LUZERNE COUNTY PERSONNEL CODE

LUZERNE COUNTY

COUNTY CODE REVIEW COMMITTEE

MEETING AGENDA June 05, 2018

Council Meeting Room Luzerne County Court House

200 N. River Street Wilkes-Barre, Pa. 18701

4:00 PM

4:00 PM CALL TO ORDER PLEDGE OF ALLEGIANCE AND MOMENT OF SILENCE ROLL CALL ADDITIONS TO/DELETIONS FROM AGENDA ADOPTION OF AGENDA AGENDA ITEMS

1. Review Personnel Code ....................................................................................... pages 1-15 2. Review Ethics Code ............................................................................................ pages 16-39

ITEMS FROM THE PUBLIC This is an opportunity for members of the public to address the Committee on matters not listed on the Agenda, but which must be within the subject matter jurisdiction of the Committee. Speakers are requested to submit a Speaker Card before the first speaker is called and to limit individual comments to three (3) minutes. Speakers may not yield or transfer their time to another speaker. ADJOURNMENT

LUZERNE

COUNTY

PERSONNEL

CODE

Luzerne County Code Review Committee Meeting June 05, 2018 Page 1 of 39

ARTICLE 1001. Luzerne County Personnel System 1001.01. Scope. 1001.02. Function. 1001.03. Merit principles and objectives. 1001.04. Division of responsibility.

ARTICLE 1002. County Career, Exempt and Civil Service 1002.01. Composition of County Career Service, Exempt Service, and Civil Service. 1002.02. Collective bargaining agreement in effect.

ARTICLE 1003. Selection and Promotion of Employees 1003.01. Policies; rules. 1003.02. Announcement of vacant positions. 1003.03. Applications. 1003.04. Applicant fitness. 1003.05. Examinations. 1003.06. Selection. 1003.07. Rejection for fraud or failure to comply with requirements. 1003.08. Probationary period. 1003.09. Undue influence prohibited. 1003.10. Family Member prohibited.

ARTICLE 1004. Personnel Policies 1004.01. Preparation and contents of personnel policies. 1004.02. Orientation. 1004.03. Personnel Policy Guide 1004.04. Performance evaluations. 1004.05. Employee development. 1004.06. Employee Database. 1004.07. Files and inspection of files.

ARTICLE 1005. Layoffs, Discharges and Suspension 1005.01. Reduction in Personnel 1005.02. Dismissals, suspensions and demotions. 1005.03. Federal, State, and County Investigations and Charges.

ARTICLE 1006. Political Activity


ARTICLE 1001. Luzerne County Personnel System 1001.01. Scope. The Personnel System shall cover all persons as promulgated under §7.03 of the Luzerne County Home Rule Charter. 1001.02. Function. Consistent with all applicable laws and contracts, the County Manager shall prepare and administer a unified personnel system for Luzerne County. Such system shall be based on merit principles and, to the extent possible, shall be designed to meet all of the merit system requirements established by the federal and state governments for the receipt of federal and state funds. 1001.03. Merit principles and objectives. The County Manager, through the Division of Administrative Services, shall be accountable for the development of personnel policies, procedures, and regulations for employees, which will embrace the concept of merit. They shall include, but not be limited to, the following principles and objectives, which shall guide the development of the County personnel system:

A. Providing equal opportunity for employment and for the advancement and retention of employees without regard to race, color, religion, sexual orientation, gender expression or identity, religious creed, national origin, age, genetic information, disability or gender; B. Recruiting, selecting and promoting employees on the basis of their respective abilities, knowledge and skills required for the position, as determined through open and competitive means; C. Providing fair and competitive compensation and benefits for all employees; D. Training and developing employees to ensure continuing high quality performance; E. Retaining employees on the basis of the adequacy of their performance, correcting inadequate performance, and terminating the employment of employees whose inadequate performance has not been corrected; F. Instituting a job description for each county position; a pay classification plan that fairly reflects the differences in salary levels; and a position classification plan that fairly reflects the differences in job classes, such as level of difficulty, education and experience requirements, and skill requirements;


G. Establishing high standards of integrity, conduct, and concern for the public interest; H. Protecting employees from political coercion.

1001.04. Division of responsibility. Certain duties and responsibilities associated with the structuring and functioning of the County personnel system shall be delegated by the County Manager to Head of Administrative Services, Director of Human Resources, and the Head of Budget and Finance Services, as follows:

A. County Manager. The County Manager shall

(1) Monitor the efficiency and effectiveness of the personnel system, and the faithful execution of the merit concept called for in the Charter and this Personnel Code; (2) Oversee the implementation of a merit personnel system and other personnel provisions mandated by the Charter and this Personnel Code; (3) Establish overall personnel policies; (4) Give final approval to the personnel policies and procedures developed by the Head of Administrative Services; (5) Submit proposed provisions of the Personnel Code requiring adoption and/or amendment by the County Council, pursuant to the Charter; (6) Bear the ultimate responsibility for the operation of the personnel system.

B. Head of Administrative Services. The Head of Administrative Services shall be prepared through education and experience in the field of human resources management to assume the duties and responsibilities of the office. The Head of Administrative Services shall

(1) Plan, oversee, and control the personnel system; (2) Develop and recommend to the Manager the policies and the rules and regulations that will govern the personnel system and that are needed to fully implement the personnel provisions of the Charter and this Personnel Code, including the merit principles and objectives as set forth in the Charter; (3) Determine and recommend to the Manager the structure of the Division of Administrative Services (e.g., offices or bureaus, and the respective duties of each);


(4) Determine and recommend staffing requirements for the Division of Administrative Services; (5) Develop and implement the recruitment and examination function of the personnel system; (6) Develop and implement a position classification and a pay plan; (7) Oversee the disposition, appropriate investigation, and referral of employee matters that are not within the scope of the Ethics Commission or other grievance procedures; (8) Prepare briefs as requested for the County Manager regarding the functioning of the personnel system and such other periodic reports as the Manager requires; (9) Coordinate personnel functions with other Divisions and operations; (10) Perform such other duties as may be assigned or delegated by the County Manager.

C. Director of Human Resources. The Director of Human Resources shall be responsible for the day to day management and operation of the personnel system and all other personnel system duties not specifically designated to the Head of Administrative Services under Section 1001.04(B). D. Head of Budget and Finance Services. The Head of Budget and Finance Services shall

(1) Maintain the payroll system relative to required additions, deletions, and changes in individual positions; (2) Validate and ensure that funding has been properly allocated for any available position before its being filled.


ARTICLE 1002. County Career, Exempt and Civil Service 1002.01. Composition of County Career Service, Exempt Service, and Civil Service.

A. The County “Career Service” shall be a permanent service to which the provisions of this article shall apply. It shall comprise all positions in the County Government now existing, or hereafter established, with the exception of those positions listed in Section 1002.01 (B). B. “Exempt Service” positions shall consist of positions held by all elected officials, the County Manager, Chief Public Defender, Chief County Solicitor, Division Heads, Clerk of Council and other positions as promulgated under the Home Rule Charter. Classification of positions in the County Exempt Service does not determine whether positions are exempt or non-exempt positions as specified under 29 CFR Part 541, Section 13(a)(1) of the Fair Labor Standards Act and its amendments as made from time to time. Exempt Service positions other than elected positions shall be filled using a merit-based recruitment and selection process, with the clear intent of attracting well-qualified individuals on the basis of a fair and open competitive process. C. The terms and conditions of the Commonwealth of Pennsylvania Civil Service System shall apply to those employees required to be included in a state Civil Service System. If any provision of this article is found to be in conflict with the Commonwealth of Pennsylvania Civil Service System, the provisions of the Commonwealth of Pennsylvania Civil Service System shall be controlling for employees covered by that Civil Service System.

1002.02. Collective bargaining agreement in effect. If any of the provisions of this Article are in conflict with a collective bargaining agreement in effect, the provisions of the collective bargaining agreement in effect shall be controlling for employees covered by that collective bargaining agreement in effect. Employees who have recourse to grievance procedures through their collective bargaining agreements in effect are required to use those procedures. ARTICLE 1003. Selection and Promotion of Employees 1003.01. Policies; rules. In addition to the provisions contained herein, the Head of Administrative Services shall establish such policies and rules as he/she may deem necessary for a merit system of filling vacancies and for recruiting highly qualified personnel for employees. 1003.02. Announcement of vacant positions.


All vacant positions that are authorized to be filled by the County Manager and are not already provided for in the Luzerne County Charter shall be posted in the following manner:

A. The County Manager shall first provide written notice to the Head of Administrative Services when any vacant position shall be filled or when a new position shall be created. B. The appropriate Division Head, Deputy Division Head, or its designee, hereafter referred to as "appropriate Hiring Manager,” shall initiate the hiring process by requesting that the Human Resources Director begin action to fill a vacant position within its jurisdiction. C. If a job description for the vacant position does not exist or is in need of revision, the appropriate Hiring Manager, in conjunction with the Human Resources Department, will prepare a current and accurate position description, outlining in detail the job responsibilities of the vacant position, salary or salary-range, and specific qualifications including, but not limited to, educational requirements, experience and, where appropriate, examination.

(1) Said job descriptions shall conform to the County's Classification Plan and Pay Plan and any applicable collective bargaining agreement and shall be approved by the County Manager or his/her designee. (2) The appropriate Hiring Manager shall prepare the Knowledge, Skills and Abilities (KSAs) required for the vacant position with rating and ranking criteria and identify at least one critical KSA screen-out element that must be met in order to initially qualify for the position. (3) The advertisement announcement must include the KSAs, and applicants must address the KSAs to be considered for the position.

D. The advertisement announcement of each newly created, vacant, or otherwise available permanent full-time position, temporary full-time position, or permanent part-time position for which there is no current eligibility list, as outlined in § 1003.06(G), shall be posted for no less than two weeks in the office of the administrative unit responsible for administering the County personnel system, on the bulletin boards at the various work locations of the County, and on the County website or other electronic medium, and shall be advertised in at least one daily newspaper of general circulation in the County.

1003.03. Applications.

A. All applications for County employment or for promotion shall be filed with


and maintained by the Human Resources Department. B. All candidate applications must be sent directly to the central Human Resources Department, date and time stamped, and placed in a secure location immediately upon receipt. C. No later than three (3) work days after the announcement closes, the Human Resources Department may begin screening applications.

1003.04. Applicant fitness.

A. The relative fitness of applicants shall be measured by examination of job-related knowledge, skills, integrity, and physical ability, where it is a bona fide occupational qualification for the position. The relative fitness of applicants will also be measured by the applicant's experience, education, training, licensure and job performance as may be applicable to the vacant position. B. The Human Resources Department shall disqualify applicants who do not pass the minimum qualifications or critical screen-out element as specified for any vacant position.

1003.05. Examinations.

A. The Human Resources Department, with the approval of the appropriate Hiring Manager, shall determine the form of examination to be used in the selection procedure for each position to ascertain an applicant's fitness based on objective job-related criteria. B. The Human Resources Department, with the approval of the appropriate Hiring Manager, shall establish specific criteria governing the use of examinations, including, but not limited to, traditional written examinations, computer-based written examinations, job simulation, or other appropriate examinations. Likewise, the Human Resources Department, in conjunction with the Hiring Manager, shall determine the appropriate candidates to participate in the examination phase of the screening process. C. The Human Resources Department, in conjunction with the Hiring Manager, shall be responsible for rating and ranking applicants using applicable working criteria. To the extent feasible, the identity of applicants being examined shall be shielded from any examiner until after the individual has been ranked on that section of the examination.

1003.06. Selection.


A. The Human Resources Department shall certify a list of the candidates receiving the highest rankings to the Hiring Manager. Except as may otherwise be provided for in this code, the Hiring Manager shall select one of the three top-rated candidates to fill the newly created, vacant, or otherwise available position. B. If interviews are conducted and no selection is made, the applications shall be sent back to the Human Resources Department and the next top three applications shall be sent to the selecting official for review and selection.

(1) Explanation for non-selection must be provided in writing to the Human Resources Department and kept on file when no selection is made from the top three candidates and all successive groups of top three candidates.

C. After a selection is made, the County shall conduct a background check on a selected applicant, which at a minimum shall include a criminal record(s) check, and may include other backgrounds checks as deemed necessary by the County Manager. D. The Veterans Preference Act shall apply where applicable. E. The County Manager shall confirm the final selection in writing. F. The Human Resources Department shall notify the successful applicant via phone and in writing, and coordinate with the selecting official and successful applicant to set up a mutually acceptable work start date. G. Applications and accompanying credentials of all non-selected, qualified candidates shall be kept on file with the Human Resources Department for one year; this shall constitute an eligibility list for the advertised position. A letter of acknowledgement and thanks shall be sent to all applicants for any position within the County.

1003.07. Rejection for fraud or failure to comply with requirements. Applicants who fail to comply with job related requirements, or who have attempted any deception or fraud in connection with any application or examination, shall be rejected. If such deception or fraud is discovered after a person is hired, that person shall be terminated and shall not be eligible to become a candidate for employment in the county. 1003.08. Probationary period.

A. Except where determined by a collective bargaining agreement in effect, state law, or where the Charter provides, all newly hired persons, or those promoted, shall serve a six-month probationary period and shall not be allowed to use the county grievance and appeals procedures and protections as specified in the


county personnel policy. B. The Human Resources Director shall establish a policy that provides for formal evaluation of the performance of persons during a probationary period and is directed at correcting inadequate performance.

(1) If during or at the end of the probationary period the newly hired employee's performance is considered not to be adequate, such person shall be terminated and notified in writing of the termination. (2) In the case of promotions, if the employee is not permanently promoted at the end of the probationary period, that person shall be returned to his/her former position, or an equivalent position.

1003.9. Undue influence prohibited.

A. No Hiring Manager, County Official or County employee shall unduly exert, negatively or positively, his or her influence to gain or attempt to gain preferential treatment for or against an applicant for employment with Luzerne County. B. No Hiring Manager shall be unduly influenced, negatively or positively, by any applicant, by any county, state, or federal official, or by any other individual or group in connection with any application for employment with the County.

1003.10. Family Member prohibited.

A. No elected County Official or County Employee or other manager shall employ a family member who would be under their direct line of authority. A family member is defined as parent, step-parent, spouse, domestic partner, father-in-law, brother-in-law, child, step-child, brother, step-brother, brother-in-law, sister, step-sister, sister-in-law, first cousin, aunt, uncle, grandchild, and grandparent. B. No family member of County Council, Judge of the Court of Common Pleas, Magisterial District Judges, County Manager, and Heads of the Divisions of Budget and Financial Services, Operations Services, Administrative Services, Office of Law, Public Defender, Correctional Services, Judicial Services and Human Services, shall be employed in Luzerne County’s government, except in the following circumstances:

(1) If a family member of any County Council member, County Manager or any Division Head is currently employed with the County at the time of this Code’s adoption, that family member shall continue to be a county employee so long as the family members are not in violation of §1003.10(A).


(2) If a family member of any County Council member, County Manager or any Division Head is currently employed with the County at the time that a family member takes office as an elected official, that family member shall continue to be a county employee so long as the family members are not in violation of §1003.10(A).

C. Where two family members are currently employed within the county at the time of this Code’s adoption, neither employee shall be barred from seeking promotion to any position, including the positions of County Manager and any Division Head, so long as the family members are not in violation of §1003.10(A).

ARTICLE 1004. Personnel Policies 1004.01. Preparation and contents of personnel policies.

A. The Division of Administrative Services shall be responsible for preparing and promulgating personnel policies governing all employees serving under the jurisdiction of the County Officers. All policies shall be subject to the approval of the County Manager before they are implemented. B. Personnel policies shall cover, but not be limited to, the following subjects: equal employment opportunity, sexual harassment, holidays, vacation, work week duration, disciplinary procedures, employee benefits, family medical leave act, leaves of absence, drug-free work place, and the promotion of diversity in the county through affirmative employment advertisements and on-going employee diversity training with the goal of attaining a workforce reflecting the diversity of the county’s population. C. The existing Luzerne County Policies and Procedures Manual shall continue in effect until amended or replaced. In cases of conflict between the wording of this Personnel Code and the existing Luzerne County Policies and Procedures Manual, this Personnel Code shall prevail. D. All employees not covered by a collective bargaining agreement in effect at the time of this Code’s adoption shall comply with the County’s current personnel policies and procedure. E. These personnel policies shall apply to all County employees, Boards and Commissions; however, where the application of these policies would conflict with applicable civil service rules and/or Administrative, Personnel or Ethics codes or other laws, the provisions of the civil service rules, the Administrative, Personnel, or Ethics Codes or other laws shall govern. All non-economic personnel policies (i.e., those covering other than wages, benefits, and similar provisions with financial aspects) shall apply to those employees covered by an


operative collective bargaining agreement that does not have applicable language. 1004.02. Orientation. As soon as reasonably possible after the effective date of the Personnel Code, the Division of Administrative Services shall have in place a formal orientation program for all employees. The Head of Administrative Services shall decide the timing for orientation, the scope of the program, and those who will be involved. 1004.03. Personnel Policy Guide The Head of Administrative Services shall cause the appropriate dissemination of Personnel Policy to the County workforce, particularly to new employees as part of the Orientation Program.

A. The policy guide should provide information helpful to the employee during his/her tenure, make clear the obligation each individual undertakes as an employee, and encourage commitment to his/her job and to the County. The guide will cover the following minimum areas; however, this is not meant to be an all-inclusive listing.

1. Employee Benefits 2. Equal Employment Opportunity 3. Harassment Policy 4. Drug & Alcohol Free Workplace 5. Hours of Work and Attendance 6. Paid and Unpaid Time Off 7. Employee Responsibility and Conduct 8. Recruitment, Hiring and Employment 9. Electronic Use Policy

B. Part of each orientation must be devoted to a discussion of the County’s Personnel Policy. Each employee shall receive a personal copy and must sign a statement to the effect that he or she has received such copy, understands its contents, and agrees to abide by the current policies, except where determined by a collective bargaining agreement in effect. C. All changes to personnel policies shall be made available to employees.

1004.04. Performance evaluations.

A. As soon as reasonably possible after the effective date of the Personnel Code, a Performance Evaluation System shall be established by the Head of


Administrative Services and approved by the County Manager. Among other things, the procedures shall provide for the frequency of evaluation, the type of evaluation rating appropriate for each class of employees, the review process, and the opportunity for an employee to file objection to the evaluation. B. The evaluation system shall be performance-based and established on job-related criteria. Its principal objectives shall be the development of personnel and the correction of poor performance, to the degree possible. C. The Head of Administrative Services shall arrange for training sessions for all persons responsible for evaluating others. Such sessions shall, among other things, guide evaluators in the use of rating forms and stress the importance of objectivity and professionalism in evaluating others and the need to be familiar with the work and performance of the person being evaluated.

1004.05. Employee development. The Head of Administrative Services, with the approval of the County Manager, shall oversee, foster, and develop programs for the improvement of employee development and effectiveness. The funds needed to support county-wide or specific programs shall be recommended in the annual operating budget and assigned to the appropriate cost centers. The administrative division shall be responsible for tracking the total budgeted and executed cost for training and development for the entire county. 1004.06. Employee Database. The Head of Administrative Services shall maintain a database of all county employees. Where applicable, the database shall specify the class or title of the position held, the current salary and pay grade, any changes in class or title, salary or pay, and such other data as may be deemed useful. 1004.07. Files and inspection of files.

A. The Head of Administrative Services shall maintain the official personnel file of each employee. B. All personnel files shall be considered confidential and shall only be disclosed to aid in personnel administration or where the Charter mandates, and only with the approval of the Human Resources Director. C. Each employee’s health information and medical records shall be kept in a separate file from the employee’s personnel file and shall be considered confidential in accordance with all applicable state and federal laws.


D. Each employee shall have the right to inspect his or her records which have been or may be used in connection with any personnel action relating to that employee in accordance with applicable law. The Human Resources Director may establish rules, subject to review and approval by County legal counsel, in the furtherance of this provision.

ARTICLE 1005. Layoffs, Discharges and Suspension 1005.01. Reduction in Personnel

A. If a reduction in force is necessary, no employee shall be laid-off while any probationary, part-time, occasional, casual, temporary, or seasonal employee is employed in the same division. B. Layoffs may occur because of economic considerations, lack of work, abolition of position, reduction in force, or reduction of state or federal funds. C. If there is in existence a Labor Agreement covering the manner in which employees are to be laid-off, the Labor Agreement shall be controlling. D. A laid-off employee shall have the right of return for one (1) year from the date of layoff to any class and status which was previously held, provided such class is contained in the current classification plan of the Division or division, or to any class and status in the same or lower grade, provided the employee meets the minimum qualifications given in the classification plan of the Division. If there is in existence a Labor Agreement covering recall rights of laid-off employees, the Labor Agreement shall be controlling.

E. The Head of Administrative Services, with the approval of the County Manager, shall be responsible for the creation of a procedure addressing reemployment. If such rules are in conflict with the terms of a collective bargaining agreement in effect, the collective bargaining agreement shall be controlling.

1005.02. Dismissals, suspensions and demotions.

A. Within four (4) months after the effective date of the Personnel Code, the Head of Administrative Services shall set forth the rules and procedures establishing a disciplinary system, which shall include the Table of Offenses and Penalties and a grievance procedure. The rules and disciplinary system shall be approved by the Manager. The rules shall communicate, among other things, performance expectations, expected standards of conduct, the responsibilities of employees and supervisors in the disciplinary process, and the consequences for failure of any


- 15 – Adopted April 10, 2012 – Effective May 10, 2012 – Amended May 28, 2013

employee to meet expected standards. B. Except as the Charter provides, any dismissal, demotion to a lower-paid position, or suspension of any non-probationary employee without pay shall be for just cause only. Just cause may be, but is not limited to, inability to consistently perform required duties, absenteeism, delinquency, misconduct, incompetence or inefficiency, poor performance, inappropriate conduct, or violations of the ethics code. C. The disciplinary rules and procedures shall be incorporated into the Personnel Policy Guide. D. The County Manager, Elected Official and/or County Council, as appropriate, have full responsibility and authority to impose disciplinary action in accordance with County policy and the circumstances of the particular case. The degree of disciplinary action, up to and including termination, will depend on the severity of the infraction.

1005.03. Federal, State, and County Investigations and Charges.

A. If criminal charges are filed against an employee, or if an employee receives notice that he/she is the subject of a federal, state, or county criminal investigation, the employee shall inform, in writing, the Director of Human Resources within four (4) calendar days of any such occurrence. B. If criminal charges are filed against an employee, the County Manager shall have the full discretion to place an employee on Administrative Leave with or without pay, depending on the circumstances of the criminal charges.

ARTICLE 1006. Political Activity

A. All County Employees shall abide by §7.09 of the Charter regarding “Political Activity.” B. The County Manager, through the Division of Administrative Services, shall have the authority and full discretion to develop supplemental personnel policy provisions outlining further specific instances of political activity from which County employees must refrain. C. Any violation of the provisions referenced in either this code or the Personnel Policy provisions regarding “political activity” may be reported by any individual in accordance with the Complaint Process promulgated in the Ethics Code.


Luzerne County, Pennsylvania

Accountability, Conduct, and Ethics Code

Effective Date: May 24, 2012

Amended: October 14, 2014


October 14, 2014

Table of Contents

Chapter 101 – Establishment of the Accountability, Conduct, and Ethics Code

Section 101.01 Preamble

Section 101.02 Purpose of Accountability, Conduct, and Ethics Code

Section 101.03 Operation of Accountability, Conduct, and Ethics Commission

Chapter 102 – Definitions and Construction

Section 102.01Definitions

Chapter 103 – Code of Accountability, Conduct, and Ethics

Section 103.01 Applicability of Code of Accountability, Conduct, and Ethics

Section 103.02 General Ethical Obligations

Section 103.03 Special Application to Luzerne County Council

Section 103.04 Notification to Covered Persons

Section 103.05 Standards of Conduct Section 103.06 Ethics Training for Elected Officials and Employees

Chapter 104 – Operations of Accountability, Conduct, and Ethics Commission

Section 104.01 Establishment of Accountability, Conduct, and Ethics Commission

Section 104.02 Member Qualifications

Section 104.03 Removal

Section 104.04 Organization of Accountability, Conduct, and Ethics Commission

Section 104.05 Voting

Section 104.06 Compensation

Section 104.07 Minutes and Records

Section 104.08 Rules and Procedures

Section 104.09 Administrative Support

Section 104.10 Attorney for ACE Code Enforcement

Chapter 105 – Complaint Process

Section 105.01 Complaint

Section 105.02 Preliminary Inquiries

Section 105.03 Conduct of Investigations

Section 105.04 Hearings

Section 105.05 Discovery

Section 105.06 Confidentiality

Section 105.07 Final Action of the ACE Commission

Section 105.08 Disposition

Section 105.09 Statute of Limitations

Section 105.10 Appeal

Section 105.11 Summary Report to Council and Chief Executive

Section 105.12 Frivolous or Groundless Complaints

Chapter 106 – Miscellaneous

Section 106.01 Severability

Section 106.02 Effective Date

Section 106.03 Application


October 14, 2014

Exhibit A: Accountability, Conduct, and Ethics Commission Complaint Form

Exhibit B: Flow Chart


October 14, 2014

CHAPTER 101 – ESTABLISHMENT OF ACCOUNTABILITY, CONDUCT, AND

ETHICS CODE

Section 101.01 Preamble

The proper function of the governance of Luzerne County requires (1) that public officials and

employees be competent, independent, honest, impartial and responsible to the public; (2) that

governmental decisions and policies be made in the appropriate channels of County

governmental structures; (3) that public office not be used for public gain; and (4) that the public

have confidence in the integrity of the County government, its employees, and its officials. To

accomplish these ends the Accountability, Conduct and Ethics Code (hereinafter the Ethics

Code) and Accountability, Conduct, and Ethics Commission of Luzerne County (hereinafter

ACE Commission) were established. The work of the Code and the Commission serves as a

reminder that public office is a public trust and that any effort to realize personal financial gain

through public office other than compensation provided by law is a violation of that trust.

Because the public has a right to be assured that the financial interests of holders of or nominees

or candidates for public office do not conflict with the public trust and because public confidence

in government can be sustained best by assuring the people of the impartiality and honesty of

public officials, it shall be the task of the ACE commission to promote complete financial

disclosure as specified in the Home Rule Charter and the Ethics Code. Furthermore, inasmuch as

it is recognized that clear guidelines are needed in order to guide public officials and employees

in their actions, this Ethics Code attempts to define as clearly as possible those areas which may

represent conflict with the public trust.

Section 101.02 Purpose of the Ethics Code

The purpose of the Ethics Code is to set forth the details for the accountability, conduct and

ethics of Luzerne County (County) government consistent with the provisions of the Home

Rule Charter of Luzerne County as adopted on November 2, 2010 and consistent with all

applicable laws of the Commonwealth of Pennsylvania.

Section 101.03 Operation of Accountability, Conduct and Ethics Commission The ACE Commission, as established in Section IX of the Home Rule Charter, is an independent

commission that shall be empowered to receive complaints from any individual and

investigate alleged violations of the Ethics Code by any employee of the County, by any

member or employee of any County authority, board or commission, by any elective official or

employee of his or her office, or by any employee of the Judiciary or Office of Court

Administration. The ACE Commission shall set forth, in compliance with the Ethics Code,

standards for determining which complaints warrant investigation; procedures by which

investigations shall be conducted; the methods to preserve confidentiality, as appropriate;

standards upon which final determinations shall be made; procedures for notification and

dissemination of determinations; standards for imposition of sanctions, penalties, and remedies;

and any other policies, practices, and procedures appropriate for the efficient and effective

operation of the ACE Commission.


October 14, 2014

CHAPTER 102 – Definitions and Construction

Whenever used in this Code, local laws, ordinances, legalizing acts or resolutions, unless

otherwise expressly stated or required by subject matter or context, words will have the following

definitions:

A. County shall mean the County of Luzerne;

B. Charter shall mean the Home Rule Charter of the County and all amendments thereto;

C. Administrative Code and Code shall mean this Administrative Code adopted by and for the

County of Luzerne and all amendments hereto;

D. County Council shall mean the elective legislative body of Luzerne County as provided for

in the Charter;

E. County Manager shall mean the County Manager appointed by the County Council pursuant

to the Luzerne County Charter;

F. County funds shall mean all monies collected by any office or Division of the County

Government;

G. Covered Persons shall mean all employees of the County, all members and employees of

County authorities, boards, and commissions, all elective County officials and all employees

of their offices, and all employees of the Judiciary and Office of Court Administration (HR

Charter, Section 9.03).

H. Administrative Service shall mean Divisions under and directly reportable to the County

Manager;

I. Adoption or enactment of an ordinance or resolution occurs when an ordinance or

resolution is lawfully passed by County Council, or when a majority of those voting on an

ordinance proposed by an initiative petition cast votes in the affirmative and the results are

certified by the Board of Elections and Registration. However, if this Charter requires County

Council to submit an ordinance or resolution to the County Manager for his/her review, then

adoption or enactment does not occur until the expiration of the time allowed for the County

Manager to request in writing that County Council reconsider its action as provided for in

Section 2.12 B. of this Charter, or, if reconsideration is requested, Council confirms its

original action as provided for in Section 2.12 D. of this Charter;

J. Applicable law and applicable laws shall refer to those laws of the Federal Government

and/or the Commonwealth of Pennsylvania that the County is required to observe and adhere

to in the exercise of its home rule powers;

K. Clerk of County Council and Office of Clerk of County Council shall mean the

position/office responsible for recording and filing the proceedings and papers of County

Council, attesting to all official actions of County Council, and possessing related powers and

duties;


October 14, 2014

L. County employee and County employment shall mean any individual who has been hired

by or is employed by Luzerne County in any capacity and to whom a salary, compensation,

stipend, or emolument is paid;

M. Current members of County Council shall mean those holding seats on County Council

that are not vacant;

N. Days shall mean calendar days unless business days are specifically referenced. A calendar

day is any day including a Saturday, Sunday, and legal County holiday. If action is required

on a calendar day that is not a County business day, action shall be required by the next

business day, which shall mean any day not a Saturday, Sunday, or a legal County holiday;

O. Elected or elective County office and elected or elective County official shall mean the

members of Luzerne County Council, the Controller, and the District Attorney;

P. Elected or elective public office and elected or elective public official shall mean any

federal, state, county, municipal, or school district position that is elective;

Q. Home Rule Charter and Optional Plans Law shall mean the Act of April 13, 1972, as

amended, or successor law;

R. Immediate Family shall mean parent, spouse, child, brother, or sister;

S. Luzerne County Court of Common Pleas, Court of Common Pleas of Luzerne County,

Court of Common Pleas, and Court shall mean the Court of Common Pleas of the 11th

Judicial District of the Commonwealth of Pennsylvania, presently coterminous with Luzerne

County;

T. Members of Council whose presence at the meeting is recorded and who are eligible to

vote shall mean those in attendance at a meeting of County Council or lawfully participating

in a meeting of County Council via telephonic, electronic, and/or other permitted devices and

who are not prevented from voting by the State Ethics Act, by the County Accountability,

Conduct, and Ethics Code, or by any other prohibition in this Charter or applicable law;

U. Public hearing shall mean a special meeting at which time there will be only one order of

business, and at which the public shall be permitted to speak on the subject specified. For

required public hearings, public notice must be given as provided for in this Charter, the

Administrative Code, or applicable law;

V. Public office, public official, public employee, and public employment shall mean any

paid or unpaid Federal, State, County, Municipal, or School District position that is not

elective;

W. Registered voter shall mean a person who is lawfully registered and eligible to vote in

Luzerne County having met the residency, registration, and other requirements as set forth in

applicable law;

X. Technical codes are standard or nationally recognized codes or technical rules, regulations,

or specifications, such as building, electrical, health, and safety codes, etc.;


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Y. Family member shall mean: Parent; step-parent; spouse or domestic partner; spouse’s or

domestic partner’s parent or step-parent; child; step-child; brother; step-brother; brother-in-

law; sister; step-sister; sister-in-law; cousin; aunt; uncle; grandchild; and grandparent;

Z. Domestic Partner shall mean a person in a stable relationship between two (2) individuals,

where both:

1. Are at least 18 years old; and

2. Are not related to the other domestic partner by marriage or blood, within the degree of

consanguinity defined by PA law;

and where evidence of a stable and committed relationship exists through one or more of the

following:

1. Financial interdependence for a period of no less than one (1) year; and/or

2. Sharing of at least one residence; and/or

3. Other credible evidence of such relationship.

All words and phrases in this Code are used according to their accepted and ordinary meaning

except where another meaning is specifically indicated. Words used in the singular number shall

extend to and include the plural number, and words used in the plural number shall extend to

include the singular number.

CHAPTER 103 – Code of Accountability, Conduct, and Ethics

Section 103.01 Applicability of Code of Accountability, Conduct and Ethics

All Covered Persons shall be subject to the provisions on restricted activities/standards of

conduct set forth in this Ethics Code.

Section 103.02 General Ethical Obligations

A. All Covered Persons will be held accountable for adherence to the standards set forth in

the Ethics Code. In matters of ethical dilemmas and conduct not covered under this

Code, all Covered Persons are expected always to reflect on and serve what they believe

to be in the public interest and not to serve personal interests and gain.

B. All Covered Persons are subject to and are expected to be familiar with the Ethics Code

and with the Pennsylvania Public Official and Employee Ethics Law, Act 93, Chapter

11, of 1998.

C. Individual departments and agencies may, as necessary, recommend conduct and

procedures, not inconsistent with the Ethics Code, that are specifically applicable to the

work of the department or agency. Such standards and procedures shall be forwarded to

the County Manager for submission to County Council for approval, and with the

understanding that the more stringent rules will apply to the individual department or


October 14, 2014

agency. County Council shall address these submissions from the County Manager at

its next scheduled public meeting.

Section 103.03 Special Application to Luzerne County Council

A. Please refer to Section 2.17 of the Luzerne County Home Rule charter for the prohibitions

laid upon County Council with regard to the operation of the executive branch of county

government. Any suggestion or opinion proffered by County Council at a meeting shall not

constitute an order or directive per Section 2.17 of the Charter.

B. The following is a list of penalties to be applied when a member of County Council is

found to have violated the charter.

1. First Offense ‐ censure, a $100.00 fine, and, as directed by Council, the Council

member shall be required to abstain from voting on any issue related to the violation.

2. Second Offense ‐ censure, a $300.00 fine, and, as directed by Council, the Council


3. Third Offense ‐ censure, a $500.00 fine and, as directed by Council, the Council


Section 103.04 Notification to Covered Persons

A. The County Manager shall be responsible for communicating to all Covered Persons the

provisions of the Ethics Code. These provisions shall be included in the employee

handbook and covered as part of orientation for new and current employees.

B. Part of each orientation shall be devoted to a discussion of the Ethics Code, and each

person shall receive a personal copy. When the Ethics Code shall be updated, the County

Manager shall be responsible for providing an updated copy of the Ethics Code to all

Covered Persons.

Section 103.05 Standards of Conduct

All Covered Persons shall set and follow an example of proper conduct that shall include the

following: A. Honor and Integrity

Dedicating themselves to the highest ideals of honor and integrity in all public

relationships in order to merit the respect and confidence of Covered Persons and the

public.

B. Service in the Public Interest

1. Serving the best interests of the public at all times with the recognition that this is the

chief function of government.

2. Seeking to employ efficient and economical ways of accomplishing necessary tasks

and functions.

C. Confidentiality and Disclosure

Respecting confidentiality and refraining from disclosing confidential information, as

follows: No Covered Person, other than in the performance of his or her official duties, shall

disclose, for his or her benefit, or the benefit of others, confidential information acquired by

reason of his or her public position. Confidential information shall include but not be


October 14, 2014

limited to information concerning and related to personnel matters, collective bargaining

and arbitration, the purchase or lease of real estate, litigation, and potential litigation,

investigations of violations of the law and quasi‐judicial deliberations, and the non‐property

tax records of individuals.

D. Disclosure of Financial Interests

The requirements for disclosure of financial interests shall be those set forth in applicable

state or federal law.

E. Gifts, Loans, Benefits, and Considerations; Accepting Improper Influence

No Covered Person shall solicit or accept, directly or indirectly, a gift, loan, reward,

promise of future employment, benefit or consideration from:

1. A person or business having or seeking a financial relationship with the County;

2. A person or business whose operations or activities are regulated or inspected by the

County;

3. A principal and/or attorney in proceedings in which the County is an adverse party; or

4. Any person or business where the performance or non‐performance of any official duty

maybe influenced or affected.

F. Private Business/Financial Interests; Exerting Improper Influence

1. No Covered Person shall engage in any business transaction or private employment, or

have any financial or other private interest, direct or indirect, which is to the detriment

of the proper discharge of his or her official duties.

2. No Covered Person shall use, or attempt to use, his or her position to obtain financial

gain, a loan, a contract, license, privilege, or other personal advantage, either direct or

indirect.

3. No Coroner, while engaged in county business, shall solicit, discuss, or accept

business for a funeral home that he or she is associated with, directs, or works for;

no Coroner shall recommend funeral home services to anyone while engaged in

county business.

4. No Covered Person shall attempt to influence the course of proposed County Council

legislation in which he or she, or a family member or business associate, has a present

or potential conflict of interest or private interest, direct or indirect.

5. No Covered Person, while engaged in county business, shall perform, discuss, or solicit

any non-county-related business in which the Covered Person has a financial interest

6. No County Solicitor shall represent any individual, group or business in any lawsuit

against the County.


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G. Patronage/Nepotism

1. No Covered Person shall unduly exert, negatively or positively, his or her influence to

gain, or attempt to gain, preferential treatment on behalf of an applicant for

employment or advancement with the County.

2. No family member of a County Official or County Officer shall be permitted to obtain

full time employment with the County or Agency except through the election to a

public office.

3. No Covered Person shall supervise a family member.

H. Offering Special Benefits

1. No Covered Person shall, for a fee or other compensation, use the influence of his or

her position to provide a special service or favor to an individual.

2. No Covered Person shall grant, offer, or provide any privilege or service beyond that

which is available to all other similarly situated persons, businesses or entities.

I. Honoraria

No Covered Person shall accept an honorarium for any activity related to his or her

official capacity. Covered Persons may accept normal travel, meals, and awards from

civic or business groups.

J. Contracts

No Covered Person, or a family member of a Covered Person, or a business or

organization with which such individual is associated, may have an interest in a public

contract if the Covered Person is authorized to exercise discretion over the contract.

K. Former Association

No former Covered Person, regardless of profession, shall represent a person, corporation

or business with promised or actual compensation, on any governmental matter before the

County government or any of its Agencies with which he or she has been associated for

one year after he or she leaves that body.

L. Voting Conflict

Every Covered Person shall publicly disclose any direct or indirect financial or other

private interest in any proposed legislation on which he or she would be required to vote.

Covered Persons, who, in the discharge of their official duties, would be required to vote

on a matter that would result in a conflict of interest shall abstain from voting and, prior

to the vote being taken, publicly announce and disclose the nature of the interest as a

public record.

M. Misuse of County Resources

1. No Covered Person shall use, request, or permit the use of County resources,

including, but not limited to, motor vehicles, equipment, and materials, except for

County purposes.


October 14, 2014

2. No Covered Person shall use County resources to transmit information that is

personal or political in nature. Official information is information which relates to

the official duties of all applicable County employees.

N. Political Activity

1. Employees shall have the right to hold membership in a political party, to vote, to

express publicly or privately opinions on political subjects and candidates, to

maintain political neutrality, or to otherwise participate in political meetings and

activities. Employees must engage in all such activities as private citizens, away from

County workplaces, out of uniform and during non‐working hours, except union

officers in the normal conduct of union activities.

2. No Covered Person shall use the authority or influence of his or her office for the

purpose of interfering with the result of an election.

3. No Covered Person shall solicit, directly or indirectly, any employee reporting to such

Covered Person to engage in political activity or to suggest that such covered employee

engage in such political activity. No Covered Person shall solicit, directly or indirectly,

campaign contributions from a person reporting to such Covered Person.

O. Discrimination

No Covered Person shall, in any way, engage in discrimination on the basis of race,

religion, creed, national origin, age, disability, sexual orientation, or gender, or shall

any official or employee engage in any actions which are oppressive or which

constitute harassment.

P. Whistle-blowing

1. Every Covered Person is encouraged to disclose any information which he or she

believes evidences a violation of any law, rule or regulation.

2. Every Covered Person is encouraged to disclose any information which he or she

believes evidences a clear misuse or waste of County funds, or an abuse of official

authority, or which can result in a substantial and specific danger to the public’s health or

safety.

3. No Covered Person shall be penalized for, nor take any action to punish another, for

whistle-blowing. No County Officer or appointee may discharge, threaten or otherwise

discriminate or retaliate against an employee regarding the employee's compensation,

terms, conditions, location or privileges of employment because the employee or a

person acting on behalf of the employee makes a good faith report or is about to report,

verbally or in writing, to the employer or appropriate authority an instance of

wrongdoing or waste. No County Officer or appointee may discharge, threaten or

otherwise discriminate or retaliate against an employee regarding the employee's

compensation, terms, conditions, location or privileges of employment because the

employee is requested by an appropriate authority to participate in an investigation,

hearing or inquiry held by an appropriate authority or in a court action.

4. Every Covered Person is encouraged to expose corruption wherever discovered.

Section 103.06 Ethics Training for Elected Officials and Employees

A. Each elected official, members of each elected official's personal staff, each employee

holding a senior administrative service position with the County, and each board or


October 14, 2014

commission appointee, upon due notice, shall attend an ethics education seminar offered on

a regular basis by the ACE Commission within 120 days of the effective date of this

amendatory ordinance or within 120 days of becoming an elected official, becoming a

member of an elected official's personal staff, becoming a board or commission appointee

or holding a senior administrative service position with the County (or as soon thereafter as

an ethics education seminar is offered by the Board of Ethics) and every four years

thereafter. The seminar shall educate persons as to their duties and responsibilities under

this article.

B. The ACE Commission shall define "senior administrative service position" by rule.

C. Each County employee shall participate in ethics training at least once during his or her

employment by the County. New employees shall participate in ethics training as part of

their orientation to County employment.


October 14, 2014

Chapter 104 Operations of Accountability, Conduct, and Ethics Commission Section 104.01 Establishment of ACE Commission

There is hereby established a five (5) member ACE Commission. The ACE Commission

generally shall be empowered to receive, investigate, and make findings and recommendations

concerning complaints alleging the violation of this Accountability, Conduct and Ethics Code.

Section 104.02 Member Qualifications

A. The ACE Commission shall consist of the County Manager or his or her designee, the

District Attorney or his or her designee, the Controller or his or her designee, and two

registered voters of Luzerne County appointed by resolution of County Council adopted

by the affirmative vote of at least a majority of its current members.

1. The two registered voters appointed by County Council shall not be members of

the same political party. One appointee shall be a member of the political party

receiving the highest number of votes cast in Luzerne County for the office of

Governor of Pennsylvania in the most recent general election for that office and

one appointee shall be a member of the political party receiving the second

highest number of votes cast for that office in that election. At the time of their

respective appointments, each of the members of the ACE Commission

appointed by County Council shall have been a member of the same political

party continuously for at least five years and shall remain a member of that party

during his or her term of office.

2. If the political party receiving the highest or second highest number of votes cast

in Luzerne County for the office of Governor of Pennsylvania in the most recent

general election for that office has not been recognized within the county for five

years, the appointee shall be a member of that political party since its recognition

by the Commonwealth of Pennsylvania and shall remain a member of that party

during his or her term of office.

3. In the event that the County Manager, District Attorney, and/or Controller shall

utilize the appointment of a designee as a member of the ACE Commission, the

designee shall be the official member of the Commission until replaced. The

clear intent of the ACE Commission is to provide a consistent body to review

ethics complaints. Designees shall not be appointed on a case-by-case basis.

B. For those initially appointed to the Accountability, Conduct, and Ethics Commission by

County Council, one member shall serve for a term of two years, and one member shall

serve for a term of four years. The appointees shall draw lots to determine who shall

serve the two year term and who shall serve the four year term. Thereafter, except as

may otherwise be provided for in the Home Rule Charter or applicable law, all terms

shall be four years.

C. Within the first thirty (30) days of the year following its initial election, County Council

shall appoint the members of the ACE Commission it is empowered to appoint. If

County Council fails to do so, any resident of Luzerne County may petition the Court of

Common Pleas to make the appointment(s). In such a case, the Court by a majority vote

of its members shall make the appointment(s) within thirty (30) days after receiving

such petition.


October 14, 2014

D. At the expiration of a term of office of any member subject to appointment by County

Council, or when either of these positions is declared vacant by County Council pursuant

to Section 11.06 of the Home Rule Charter, County Council at a regular or special meeting

held within sixty (60) days after the expiration of the term or the declaration of the vacancy

shall make the appointment or fill the vacancy by resolution adopted by an affirmative

vote of at least a majority of its current members. The person appointed shall be a member

of the same political party as the person he or she is to succeed, unless that party is no

longer one of the parties that received the highest or second highest number of votes cast

in Luzerne County for the office of Governor of Pennsylvania in the most recent general

election for that office. In such a case, the person appointed shall be a member of the party

that replaced it as one of the two parties receiving the highest number of votes cast in

Luzerne County for the office of Governor in the most recent general election for that

office. In either case, the person appointed shall have been a member of that party

continuously since its recognition or for at least five years prior to the date of appointment.

E. If County Council fails to make any appointment or fill any vacancy within the time

allotted, any resident of Luzerne County may petition the Court of Common Pleas to fill

the position. In such a case, the Court by majority vote of its members shall fill the

position within thirty (30) days after receiving such petition. At the time of his or her

appointment, throughout his or her term of office, and for a period of at least four years

prior to appointment, no member of the ACE Commission appointed by the County

Council shall be or have been an elective County official, County employee, member or

employee of any County authority, board or commission, be or have been employed or

compensated by any individual or business serving as a contractor to the County or any

County authority, board, or commission, serve or have served as a paid consultant for the

County or any County authority, board, or commission, or serve or have served as an

officer in a political party. Further, for a period of one year after leaving office, no

member of the ACE Commission appointed by County Council shall serve as a County

employee, be appointed to or serve as an employee of any County authority, board, or

commission except as may specifically be provided for in the Luzerne County Home Rule

Charter, be employed or compensated by any individual or business that served as a

contractor to the County or any County authority, board, or commission during the time

he or she served as a member of the ACE Commission, or serve as a paid consultant for

the County or any County authority, board, or commission.

Section 104.03 Removal

ACE Commission members may be removed only for cause by County Council. Any ACE

Commission member so removed may request, and be granted, a hearing before the County

Council at which time such member may show cause why he or she should not be removed.

Section 104.04 Organization of the ACE Commission

Within thirty (30) days of the appointment of the ACE Commission, the County Manager, or his or

her designee shall be responsible for convening the appointed members of the ACE Commission.

At this meeting, the ACE Commission shall elect one of its members as Chairperson and one of its

members as Vice Chairperson. The County Manager, or his or her designee, shall preside as

Interim Chairperson until an ACE Commission Chairperson is elected.


October 14, 2014

Section 104.05 Voting A. Any three members of the Accountability, Conduct, and Ethics Commission, one of whom

must be a citizen member, shall constitute a quorum and shall have the power to perform the

functions of the ACE Commission.

B. A member, for good cause, may recuse himself or herself from the process of any

complaint. The member who recuses himself or herself shall notify the chair of the ACE

Commission.

C. A simple majority is required for an action to move forward. A simple majority is determined

as a numerical majority of members present and voting.

Section 104.06 Compensation

Members of the ACE Commission shall receive no compensation for the performance of their duties.

Members of the ACE Commission shall be reimbursed for travel and other necessary expenses incurred in

the course of the performance of their duties.

Section 104.07 Minutes and Records

The Chairperson of the ACE Commission shall ensure that appropriate measures are taken to keep minutes

of the ACE Commission’s proceedings and records of other official actions. Such records shall be kept and

preserved in accordance with applicable law.

Section 104.08 Rules and Procedures

The ACE Commission shall adopt procedures and rules of conduct for its activities within sixty

(60) days of its first organizational meeting.

Section 104.09 Administrative Support

The County Manager shall furnish to the ACE Commission such clerical assistance and supplies as may be

deemed reasonable.

Section 104.10 Attorney for ACE Code Enforcement

The ACE Commission shall appoint a panel of three (3) attorneys toassist in the enforcement of the

Ethics Code. These attorneys shall be independent contractor attorneys not otherwise employed by

the County and shall be appointed following an RFP process establishing an hourly rate and a cap on

total annual fees that may be paid.

The ACE Commission shall appoint, on a rotating basis, one (1) of the three (3) Attorneys to serve

as the Enforcement Attorney in each case in which a complaint is lodged with the ACE Commission.

The duties of the appointed attorney for the ethics code enforcement (hereinafter ACE Attorney)

shall include the following:

A. To promptly undertake and complete an investigation of all matters involving alleged

violations of the Ethics Code called to his or her attention by written complaint;

B. To make a determination on completion of his or her investigation whether there is reason

to believe that the Ethics Code has been violated;

C. To terminate the investigation if the ACE Attorney concludes that there is no reason to

believe that the Ethics Code has been violated and to so notify the complainant, the person

who had been the subject of the inquiry, and the ACE Commission;

D. To file a formal complaint against the person who has been the subject of the investigation

if he/she concludes that there is reason to believe that the Ethics Code has been violated,

and to serve notice of that complaint by mail upon the alleged violator with notice that the


October 14, 2014

alleged violator has thirty (30) days to file a response thereto;

E. To reach an agreed-upon resolution, including any proposed sanctions for the alleged

violations, with the alleged violator, said resolution to be set forth in a written agreement

which must be submitted to an approved by formal action of the ACE Commission; and

F. To prosecute before the ACE Commission complaints not resolved by written agreement

approved by the ACE Commission.

Chapter 105 – COMPLAINT PROCESS

Section 105.01 Complaint

A. Any individual who believes that an action or omission of a Covered Person is in violation of this

Ethics Code shall have the right to lodge a formal complaint with the ACE Commission.

B. A complaint alleging a violation of this Article shall be in writing and filed with the Designee of

the County Manager. Before being considered by the ACE Commission the complaint shall

contain the following:

1. The name of the Covered Person (the respondent) and the position or office held by the

respondent;

2. The name, address and phone number of the person filing the complaint (complainant);

3. A statement of alleged facts and circumstances that the complainant believes in good faith

constitutes a violation of this Ethics Code; and

4. A sworn verification signed by the complainant;

5. The ACE Commission complaint form to be utilized in filing a complaint is attached hereto as

Exhibit “A.”

C. Upon receipt of any communication addressed to the ACE Commission, within five (5) days,the

designee of the County Manager shall:

1. Date stamp the unopened envelope;

2. Submit the unopened envelope to the designated ACE Attorney.

D. The designated ACE Attorney shall:

1. Acknowledge, in writing, the receipt of the complaint to the complainant;

2. Notify the respondent; and

3. Keep the substance of the complaint confidential;

E. If a complaint does not satisfy any requirements under Section 105.01B the complaint will be

dismissed as legally insufficient by the ACE Attorney, and the ACE Attorney shall so notify the

ACE Commission..

F. When any individual, including any respondent or member of the ACE Commission, believes that

a complainant is using the ACE Commission complaint process for any purpose other than the

purpose promulgated at Section 101.01, that individual shall have the right to lodge a formal

complaint with the ACE Commission in accordance with the complaint process herein.

G. When a complaint filed with the ACE Commission lists any ACE Commission member as a

respondent, the named ACE Commission member shall automatically be disqualified from

participating in any inquiries, investigation, hearing, and final actions in his or her capacity as a

member of the ACE Commission. The named ACE Commission member shall be afforded all

enumerated rights afforded to respondents as outlined in this code.

H. If any ACE Commission member files a complaint against any Covered Person, said ACE

Commission member shall automatically be disqualified from participating in any inquiries,

investigation, hearing, and final actions in his or her capacity as a member of the ACE


October 14, 2014

Commission. The ACE Commission member filing the complaint shall have the ability to act as

witness in any subsequent ACE Commission investigation.

Section 105.02 Preliminary Inquiries

A. If a complaint is deemed legally sufficient, the ACE Attorney shall commence a preliminary inquiry

regarding an alleged violation of Section 101.01 and 103.04 within thirty (30) days of the receipt of a

complaint.

B. A preliminary inquiry shall be terminated or opened as a full investigation within forty- five (45)

days of the inquiry’s initiation. A preliminary inquiry is considered initiated upon a finding by the

ACE Attorney that a complaint is legally sufficient.

C. The ACE Attorney shall keep information, records and proceedings relating to a preliminary

inquiry confidential.

D. If, after preliminary inquiry, there is reason to believe that the Ethics Code has been violated, the

ACE Attorney shall initiate a full investigation. An investigation will be considered

commenced when the respondent is notified.

E. The ACE Attorney shall close the preliminary inquiry if any of the following applies:

1. The occurrence giving rise to the complaint occurred prior to the adoption of the Ethics Code;

2. There is no reason to believe that the Ethics Code has been violated; or

3. The respondent is not a person subject to the Ethics Code.

F. If the preliminary inquiry is closed, the ACE Attorney shall notify the complainant and the

respondent within five (5) days.

Section 105.03 Conduct of Investigation

A. The ACE Attorney shall have the authority to conduct interviews, take statements, receive and

inspect documents and records and otherwise obtain evidence and gather information by lawful

means, including subpoena power. The ACE Attorney shall have the right to seek the issuance of

subpoenas from the ACE Commission which shall have the authority to issue subpoenas to enable

the ACE Attorney to obtain documents and records and otherwise obtain and gather evidence.

B. Within sixty (60) days of commencing the investigation, the ACE Commission will do one of the

following:

1. Terminate the investigation and notify the complainant and respondent if the ACE Attorney

determines that there is not a reasonable basis to believe that the Ethics Code has been violated;

2. Extend, if needed, the investigation for a period not to exceed sixty (60) days;

3. Issue a formal complaint that sets forth the allegations which constitute a violation of the Ethics

Code and notifies the respondent that he/she has thirty (30) days to respond in writing to the

complaint.

C. The respondent shall file a response to the formal complaint within thirty (30) days, unless an

application for an extension is made to the ACE Commission and granted for good cause shown.

The respondent shall admit to or deny the allegations.

D. After the respondent files his or her response to the formal complaint, the ACE attorney and

respondent may enter into a formal written agreement to resolve the matter, which agreement must

be submitted to and approved by formal action of the ACE commission. If the ACE Commission

rejects the proposed resolution agreement, the matter would proceed to hearing. Likewise the

matter will proceed to hearing if no proposed agreement for resolution of the matter is submitted to

the ACE Commission for its approval.

E. If no resolution by agreement is reached, the matter will be scheduled for hearing before the ACE

Commission as set forth hereinafter.


October 14, 2014

F. The ACE Commission shall develop such other procedures and rules of conduct for its activities as it

deems necessary.

G. The ACE Commission will defer investigation and consideration of a complaint if the United

States Attorney General’s Office, State Attorney General’s Office, District Attorney’s office, or

any other chief of any other local law enforcement agency makes a written request to the ACE

Commission requesting deferment of a complaint investigation.

1. Upon receipt of such written notice, the ACE Commission will issue an order deferring the ACE

Commission investigation and serve notice to the complainant and respondent.

2. Deferment of a complaint similarly pauses any period of time prescribed or allowed for ACE

Commission action pursuant to the applicable ordinance or code.

G. All press inquiries regarding a pending complaint investigation should be referred to the Chairperson

of the ACE Commission. Prior to finding that a preponderance of evidence exists that a violation

occurred, or the dismissal of the complaint, the ACE Commission and its staff are prohibited from

confirming or denying the existence of any complaint regarding any person or division.

Section 105.04 Hearings

A. The ACE Commission will conduct hearings upon the request of a respondent. A respondent shall

request a hearing in his or her response to the (formal complaint). Failure to request a hearing

within the time period will be deemed a waiver.

B. A respondent may be accompanied by an advocate, which may include a family member,

friend, or legal counsel, at the hearing.

C. A respondent may bring any necessary witnesses to testify on respondent’s behalf.

D. A hearing will be held within forty‐five (45) days after the respondent’s answer to the formal

complaint unless the time is extended upon application for good cause shown.

E. A notice of hearing will be issued to the respondent, unless represented by counsel, in which case

notice will be issued to counsel, within a reasonable period of time prior thereto. The notice will

advise of the date, time and location of the hearing, and of the hearing rights, privileges, process

and procedures in this section.

F. The ACE Commission may establish such rules of conduct for hearings as it deems advisable

in accordance with the normal procedures of due process.

G. Where a respondent or his or her representative provides written verification to the ACE

Commission requesting continuation of the proceedings, the ACE Commission will grant such a

continuance only upon a showing of good cause by the respondent.

H. The ACE Commission will cause to be made a stenographic record of all hearings and such copies

of the transcript thereof as it requires for its own purposes. A respondent or his or her attorney

desiring copies of such transcript may purchase copies from the official reporter. Any witness may

purchase from the official reporter a copy of the transcript, or any part thereof, relating to the

testimony of such witness.

I. The ACE Attorney shall initiate the presentation of evidence and shall have the burden of proving by

a preponderance of the evidence that the respondent has violated the Ethics Code. The ACE

Attorney and the respondent-attorney shall have the right of presentation of evidence, cross

examination, objection, motion, and argument. The taking of evidence and subsequent proceedings

shall proceed with all reasonable diligence and with the least practicable delay.

J. When objections to the admission or exclusion of evidence or other procedural objections are made,

the grounds relied upon shall be stated briefly. The ACE Commission with the advice of its

Solicitor shall rule on such objections. The ACE Commission may limit appropriately the number

of witnesses who may be heard upon any issue to eliminate unduly repetitious or cumulative


October 14, 2014

evidence. All testimony shall be given under oath.

Section 105.05 Discovery

A. Upon request, the respondent will be given access to evidence the ACE Attorney intends to use

at the hearing, as well as any exculpatory evidence developed during the investigation.

B. Access to evidence does not include information that is otherwise privileged.

Section 105.06 Confidentiality

A. All complaints, investigative inquiries, hearings, and documents and disclosures therein concerning

any filed complaints shall be deemed personnel matters and therefore kept confidential in

accordance with the Pennsylvania Sunshine Act and Right to Know Law.

B. However, written decisions of the ACE Commission which set forth its final adjudication,

findings, recommendations, conclusions, sanctions, and order may be made available to the

public.

Section 105.07 Final Action of the ACE Commission A. The ACE Commission shall issue a written decision setting forth its findings, reasoning and

conclusions. If the ACE Commission finds that a violation has occurred, it will set forth the

penalties to be imposed for the violation as provided by this subsection.

B. The ACE Commission, upon finding that an Ethics Code violation occurred, shall

recommend and/or impose the penalties as provided by this subsection.

C. In cases where the violation of this code is also a violation of federal or state law, the matter shall

be turned over to the proper authority for criminal prosecution.

D. In cases where the violation is a violation of the rules of this Ethics Code, the following penalties,

in accordance with existing personnel practices, collective bargaining agreements, and/or statutes,

shall be available to the ACE Commission:

1. Admonition: A letter to the respondent, the complainant, County Council, and the County

Manager or appropriate elected County Official, indicating that the respondent has been found to

have violated this code.

2. Public Censure: Public censure of the respondent at a public meeting of the ACE Commission

and notification to the respondent, the complainant, County Council, and County Manager, or

appropriate elected County Official, indicating that a violation of this code took place, and

expressing strong disapproval of the respondent’s actions.

3. Suspension: Recommendation to the respondent and the County (or his or her designee) or to

the appropriate County official who is the supervisor of the respondent that the respondent be

suspended without compensation in compliance with the existing Personnel Policy’s Table of

Offenses and Penalties.

4. Expulsion/Dismissal: Recommendation to the respondent and the County Manager (or his or

her designee) or to the appropriate County official who is the supervisor of the respondent that

the respondent be terminated or his or her contract with the County be terminated.

5. Removal: Recommend the removal of respondent under provisions of the Home

Rule Charter or by law.

E. Fines and Restitution: For each violation of the Ethics Code, respondent shall be subject to a fine up

to five‐hundred dollars ($500.00) which shall be imposed directly by the ACE Commission. In

addition, the ACE Commission shall order the respondent who realizes financial gain by way of

a violation of the Ethics Code to pay into the County Treasury a sum of money equal to the

financial gain resulting from the violation. The ACE Commission shall determine the amount of

financial gain realized. Any fines imposed or restitution ordered will be made public at the ACE


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Commission meeting.

Section 105.08 Disposition

Upon receiving any findings, conclusions and recommendations from the ACE Commission for the

imposition of sanctions or penalties under this provision, the County Council and County Manager or his or

her designee or appropriate County Official shall take appropriate action. The County Manager or his or her

designee or appropriate County Official shall notify the County Council and ACE Commission of the

disposition of all recommendations within thirty (30) days of receipt.

Section 105.09 Statute of Limitations

A. An action filed with the ACE commission must be filed within four years of the date of the alleged

violation of the Ethics Code.

B. The Statute of Limitations on any complaint begins to run on the date when the complainant knew,

or should have known, that the respondent committed a violation of the Ethics Code.

Section 105.10 Appeal

A. Upon issuance of the ACE Commission’s written decision, any aggrieved party may file within

thirty (30) days an appeal to the Court of Common Pleas in accordance with applicable law.

B. The Court of Common Pleas shall apply an “abuse of discretion” standard in reviewing

any appeals. Under this standard, the appeal judge will give deference to the ACE Commission’s

factual findings and view of evidence and will reverse the ACE Commission decision only if the appeal

judge determines that the Commission exceeded its express discretionary powers or recommended

and/or imposed penalties beyond its express authority or rendered a decision contrary to law.

Section 105.11 Summary and Annual Report to Council and County Manager

A. The ACE Commission shall report its conclusions and recommendations on all complaints to

the County Council and the County Manager.

B. The Chairperson of the ACE Commission shall be required to provide Council with an annual

report, which shall include all necessary information and statistics regarding the number and

types of complaints received and dispositions rendered.

1. This report shall not contain the names of any complainants or respondents or any other

personal information that would reasonably lead to the identification of either a complainant or

respondent.

2. The County Manager shall furnish to the ACE Commission such clerical assistance and

supplies as may be deemed reasonable for the completion and submission of the annual report

to the County Council.

Section 105.12 Frivolous or Groundless Complaints

In any case where the ACE Commission determines that the complaining party filed a complaint that

is frivolous, groundless or containing allegations which the complaining party knew were false, or

containing allegations which the complaining party set forth in reckless disregard of whether the

allegations were false, the ACE Commission shall order the complaining party to pay any costs and

attorney's fees incurred by the ACE Commission and/or the respondent.

A complaint is deemed to be frivolous or groundless when there is a complete absence of any justiciable

issue of either law or fact raised by the complainant, or is found to have been filed with malicious intent

and with the knowledge that the complaint contains one or more false allegations, or with reckless


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disregard for whether the complaint contains materially false allegations.

CHAPTER 106 – MISCELLANEOUS Section

106.01 Severability

The provisions of this Ethics Code are severable, and if any provision is held illegal, such illegality shall

not affect the remaining provisions. It is the legislative intent of the County Council that the Ethics Code

would have been adopted if such illegal provision had not been included.

Section 106.02 Effective Date

Unless otherwise provided, this Ethics Code shall become effective immediately upon its approval in

accordance with the provisions of the Home Rule Charter and the Administrative Code.

Section 106.03 Application

Nothing herein shall be construed or interpreted to in any way make the provisions of the Ethics Code

applicable on a retroactive basis. All provisions of this Code shall be applied on a prospective basis.


October 14, 2014

COUNTY OF LUZERNE

ACCOUNTABILITY, CONDUCT, AND ETHICS CODE

Complaint Form

Complete the following form (Incomplete complaint forms will not be accepted); return the original to:

ACE Commission N.B.: Do not contact ACE Commission

c/o County Manager’s Office members directly as any such communication

ATT: ACE Commission may compromise the processing of the

200 North River Street complaint or result in the recusal of an

Wilkes-Barre PA 18711 ACE Commission member.

1. Complainant Information

Name of complainant:___________________________________________________________________

Address:________________________________________________________________________________

Home Phone Number: _____________________ Cell Phone Number: ___________________ Department (County employees only)________________________________________________

2. Respondent (Covered Person against whom complaint is filed)Information

Name of respondent: ____________________________________________________________

Position or Office held by respondent:______________________________________________

County Department (if applicable) of respondent: _____________________________________

3. Please indicate the alleged violation of the Ethics Code by stating the relevant paragraph(s) in the

Code. (The code is available online at the home page of the ACE Commission on the Luzerne County

website or may be obtained from the County Manager’s Office at 200 N. River Street in Wilkes-Barre, PA

18711.)

_______________________________________________________________________________________

_______________________________________________________________________________________

4. Details of your Complaint: In a separate attachment, please describe in detail the facts and actions that

are the basis of your complaint, including the dates when the actions occurred. Also attach any relevant

documents as well as names and contact information of persons who may be witnesses to the actions. Please

be specific with respect to names, dates and locations.

5. OATH

I, the person bringing this complaint, do hereby swear, certify and attest that the facts set forth in this

Complaint and attachments are true and correct, to the best of my knowledge and belief. I understand that

these statements of fact are being made by me subject to the penalties of 18 Pa. C.S. §4904, relating to

unsworn falsification to authorities.

SIGNATURE: ___________________________ DATE: ______________________


October 14, 2014

Complaint Process: Accountability, Conduct and Ethics

Complaint Received

Complaint not sufficient to believe ACE Code has been violated

Complaint is sufficient to believe ACE Code has

been violated. Preliminary Investigation by ACE

Attorney commences.

ACE Attorney finds no

preponderance of evidence

that violation occurred

ACE Attorney finds preponderance

of evidence that violation

occurred

Private Hearing Scheduled

Issue resolved without hearing

Commission finds no violation Commission finds violation

Recommendation/Penalties

imposed through final order

Complaint Dismissed No Appeal Appeal to Court of

Common Pleas


October 14, 2014


LUZERNE COUNTY PERSONNEL CODE

Documents

Transcript of LUZERNE COUNTY PERSONNEL CODE