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Tompkins County Compliance Program

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Tompkins County Compliance Program

 Welcome to the Tompkins County Compliance Initiative. This site provides information about our commitment to conduct the business of local county government in accordance with applicable federal, state, and local laws and regulations, and to adhere to the highest ethical standards. The complexity and magnitude of County operations and the services provided make the focus on compliance essential. As such, our County Compliance Program serves to:

  • Monitor developments and changes in state and federal laws as these relate to waste, fraud, and abuse.
  • Facilitate communication among departments on compliance issues, including outreach and training.
  • Review, revise, and recommend policies/procedures as needed.
  • Coordinate, facilitate, and monitor compliance efforts countywide.
  • Develop internal controls, including assisting department heads and managers with establishing compliance procedures specific to their operations, and conduct reviews to ensure compliance with legal and regulatory requirements.
  • Administer the confidential Compliance HelpLine for reporting compliance violations, illegal or unethical conduct, or a known or suspected breach of secured private or protected health information.

This ongoing, proactive program demonstrates how the organization will operate in a fully legal and ethical manner, and how its code-of-conduct will be applied to address specific organizational risks.

Read More... Annual Compliance Progress Reports

Read More... Tompkins County Compliance Document

Read More... Tompkins County Code of Ethics (revised 2013)


Message from County Leadership

The County Legislature believes that the development and implementation of a formal County Compliance Program, applied on a countywide basis, is consistent with the organization’s efforts to improve quality and performance, and further reflects the organization’s long-standing commitment to conduct its business transparently and in compliance with applicable and constitutional laws. In February 2011, the County Legislature passed a resolution to underscore this commitment, giving the County Administrator the authority to establish a comprehensive compliance program as a critical component of our business practice and philosophy.


County Compliance Commitee
The County Compliance Committee operates a strategic countywide compliance program, ensuring regulatory and ethical compliance in the delivery of quality service and preservation of public trust. The Committee works to promote a countywide culture that safeguards compliance and ethical conduct through assessment, monitoring, mitigation, policy creation and revision, guidance, and training. The Committee also assists the County Administrator and the County Compliance Officer in managing the confidential Compliance HelpLine, which can be accessed by any County employee or member of the public to anonymously report compliance violations, illegal or unethical conduct, or a known or suspected breach of secured private or protected health information.


 Reporting Compliance Violations or Information Security Breach

Confidential Compliance Helpline: 877-348-1396

The County Compliance Program includes a confidential Compliance HelpLine to receive calls concerning compliance violations or known or suspected breaches of secured private or protected health information.

The Confidential Compliance HelpLine is equipped to handle reports from both identified and anonymous callers; however, in order for the County to investigate and respond appropriately to reports of non-compliance or an information security breach, specific information will be required.

Compliance Violations
Any County employee or private citizen can use the Compliance HelpLine to report allegations of illegal or unethical conduct involving County employees or appointed or elected officials. This includes reporting evidence of known or suspected misconduct, including legal violations, misuse of resources, improper gifts or kickbacks, financial fraud, acts of retaliation, safety concerns, or intentional violation of County policy and procedures. 

A written report concerning non-compliance or acts of waste, fraud, or abuse, may be sent to:

Paula E.F. Younger
Deputy County Administrator
County Compliance Officer
125 East Court Street, 3rd Floor
Ithaca, NY 14850

Information Security Breach
Tompkins County is committed to safeguarding Personal Health Information (PHI) and all other forms of Personal Information (PI). In compliance with Federal regulations, the County has adopted the Tompkins County Breach Incident Procedure, which provides a common standard for all County staff regarding procedures for reporting a known or suspected information security breach. Any County employee or private citizen can use the Compliance HelpLine to report a known or suspected breach of confidential or private information. A report may also be submitted via the Breach Incident Investigation Form.


 Compliance Fact Sheet Series
Want to stay abreast of updates to County Compliance Program? Are you looking for compliance program information to share with staff, colleagues, or contractors/vendors? Our Fact Sheet series serve as a quick reference to compliance-related information.

Select a Fact Sheet to Read More...

Fact Sheet Issue #1: Compliance Program Overview
Fact Sheet Issue #2: Exclusion Screening for Contractors
Fact Sheet Issue #3: Tompkins County Compliance Committee
Fact Sheet Issue #4: Safeguarding Protected Information
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act Sheet Issue #5: Title VI Program - Commitment to Serving the Public Without Discrimination
Fact Sheet Issue #6: Title VI Resources for Effective Communication

Policy Information
Exclusion Screening Policy - This policy demonstrates the County’s intent to comply with Federal and State mandates to screen employees, independent contractors, business vendors, key providers, and governing board members to verify that they have not been involved in adverse governmental actions related to fraud, patient abuse, licensing board sanctions, license revocation/suspension/surrender, or have defaulted on Health Education Assistance Loans.

Whistleblower Policy - This policy is intended to support the reporting of illegal activities and to protect officers and employees from retaliation who, in good faith, have reported a concern of improper governmental action. This policy implements New York State Labor Law §740 and Civil Service Law §75-b.

For a complete lisiting of the Policies and Procedures of Tompkins County Government, see the

Administrative Policy Manual.