1. Strengthening Erie County’s Ethics Law and Board of Ethics MARK C. POLONCARZ ERIE COUNTY EXECUTIVE

2. What Are The Current Ethics Laws? The Erie County Board of Ethics was created by a 1970 Local Law. The Erie County Board of Ethics was created by a 1970 Local Law. The 1970 Local Law was amended in 1973, and then repealed in 1989 when Erie County passed Local Law No. 10 which adopted a Code of Ethics for all elected officials, officers and employees of the County. The 1989 Law also retained the Board of Ethics. The 1970 Local Law was amended in 1973, and then repealed in 1989 when Erie County passed Local Law No. 10 which adopted a Code of Ethics for all elected officials, officers and employees of the County. The 1989 Law also retained the Board of Ethics. The County’s Code of Ethics was amended in 1994 to require additional disclosure by all employees of the County. The County’s Code of Ethics was amended in 1994 to require additional disclosure by all employees of the County. The 1989 Law was further amended in 2015 when the Legislature passed Local Law No. 4-2, over the county executive’s veto. However, there are many errors in 2015’s Law which must be fixed. The 1989 Law was further amended in 2015 when the Legislature passed Local Law No. 4-2, over the county executive’s veto. However, there are many errors in 2015’s Law which must be fixed.

3. What Errors Exist in the 2015 Law Passed by the Legislature? The 2015 amendments contain many worthwhile provisions that compel disclosure from persons who are no longer employed by or act on behalf of the County. The 2015 amendments contain many worthwhile provisions that compel disclosure from persons who are no longer employed by or act on behalf of the County. However, it appears the Legislature completely ignored the 1994 Local Law Amendments and amended the Code of Ethics as if the 1994 amendments had never occurred and only the 1989 Law existed. However, it appears the Legislature completely ignored the 1994 Local Law Amendments and amended the Code of Ethics as if the 1994 amendments had never occurred and only the 1989 Law existed. As such, the Legislature amended provisions which no longer existed or were renumbered by the 1994 Amendments. As such, the Legislature amended provisions which no longer existed or were renumbered by the 1994 Amendments. Due to the errors, the 2015 Law must be repealed and the provisions included therein be added through a new law. Due to the errors, the 2015 Law must be repealed and the provisions included therein be added through a new law.

4. What is the County’s Board of Ethics? The Board of Ethics is a five member volunteer board that reviews annual financial disclosure statements and renders opinions regarding violations of the County’s Code of Ethics. The Board of Ethics is a five member volunteer board that reviews annual financial disclosure statements and renders opinions regarding violations of the County’s Code of Ethics. The Board of Ethics currently has the power to impose up to a $10,000 fine against a person who does not file a financial disclosure statement. The Board of Ethics currently has the power to impose up to a $10,000 fine against a person who does not file a financial disclosure statement. The Board of Ethics currently has the power to refer to the District Attorney’s Office any other violation of the Code of Ethics, which is punishable by a Class A Misdemeanor. The Board of Ethics currently has the power to refer to the District Attorney’s Office any other violation of the Code of Ethics, which is punishable by a Class A Misdemeanor. The Board of Ethics currently has no staff associated with it. The Board of Ethics currently has no staff associated with it.

5. How Does the County Executive Propose The Ethics Laws be Amended? Due to the errors contained in the 2015 Law, the 2015 amendments must be repealed in their entirety. Due to the errors contained in the 2015 Law, the 2015 amendments must be repealed in their entirety. If repeal is required for the 2015 Law it makes sense to repeal the 1989 Local Law and the 1994 Local Law as well and replace it with a new law that includes most of the 1989 and 1994 provisions and then also includes the vast majority of provisions of the 2015 Local Law but puts them in the correct location. If repeal is required for the 2015 Law it makes sense to repeal the 1989 Local Law and the 1994 Local Law as well and replace it with a new law that includes most of the 1989 and 1994 provisions and then also includes the vast majority of provisions of the 2015 Local Law but puts them in the correct location. New amendments are proposed to strengthen the law and would amend the prior Law, but in a new Code of Ethics. New amendments are proposed to strengthen the law and would amend the prior Law, but in a new Code of Ethics. Doing so creates one clean version of the Code of Ethics, instead of having multiple conflicting versions of the law. Doing so creates one clean version of the Code of Ethics, instead of having multiple conflicting versions of the law.

6. What Are the New Provisions Proposed by the County Executive? The current Code of Ethics is generally a strong law, but the way it was written leaves ambiguities in places and provides too many excuses for others to not enforce it. The current proposal removes the ambiguities and strengthens it. The current Code of Ethics is generally a strong law, but the way it was written leaves ambiguities in places and provides too many excuses for others to not enforce it. The current proposal removes the ambiguities and strengthens it. In addition to fixing the problems associated with the 2015 Local Law, our administration’s proposals include amending the Code of Ethics to better define what is the law, strengthen the powers of the Board of Ethics and create new prohibitions to guarantee transparency in government and ensure that our elected officials are working for the people, not outside interests. In addition to fixing the problems associated with the 2015 Local Law, our administration’s proposals include amending the Code of Ethics to better define what is the law, strengthen the powers of the Board of Ethics and create new prohibitions to guarantee transparency in government and ensure that our elected officials are working for the people, not outside interests. The New Amendments are the following: The New Amendments are the following:

7. What Are the New Provisions Proposed by the County Executive? Prohibits a County Elected Official, Officer, or Employee from working for another municipality in Erie County to eliminate the inherent conflict that exists in such a situation. Prohibits a County Elected Official, Officer, or Employee from working for another municipality in Erie County to eliminate the inherent conflict that exists in such a situation. Requires an elected official to disclose to the County Attorney and Board of Ethics if he or she has been hired or retained by a third party within 7 days of retention to determine if any conflict exists, and the Board of Ethics must act within 30 days to state if so. Requires an elected official to disclose to the County Attorney and Board of Ethics if he or she has been hired or retained by a third party within 7 days of retention to determine if any conflict exists, and the Board of Ethics must act within 30 days to state if so. Requires any elected official or candidate for elected office to disclose to the County Attorney and Board of Ethics the names of any individual clients or firm clients if those clients have business before any department, division, etc. of the County. Requires any elected official or candidate for elected office to disclose to the County Attorney and Board of Ethics the names of any individual clients or firm clients if those clients have business before any department, division, etc. of the County.

8. What Are the New Provisions Proposed by the County Executive? Removes any ambiguity that may exist as to whether a criminal penalty can be assessed against a party that violates any section of the Code of Ethics (except for failure to file a disclosure statement). The law is amended to definitively make it a Class A Misdemeanor for any violation (except failure to file), and the amendments increase the civil penalty for failure to file up t0 $20,000 per violation (increase from $10,000). Removes any ambiguity that may exist as to whether a criminal penalty can be assessed against a party that violates any section of the Code of Ethics (except for failure to file a disclosure statement). The law is amended to definitively make it a Class A Misdemeanor for any violation (except failure to file), and the amendments increase the civil penalty for failure to file up t0 $20,000 per violation (increase from $10,000). Increases the categories of disclosure values on annual disclosure statements from the original 1989 values. Increases the categories of disclosure values on annual disclosure statements from the original 1989 values. Removes any ambiguity as to “What is a Gift?” under the law by revising the definition to create a limited number of exceptions, thereby making anything else a prohibited gift under the law. Removes any ambiguity as to “What is a Gift?” under the law by revising the definition to create a limited number of exceptions, thereby making anything else a prohibited gift under the law.

9. What Are the New Provisions Proposed by the County Executive? The Amendments also strengthen the Board of Ethics by requiring an Executive Director position be created to serve the needs of the Ethics Board. The Executive Director would be appointed by the County Executive, subject to Legislative confirmation, for a five year term so as to make the person above reproach and political influence. The Amendments also strengthen the Board of Ethics by requiring an Executive Director position be created to serve the needs of the Ethics Board. The Executive Director would be appointed by the County Executive, subject to Legislative confirmation, for a five year term so as to make the person above reproach and political influence. Because New York Law requires voting members of the Board of Ethics to be appointed by the county executive solely, the Amendments also add two ex-officio members of the Board of Ethics, one appointed by the Chair of the Legislature and the other by the County Attorney, so as to provide an additional level of transparency to the process. Because New York Law requires voting members of the Board of Ethics to be appointed by the county executive solely, the Amendments also add two ex-officio members of the Board of Ethics, one appointed by the Chair of the Legislature and the other by the County Attorney, so as to provide an additional level of transparency to the process.

10. What Are the New Provisions Proposed by the County Executive? The Amendments provide the Board of Ethics the power to change the form of the filing disclosure statement without modifying the Law; thereby letting the independent Board members, not elected officials, determine what should be disclosed annually. The Amendments provide the Board of Ethics the power to change the form of the filing disclosure statement without modifying the Law; thereby letting the independent Board members, not elected officials, determine what should be disclosed annually. The Amendments also change the date of filing financial statements from May 15 to April 15 to match income tax filings. The Amendments also change the date of filing financial statements from May 15 to April 15 to match income tax filings.