Responsible Department: Administration

Modified Date (s): March 21, 2003; May 2008

Legislative Policy Statement:

Resolution No.: 08-90

I. Definitions:

(a)        Municipal Officer or Employee means an officer or employee of the County of Tompkins, whether paid or unpaid, including members of any administrative board, commission or other agency thereof.  No person shall be deemed to be a municipal officer or employee solely by reason of being a volunteer fireman or civil defense volunteer, except a chief engineer or assistant chief engineer.

(b)        Interest means a pecuniary or material benefit accruing to a municipal officer or employee unless the context otherwise requires.

Pursuant to the provisions of section eight hundred six of the General Municipal Law, the Legislature of County of Tompkins recognize that there are rules of ethical conduct for public officers and employees that must be observed if a high degree of moral conduct is to be obtained and if public confidence is to be maintained in our unit of local government.  It is the purpose of this local law to promulgate these rules of ethical conduct for the officers and employees of the County of Tompkins.  These rules shall serve as a guide for official conduct of officers and employees of the County of Tompkins.  The rules of ethical conduct of this local law as adopted shall not conflict with, but shall be in addition to, any prohibition of article eighteen of the General Municipal Law or any other general or special law relating to ethical conduct and interest in contracts of municipal officers and employees.

Every officer or employee of the County of Tompkins shall be subject to and abide by the following standards of conduct . . .

A. Gifts Shall not directly or indirectly solicit any gifts.  Shall not accept or receive any gifts having a value of fifty dollars or more, whether in the form of money, services, loan, travel, entertainment, hospitality, thing or promise, or any other form, under circumstances in which it could reasonably be expected to influence the performance of official duties or was intended as a reward for any official action.

B. Confidential Information Shall not disclose confidential information or use such information to further a personal interest.

1. The Public Officers Law of New York State requires that counties make many records available for public inspection and copying.  Permissible exceptions to this requirement are listed in Section 87, subdivision 2 of that law.  Information defined by the Code of Ethics as confidential does not exceed the bounds of those permitted exceptions.

2. For the purposes of the Code of Ethics, all information falls into one of three categories: the class of information which is never confidential, the class of information which is always confidential, and the class of information which may be confidential.

3. Some internal or interagency records, communications, and reports are never confidential.  According to the Public Officers Law, this is true of information that is:

a. The result of an external audit; or

b. Statistical data; or

c. An instruction to staff that affects the public; or

d. Afinal policy or determination made by the county or one of its departments.

 4. Disclosure or use of such information is not restricted by the Code of Ethics.

 5. Information is always confidential when its disclosure would:

a. Impair current or imminent contract awards or collective bargaining negotiations; or

b. Interfere with law enforcement investigations or judicial proceedings; or

c. Deprive a person of their right to a fair trial or impartial adjudication; or

d. Constitute an unwarranted invasion of privacy (NOTE: The legal issues involved in determining whether a given act constitutes an unwarranted invasion of personal privacy can be complicated and will not be addressed here. Interested persons may refer to § 89, Subdivision 2 of the aforementioned Public Officers Law of New York State as a starting point, or contact the County Attorney); or

e. Endanger the life or safety of any person.

6. Information that is always confidential also includes:

a. Civil service examination questions or answers prior to the administration of the exam; or

b. Computer access codes; or

c. Information that is specified as non-disclosable by federal or state law.

7. No employee or officer of the county may ever disclose such information or use such information to further a personal interest.

8. Any information that does not clearly fall into just one of the above categories may be  confidential.  To be certain of complying with the Code of Ethics, all officers and employees must first request and receive an official determination from the County Attorney that a given piece of information is not confidential before disclosing or making personal use of it.  The County Attorney shall consult with the Records Access Officer (currently, by Legislature policy, the County Administrator) to determine whether the county is legally obligated or empowered to deem the information confidential and, in the latter case, whether the county wishes to deem it confidential.  The County Attorney will then notify the requesting party of the result in writing.

9. The restrictions on disclosure and use of confidential information described herein apply without regard to the circumstances in which the information was acquired, and include information gained through means other than the possessor’s association with the County.

C. Representation before one’s own agency:  shall not receive, or enter into any agreement, express or implied, for compensation for services to be rendered in relation to any matter before any municipal agency over which he/she is an officer, member or employee or of any municipal agency over which he/she has jurisdiction or to which he/she has the power to appoint any member, officer, or employee.

D. Representation before any agency for a contingent fee:  Shall not receive, or enter into any agreement, express or implied, for compensation for services to be rendered in relation to any matter before any agency of his/her municipality, whereby his/her compensation is to be dependent or contingent upon any action by such agency with respect to such matter, provided that this paragraph shall not prohibit the fixing at any time of fees based upon the reasonable value of the services rendered.

E. Disclosure of interest in legislation:  To the extent that he/she knows thereof, a member of the Legislature and any officer or employee of the County of Tompkins, whether paid or unpaid, who participates in the discussion or gives official opinion to the Legislature on any legislation before the Legisalture shall publicly disclose on the official record the nature and extent of any direct or indirect financial or other private interest in such legislation.

F. Investments in conflict with official duties:  shall not invest or hold any investment directly or indirectly in any financial, business, commercial or other private transactions, which creates a conflict with official duties.

G. Private employment:  Shall not engage in, solicit, negotiate for or promise to accept private employment or render services for private interests when such employment or service creates a conflict with or impairs the proper discharge of official duties. In addition, no such private employment or services shall be allowed or compensated without prior approval by the County department from which payment will be made, and full prior disclosure is made and recorded in the minutes of the committee or advisory board on which the person to be paid serves. [Amended 4-6-1999 by L.L. No. 2-1999]

H. Future employment:  Shall not, after the termination of service or employment with such municipality, appear before any board or agency of the County of Tompkins in relation to any case, proceeding or application in which he/she personally participated during the period of his/her service or employment or which was under his/her active consideration.

I. Misuse of position. No municipal officer or employee of the County shall use or attempt to use his/her official position to advance his/her private interest or the interest of others to obtain any unwarranted privileges, exemptions, or advantages for the officer, employee, or others. For purposes of this subsection, the term "interest" shall be given its common meaning and shall not be limited to pecuniary or material benefits. [Added 5-20-2008 by L.L. No. 1-2008]

SECTION IV – PERSONAL CONDUCT

A. Personal Accusations:  No employee may make a public statement criticizing the job performance of an employee or official unless that official is an elected official.  If the direct subject of the public criticism is the content, implementation, or outcome of a policy, this is not considered to be a criticism of job performance.

B.  Alcoholic beverages:  The use of alcoholic beverages in County office buildings and at other County worksites is prohibited.

C. Social gatherings:  It is the department head’s responsibility to ensure that social gatherings (e.g., office parties for birthdays, retirements, holidays, etc.) in the department are held at an appropriate time of day that balances encouraging employee participation and the significance of the event with the amount of impact on the workload of the department.

D. Visits:  Personal visits of non-County employees and children of County employees to County worksites during working hours shall be restricted to emergency situations. 

SECTION V- DISCLOSURE

            Elected officials and key employees of Tompkins County shall file by May 15 of each year an annual disclosure statement.  This shall be submitted to the Clerk of the Legislature in the form prescribed by resolution of the Legislature upon recommendation of the Ethics Advisory Board.  The Clerk shall retain the forms on behalf of the Ethics Advisory Board and make them available for inspection as detailed below.

            “Key employees” shall be determined by separate resolution of the Legislature.

            The Clerk of the Legislature shall make the information submitted on Annual Disclosure Statements available, on request, to the members of the Ethics Advisory Board, County Attorney, County Administrator, Director of Finance, State Auditor and Commissioner of Personnel.  The Clerk shall also make the information submitted on Annual Disclosure Statements available to any other individual submitting a request to see it, as required by the Freedom of Information Law, but shall withhold from their inspection the range of market value of 3b., Investments.

            The County Attorney shall confirm filing by all required filers.  Requests for determination regarding conflicts shall be referred by the County Attorney to the Ethics Advisory Board.  If the County Attorney determines that any required filers have not completed and filed an accurate and complete disclosure form the County Attorney shall report this to the appropriate supervisor. If a member of the Legislature has failed to complete and file an accurate and complete disclosure form, the County Attorney shall report this to the Chair of the Legislature, or to the Vice Chair if the Chair is in default of filing.

SECTION VI- ETHICS ADVISORY BOARD

A. Membership There shall be an Ethics Advisory Board which consists of five (5) members, each appointed by a majority vote of the County’s Legislature.  Each member shall be a resident of the County of Tompkins.  The Chair of the Ethics Advisory Board shall be one of the appointed members of the Board selected by the Chair of the County’s Legislature for a term of one (1) year.

B. Eligibility One of the members of the Ethics Advisory Board shall be an elected or appointed official of Tompkins County.  None of the remaining members shall be an elected or appointed official of Tompkins County.

C. Term The members of the Ethics Advisory Board will serve a term of four (4) years; however, two (2) of the original appointees shall be appointed to serve an initial term of two (2) years.

D. Quorum Four (4) members of the Ethics Advisory Board shall constitute a quorum, with the vote of three (3) members being required for action by the Board.

E. Compensation The members of the Ethics Advisory Board shall not be compensated; however, they may be reimbursed for reasonable expenses incurred in the performance of their duties.

F. Bylaws The Ethics Advisory Board may propose bylaws for its governance, which by law shall become effective upon approval by the Legislature.

G. Responsibilities

(1.) The members of the Ethics Advisory Board will meet at least once a year and at such other times as the Chair of the Ethics Advisory Board shall convene them and within thirty (30) days after receipt of a written complaint.  At each meeting of the Ethics Advisory Board, an opportunity shall be given to hear or receive complaints of alleged unethical practices, which may be brought in writing by any County employee or official.  Any other person may submit a complaint to the member of the Ethics Advisory Board who is a County official. This person shall submit the complaint to the Ethics Advisory Board.

No later than July 1 of each year, the Ethics Advisory Board shall review the filed Financial Disclosure Statements and the attestations which have been submitted by officials and employees and determine if any are not timely filed or are incomplete.

(2.) The Ethics Advisory Board shall review all filed statements and complaints received to ascertain whether a conflict of interest, actual or potential, exists between the public duties of the official or employee and his or her private activities pursuant to this local law.

(3.)  The Ethics Advisory Board shall have the authority to take testimony under oath and to recommend to the Legislature that subpoenas be issued to compel the attendance of witnesses and to require the production of any books or records.  The Board shall take action on any such recommendation; a majority vote of the total membership of the Legislature shall be required for the issuance of a subpoena by the Ethics Advisory Board.

(4.) In addition to such other powers conferred by this Section, the Ethics Advisory Board may recommend to the official or the employee the manner in which the conflict of interest may be resolved.  An affidavit by the official or employee detailing his or her compliance with the recommendations may be sufficient reason to rescind the Ethics Advisory Board’s decision to require a disclosure or other action.  The affidavit must be delivered to the Board at a specified time and place as set forth in the Board’s certified, return receipt requested letter to such official or employee.  If the official or employee fails to follow the recommendations of the Ethics Advisory Board in eliminating the conflict of interest, that fact shall also be disclosed.  Nothing herein contained shall be construed or interpreted to mean that the Ethics Advisory Board is under a duty to make such recommendations to the official or the employee.

(5.) The Ethics Advisory Board may grant limited extensions of time in which to file Financial Disclosure Statements due to justifiable cause or to undue hardship.

(6.) The Ethics Advisory Board may permit an official or employee to delete from his/her Financial Disclosure Statement one or more items of information upon a finding by a majority of the entire Ethics Advisory Board that the information which would otherwise be required to be disclosed has no material bearing on the discharge of the duties of the official or employee. In this connection, the Ethics Advisory Board may, when requested, issue advisory opinions.

(7.) In addition, no such private employment or services shall be allowed or compensated without prior approval by the county department from which payment will be made, and full prior disclosure is made and recorded in the minutes of the committee or advisory board on which the person to be paid serves.

SECTION VII - DISTRIBUTION OF CODE OF ETHICS

The chairman of the Legislature of the County of Tompkins shall cause a copy of this code of ethics to be distributed to every officer and employee of the County of Tompkins within thirty (30) days after the effective date of this local law.  Each officer and employee elected or appointed thereafter shall be furnished a copy before entering upon the duties of his office or employment.

SECTION VIII - PENALTIES

In addition to any penalty contained in any other provision of law, any person who shall knowingly and intentionally violate any of the provisions of this code may be fined, suspended or removed from office or employment, as the case may be, in the manner provided by law.

SECTION IX - SUPERSEDES LOCAL LAW NO. 2 OF 1970; LOCAL LAW NO. 3 OF 1970;

    LOCAL LAW NO. 4 OF 1992; AND LOCAL LAW NO. 3 OF 1994

This local law supersedes Local Law No. 2 of 1970; Local Law No. 3 of 1970; Local Law No. 4 of 1992; and Local Law No. 3 of 1994.

SECTION X - EFFECTIVE DATE
This local law shall take effect upon the filing as provided in section twenty-seven of the Municipal Home Rule Law.