HomeMy WebLinkAboutPolicy - Attorney - Senior Orange County Staff Ethics Policy 03-03-2011-4lOrange 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, domestic partner, 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)-
(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 without first
obtaining 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 Member 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 shall not apply to Senior Staff Members' service on local, regional, or state governmental or
nongovernmental boards. However, 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) 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.
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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.
2) Senior Staff Members shall check the appropriate box on the Disclosure 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 County,
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.
2) The 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 Disclosure
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
Disclosure 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 is effective March 3, 2011.
NOW THEREFORE BE IT RESOLVED by the Board of Orange County Commissioners that this policy
is effective upon approval- March 3, 2011.
Upon motion of Commissioner ~, seconded by Commissioner ~~~ the foregoing
resolution was adopted this the ~ day of 011.
I, Donna S. Baker, Clerk to the Board of Commissioners for the County of Orange, North Carolina, DO
HEREBY CERTIFY that the foregoing is a true copy of the proceedings of said Board at a meeting held on
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March 3, 2011 as relates in any way to the adoption of the foregoing and that said proceedings are recorded in
Minute Book No. of the minutes of said Board.
WITNESS my hand and the seal of said County, this ~ day of ~~~~~~, 2011.
Donna S. Baker, CMC
Clerk to the Board of Orange County Commissioners