2017 CCLBC Audit

2018 Audit

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2021 Budget Report

Policies Governing Approvals of Land Acquisition and Disposition

Factors in Determining Consideration Due Upon Transfers

The following factors shall constitute general guidelines for determination of the consideration to be received by the Land Bank for the transfer of properties. In each and every transfer of real property the Land Bank shall require good and valuable consideration in an amount determined by the Land Bank in its sole discretion. The Land Bank will consider the fair market value of the property in its determination of consideration for each property.

• Parcels of property shall be transferred for consideration in an amount less than the actual costs incurred in acquisition, demolition, maintenance and administrative fees of the lot/building.
• Any exception to the policies governing consideration shall be taken to the governing body of the Land Bank for approval.

Land Banking Policies

The Land Bank is willing to receive title to properties from community development corporations and other entities, and hold title to such properties pending future use by the Land Bank, by the transferor of the property, or by other third parties. The receipt by the Land Bank of any and all conveyances of real property shall at all times be solely within the discretion of the Land Bank, and nothing in this policy shall be deemed to require the Land Bank to take title to any properties nor to limit the discretion of the Land Bank in negotiating the terms of its acquisition of any property, whether as donated transfers or otherwise.

All conveyances received by the Land Bank in its Land Banking capacity must comply with the requirements set forth below in Part A, and will be reviewed and considered by the Land Bank in accordance with the procedures set forth in Part B. If the transfer is approved by the Land Bank, the Land Bank shall hold the subject property, and may use or convey the subject property or any interest in the subject project, subject only to the right of repurchase set forth in Part B.

Following the transfer of any properties to the Land Bank in accordance with this policy, the Land Bank shall have the right, but not the obligation, to maintain, repair, demolish, clean, and grade the subject property and perform any and all other tasks and services with respect to the subject property as the Land Bank may deem necessary and appropriate in its sole discretion.

1. Requirements for Conveyances to the Land Bank in its Land Banking Capacity

• Property that is intended to be conveyed to the Land Bank and to be held by the Land Bank in its Land Banking capacity shall be clearly designated as such in the proposal for the transfer, and in the records of the Land Bank.
• No property shall be transferred to the Land Bank pursuant to this Land Banking policy unless the transferor is a either a private nonprofit entity or a governmental entity.
• The subject property must not be occupied by any party or parties as of the date of transfer to the Land Bank.
• The subject property must be located within the Land Bank service area (Cattaraugus County).
• The subject property must, as of the date of the transfer to the Land Bank, be free of any and all liens for ad valorem taxes, special assessments, and other liens or encumbrances in favor of local, state or federal government entities.
• The subject property must, as of the date of the transfer to the Land Bank, be free of all outstanding mortgages and security instruments.
• Any exception to the policies governing disposition shall be taken to the governing body of the Land Bank for approval.

This Code of Ethics shall apply to all officers and employees of the Cattaraugus County Land Bank Corporation. These policies shall serve as a guide for official conduct and are intended to enhance the ethical and professional performance of the Cattaraugus County Land Bank Corporation's directors and employees and to preserve public confidence in the Cattaraugus County Land Bank Corporation’s mission.

Responsibility of Directors and Employees

• Directors and employees shall perform their duties with transparency, without favor and refrain from engaging in outside matters of financial or personal interest, including other employment, that could impair independence of judgment, or prevent the proper exercise of one's official duties.
• Directors and employees shall not directly or indirectly, make, advise, or assist any person to make any financial investment based upon information available through the director's or employee's official position that could create any conflict between their public duties and interests and their private interests.
• Directors and employees shall not accept or receive any gift or gratuities where the circumstances would permit the inference that: (a) the gift is intended to influence the individual in the performance of official business or (b) the gift constitutes a tip, reward, or sign of appreciation for any official act by the individual. This prohibition extends to any form of financial payments, services, loans, travel reimbursement, entertainment, hospitality, thing or promise from any entity doing business with or before the Cattaraugus County Land Bank Corporation.
• Directors and employees shall not use or attempt to use their official position with the Cattaraugus County Land Bank Corporation to secure unwarranted privileges for themselves, members of their family or others, including employment with the Cattaraugus County Land Bank Corporation or contracts for materials or services with the Cattaraugus County Land Bank Corporation.
• Directors and employees must conduct themselves at all times in a manner that avoids any appearance that they can be improperly or unduly influenced, that they could be affected by the position of or relationship with any that they are acting in violation of their public trust.
• Directors and employees may not engage in any official transaction with an outside entity in which they have a direct or indirect financial interest that may reasonably conflict with the proper discharge of their official duties.
• Directors and employees shall manage all matters within the scope of the Cattaraugus County Land Bank Corporation’s mission independent of any other affiliations or employment. Directors, including ex officio board members, and employees employed by more than one government shall strive to fulfill their professional responsibility to the Cattaraugus County Land Bank Corporation without bias and shall support the Cattaraugus County Land Bank Corporation’s mission to the fullest.
• Directors and employees shall not use Cattaraugus County Land Bank Corporation property, including equipment, telephones, vehicles, computers, or other resources, or disclose information acquired in the course of their official duties in a manner inconsistent with State or local law or policy and the Cattaraugus County Land Bank Corporation’s mission and goals.
• Directors and employees are prohibited from appearing or practicing before the Cattaraugus County Land Bank Corporation for two (2) years following employment with the Cattaraugus County Land Bank Corporation, consistent with the provisions of Public Officers Law.

Implementation of Code of Ethics

This Code of Ethics shall be provided to all directors and employees upon commencement of employment or appointment and shall be reviewed annually by the Governance Committee.

The board may designate an Ethics Officer, who shall report to the board and shall have the following duties:

• • Counsel in confidence Cattaraugus County Land Bank Corporation directors and employees who seek advice about ethical behavior.
  • Receive and investigate complaints about possible ethics violations.
  • Dismiss complaints found to be without substance.
  • Prepare an investigative report of their findings for action by the Executive Director or the board.
  • Record the receipt of gifts or gratuities of any kind received by a director or employee, who shall notify the Ethics Officer within 48 hours of receipt of such gifts and gratuities.

Penalties

In addition to any penalty contained in any other provision of law, a Cattaraugus County Land Bank Corporation director or employee who knowingly and intentionally violates any of the provisions of this code may be removed in the manner provided for in law, rules or regulations.

Reporting Unethical Behavior

Employees and directors are required to report possible unethical behavior by a director or employee of the Cattaraugus County Land Bank Corporation to the Ethics Officer. Employees and directors may file ethics complaints anonymously and are protected from retaliation by the policies adopted by the Cattaraugus County Land Bank Corporation.

Date Adopted: 10/12/2016

COMPENSATION AND REIMBURSEMENT POLICY

Pursuant to and in accordance with the Not-For-Profit Corporation Law of the State of New York, the members of the board (the “Board”) of the Cattaraugus County Land Bank Corporation (the “Corporation”) shall serve without salary at the pleasure of Cattaraugus County, New York (the “County”) but may be reimbursed for reasonable expenses incurred in the performance of Corporation duties at the approval of the Board. The officers, employees and agents of the Corporation shall serve at the pleasure of the Corporation at such compensation levels as may be approved by the Board from time to time and may be reimbursed for reasonable expenses incurred in the performance of Corporation duties at the approval of the Board. The members of the Board and officers of the Corporation shall be available as required to perform the operations of the Corporation and as set forth within the By-Laws of the Corporation, as may be amended, restated or revised by the Board from time to time. Said members and officers of the Corporation shall put forth their best efforts to perform their respective duties as outlined in the By-Laws of the Corporation and any other directives of the Board relating to same.

Date Adopted: 10/12/2016

CONFLICT OF INTEREST POLICY

All Board Members and employees should be provided with this Conflict of Interest Policy upon commencement of employment or appointment and required to acknowledge that they have read, understand and are in compliance with the terms of the policy. Board members and employees should review on an ongoing basis circumstances that constitute a conflict of interest or the appearance of a conflict of interest, abide by this policy and seek guidance when necessary and appropriate.

This policy is intended to supplement, but not replace, any applicable state and federal laws governing conflicts of interest applicable to public authorities.

Conflicts of Interest: A conflict of interest is a situation in which the financial, familial, or personal interests of a director or employee come into actual or perceived conflict with their duties and responsibilities with the Cattaraugus County Land Bank Corporation. Perceived conflicts of interest are situations where there is the appearance that a board member and/or employee can personally benefit from actions or decisions made in their official capacity, or where a board member or employee may be influenced to act in a manner that does not represent the best interests of the Cattaraugus County Land Bank Corporation. The perception of a conflict may occur if circumstances would suggest to a reasonable person that a board member may have a conflict. The appearance of a conflict and an actual conflict should be treated in the same manner for the purposes of this Policy.

Board members and employees must conduct themselves at all times in a manner that avoids any appearance that they can be improperly or unduly influenced, that they could be affected by the position of or relationship with any other party, or that they are acting in violation of their public trust. While it is not possible to describe or anticipate all the circumstances that might involve a conflict of interest, a conflict of interest typically arises whenever a director or employee has or will have:

1. A financial or personal interest in any person, firm, corporation or association which has or will have a transaction, agreement or any other arrangement in which the Cattaraugus County Land Bank Corporation participates.
2. The ability to use his or her position, confidential information or the assets of the Cattaraugus County Land Bank Corporation, to his or her personal advantage.
3. Solicited or accepted a gift of any amount under circumstances in which it could reasonably be inferred that the gift was intended to influence him/her, or could reasonably be expected to influence him/her, in the performance of his/her official duties or was intended as a reward for any action on his/her part.
4. Any other circumstance that may or appear to make it difficult for the board member or employee to exercise independent judgment and properly exercise his or her official duties.

Outside Employment of Cattaraugus County Land Bank Corporation’s Employees: No employee may engage in outside employment if such employment interferes with his/her ability to properly exercise his or her official duties with the Cattaraugus County Land Bank Corporation.

PROCEDURES

Duty to Disclose: All material facts related to the conflicts of interest (including the nature of the interest and information about the conflicting transaction) shall be disclosed in good faith and in writing to the Governance Committee and/or the Ethics Officer. Such written disclosure shall be made part of the official record of the proceedings of the Cattaraugus County Land Bank Corporation.

 Determining Whether a Conflict of Interest Exists: The Governance Committee and/or Ethics Officer shall advise the individual who appears to have a conflict of interest how to proceed. The Governance Committee and/or Ethics Officer should seek guidance from counsel or New York State agencies, such as the Authorities Budget Office, State Inspector General or the Joint Commission on Public Ethics (JCOPE) when dealing with cases where they are unsure of what to do.

Recusal and Abstention: No board member or employee may participate in any decision or take any official action with respect to any matter requiring the exercise of discretion, including discussing the matter and voting, when he or she knows or has reason to know that the action could confer a direct or indirect financial or material benefit on himself or herself, a relative, or any organization in which he or she is deemed to have an interest. Board members and employees must recuse themselves from deliberations, votes, or internal discussion on matters relating to any organization, entity or individual where their impartiality in the deliberation or vote might be reasonably questioned, and are prohibited from attempting to influence other board members or employees in the deliberation and voting on the matter.

Records of Conflicts of Interest: The minutes of the Cattaraugus County Land Bank Corporation’s meetings during which a perceived or actual conflict of interest is disclosed or discussed shall reflect the name of the interested person, the nature of the conflict, and a description of how the conflict was resolved.

Reporting of Violations:  Board members and employees should promptly report any violations of this policy to his or her supervisor, or to the public Cattaraugus County Land Bank Corporation’s ethics officer, general counsel or human resources representative in accordance with the Cattaraugus County Land Bank Corporation’s Whistleblower Policy and Procedures.

Penalties: Any director or employee that fails to comply with this policy may be penalized in the manner provided for in law, rules or regulations.

Date Adopted:     10/12/2016  

Cattaraugus County Land Bank Corporation Purchasing Policy

Section 1 – Objectives

1.1 The objectives of the Cattaraugus County Land Bank Purchasing Policy are as follows:

• Comply with the legal requirements of public purchasing
• Assure vendors of impartial and equal treatment
• Assure taxpayers that CCLBC is receiving maximum dollar value
• Assure that departments have the necessary supplies needed for a specific task
• Keep purchases within budgetary limits by securing only those goods and services for which funds have been approved
• Participate in any and all cooperative purchasing programs that are statutorily permissible and approved for use by the CCLBC Board.

Section 2 - General Guidelines

2.1 Application.

1. This policy applies to contracts for the purchase of supplies, equipment, services and construction entered into by CCLBC , after the effective date of this policy.
2. It shall apply to every expenditure of public funds by CCLBC regardless ofthe source of the funds.
3. When the purchase involves the expenditure of federal or state assistance or contract funds, the purchase shall be conducted in accordance with any mandatory applicable federal or state laws and regulations.
4. Nothing in the policy shall prevent any public agency from complying with the terms and conditions of any grant, gift or bequest that is otherwise consistent with the law.

2.2 Planning.

1. Planning for purchases should be done on both a short-term and long-term basis.
2. Small orders and last minute purchases should be minimized, thereby increasing the capability of each department to purchase its goods and services in larger quantities which often offer discounts in payment terms.
3. Planning will also minimize the amount of clerical and supervisory time spent on documenting purchases.
4. Purchasing amounts larger than what will be needed in one fiscal year or what will not be used prior to the end of a material’s shelf-life is discouraged.
5. 5 Large purchases or projects may require additional planning.
   1. In these instances, professional and/or technical assistance in preparing bid specifications and/or contract documents may be needed.
   2. The time needed to contact and secure the services of these types of resource people must be considered when in the planning stage.
6. A further concern is the careful examination of applicable regulations in those cases where state or federal grant or loan funds are involved.
   1. These funds usually require recipients to meet specific bid requirements and specifications.
   2. Moreover, bids may need to be requested prior to confirmation that the grant or loan will be made to CCLBC.
   3. CCLBC and the bidder chosen must be aware of the additional record keeping and methods necessary to submit payment requests from the agency involved.

2.3 Overdrafts Prohibited.

1 Purchases will not be authorized which would overdraft a budgetary account.

2.4 Buying Proper Quality.

.1 Quality and service are just as important as price and it is the duty of the requisitioning department to secure the best quality for the purpose intended.

.2 Quality buying is the buying of goods or services that will meet, but not exceed, the requirements for which they are intended.

.3 In some instances, the primary consideration is durability.

.4 With other purchases, primary consideration may be immediate availability, ease of installation, frequency of repair or efficiency of operation.

.5 It is the responsibility of the CCLBC to become familiar enough with the available goods or services to determine the appropriate quality required in order to develop specifications.

2.5 Local Buying.

.1 It is the desire of the CCLBC to purchase from local vendors whenever possible.

.2 This can be accomplished by assuring that local vendors who have goods or services which are needed by CCLBC are included in the competitive shopping process which precedes most purchases.

2.6 Conflict of Interest.

.1 No CCLBC officer or employee will have an interest in any contract with the CCLBC of which he is an officer or employee, when such employee has the power or duty to:

.1 Negotiate, prepare, authorize or approve a contract or authorize or approve its payment.

.2 Audit bills or claims.

.3 Appoint an officer or employee who has any of the powers or duties set forth above.

.2 “Contract” in this context refers to any claim, demand against or agreement with the
CCLBC, either express or implied.

.3 Any CCLBC officer or employee who has, will have, or acquires an interest in, any actual or proposed contract with the CCLBC of which he or she is an officer or employee, shall publicly disclose the nature and extent of such interest in writing to the CCLBC Board as soon as he or she has knowledge of an actual or prospective interest.

.4 This written disclosure will be made part of the official minutes of the CCLBC Board.

.5 If any officer or employee has reason to believe that he or she may have a conflict of interest, then CCLBC Attorney should be contacted immediately.

2.7 Sales Tax.

.1

.2 The CCLBC is exempt from paying New York State Sales Tax and Federal Excise taxes. The CCLBC can provide the necessary exemption documents to any vendor upon request.

2.8 Public Access.

.1 Whenever any person outside CCLBC requests information on a bid, prior to bid award, including cost estimates, refer the caller to CCLBC Attorney or contact CCLBC Attorney as to what information is acceptable to release. .2 Trade secrets and confidential or proprietary information submitted by a bidder cannot be revealed to any person outside CCLBC or to any County employee not involved in the bid or award process.

.3 Whenever in doubt, contact CCLBC Attorney.

2.9 Endorsements.

.1 It is CCLBC policy to not endorse or in any way permit any employee’s name, position or
the CCLBCs name to be used and advertised as supporting a product or vendor. .2 Firms may not use the CCLBCs name, supportive documentation or photographs of CCLBC projects they have participated in for promotional use without the approval of the CCLBC Board.

2.10 Personal Purchases.

.1 Non-public purchases by employees of equipment or supplies through the CCLBC for personal use are prohibited.

.2 CCLBC employees are also prohibited from using the CCLBC’s name or the employee’s position to obtain special consideration in personal purchases.

2.11 Violation of Policy.

.1 Purchases made outside the approved procedures contained in this document will be considered void and not an obligation of CCLBC.

.2 Employees making an unauthorized purchase may be held personally responsible for the purchase.

2.12 “Brand Name or Equal” Specification.

.1 The use of “brand name or equal” specification may be used when the CCLBCdetermines that use of a “brand name or equal” specification is in the CCLBC’s best interest.

.2 The CCLBC shall seek to identify sources from which the designated brand name item or items can be obtained and shall solicit such sources to achieve whatever degree of price competition is practicable.

.3 If only one source can supply the requirement, then the procurement shall be made under Section 3.7 (Sole Source Procurement).

2.13 Non-Discrimination.

.1 Every contract or purchase order issued by CCLBC shall be entered into under the provision which requires the contractor, subcontractor or vendor not to discriminate against any employee or applicant for employment because of his or her age, race, creed, color, national origin, sex, sexual preference or disability.

2.14 Recycling.
.1 In recognition of the continuing need to be environmentally responsible, recycled goods should be considered when deemed appropriate and fiscally responsible.
2.15 Prepayments.
.1 Prepayment should generally not be made using County funds.
.2 This policy is consistent with New York State General Municipal Law Section 369 and Opinions of the State Comptroller 81-83 and 81-90.
.3 Prepayment of the following items is permitted:
.1 Dues to Professional Organizations
.2 Subscriptions
.3 Space Rental.
2.16 Purchase Card.
.1 CCLBC has implemented a Purchase Card Program to:
.1 Reduce the volume of small dollar purchases.
.2 Reduce the amount of paperwork involved in the regular voucher system.
.3 Streamline the paperwork and reduce costs.
.2 CCLBC Purchase Card should be used as the preferred method of payment for purchases at a level to be determined by the CCLBC Board.
2.17 CCLBC Policies.
.1 Purchases are also subject to such other policies as may be promulgated by CCLBC Board which include, but are not limited to:
.1 corporate compliance;
.2 ethics;
.3 cellular telephones.
Section 3 - Purchasing Procedures 3.1 The following grid summarizes the CCLBC Purchasing Policy for: Commodities and Equipment; Public Works; Emergencies – Commodities and Equipment; Emergencies – Public Works; Services and Professional Services. The definitions below pertain to the grid on the following page: “Contract Execution” means the authorized signing of the document that binds CCLBC and vendor. “Chairman” means Chairman of CCLBC
CCLBC PURCHASING GUIDELINES
Required Action
Level of Approval Required
3 Documented Verbal Quotes
3 Written Quotes
Bid
Contract Execution
Approval by County Attorney
Approval by CCLBC Staff
Approval by Chairman
Approval by Board Commodities or Equipment
$1 - $500
X
X
$501 - $2,500
X
X
Chairman
$2,501 - $5,000
X
X
X
Chairman
$5,001 - $20,000
X
X
X
X
Chairman
Greater than $20,000
X
X
X Contracts for Public Work
$1 - $500
X
X
Chairman
$501 - $2,500
X
X
X
Chairman
$2,501 - $10,000
X
X
X
Chairman
$10,001 - $35,000
X
X
X
X
Chairman
Greater than $35,000
X
X
X Emergencies: Commodities or Equipment
Chairman
$1 - $10,000
X
X
Chairman
$5,001 - $35,000
X
X
X
Chairman
Greater than $35,000
X
X
X Emergencies: Contracts for Public Work
Chairman
$1 - $10,000
X
X
Chairman
$10,001 - $35,000
X
X
X
Chairman
Greater than $35,000
X
X
X Services (other than Professional)
$1 - $500
X
X
$501 - $2,500
X
X
Chairman
$2,501 - $5,000
X
X
X
Chairman
$5,001 - $10,000
X
X
X
X
Chairman
Greater than $10,000
X
X
X Professional Services
RFP Optional
Chairman
ALL
X
X
X EXCEPTIONS ** No Contract Needed Maintenance repairs & parts $1 - $5,000 Maintenance & service contracts $1 - $5,000
X
3.2 Purchases and Contracts for Public Work.
.1 The term “Purchase” applies to the procurement of commodities.
.2 The term “Contract for Public Work” encompasses contracts for services, labor or construction.
.3 When a contract involves acquisition of both goods and services, such as a commodity which requires installation, the contract should be viewed as a purchase for purposes of the competitive bidding monetary threshold, if the services are minor, incidental or customarily provided by the vendor as a component of the purchase.
.4 If the services are extensive, substantial or involve specialized skills, so that the acquisition of the commodity is incidental to the work, then the contract should be treated as a contract for public work, as set forth in Opinions of the State Comptroller No. 87-46.
3.3 Emergency Purchases.
.1 An emergency exists when a dangerous condition develops or when supplies are needed for immediate work which may vitally affect the safety, health or welfare of the public.
.2 Emergency purchasing may also occur after breakdown in machinery and/or a threatened termination of other necessary public services, including maintenance and repair of essential office equipment.
.3 CCLBC faced with an emergency purchase are to notify CCLBC Board as quickly as possible.
3.4 Professional Services.
.1 Normal competitive bid procedures cannot be utilized in securing professional services such as doctors, attorneys, engineers, certified public accountants, and other professional people who, in keeping with the standards of their discipline, will not enter into a competitive bidding process.
.2 A Request for Proposal (RFP) can be prepared much the same way as an Invitation to Bid.
.3 RFPs should be submitted to CCLBC Board for review and approval prior to
distribution. .4 When the RFP for professional services is approved, a limited number of qualified professionals, known to CCLBC, will be invited to submit a proposal, which sets forth their interest and qualifications, and explains how they can meet the CCLBC's needs. .5 In securing professional services, it is the primary goal of CCLBC to obtain the services of a professional who has a proven record of providing, in a professional way, those services which are required.
.6 A contract will be negotiated by the appropriate CCLBC with the professional deemed to best meet the CCLBC’s needs.
.7 An RFP for professional services is encouraged, but not required.
3.5 Split Purchases.
.1 In determining whether a purchase is an expenditure within the discretionary threshold amounts established by General Municipal Law Section 103, the officer, board or department shall consider the reasonably expected aggregate amount of all purchases of the same commodities, services or technology to be made within a twelve-month period commencing on the date of purchase.
.2 Purchases of commodities, services or technology shall not be artificially divided for purpose of satisfying the discretionary buying thresholds established by General Municipal Law Section 103.
.3 A change to, or renewal of, a discretionary purchase shall not be permitted if the change or renewal would bring the reasonably expected aggregate amount of all purchases of the same commodities, services or technology from the same provider within the twelve month period commencing on the date of the first purchase to an amount greater than the discretionary buying threshold amount. 2
3.6 Trade-In Allowances.
.1 A trade-in allowance is treated as an expenditure for purposes of the dollar threshold.
.2 The estimated gross cost of an item, without deduction for a trade-in allowance, determines whether the dollar threshold will be exceeded.
3.7 Sole Source Procurement.
.1 In the event there is only one vendor capable of providing a particular product or service, then the competitive bidding procedures outlined in this policy may be waived by CCLBC Board; this documentation should be forwarded with the Resolution Request form to CCLBC Attorney. .2 Whenever a CCLBC determines that they must purchase goods or services from a “sole source” vendor, the CCLBC should document why only one company or individual is capable of providing the goods or services required.
3.8 State Bid or Federal Bid.
.1 General Municipal Law Section 104 authorizes CCLBC to purchase materials, equipment and supplies through the state bid offered by the New York State Office of General Services or federal bid offered by the United States General Services Administration.
.2 A department may competitively bid an item and compare that bid with the state bid or
federal bid price. .3 The department must purchase from the vendor offering the lower of CCLBC bid price, state bid price or federal bid price, unless the cost of transportation or delivery, when added to the bid price, changes the lowest total cost; in that event, the issue should be discussed with CCLBC Administrator and the appropriate County Legislative Standing Committee.
.4 Purchases at the state bid price or federal bid price must be made from the vendor with the state contract or federal contract for that item; a department cannot negotiate with another vendor to offer to sell an item to CCLBC at the state bid price or federal bid price. .5 Purchases can be made from the state bid vendor or federal bid vendor only if the department has sufficient funds budgeted for the purchase; if there are insufficient funds in the account, a budget transfer must be made by legislative resolution. .6 Vendor-generated contracts, rather than County-generated contracts are used for state bid purchases or federal bid purchases; however, the vendor-generated contract must be approved by CCLBC Attorney prior to execution. .7 If the materials, equipment or supplies on state bid or federal bid do not meet the specifications of CCLBC for, including quality, fitness for the particular purpose, or acquisition cost, then the department is not obliged to purchase the materials, equipment of supplies through the state bid or federal bid process.
3.10 Preferred Sources.
.1 New York State Finance Law Section 162 grants selected providers preferred source status for purposes of procurement, provided that the commodities and services meet the form, function and utility required by CCLBC.
.2 Preferred status is granted to the following providers:
.1 Commodities produced by the Department of Correctional Services Correctional
Industries Program, as described in New York State Correction Law Section 184; .2 Commodities and services produced by any qualified charitable non-profit-making agency for the blind approved for such purposes by the New York State Commissioner of Social Services; .3 Commodities and services produced by any special employment programs serving mentally ill persons which shall not be required to be incorporated and which is operated by facilities within the New York State Office of Mental Health and is approved for such purposes by the New York State Commissioner of Mental Health; .4 Commodities and services produced by any qualified charitable non-profit-making agency for other severely disabled persons approved for such purposes by the New York State Commissioner of Education, or incorporated under the laws of the State of New York and approved for such purposes by the New York State Commissioner of Education; or .5 Commodities and services produced by a qualified veterans workshop providing job and employment-skills training to veterans where such workshop is operated by the United States Department of Veterans Affairs and is manufacturing products or performing services within New York State and where such workshop is approved for such purposes by the New York State Commissioner of Education. .3 Each department contemplating such a purchase or commodities or services should check with CCLBC Department of Public Works Procurement Specialist as to whether the commodities or services meet the form, function and utility required by the particular department.
3.11 Installment Purchase Contracts.
.1 General Municipal Law Section 109-b authorizes installment contracts for the purchase of equipment, machinery and apparatus.
.2 For the purpose of Section 109-b, agreements calling for periodic payments, whether the agreements are titled installment purchases, leases, lease-purchases or leases with option to purchase, constitute installment purchase contracts when all or part of the periodic payments are applied toward the purchase of the equipment.
.3 An agreement will generally constitute an installment purchase contract under Section
109-b if title will pass to CCLBC automatically or for a nominal consideration at the end of the term of the agreement, or if an option price is an amount less than the fair market value of the equipment at the time the option is exercised..4 The installment purchase contracts constitute purchase contracts for competitive bidding purposes and are subject to competitive bidding requirements if the total amount proposed to be paid over the term of the agreement exceeds the monetary threshold fixed in General Municipal Law Section 103 for purchases, which is currently $10,000.
3.12.1 Purchases Under Another County’s Bid Award Process.
.1 General Municipal Law Section 103(3) authorizes CCLBC to make purchases or a contract for services, other than services subject to Article 8 or 9 of the Labor Law, through another county’s bid award process. .2 Prior to making such purchase or contract, CCLBC department shall consider whether such contract will result in cost savings after all factors, including charges for service, material and delivery, have been considered. .3 No such purchase or contract for services shall be made unless such purchase may be made or the contract for such services may be entered into upon these same terms, conditions and specifications at a lower price through CCLBC. .4 In addition, CCLBC from whom the department is proposing to make the purchase or obtain the service had to include in that county’s bid process a provision whereby purchases may be made, or such services may be obtained, under such contract by any other political subdivision or fire company or district, in accordance with New York State County Law Section 408-a(2) 3.12.2 Purchases Under General Municipal Law Section 103(16) .1 General Municipal Law Section 103(16), enacted by Chapter 308 of the Laws of 2012 of the State of New York, which expires and shall be deemed repealed on August 1, 2017 unless extended, authorizes CCLBC to make purchases of apparatus, materials, equipment or supplies, or to contract for services related to the installation, maintenance or repair of apparatus, materials, equipment or supplies, through the use of a contract let by the United States or any agency thereof, any state or any other county or political subdivision or district therein, if such contract was let in a manner that constitutes competitive bidding consistent with New York Law and is made available for use by other governmental entities. .2 Prior to making any such purchase or contracts, CCLBC department involved shall consider whether such contract will result in cost savings after all factors, including charges for service, material and delivery have been considered. .3 Prior to making any such purchase or contract, CCLBC department involved, in consultation with CCLBC Attorney, shall determine that the original contract let by the United States or any of the other entities identified herein was let in a manner that constitutes competitive bidding consistent with General Municipal Law Section 103 and all other applicable laws of the State of New York and that such purchase or contract has been made available for use by other governmental entities. 3 3.13 Purchasing Responsibility In accordance with General Municipal Law Section 104-b(2) (f), the grid contained in section 3.1, supra, describes the required action and the level of approval required for purchases by CCLBC. 1 3.14 Exceptions
3.14.1 The following are exceptions from the terms “purchase” and “contract for public works” and are not subject to the contract execution provisions of this Purchasing Policy, nor
shall approval of CCLBC Attorney or County Administrator be required, as long as the cost for such expense is budgeted:
a.Maintenance repairs and parts up to $5,000.00
b.Maintenance and service contracts up to $5,000.00 4

Whistleblower Policy and Procedures

Purpose

Every director, officer or employee of the Cattaraugus County Land Bank Corporation, and every member of the Board of Directors of the Cattaraugus County Land Bank Corporation, in the performance of their duties shall conduct themselves with honesty and integrity and observe the highest standards of business and personal ethics as set forth in the Cattaraugus County Land Bank Corporation Code of Ethics.

Policy

It is the policy of Cattaraugus County Land Bank Corporation to afford certain protections to individuals who in good faith report violations of the Cattaraugus County Land Bank Corporation’s Code of Ethics or other instances of potential wrongdoing within the Cattaraugus County Land Bank Corporation. The Whistleblower Policy and Procedures set forth below are intended to encourage and enable employees to raise concerns in good faith within the Cattaraugus County Land Bank Corporation and without fear of retaliation or adverse employment action.

Definitions

“Good Faith”: Information concerning potential wrongdoing is disclosed in “good faith” when the individual making the disclosure reasonably believes such information to be true and reasonably believes that it constitutes potential wrongdoing.

“Cattaraugus County Land Bank Corporation Employee”: All board members, and officers and staff employed at this Public Cattaraugus County Land Bank Corporation whether full-time, part-time, employed pursuant to contract, employees on probation and temporary employees.

“Whistleblower”: Any Public Cattaraugus County Land Bank Corporation Employee (as defined herein) who in good faith discloses information concerning wrongdoing by another Public Cattaraugus County Land Bank Corporation employee, or concerning the business of the Public Cattaraugus County Land Bank Corporation itself.

“Wrongdoing”: Any alleged corruption, fraud, criminal or unethical activity, misconduct, waste, conflict of interest, intentional reporting of false or misleading information, or abuse of Cattaraugus County Land Bank Corporation engaged in by a Public Cattaraugus County Land Bank Corporation Employee (as defined herein) that relates to the Public Cattaraugus County Land Bank Corporation.

“Personnel action”: Any action affecting compensation, appointment, promotion, transfer, assignment, reassignment, reinstatement or evaluation of performance.

Section I: Reporting Wrongdoing

All Cattaraugus County Land Bank Corporation Employees who discover or have knowledge of potential wrongdoing concerning board members, officers, or employees of the Cattaraugus County Land Bank Corporation; or a person having business dealings with Cattaraugus County Land Bank Corporation; or

concerning the Cattaraugus County Land Bank Corporation itself, shall report such activity in accordance with the following procedures:

a) The Cattaraugus County Land Bank Corporation Employee shall disclose any information concerning wrongdoing either orally or in a written report to his or her supervisor, or to the Cattaraugus County Land Bank Corporation’s ethics officer, general counsel or human resources representative.

b) All Cattaraugus County Land Bank Corporation Employees who discover or have knowledge of wrongdoing shall report such wrongdoing in a prompt and timely manner.

c) The identity of the whistleblower and the substance of his or her allegations will be kept confidential to the best extent possible.

d) The individual to whom the potential wrongdoing is reported shall investigate and handle the claim in a timely and reasonable manner, which may include referring such information to the Authorities Budget Office or an appropriate law enforcement agency where applicable.

e) Should a Cattaraugus County Land Bank Corporation Employee believe in good faith that disclosing information within the Cattaraugus County Land Bank Corporation pursuant to Section 1(a) above would likely subject him or her to adverse personnel action or be wholly ineffective, the Cattaraugus County Land Bank Corporation Employee may instead disclose the information to the Authorities Budget Office or an appropriate law enforcement agency, if applicable. The Authorities Budget Office’s toll free number (1-800-560-1770) should be used in such circumstances.

Section II: No Retaliation or Interference

No Cattaraugus County Land Bank Corporation Employee shall retaliate against any whistleblower for the disclosure of potential wrongdoing, whether through threat, coercion, or abuse of Cattaraugus County Land Bank Corporation; and, no Cattaraugus County Land Bank Corporation Employee shall interfere with the right of any other Cattaraugus County Land Bank Corporation Employee by any improper means aimed at deterring disclosure of potential wrongdoing. Any attempts at retaliation or interference are strictly prohibited and:

a) No Cattaraugus County Land Bank Corporation Employee who in good faith discloses potential violations of this Cattaraugus County Land Bank Corporation’s Code of Ethics or other instances of potential wrongdoing, shall suffer harassment, retaliation or adverse personnel action.

b) All allegations of retaliation against a Whistleblower or interference with an individual seeking to disclose potential wrongdoing will be thoroughly investigated by Cattaraugus County Land Bank Corporation.

c) Any Cattaraugus County Land Bank Corporation Employee who retaliates against or had attempted to interfere with any individual for having in good faith disclosed potential violations of Cattaraugus County Land Bank Corporation’s Code of Ethics or other instances of potential wrongdoing is subject to discipline, which may include termination of employment.

d) Any allegation of retaliation or interference will be taken and treated seriously and irrespective of the outcome of the initial complaint, will be treated as a separate matter.

Date Adopted: 10/12/2016

2018 Annual Report

2019 CCLBC Annual Report

2019 Performance Goals