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HomeMy WebLinkAboutAgenda - 03-03-2011 - 4lORANGE COUNTY BOARD OF COMMISSIONERS ACTION AGENDA ITEM ABSTRACT Meeting Date: March 3, 2011 Action Agenda Item No. SUBJECT: Senior Orange County Staff Ethics Policy DEPARTMENT: County Attorney PUBLIC HEARING: (YIN) No ATTACHMENT(S): Draft Ethics Policy Draft Orange County Senior Staff Disclosure Statement INFORMATION CONTACT: John Roberts, 245-2318 PURPOSE: To consider an ethics policy for senior level staff of Orange County. BACKGROUND: In 2009 the North Carolina General Assembly enacted and Governor Beverly Perdue signed legislation requiring an ethics code for all local government elected officials. The Orange County Board of Commissioners adopted an ethics code pursuant to this legislation earlier this year. As part of the discussions involving Commissioner ethics, the subject of Senior Staff ethics was raised. Attached to this agenda abstract is a draft Senior Staff Ethics Policy for consideration and possible adoption by the Board of County Commissioners. The Board has discussed this item at two work sessions, most recently at the February 8, 2011 work session. The attached draft policy was revised based on that discussion, and a draft Senior Staff Disclosure Statement has been provided. FINANCIAL IMPACT: There is no direct financial impact. RECOMMENDATION(S): The Manager recommends the Board approve the Senior Staff Ethics Policy. 2 Orange County Ethics and Conduct for Senior Staff Policy Article 1. General Provisions. Section 1. Title. This policy shall be known as the "Orange County Ethics and Conduct for Senior Staff Policy". Section 2. Purpose. It is the policy of Orange County to carry out its mission in accordance with the strictest ethical guidelines and to ensure that Senior Staff conduct themselves in a manner that fosters public confidence in the integrity of Orange County, its processes and its accomplishments. In accordance with this objective, Orange County Senior Staff must conduct themselves, at all times, in a manner that avoids favoritism, bias, and the appearance of impropriety. Section 3. Definitions. The following definitions apply in this Policy: 1) Business- Any for-profit or not for profit company, however organized or any organization. 2) Business with which associated- A business in which.. the Senior Staff Member or Family Member does any of the following: (a.) Is an employee; or (b.)Holds a position as director, officer, partner, proprietor, member or senior level management of a company or business of any type or kind, irrespective of the amount of compensation received or the amount of the interest owned; or (c.) Owns a legal;, equitable, or beneficial interest of ten percent (10%) or more of the company or business; and (d.) Said company or .business is currently soliciting or has within the past twelve (12) months solicited the award of a bid or any required approval from Orange County. 3) Compensation- Money, items of value or economic benefit conferred on or received by a person in return for services rendered or to be rendered by that person. 4) Confidential Information- Information defined as confidential by the law. 5) Economic interest- Matters involving a business with which associated or anon-profit corporation or organization with which associated. 6) Family Member- The spouse domesticpartner or children of a Senior Staff Member. 7) Gift- Any item of monetary value given or received without valuable consideration by or from a lobbyist, lobbyist principal, or a person or business doing or seeking to do business with Orange County. The following shall not be considered gifts under this Policy: (a.) Anything for which fair market value, or face value if shown, is paid by the Senior Staff Member; or (b.)Anything having a negligible, transitory or insignificant value. (c.) Anything having a retail value under fifty dollars ($50). 8) Honorarium- Payment for services for which fees are not legally or traditionally required. 9) Senior Staff (Disclosure Statement)- A confidential personnel document to be filed by Senior Staff members with the Human Resources Department disclosing specified business interests and property ownership. 10) Senior Staff (Member)- 3 (a.) Employees of Orange County holding the position of County Manager, County Clerk, County Attorney, Assistant County Manager, Department Director, or anyone holding a position which reports directly to the County Manager. (b.) Senior Staff does not include the Orange County Sheriff, Orange County Elections Director, or Orange County Register of Deeds. Article 2. General Standards of Ethical Conduct Section 1. Solicitation. A general summary of the restraints upon the conduct of all Senior Staff includes those listed below. No Senior Staff Member shall: 1) Solicit anything of value from anyone doing business with Orange 'County for his or her personal use or benefit. 2) Solicit or accept employment from anyone doing business with Orange County, ~~~'°~~ *'~° c°r~°r ~~y~en~~~-r'etrnt~appre~=es~k without first obtainin written approval from the County Manager or Board of County Commissioners as appropriate.: 3) Use his or her public position to obtain direct financial benefits for the Senior Staff Member or anyone with whom the Senior Staff Nleinber has a business or employment relationship. Section 2.Other Compensation. A Senior Staff Member shall not solicit or receive personal financial gain or compensation, other than that received by the Senior Staff Member from Orange County or with the written approval of the County, for acting in the Senior Staff Member's official capacity, or for advice or assistance given in the course of carrying out the Senior Staff Member's duties.. This section shallnot apply to Senior Staff Members' service on local, regional, or state governmental or nongovernmental boards. ;/sc~*~QiHowever, if a governmental or nongovernmental Board, on which the Senior .Staff Member serves, seeks to enter into a contract or agreement with any Department directed or supervised by the Senior.. Staff Member, the Senior Staff Member must immediately disclose the relationship and the contract or agreement sought, to the County Manager and must remove himself or herself from any involvement with the contract or agreement. If the Senior Staff Member in this situation is the County Manager he or she must make said disclosure to the Board of County Commissioners. Section 3.Official Action. No Senior Staff Member authorized to perform an official action requiring the exercise of discretion shall: 1) Participate in an official action by Orange County if the Senior Staff Member or a business with which the Senior Staff Member is associated, has an economic interest in, or a direct financial benefit from, the matter under consideration. 2 4 2) Authorize, recommend, or in any other way use his or her position to secure approval of an Orange County contract (including employment or personal services) with a business with which the Senior Staff Member is associated. Senior Staff Members shall annually disclose businesses with which they are associated.. Section 4. Gifts. 1) A Senior Staff Member of Orange County shall not directly or indirectly ask, accept, demand, exact, solicit, seek, assign, receive, or agree to receive any gift or honorarium for the Senior Staff Member, or for another person, in return for being influenced in the discharge of the Senior Staff Member's official responsibilities. 2) A Senior Staff Member may not solicit for a charitable purpose any gift from any subordinate County employee. This section shall not apply to generic written solicitations to all Members of a class of subordinates. Nothing in this subsection shall prohibit a Senior Staff Member from serving as the honorary head of a charitable solicitation for a nonprofit business entity qualifying under 26 U.S.C. § 501(c)(3). 3) It is acknowledged that departments occasionally solicit for charitable purposes with County Manager approval. Such occasions shall not fall within the purview of this policy when the County Manager has authorized, in writing, such activity. 4) This section shall not apply to reimbursements to the Senior Staff Member for actual travel expenditures within North Carolina incurred by the Senior Staff Member for attendance at functions organized by a board on which the Senior Staff Member sits. 5) This section shall not apply to gifts or awards authorized by Orange County Policies, Resolutions, or Ordinances. Section 5. Disclosure of confidential information. Senior Staff Members shall not use or disclose confidential information protected by law, unless appropriately authorized in writing. Section 6. Use of information for private gain. Senior Staff Members shall not use their public position or title in an official action or legislative action before the Board of Orange County Commissioners that will result in financial benefit, direct or indirect, to the Senior Staff Member or business with which the Senior Staff Member or a Family Member is associated. Section 7. Ethics Education. 1) All Senior Staff Members shall receive a minimum of one clock hour of ethics education every two calendar years with the first applicable calendar year 2011. New Senior Staff Members who are hired before June 30th of any given year must complete one clock hour of ethics training prior to the end date of the first calendar year of their employment and at least every two calendar years thereafter according to this Section. Those employed July 1St or after of any given calendar year must begin receiving ethics training the first full calendar year of employment and at least every calendar two years thereafter according to this Section. 5 2) Senior Staff Members shall check the appropriate box on the Disclosure few-Statement indicating completion of the required ethics education, attach a description of the course taken, and file same with the Human Resources Department. 3) This training may be received by the Senior Staff Member through live instruction, video, webcast, or any other form of media so long as the training is approved by an appropriate entity such as the LTNC School of Government or a professional organization by or of which the Senior Staff Member is licensed, certified or a member. The training may also be received from the Orange County Human Resources Department in conjunction with the Orange County Attorney. Article 3. Violation Consequences Willful failure by a Senior Staff Member serving as an Orange County employee to comply with this Policy is a violation of a written work order, thereby permitting, to the extent permitted by North Carolina law, disciplinary action as allowed by North Carolina law and the Orange County Personnel Ordinance up to and including termination from employment. Article 4.' Miscellaneous Section 1. Severability. If any Section or provision of this Policy is declared unlawful or invalid by the courts, that declaration does not affect the validity of this policy as a whole or any part other than the part so declared unlawful or invalid. Section 2. Verification and Disclosure. 1~Annually, on or prior to' the 31St day of December, Senior Staff Members shall file with the Human Resources Department the Orange County Senior Staff Disclosure Statement. The Senior Staff Member shall disclose a general description of property owned in Orange Count any businesses with which the Senior Staff Member or a Family Member is associated, and whether the Senior Staff Member has completed the required ethics training_ 2ZThe Human Resources Department shall establish a method whereby Senior Staff Members are timely notified they must submit the Disclosure Statement. The Human Resources Department shall maintain these Disclosure Statements and shall notify the County Manager if Senior Staff other than the County Manager, Clerk to the Board and County Attorney fail to file a ~~~~u~Disclosure €e~Statement. The Human Resources Department shall notify the Chair of the Board of County Commissioners if the County Manager, Clerk to the Board, or County Attorney fail to file a ~~~~~sur~Disclosure Sri}Statement. The Senior Staff Disclosure Statement is and shall remain a confidential personnel record not subject to public records requests. Section 3. Effective date. This Policy becomes effective 4 6 ORANGE COUNTY SENIOR STAFF DISCLOSURE STATEMENT Please answer all questions and where your answer is none or not applicable so state. ANSWERS SHOULD BE PRINTED OR TYPED, and additional sheets may be used if more space is needed. For clarification of any question please refer to the County Attorney. Upon its completion this Disclosure Statement shall be filed with the Human Resources Department on or before December 31 of each calendar year. Note: The failure to file this Disclosure Statement is a violation of the Orange County Ethics and Conduct for Senior Staff Policy and may subject you to disciplinary action. 1 NAME OF OFFICIAL (LAST) (FIRST) (INITIAL) TITLE 2. Department Appointed Department Director on 3. I have completed the required one hour of ethics training _Yes _ No. If Yes, please attach description and location of course taken. If No, please state the date you last completed ethics training 4. Provide a general description and location of property you own in Orange County. 5. List the name and address of any business, profit or non-profit, or organization that has solicited, or is currently soliciting, the award of a bid or any other approval from Orange County within the past 12 months and with which you or your spouse or domestic partner or your child are associated as that phrase is defined in the Senior Staff Ethics Policy. Name/Address of Business --- Position If the position with the company is occupied by a spouse, domestic partner or child so state. This Disclosure Statement is true and the information contained herein accurate as of the below date: SIGNATURE DATE: For Use by the Human Resources Department Date Received Received by (initial)