I. STATEMENT OF PURPOSE
This Employee Code of Ethics (the “Code”) is intended to set forth, and govern, the ethical conduct of all individuals employed by Montgomery County (the “County”). In addition to the provisions of this Code, all employees are subject to and are expected to be familiar with the Pennsylvania Public Official and Employee Ethics Law, Act 93, Chapter 11 of 1998, as amended, 65 P.S. §§ 1101, et seq.
II. GENERAL PROVISIONS
A. Reference to Montgomery County or the “County” herein shall not include the Judicial Branch or the elected Row Officers. Each Row Office operates independently and has the right to adopt its own policies, including this Code or its own Ethics Policy or Code of Conduct.
B. This Code of Conduct applies only to employees over which the Board of Commissioners has supervisory authority.
C. The Chief Operating Officer shall be responsible for communicating to all employees the provisions of this Code.
These provisions will be covered as part of the orientation provided to all new and current employees and shall be
included in the employee handbook.
D. As a condition of continued employment with the County, each person shall sign a statement to the effect that he/she has received a copy of this Code, understands its contents, and agrees to abide by established policies.
E. From time to time, the Chief Operating Officer may require additional training and/or orientation on issues related to ethics and employee conduct. Each employee shall be required to participate in any such additional training and or orientation.
F. Each employee of the County is charged with knowledge of this Code of Conduct and is expected to follow its mandates and intent. Should any employee of the County have reason to doubt the applicability of any provision to his/her conduct, it is the duty of that person to seek clarification from the Commissioners, the Chief Operating Officer, or their Department Manager.
G. The Commissioners may modify all or part of this Code at their sole discretion.
III. CONFLICTS OF INTEREST: ACTUAL & POTENTIAL
A. Actual Conflict of Interest
An actual conflict of interest is defined as the receipt of some personal benefit in exchange of the employee doing his/her job or in an effort to influence the employee’s performance of his/her job. Employees shall not engage in behavior that creates an actual conflict of interest. An actual conflict of interest can arise when an employee exploits their employment in some way for his/her personal benefit.
B. Potential Conflict of Interest/Appearance of Impropriety
Employees must take all necessary steps to avoid potential conflicts of interest or the appearance of impropriety. A
potential conflict of interest arises when an employee has the opportunity to exploit their employment for his/her personal benefit or when circumstances exist that create the impression that an employee is mis-using or abusing his/her position. Recognizing that certain potential conflicts of interest are unavoidable, all such potential conflicts of interests must be reported to the Commissioners, the Chief Operating Officer, and the County Solicitor immediately upon discovery.
C. Specific Prohibitions
Specific types of conduct create unacceptable actual or potential conflicts of interest. This conduct is prohibited. It includes but is not limited to, the following behavior by County employees:
1. Engaging in outside employment which might in any way interfere with or be in conflict with their duties as
employees of the County;
2. Engaging directly or indirectly in any business transaction or private arrangement for profit which
arises from or is based upon the employee’s official position or authority;
3. Soliciting or receiving any benefit resulting in personal
gain to him/herself (excluding County remuneration)
or someone on his/her behalf, the receipt of which
influences, or would be reasonably likely to influence,
the performance of that employee’s job within the
County;
4. Representing or acting as agent for any private
interest, whether for compensation or not, in any
transaction in which the County has a direct and
substantial interest and which could be reasonably
expected to result in a conflict between a private
interest of the employee and his/her official public
responsibility;
5. Engaging in any personal business transaction which
would be reasonably likely to negatively influence the
performance of that employee’s job within the County;
or
6. Acting in violation of state and/or federal law,
including but not limited to the Pennsylvania Public
Official and Employee Ethics Law, Act 93, Chapter 11
of 1998, as amended, 65 P.S. §§ 1101, et seq.
IV. POLITICAL ACTIVITY
A. Employees of the County may participate in an individual
capacity in political activities (such as campaigning,
solicitation, fundraising, canvassing or poll watching) on
their own personal time (personal time may not include any
time during an employee’s working hours, including, but not
limited to compensatory time provided by the County), but
only to the extent that such participation does not conflict or
interfere with the performance of his/her duties and
provided that such participation does not conflict with any
applicable law, statute, regulation, management directive or
other order. However, to the extent a County employee
participates in any form of political activity on their own
personal time, such employee shall not use their County title
or identification in connection with such activities.
B. Employees of the County are prohibited from participating in
any political activities during the employee’s working hours,
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and are prohibited from using County supplies, stationary,
equipment, uniforms, and all other County resources in
connection with any political activity. Moreover, County
employees are prohibited from using any information
obtained by them as a result of their employment with the
County in connection with any political activity.
C. Employees of the County are prohibited from participating in
any political activities on any property owned or leased by
Montgomery County, except for those areas which are
considered public spaces and which are generally open to
members of the public.
D. No employee shall solicit or be solicited for political
contributions as a condition of employment or with the
intent of receiving a personal favor or other benefit related to
their County employment.
D. An employee of the County who is a candidate for any public
office to which remuneration is or is not attached must
notify the Commissioners, the Chief Operating Officer, their
immediate supervisor and the County Solicitor of same in
writing at least two business days before any general public
announcement of the candidacy or the filing of appropriate
documents, whichever is earlier.
E. An employee of the County may not accept appointment to
another governmental position without first notifying the
Commissioners, the Chief Operating Officer and the County
Solicitor of same in writing at least two business days before
any general public announcement of the appointment.
Included in these positions are appointments to state and
local offices which may have no set term and which are
uncompensated and advisory, but which are nonetheless
charged with a governmental purpose.
F. No employee at any time shall be compelled, whether directly
or indirectly, to perform political activity of any kind.
G. An employee of the County may participate in charitable,
religious and any other public service volunteer work
without limitation, subject to the other requirements of this
Code.
H. No employee may be given a benefit in his/her job in
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exchange for the performance of a political task.
V. GIFTS
A. No employee shall accept gifts, gratuities, favors, loans or
any another item(s) from:
a. A person or business having a financial relationship
with the County;
b. A person or business whose operations or activities are
regulated or inspected by the County;
c. A principal and/or attorney in proceedings in which
the County is an adverse party; or
d. Any person or business where the performance or nonperformance
of any official duty may be influenced or
affected.
B. Gifts motivated solely by a family relationship or personal
friendship may be accepted and are not prohibited by this
Code.
C. Food and perishable items of nominal value may be
accepted. Nominal value is considered One Hundred Dollars
or less.
D. Those items intended to memorialize community events,
special award presentations, unique occasions and other
public appearances (i.e., plaques, medals, t-shirts, flowers,
candy, baked goods and other perishable items) are assumed
to have nominal value and therefore may be accepted.
E. If an employee is uncertain whether a gift offered from a
member of the public is acceptable or considered of nominal
value, the gift may be conditionally accepted, and the
Commissioners, Chief Operating Officer, or County Solicitor
shall be consulted as soon as practical regarding whether
the gift may be kept, given to charity, or returned to the
giver.
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VI. MISUSE OF PERSONAL SERVICES AND COUNTY PROPERTY
A. No employee shall receive, request, encourage or otherwise
allow any employee to provide services of a personal nature
to them during work hours. This includes any act of
intimidation, undue influence or coercion. However,
employees may voluntarily provide services of a personal
nature for co-workers on personal time.
B. County materials and equipment are intended to be utilized
for official county purposes. Personal usage is allowed only
if “de minimus” in nature and reasonable under the totality
of circumstances, as determined by the Commissioners, the
Chief Operating Officer, or the County Solicitor. However,
under no circumstances shall any county materials or
equipment be utilized for political purposes, even if considered
“de minimus” in nature.
VII. CONFIDENTIALITY
A. All information, no matter how acquired during the course of
employment with the County, is deemed strictly confidential
unless such information has been previously made available
to the public, and is not to be disseminated to the public
unless expressly authorized to do so by Commissioners or
Communications Director. Public dissemination includes
information provided to family members, friends and the
press. No County documents shall be removed from the
office where the person is employed unless express
permission has been granted. No County documents except
public records may be copied, including electronic copies,
unless express permission has been granted.
B. Social Media:
1. The use of various social media platforms (Facebook,
Twitter, MySpace, etc.) has become a part of everyday
life for many people as a quick and inexpensive way to
communicate with friends, coworkers, and others.
However, employees should be aware that any items
they post on social media platforms must comply with
the Confidentiality policy, and all other policies,
contained herein.
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2. Employees that use social media platforms should be
mindful that any items they post online may cause the
public to reflect negatively not only upon the employee,
but upon the County as well.
3. Employees are prohibited from posting any items on
social media platforms that expressly or implicitly
reference or relate to their employment with the
County, including but not limited to, messages
regarding personnel or policy matters. Employees are
also prohibited from posting any items that may
negatively affect the County.
VIII. PERSONAL RELATIONSHIPS AFFECTING EMPLOYMENT
No employee may directly supervise another employee with whom he/she
has a familial or close intimate relationship, including marriage,
domestic partners, co-habitation or dating.
IX. ETHICAL VIOLATIONS –
REPORTING/ENFORECMENT/PENALTIES
A. All employees are under an ethical obligation to disclose any
violations of this Code to their immediate supervisor, who
shall then report the alleged violation to each of the
Commissioners, the Chief Operating Officer, and the County
Solicitor. The obligation to report applies to any alleged
violation which is either:
1. Personally witnessed by the employee; or
2. Where the employee has received reasonably reliable
information that a violation has occurred.
B. Attorneys in supervisory roles must pay special attention to
Pennsylvania Rule of Professional Conduct 5.1, infra,
Responsibilities of Partners, Managers and Supervisory
Lawyers, which holds certain individuals in supervisory
positions accountable for the ethical violations of others (See
Appendix “A”).
C. When a violation of the Code of Ethics is alleged to have
occurred, the Chief Operating Officer, together with the
Solicitor, shall gather all pertinent information related to any
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alleged violation, make a determination as to whether a
violation of the Code of Ethics has occurred, and report their
findings in a written report (the “Findings of Fact”) to the
employee alleged to have committed the violation, with a
copy to each of the Commissioners. In the event such
employee disputes the Findings of Fact as determined by the
Chief Operating Officer and the Solicitor, he/she may
request that the Commissioners conduct a review of that
determination. Such a request shall be made within 3
business days of receipt by the employee of the Findings of
Fact. If at least one Commissioner determines that a review
of the determination is warranted, the Commissioners shall
then conduct a review of the alleged violation. In that event,
the Commissioners, by a majority vote shall make a written
determination as to whether a violation of the Code of Ethics
has occurred
D. A determination of a violation of the Code of Ethics shall
become final and unappealable:
a. In the event the employee alleged to have committed the
violation does not seek a review by the Commissioners of
the Findings of Fact within 3 business days of receipt
thereof; or
b. In the event the Commissioners deny the request of the
employee to review the determination of the Chief
Operating Officer and Solicitor; or
c. In the event the Commissioners conduct an review of the
reported findings of the Chief Operating Officer and
Solicitor and make a determination that a violation has
occurred.
E. When a violation of the Code of Ethics is found to have
occurred, and that determination is final as defined in Article
IX.D. above, the discipline procedure applicable to that
employee will be followed. Depending upon the seriousness
of the violation, an employee may be reprimanded,
suspended or terminated.
F. Any employee who reports a violation of this Code of Ethics
shall be afforded all of the protections provided by the
Pennsylvania Whistleblower Law, 43 P.S. 1421, et seq.
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X. SPECIAL RULES FOR ATTORNEYS
Attorneys employed by the County:
A. Shall not refer to private attorneys any claims or actual
cases which involve the County as an actual or potential
adverse party, nor advise private attorneys regarding such
matters;
B. Shall conduct themselves in accordance with 204 Pa. Code
Chapter 81 (relating to the Rules of Professional Conduct)
and, upon termination of County employment, shall carefully
adhere to Pennsylvania Rule of Professional Conduct Rule
1.11, infra, Special Conflicts of Interest for Former and
Current Government Offices and Employees;
C. If subject to the Pennsylvania Public Official and Employee
Ethics Law, Act 93, Chapter 11 of 1998, as amended, 65 P.S.
§§ 1101, et seq., shall follow the provisions of such law and
any regulations thereunder;
D. Shall make timely payment of the annual registration fee to
the Pennsylvania Supreme Court as a prerequisite to the
practice of law in Pennsylvania and thus a condition of
continued employment in the County; and
E. Shall ensure that they are complaint with the annual
requirements of the Pennsylvania Continuing Education
Board as a prerequisite to the practice of law in Pennsylvania
and thus a condition of continued employment in the
County.
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