HomeMy WebLinkAboutAttachment D - Code Of EthicsCODE 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
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CODE OF ETHICS
Contents
I. INTRODUCTION..................................................................................................................1
II. CODE OF ETHICS...............................................................................................................1
III. EXHIBITS.............................................................................................................................9
ExhibitA...............................................................................................................................9
Personnel Rules: Ethical Regulations, Municipal Code 2.36.380......................................9
ExhibitB.............................................................................................................................10
Personnel Rules: Outside Employment, Municipal Code 2.36.390.................................10
ExhibitC...........................................................................................................................111
Anti -Discrimination and Unlawful Harassment Policy......................................................11
ExhibitD.............................................................................................................................17
Drug -free Workplace Policy............................................................................................17
Drug -free Workplace Notice to Employees.....................................................................18
ExhibitE.............................................................................................................................17
Ethical Standards Of Conduct........................................................................................19
Overview........................................................................................................................19
StandardsOf Conduct....................................................................................................19
ProhibitedPractices........................................................................................................19
Responsibility.................................................................................................................20
ExhibitF.............................................................................................................................21
TravelGuidelines...........................................................................................................21
Overview........................................................................................................................21
GeneralStandards.........................................................................................................21
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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.
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
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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.
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.
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II. Code of Ethics
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.
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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.
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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. I 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.
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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
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II. Code of Ethics
position to influence a governmental decision in which he
knows or has reason to know he has a financial interest."
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).
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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.
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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)
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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)
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III. Exhibits
Exhibit C
Anti -Discrimination and Unlawful Harassment Policy
CITY OF SAN LUIS OBISPO
ANTI -DISCRIMINATION AND UNLAWFUL HARASSMENT POLICY
All covered individuals are encouraged to report any conduct that is believed to violate
this policy as soon as possible. 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, job applicant, contractor, advisory body member, elected
or appointed official or a member of the public by an employee, job applicant,
contractor, advisory body member, elected or appointed official or member of the public
on the basis of race, religion, sex (including gender, gender identity, gender expression,
transgender, pregnancy and breastfeeding), national origin, ancestry, disability, medical
condition, genetic characteristics or information, marital status, age (40 years and
older), or sexual orientation (including homosexuality, bisexuality, or heterosexuality),
military or veteran status, denial of family and medical care leave or any other protected
category as defined below, 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, but conduct need not arise to the level of violation of law to
violate this Policy. This type of employee misconduct 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 are
strongly encouraged to attend, and supervisors shall attend training every two years
regarding behavior that constitutes prohibited workplace harassment and discrimination.
In addition, employees appointed as a new hire or promoted from a non -supervisory
position to a supervisory position will be trained within 6 months of the appointment- or
promotion. Employees should also understand the importance of reporting incidents
promptly to assure that further incidents do not occur.
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M. Exhibits
Department Heads will 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, including 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.
Definition:
A. Protected Category: includes race, religion, color, sex (including gender, gender
identity, gender expression, transgender, pregnancy and breastfeeding), sexual
orientation (including heterosexuality, homosexuality, and bisexuality), national
origin, ancestry, citizenship status, marital status, pregnancy, age (40 years and
older), medical condition, genetic characteristics or information, physical or
mental disability, military or veteran status, or denial of family and medical care
leave.
B. Covered Individuals: This Policy prohibits the employer, employees, job
applicants, contractors, advisory body members, elected or appointed officials or
members of the public from harassing or discriminating against employees, job
applicants, contractors, advisory body members, elected or appointed officials or
members of the public because of: 1) an individual's protected category or
characteristic; 2) the perception that an individual is a member of a protected
category or has a protected characteristic; or 3) the individual associates with a
person who has or is perceived to have a protected category.
c. Discrimination: Treating covered individuals differently because of the
individual's protected category as defined in this Policy.
D. Harassment may include, but is not limited to, the following types of behavior that
is taken because of a person's protected category. Note that harassment is not
limited to conduct that employees take. Under certain circumstances,
harassment can also include conduct taken by those who are not employees,
such as persons providing services under contracts or even members of the
public:
♦ Speech, such as epithets, derogatory comments or slurs, and propositioning
on the basis of a protected category. This includes, without limitation,
inappropriate comments on appearance, including dress or physical features,
or dress consistent with gender identification 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 a protected category. This includes
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M. Exhibits
pinching, grabbing, patting, propositioning, leering, or making explicit or
implied threats or promises in return for submission to physical acts.
♦ Visual acts, such as derogatory posters, cartoons, drawings, pictures,
emails, text messages, or other electronic means of communication related
to a protected category.
♦ Unwanted sexual advances, requests for sexual favors and other acts of a
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 a protected
category.
♦ 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.
E. Retaliation: Any adverse conduct taken because an employee, job applicant,
contractor, advisory body member, elected or appointed official or member of the
public has reported harassment or discrimination, or has participated in the
complaint and investigation process described herein, is prohibited. "Adverse
conduct" includes but is not limited to: taking sides because an individual has
reported harassment or discrimination, spreading rumors about a complainant or
investigation participant, shunning and avoiding an individual who reports
harassment or discrimination, or real or implied threats of intimidation to prevent an
individual from reporting harassment or discrimination. The following individuals
are protected from retaliation: those who make good faith reports of harassment or
discrimination or who participates in the complaint or investigation process, and
those who associate with an individual who is involved in reporting harassment or
discrimination or who participates in the complaint or investigation process.
Complaint Procedure:
A. Any employee, job applicant, contractor, advisory body member, elected or
appointed official, or member of the public who feels he/she has been the victim
of harassment or discrimination as defined above should contact, either verbally
or in writing, any of the following. (There is no need to follow the chain of
command):
1. Immediate supervisor;
2. Any supervisor or manager within or outside of the department;
3. Department Head; or
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III. Exhibits
4. Director of Human Resources.
The initial complaint can be verbal 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 begin promptly. The written complaint
should include as much detail a possible, such as names of those involved,
witnesses, nature of the problem as well as the desired resolution.
The City discourages anonymous complaints, because anonymity may
compromise the City's ability to conduct a thorough investigation. However, any
covered individual who is uncomfortable disclosing his or her identity may file a
complaint anonymously.
B. Any supervisor or department head who receives a complaint should notify the
Director of Human Resources immediately, unless the Director is the subject of
the complaint in which case the department head should notify the City Manager
or City Attorney immediately. The Director of Human Resources will advise the
City Manager of the receipt of all harassment or discrimination complaints.
C. Upon receipt of the written complaint, the Department of Human Resources, or
other authority receiving notice, 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. If the
complaint is incomplete or contains insufficient information to conduct an
investigation, the Department of Human Resources will ask for more information
from the claimant, or find that the claim is unfounded.
D. All City employees must cooperate fully, and be truthful and forthright when
providing information in response to a City investigation under this policy.
E. The Department of Human Resources, , or other authority receiving notice, shall
notify the complainant(s) and respondent(s), Department Head, the City
Manager, and other appropriate persons, regarding the disposition of complaints
made pursuant to this policy. If discipline is imposed, the level of discipline will
not be communicated to the complainant.
F. Every possible effort will be made to assure the confidentiality of complaints
made under this Policy. Complete confidentiality cannot occur, however, due to
the need to fully investigate and the duty to take effective remedial action. As a
result, confidentiality will be maintained to the extent possible. An individual who
is interviewed during the course of an investigation is prohibited from discussing
the substance of the interview, except as otherwise directed by a supervisor or
the Human Resources Director. Any individual who discusses the content of an
investigatory interview will be subject to discipline or other appropriate sanction.
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III. Exhibits
The employer will not disclose a completed investigation report except as it
deems necessary to support a disciplinary action, to take remedial action, to
defend itself in adversarial proceedings, or to comply with the law or court order.
G. Regardless of whether a formal complaint is submitted, the City will take a
proactive approach to potential Policy violations and will conduct an investigation
if its officers, supervisors, or managers become aware that harassment,
discrimination, or retaliation may be occurring.
H. Option to Report to Outside Administrative Agencies: An individual has the
option to report harassment, discrimination, or retaliation to the U.S. Equal
Employment Opportunity Commission (EEOC) or the California Department of
Fair Employment and Housing (DFEH). These administrative agencies offer
legal remedies and a complaint process. The nearest offices are listed in the
government section of the telephone book or employees can check the posters
that are located on City bulletin boards for office locations and telephone
numbers.
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 Manager within
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III. Exhibits
ten (10) calendar days from receipt of the conclusion of the Director of Human
Resources, , or other authority. 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 Manager (or his/her designee)
shall respond in writing after considering the appeal.
3. Complainants may appeal the City Manager's disposition of the investigation to
the Personnel Board within ten (10) calendar days from receipt of the conclusion
of the City Manager (or his/her designee). Failure to appeal within the ten day
period means that the City Manager'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 file.
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III. Exhibits
Exhibit D
Drug Free Workplace Policy
CITY OF SAN LUIS OBISPO
DRUG -FREE WORKPLACE POLICY
PI IRPn.qF
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.
P()I Vly
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.
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III. Exhibits
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.
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
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M. 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.
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III. Exhibits
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 uch as pens, pencils, paperweights or calendars —are not
considered articles of value or gifts in relation to this policy.
• 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.
1N*11a*]ki6'il-3f41WA
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.
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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.
GENERALSTANDARDS
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.
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III. Exhibits
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.
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