CAYUGA COUNTY LEGISLATIVE COMM1TTEE AGENDA & REPORTS

GOVERNMENT OPERAT10NS COMMITTEE

DATE: MARCH 12, 2019. CHAMBERS- 5:30PM

COMM1TTEE MEMBERS:

Josepli DeForest Legislator District 8, Chuir Aileen McNabb-Coleman Legislator, District 6, f/ice Chair Elane Daly Legislator, District 11 Andy Dennison Legislator, District 2 Michael Didio Legislator, District 14 Ryan Foley Legislator, District 15 Patrick Mahunik Legislator, District 12

CALL TO ORDER: By Hon. Joseph DeForest, Chair

EXCUSED:

MINUTES TO APPROVE: FEBRUARY 19, 2018

APPOINTMENTS & RESOLUTIONS: Discussed with each committee report

OTHER:

STAFF:

J. Justin Woods Coimty Administrator Sheila Smith Clerk ofthe Legislatiire Amanda Morgan Depitty Clerk ofthe Legislatiire

REPORTING DEPARTMENTS & AGENC1ES: " Cayuga County Attorney Christopher Palermo, Esq. Cayuga County Attorney " Cayuga County Clerk & DMV Susan M. Dwyer, Cayuga County Clerk " Information Technology Paul Bornemann, Interim IT Director " Legislative Clerk Office Sheila Smith, Clerk ofthe Legislature " CayugaCounty Board ofElections Cherl Heary (R) & Katie Lacey (D) " Cayuga County Veteran's Service Agency Jessica Strassle, MPH, Director RESOLUTIONS:

CAYUGA COUNTY ATTORNEY. .SECTION 1| 3-19-GO-lAuthorizing an amendment to the Municipal Cooperation Agreement with the City ofAuburn, Cayuga County Soil & Water Conservation District and the Cayuga County Community College.

3-19-GO-2 Authorizing the Treasurer to Transfer Funds within the County Attorney's Budget.

:AYUGA COUNTY CLERK'S OFFICE AND COUNTY DMV. .SECT10N 21 none

CAYUGA COUNTY LEGISATIVE CLERK'S OFFICE. .SECT10N 3 none

CAYUGA COUNTY OFFICE OF INFORMATION TECHNOLOGY. .SECTION 4 none

CAYUGA COUNTY BOARD OF ELECTIONS. .SECTION 5 3-19-GO-3 Authorizing the Chairman ofthe Legislature and the Commissioners ofthe Cayuga County Board ofElections to sign contracts for HAVA Grant for the Board ofElections

3-19-GO-4 Authorizing the Chairman ofthe Legislature and the Commissioners ofthe Cayuga County Board ofElections to sign contracts for Shoebox Grants for the Board ofElections

3-19-GO-5 Resolution urging New York State to fund the purchase ofelectronic poll books for County BoardsofElections

3-19-GO-6 Resolution urging New York State to fund all costs associated with new state-enacted voting reforms implemented at the county level.

CAYUGA COUNTY VETERAN'S SERVICE AGENCY. .SECTION 6 none CAYUGA COUNTY LEGISLATURE. .SECTION7

3-19-LEG-l Resolution Opposing Driver's License access and privacy act concerning undocumented indivduals. 3-19-LEG-2 Authorizing the elimination ofindividual departmental Corporate Compliance Plans and adoption ofa single County-Wide Corporate Compliance Plan. 3-19-LEG-3 Requesting Amazon to consider White Pine Commerce Park located in Onondaga County, New York for the new Amazon Headquarters. 3-19-LEG-4 Resolution Opposing .

COUNTY ADMIN1STRATOR: .SECTION81 CAYUGA COUNTY ATTORNEY

CHRISTOPHER PALERMO, ESQ., CAYUGA COUNTY ATTORNEY

ROUTINE RESOLUTIONS

3-19-GO-l Authorizing an amendment to the Municipal Cooperation Agreement with the City ofAuburn, Cayuga County Soil & Water Conservation District and the Cayuga County Community College.

3-19-GO-2 Authorizing the Treasurer to Transfer Funds within the County Attorney's Budget.

RESOLUTIONS WITH BACKGROUND

" None

APPOINTMENTS

" None

POLICY MATTERS FOR COMMITTEE " Contract Policy " Ethics Board RESOLUTION N0. 3/26/2019 W-so^LCOA Amend Mun Coop Agmt

AUTHORIZING AN AMENDEMENT TO THE MUNICIPAL COOPERATION AGREEMENT WITH CITY OF AUBURN, CAYUGA COUNTY SOIL AND WATER CONSERVATION DISTRICT AND THE CAYUGA COUNTY COMMUNITY COLLEGE

By: Joseph DeForest, Chair Government Operations Committee Patrick Mahunik, Chair, Ways & Means Committee

WHEREAS, the Cayuga County Legislature authorized the creation ofa County Health Consortium; and

WHEREAS, the purpose ofthe County Health Consortium are as follows:

1. Article 50 ofthe General Mynicipal law authorizes municipalities and the County Health Consortium to enter into cooperative agreements for the performance ofthose functions or activities in which they could engage individually; 2. Section 92-a and 1 19-o ofthe General Municipal Law authorizes municipalities and the County Health Consortium to purchase a single health insurance policy, enter into group health plans, and establish ajoint body to administer a health plan; 3. Section 119-n ofthe General Municipal Law defines the term "municipal corporation" to include a county, city, town, village, school district and Board of Cooperative Educational Services; 4. The County ofCayuga Legislature has agreed by a duly authorized Resolution 81-256 to allow the Cayuga County Soil and Water Conservation District and Cayuga County Community College to participate in the Cayuga County Health Insurance Program; 5. The Participants in this Agreement have determined to their individual satisfaction that furnishing the health benefits for their eligible officers, eligible employees (as defined by the Internal Revenue Service codes, rules and regulations for federal tax purposes, such definition does not include independent contractors and/or consultants), eligible retirees, and the eligible dependents ofeligible officers, employees and retirees (referred to collectively as "enrollees") through a Consortium by acting in concert with one another is in their best interests as it is more cost- effective and efficient. Eligibility requirements are determined by each Participant's collective bargaining agreements and/ortheir personnel policies and procedures; 6. The Participants desire to reflect the current relationship ofthe municipal corporation and the current terms of their participation in the Cayuga County Health Insurance Consortium; the County and the other participating municipalities are executing this agreement restating the terms ofthe existing Cayuga County Health Insurance Consortium, clarifying certain terms ofprevious Agreements they signed, amending the previous agreement to reflect changes required through compliance with certain New York State Law; 7. The Participants herby designate themselves under this agreement as the Cayuga County Health Insurance "Consortium") Consortium (the for the purpose ofproviding health benefits to those enrollees that each Participant individually elects to include in the Cayuga County Health Insurance Consortium Medical Plan(s) (the "Plans(s)"); and

WHEREAS, Resolution No. 306-07 adopted May 22, 2007 authorized the Chair ofthe Cayuga County Legislature to execute a Municipal Cooperation Agreement with the Cayuga County Soil and Water Conservation District, the Cayuga Community College and the County ofCayuga; and

WHEREAS, Resolution No. 235-12 adopted June 19, 2012 authorized the Chair ofthe Cayuga County Legislature to execute a Municipal Cooperation Agreement with the Cayuga County Soil and Water Conservation District, the Cayuga Community College and the County ofCayuga; and

WHEREAS, Resolution No. 313-16 adopted September 27,2016 authorized the Chair ofthe Cayuga County Legislature to execute a Municipal Cooperation Agreement with the Cayuga County Soil and Water Conservation District, the Cayuga Community College and the County ofCayuga; and WHEREAS, Resolution No. 375-16 adopted November 22,2016 authorized the Chair ofthe Cayuga County Legislature to execute an Amended Municipal Cooperation Agreement with the City ofAuburn, Cayuga County Soil and Water Conservation District, the Cayuga Community College and the County ofCayuga; and

WHEREAS, Cayuga County wishes to approve an amendment to the Municipal Cooperation Agreement to avoid premium revenue shortfalls by restricting mid-year enrollment changes; now therefore be it

RESOLVED, that the Cayuga County Chairman is authorized and directed to sign the attached Amendment to the Cayuga County Health Consortium Municipal Cooperation Agreement.

Government Operations Committee Ways & Means Committee

Joseph DeForest, Chair Patrick Mahunik, Chair

Elane Daly Joseph Bennett

Andrew Dennison Elane Daly

Michael Didio Joseph DeForest

Ryan Foley Ryan Foley

Patrick Mahunik Christopher Petrus

Aileen McNabb-Coleman Paul Pinckney

Co. Atty ¬? AMENDMENT TOTHE CAYUGA COUNTY CONSORTIUM MUNICIPAL COOPERATION AGREEMENT

The Municipal Cooperation Agreement is hereby amended as follows:

Section B. Participants: Add as #7 the following language:

7. ANNUAL ENROLLMENT

Enrollment changes may be made during the Annual Enrollment Period. The Annual Enrollment Period shall be from November 15 through December 15 ofeach year. Enrollment/benefit plan changes shall become effective on January 1 next succeeding the Annual Enrollment Period. Mid-year enrollment changes are not permitted. Notwithstanding the foregoing and pursuant to 45 CFR §155.420, enrollment changes due to a Qualifying Event are permissible at any time during the plan year provided the enrollment change is made within 60 days of such Qualifying Event. A Qualifying Event may, in accordance with the provisions of45 CFR §155.420, indude birth, death, marriage, divorce, adoption, loss of prior coverage, etc.

All other provisions ofthe Municipal Cooperation Agreement remain the same.

Effective: 1/1/2019

County of Cayuga

BY: DATE: Tucker Whitman, Chairman ofLegislator

Cayuga Community College

BY: DATE: Linda Van Buskirk, Chairman

Cayuga County Soil and Water Conservation District

BY: DATE: Douglas Kierst, Executive Director

CityofAuburn

BY: DATE: Michael Quill, Mayor 3-19-<%)--L

RESOLUTION N0. 3.26.19 COA Transfer Funds

AUTHORIZING THE TREASURER TO TRANSFER FUNDS WITHIN THE COUNTY ATTORNEY'S BUDGET

BY: Mr. Joseph DeForest, Chairperson, Government Operations Committee Mr. Patrick Mahunik, Chairperson, Ways & Means Committee

WHEREAS, during the year 2018, it was anticipated that certain duties performed by contract with the County Attorney's Office would be performed by employees within the County Attomey's Office in 2019; and

WHEREAS, funds were allocated in the 2019 budget under salary and fringe benefit lines for the provision ofCode Enforcement and the prosecution ofJuvenile Delinquents; and

WHEREAS, it is the opinion ofthe County Attorney that these duties are more economically performed contractually, at least in the short-term, and there are no impediments, legal or otherwise, in doing so, now, therefore, be it

RESOLVED, that the Treasurer is authorized to transfer $34,000.00 from A14201-51002 (SaIary-PT) to A 14201-54059 (Professional Services); and be it further

RESOLVED, that the Chairman ofthe Cayuga County Legislature and the Cayuga County Attomey are hereby authorized to enter into contracts with Howard Tanner for the provision of Code Enforcement Services for the County and with Joseph Pettigrass, Esq. for the prosecution of Juvenile Delinquents.

Government Operations Committee Ways & Means Committee

Joseph DeForest, Chair Patrick Mahunik, Chair

Elane Daly Joseph Bennett

Andrew Dennison Elane Daly

Michael Didio Joseph DeForest

Ryan Foley Ryan Foley

Patrick Mahunik Christopher Petrus

Aileen McNabb-Coleman Paul Pinckney

Co. Atty;^ CAYUGA COUNTY CLERK'S OFF1CE AND COUNTY DMV

SUSAN M. DWYER, CAYUGA COUNTY CLERK

ROUTINE RESOLUTIONS: " None RESOLUTIONS WITH BACKGROUND:

" None

APPOINTMENTS

" None

POLICY MATTERS FOR COMMITTEE:

" None CAYUGA COUNTY LEGISLATIVE CLERK'S OFFICE

SHEILA SMITH, CAYUGA COUNTY CLERK OF THE LEG1SLATURE

ROUTINE RESOLUTIONS:

" none

RESOLUTIONS WITH BACKGROUND:

" none

APPOINTMENTS

" none

POLICY MATTERS FOR COMMITTEE:

" none 'AYUGA COUNTY OFFICE OF INFORMATION TECHNOLOGY

PAUL BORNEMANN, INTERIM IT D1RECTOR

ROUTINE RESOLUTIONS

" none

RESOLUTIONS WITH BACKGROUND

" None

APPOINTMENTS

" None

POLICY MATTERS FOR COMMITTEE

" none :AYUGA COUNTY BOARD OF ELECTIONS CHERLA. HEARY(REP.) KATIE LACEY (DEM) ROUTINE RESOLUTIONS

3-19-GO-3 Authorizing the Chairman ofthe Legislature and the Commissioners ofthe Cayuga County Board ofElections to sign contracts for HAVA Grant for the Board ofElections

3-19-GO-4 Authorizing the Chairman ofthe Legislature and the Commissioners ofthe Cayuga County Board ofElections to sign contracts for Shoebox Grants for the Board ofElections

3-19-GO-5 Resolution urging New York State to fund the purchase ofelectronic poll books for County BoardsofElections

3-19-GO-6 Resolution urging New York State to fund all costs associated with new state-enacted voting reforms implemented at the county level.

RESOLUTIONS WITH BACKGROUND

" None

APPOINTMENTS

" None

POLICY MATTERS FOR COMMITTEE 3-iq-^-J RESOLUTION N0. 3-26-19 BOE NYS HAVA CONTRACT

Authorizing the Chairman ofthe Legislature and the Commissioners ofthe Cayuga County Board of Elections to sign contract for HAVA Grant for the Board ofElections

BY: Joseph Deforest, Chair, Govermiient Operations Committee Patrick Mahunik, Chair, Ways & Means Committee

WHEREAS, pursuant to the Help America Vote Act of 2002, the Cayuga County Board of Elections has been allocated funds through the New York State Board of Elections for the purposes of purchasing electronic voting machines, training the public and poll workers on their use, and making improvements to polling places; and

WHEREAS, the Chairman ofthe Cayuga County Legislature signed contracts numbered T002530 for these categories on 2/1/08; and

WHEREAS, the Cayuga County Board ofElections is continually using the electronic voting systems thereby continuing the need for expenditure ofHAVA related funds; and

WHEREAS, this has created the necessity to renew said contract, therefore, be it

RESOLVED, that the Chairman ofthe Cayuga County Legislature and the Commissioners ofthe Cayuga County Board ofElections are hereby authorized to sign contract extensions for Shoebox funds with the New York State Board ofElections.

Government Operations Committee Ways & Means Committee

Joseph DeForest, Chair Patrick Mahunik, Chair

Elane Daly Joseph Bennett

Andrew Dennison Elane Daly

Michael Didio Joseph DeForest

Ryan Foley Ryan Foley

Patrick Mahunik Christopher Petrus

Aileen McNabb-Coleman Paul Pinckney

Co. Atty: APPENDIX X

Dept ID: BOE01 ContractNo.: T002530 Funding Amount for Period: $0.00 Period: April 1, 2019- March 3 1,2020 Orieinal Grant Amount: $45,135.00

This is an AGREEMENT between THE STATE OF NEW YORK, acting by and through the New York State Board ofElections, having its Drincipal office at 40 North Pearl Street, Suite 5, Albany, NY 12207 (hereinafiter referred to as the STATE), and CAYUGA County Board ofElections (hereinafter referred to as CONTRACTOR), for modification ofContract Number as indicated above, as amended in attached Appendix(ices).

All other provisions ofsaid AGREEMENT shall remain in full force and effect.

IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT as ofthe dates appearing under their signatures.

State Agency Certification "In addition to the acceptance ofthis contract, I also certify that original copies ofthis signature page will be attached to all other exact copies ofthis contract."

By:. Robert A. Brehm, Co-Executive Director Todd D. Valentine, Co-Executive Director

Date: Date:

CONTRACTOR SIGNATURE - CAYUGA County Board ofElections

By: Date: Katie Lacey, Commissioner

By: Date: Cherl Heary, Commissioner

By: Date: Tucker M. Whitman, Chairman ofthe Legislature

STATE OF NEW YORK ) )SS.: CountyofCayuga ) Onthe day of ,2019 before me personally appeared Tucker M. Whitman to me known, who being by me duly sworn, did depose and say that he resides at Auburn, New York that he is the Chairman of the Countv Legislature. the corporation described herein which executed the foregoing instrument; and that he signed his name thereto by order ofthe board ofdirectors ofsaid corporation.

(Notary): STATECOMPTROLLER'S SIGNATURE

Title:

Date: 3-i

Authorizing the Chairman ofthe Legislature and the Commissioners ofthe Cayuga County Board ofElections to sign contracts for Shoebox Grants for the Board ofElections

BY: Joseph Deforest, Chair, Government Operations Committee Patrick Mahunik, Chair, Ways & Means Committee

WHEREAS, pursuant to the Help America Vote Act of 2002, the Cayuga County Board ofElections has been allocated funds through the New York State Board ofElections for the purposes ofpurchasing electronic voting machines, training the public and poll workers on their use, and making improvements to polling places; and

WHEREAS, the Chairman ofthe Cayuga County Legislature signed contracts numbered C003211 for these categories on 2/1/08; and

WHEREAS, the Cayuga County Board ofElections is continually using the electronic voting systems thereby continuing the need for expenditure of Shoebox related funds; and

WHEREAS, this has created the necessity to renew said contract, therefore, be it

RESOLVED, that the Chairman ofthe Cayuga County Legislature and the Commissioners ofthe Cayuga County Board of Elections are hereby authorized to sign contract extensions for Shoebox funds with the New York State Board of Elections.

Government Operations Committee Ways & Means Committee

Joseph DeForest, Chair Patrick Mahunik, Chair

Elane Daly Joseph Bennett

Andrew Dennison Elane Daly

Michael Didio Joseph DeForest

Ryan Foley Ryan Foley

Patrick Mahunik Christopher Petrus

Aileen McNabb-Coleman Paul Pinckney

Co. Attyy APPENDIX X

Dept ID: BOE01 ContractNo.: C003211 Funding Amount for Period: $0.00 Period: April 1, 2019-March 31, 2020 Orieinal Grant Amount: $225,41 0.37

This is an AGREEMENT between THE STATE OF NEW YORK, acting by and through the New York State Board ofElections, havine its principal office at 40 North Pearl Street, Suite 5, Albany, NY 12207 (hereinafter referred to as the STATE), and CAYUGA Countv Board of Elections (hereinafter referred to as CONTRACTOR), for modification ofContract Number as indicated above, as amended in attached Appendix(ices).

All other provisions ofsaid AGREEMENT shall remain in full force and effect.

IN W1TNESS WHEREOF, the parties hereto have executed this AGREEMENT as ofthe dates appearing under their signatures.

State Agency Certification "In addition to the acceptance ofthis contract, I also certify that original copies ofthis signature page will be attached to all other exact copies ofthis contract."

By:. Robert A. Brehm, Co-Executive Director Todd D. Valentine. Co-Executive Director

Date: Date:

CONTRACTOR SIGNATURE - CAYUGA County Board of Elections

By:. Date: Katie Lacey, Commissioner

By:. Date: Cherl Heary, Commissioner

By: Date: Tucker M. Whitman, Chairman ofthe Legislature

STATE OF NEW YORK.) )SS.: CountyofCayuga ) Onthe day of ,2019 before me personally appeared Tucker M. Whitman to me known, who being by me duly sworn, did depose and say that he resides at Auburn, New York that he is the Chairman of the County Legislature. the corporation described herein which executed the foregoing instrument; and that he signed his name thereto by order ofthe board ofdirectors ofsaid corporation.

(Notary): STATE COMPTROLLER'S SIGNATURE

Title:

Date: RESOLUTION N0. 3/26/19 BOE Electronic Poll booksi-W^O-5'

Resolution urging New York State to fund the purchase ofelectronic poll books for County Boards ofElections

By: Joseph DeForest, Chair Government Operations Committee Patrick Mahunik, Chair Ways & Means Committee

WHEREAS, Counties, through local Boards ofElections, are responsible for managing election operations, and paying for all or most ofthe costs ofthese operations; and

WHEREAS, in January, State Lawmakers have passed and the Governor has signed into law series ofvoting reforms to the New York State Election Law; and

WHEREAS, these reforms include earty voting, voter registration transfers, same day voter registrations, and pre-registering 16 and 17 year olds to vote; and

WHEREAS, implementing these reforms will require counties to purchase and use electronic polling books, estimated to cost up to $1 million per county; and

WHEREAS, despite their desire to improve voter turnout, state leaders have not invested in our voting system infrastructure in more than a decade; now, therefore, be it

RESOLVED, The Cayuga County Legislature calls upon Governor Andrew M. Cuomo and the New York State Legislature to fund the electronic poll books that counties will have to purchase to effectively implement many ofthe state's new voting reforms; and further

RESOLVED, that the state fund the costs associated with the new reforms ofwhich include equipment, education and training for poll workers; and further

RESOLVED, that the Clerk ofthe Cayuga County Legislature shall forward certified copies ofthis Resolution to Govemor Cuomo, Senate Majority Leader Andrea Stewart-Cousins, Senate Minority Leader John Flanagan, Speaker ofthe New York State Assembly , Assembly Majority Leader Crystal D. Peoples-Stokes, Assembly Minority Leader Brian M. Kolb, Senator Robert Antonacci, Senator Pamela Helming, Senator James L. Seward, Assemblyman Gary Finch, Assemblyman , the New York State Association ofCounties, Inter-County ofWestern New York, and any other party deemed necessary and proper. Government Operations Committee Ways & Means Committee

Joseph DeForest, Chair Patrick Mahunik, Chair

Elane Daly Joseph Bennett

Andrew Dennison Elane Daly

Michael Didio Joseph DeForest

Ryan Foley Ryan Foley

Patrick Mahunik Christopher Petrus

Aileen McNabb-Coleman Paul Pinckney

Co. Att RESOLUTION N0. 3/26/19 BOE Voting Reforms »ff"^OW ^ tfi Resolution urging New York State to fund all costs associated with new state-enacted voting reforms implemented at the county level

BY: Joseph DeForest, Chair government Operations Committee Patrick Mahunik, Chair, Ways & Means

WHEREAS, New York State has some ofthe lowest voter turnout rates in the nation; and

WHEREAS, State Lawmakers have passed and the Governor has enacted a series ofreforms to state election law and the voting process, including early voting, consolidating the federal and state primary dates, voter registration transfers, and same day voter registrations; and

WHEREAS, Counties, through local Boards of Elections, are responsible for managing election operations, and paying for all or most ofthe costs ofthese operations; and

WHEREAS, the State's new early voting law requires counties to open polling sites for early voting for 10 days priorto any primary or general election, starting during the 2019 general election; and

WHEREAS, another state proposal would allow for same day voter registration, which would enable voting-age residents to register to vote and vote on Election Day, and

WHEREAS, these reforms will likely require counties to purchase and use electronic polling books, and make other investments in their election systems; now, therefore, be it

RESOLVED, The Cayuga County Legislature calls upon Governor Andrew M. Cuomo, and the New York State Legislature to create a task force ofstate and local officials to determine the costs associated with implementing these voting reforms; and further

RESOLVED, that the state fund the costs associated with the new reforms; and further RESOLVED, that the Clerk ofthe Cayuga County Legislature shall forward certified copies ofthis Resolution to Governor Cuomo, Senate Majority Leader Andrea Stewart-Cousins, Senate Minority Leader John Flanagan, Speaker ofthe New York State Assembly Carl Heastie, Assembly Majority Leader Crystal D. Peoples-Stokes, Assembly Minority Leader Brian M. Kolb, Senator Robert Antonacci, Senator Pamela Helming, Senator James L. Seward, Assemblyman Gary Finch, Assemblyman Brian Manktelow, the New York State Association ofCounties, Inter-County ofWestern New York, and any other party deemed necessary and proper. Government Operations Committee Ways & Means Committee

Joseph DeForest, Chair Patrick Mahunik, Chair

Elane Daly Joseph Bennett

Andrew Dennison Elane Daly

Michael Didio Joseph DeForest

Ryan Foley Ryan Foley

Patrick Mahunik Christopher Petrus

Aileen McNabb-Coleman Paul Pinckney

Co. Atty CAYUGA COUNTY VETERAN'S SERVICE AGENCY

JESSICA STRASSLE, MPH, DIRECTOR

ROUTINE RESOLUTIONS

" Nothing received

RESOLUTIONS WITH BACKGROUND

" Nothing received

APPOINTMENTS

" Nothing received

POLICY MATTERS FOR COMMITTEE

" Nothing received CAYUGA COUNTY LEGISLATURE .SECT10N 7 ROUTINE RESOLUTIONS 3-19-LEG-l Resolution Opposing Driver's License access and privacy act concerning undocumented indivduals. 3-19-LEG-2 Authorizing the elimination of individual departmental Corporate Compliance Plans and adoption ofa single County-Wide Corporate Compliance Plan. 3-19-LEG-3 Requesting Amazon to consider White Pine Commerce Park located in Onondaga County, New York for the new Amazon Headquarters 3-19-LEG-4 Resolution Opposing Reproductive Health Act.

ADJOURNMENT: APRIL 9, 2019

Ifyou have a disability and need accommodations, please call the Clerk ofthe Legislature's Office at 253- 1308 at least 48 hours before the scheduled meeting to advise what accommodations will be necessary. 3-iq-L£^-/ RESOLUTION N0. 3-26-19 LEG oppose undoc. driver license

RESOLUTION OPPOSING DRIVER'S LICENSE ACCESS AND PRIVACY ACT CONCERNING UNDOCUMENTED INDIVIDUALS

By Honorable Tucker Whitman, Chairman ofthe Cayuga County Legislature:

WHEREAS, holding a driver's license in New York State is a privilege, not a right; and

WHEREAS, the Driver's License Access and Privacy Act, ifpassed, would permit undocumented persons who are present in the United States illegally under federal law to obtain a driver's license; and

WHEREAS, New York State presently suspends or revokes driver's licenses for various illegal acts, including non-payment ofchild support, delinquent taxes, and refusal to submit to a breath test, yet this Act would reward entry into the United States with a driver's license; and

WHEREAS, New York State REAL ID compliant documents cannot be issued to an undocumented individual under federal law; and

WHEREAS, adoption ofthe Act would create unacceptable security risks because:

" There is no guarantee the identity ofundocumented individuals can be properly verifled by the State ofNew York ifthe federal government has not issued a green card or visa, and the Act's proposed privacy protections may frustrate federal immigration enforcement efforts.

" Local DMV Offices do not have the considerable expertise needed to determine the authenticity offoreign birth certificates, foreign passports, or consular cards, nor to verify evidence of undocumented individual's residency in the state.

" Driver Licenses can be used to obtain additional official identification documents intended only for United States citizens.

WHEREAS, there is no guarantee that passage would make New York State roads safer; and

WHEREAS, upon recommendation ofthe Government, Courts, and Government Operations Committee ofthis body; now therefore be it

RESOLVED, that this Legislature hereby opposes the adoption ofthe Driver's License Access and Privacy Act as it concerns issuance of licenses to undocumented individuals, because of security risks and because driving is a privilege, not a right, and be it further

RESOLVED, that the Clerk ofthe Legislature shall send a copy ofthis resolution to the Governor ofthe State ofNew York, State Senator Pamela Helming, Senator Robert Antonacci, Senator James Seward, Assemblyman Gary Finch, Assemblyman Brian Manktelow, Speaker ofthe Assembly Carl Heastie, and Majority Leader ofthe Senate Andrea Stewart-Cousins. Tucker Whitman (District 1) Aileen McNabb-Coleman (District 6) Elane Daly (District 11)

Andrew Dennison (District 2) Keith Batman (District 7) Patrick Mahunik (District 12)

Benjamin Vitale (District 3) Joseph DeForest (District 8) Timothy Lattimore (District 13)

Christopher Petrus (District 4) Charlie Ripley (District 9) Michael Didio (District 14)

Paul Pinckney (District 5) Joseph Bennett (District 10) Ryan Foley (District 15)

Co. Atty< 3-l

AUTHORIZING THE ELIMINATION OF INDWIDUAL DEPARTMENTAL CORPORATE COMPLIANCE PLANS AND ADOPTION OF A SINGLE COUNTY-WIDE CORPORATE COMPLIANCE PLAN

By: Cayuga County Legislature

WHEREAS, the Cayuga County Legislature ("Legislature") is committed to preventing fraud, waste, abuse and improper conduct in Medicare, Medicaid, and other health care programs; and

WHEREAS, by Resolution No. 499 passed on the 10th day ofNovember 2010, the Legislature adopted Compliance Plans for the Health Department, Human Services, Nursing Home and Community Mental Health Center and appointed a compliance committee to implement said plans; and

WHEREAS, in its continuing effort to update and improve the County's oversight of the Compliance Program, the Compliance Committee requested an external legal review ofthe Compliance Plans; and

WHEREAS, counsel has recommended that the Compliance Plans for Human Services and Nursing Home be eliminated as no longer necessary and the Compliance Plans for the Health Department and Community Mental Health Center be combined into one county-wide Compliance Plan; and

WHEREAS, based upon the recommendations ofsaid review, the Legislature wishes to replace the Compliance Plans for individual departments with the adoption ofa single Corporate Compliance Plan for Cayuga County; now therefore be it

RESOLVED, that the Corporate Compliance Plans for the Health Department, Human Services, Nursing Home and Community Mental Health Center are hereby eliminated; and be it further

RESOLVED, that the Legislature adopt a single county-wide Corporate Compliance Plan, as appended to this Resolution; and be it further

RESOLVED, that this change take effect immediately upon adoption.

Tucker Whitman (District 1) Aileen McNabb-Coleman (District 6) Elane Daly (District 11)

Andrew Dennison (District 2) Keith Batman (District 7) Patrick Mahunik (District 12)

Benjamin Vitale (District 3) Joseph DeForest (District 8) Timothy Lattimore (District 13)

Christopher Petrus (District 4) Charlie Ripley (District 9) Michael Didio (District 14)

Paul Pinckney (District 5) Joseph Bennett (District 10) Ryan Foley (District 15)

Co. Att^L-' CAYUGA COUNTY

CORPORATE COMPLIANCE PLAN

3272049.1 12/26/2018 CAYUGA COUNTY

CORPORATE COMPLIANCE PLAN

TABLE OF CONTENTS

Page

L Introduction...... ! A. Oven?iew...... 1 B. The Program's EIements ...... 2

II. CodeofConduct...... 3 A. GeneralStandards...... 3 B. Billing For Services ...... 5 C. Payment...... 6 D. Medical Necessity and Quality of Care and Services ...... 7 E. Governance...... 9 F. MandatoryReporting...... lO G. Credentialing...... 10 H. Business Practices ...... 11 I. Scope and Application of Standards to Personnel ...... 13

III. Compliance Officer...... 14 A. Authority and Duties ...... 14 B. Distributing Responsibility ...... 16 C. Reporting...... 16

IV. Compliance Committee...... 16 A. Appointment and Authority...... 16 B. Authority and Duties ...... 17 C. Meetings...... 18

3272049.1 12/26/2018 V. Compliance Training and Education ...... 18 A. Applicability...... l8 B. Frequency...... l8 C. TargetedTraining...... l8 D. Records ofTraining...... 18 E. Periodic Review of Training ...... 19 F. Distribution of Compliance Information ...... 19 G. Distribution and Certification ofPIan ...... 19

VI. Reporting Compliance Issues...... 20 A. Required Reporting...... 20 B. Confidentiality...... 21 C. Non-Retaliation and Non-Intimidation...... 21

VII. Responding to Compliance Problems ...... 22 A. Investigation of Reports ...... 22 B. CorrectiveAction...... 22 C. DisciplinaryAction...... 23

VIII. Monitoring and Auditing ...... 24 A. System for Identifying Risks ...... 24 B. CorrectiveActionPlans...... 25 C. Documentation ofAgency Consultations...... 25 D. Government Inquiries ...... 26

IX. Compliance Contacts and Numbers...... 26 X. Laws Regarding the Prevention of Fraud, Waste and Abuse...... 27 A. FederalLaws...... 27 B. StateLaws...... 28 C. Whistleblower Protections ...... 28

11 3272049.1 12/26/2018 XI. Program Evaluation...... 29

XII. Summary...... 29

111 3272049.1 12/26/2018 CAYUGA COUNTY DEPARTMENT

Corporate Compliance PIan

I. Introduction

A. Overview.

Cayuga County and its affiliated entities and programs ("Cayuga County" or

"Organization") has adopted a Corporate Compliance Program that reflects its

commitment to provide high quality of care and services and effective risk management.

The Compliance Program applies to any department or program of the Organization that

receives reimbursement from M'edicaid, specifically (1) the Cayuga County Community

Mental Health Center ("CCCMHC"); and (2) the Cayuga County Health Department

(including the Cayuga County Home Care Agency, Long Term Home Health Care

Agency, Programs for Children with Special Needs, Community Health Services, and the

County's Article 28-Diagnostic and Treatment Center); collectively the "Covered

Departments."

Cayuga County is committed to preventing, detecting, and correcting any

improper or unethical conduct or conduct that does not conform to federal and state law,

payor program requirements and the Organization's business practices. This Plan

describes the Organization's Compliance Program. The Program applies to: (1) billings;

(2) payments; (3) medical necessity and quality of care; (4) govemance; (5) mandatory

reporting; (6) credentialing; and (7) other risk areas that are identified by the

Organization.

3272049.1 12/26/2018 The Organization's Compliance Program applies to all: (1) individuals employed by the Covered Departments; (2) individuals and entities providing services and supplies to the Covered Departments; and (3) members ofthe Cayuga County Board ofHealth and "Personnel"). the Cayuga County Legislature, (collectively referred to as All Personnel are expected to read, understand and comply with this Plan (including the Code of

Conduct). In addition, all Personnel are expected to report any conduct that they believe violates this Plan, the Organization's policies, or applicable laws and regulations to their supervisor, the Organization's Associate Compliance Officer, the County Compliance

Offlcer, or the County Compliance Hotline.

The Cayuga County Compliance Program is necessary because federal and state govemment agencies have intensified their efforts to audit, investigate and prosecute

Medicare and ^4edicaid fraud, waste and abuse. Civil and criminal audits and investigations of the health care and human services industry are occurring at an unprecedented rate and resulting in large fines and criminal convictions. Even if the outcome of an audit or investigation is positive, a lengthy audit or investigation can be extremely intrusive and disrupt the organization's ability to provide care and services.

An effective Compliance Program such as this one can substantially reduce the

Organization's and its Personnel's potential liability in the event of such an audit or investigation.

B. The Proeram's Elements. The Organization's Compliance Program consists ofeight (8) elements. They are as follows:

(1) Written compliance policies and procedures that describes the Organization's Compliance Program, including a Code ofConduct;

3272049.1 12/26/2018 (2) Appointment of a Compliance Officer who is responsible for the day-to- day operation ofthe Compliance Program and a Compliance Committee to assist the Compliance Officer;

(3) Training and education of all affected Personnel on the Compliance Program;

(4) Mechanisms to report compliance concems;

(5) Disciplinary policies to encourage good faith participation in the Compliance Program;

(6) System for identifying compliance risk areas, including monitoring and auditing;

(7) System for responding to, investigating, and conrecting compliance problems; and

(8) A policy of non-intimidation and n.on-retaliation for good faith participation in the Program.

Cayuga County's development and implementation of these eight (8) elements will require the full cooperation and participation of all Personnel. Such cooperation and participation will insure that the Organization maintains a high level of honest and ethical behavior in the delivery ofits services.

II. Code of Conduct.

It is the Organization's policy that all Personnel will comply with all laws, regulations, and ethical standards applicable to their duties. While each program within the Organization has its own laws and regulations that govem its specific operations, there are general standards of conduct applicable to all of the programs. The following standards of conduct apply to all

Personnel:

A. General Standards.

3272049.1 12/26/2018 Honesty and Lawftil Conduct. Personnel must be honest and truthful in all of their dealings. Personnel must avoid doing anything that is, or might be, against the law. If you are unsure whether an action is lawful, then you should not do it until you have checked with your supervisor or the

Compliance Officer.

Respect for Patients/Clients Served. Personnel must fully respect the "Individuals") rights of the patient/clients (collectively referred to as served including their right to privacy, respect, dignified existence, self- determination, participation in their own care and treatment, freedom of choice, ability to voice grievances, and reasonable accommodation of

Individual needs.

Confidentiality. Personnel must hold the information conceming the

Individuals they serve in the strictest ofconfidence. Such information will not be disclosed to anyone unless authorized by the Individual or his/her representative or otherwise permitted or required by law. The

Organization will comply with all applicable confidentiality laws, including HIPAA, the New York State Mental Hygiene Law, the HITECH

Act, Family Educational Rights and Privacy Act ("FERPA") and the Red

Flag Identity Theft mles.

Business Information. Personnel may not disclose or release any confidential information relating to the Organization's operations, pending or contemplated business transactions, trade secrets, and confidential

Personnel information without the prior authorization of the appropriate 4

3272049.1 12/26/2018 supervisor. All confidential information is to be used for the benefit ofthe

Organization and the Individuals it serves, and is not to be used for the

personal benefit ofPersonnel, their families, or friends.

" Organizational Assets. All assets of the Organization shall be used solely

for the benefit and purpose of the Organization. Personal use of the

Organization's assets is not allowed unless disclosed to and approved by

the Compliance Officer.

" Non-Discrimination. Personnel shall not discriminate based on the

recipient's sex, gender, race, sexual preference, religion, creed, military

status, national origin, marital status, disability, slatus as a victim of

domestic violence, or source ofpayment or sponsorship.

B. Billing For Services.

" Accurate and Truthful Claims and Cost Reports. Claims submitted for

payment must be accurate and tmthful, and reflect only those services and

supplies which were ordered and provided. Cost reports must be prepared

as accurately as possible and adequate documentation must exist to

support information provided in the report. Non-allowable costs must be

appropriately identified and removed, and related party transactions must

be treated consistent with applicable laws and regulations.

" Coding. Coding of services shall accurately reflect the services rendered.

" Verification of Coverage. To the best of Personnel's ability, insurance

coverage and benefits shall be verified. Any changes in coverage, or

changes in benefits, shall be promptly communicated to the Individual and

3272049.1 12/26/2018 their family in writing. Personnel shall comply with the requirement that

IVIedicaid is a payor of last resort and shall ascertain that other payors are

not primary before billing Medicaid.

" Adequate Documentation. Billing of services and supplies must be based

on accurate and adequate documentation to support the services and

supplies, and in accordance with applicable laws and regulations and third

party payor requirements.

" Inadequate or Substandard Care or Services. Claims shall not be

knowingly submitted for payment for inadequate or substandard care or

services.

" Excluded Providers. Claims for items or services fumished by an

individual or entity that has been excluded from participation in a federal

or state health care program shall not knowingly be submitted for

payment.

" Record Retention. Records that demonstrate the right to receive payment,

including medical records, will be retained for ten (10) years. c. Payment. "credit " Credit Balances. A balance" is an excess or improper payment as a

result of billing or claims processing errors. If a department or program

knows that it has received payments for which it was not entitled from a

govermnental or private payor or a recipient, the payments will be

refunded to the appropriate payor or recipient.

3272049.1 12/26/2018 " Receipt of Payments and Gifts. Personnel may not accept any gifts,

gratuities or tips from any Individual (or his/her family) served by the

Organization or from any individual or entity outside of the Organization,

such as contractors and vendors, that are intended, or could be seen as

intending, to influence the staffmember's actions and decisions.

" Payment of Items or Gifts. Personnel may not give anything of value,

including bribes, kickbacks, or payoffs, to any govemment representative,

fiscal intermediary, carrier, contractor, vendor, or any other person in a

position to benefit the Organization in any way.

" Exception for Nominal Value. Personnel may provide or receive ordinary

and reasonable business entertainment and gifts of nominal value, if those

gifts are not given for the purpose of influencing the business behavior of

the recipient. "Nominal value" is defmed as $25.00 or less.

D. Medical Necessity and Quality ofCare and Services.

" Delivery of Care and Services. All Individuals served by the Organization

will be afforded the care and services necessary to attain or maintain the

highest possible physical, mental, and psycho-social well-being. All staff

will be trained to evaluate and provide appropriate services and are

encouraged to ask management or other senior staff members if unsure in

any area. An Individual's identified needs will drive any decisions

related to the provision of services. For example, the Cayuga County

Health Department Program for Children with Special Needs believes in a

3272049.1 12/26/2018 family centered approach to care where the best way to meet the needs of the Individual is through a multi-disciplinary approach.

Ability to Provide. The Organization will refer Individuals and their families to other appropriate providers when it cannot provide for the

Individual's identified needs.

Medical and/or Educational Necessity. Medical care and services shall be based on medical necessity and professionally recognized standards of care. Non-medical services shall be based on the programmatic requirements for those services.

Appropriate Treatment. The Organization shall provide appropriate and sufficient treatment and services to address Individuals clinical conditions in accordance with their plans of care and professional standards of practice.

Quality Improvement. The Organization shall have processes to measure and improve the quality of its care and services and the safety of the

Individuals served. To the extent possible, the Organization's quality assessment and improvement processes shall be coordinated with the

Organization's Compliance Program.

Accountability. Personnel shall be responsible for being knowledgeable, balancing Individual needs, allowable benefits, and limited resources in canying out services, supervision, and case management.

Survey Performance. Personnel shall strive for deficiency-free surveys.

Any deficiencies identified by state or federal agencies may reflect

3272049.1 12/26/2018 noncompliance with applicable laws and regulations. Therefore, current

and past surveys should be reviewed in order to identify specific risk areas

and where appropriate, incorporate corrective action into the program's

policies, procedures, training and monitoring.

E. Governance.

" Board Oversight. Cayuga County's Board of Health and the Cayuga

County Legislature shall exercise reasonable oversight over the

implementation of the Compliance Program and ensure that they receive

appropriate information in a timely manner as is necessary and

appropriatc. The Board of Health and Cayuga County I.egislature's duty

of "reasonable oversight" includes the duty to make reasonable inquiry

when presented with extraordinary facts or circumstances of a material

nature (i.e. indications offmancial improprieties, self-dealing, or fraud) or

a major govemmental investigation.

" Conflict of Interest. In accordance with Cayuga County's Conflict of

Interest Policy, any actual or potential conflict of interest must be

disclosed to ensure that the integrity of the Organization's operations is

not compromised. All Personnel must disclose to the Compliance Officer

any financial interest that they or a member of their family have in any

entity that does business or competes with the Organization in any

manner.

" Maintaining Tax Exempt Status. Cayuga County is a municipality that has

been granted exemption from federal and state tax. In order for it to

3272049.1 12/26/2018 maintain its tax exempt status, the Organization shall not engage in any

activity that violates the requirements for tax exempt municipal

corporations.

F. Mandatory Reportine.

" Abuse, Neglect, Mistreatment. Individuals receiving services will be free

from abuse, neglect and mistreatment. Any allegations of abuse, neglect

or mistreatment must be immediately reported to the appropriate

supervisor and other officials as required by law and investigated in

accordance with applicable policies, rules, and regulations.

G. Credentialmg.

" Background Checks. The Organization, through the Cayuga County

Human Resources Department, shall screen prospective employees,

members, and contractors prior to engaging their services against websites

which provide information on excluded individuals and entities, criminal

backgrounds, and professional licensure and certification.' Screening

should be done periodically to ensure such individuals and entities have

not been excluded, convicted of a disqualifying criminal offense, or had

their licensure or certification suspended, revoked or terminated since the

initial screening.

" Home Health Aides. For home health aides and social work assistants, the

Organization shall consult the State Registry of HHA and DOH in

addition to the criminal background process.

10 3272049.1 12/26/2018 " Physicians. For physicians and other healthcare practitioners, the

Organization shall consult the National Practitioner Data Bank:

http://www.npdb.hpdb.com and verify the physician's license.

" Other Personnel. For all applicable employees, the Organization shall

consult the Office of Inspector General's List of Excluded

Individuals/Entities: http://www.oig.hhs.gov/fraud/exclusions.asp;

www.EPLS.gov; and www.omig.state.ny.us/data/content/view/72/52/

" Employee, Director and Contractor Certifications. The Organization shall

require all potential employees, members, and contractors to certify that

they have not been convicted of an offense that would preclude

employment, membership on the Cayuga County Board of Health or

Cayuga County Legislature, or a contractual relationship with the

Organization and that they have not been excluded from participation in

any federal or state health care program. The Organization shall require

all employees, members, or contractors to report to the Organization if,

subsequent to their employment or commencement of Board or

Legislature membership or a contractual relationship, they are convicted

of an offense that would preclude their employment, membership, or

contractual relationship with the Organization or that they have been

excluded from participation in any federal or state health care program.

H. Business Practices.

' All Personnel shall be screened to ensure they are not excluded individuals/entities and all Personnel providing du-ect care to individuals receiving services from the Organization shall undergo criminal background checks. 11 3272049.1 12/26/2018 Improper and Illegal Means. The Organization will forego any business transaction or opportunity that can only be obtained by improper and illegal means, and will not make any unethical or illegal payments to anyone to induce the use ofthe Organization's services.

Stark Law. The Organization shall comply with the Stark Physician self- referral law which prohibits a physician from making a referral for health ser/ices to any entity with which the physician or any members of his/her immediate family has a financial relationship.

Business Records. Business records must be accurate and truthful, with no material omissions. The assets and liabilities oflhe Organization must be accounted for properly in compliance with all tax and financial reporting requirements.

Purchasing. Purchasing decisions must be made with the purpose of obtaining the highest quality product or service for the Organization at the most reasonable price. No purchasing decision may be made based on considerations that Personnel, or their family member or friend, will benefit.

Marketing and Referrals. All Personnel must refrain from improper or high pressure Individual solicitation or marketing. Personnel must be truthful in the representations they make in marketing the Organization's services, and never agree to offer anything ofvalue in retum for referrals.

Relationships with Other Providers. Contracts, leases, and other financial relationships with hospitals, physicians, hospices, other medical providers 12

3272049.1 12/26/2018 and suppliers who have a referral relationship with the Organization will

be based on the fair market value of the services or items being provided

or exchanged, and not on the basis of the volume or value of referrals of

Medicare or Medicaid business between the parties. Free or discounted

services or items will not be accepted or provided in retum for referrals.

I. Scope and Application of Standards to Personnel.

" Responsibility ofAll Personnel. All Personnel are expected to be familiar

with and comply with all federal and state laws, regulations, and rules that

govem their job. Personnel are also expected to comply with this

Compliance Plan (including the Code of Conduct) and Compliance

Program and any applicable departmental and other compliance policies

and procedures. Strict compliance with such standards is a condition of

employment, and violation of any of these standards will result in

discipline, up to and including termination.

" Department Heads, Supervisors and Managers. All department heads,

supervisors and managers have the responsibility to help create and

maintain a work environment in which ethical concems can be raised and

openly discussed. They are also responsible to ensure that the employees

they supervise understand the importance of the Compliance Plan

(including the Code of Conduct) and Compliance Program. The failure of

department heads, supervisors and managers to so instruct their

subordinates or to take reasonable measures to detect non-compliance by

their subordinates will result in discipline, up to and including termination.

13 3272049.1 12/26/2018 " Departmental Compliance Policies and Procedures. In addition to the

Compliance Plan (including Code of Conduct) and Compliance Program,

many of the departments have specific compliance policies and

procedures. These additional policies and procedures are an integral part

ofthe Compliance Program and are designed to complement the standards

set forth in this Plan.

III. Compliance Officer.

A. Authority and Duties. Cayuga County has appointed a County Compliance

Officer as well as an Associate Compliance Officer for CCCMHC and the Health

Department. The Associate Compliance Officers have been appointed to run the

day-to-day operations of the Compliance Program in their respective Covered

Departments and are responsible for receiving, investigating, and responding to

all reports, complaints, and questions about compliance issues.

The Compliance Officer shall, with assistance of the Associate Compliance

Officers and other staff, as appropriate:

" Develop and implement policies, procedures, and practices designed to

ensure compliance with the Compliance Program and applicable laws and

regulations.

" Develop and coordinate educational and training programs and materials;

" Conduct and facilitate intemal audits to evaluate compliance and assess

intemal controls;

" Investigate compliance inquiries and Hotline complaints and if appropriate

develop corrective action plans, including self-disclosure ifappropriate;

3272049.1 12/26/2018 Ensure that the Human Resources Department is screening prospective

Personnel in accordance with this Plan;

Ensure that physicians, independent contractors, suppliers, and other agents who fumish medical, nursing, or other healthcare or personal care services to the Organization are aware ofthe Program's requirements;

Disseminate information on the Organization's Compliance Program to independent contractors ofthe Organization;

Work with the Associate Compliance Officers, Cayuga County Board of

Health, Cayuga County Legislature, and the Cayuga County Board of

Etliics/ in reviewing and modifying this Plan, including the Code of

Conduct, and the Compliance Program, to reflect the evolving nature of applicable laws and regulations and the priorities ofthe Organization;

Assist management in review of the Organization's contracts for compliance with applicable laws and regulations and qualified status of contractors;

Coordinate and oversee the: (1) compliance initiatives of the

Organization's Departments; and (2) audits and investigations conducted by govemment agencies; and

Maintain documentation ofthe following: intemal and extemal audit and investigation results, logs of hotline calls and their resolution, corrective action plans, due diligence efforts with regard to business transactions,

15 3272049.1 12/26/2018 records of compliance training, and modification and distribution of

policies and procedures.

The Compliance Officer's scope of authority and duties shall be determined by the

Cayuga County's Board of Health and Cayuga County Legislature and modified from

time to time as the Compliance Program is evaluated.

B. Distributine Responsibility. The successful implementation of the Compliance

Program requires the distribution of compliance responsibilities throughout the

Organization. The Compliance Officer shall develop a system that distributes the

responsibilities described in this Plan and establishes accountability for

performing such responsibilities.

Compliance issues are to be reported to the Associate Compliance

Officers, who in tum will bring them to attention of the County's Compliance

Officer. Depending on the findings, issues will be brought to the Director of

Public Health ("Director"), Cayuga County Administrator, Compliance

Committee, Board of Health, Cayuga County Legislature, and/or the County

Ethics Board.

C. Reportine. The County Compliance Officer shall report to the Cayuga County

Administrator, the Compliance Committee, the County Board of Health, and

Cayuga County Legislature as appropriate, and at minimum, on an annual basis.

The Associate Compliance Officers shall regularly report directly to the County

2 Pursuant to Resolution number 216, passed on October 24, 2006, Cayuga County has adopted a County Board of Ethics to ensure the highest caliber ofpublic administration and establish standards ofconduct for County officers and employees. 16 3272049.1 12/26/2018 Compliance Officer and the Compliance Committee on the activities of the

Compliance Program.

IV. Compliance Committee.

A. Appointment and Authority. The Cayuga County Legislature shall appoint a

Compliance Committee to advise the County's Compliance Officer and assist in

the implementation of the Compliance Program. The Committee shall, at a

minimum, include the County Compliance Officer, Associate Compliance

Officers3, and other members of senior management, including representatives

from departments such as finance, human resources, clinical, information

technology, and operations. Tbe County Compliance Officer shall chair the

Committee and the Committee shall support the County Compliance Offlcer in

fulfilling his/her responsibilities. The Compliance Committee shall report to the

Cayuga County Legislature, as appropriate, and at minimum, on an annual basis.

B. Authority and Duties. The scope ofthe Committee's authority and duties shall

be determined by the Cayuga County Legislature and modified from time to time

as the Compliance Program is evaluated. The Committee's primary duties are:

" Identification of specific risks areas,

" Assessing existing policies and procedures that address these risk areas

and modifying them as needed,

" Working with departments to develop or modify standards of conduct,

policies and procedures to promote compliance with legal and ethical

requirements,

17 3272049.1 12/26/2018 " Developing and evaluating appropriate strategies to promote compliance

with the Compliance Program and detection ofany potential violations,

" Evaluation and approval of all Compliance Program initiatives, processes

and documentation, and

" Receiving, reviewing, and recommending appropriate responses to reports

of actual or potential non-compliance with applicable laws, regulations,

Code of Conduct, and policies and procedures in coordination with the

Compliance Officer and with the assistance ofcounsel as necessary.

C. Meetings. The Committee shall meet on at least a quarterly basis (or more often

as necessary) to review the Compliance Program and activities.

V. Compliance Trainins and Education.

A. Applicability. All affected Personnel shall participate in training and education

on the Compliance Program, including the Code of Conduct. Training programs

should include sessions summarizing fraud and abuse laws and federal health care

program and private payor requirements.

B. Frequency. Such training shall occur periodically and shall be made a part ofthe

orientation for new employees as well as members of the Cayuga County Board

ofHealth and Cayuga County Legislature. Such training is mandatory. Failure to

participate may result in disciplinary action which may consist of a written

waming up to and including possible termination subject to the due process, legal

and contractual rights, if any, applicable to such individual.

3 Associate Compliance Officers from each ofthe following organizations shall be included on the Compliance Committee: Cayuga County Health Department and the Community Mental Health Center. 18 3272049.1 12/26/2018 C. Targeted Trainine. In addition to general compliance training and education,

face to face training and targeted compliance training that is tailored to particular

individuals and departments and identified risk areas will be offered. Such

training is mandatory.

D. Records of Training. The Associate Compliance Officer or delegate shall ensure

that records are maintained, including copies of training materials, the types of

training program offered, dates offered, and the individuals in attendance for a

period often (10) years from the date oftraining.

E. Periodic Review of Trainine. The County Compliance Officer and Compliance

Committee shal] periodically monitor, evaluate and assess the effectiveness ofthe

Organization's training and education programs and shall revise such programs as

necessary.

F. Distribution of Compliance Information. In addition to periodic training and

in-service programs, the Associate Compliance Officers will distribute any

relevant new compliance information to affected Personnel. Such information

may include fraud alerts, advisory opinions, newsletters, bulletins and email

alerts.

G. Distribution and Certification of Plan. This Compliance Plan will be made

accessible to Personnel in whatever format is deemed appropriate, including

posting on the Cayuga County 4 website. Personnel will be required to examine

the Compliance Plan and certify their examination within sixty (60) days of

receipt of the Plan. New Personnel must certify their receipt of and examination

of the Plan within sixty (60) days after their commencement date. Subsequent to 19

3272049.1 12/26/2018 the initial certification, each employee, and member shall annually repeat the

procedure of examining the Plan and certifying that he or she has examined the

contents thereof. The certifications will be distributed by, and retumed to, the

Associate Compliance Officer or his/her delegate.

VI. Reportin^ CompUance Issues.

A. Required Reportine. If any Personnel believe that fraud, waste, abuse or other

improper conduct has occurred, the individual is required to report such

information internally. Individuals who report such conduct in good faith shall

not be retaliated against or intimidated for making such a report. The

Organization shall maintain the confidentiality of reports to the extent feasible

and permitted by law. An individual may report a concem to:

His/her supervisorfs) ifyou are an employee;

The Public Health Director, ifyou are an employee;

His/her Associate Compliance Officer ifyou are an employee;

His/her County Compliance Officer ifyou are an employee;

Cayuga County Board of Health and/or Cayuga County Legislature if you

are a member;

The County's Compliance Voicemail Hotline. The dedicated voice mail

Compliance Hotline number is 315-294-8015. Callers may make

anonymous reports to the Voicemail Hotline.

In Writing. Complaints or reports may be made anonymously via written

letter sent directly to the Compliance Officer. Home Health Agency "Hot employees may also place complaints in the File" located outside the

3272049.1 12/26/2018 Director of Patient Services Office in a sealed envelope labeled

"Compliance Officer."

OIG's Compliance Hotline. Personnel may also contact the Office of

Inspector General hotline at 1-800-447-8477 ifhe/she wishes.

While the Organization requires such individuals to report fraud, waste, abuse or other improper conduct to the Organization, certain laws provide that individuals may also bring their concems to the govemment.

B. Confidentialifry. Any individual who reports a compliance concem in good faith

will have the right to do so anonymously if he/she requests anonymity. The

information provided by the individual will be treated as confidential and

privileged to the extent feasible and permitted by applicable laws. However,

individuals who report compliance concems are encouraged to identify

themselves when making such reports so that an investigation can be conducted

with a full factual background and without any delay.

C. Non-Retaliation and Non-Intimidation. Any individual who reports a

compliance concem in good faith will be protected against retaliation and

intimidation. In such an instance, retaliation is itself a violation of the Code of

Conduct and unlawful, and will not be tolerated. However, if the individual who

reports the compliance issue has participated in a violation of law, the Code of

Conduct or an Organization policy, the Organization retains the right to take

appropriate disciplinary or other action against him/her/it, including termination

of employment or membership on the Board of Health and Cayuga County

Legislature, or in the case ofa contractor, termination ofthe applicable contract.

3272049.1 12/26/2018 VII. Responding to Compliance Problems.

A. Investieation of Reports. Upon receiving a credible report of suspected or

actual fraud, waste, abuse or other improper conduct or upon the identification of

a potential or actual compliance problem in the course of self-evaluation and

audits, the Compliance Officer will investigate such report or problem through

intemal compliance processes, and involve outside counsel, auditors, or other

experts to assist in an investigation, as appropriate and necessary. The

Organization requires that all Personnel fully cooperate in any such

investigations. The investigative file should contain documentation ofthe alleged

violation, a description ofthe investigative process, copies ofinterview notes and

key documents, a log of the witnesses interviewed and documents reviewed, the

results ofthe investigation, and any disciplinary and/or corrective action plan.

B. Corrective Action. After appropriate investigation, if the Compliance Officer

determines that there has been an occurrence(s) of fraud, waste, abuse, improper

conduct or violation(s) of the Code of Conduct, Compliance Program, the

Organization's policies and procedures, and any applicable laws or regulations,

the Compliance Officer or his/her delegate shall institute corrective action. Any

problems identified shall be corrected promptly and thoroughly, and procedures,

policies, and systems shall be implemented as necessary to reduce the potential

for reoccurrence. Such action may include: additional training for Personnel,

modification or improvement of the business practices of the Organization; and

modification or improvement of the Compliance Program itself to better ensure

continuing compliance with applicable federal and state laws and regulations;

3272049.1 12/26/2018 disclosure to appropriate govemment agencies and/or third party payors; and

repayment offunds that were improperly paid.

C. Disciplinary Action. After appropriate investigation, if the Compliance Officer

determines that there has been an occurrence(s) of fraud, waste, abuse, improper

conduct or violation(s) of the Code of Conduct, Compliance Program, the

Organization's policies and procedures, and any applicable laws or regulations,

the Compliance Officer or his/her delegate shall impose sanctions against those

individuals involved. Sanctions shall be imposed against any Personnel for: (1)

failing to report suspected problems; (2) participating in non-compliant behavior;

and (3) encouraging, directing, facilitating or permitting non-compliant behavior.

Sanctions shall be imposed subject to the due process requirements of any

applicable employment contracts, organizational bylaws, or contracts or

agreements. Sanctions shall be fairiy and consistently applied and enforced in

accordance with any written standards of disciplinary action.

Employee sanctions can range from an oral waming to, in the most extreme

cases, tennination.

Board of Health or Legislative member sanctions can range from written

admonition to, in the most extreme cases, removal from the Cayuga County

Board of Health and Cayuga County Legislature, in accordance with

applicable bylaws, laws and regulations.

Contractor sanctions shall range from written admonition, flnancial penalties,

and in the most extreme cases, termination of the contractor's relationship

with the organization.

3272049.1 12/26/2018 VIII. Monitoring and Auditing.

A. System for Identifyine Risks. The Compliance Officer and/or the Compliance

Committee shall develop a system for routine identification and evaluation of

compliance risk areas. Such a monitoring and auditing system shall include the

performance of regular, periodic compliance audits by intemal or extemal

auditors and department heads or designated personnel. Such audits will include

reviews of the business and billing practices of the Organization and include

measures to identify, anticipate, and respond to quality of care risk areas. In

addition, such System shall include a periodic review of the Compliance Program

to determine whether the elements of the Program have been satisfied and the

effectiveness ofthe Program.

Cayuga County shall have an annual financial audit conducted by its

Certified Public Accountants to examine on a test basis, evidence supporting the

proper handling and reporting of amounts and disclosures relating to the financial

activity of the Organization. Cayuga County shall also conduct reviews of

business and contractual agreements and relationships as well as billing practices

to reasonably ensure that all activities are in compliance with its Code of Conduct,

standards, and procedures. Cayuga County shall also maintain a disclosure listing

of all individuals associated with the Cayuga County who have identified outside

party interests that represent potential conflicts of interest.

The Compliance Officer and/or Committee shall establish and implement

standard operating procedures for conducting intemal reviews. These procedures

shall establish specific schedules for the frequency of each type of review activity

24

3272049.1 12/26/2018 and the percentage of records and/or claims reviewed for each audit. Sampling

shall be conducted in a manner consistent with generally accepted statistical

standards. The results of such reviews shall be documented on a standardized

form and retained for a minimum often (10) years.

B. Corrective Action PIans. The Compliance Officer and/or Committee shall

receive and review the results of such reviews, develop a corrective action plan to

remedy any deficiencies identifled in the results, and provide the corrective action

plan to those individuals who will be charged with the responsibility of

implementing it. If periodic review and monitoring activities identify substantial

deviation from acceptable norms, the Compliance Officer, Committee, Covered

Department, and Cayuga County Legislature shall take prompt steps to address

such deviations. Where additional investigation of such deviations is appropriate,

the Compliance Officer and/or Director, in consultation with the Committee, shall

retain the services of such independent advisors as shall be necessary to address

such deviations.

C. Documentation of Aeency Consultations. All Personnel, in their efforts to

comply with a particular law or regulation who request advice from an employee

of a federal, state, or local govemment agency, or a fiscal intermediary, carrier, or

third party payor, such person, with advice from legal counsel as appropriate,

should document the consultation in writing. Documentation should include the

name and title of the party consulted, the date and time of the consultation, the

subject matter of the consultation, and the advice received. Copies of

consultations involving substantial issues related to reimbursement or regulatory

3272049.1 12/26/2018 standards should be provided to the Compliance Officer for retention. Written

documentation of agency guidance is critical to demonstrating the good faith

reliance and due diligence of the organization and its Personnel requesting such

advice. Good faith reliance on agency or payor advice will assist in avoiding or

mitigating fines and other penalties.

D. Government InQuiries. If contacted by a government official, all Personnel are

required to obtain the official's identification and immediately inform his/her

supervisor and the Compliance Officer of the contact. While Personnel may

voluntarily speak with such officials, Personnel are strongly encouraged that

before they speak to such officials, they In-st contact their supervisor and the

Compliance Officer. Their supervisor and/or the Compliance Officer will attempt

to obtain additional information from the govemment official which will be useftil

to the Organization in deciding how to respond to the official's request.

In no event, however, may any Personnel respond to a request to disclose the

Organization's documents without first speaking with their supervisor and/or

Compliance Officer and receiving his/her/their approval to release documents. If

appropriate, the supervisor and/or Compliance Officer shall seek advice from

legal counsel prior to the release of any documents to the govemment. If it is

appropriate to give a response to a request for information, the response given

must be accurate and complete.

IX. Compliance Contacts and Numbers. Any Personnel may contact his/her supervisor(s),

the Associate Compliance Officers, the County Compliance Officer or the County's

26

3272049.1 12/26/2018 Compliance Hotline with any compliance question or concem. The contact infomiation

is as follows:

The Associate Compliance Officers. The Organization's Associate

Compliance Officer for CCCMHC is Elizabeth Burke who can be reached

at 315-253-1641. The Organization's Associate Compliance Officer for

the Health Department is Nancy Purdy who can be reached at 315-253-

1454.

The County Compliance Officer. The Organization's Compliance Officer

is Jennifer Indelicato who can be reached at 315-253-1490.

TlTe_County's Compliance Voicemail Hotljne. The dedicated voice mail

Compliance Hotline number is 315-294-8015. Callers may make

anonymous reports to the Voicemail Hotline.

OIG's Compliance Hotline. Employees/contractors may also contact the

Office oflnspector General hotline at 1-800-447-8477 ifhe/she wishes.

X. Laws Reeardine the Prevention of Fraud, Waste and Abuse.

A. Federal Laws.

Federal False Claims Act. Any person who submits a claim to the federal govemment that he/she knows (or should know) is false is subject to civil penalties of $5,500-$ 11,000 per false claim and treble damages. Individuals may be entitled to bring an action under this Act and share in a percentage of any recovery. However, if the action has no merit and/or is for the purpose ofharassing Cayuga County, the individual may have to pay Cayuga County for its legal fees and costs.

27

3272049.1 12/26/2018 Administrative Remedies for False Claims and Statements. If a person submits a claim that the person knows is false or contains false information or omits material information, such person may be subject to a $5,000 penalty per claim and double damages. Individuals are not

entitled to share in any recovery.

Federal Anti-Kickback Law: Individuals/entities may not knowingly offer, pay, solicit, or receive remuneration in exchange for referring, fumishing, purchasing, leasing or ordering a service or item paid for by Medicare, Medicaid, or other federal health care program. Criminal or civil penalties include repayment of damages, fmes, imprisonment, and exclusion from participation in federal programs.

B. State Laws.

New York has laws that are similar to the federal laws listed above. These include the

New York False Claims Act, False Statements Law, Anti-Kickback Law, Self Referral

Prohibition Law, Health Care and Insurance Fraud Penal Law. Individuals may be entitled to bring an action under the False Claims Act, and share in a percentage of any recovery. However, if the action has no merit and/or is for the purpose of harassing Cayuga County, the individual may have to pay Cayuga County for its legal fees and costs.

C. Whistleblower Protections.

Federal Whistleblower Protection: An employee who is discharged, demoted, suspended, threatened, harassed, or discriminated against because of his/her lawful acts conducted in furtherance of a False Claims Act action may bring an action against the employer. However, if the employee's action has no basis in law or fact or is primarily for harassment, the employee may have to pay the employer its fees and costs.

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3272049.1 12/26/2018 New York State Whistleblower Protection: Employees who, in good faith, report a false claim are protected against discharge, demotion, suspension, threats, harassment, and other discrimination by their employer. Remedies include reinstatement, two times back pay plus interest, and litigation costs and attomeys' fees. *These are summaries of very complex laws. The Corporate Compliance Officer can provide you with more information about these laws, or their application to any situation you may encounter. These laws all serve the important function ofprotecting the Federal and State health care programsfromfraud, waste, and abuse and allow thosefunds to protect the beneficiaries of these programs. Cayuga County supports the goals of these la-ws and requires all employees, contractors and agents to comply with these laws as part ofour mission ofproviding services to individuals.

XI. PROGRAM EVALUATION

The Corporate Compliance Officer will oversee an annua) review of the Corporate

Compliance Program. The Corporate Compliance Officer will randomly survey staff as to their knowledge and understanding of the Program. The Corporate Compliance Officer will make a report to the Cayuga County Board of Health and Cayuga County Legislature at least annually on the activities and the effectiveness of the Program. In addition, the Corporate Compliance

Officer shall examine any certifications of compliance required by law to be filed with govemment regulatory agencies. To the extent that completion and filing of such certifications are necessary and appropriate, the Compliance Officer shall be responsible for their completion and filing with the applicable govemment regulatory agency.

XII. SUMMARY

Cayuga County is proud of its reputation for consistently practicing the values of professionalism, quality, personal service, and trust. As a values-driven organization, Cayuga

County is committed to complying with all applicable laws and regulations.

#1467271 29 3272049.1 12/26/2018 z-^'Lee-'j RESOLUTION N0. 3/26/19 LEG Amazon Headquarters

REQUESTING AMAZON TO CONSIDER WHITE PINE COMMERCE PARK LOCATED IN ONONDAGA COUNTY, NEW YORK FOR THE NEW AMAZON HEADQUARTERS

By: Cayuga County Legislature

WHEREAS, Onondaga County, located in Central New York, enjoys a low cost of living as well as a highly educated and skilled workforce; and

WHEREAS, Onondaga County is centrally located at the crossroads of Interstate 81 and the New York State Thruway (Interstate 90), providing convenient access to all east coast markets; and

WHEREAS, Onondaga County has all modes oftransportation readily available, including existing FedEx and UPS air transportation, easily accessible and convenient railroad transportation, extensive tractor-trailer shipping facilities, plus a deep-water port on Lake Ontario located within 35 miles; and

WHEREAS, the Greater Central New York region is home to one million people, with nearly 500,000 in Onondaga County and another 500,000 or more located within 30-45 minutes ofOnondaga County; and

WHEREAS, White Pine Commerce Park is a business park owned by Onondaga County, consisting of 339 acres ofvacant land with ready access to excellent water, sewer, power and natural gas services, as well as a convenient railroad spur; and

WHEREAS, White Pine Commerce Park is the largest publicly controlled business park in the region, and it would serve as an excellent site for the next Amazon Headquarters; and

WHEREAS, Onondaga County and the Central New York Region represents an extremely business-friendly community with an abundant ready, willing and hard-working workforce; and

WHEREAS, Onondaga County has lively, expansive and extremely varied and attractive recreational end entertainment venues, including professional and collegiate sporting teams; and

WHEREAS, Onondaga County and Central New York is home to a wide array of well-respected educational institutions; and

WHEREAS, Onondaga County is home to many cutting-edge businesses and industries and is quickly becoming the leader in remotely controlled aerial vehicle technology; now, therefore be it

RESOLVED, that this Cayuga County Legislature hereby requests that the chief executive officers of Amazon consider White Pine Commerce Park, located within Onondaga County, as the next Amazon Headquarters; and, be it further

RESOLVED, that the Clerk ofthe Cayuga County Legislature shall forward certified copies ofthis Resolution to Governor Cuomo, Senate Majority Leader Andrea Stewart-Cousins, Senate Minority Leader John Flanagan, Speaker ofthe New York State Assembly Carl Heastie, Assembly Majority Leader Crystal D. Peoples-Stokes, Assembly Minority Leader Brian M. Kolb, Senator Robert Antonacci, Senator Pamela Helming, Senator James L. Seward, Assemblyman Gary Finch, Assemblyman Brian Manktelow, the New York State Association ofCounties, Inter-County ofWestern New York, and any other party deemed necessary and proper. Tucker Whitman (District 1) Aileen McNabb-Coleman (District 6) Elane Daly (District 11)

Andrew Dennison (District 2) Keith Batman (District 7) Patrick Mahunik (District 12)

Benjamin Vitale (District 3) Joseph DeForest (District 8) Timothy Lattimore (District 13)

Christopher Petrus (District 4) Charlie Ripley (District 9) Michael Didio (District 14)

Paul Pinckney (District 5) Joseph Bennett (District 10) Ryan Foley (District 15)

Co. Attyf 3-1^-1. E.

RESOLUTION N0. 3/26/19 LEG Opposing Reproductive Health Act

Resolution opposing Reproductive Health Act

By: Tucker Whitman, Chairman Cayuga County Legislature

Whereas, the Reproductive Health Act was signed into law by Governor Andrew Cuomo on January 22,2019;and

Whereas, the Reproductive Health Act strips abortion from the state's criminal code and places it under the realm of public health law; and

Whereas, abortion is now allowed up until the full term ofpregnancy; and

Whereas, the killing ofa fetus in the third trimester ofpregnancy is now no longer considered murder; and

Whereas, the undersigned Legislators urge the Governor, the New York State Senate and the New York State Assembly to reconsider the Reproductive Health Act and to repeal the same; now therefore be it

Resolved, that the Cayuga County Legislature questions the unintended consequences ofthe Reproductive Health Act and urges the Governor, the New York State Senate and the New York State Assembly to reconsider the Reproductive Health Act and to repeal the same Reproductive Health Act; and be it further

Resolved, that a certifiied copy ofthis Resolution be sent to Governor Cuomo, State Legislators, Senator Pamela Helming, Senator James L. Seward, Senator Robert E. Antonacci, Assemblyman Gary Finch, and Assemblyman Brian Manktelow.

Tucker Whitman (District 1) Aileen McNabb-Coleman (District 6) Elane Daly (District 11)

Andrew Dennison (District 2) Keith Batman (District 7) Patrick Mahunik (District 12)

Benjamin Vitale (District 3) Joseph DeForest (District 8) Timothy Lattimore (District 13)

Christopher Petrus (District 4) Charlie Ripley (District 9) Michael Didio (District 14)

Paul Pinckney (District 5) Joseph Bennett (District 10) Ryan Foley (District 15)

Co. Atty.'