Law requires every public employer to perform a risk evaluation of their workplace to determine the presence of factors or situations that might place employees at risk from occupational assaults and homicides, prepare a workplace violence prevention program and inform and train employees on the requirements of the Law and the workplace risk factors that were identified; and WHEREAS, this Law also requires public employers with a combined total of 20 or more full-time permanent employees to develop and implement a written workplace violence prevention program and provide employee training on workplace violence prevention measures and other information contained within the employers' written program; and WHEREAS, such employers are also required to inform employees of the location and availability of the written workplace violence prevention program; and employee workplace violence training must be provided at the time of job assignment and annually thereafter; and WHEREAS, Westchester County has developed and implemented a Workplace Violence Prevention Program in accordance with the New York State Labor Law by Executive Order 3-2007; and WHEREAS, the New York State Department of Labor has subsequently promulgated rules and regulations, found at Section 800.6 of Title 12 of the New York Codes Rules and Regulations, which expand upon the requirements of Public Employer Workplace Violence Prevention Programs; and WHEREAS, I have determined that it is in the best interests of the County to formally enact revised policies and procedures to address this important issue; and NOW THEREFORE, I, ROBERT P. ASTORINO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that: (1) Executive Order 3-2007 is hereby repealed; (2) the following Workplace Violence Prevention Program be implemented; (3) the policies and procedures set forth therein be complied with; (4) the Workplace Violence Prevention Program be posted and disseminated to all County officers and employees; and (5) the County's program take effect immediately. COUNTY OF WESTCHESTER WORKPLACE VIOLENCE PREVENTION PROGRAM Westchester County is committed to the safety and security of our employees. Workplace violence presents a serious occupational safety hazard to our departments, staff and constituents who use our services. Westchester County will not tolerate violence in the workplace. All incidents, complaints, and/or reports of violence, threats of violence, harassment, intimidation, and other disruptive behavior will be taken seriously because Westchester County is committed to providing its employees with a reasonably safe and secure work environment. Threats, threatening behavior, or acts of violence against employees, visitors, guests or other individuals by anyone on County property will be thoroughly investigated and appropriate action will be taken, including summoning public safety personnel when warranted. All employees are responsible for: helping to create an environment of mutual respect for each other as well as constituents; following all policies, procedures and program requirements; and assisting in maintaining a safe and secure work environment. In keeping with the requirements of New York State Labor Law Section 27-b, the goal of this policy is to promote the safety and well being of all people in our workplace. All incidents of violence or threatening behavior will be responded to immediately upon notification. A. Purpose of Program Violence in the workplace is a leading cause of fatal and non-fatal occupational injury throughout the U.S. that may affect an organization at any time. The purpose of this program is to address the issue of potential workplace violence, prevent workplace violence from occurring to the fullest extent possible, and set forth procedures to be followed when such violence has occurred. B. Statement of Program Violence, threats of violence, harassment, intimidation, and other disruptive behavior in the workplace will not be tolerated by Westchester County. Examples of disruptive behavior can include oral or written statements, gestures, or expressions that communicate a direct or indirect threat of harm. Such behavior will be taken seriously and will be dealt with appropriately. C. Scope of Program All Westchester County employees are required to comply with this Program. In addition, since visitors of Westchester County property and facilities are required to conduct themselves in a non-violent manner in conformity with existing law, employees who observe or experience visitors of County property engaging in violent behavior should follow the procedures in this Executive Order for the reporting such behavior. D. Application of Program Violence and other disruptive behavior by or against any employee of Westchester County or member of the public in a County-designated workplace are unacceptable. A County-designated workplace includes offices, work sites, vehicles, field locations, and any other location where County business is conducted. Individuals who commit such acts may be removed from the premises and may be subject to appropriate disciplinary action, including, where legally appropriate, termination of employment and/or criminal penalties. E. Development of Program The development process of the County's Workplace Violence Prevention Program includes soliciting input from authorized employee representatives as to the situations that pose a threat of workplace violence and as to the Workplace Violence Prevention Program the County intends to implement in accordance with the requirements of the New York State Labor Law and Department of Labor Rules and Regulations. The County, with the participation of authorized employee representatives, shall assess each workplace environment for risk factors which actually or potentially expose employees to violence. In evaluating the risk of workplace violence, the County, with the assistance and participation of authorized employee representatives, shall: (1) review all records relevant to workplace violence; (2) evaluate policies, work practices and procedures that may have an impact on workplace violence; and (3) conduct physical workplace evaluations to determine the presence of factors that may place employees at risk of workplace violence. The County shall document the risk assessment process and its findings and conclusions. The County, with the assistance of authorized employee representatives, shall develop specific means to address the hazards which are found to exist in order to prevent or reduce the risk of workplace violence. F. Training All Department Heads shall ensure that employees of their particular Department are informed of the requirements of the law, the risk factors in their workplace and the location of the written workplace violence prevention program. Training is also required for employees on the measures employees can take to protect themselves from risks and the details of the written workplace violence prevention program. Employee workplace violence training shall be provided at the time of job assignment and annually thereafter. Retraining shall be provided whenever significant changes are made to the workplace violence prevention program. In addition to the training required by law, the Department of Public Safety shall provide additional training on a per request basis to County departments and offices to address the potential for violence in the workplace. G. Reporting of Violence At the core of this Workplace Violence Prevention Program is the County's commitment to work with its employees to maintain a work environment free from violence and other disruptive behavior to the greatest degree possible. A key part of the program is the prompt reporting of any incident of violence. As such, the following guidelines shall be followed: Any County employee, upon becoming aware of an instance of physical assault, threatening behavior or verbal abuse occurring in the work setting, must immediately report the facts and circumstances of said incident to their designated contact persons and/or supervisor. In the event that employees observe or experience violent behavior from County employees or visitors of County property in which there is an immediate threat to their safety or the safety of others or where an injury has occurred, the employee should immediately obtain police and medical assistance and in addition notify their supervisor. The designated contact persons and/or supervisor will immediately conduct a preliminary inquiry into the facts and circumstances of the incident and make a prompt report to the Department Head/Commissioner (or designee). The Department Head/Commissioner (or designee) will determine if there is: (a) an immediate threat of violence. If so, the Department Head/Commissioner will ensure that local or County police and emergency medical personnel have been notified and thereafter follow the procedures outlined in subparagraph (b) or (c) below. (b) serious misconduct or criminal behavior by a County employee. If so, the Department Head shall immediately notify the Department of Public Safety's Office of Professional Responsibility Hotline at 864-7850 and Law Department at 995-2660 and take no further action. (c) no immediate threat of violence and no serious misconduct or criminal behavior by a County employee. In that event, the Department Head/Commissioner will: — continue the investigation; — resolve/mediate matter; — initiate disciplinary action, if appropriate; — and make referrals to the Employee Assistance Program (EAP) and/or Department of Human Resources, as appropriate. (d) a privacy concern case, where the injury or illness is: — to an intimate body part or reproductive system; — arising from sexual assault; — mental illness; — HIV infection; — needle stick injuries and cuts from sharp objects that may be contaminated; — any other illness or injury the employee requests to be treated as a privacy concern case. If a case is a privacy concern case, the employee's name and identifying information will be removed before the County shares information about the incident with any party other than the Commissioner of the New York State Department of Labor. NOTE: In all instances, a written summary report of the incident and all actions taken will be prepared and submitted within three business days to the Commissioner of Human Resources, the County Attorney and the Department of Public Safety's Office of Professional Responsibility. The report will contain, at a minimum, the location, time of day and/or shift, description of the incident, including events preceding the incident and the resolution of the incident, names and job titles of the employees involved, names of any other persons involved, extent of injuries and any witness information, and shall be in the form of a designated "Incident Report Form." H. Pattern of Workplace Violence Incidents If a particular work site develops a pattern of workplace violence incidents, the Department where such incidents occur shall develop a protocol with the Department of Public Safety to insure prompt investigations and prosecutions. I. Recordkeeping Requirements The County will comply with the recordkeeping requirements outlined by the regulations of the New York State Department of Labor. In addition, the County has developed an incident reporting system to ensure that all threats and workplace violence incidents are reported and addressed appropriately. Each Department Head/Commissioner shall ensure that an Incident Report Form is completed by one of the Department's Designated Contact Persons for each workplace violence incident. Completed Incident Report Forms and any attachments must be submitted to the Commissioners of Public Safety and Human Resources and to the County Attorney. A copy of the report must be maintained in the Department's files. J. Discrimination/Retaliation Against Reporting Employees is Prohibited Employees shall not be discriminated or retaliated against for bringing forth a safety and health concern, for filing a complaint or for participating in or causing any proceeding or inspection relating to this program. Furthermore, retaliation against an employee who makes a good faith report of violence or other disruptive behavior is strictly prohibited and shall be subject to appropriate corrective or disciplinary measures. An employee who, in bad faith makes a false report, is also subject to disciplinary action. K. County Workplace Violence Prevention Manual The County has developed a Workplace Violence Prevention Program and Procedures Manual to provide information to managers, supervisors, and employees about preventing and responding to incidents of workplace violence or threats of violence and about the New York State Workplace Violence Prevention Law and regulations. The goals of the program and manual are: 1. To reduce the probability of threats or acts of violence in the workplace, and 2. To ensure that any incident, complaint, or report of violence is taken seriously and dealt with appropriately. The manual outlines the major components of the effort to meet these goals: policy, procedures, workplace security risk evaluation, prevention, training, and other support services. The manual includes: (1) the risk factors identified during the workplace evaluation; (2) the methods that will be used to prevent workplace violence; (3) a hierarchy of controls, including engineering, work practice and personal protective equipment controls to which the program shall adhere; (4) the method and means by which each specific hazard shall be addressed; (5) the reporting system for incidents of workplace violence; (6) an outline of the training program; and (7) a plan for the annual review and update. The Workplace Violence Prevention Program and Procedures Manual will be accessible and distributed to all County employees. L. Posting of Workplace Violence Policy Statement Each Department Head/Commissioner is required to post the Employee Notification of Policy and Incident Reporting notice, which encapsulates the County's Workplace Violence Policy Statement, and to designate contact persons to whom all incidents should be reported. If a Department has multiple work locations, each site shall have its own Designated Contact Persons. This notice, including contact information, shall be visibly posted on employee bulletin boards, lunchrooms and all other locations where employees may congregate. Each Department Head/Commissioner shall assure compliance regarding employee notification. L. Annual Review The County shall perform an annual risk assessment and Workplace Violence Prevention Program review, with the assistance of authorized employee representatives. M. Program Consistent with Collective Bargaining Agreements This Executive Order is intended to be consistent with, and not to modify, any and all County agreements made with the collective bargaining units. N. More Stringent County Department Workplace Violence Prevention Program Will Govern Whenever the provisions of a Workplace Violence Prevention Program promulgated by a County Department are more stringent or impose higher standards than are required by this Executive Order, such Program shall govern and prevail. O. Effective Date This Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Robert P. Astorino
Dated: August 11, 2011
EXECUTIVE ORDER NO. 2-2011 WHEREAS, the County of Westchester is a public entity required by Title II of the Americans with Disabilities Act (42 USC § 12131, et seq.) and its implementing regulations to provide public notice (28 CFR § 35.106) and to have a grievance procedure in place (28 CFR § 35.107); and WHEREAS, the Director of the Office of the Disabled performs the duties of ADA Coordinator of the County of Westchester; NOW THEREFORE, I, ROBERT P. ASTORINO, County Executive of the County of Westchester do hereby direct the head of every County Department, Office or Agency to: 1. Appoint an ADA Compliance Contact responsible, among other things, for investigating grievances arising under Title II of the ADA ("Public Services"); 2. Provide the Director of the Office of the Disabled/ADA Coordinator with the name of its appointed ADA Compliance Contact; 3. Cause to be posted on its website and in a conspicuous location in a public area a Notice and Grievance Procedure in the forms annexed hereto; 4. Oversee the implementation of the ADA Title II grievance and appeals procedures; and 5. Provide members of the public seeking to file a grievance arising out of Title II of the ADA or to appeal from an ADA grievance determination with an appropriate form, in the form annexed hereto, and to assist such members of the public in filing a grievance or appeal by means of such forms or otherwise as appropriate.
ROBERT P. ASTORINO
Dated: August 11, 2011
COUNTY OF WESTCHESTER In accordance with the requirements of Title II of the Americans with Disabilities Act of 1990 ("ADA"), the County of Westchester will not discriminate against qualified individuals with disabilities on the basis of disability in its services, programs, or activities. Employment: The County of Westchester does not discriminate on the basis of disability in its hiring or employment practices and complies with all regulations promulgated by the U.S. Equal Employment Opportunity Commission under Title I of the ADA. Effective Communication: The County of Westchester will generally, upon request, provide appropriate aids and services leading to effective communication for qualified persons with disabilities so they can participate equally in the County of Westchester's programs, services, and activities, including qualified sign language interpreters, documents in Braille, and other ways of making information and communications accessible to people who have speech, hearing, or vision impairments. Modifications to Policies and Procedures: The County of Westchester will make all reasonable modifications to policies and programs to ensure that people with disabilities have an equal opportunity to enjoy all of its programs, services, and activities. For example, individuals with service animals are welcomed in the County of Westchester's offices, even where pets are generally prohibited. Anyone who requires an auxiliary aid or service for effective communication, or a modification of policies or procedures to participate in a program, service, or activity of the County of Westchester, should contact Evan Latainer, ADA Coordinator and Director of the Office of the Disabled at 914-995-2958 (voice) or 914-995-2799 (facsimile) or ehl2@westchestergov.com (email), as soon as possible but no later than 48 hours before the scheduled event. The ADA does not require the County of Westchester to take any action that would fundamentally alter the nature of its programs or services, or impose an undue financial or administrative burden. Complaints that a program, service, or activity of the County of Westchester is not accessible to persons with disabilities should be directed to:
Evan Latainer
The County of Westchester will not place a surcharge on a particular individual with a disability or any group of individuals with disabilities to cover the cost of providing auxiliary aids/services or reasonable modifications of policy, such as retrieving items from locations that are open to the public but are not accessible to persons who use wheelchairs.
County of Westchester This Grievance Procedure is established to meet the requirements of the Americans with Disabilities Act of 1990 ("ADA"). It may be used by anyone who wishes to file a complaint alleging discrimination on the basis of disability in the provision of services, activities, programs, or benefits by the County of Westchester. Executive Order No. 2-2009 and Executive Order No. 3-2009 govern employment-related complaints of disability discrimination. The complaint should be in writing and contain information about the alleged discrimination such as the name, address, phone number of the complainant and location, date, and description of the problem. Alternative means of filing complaints, such as personal interviews or a tape recording of the complaint will be made available for persons with disabilities upon request. The complaint should be submitted by the grievant and/or his/her designee as soon as possible but no later than 60 calendar days after the alleged violation to:
Evan Latainer
Upon receipt of the complaint, the ADA Coordinator will immediately forward the same to the ADA Compliance Contact for the County Department, Office or Agency where the grievance arose. Within 15 calendar days after receipt of the complaint (unless some longer period is required due to a disability of the complainant), the ADA Compliance Contact will meet with the complainant to discuss the complaint and the possible resolutions. Within 15 calendar days of the meeting (unless some longer period is required due to a disability of the complainant), the ADA Compliance Contact will respond in writing, and where appropriate, in a format accessible to the complainant, such as large print, Braille, or audio tape. The response will explain the position of the County of Westchester and, if appropriate, offer options for substantive resolution of the complaint. A complainant, dissatisfied with the response of the ADA Compliance Contact, may appeal the same, within 15 calendar days after receipt, to the ADA Coordinator. Within 15 calendar days after receipt of the appeal, the ADA Coordinator will meet with the complainant (unless some longer period is required due to a disability of the complainant) to discuss the complaint and the possible resolutions. Within 15 calendar days of the meeting (unless some longer period is required due to a disability of the complainant), the ADA Coordinator will respond in writing, and where appropriate, in a format accessible to the complainant, such as large print, Braille, or audio tape. The response will explain the position of the County of Westchester and offer a final resolution of the complaint. Copies of all written complaints received by the ADA Coordinator and forwarded to the appropriate ADA Compliance Contact, copies of all appeals to the ADA Coordinator, and copies of all responses to complaints and appeals will be retained by the County of Westchester for at least three years.
EXECUTIVE ORDER NO. 1 of 2017 WHEREAS, immigrants have made significant contributions to every facet of the County's economic, educational, and cultural life; and WHEREAS, meeting the needs of the County's immigrant population is important to maintaining public trust and confidence in County government and its agencies; and WHEREAS, the County's Human Rights Law protects aliens from discrimination in the areas of employment, housing, and public accommodations, and the County is committed to enforcing those protections to the maximum extent permitted by law; and WHEREAS, checking on the immigration status of Westchester County residents is not a local responsibility and is only carried out in compliance with requirements of federal or state law; and WHEREAS, the obtaining of pertinent information, which is essential to the performance of a wide variety of governmental functions, may in some cases be difficult or impossible if some expectation of confidentiality is not preserved, and preserving confidentiality in turn requires the government to regulate the use of such information by their employees; NOW, THEREFORE, I, ROBERT P. ASTORINO, County Executive of the County of Westchester, in light of the aforementioned and in accordance with my statutory duties, do hereby order that: I. As used herein, a. "Alien" means any person who is not a citizen or national of the United States; b. "Illegal activity" means unlawful activity but shall not include mere status as an undocumented alien. II. A County officer or employee, other than law enforcement officers, shall not inquire about a person's immigration status unless: a. Such person's immigration status is necessary for the determination of program, service or benefit eligibility or the provision of County services; or b. Such officer or employee is required by law to inquire about such person's immigration status. III. 1. A police officer or peace officer including members of the Department of Public Safety and the Department of Correction: a. Shall not inquire about a person's immigration status unless such officer is required by law to do so or is investigating illegal activity other than mere status as an undocumented alien. b. Shall continue to cooperate with federal authorities in investigating and apprehending aliens suspected of criminal activity. 2. It shall be the policy of the County to not inquire about the immigration status of crime victims, witnesses, or others who call or approach the police seeking assistance. IV. County law enforcement officers and other County agencies and employees shall not threaten to contact federal immigration authorities or threaten to transmit any information about any individual's citizenship, or immigration status to federal immigration authorities. V. County police officers shall not stop, question, interrogate, investigate or arrest an individual based solely upon any of the following: a. Actual or suspected citizenship, or immigration status; or b. Actual or suspected country of birth. VI. This Executive Order shall take effect on the date hereof, and shall remain in effect until otherwise superseded, repealed, modified, or revoked. VII. Executive Order No. 4 of 2006 is hereby repealed and rescinded. EXECUTIVE ORDER NO. 1 of 2018 WHEREAS, it has been a practice in government to use taxpayer funds for the purpose of promoting elected officials on government signage, including here in Westchester County at locations such as parks, golf courses; and WHEREAS, many Westchester County facilities have the former County Executive's name and likeness placed upon them; and WHEREAS, there is no true public benefit to the taxpayers when County resources are spent on the practice of placing the County Executive's name and likeness on County signs; and WHEREAS, the appropriate expenditure of taxpayer money does not include this use, but rather should be used to fund government services to improve the health and safety of County residents; and WHEREAS, this practice amounts to free and inappropriate political advertising for incumbents; NOW THEREFORE, I, George Latimer, County Executive of the County of Westchester, by virtue of the authority vested in me by the Laws of Westchester County, hereby order that any elected official's name and likeness shall be removed from all promotional and informational signage on County owned property. RESOLVED, that this Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: January 1, 2018
EXECUTIVE ORDER NO. 2 of 2018 WHEREAS, the County intends to work cooperatively with local municipalities within Westchester to enhance the quality of life for all County residents; and WHEREAS, prior to any significant actions taken by County government, particularly with regard to County land located within particular municipalities, such municipalities should be provided with the opportunity to review any such action and offer suggestions as appropriate; and WHEREAS, such a Good Neighbor Policy enables Westchester municipalities and their residents to have input into the decision-making processes regarding the use of County land located within their borders; NOW THEREFORE, I, George Latimer, County Executive of the County of Westchester, by virtue of the authority vested in me by the Laws of Westchester County, hereby order that the County institute a Good Neighbor Policy whereby prior to any significant proposed action on County land located within a municipality in Westchester: 1. Not inconsistent with any Federal, State, or County Law, the County would be required to make a formal presentation of any such significant proposed action on County land at a regularly scheduled, televised meeting of the local governing body (City Council, Town Board or Village Board); 2. The local governing body would then have sixty (60) days after such presentation and before the action would be implemented: a. To hold a local public forum to gather input regarding said proposed action from local residents; and b. To submit a memorandum of support, neutrality, or opposition to the action before the County proceeds. 3. Any emergency action regarding County land located in a Westchester municipality required to be taken immediately to protect the health and safety of County residents shall be exempt from this policy. RESOLVED, that this Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: January 2, 2018
EXECUTIVE ORDER NO. 3 of 2018 WHEREAS, in 1999, gun shows were banned at the Westchester County Center by former County Executive Andrew J. Spano in the wake of the mass shooting at Columbine High School in Colorado. That ban ended in 2010 when former County Executive Rob Astorino took office; and WHEREAS, according to news accounts, since the tragedy at Sandy Hook Elementary School there have been 1244 mass shooting with 379 in 2016 alone. United Nations data shows that America dramatically exceeds other developed countries when it comes to gun related homicides; and WHEREAS, according to the Bureau of Alcohol, Tobacco, Firearms & Explosives (ATF), 30 percent of guns involved in federal illegal gun trafficking investigations are connected in some way to gun shows. A study by the ATF in June of 2000, after conducting over 1,500 investigations, concluded that gun shows are a "major trafficking channel," associated with 26,000 firearms diverted from legal to illegal commerce; and WHEREAS, according to the study, gun shows rank second to corrupt dealers as a source for illegally trafficked firearms. Another study explained that, while violent criminals do not buy most of their guns directly from gun shows, gun shows are "the critical moment in the chain of custody for many guns, the point at which they move from the somewhat-regulated legal market to the shadowy, no questions-asked illegal market; and WHEREAS, Gun shows on county property will add to the proliferation of guns in Westchester, its surrounding communities and will lead to more gun violence, loss of life and serious injuries; and WHEREAS, recreational county facilities always serve our residents best when used for sporting events, concerts, trade shows and educational activities for our youth. Gun shows are not what taxpayer financed property should be used for; NOW THEREFORE, I, George Latimer, County Executive of the County of Westchester, by virtue of the authority vested in me by the Laws of Westchester County, hereby direct that effective immediately, Gun Shows shall be prohibited at the Westchester County Center and at all other County property. RESOLVED, that this Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: January 2, 2018
EXECUTIVE ORDER NO. 4 OF 2018 WHEREAS, Westchester County is committed to establishing a system of transparency in government operations so as to promote accountability and provide information freely to its residents; WHEREAS, the issue of the appointments of "Police Chaplains" to the Westchester County Department of Public Safety needs to be addressed directly so as to alleviate potential ethical concerns; and WHEREAS, Section 213.111 of the Laws of Westchester County authorizes the Westchester County Executive to appoint chaplains to serve in the Department of Corrections which department, in tum, can assign the chaplains to other county departments requiring their service; and WHEREAS, upon inquiry, the chaplains currently servicing the Department of Corrections have been subject to background checks due to the sensitive security issues associated with correctional facilities; and WHEREAS, the chaplains servicing the Department of Corrections have not been designated to serve in the Department of Public Safety or any other County departments; and WHEREAS, it is appropriate to establish and memorialize by Executive Order these requirements and approvals by which chaplains are designated to be "Police Chaplains" associated with the Department of Public Safety; NOW THEREFORE, I, George Latimer, County Executive of the County of Westchester, by virtue of the authority vested in me by the Laws of Westchester County, hereby declare that it is RESOLVED, that chaplains to be designated as "Police Chaplains" associated with the Department of Public Safety must: • Be approved by the Commissioner of Public Safety; • Be a clergy member; • Reside in Westchester or be the religious leader of a Westchester congregation; • Serve without compensation; • Be included on a list containing the names of the Police Chaplains which the Commissioner of Public Safety shall provide to the County Executive, the County Attorney and the Chair of the Board of Legislators twice a year, once in January and once in July and such list is to be made available to the public under the Freedom of Information Law; and it is further RESOLVED, that all requests for consideration to be designated as a Police Chaplain must be addressed to the Commissioner of Public Safety, with copies of such requests provided to the County Executive, the County Attorney and the Chairman of the Board of Legislators; and it is further RESOLVED, that this Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: January __, 2018
EXECUTIVE ORDER NO. 5 OF 2018
WHEREAS, Westchester County strives to be a place that ensures all people have a fair chance of employment; and WHEREAS, County employment applications requesting disclosure of an individual's record of conviction can improperly be utilized to immediately eliminate a capable worker from further consideration for a position of employment; and WHEREAS, these applications provide a barrier in the hiring process that presents public safety and fairness concerns, which negatively affect Westchester's economy; and WHEREAS, removing this barrier for qualified workers will lift up low wage workers, increase employment and reduce crime in Westchester County; and WHEREAS, this policy will ensure all qualified job applicants are evaluated on their merits first; and WHEREAS, particularly for employees that interact with our most vulnerable populations such as senior citizens, the disabled and our youth, background checks and fingerprinting will still be done after an individual has had the opportunity to present his or her qualifications for the job; and WHEREAS, putting people back to work will be good for the economy by increasing income tax contributions, consumer activity and boosting sales tax revenues; and WHEREAS, employment is the single most important influence on decreasing recidivism; and WHEREAS, two years after release, nearly twice as many employed people with records had avoided another encounter with law enforcement than their unemployed counterparts; and WHEREAS, Westchester County is committed to removing these initial application barriers for individuals with records of convictions who are seeking employment with Westchester County government so as to enable them to be interviewed and considered along with other equally qualified applicants; NOW THEREFORE, I, George Latimer, County Executive of the County of Westchester, by virtue of the authority vested in me by the Laws of Westchester County, hereby declare that it is RESOLVED, no office, agency or department of the County of Westchester ("County"), shall print or circulate any preliminary application, which expresses, directly or indirectly, any requirement for employment based on a person's arrest or conviction, unless such history precludes employment, so as to enable them to be interviewed and considered along with other equally qualified applicants; and it is further RESOLVED, that this Executive Order does not prohibit background checks or fingerprinting from being performed following the submission of an application for employment; and it is further RESOLVED, that Executive Order No. 8 of 2002 entitled "County Background Investigation Policy"—a copy of which is annexed hereto and incorporated herein by reference—which authorizes certain background investigations with respect to the County positions of Commissioner, Deputy Commissioner, Director, Deputy Director, Department Head, or any other appointment to be included at the discretion of the County Executive following a conditional offer of employment, shall remain in effect; and it is further RESOLVED, that this Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
EXECUTIVE ORDER NO. 6 OF 2018 WHEREAS, Westchester County is committed to ensuring a criminal justice system that is humane and fair; and WHEREAS, probation is a significant alternative to incarceration that provides low risk criminal offenders the opportunity to serve a sentence of supervised release rather than jail time; and WHEREAS, the Westchester County Department of Probation works to ensure public safety, reduce recidivism and prevent overcrowding of our jails by overseeing our probation system; and WHEREAS, a Probation Advisory Board, composed of members with knowledge and understanding of our communities and our criminal justice system, can assist in these objectives by consulting with and providing advice to the Department of Probation; and WHEREAS, it is appropriate to establish and memorialize by Executive Order the creation of a Probation Advisory Board; NOW, THEREFORE, I, George Latimer, County Executive of the County of Westchester, in accordance with my statutory duties, do hereby order that there shall be a Probation Advisory Board ("Board") to advise the Commissioner of Probation; and it is further RESOLVED that the Board shall be constituted as follows: 1. The Board shall consist of nine members. The County Executive shall appoint six members subject to the approval of the Board of Legislators, and the Chairman of the Board of Legislators shall appoint three members subject to the approval of the Board of Legislators; 2. Of the nine members first appointed, three shall be appointed for three years, three shall be appointed for two years and three shall be appointed for one year. All subsequent appointments shall be for three year terms; 3. The County Executive shall designate one member to be Chairman of the Board; 4. The Commissioner of Probation shall be an ex officio member of the Board without a vote and the Chairman of the Board of Legislators may also appoint a member of the Board of Legislators to serve as an ex officio member of the Board without a vote; 5. The members of the Board shall serve without compensation; 6. The Board shall meet at least once per month and at such times as either the Commissioner, the Chairman or three other members may deem necessary. A special meeting may be called by giving at least two days' notice to the other members of the Board of the time and place where the meeting is to be held; 7. The Board shall receive from the Commissioner for review quarterly reports of the activities of the Department of Probation; 8. The Board shall consult with and advise the Commissioner or his or her designee on matters affecting the Department of Probation; and it is further RESOLVED, that all requests for consideration to serve on the Probation Advisory Board shall be addressed to the County Executive with copies of such requests provided to the County Attorney and the Chairman of the Board of Legislators; and it is further RESOLVED, that this Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: May 4, 2018
EXECUTIVE ORDER NO. 7 OF 2018 WHEREAS, Westchester County is home to one of the largest county jail complexes in New York State; and WHEREAS, Westchester County is committed to the secure, humane, and efficient confinement of pre-trial detainees and sentenced inmates; and WHEREAS, the Westchester County Department of Correction works to ensure the safety and security of staff, offenders and the general public; and WHEREAS, the Westchester County Department of Correction is committed to improving the programs and services available to inmates to reduce recidivism and enhance public safety; and WHEREAS, a Correction Advisory Board, composed of members with knowledge of our criminal justice system, would be beneficial in consulting with and providing advice to the Department of Correction; and WHEREAS, it is appropriate to establish and memorialize by Executive Order the creation of a Correction Advisory Board; NOW, THEREFORE, I, George Latimer, County Executive of the County of Westchester, in accordance with my statutory duties, do hereby order that there shall be a Correction Advisory Board ("Board") to advise the Commissioner of Correction; and it is further RESOLVED that the Board shall be constituted as follows: 1. The Board shall consist of nine members. The County Executive shall appoint six members subject to the approval of the Board of Legislators, and the Chairman of the Board of Legislators shall appoint three members subject to the approval of the Board of Legislators; 2. Of the nine members first appointed, three shall be appointed for three years, three shall be appointed for two years and three shall be appointed for one year. All subsequent appointments shall be for three year terms; 3. The County Executive shall designate one member to be Chairman of the Board; 4. The Commissioner of Correction shall be an ex officio member of the Board without a vote and the Chairman of the Board of Legislators may also appoint a member of the Board of Legislators to serve as an ex officio member of the Board without a vote; 5. The members of the Board shall serve without compensation; 6. The Board shall meet at least once per month and at such times as either the Commissioner, the Chairman or three other members may deem necessary. A special meeting may be called by giving at least two days' notice to the other members of the Board of the time and place where the meeting is to be held; 7. The Board shall receive from the Commissioner for review quarterly reports of the activities of the Department of Correction; 8. The Board shall consult with and advise the Commissioner or his or her designee on matters affecting the Department of Correction; and it is further RESOLVED, that all requests for consideration to serve on the Correction Advisory Board shall be addressed to the County Executive with copies of such requests provided to the County Attorney and the Chairman of the Board of Legislators; and it is further RESOLVED, that this Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: May 4, 2018
EXECUTIVE ORDER NO. 8 OF 2018 WHEREAS, in 1911, the Triangle Shirtwaist Factory fire in New York City caused the deaths of 146 garment workers - 123 women and 23 men - who died from the fire, smoke inhalation, or falling or jumping to their deaths because the owners had locked the doors to the stairwells and exits - a then-common practice to prevent workers from taking unauthorized breaks and to reduce theft; and WHEREAS, this horrific tragedy was the catalyst for the enactment of legislation in New York State requiring improved factory safety standards and helped spur the growth of the International Ladies' Garment Workers' Union ("ILGWU"), which fought for better working conditions for sweatshop workers; and WHEREAS, the labor movement has continued to thrive in New York State and throughout the country in order to achieve significant health and safety protections in the workplace as well as financial and humanitarian benefits for workers; and WHEREAS, the labor movement in conjunction with the unified representation of employees provide a formidable force against specific unconscionable employer abuses to ensure the continuation of the protections in the workplace; and WHEREAS, throughout the course of history, serious efforts have been made to derail the labor movements' representation of employees and to persuade employees to forego such representation; and WHEREAS, New York State law protects against certain illegal attempts to undermine the integrity of the labor movement and the protections they afford to the employees they represent; and WHEREAS, in the recent decision Janus v. AFSCME, the United States Supreme Court held that workers are not required to finance union activity by the deduction of the payment of dues from their paychecks—an action which the Supreme Court determined to be subsidizing private speech; and WHEREAS, the United States Supreme Court's decision will negatively impact the bargaining position of labor unions, thereby undermining the protections they afford to worker health and safety; and WHEREAS, in light of this decision, it is anticipated that there will be attempts to acquire personal information of labor-represented employees with the intent to entice the employees to abandon their support of their labor representatives, in a clear effort to undermine the protections they afford; and WHEREAS, on June 17, 2018, the Honorable Andrew M. Cuomo, Governor of the State of New York, in light of the Janus v AFSCME decision, issued an Executive Order to protect the representation of the public sector workers for State entities and to shield those workers from the foreseeable abuse of personal information to harass and intimidate workers from engaging in union activities or seeking to become unionized; and WHEREAS, in light of the Supreme Court decision, the action taken by Governor Cuomo to protect State workers is critical and immediately necessary; and WHEREAS, the need to uphold and protect the integrity of the labor movement in Westchester County as a whole and, in particular, the Westchester County employees who they represent, is of paramount importance to the residents of Westchester County; NOW THEREFORE, I, George Latimer, County Executive of the County of Westchester, by virtue of the authority vested in me by the Laws of Westchester County, hereby declare that it is RESOLVED, that in accordance with New York Civil Service Law § 208(4)(a), within thirty days of a Westchester County employee first being employed or reemployed by Westchester County, or within thirty days of being promoted or transferred to a position subject to a new bargaining unit, Westchester County "shall notify the employee organization, if any, that represents that bargaining unit of the employee's name, address, job title, employing agency, department or other operating unit, and work location;" and it is further RESOLVED, that no Westchester County officer or employee shall disclose the home address(es), personal telephone number(s), personal cell phone number(s), personal e-mail address(es) of a public employee, except to the extent provided for in accordance with New York Civil Service Law; or to the extent compelled to do so by lawful service of process, subpoena, court order, or as otherwise required by law; and it is further RESOLVED, that this executive order shall not apply to work-related, publicly available information such as title, salary and dates of employment; and it is further RESOLVED, that this Executive Order shall take effect immediately and shall remain in effect until otherwise superseded or revoked.
Dated: July 2, 2018
EXECUTIVE ORDER NO. 9 OF 2018 WHEREAS, the Constitution of the United States requires an actual enumeration of the entire United States population be conducted every ten years; and WHEREAS, the next federal decennial census (the "Census") of the United States population will begin on the first day of April, 2020; and WHEREAS, the Census is used to determine redistricting of state and local legislatures, state funding apportionment to localities, congressional representation and billions of dollars in federal funding; and WHEREAS, during the 2010 Census, Westchester County's population was found to have grown by three percent from 923,459 to 949,113 people; and WHEREAS, the population growth in Westchester County was fueled, in large part, by the County's diversity with the Hispanic population growing by 62,908 people; and WHEREAS, the United States Census Bureau, for the first time ever, will ask every household to record which members of their family are United States citizens; and WHEREAS, this question may deter immigrants from replying to the Census out of fear that their immigration status will be used against them; and WHEREAS, it is illegal to share a person's response to the Census with law enforcement or immigration officials; and WHEREAS, it is critically important for Westchester County to ensure that every person, regardless of citizenship status, be accounted for without fear of retaliation; and WHEREAS, a Complete Count Committee, composed of members with knowledge and understanding of the County's diverse population, would be beneficial in consulting with and providing advice on the Census to the County Executive; and WHEREAS, it is appropriate to establish and memorialize by Executive Order the creation of a Complete Count Committee; NOW, THEREFORE, I, George Latimer, County Executive of the County of Westchester, in accordance with my statutory duties, do hereby order that there shall be a Complete Count Committee (the "Committee") to advise the County Executive on strategies to encourage participation in the Census; and it is further RESOLVED that the Committee shall be constituted as follows: 1. The Committee shall consist of up to twenty-one members appointed by the County Executive, subject to the approval of the Board of Legislators; 2. The terms of all members shall expire on March 31, 2021; 3. The County Executive shall designate one member to be Chairman of the Committee; 4. The members of the Committee shall serve without compensation; 5. The Commissioner of Planning or his or her designee and the Deputy County Executive shall be ex officio members of the Committee without a vote; 6. The Committee shall meet at least once per month and at such times as either the Chair or six other members deem necessary. A special meeting may be called by giving at least two days' notice to the other members of the Committee of the time and place where the meeting is to be held; 7. The Committee shall consult with and advise the County Executive on matters related to the Census; and it is further RESOLVED, that all requests for consideration to serve on the Complete Count Committee shall be addressed to the County Executive with copies of such requests provided to the Chairman of the Board of Legislators; and it is further RESOLVED, that this Executive Order shall take effect immediately and shall remain in effect until March 31, 2021 unless otherwise superseded or revoked.
Dated: August __, 2018
EXECUTIVE ORDER NO. 10 OF 2018 (AS AMENDED) WHEREAS, the County Executive has determined to amend the provisions of Executive Order No. 10 of 2018, dated September 27, 2018 as follows: WHEREAS, Westchester County government has the opportunity to preserve its natural heritage as well as promote sustainable landscapes by choosing native plants, i.e., plants native to the County of Westchester and the Northeast; and WHEREAS, native plants enhance the beauty of the landscape, maintain and restore biodiversity, support native pollinators, butterflies, and birds, and protect local ecosystems and environmental health; and WHEREAS, native plants enrich the soil by helping rain percolate into the soil through their root systems, thereby reducing erosion and water irrigation requirements and filtering storm water runoff, which, in turn, improves water quality; and WHEREAS, native plants minimize maintenance costs and the need for chemical applications; and WHEREAS, native plants have historical and cultural interest that help promote Westchester County's regional identity; and WHEREAS, landscape demonstration projects promote public awareness and education and can be a catalyst for the general public to use native plants in private and commercial landscaping; WHEREAS invasive, non-native plants threaten the natural heritage and identity of Westchester County and New York State, disrupt the ecology of natural ecosystems, displace native plant and animal species, and degrade our unique and diverse biological resources; and WHEREAS, New York State has passed regulations prohibiting and regulating certain invasive species; NOW, THEREFORE, I, GEORGE LATIMER as County Executive of the County of Westchester, do hereby order and direct to each and every department, board, agency, and commission of the County of Westchester, under my jurisdiction, as follows: 1. Plant materials native to Westchester County and the Northeast or their cultivars shall be used exclusively in designing, planting, maintaining, and managing the landscape features of all County roadsides, parks, public areas, and other County properties and facilities. 2. Plans and specifications for any Westchester County contract involving landscaping and/or plantings shall, where practicable and appropriate, require the use of native plants. 3. All plant species listed as Prohibited and Regulated in New York State's NYCRR PART 575 Invasive Species Regulations shall be prohibited in all Westchester County parks and on all other County lands, along County roadsides, and in gardens surrounding County buildings, and where possible, these species shall be eradicated from County parks and other lands, as well as along County roadsides and in gardens surrounding County buildings. 4. Appropriate site and soil analyses shall be performed, matching plant characteristics with site and soil conditions, to ensure success of the planting of native plants. 5. Site design and construction as well as plant selection shall incorporate considerations such as biological needs, low maintenance, low water usage, character of plant communities at project sites, and minimal need for fertilizers and pesticides. 6. The public shall, through various means, be educated about the importance of native plants to the Westchester County landscape. 7. Outdoor demonstration projects exhibiting and promoting the benefits of native species and environmentally sound landscaping practices shall be created and maintained in Westchester County parks and parkway rest areas, at the County office building, and at Westchester Community College. 8. Public/private partnerships with educational institutions, arboreta, commercial nurseries, botanic gardens, and garden clubs shall be encouraged to increase the availability of native plants, and share knowledge about their use, maintenance and propagation. 9. This Executive Order shall apply in all instances unless the Department of Planning or the Department of Parks, Recreation and Conservation determines that no native plant fits the ecological niche in which case plants that are non-invasive and beneficial to wildlife may be permitted in place of native plants. 10. This Executive Order shall take effect immediately and shall remain in full force and effect until otherwise superseded or revoked.
Dated: September 28, 2018
EXECUTIVE ORDER NO. 11 of 2018 WHEREAS, Executive Order 3-2009, entitled "Westchester County Anti-Harassment and Discrimination Policy" was signed, filed and has remained effective since June 2009; and WHEREAS, said Executive Order created a zero tolerance policy towards all forms of harassment or discrimination toward its employees by co-workers, supervisors, vendors, contractors or others having a relationship with the County and prohibits any conduct that creates an intimidating, hostile or offensive work environment or which is otherwise inappropriate or unprofessional; and WHEREAS, on April 12, 2018, New York Governor Andrew Cuomo signed into law a requirement that all municipalities promulgate, by October 9, 2018, written anti-sexual harassment policies based on a model developed and published by the New York State Department of Labor and Division of Human Rights; and WHEREAS, said model policy was published on October 1, 2018 and has been adopted for use by Westchester County; and WHEREAS, by focusing solely on sexual harassment, the new policy is designed to supplement, not replace, Executive Order 3-2009; NOW THEREFORE, I, GEORGE LATIMER, County Executive of the County of Westchester, in light of the aforementioned, do hereby order and direct each and every department, board, agency, and commission of the County of Westchester under my jurisdiction to ensure that the following Sexual Harassment Prevention Policy is complied with: WESTCHESTER COUNTY SEXUAL HARASSMENT PREVENTION POLICY Article I. Statement of Policy Westchester County is committed to maintaining a workplace free from sexual harassment. Sexual harassment is a form of workplace discrimination. All employees are required to work in a manner that prevents sexual harassment in the workplace. This Policy is one component of Westchester County's commitment to a discrimination-free work environment. Sexual harassment is against the law [] and all employees have a legal right to a workplace free from sexual harassment. Employees are urged to report sexual harassment by filing a complaint internally with Westchester County. Employees can also file a complaint with a government agency or in court under federal, state or local antidiscrimination laws. Article II. General Harassment Prohibitions and Protections Section 1. This Policy applies to all employees, applicants for employment, interns, whether paid or unpaid, contractors and persons conducting business, regardless of immigration status, with Westchester County. As used in this Policy, the term "employees" refers to this collective group. Section 2. Sexual harassment will not be tolerated. Any employee or individual covered by this policy who engages in sexual harassment or retaliation will be subject to remedial and/or disciplinary action (e.g., counseling, suspension, termination). Section 3. Retaliation Prohibition: No person covered by this Policy shall be subject to adverse action because the employee reports an incident of sexual harassment, provides information, or otherwise assists in any investigation of a sexual harassment complaint. Westchester County will not tolerate such retaliation against anyone who, in good faith, reports or provides information about suspected sexual harassment. Any employee of Westchester County who retaliates against anyone involved in a sexual harassment investigation will be subjected to disciplinary action, up to and including termination. All employees, paid or unpaid interns, or non-employees [] working in the workplace who believe they have been subject to such retaliation should inform a supervisor, manager, or the Office of Equal Employment and Affirmative Action (EEO/AA). All employees, paid or unpaid interns or non-employees who believe they have been a target of such retaliation may also seek relief in other available forums, as explained below in the section on Legal Protections. Section 4. Sexual harassment is offensive, is a violation of our policies, is unlawful, and subjects Westchester County to liability for harm to victims of sexual harassment. Harassers may also be individually subject to liability. Employees of every level who engage in sexual harassment, including managers and supervisors who engage in sexual harassment or who allow such behavior to continue, will be penalized for such misconduct. Section 5. Westchester County will conduct a prompt, thorough and confidential investigation that ensures due process for all parties, whenever management receives a complaint about sexual harassment, or otherwise knows of possible sexual harassment occurring. Effective corrective action will be taken whenever sexual harassment is found to have occurred. All employees, including managers and supervisors, are required to cooperate with any internal investigation of sexual harassment. Section 6. All employees are encouraged to report any harassment or behaviors that violate this policy. Westchester County will provide all employees a complaint form for employees to report harassment and file complaints. Section 7. Managers and supervisors are required to report any complaint that they receive, or any harassment that they observe or become aware of, to the EEO/AA. Section 8. This Policy applies to all employees, paid or unpaid interns, and non-employees and all must follow and uphold this Policy. This Policy must be provided to all employees and should be posted prominently in all work locations to the extent practicable (for example, in a main office, not an offsite work location) and be provided to employees upon hiring. Article III. Sexual Harassment Defined Section 1. What is "sexual harassment"? Sexual harassment is a form of sex discrimination and is unlawful under federal, state, and (where applicable) local law. Sexual harassment includes harassment on the basis of sex, sexual orientation, self-identified or perceived sex, gender expression, gender identity and the status of being transgender. Sexual harassment includes unwelcome conduct which is either of a sexual nature, or which is directed at an individual because of that individual's sex when: • Such conduct has the purpose or effect of unreasonably interfering with an individual's work performance or creating an intimidating, hostile or offensive work environment, even if the reporting individual is not the intended target of the sexual harassment; • Such conduct is made either explicitly or implicitly a term or condition of employment; or • Submission to or rejection of such conduct is used as the basis for employment decisions affecting an individual's employment. A sexually harassing hostile work environment includes, but is not limited to, words, signs, jokes, pranks, intimidation or physical violence of a sexual nature, or which are directed at an individual because of that individual's sex. Sexual harassment also consists of any unwanted verbal or physical advances, sexually explicit derogatory statements or sexually discriminatory remarks made by someone which are offensive or objectionable to the recipient, which cause the recipient discomfort or humiliation, which interfere with the recipient's job performance. Sexual harassment also occurs when a person in authority tries to trade job benefits for sexual favors. This can include hiring, promotion, continued employment or any other terms, conditions or privileges of employment. This is also called "quid pro quo" harassment. Any employee who feels harassed should report so that any violation of this Policy can be corrected promptly. Any harassing conduct, even a single incident, can be addressed under this Policy. Section 2. Examples of sexual harassment. The following describes some of the types of acts that may be unlawful sexual harassment and that are strictly prohibited: • Physical assaults of a sexual nature, such as: º Touching, pinching, patting, kissing, hugging, grabbing, brushing against another employee's body or poking another employees' body; º Rape, sexual battery, molestation or attempts to commit these assaults. • Unwanted sexual advances or propositions, such as: º Requests for sexual favors accompanied by implied or overt threats concerning the target's job performance evaluation, a promotion or other job benefits or detriments; º Subtle or obvious pressure for unwelcome sexual activities. • Sexually oriented gestures, noises, remarks or jokes, or comments about a person's sexuality or sexual experience, which create a hostile work environment. • Sex stereotyping occurs when conduct or personality traits are considered inappropriate simply because they may not conform to other people's ideas or perceptions about how individuals of a particular sex should act or look. • Sexual or discriminatory displays or publications anywhere in the workplace, such as: º Displaying pictures, posters, calendars, graffiti, objects, promotional material, reading materials or other materials that are sexually demeaning or pornographic. This includes such sexual displays on workplace computers or cell phones and sharing such displays while in the workplace. • Hostile actions taken against an individual because of that individual's sex, sexual orientation, gender identity and the status of being transgender, such as: º Interfering with, destroying or damaging a person's workstation, tools or equipment, or otherwise interfering with the individual's ability to perform the job; º Sabotaging an individual's work; º Bullying, yelling, name-calling. Section 3. Who can be a target of sexual harassment? Sexual harassment can occur between any individuals, regardless of their sex or gender. New York Law protects employees, paid or unpaid interns, and non-employees, including independent contractors, and those employed by companies contracting to provide services in the workplace. Harassers can be a superior, a subordinate, a coworker or anyone in the workplace including an independent contractor, contract worker, vendor, client, customer or visitor. Section 4. Where can sexual harassment occur? Unlawful sexual harassment is not limited to the physical workplace itself. It can occur while employees are traveling for business or at employer sponsored events or parties. Calls, texts, emails, and social media usage by employees can constitute unlawful workplace harassment, even if they occur away from the workplace premises, on personal devices or during non-work hours. Section 5. What is "Retaliation"? Unlawful retaliation can be any action that would keep a worker from coming forward to make or support a sexual harassment claim. Adverse action need not be job-related or occur in the workplace to constitute unlawful retaliation (e.g., threats of physical violence outside of work hours). Such retaliation is unlawful under federal, state, and (where applicable) local law. The New York State Human Rights Law protects any individual who has engaged in "protected activity." Protected activity occurs when a person has: • Made a complaint of sexual harassment, either internally or with any anti-discrimination agency; • Testified or assisted in a proceeding involving sexual harassment under the Human Rights Law or other anti-discrimination law; • Opposed sexual harassment by making a verbal or informal complaint to management, or by simply informing a supervisor or manager of harassment; • Reported that another employee has been sexually harassed; or • Encouraged a fellow employee to report harassment. Even if the alleged harassment does not turn out to rise to the level of a violation of law, the individual is protected from retaliation if the person had a good faith belief that the practices were unlawful. However, the retaliation provision is not intended to protect persons making intentionally false charges of harassment. Article IV. Reporting Sexual Harassment Preventing sexual harassment is everyone's responsibility. Westchester County cannot prevent or remedy sexual harassment unless it knows about it. Any employee, paid or unpaid intern or non-employee who has been subjected to behavior that may constitute sexual harassment is encouraged to report such behavior to a supervisor, manager or the EEO/AA. Anyone who witnesses or becomes aware of potential instances of sexual harassment should report such behavior to a supervisor, manager or the EEO/AA. Reports of sexual harassment may be made verbally or in writing. A form for submission of a written complaint is attached to this Policy and incorporated herein by reference, and all employees are encouraged to use this complaint form. Employees who are reporting sexual harassment on behalf of other employees should use the complaint form and note that it is on another employee's behalf. Employees, paid or unpaid interns or non-employees who believe they have been a target of sexual harassment may also seek assistance in other available forums, as explained below in the Article on Legal Protections. Article V. Supervisory Responsibilities All supervisors and managers who receive a complaint or information about suspected sexual harassment, observe what may be sexually harassing behavior or for any reason suspect that sexual harassment is occurring, are required to report such suspected sexual harassment to the EEO/AA. In addition to being subject to discipline if they engaged in sexually harassing conduct themselves, supervisors and managers will be subject to discipline for failing to report suspected sexual harassment or otherwise knowingly allowing sexual harassment to continue. Supervisors and managers will also be subject to discipline for engaging in any retaliation. Article VI. Complaint and Investigation of Sexual Harassment All complaints or information about sexual harassment will be investigated, whether that information was reported in verbal or written form. Investigations will be conducted in a timely manner, and will be confidential to the extent possible. An investigation of any complaint, information or knowledge of suspected sexual harassment will be prompt and thorough, commenced immediately and completed as soon as possible. The investigation will be confidential to the extent possible. All persons involved, including complainants, witnesses and alleged harassers will be accorded due process, as outlined below, to protect their rights to a fair and impartial investigation. Any employee may be required to cooperate as needed in an investigation of suspected sexual harassment. Westchester County will not tolerate retaliation against employees who file complaints, support another's complaint or participate in an investigation regarding a violation of this Policy. While the process may vary from case to case, investigations should be done in accordance with the following steps: • Upon receipt of complaint, the EEO/AA will conduct an immediate review of the allegations, and take any interim actions (e.g., instructing the respondent to refrain from communications with the complainant), as appropriate. If the complaint is verbal, encourage the individual to complete the "Complaint Form" in writing. If he or she refuses, prepare a Complaint Form based on the verbal reporting. • If documents, emails or phone records are relevant to the allegations, take steps to obtain and preserve them. • Request and review all relevant documents, including all electronic communications. • Interview all parties involved, including any relevant witnesses. • Create a written documentation of the investigation (such as a letter, memo or email), which contains the following: º A list of all documents reviewed, along with a detailed summary of relevant documents; º A list of names of those interviewed, along with a detailed summary of their statements; º A timeline of events; º A summary of prior relevant incidents, reported or unreported; and º The basis for the decision and final resolution of the complaint, together with any corrective actions action(s). • Keep the written documentation and associated documents in a secure and confidential location. • Promptly notify the individual who reported and the individual(s) about whom the complaint was made of the final determination and implement any corrective actions identified in the written document. • Inform the individual who reported of the right to file a complaint or charge externally as outlined in the next Article. Article VII. Legal Protections and External Remedies Sexual harassment is not only prohibited by Westchester County but is also prohibited by state, federal, and, where applicable, local law. Aside from the internal process at Westchester County, employees may also choose to pursue legal remedies with the following governmental entities. While a private attorney is not required to file a complaint with a governmental agency, you may seek the legal advice of an attorney. In addition to those outlined below, employees in certain industries may have additional legal protections. State Human Rights Law - The Human Rights Law (HRL), codified as N.Y. Executive Law, art. 15, § 290 et seq., applies to all employers in New York State with regard to sexual harassment, and protects employees, paid or unpaid interns and non-employees, regardless of immigration status. A complaint alleging violation of the Human Rights Law may be filed either with the Division of Human Rights (DHR) or in New York State Supreme Court. Complaints with DHR may be filed any time within one year of the harassment. If an individual did not file at DHR, they can sue directly in state court under the HRL, within three years of the alleged discrimination. An individual may not file with DHR if they have already filed a HRL complaint in state court. Complaining internally to Westchester County does not extend your time to file with DHR or in court. The one year or three years is counted from the date of the most recent incident of harassment. You do not need an attorney to file a complaint with DHR, and there is no cost to file with DHR. DHR will investigate your complaint and determine whether there is probable cause to believe that discrimination has occurred. Probable cause cases are forwarded to a public hearing before an administrative law judge. If sexual harassment is found after a hearing, DHR has the power to award relief, which varies but may include requiring your employer to take action to stop the harassment, or redress the damage caused, including paying of monetary damages, attorney's fees and civil fines. DHR's main office contact information is: NYS Division of Human Rights, One Fordham Plaza, Fourth Floor, Bronx, New York 10458. You may call (718) 741-8400, or visit: www.dhr.ny.gov. Contact DHR at (888) 392-3644 or visit dhr.ny.gov/complaint for more information about filing a complaint. The website has a complaint form that can be downloaded, filled out, notarized and mailed to DHR. The website also contains contact information for DHR's regional offices across New York State. Civil Rights Act of 1964 - The United States Equal Employment Opportunity Commission (EEOC) enforces federal anti-discrimination laws, including Title VII of the 1964 federal Civil Rights Act (codified as 42 U.S.C. § 2000e et seq.). An individual can file a complaint with the EEOC anytime within 300 days from the harassment. There is no cost to file a complaint with the EEOC. The EEOC will investigate the complaint, and determine whether there is reasonable cause to believe that discrimination has occurred, at which point the EEOC will issue a Right to Sue letter permitting the individual to file a complaint in federal court. The EEOC does not hold hearings or award relief, but may take other action including pursuing cases in federal court on behalf of complaining parties. Federal courts may award remedies if discrimination is found to have occurred. In general, private employers must have at least 15 employees to come within the jurisdiction of the EEOC. An employee alleging discrimination at work can file a "Charge of Discrimination." The EEOC has district, area, and field offices where complaints can be filed. Contact the EEOC by calling 1-800-669-4000 (TTY: 1-800-669-6820), visiting their website at www.eeoc.gov or via email at info@eeoc.gov. If an individual filed an administrative complaint with DHR, DHR will file the complaint with the EEOC to preserve the right to proceed in federal court. Local Protections - Many localities enforce laws protecting individuals from sexual harassment and discrimination. An individual should contact the county, city or town in which they live to find out if such a law exists. In Westchester County, you can submit a complaint to the EEO/AA office at 112 East Post Road, Third Floor, White Plains, New York 10601, or by calling (914) 995-2141. Contact the Local Police Department - If the harassment involves unwanted physical touching, coerced physical confinement or coerced sex acts, the conduct may constitute a crime. Contact the local police department. Article VIII. Effective Date and Effect on Prior Executive Orders Section 1. This Executive Order shall be effective immediately, shall be disseminated to all employees, and shall remain in full force and effect until otherwise superseded or revoked. Section 2. This Executive Order is intended to supplement, not replace, any prior Executive Orders. However, to the extent any provisions of any prior Executive Orders are in conflict with any provisions of this Executive Order, the conflicting provision of the prior Order shall be superseded.
Dated: October 5, 2018
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