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Home My WebLink AboutCode Of Ethics - 2012 City of San Luis Obispo CODE OF ETHICS “The measure of a man’s real character is what he would do if knew he would never be found out.” Thomas Babington Macauly, Historian City Of San Luis Obispo CODE OF ETHICS TABLE OF CONTENTS I. INTRODUCTION 1 II. CODE OF ETHICS 2 A. General Rule with Respect to Conflicts-of-Interest 2 B. Actions and Conduct Designed to Build Public Confidence 2 C. Acceptance of Favors and Gratuities 2 D. Use of Confidential Information 3 E. Use of City Employment and Facilities for Private Gain 4 F. Contracts with the City 5 G. Outside Employment 5 H. Personal Investments 6 I. Behavior in the Workplace 7 J. Responsibility 8 III. EXHIBITS A. Personnel Rules: Ethical Regulations, Municipal Code 2.36.380 9 B. Personnel Rules: Outside Employment, Municipal Code 2.36.390 10 C. Anti-Discrimination and Unlawful Harassment Policy 11 D. Drug Free Workplace Policy 15 E. Excerpt from Purchasing Policy: Ethical Standards of Conduct 17 F. Excerpt from Travel Guidelines: Overview and General Standards 19 I. INTRODUCTION We, as officials and employees of the City of San Luis Obispo, whether elected, appointed or employed, are guided by the following value statement: "Ethical behavior is critical to this organization's ability to achieve its mission, goals, and objectives. The community's perception of and confidence in City employees and officials are fundamental to quality government. As public servants, we are accountable for high standards of conduct." The Code of Ethics is an attempt to explain this value statement as it applies to our daily activities as City employees. In using this Code, several factors should be considered: A. The Code of Ethics is an official administrative policy. B. The use of the term "employee" in this document is intended to apply to all employees and officials whether elected, appointed, or employed. C. The Code of Ethics is not the only policy related to employee conduct. Some conduct may be ethical without being efficient, safe, or practical. Therefore, the Code of Ethics may not be the only standard to which an employee is held. D. Existing law and policy already address many areas of ethical conduct. Attached as Exhibits to this document are several of those additional laws and policies. (See excerpts from the City's Personnel Regulations, Anti-Discrimination and Unlawful Harassment Policy, Drug Free Workplace Policy, Purchasing Policy, and Travel Guidelines.) The Code of Ethics is not intended to supersede these other sources of guidance. E. Not all conduct fits neatly under the Code of Ethics. The standards and examples are designed to clearly guide conduct in common situations. Special circumstances may not be easily resolved by simply referring to the Code of Ethics. Your supervisor, department head, or the Human Resources Department can provide specific interpretation if necessary. - 1 - II. CODE OF ETHICS A. General Rule with Respect to Conflicts-of-Interest. As a general rule, employees should not engage in or hold any direct or indirect interest in any business or transaction which may conflict with their official duties. This includes any obligations (real or perceived) which may impair their independence of judgment in the discharge of their duties. Furthermore, employees should not engage in conduct which could reasonably give rise to the appearance of wrong-doing. B. Actions and Conduct Designed to Build Public Confidence. Employees should be impartial and dedicated to the best interests of the City. They should conduct themselves, both inside and outside the City's service, so as not to cause distrust of their impartiality or of their dedication to the City's best interests. Perceived conflicts are actions of an employee that the public may consider preferential service or a lack of neutrality in dealing with department clientele. Employees should avoid perceived conflicts of interest. Examples: The Code Enforcement Officer should not offer to do code compliance checks for his/her bowling partner. A department head should not provide exceptional notification to a friend who has a project being reviewed by the department. Planners should not coach their friends on how to critique a City project at a public hearing. C. Acceptance of Favors and Gratuities. Employees should not accept money or other consideration or favors from anyone other than the City for an act which they would be required or expected to perform in the regular course of their duties nor should employees accept any gifts, gratuities, including meals, or favors of any kind from individuals or firms doing business or proposing to do business with the City if, considering all the circumstances involved in a given situation, acceptance of said gifts, gratuities or favors would give the impression that possible preference or special privilege is being sought or given. 1. Individual employees should not accept gifts from department clientele. Gifts are objects or services that have a material value. Example: Individual employees should not accept gifts such as candy, flowers, food or liquor from people who deal with their department. 2. The department or division may accept small gifts when they can be consumed at the work place, are in keeping with the occasion and are made available to all personnel. - 2 - II. Code of Ethics Examples: The department could accept a box of candy at Christmas. The Fire Department could accept cake, fruit or candy from a citizen thanking the personnel for their response to a medical emergency (alcoholic gifts cannot be accepted because they cannot be consumed on the job or in the work place.) 3. Employees should not accept services from department clientele in return for providing exceptional levels of service. Example: The Assistant CAO should not accept preferential seating at a local concert in return for rapidly processing a permit for the activity. 4. Employees should not attend events or functions paid for by department clientele unless the event is of a public nature. Example: It is all right to attend a grand opening lunch sponsored by a client if City Council, the press, or the general public is invited. 5. When in doubt, thank the person for the kind thought and explain that it is department policy not to accept gifts. Example: "It was kind of you to offer me a discount at your business-- but it is our department's policy not to accept gifts. And it really was not necessary. We are here to provide the service." D. Use of Confidential Information. Employees should not disclose confidential information acquired by or available to them in the course of their employment with the City or use such information for personal gain. This applies to improper disclosure within the organization as well as to the public. Examples: A records clerk should not discuss a police report with friends. A planner should not disclose or use information obtained in discussion with a developer except as pertinent to the public review of a project. The accounting manager should not disclose payroll information to another City employee or to the public unless complying with a lawful request for such information. E. Use of City Employment and Facilities for Private Gain. Employees should not use, for private gain or advantage, their City time or the City's facilities, equipment or supplies, nor should they use or attempt to use their position to secure unwarranted privileges or exemptions for themselves or others. - 3 - II. Code of Ethics 1. Employees may not be given priority use of City facilities and programs unless it is an explicit perquisite of employment (e.g., provided for by an employee group's MOA or an individual employee's contract). Example: Employees may not be assigned a preferential tee-off time at the Municipal Golf Course. They may be assigned parking spaces according to established policy or practice. 2. Employees should not use heavy equipment for purposes unrelated to their official duties. Employees may be allowed limited use of office equipment or hand tools during off-duty hours for non-business purposes provided it does not conflict with any City use or represent a direct cost to the City and is done with supervisor approval. Equipment should not be taken out of City facilities for non-City purposes. All equipment used away from the City work place for City business must be authorized. Employees on 24-hour duty may use office and other light equipment during their assigned recreational periods with departmental approval. Examples: A treatment plant operator should not use his City vehicle to transport firewood on the weekend. An employee may type a personal letter on his or her lunch break. Employees may use City copiers to make a few copies if they pay for the copies. Employees may use City phones for limited personal calls and they must pay for the phone charges. 3. In general, employees should use lunch time to do personal business, make phone calls and run errands. However, limited personal business may be conducted during normal working hours if it is approved, in advance, if the time involved is made up and if it does not detract from job performance. Example: During breaks, an employee could make arrangements for some upcoming auto maintenance, provided the time for making the arrangements is short, does not detract from official duties and any phone charges are paid. 4. With supervisor approval, employees may take, for personal use, discarded or unnecessary materials that would otherwise be wasted. Employees may purchase surplus equipment like the general public if they have not been involved in the decision to declare it surplus. - 4 - II. Code of Ethics Examples: A secretary may take used computer paper for personal scratch paper. A secretary should not take an old stapler even if it is of no use to the department. Old equipment should be declared surplus. An employee may purchase surplus equipment, but an employee who was involved in the decision to surplus the equipment should not. F. Contracts with the City. City officers and employees cannot be involved, in any way, with any contract or sale in which they have a financial interest. Government Code Section 1090 expressly prohibits such involvement, and a violation of this statute can be punishable as a felony. (See Government Code Section 1097.) This means that an employee shall not exercise any discretionary powers for, nor make any recommendations on behalf of or to the City or any City Department with respect to any contract or sale involving the City if that employee is directly or indirectly financially interested in the contract or sale. If you have questions about this issue, you should consult with the City Attorney. G. Outside Employment. Employees should not engage in outside employment or business activities which involve such hours of work or physical effort that it would or could be reasonably expected to reduce the quality or quantity of such person's services to the City. Employees should not be engaged in any outside employment which involves the performance by them of any work which will come before them as officers or employees of the City, or under their supervision, for approval or inspection. Employees should not accept employment that is in conflict with provisions of Government Code Section 87000 (Conflict of Interest). Before accepting outside employment, an employee must review and comply with City Personnel Regulation 2.36.390, which is attached to this document as Exhibit B. 1. With approval of the CAO and Department Head, employees may be employed or conduct business outside City employment consistent with the limitations above. Examples: With approval, an engineering technician could draw maps for developers who only work outside the City. A building inspector could work for sponsors of projects in Paso Robles. An accounting assistant could do the bookkeeping for a store in Paso Robles. The planners can file a zone change application for a friend in Morro Bay. - 5 - II. Code of Ethics A firefighter could service commercial fire extinguishers, but not within the City. A secretary could work as a sales clerk at a retail store located in the City of San Luis Obispo. 2. Employees should not make decisions nor participate in decisions affecting projects sponsored in whole or in part by people or companies they have contracted or subcontracted with. Employees should not make decisions or participate in decisions concerning projects sponsored (in whole or in part) by people they have worked for within the past 12 months, are currently working for, or anticipate working for in the future. Examples: Fire inspectors should not inspect projects when they have worked for the project's owner, developer, primary contractor or subcontractors within the past 12 months. The Engineers should not accept an assignment for reviewing a project (any type of discretionary review including counter counseling) when they are working for the project's sponsor, owner, developer, real estate broker or contractors in any capacity. Building inspectors should not inspect the work of people that they have previously hired as contractors or subcontractors for their own outside projects. H. Personal Investments. Employees should not make personal investments which could be expected to create a substantial conflict between their private interests and the public interests. If an employee has a financial interest in a matter coming before him, or before the department in which he is employed, he should disqualify himself from any participation in the matter. 1. Employees should not make decisions or participate in decisions affecting projects that may affect (either positively or adversely) their personal property. Example: Planners or building officials should not critique or inspect construction projects that are in close proximity to their residences. 2. Conflicts of interest, as defined by state law and presented below, focus on public decision making and measurable "financial interests." Government Code Section 87100 states the following: "No public official [which includes many City employees] shall make, participate in making or in any way attempt to use his official position to influence a governmental decision in which he knows or has reason to know he has a financial interest." - 6 - II. Code of Ethics Government Code Section 87103 further defines "financial interest" as follows: "An official has a financial interest within the meaning of Section 87100 if it is reasonably foreseeable that the decision will have a material financial effect, distinguishable from its effect on the public generally, on the official or his or her immediate family, or on: "a. Any business entity in which the official has a direct or indirect investment worth $1,000 or more; "b. Any real property in which the official has a direct or indirect interest worth $1,000 or more; "c. Any source of income of at least $250 received or promised within 12 months prior to the decision; "d. Any business entity in which the public official is a director, officer, partner, trustee, employee, or holds any management position; "e. Any donor of or any intermediary or agent for a donor of, a gift or gifts aggregating $250 or more received or promised within 12 months prior to the decision." 3. Employees should not participate in decisions that may significantly affect relatives or close personal friends. Example: A planner should not review a subdivision proposal sponsored by her uncle. I. Behavior in the Workplace. Employees are responsible for conducting themselves professionally and lawfully in the workplace. Employees are expected to be aware of and conduct themselves in accordance with the following policies of the City of San Luis Obispo: 1. Anti-Discrimination and Unlawful Harassment Policy (see Exhibit C). 2. Drug Free Workplace Policy (see Exhibit D). 3. Purchasing Policy Ethics (see Exhibit E). 4. Travel Guidelines (see Exhibit F). - 7 - II. Code of Ethics J. Responsibility. Ethical behavior, consistent with the foregoing Value Statement and Code of Ethics, is the responsibility of each employee. Moreover, each employee is responsible for reporting ethical violations committed by fellow employees to a supervisor, department head, or the Human Resources Department. Any employee who violates this Code of Ethics will be subject to disciplinary action in accordance with the City Personnel Regulations. If you have any questions about the appropriateness of an action, you should consult with your supervisor, department head or the Human Resources Department or the City Attorney. - 8 - III. EXHIBITS Exhibit A Personnel Rules: Ethical Regulations, Municipal Code 2.36.380 2.36.380 Employee responsibilities benefits - Code of ethics. A. An official or employee of the city shall not engage in conduct which would tend to discredit or dishonor his/her position with the city. Such elected or appointed officials and employees must avoid conflicts of private interests with public duties and responsibilities and shall not do indirectly what may not be done directly. B. Disciplinary action generally does not follow an occasional error in judgment which occurs in good faith and is unintentional. However, misconduct, dishonesty and fraud shall be the basis for severe disciplinary action, including removal for cause. C. Officials and employees occupying designated positions are required to file an annual statement of financial interests with the city clerk as prescribed by the Conflict of Interest Code as adopted by the city. D. Each new employee must be informed of the obligation to submit a statement of financial interests if he/she falls within the listed designated position categories. E. Any employee whose job performance is adversely affected by the taking of alcohol, drugs, or other stimulants shall be subject to disciplinary action. F. Each employee is required to be familiar with city standards and statutory provisions relating to ethical and other standards of conduct. Each employee is expected to secure the advice of his/her superior or the personnel director or other appropriate officials, when in doubt about the meaning or application of any conduct requirement applying to his/her particular situation. G. The political activities of city employees shall conform to pertinent provisions of state and federal laws. (Prior code § 2708.1) - 9 - III. Exhibits Exhibit B Personnel Rules: Outside Employment, Municipal Code 2.36.390 2.36.390 Employee responsibilities and benefits - Outside employment. A. City employees filling line-item positions may engage in part-time or occasional outside employment outside of their regular working hours if such employment is approved in advance by the city administrative officer or delegated representative, or in the case of council appointees, by the council. The city administrative officer may establish a minimum time period worked on such outside employment and a minimum number of hours of outside work per week before requiring advance written approval. B. “Incompatible employment” includes, but is not limited to: 1. Work which tends to impair mental or physical capacity to perform city duties efficiently and effectively; 2. Work which takes the employee’s time and attention during his/her official working hours; 3. Activities which create a conflict of responsibility or duty between the employee’s city work responsibility and the proposed outside employment. This includes work, which would, by its nature, tend to reduce the ability of the employee to exercise completely independent and unfettered judgment with respect to effectively discharging city work responsibility; 4. Employment in another city department for full-time city employees. C. Any employee who engages in employment outside regular working hours shall be subject to perform regular city duties first. (Prior code § 2708.2) - 10 - III. Exhibits Exhibit C Anti-Discrimination and Unlawful Harassment Policy CITY OF SAN LUIS OBISPO ANTI-DISCRIMINATION AND UNLAWFUL HARASSMENT POLICY It is the policy of the City of San Luis Obispo that all employees should be able to enjoy a work environment free from all forms of discrimination, including unlawful harassment. In accordance with Federal regulations requiring employers to adopt clear policies prohibiting harassment and discrimination in employment, the City Council has adopted the policy statement set forth in full below: Policy: It is the policy of the City of San Luis Obispo that employees have a working environment free of unlawful discrimination and harassment. Discrimination against or harassment of an employee or a member of the public by an employee or contractor on the basis of race, sex, religion, national origin, ancestry, disability, medical condition, marital status, age, or sexual orientation is strictly prohibited and will not be tolerated. The work environment should be business-like and assure fair, courteous treatment for employees and the public we serve. Discrimination and harassment may violate both State and Federal law. It is employee misconduct that could decrease work productivity, undermine the integrity of employment relationships, decrease morale and cause severe emotional and physical stress. All employees will be informed of the harassment and discrimination complaint process and be assured of their right to file complaints without fear of reprisal. All employees, including supervisors and managers, shall receive training regarding behavior that constitutes prohibited workplace harassment and discrimination. Employees should also understand the importance of reporting incidents promptly to assure that further incidents do not occur. The City Council expects City department heads to convey to their employees strong disapproval of discrimination and harassment. All employees including supervisors and managers should be clearly informed regarding behavior that constitutes prohibited harassment or discrimination or creates the perception of harassment or discrimination and the consequences of such actions. The employees should be aware that behavior described in the definition of harassment and discrimination set forth below shall be grounds for disciplinary action. Employees also should be aware that ignoring harassment or discrimination complaints is also grounds for disciplinary action. Retaliation against a person for filing or otherwise making a harassment or discrimination complaint in good faith, or other good faith involvement in a harassment or discrimination investigation, is prohibited. Employees found to be retaliating against another employee shall be subject to disciplinary action. - 11 - III. Exhibits Definition: Prohibited harassment and discrimination for purposes of this policy, includes but is not limited to: ♦ Speech, such as epithets, derogatory comments or slurs, and lewd propositioning on the basis of race, sex, religion, national origin, ancestry, disability, medical condition, marital status, age, or sexual orientation. This includes, without limitation, inappropriate sex-oriented comments on appearance, including dress or physical features, and race-oriented stories or jokes. ♦ Physical acts, such as assault, impeding or blocking movement, offensive touching, or any physical interference with normal work or movement when directed at an individual on the basis of race, sex, religion, national origin, ancestry, disability, medical condition, marital status, age or sexual orientation. This includes pinching, grabbing, patting, propositioning, leering, or making explicit or implied threats or promises in return for submission to physical acts. ♦ Visual insults, such as derogatory posters, cartoons, or drawings related to race, sex, religion, national origin, ancestry, disability, medical condition, marital status, age or sexual orientation. ♦ Unwanted sexual advances, requests for sexual favors and other acts of sexual nature, where submission is made a term or condition of employment, where submission to or rejection of the conduct is used as the basis for employment decisions, or where the conduct is intended to or actually does unreasonably interfere with an individual’s work performance or create an intimidating, hostile, or offensive working environment. ♦ Adverse employment actions carried out on account of race, sex, religion, national origin, ancestry, disability, medical condition, marital status, age or sexual orientation. ♦ Adverse employment actions carried out in retaliation for good faith submission of harassment or discrimination charges, or good faith participation in an investigation made pursuant to this policy. Complaint Procedure: 1. Any employee who feels he/she has been the victim of harassment or discrimination as defined above should contact EITHER his/her supervisor, Department Head or Director of Human Resources as soon as possible as time is of the essence in investigating charges of harassment or discrimination. The initial complaint can be oral or written, but a written and signed complaint should be submitted by the complaining employee within five (5) working days of the initial complaint so an investigation can proceed promptly into the matter. The written complaint should cite the specific incident(s) as well as the desired resolution. The - 12 - III. Exhibits Director of Human Resources will advise the City Administrative Officer of the receipt of all written, harassment or discrimination complaints. 2. Upon receipt of the written complaint, the Department of Human Resources will conduct (or refer to others to conduct) an investigation of the charges, including contacting the person who allegedly engaged in the prohibited behavior, informing him/her of the basis of the complaint, and providing him/her an opportunity to respond. The Department of Human Resources may attempt an informal resolution of the complaint. The Department of Human Resources may also reject a harassment or discrimination complaint that is incomplete or which fails to contain sufficient information to state a claim of discrimination or harassment covered under this policy. 3. All City employees must cooperate fully, and be truthful and forthright when providing information in response to a City investigation under this policy. 4. The Department of Human Resources shall notify the complainant(s) and respondent(s), Department Head, the City Administrative Officer, and other appropriate persons, regarding the disposition of complaints made pursuant to this policy. 5. The City may take lawful measures to assure appropriate confidentiality during the investigation and related time periods. Remedial Action: 1. If harassment or discrimination is found to have occurred in violation of this policy, the City shall take action to ensure or confirm that the harassment or discrimination at issue is stopped. The City may take whatever measures are appropriate to ensure its workplaces remain free of unlawful discrimination or harassment. 2. Employees found to have engaged in discrimination or harassment covered by this policy may be subject to disciplinary action up to and including termination of employment. The severity of the discipline will be determined by the severity and/or frequency of the offense. 3. Employees found to have been dishonest or uncooperative during an investigation made pursuant to this policy may be subject to disciplinary action up to and including termination of employment. Appeal: 1. Disciplinary action taken under this procedure may be appealed with or without representation subject to appeal or grievance procedures indicated in the appropriate Memorandum of Agreement or Personnel Rules and Regulations. 2. If the employee who submitted the complaint is not satisfied with the disposition of the investigation, he or she may submit an appeal to the City Administrative Officer within ten - 13 - III. Exhibits (10) calendar days from receipt of the conclusion of the Director of Human Resources. The appeal shall be in writing, verified under penalty of perjury, and contain an explanation why the complainant believes the pending disposition is incorrect. Failure to appeal within the ten day period means that the earlier disposition is final. The City Administrative Officer (or his/her designee) shall respond in writing after considering the appeal. 3. Complainants may appeal the City Administrative Officer’s disposition of the investigation to the Personnel Board within ten (10) calendar days from receipt of the conclusion of the City Administrative Officer (or his/her designee). Failure to appeal within the ten day period means that the City Administrative Officer’s disposition is final. Dissemination of Policy: This policy shall be disseminated to all City employees. The City may require employees to sign an acknowledgment of the policy’s receipt, which may be maintained in the employee’s personnel files. - 14 - III. Exhibits Exhibit D Drug Free Workplace Policy CITY OF SAN LUIS OBISPO DRUG-FREE WORKPLACE POLICY PURPOSE It is the policy of the City of San Luis Obispo to maintain a safe, healthful and productive work environment for all employees. To that end, the City will act to eliminate the unlawful use of drugs and other controlled substances including, but not limited to, alcohol and prescription drugs, which could impair an employee’s ability to safely and effectively perform the functions of his/her job an/or threaten the safety of co-workers. All City employees, regardless of their employment status (i.e. regular, temporary, contract, etc.), are subject to this policy. POLICY 1. Employees are expected and required to report to work in appropriate mental and physical condition to perform their jobs. The unlawful manufacture, distribution, dispensation, possession or use of drugs or other controlled substances, including alcohol, on City premises or while conducting City business off premises is absolutely prohibited. 2. The City will establish a drug-free awareness program to inform employees about: a. The dangers of drug abuse in the workplace; b. The City’s policy of maintaining a drug-free workplace; c. Available drug counseling, rehabilitation and employee assistance programs; and d. The penalties that may be imposed on employees for drug abuse violations. 3. This policy is intended to assure that no employee with an alcohol or drug problem will have his or her job security or promotional opportunities jeopardized by a request for help. 4. Employees will, as a condition of employment, abide by the terms of this policy and notify the City, within five (5) days, of any criminal drug statute conviction which he/she receives for a violation occurring in the workplace. 5. The City shall notify any appropriate federal granting agency of any criminal convictions of an employee for illegal drug activity in the workplace within 10 days of the City’s notification of such conviction. Otherwise, the individual’s rights to confidentiality and privacy are recognized. The pertinent information and records of employees with an alcohol or drug problem will be preserved in the same manner as all other confidential records. - 15 - III. Exhibits 6. The City shall initiate action after receiving notice of conviction of an employee which may result in required participation in a treatment program and/or progressive discipline, up to and including termination. 7. The City shall make a good faith effort to continue maintaining a drug-free workplace through implementation of this policy. 8. Implementation of this policy will not require or result in any special regulations, privileges, or exemptions from the standard administrative practices applicable to job performance requirements. DRUG-FREE WORKPLACE NOTICE TO EMPLOYEES All employees are hereby notified that it is a violation of the City of San Luis Obispo's Drug-Free Workplace Policy for any employee at the workplace to unlawfully manufacture, distribute, dispense, possess or use any narcotic drug, hallucinogenic drug, amphetamine, barbiturate, marijuana or other controlled substance including, but not limited to, alcohol and prescription drugs, as defined in the Drug-Free Workplace Act of 1988. Violations of this policy by employees may result in discipline, up to and including termination. "Workplace" is defined as any place where City work is performed, including a City building or site, or any City-owned vehicle. As an employee, you will, as a condition of employment, abide by the terms of this policy and notify the City, within five (5) days, of any criminal drug statute conviction which you receive for a violation occurring in the workplace. The following are among the drug counseling, rehabilitation and/or other agency assistance programs available locally: City of San Luis Obispo Employee Assistance Program (800) 227-1060 San Luis Obispo County Drug Program (805) 781-4753 San Luis Obispo County Alcohol Services (805) 781-4275 Narcotics Anonymous (805) 549-7730 Alcoholics Anonymous (805) 541-3211 - 16 - III. Exhibits Exhibit E Excerpt from Purchasing Guidelines Section 205 ETHICAL STANDARDS OF CONDUCT OVERVIEW The purpose of this policy is to set forth the ethical standards of professional behavior expected of all officials and employees conducting purchasing activities on behalf of the City. STANDARDS OF CONDUCT Any employee or official engaging in purchasing activities on behalf of the City is required to employ the following standards of conduct: Consider, first, the interests of the City in all transactions. Carry-out the established policies of the City. Buy without prejudice, seeking to obtain the maximum value for each expenditure of public funds. Subscribe to and work for honesty and truth in buying and selling, and to denounce all forms and manifestations of commercial bribery. Cooperate with all organizations and individuals engaged in activities designed to enhance the development of purchasing practices. Respect obligations to others, and require the same respect from others for their obligations. PROHIBITED PRACTICES The following practices are specifically prohibited in performing purchasing activities on behalf of the City: Having a financial or personal beneficial interest (directly or indirectly) in any contract or purchase order for supplies, equipment, services, or projects furnished to the City. Accepting or receiving (directly or indirectly) from any person, firm, or corporation to whom any contract or purchase order may be awarded (by rebate, gift or otherwise) any money or anything of value, or any promise, obligation or contract for future reward or compensation. Inexpensive advertising items bearing the name of the firm—such as pens, pencils, paperweights or calendars—are not considered articles of value or gifts in relation to this policy. - 17 - III. Exhibits Using information available to officials and employees, solely because of their City position, for personal profit, gain, or advantage. Directly or indirectly furnishing services or information not available to all prospective bidders to any person or firm bidding on, or who may reasonably be expected to bid on, a contract with the City. Providing confidential information to persons to whom issuance of such information has not been authorized. Using a position or status in the City to solicit (directly or indirectly) business of any kind; or to purchase products at special discounts or upon special concessions for personal private use from any person or firm who sells or solicits sales to the City. Serving the interests of any organization (either as an officer, employee, member of the board of directors, or in any capacity for consideration) which transacts or attempts to transact business with the City for profit when such employee holds a City position of review or control—even though remote—over such business transactions. RESPONSIBILITY Employee. Each employee is responsible for following these practices. Violation of this policy may result in disciplinary action, termination of employment, or criminal prosecution. Department Heads. Department heads are responsible for ensuring that all employees of their department who conduct purchasing activities possess a thorough understanding of the above standards of ethical conduct and prohibited practices. - 18 - III. Exhibits Exhibit F Excerpt from Travel Guidelines Section 301 TRAVEL GUIDELINES OVERVIEW These guidelines establish the basic policies and procedures for travel on City business by all employees and officials. Everyone who travels on City business—or supervises someone who travels—is responsible for knowing and following these guidelines. These guidelines are organized into seven sections: General standards Planning an official trip Submitting travel authorizations and cash advance requests Making the trip Incurring non-travel expenses Accounting for expenses Completing travel authorizations/expense reports The key document in the administrative process is the Travel Authorization/Expense Report (TA). Besides ensuring that travel by City employees and officials is conducted in accordance with adopted policies, the TA summarizes the total cost of attending conferences, meetings, and seminars and provides documentation for cash advances and vendor payments. General instructions for completing and processing this form are also included in these guidelines. GENERAL STANDARDS These guidelines do not require you to take a bus, stay in a cheap motel, or eat only in fast food restaurants. A bus or a train may cost less than a plane, but the added time away from work can make these slower options more expensive to the City overall. The meal allowances established in these guidelines allow you to eat in moderately priced restaurants. In all areas, not just economy, you are responsible for exercising good judgment in requesting, arranging and making a trip. It should be thoroughly planned, well in advance. Personal business should not be mixed with official business if it will cost the City anything in dollars or lost time, or if it will harm the City's interests in any way. These guidelines are not intended to address every issue, exception or contingency that may arise in the course of City travel. Accordingly, the basic standard that should always prevail is to exercise good judgment in the use and stewardship of the City's resources. - 19 -