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HomeMy WebLinkAbout2008-05-13 - AGENDA REPORTS - CODE ETHICS CONDUCT (2)Agenda Item: 7q CITY OF SANTA CLARITA AGENDA REPORT NEW BUSINESS City Manager Approval: Item to be presented by: DATE: May 13, 2008 SUBJECT: CODE OF ETHICS AND CONDUCT DEPARTMENT: City Manager's Office RECOMMENDED ACTION City Council receive report and proposed Code of Ethics and Conduct Policy, and adopt resolution to implement the Santa Clarita Code of Ethics and Conduct. BACKGROUND During the August 28, 2007, City Council meeting, Council Members directed staff and the City Attorney's Office to gather information of existing state and federal laws that govern the City of Santa Clarita. In addition, Council asked staff to consolidate into one document the myriad of existing City policies that govern the ethical behavior and actions of the City Council and staff. In summary, an ethics code is a framework, or guide, that elected and appointed officials use to conduct their day-to-day actions and decision making. The code's purpose is to encourage high standards of behavior by public elected and appointed officials to assist with decision-making and to increase public confidence in the institutions and officials that serve them. Generally, agencies develop one of two types of ethics codes: values based or rules based. A values based code is framed on the attributes that have been identified by public officials that reflect the core values of the community. For example, those values might include honesty and civility. However, a rules based code emphasizes formal laws with specified statutory penalties, such as laws against bribery. Staff researched existing ethics codes for a number of cities. Staff also reviewed examples of ethical codes that were provided by members of the community. A majority of the cities surveyed have values based codes, which are very similar to the existing City of Santa Clarita Philosophy and personnel policies. Some cities do implement rules based ethics codes, but those typically consist of restatements -of the state and federal laws which are Adopted _tea a already in place. Staff has developed a proposed Code of Ethics and Conduct that reflects what the Council has previously indicated to be the community's expectations for the City's elected and appointed officials. The proposed code seeks to capture, in one document, the City's existing ethics standards and philosophies, which exist in a variety of locations and documents throughout the organization. This Code expresses the standards for the highest integrity and ethical conduct, for City officials and employees and is intended to serve as a tool to promote and foster the highest degree of public trust. The Code includes many of the City's existing beliefs and policies, as well as state and federal regulations. Staff has identified the following key points as it developed the proposed Code: • The purpose of Code is to serve as a proactive statement of the community's values, as well as all state and federal laws. • The Code expresses standards for the highest integrity. It also includes statements that interpret the state and federal laws that govern our organization and its officials. • All stakeholders are encouraged to not only understand and affirm the values, but to continue to uphold them as they conduct their duties as public officials. ALTERNATIVE ACTIONS 1. Suggest changes to attached City of Santa Clarita Code of Ethics and Conduct. 2. Other action as determined by Council. FISCAL IMPACT Approval of the recommended action requires no additional resources beyond those already contained within the City's adopted 2007/08 budget. ATTACHMENTS 1. Memorandum from the City Attorney's Office detailing the multitude of state and federal laws that govern local officials and the agency responsible for compliance. In addition, the memo includes existing internal policies that govern City officials and employees 2. Resolution 3. Proposed City of Santa Clarita Code of Ethics and Conduct Imilialkin ,AMS & SORFNSFN. UP MEMORANDUM TO: Mayor and City Council FROM: Carl K. Newton, City Attorney CC: Ken Pulskamp, City Manager Ken Striplin, Asst. City Manager Michael Murphy, Intergovernmental Relations Officer Farah Awan, Administrative Analyst FILE NO.: 02012-0808 DATE: May 5, 2008 RE: Ethics Laws and Policies Applicable to City of Santa Clarita Officials and Employees I. INTRODUCTION The elected and appointed officials and employees of the City of Santa Clarita (hereinafter, "City") are governed by a complex set of federal, state, and local ethics statutes, regulations, case law, and other governing laws. These persons are also guided by principles and guidelines established by the City and various organizations. This memorandum shall serve as an overview of this complex set of ethics laws, regulations and guidelines. This memorandum is not intended to be exhaustive, but to serve as a list of some of those provisions governing ethics for City personnel. II. ETHICS DUTIES IMPOSED ON CITY OFFICIALS AND STAFF A variety of applicable laws, regulations and policies apply to City officials and staff. These laws include prohibitions on financial conflicts of interest, financial disclosure regulations, campaign finance contribution limitations and reporting requirements, and City personnel guidelines and philosophies. Additionally, certain City professionals are guided by particular ethical rules imposed by their professions or professional organizations. These rules may be broken down into eight general categories. First, City elected officials and staff may not have personal financial gain as a result of their service to or employment with the City. This concept is shown in several different laws, LA #4811-2635-2898 v1 LA #4836-3933-1074 v1 Mayor and City Council May 5, 2008 Page 2 including the financial disclosure regulations, the Political Reform Act, Government Code § 1090's prohibition on interest in agency contracts, and restrictions on contact with prospective and new employers. Second, there are limitations on personal financial advantages and benefits, including restrictions on loans, gifts, travel expenses, speaking fees, use of public resources for personal purposes and expense reimbursement. Third, rules require transparency with the officials and staff members' dealings, including compliance with the Brown Act and Public Records Act. Fourth, principles of fairness require that the officials and staff members practice unbiased decision-making and do not provide unwarranted benefits to friends and family. These fairness principles also impose restrictions on holding multiple public offices, can disqualify decision makers based on campaign contributions, and impose reporting requirements on charitable fundraising. Fifth, various City personnel policies provide ethical rules as well. Sixth, the City's "Philosophy" provides ethical guidelines to City officials and employees. Finally, various municipal employee organizations, to which City employees may belong, also have ethics guidelines. A. Regulations Regarding Personal Financial Gain Several fields of regulation cover the issue of an elected official or staffer's personal financial gain from their position. They are found in different bodies of law and govern a range of behavior. These fields are explained below. Financial Disclosure Rules Particular persons must disclose personal financial' information. See Cal. Gov. Code §§ 87200 et seq. Nearly every elected official and department head, along with other staffers must disclose personal financial information. That information is disclosed on Statements of Economic Interest, also known as Form 700s. The filing official must file this report within a short time after assuming office or their reporting position, on an annual basis thereafter, and shortly after leaving office or their reporting position. State law requires particular City officials to file Statements of Economic Interest, including City Council Members, City Attorneys, City Managers and Planning Commissioners. Gov. Code § 87200; 2 Code of Cal. Regs. §.18701(a). Furthermore, each California city is required to enact a Conflict of Interest Code. That Code specifies additional persons that must disclose particular economic interests. If the filer meets minimum thresholds of sources of income, interest in real property, investments, business positions, and gifts, the filer must disclose that information on the Statement of Economic Interest. Gov. Code §§ 87200-87210; 2 Cal. Code of Regs. §§ 18723 — 18740. Violations of these laws may be enforced by the Fair Political Practices Commission, as well as local and state law enforcement agencies. These agencies LA #4811-2635-2898 v1 LA #4836-3933-1074 v1 Mayor and City Council May 5, 2008 Page 3 may act in response to complaints filed or based on independent information or investigations. 2. Disqualification Based on Economic Interests Under the Political Reform Act As a general rule, public officials may not participate in governmental decisions that affect their financial interests. Public officials must recognize these financial interests and then take particular actions to ensure they are not influencing or participating in a governmental decision based on these interests. These disqualification rules are set forth in the Political Reform ,Act, The general rule of the Political Reform Act provides that a public official may not make, participate in, or influence a governmental decision that will have a foreseeable and material financial effect on the official, the official's immediate family, or any of the official's economic interests . Gov. Code §§ 87100 et seq. Covered officials must follow a complex eight -step test in order to determine if he or she has a disqualifying financial interest. These steps are complicated, and often fact -based. The steps include: a. Is the official a public official within the meaning of the rules? b. Is the official making, participating in making, or influencing a governmental decision? C. Does the official have an economic interest in the decision? d. Is the official's economic interest directly or indirectly involved in the decision? e. Are the financial impacts on the official's economic interests considered important (material) enough to trigger a conflict of interest? Is it reasonably foreseeable (substantially likely) the governmental decision will result in one or more of the materiality standards being met for one or more of the official's economic interests? g. Is the decision's effect on the official's economic interest different from the effect on the public generally? LA #4811-2635-2898 v1 LA #4836-3933-1074 v1 Mayor and City Council May 5, 2008 Page 4 h. Even if you have a disqualifying conflict of interest, is the official's participation legally required? Gov. Code §§ 87100 et seq. Determining whether an official has an economic interest, step three of the decision making process, can be very complicated. There are several types of economic interests that trigger this analysis. These issues include receiving $500 or more in income within twelve months prior to the decision (Gov. Code §§ 82030, 87103(c); 2 Code of Cal. Regs. § 18703.3), when the City's decision would affect the official personally by causing any expense, income, assets, or liabilities to change in a twelve month period (2 Code of Cal. Regs. § 18703.5), investing $2000 or more in real property affected by a governmental decision (Gov. Code §§ 82033, 87103(b)), the official or certain members of the officials' family investing $2000 or more in a business entity (Gov. Code §§ 82034, 87103(a); 2 Code of Cal. Regs. § 18703.1(a)), serving as a director, officer or partner, trustee, employee or other manager of a company (Gov. Code § 87103(d); 2 Code of Cal. Regs. §§ 18703.1(b)), having an economic interest in a business that is the parent, subsidiary, or otherwise related to a business where the official has a direct or indirect investment worth $2000 or more, or is a director, officer, partner, trustee, employee, or manager (2 Code of Cal. Regs § 18703.1(c)), a direct or indirect ownership in a business entity or trust that owns real property (Gov. Code § 82033), or receiving a loan, unless the loan is from a commercial institution issued on the same terms as available to anyone in the public (Gov. Code § 82030(b)(8)), and gifts totaling $390 or more in a twelve month period before the governmental decision from any one person or organization, or a promise of a gift of $390 or more within the twelve month period before the decision (Gov. Code §§ 82028, 87103(e); also note that the gift amount is adjusted every two years). If an official does have a disqualifying interest, the official must take particular steps to disqualify him- or herself. Gov. Code § 87105. If an item on a public meeting agenda presents a conflict under these rules, the official must publicly identify the financial interest or potential conflict of interest and cannot attempt to influence the decision in any way. The official cannot discuss or vote on the item and must leave the room until after the discussion, vote, and any other disposition on the matter is handled, unless the item is on the consent calendar. In certain cases when the official holds a "personal interest" in the financial interest, the official may participate in the meeting as a member of the public. 2 Code of Cal. Regs. § 18702.4(b)(1). Violations of these laws may be enforced by the Fair Political Practices Commission, as well as local and state law enforcement agencies. These agencies may act in response to complaints filed or based on independent information or investigations. LA #4811-2635-2898 v1 LA #4836-3933-1074 v1 Mayor and City Council May 5, 2008 Page 5 3. Government Code §1090 Government Code section 1090 prohibits public officials from having economic interests in contracts with their agencies. Essentially, this means that a covered official cannot have a financial interest in a contract made by either the Council (if the official is a Councilmember) or the board of which the official is a member. The law defines a "contract" very broadly. "Making" a contract includes preliminary discussions, negotiations, planning and solicitation of bids. It also includes voting on the actual contract. Importantly, if there is a Government Code section 1090 conflict, the agency cannot enter into the contract at all. The official -cannot merely disqualify him or herself, and the rest of the board enter into the contract, as can be done with Political Reform Act financial interest conflicts, discussed above. Finally, it is important to note that the official has a "financial interest" under Government Code section 1090 if the official's financial interests are positively or negatively affected; the official could lose money on the contract, but the contract would still be void under the law. The penalties for a violation of Government Code section 1090 are particularly severe. First, willful violations of the law are a felony, and may be punished by fines, imprisonment, and disqualification of holding public office in the future. Gov. Code § 1097. Moreover, the contract is voided, and the agency need not pay for goods or services rendered under the contract, and can recoup money already paid on the contract. Thompson v. Call (1985) 38 Cal.3d 633; Gov. Code § 1092. Some exceptions apply to Government Code section 1090, including the non- interest exception and remote interest exception. Gov. Code §§ 1091.5, 1091(a). These exceptions apply only for particular interests, so the official should check with the City Attorney to determine if their interest meets an exception. Finally, a "rule of necessity" applies in some case to allow the agency to provide a necessary supply or service, or to permit the official to execute the duties of his or her office when he or she is the only person who can legally act. 70 Cal.Op. Att'y Gen. 45 (1987). Violations of these laws may be enforced by local and state law enforcement agencies. These agencies may act in response to complaints filed or based on independent information or investigations. 4. Prohibition on Ownership of Property in Redevelopment Areas Redevelopment Agency officials also have particular rules regarding property they own in redevelopment areas. In particular, if the official has an interest in property included within the project area, the official must immediately disclose that interest in writing to the agency and legislative body, and that disclosure must be recorded in the minutes of the agency and body. Cal. Health & Safety Code § 33130(a). Furthermore, LA #4811-2635-2898 v1 LA #4836-3933-1074 v1 Mayor and City Council May 5, 2008 Page 6 if the official is participating in policy-making for the redevelopment agency, the person may not acquire property in the redevelopment project area. H. & S. Code § 33130(a). Particular exceptions apply that permit some property acquisitions in connection with existing business activities, rental agreements for business property, and post improvement acquisition of residential property. H. & S. Code §§ 33130, 33130.5. Violation of these rules is misconduct in office. H. & S. Code § 33130(a). Violations of these laws may be enforced by local and state law enforcement agencies. These agencies may act in response to complaints filed or based on independent information or investigations. 5. Restrictions on Prospective and New Employment Restrictions apply on public officials' actions regarding prospective employment and new employment. The official cannot influence agency decisions when his or her prospective employer's interests are at stake. Gov. Code § 87407. Violations of these provisions can include both civil and criminal punishments, including fines, jail time, and loss of office. Violations of these laws may be enforced by the Fair Political Practices Commission, as well as local and state law enforcement agencies. These agencies may act in response to complaints filed or based on independent information or investigations. 6. Restriction on Special Favors or Money for Official Actions Public officials cannot use their public office for financial gain. This can include bribery and extortion. State and federal definitions of bribery are extremely broad, and include conferring a benefit on a public official to influence the person's vote, opinion, or action. Cal. Penal Code § 68(a). A bribe can include anything of value, including "advantage", which need not involve money. Pen. Code § 68(a), People v. Anderson (1925) 75 Cal.App. 365. Asking for a bribe, receiving one, or even agreeing to receive one are all illegal. Pen. Code § 68(a). Extortion includes obtaining property for another by the wrongful use of a public position; an official cannot demand money for performance of his or her official duties. In re Shepard (1911) 161 Cal. 171. Severe penalties apply for bribery and extortion, and include state and federal prison time, fines, loss of current public office and disqualification from holding future public office. Pen. Code §§ 68(a), 521; 18 U.S.C. 666. Violations of these laws may be enforced by local, state, and federal law enforcement agencies. These agencies may act in response to complaints filed or based on independent information or investigations. LA #4811-2635-2898 v1 LA #4836-3933-1074 v1 Mayor and City Council May 5, 2008 Page 7 B. Regulations Regarding Personal Advantages and Perquisites Moreover, state law restricts many possible personal advantages or perquisites of office that a City elected official or staffer might receive. Loans Public officials cannot receive loans from people within the agency or from those with whom the agency contracts. Loans from other parties must meet particular other requirements. Gov. Code § 87460(a)(b). Personal loans from others must be in writing, state the date, amounts, and interest payable. Gov. Code § 87461. There are criminal, civil, and administrative sanctions for violation of these laws. Violations of these laws may be enforced by the Fair Political Practices Commission, as well as by local and state law enforcement agencies. These agencie's may act in response to complaints filed or based on independent information or investigations. 2. Gifts Generally, public officials must disclose all gifts they receive of $50 or more from a single source on their Statement of Economic Interests. Furthermore, they may not receive gifts of more than $390 per year from a single source. Gov. Code § 89503. This limitation is changed every two years; $390 is the limit as of the 2008 drafting of this memorandum. Gov. Code § 89503(f). A gift includes any payment or other benefit received by a public official unless the official receives something of equal or greater value in return. Gov. Code § 82028(a). Gifts include discounts unless that discount is made in the regular course of business to- members of the public without regard to an individual's public official status. Gov. Code § 82028(a). Various exceptions apply to the gift limit, including gifts from some family members, gifts of food, drink and occasional lodging in a person's home, and gifts exchanged on holidays. Gov. Code § 82028(b)(3), 2 Cal. Code of Regs. § 18942. Officials may return unwanted gifts, deliver the gifts to charitable organizations (without taking a charitable tax deduction), or reimburse the giver the value of the gift with 30 days of receipt of the gift. Gov. Code § 82028(b)(2); 2 Code Cal. Regs. § 18943. If the recipient takes one of these steps, the official need not report the gift and is not bound by the annual gift limit. Gov. Code § 82028(b)(2); 2 Code Cal. Regs. § 18943 There are criminal, civil, and administrative sanctions for violation of these laws. Violations of these laws may be enforced by the Fair Political Practices Commission, as LA #4811-2635-2898 v1 LA #4836-3933-1074 v1 Mayor and City Council May 5, 2008 Page 8 well as by local and state law enforcement agencies. These agencies may act in response to complaints filed or based on independent information or investigations. 3. Travel Expenses Public officials may only accept free trips and travel expenses in particular circumstances. Generally, if the travel is provided by an entity other than a transportation company, the travel is treated as other financial interests reported on the Statement of Economic Interest. There are exceptions, however, for various types of travel, including travel expenses paid by the public agency for public service, some travel to give a speech, other nominal benefits for giving a speech, other government - related trips, and bona fide business trips. They may not accept free transportation passes from transportation companies. Cal. Const. art. XII § 7. It should be noted that this applies to City elected and appointed officers, but not to employees. 3 Cal.Op.Att'y Gen 318 (1944). Violations of these laws may be enforced by the Fair Political Practices Commission, as well as by local and state law enforcement agencies. These agencies may act in response to complaints filed or based on independent information or investigations. 4. Speaking Fees The officials cannot be paid for•speaking, writing an article, or attending a conference. Gov. Code § 89501. Officials who file Statements of Economic Interest may not receive these payments; the City's Conflict of Interest Code also specifies other persons who may not receive the payments. Gov. Code § 89502. Various exceptions apply, which include receipt of payments voluntarily made to charitable and similar organizations (2 Code of Cal. Regs. § 18932.5) and payments to an agency's general fund (Gov. Code § 89501(b)(2)). An official may return an honorarium within 30 days of receipt. Gov. Code § 89501(b)(2). Criminal and civil sanctions may be imposed for violation of these laws. Violations of these laws may be enforced by the Fair Political Practices Commission, as well as by local and state law enforcement agencies. These agencies may act in response to complaints filed or based on independent information or investigations. 5. Use of Public Resources for Personal Purposes Public officials are prohibited from using public resources for their personal purposes. Those resources can include money, travel expenses, staff time, and agency equipment. Pen Code § 424, Gov. Code § 8314. Some narrow exceptions apply for minimal use of resources. Gov. Code § 8314(b)(1). Public officials cannot send mass mailings with public funds. Gov. Code § 89001. A mass mailing is 200 or more LA #4811-2635-2898 0 LA #4836-3933-1074 v1 Mayor and City Council May 5, 2008 Page 9 identical pieces sent out within one month with names or pictures of elected officials, except as part of a standard letterhead. 2 Code of Cal. Regs. § 18901. Finally, public officials cannot request agency employee support for their political causes, including their campaigns. Gov. Code § 3204. Criminal and civil sanctions can be imposed for violation of these laws, including a conviction for embezzlement. Violations of these laws may be enforced by the Fair Political Practices Commission, as well as by local and state law enforcement agencies. These agencies may act in response to complaints filed or based on independent information or investigations. 6. Expense Reimbursement Issues Laws limit public official compensation; public officials may only collect the compensation the law permits. See Gov. Code § 36516. Generally, City council members can receive reimbursement for expenses that are actual and necessary and incurred during the performance of the member's official duties. Gov. Code § 36514.5. Public employees must observe similar regulations. Violations of these laws may be enforced by the Fair Political Practices Commission, as well as by local and state law enforcement agencies. These agencies may act in response to complaints filed or based on independent information or investigations. C. Regulations Regarding Governmental Transparency Similarly, there are many regulations that require governmental transparency. Brown Act California's Brown Act requires that local governments make their decisions in the open. Under this law, city decision-making bodies must conduct their business in open and public meetings and must give notice ahead of time of what will be discussed in these meetings. Gov. Code § 54950 et seq. This is a complex area of law that will only be briefly described in this memorandum. Briefly, the Brown Act requires that governmental decisions be made in public. The Act requires that "meetings" occur in public and with notice. A meeting includes any situation where business is transacted or discussed by a majority of the governing body. Gov. Code § 54952.2. The Brown Act binds many boards and commissions beyond merely the City Council and Planning Commission. Gov. Code § 54952(b). Officials can unintentionally violate the Brown Act via serial meetings, where one official consults with another outside of a public meeting, and one of those persons then consults with enough other members to cause a majority to have reached a collective concurrence on that issue. Gov. Code § 54952(b). This LA #4811-2635-2898 v1 LA #4836-3933-1074 v1 Mayor and City Council May 5, 2008 Page 10 could also occur via communication with a third party, who acts as a "hub" in a "hub and spoke" serial meeting context. Gov. Code § 54952(b). Electronic mail is particularly conducive to this type of violation of the Brown Act. Public officials generally may only discuss and act on items in the posted agenda at meetings. However, the officials may respond to questions or statements during public comments that are not related to agenda items, and may request that staff place the matter on the agenda for a future meeting. Gov. Code § 54954.2. The agency may also engage in closed sessions for particular specified topics, such as pending litigation, Gov. Code § 54956.9. Furthermore, the public has a right to address the body at an open meeting. Before the agenda, the public agency must properly post the agenda, which will inform the public of the time and issues to be heard at each meeting. Gov. Code § 54954.2. Members of the public may record the meeting so long as it is not made in a way to disrupt the meeting. Gov. Code § 54953.5. Members of the public cannot be required to sign in. Gov. Code § 54953.3. The public has a right to be heard on any item of interest to the public within the body's jurisdiction, though the agencies may impose reasonable time limits on comment. Gov. Code § 54943.3. It should also be noted that not all gatherings of the governing body without an agenda and public notice are a violation of the Brown Act. A majority of the body may attend a meeting not organized by the local agency or the same educational conference. Gov. Code § 54952.2. Attending a social or ceremonial event is also not a violation of the act. Gov. Code § 54952.2. The members should be sure to not discuss matters within the body's subject matter jurisdiction unless it is done at an open and noticed meeting. Violation of the Brown Act can result in nullification of decisions, an award of attorneys fees to those who challenge an act taken in violation of the act, and criminal and other sanctions. Violations of these laws may be enforced by local and state law enforcement agencies. These agencies may act in response to complaints filed or based on independent information or investigations. 2. Public Records Act California's Public Records Act provides that the public has the right to review materials that are created as part of the conduct of the people's business. Gov. Code §§ 6250 et seq. These materials can be quite extensive; they include any writing that the public agency prepares, owns, uses, or retains, and includes documents, computer data, emails, facsimiles, and photographs. Gov. Code § 6252. Generally, a document LA #4811-2635-2898 v1 LA #4836-3933-1074 v1 Mayor and City Council May 5, 2008 Page 11 is presumed to be public unless a specified exception applies. State ex rel. Division of Industrial Safety v. Superior Court (1974) 43 Cal.App.3d 778; Cook v. Craig (1976) 55 Cal.App.3d 773. Persons can sue the agency for violation of the Public Records Act, and can be awarded costs and attorneys fees if they prevail. Gov. Code § 6259. Violations of these laws may be enforced by local and state law enforcement agencies. These agencies may act in response to complaints filed or based on independent information or investigations. D. Regulations Regarding Fairness A web of regulations also applies regarding the publics right to fair decision makers. 1. Public's Right to Fair and Unbiased Decision -Making - Elected officials have the legal duty to use their powers for the public good, not for their own personal interest. Nussbaum v. Weeks (1989) 214 Cal.App.3d 1589, 1597-98. Sometimes, the decision makers are acting in a "quasi-judicial" capacity, such as at a public hearing on an annexation protest. The decision makers cannot have personal bias when making these decisions. Breakzone Billiards v. City of Torrance (2000) 81 Cal.App.4th 1205, 1234 n. 23. Such bias can include a personal interest in the outcome, a strong personal bias in favor of a participant or against the participant, or a bias about the facts in the matter. Clark v. City of Hermosa Beach (1996) 48 Cal.App.4th 1152, Nightlife Partners, Ltd. v. City of Beverly Hills (2003) 108 Cal.App.4th 81, 89. The officials may retain personal opinions and feelings about matters; but they may not pre -judge issues that come before them in their quasi-judicial capacity. If a decision is proven to be made with bias, it will be set aside and the decision will be made again without that biased official. Code of Civil Procedure § 1094.5, Clark, supra, 48 Cal.App.4th 1152. An official who engages in such bias may have acted with official misconduct and may lose his or her office; the affected individual may sue for damages, costs, and attorneys fees. Nussbaum, supra, 214 Cal.App.3d at pp. 1597 — 98, 42 U.S.C. §§ 1983, 1988. Violations of these laws may be enforced by local, state, and federal law enforcement agencies. 2. , Benefits to Official or Staffer's Family Officials and staffers and their families also may not receive individual benefits particularly because of the person's service. Generally, under the Political Reform Act's conflict of interest rules, public officials cannot participate in decisions that will increase or decrease the finances of the officials or their immediate families. See Gov. Code § LA #4811-2635-2898 v1 LA #4836-3933-1074 v1 Mayor and City Council May 5, 2008 Page 12 87100 et seq. Violations of these laws may be enforced by the Fair Political Practices Commission, as well local and state law enforcement agencies. 3. Holding Multiple Public Offices Laws also regulate how many public offices a person can hold if the duties or territories of these offices overlap. The law of incompatible offices means in some situations, a public official may not hold multiple offices when such duties or territory overlap. Gov. Code § 1126. The test provides that the offices are incompatible if there exists "any significant clash of duties or loyalties between the offices, if the dual office holding would be improper for reasons of public policy, or if either officer exercises a supervisory, auditory, or removal power over the other. 71 Cal.Op.Att'y Gen (1988). If the offices are found to be incompatible, the officer must vacate the first office taken. Gov. Code § 1126, People ex rel. Chapman v. Rapsey (1940) 16 Cal.2d 636. Violations of these laws may be enforced by local and state law enforcement agencies. 4. Disqualification From Making Decisions Based on Campaign Contributions In very limited circumstances, some local officials must disqualify themselves from particular agency proceedings because they have received particular campaign contributions. This disqualification only occurs when the official is sitting member of a board different than the position to which the official was elected. That means that this disqualification would not occur when a City Councilmember is sitting as a member of the City Council. It could occur when a Councilmember was sitting on a board to which he or she was not directly elected, such as serving as the City of Santa Clarita representative on a regional governmental agency board. Furthermore, the restriction only applies when the official is hearing a proceeding involving a license, permit, or some other entitlement for use if that official has received a campaign contribution of more than $250 during the previous twelve months from any participant. Gov. Code §§ 82015, 84308, 2 Code of Cal. Regs. §§ 18215, 18431, 18438.1 et seq. Officials also may not receive, solicit, or direct a contribution of this amount from any party in a license, permit, or entitlement proceeding while that proceeding is pending and for three months after the contribution. Gov. Code § 84308(b). Violating this law can bring criminal, civil, and administrative penalties and may be enforced by local and state law enforcement agencies. 5. Charitable Fundraisinq Public officials may raise money for charities, but there are additional reporting requirements for elected officials who raise $5,000 or more from a single source for a LA #4811-2635-2898 v1 LA #4836-3933-1074 v1 Mayor and City Council May 5, 2008 Page 13 legislative, government, or charitable cause during a year. The officials must file a report with that agency listing contributor information, amounts of contributions, and a description of the purpose or event for which the contribution was used. Gov. Code § 82015(b)(B)(iii). Civil, criminal or administrative penalties may be invoked for violation of the law. Violations of these laws may be enforced by local and state law enforcement agencies. E. City Personnel Policies with Ethics Components The City has also implemented several personnel policies with ethical' requirements, as well personnel rules which also include ethical requirements. These policies and rules are attached as appendices hereto and incorporated by reference herein. The City's Computer Software personnel policy is attached hereto as Appendix B. The City's Drug -Free Workplace and Commercial Driver's License Drug and Alcohol Testing personnel policy is attached hereto as Appendix C. The City's Electronic Communication personnel policy is attached hereto as Appendix D. The City's Nepotism personnel policy is attached hereto as Appendix E. The City's Unlawful Harassment & Discrimination personnel policy is attached hereto as Appendix F. The City's Equal Employment Opportunity personnel policy is attached hereto as Appendix G. The City's Personnel Rules is attached hereto as Appendix H. F. City's Philosophy The City's Philosophy provides ethical guidance to City officials and employees. It is attached hereto as Appendix A. G. Municipal Organizations' Ethics Guidelines Finally, various organizations of municipal employees have their own codes of ethics. City staff members may be members of these organizations. Selected codes of ethics for these organizations are attached hereto. The American Institute of Certified Planners Code of Ethics and Professional Conduct is attached hereto as Appendix I. The California Municipal Treasurers Association Code of Ethics is attached hereto as Appendix J. The California Society of Municipal Finance Officers Code of Ethics is attached hereto as Appendix K. The International City -County Management Association Code of Ethics With Guidelines is attached hereto as Appendix L. The League of California Cities' Ethical Principles for City Attorneys is attached hereto as Appendix M. The International Institute of Municipal Clerks' Code of Ethics is attached hereto as Appendix N. LA #4811-2635-2898 v1 LA #4836-3933-1074 v1 Mayor and City Council May 5, 2008 Page 14 III. CONCLUSION This memorandum is intended to be a brief overview of many of the myriad and complicated ethics laws, regulations, and policies that apply to City officials and staff. It is not intended to be an exhaustive list, and other laws and guidelines certainly apply beyond those discussed in this memorandum. However, this document should provide a guide to the basic laws that apply to the City's public servants every day. Please do not hesitate to contact me with any questions or concerns. LA #4811-2635-2898 v1 LA #4836-3933-1074 v1 CITY OF SANTA CLARITA LIST OF APPENDICES FOR CITY ETHICS MEMORANDUM 1. A City Philosophy 2. B Computer Software 3. C Drug -Free Workplace -and Commercial Driver's License Drug and Alcohol Testing 4. D Electronic Communication 5. E Nepotism 6. F Unlawful Harassment & Discrimination 7. G Equal Employment Opportunity 8. H City of Santa Clarita Personnel Rules 9. 1 American Institute of Certified Planners Code of Ethics and Professional Conduct 10. J California Municipal Treasurers Association Code of Ethics 11. K California Society of Municipal Finance officers Code of Ethics 12. L ICMA Code of Ethics With Guidelines 13. M Ethical Principles for City Attorneys 14. N International Institute of Municipal Clerks Code of Ethics LA #4852-7969-5874 v] APPENDIX A C As City employees, we are proud to say that we are the City of Santa Clarita. We tal?epi-ide ir1 o-tlr' o1-gu-iiizatloil, our community and o'Urselyes. Cour mission is to dclivCr' the best and most cost= efficient 111u1'tiCipC11 SCI-ViCC to the citizens a11d. City Council o f Santa Clarita. We value excellence We value our `\'(- lm,,16 hwh cln:.lil� :•111d tl,n( I,, „'I I:•(, enthused Workforce VVI ( n(,O)II.ILIr rtil;, t,lI(m curl ('uuilnl;tl �'�'(-t:Irrnur::4( ,n•ti(,u� t'.Irc:il Lr�-i� t•Ini,l(,�'t:,•� 111,111',•1„n,l!,1<,-rlt,l�n ul. ru„uA.ttr(Intiilttmlll,Witt ��(- Il.n(,I ti`!(,ri�; ! (in l,l,i.;n1 r, m Iil( l'��( Ir�;1, (1 L,•..i1t`. I„ a!1, ! �ttv NVf ('Inrl+ tc' ,,;,rr•(.tvc , irul,:��i(u,,({Iy .. ���, In 111;\;• 111,:. 11ntr;( ut 1, Lln,ls•(•nt(.nI „( ..t.; • .. r('�atlu(r� :h nu,u.I:.In , (,:n I(:,In•I I !I r. Iltt• i(ir(:It • +;hnu t.u,nlr:, ,ul�l�„I� I}rr:, tri y,lI11Y:,11 i, q1 V\c !11 Icv:,;lt„t (1iv-t'_m}°:tIV)OI);:,t,t(i ;,11 Id II111 Vf.le 6? ybz� ,r ,!w "nn (I: •.I Irt,r It'! julk"!mIlly t a,lli'1(:.h'd ,111.I(IIfm I" ;I IlM 1,! it:. IIC,1.li-I\ - I( nlil ,(I .i it`,, 0”, 1 fill luun:ul I Il,:u, al tint If Him, Cnlolm( o' :III,! ( (mtntt.t li;',• ❑;ruilrl. !;Ii:h .t,nil t;c!u,tli�. ,ci;in,ttl (1r(,1uui .c We value a humanistic � - We value an ope�ri alld;.',... non approach ( )u• ,u u(m` ,!•, (,�, ,lit• ht;nl,tr'r, h tnLln {(•( In;_,=, .tt,rll�-u full,nrt:,l!r,,”, fill+n<(r,lc..;al ��,'.ilai('1:'i1,112t1'tl(t{1aii,'( Illanni,C11H'lll. rr:;i,l,nr(:•, tO rnpl ;h,-:! I,utr �'1':11.11 Iwi`,r,,;r flu• inrtttai ncl 1')!iv,it a; liinitl'i ul lllr ntl,i(,ccr� �Vi ,ur if, 111(d in r,uI I IIi,II, In tiu1111nr1, w':p(((wn{ ('ucllunn+)( u;:inlclt,t,ll !>;ic.ut Ill -d I kjwI:-)IIIImI,_ We value creativity I;mc It iii,;:• 1, r, (at'I(,:I. l ,..i u,-lli 1:• u1 I�1! i[,:, :(,�..nil:iila I:`•1.1. �`�''c>I(tcl,! itunnn!ivc l,( ;pir We v��re a.tut�rr-isti�-appi,oach Vf %a:)( ('rriar,n: !11;11 - � .. ��'r yin�u ,1 (.n� tltal ! n,u:r ,�(•nr':nii'ni`• 1;,111 lnv( government \V,• k:(-(, IL( ptII,!t( s,tli:rn(; cl, ',,I -,,I \,r U, VYr,,l!;nt irlc;I'•. ill! uar,Iti u1...u(1 t i i 1(,., 1VI ,c`( Ilk Ipfd:coun('liv—tucl((lnjmr.(I ,! 161 th( I: c'tICn't, I'rnnl line �,.�- -• - 11"("Inix�uinu; v%c We value our City Council WC II,I (_:nun. II'••:,11 I,nr,l�,urrl!,'I GmflN11 rtr.(tlu�,. �'�'(_,In�1ct,�tuu;I rII( intllrn'I;ntrr nl lnthlli( s n trt; 1'�c;cr'i,,,unlitt('�,1lv�u-!van(in�_di :;t;ll-twin - (,I -!il i; 1 011llll:I'lli'i APPENDIX B CITY OF SANTA CLARITA POLICY/PROCEDURE NUMBER III -14 SUBJECT ORIGINAL ISSUE 03/18/93 EFFECTIVE 03/18/93 COMPUTER SOFTWARE CURRENT ISSUE 11/01/98 EFFECTIVE 11/01/98 CATEGORY SUPERSEDES II -22 - HUMAN RESOURCES RESPONSIBLE DEPARTMENT: CITY MANAGER'S OFFICE STANDARD MANAGEMENT PROCEDURE I. PURPOSE To safeguard the City's computer software from corruption and illegal use and to safeguard the City from any possible liability due to illegal use of computer software. II. POLICY The City of Santa Clarita obtains licenses for the use of computer software from a variety of companies. The City does not own this software or its related documentation and unless authorized by the software developer, does not have the right to reproduce either the software or the documentation. Use or copying of any software product in violation of the applicable license agreement is strictly prohibited by the City of Santa Clarita. All microcomputers purchased and used by the City of Santa Clarita are supplied with licensed copies of authorized software programs. All software used on the City's computers will be inventoried by Technology Services to ensure compliance with licensing agreements. License agreements for the City's personal computers must be in place for each active user of the software. Only software licensed to the City of Santa Clarita and installed by Technology Services will be allowed on City equipment. All software including software owned personally by an employee, "freeware", or other software available via download from the Internet shall be installed by Technology Services, only. With regard to use on local area networks or on multiple machines, the City of Santa Clarita's employees shall use the software only in accordance with the applicable license agreement. Usage of software on the local area networks will be regularly monitored to ensure compliance with licensing agreements. Illegal duplication constituting copyright infringement may be punishable in accordance with the software licensing agreement. In addition, federal civil penalties allow the recovery of actual damages based upon the number of copies produced or statutory damages for willful copyright infringement. The City of Santa Clarita actively cooperates with the owners of copyrighted software products in reporting violations of copyright laws. Any City of Santa Clarita employee who makes, acquires, or uses unauthorized copies of computer software will be disciplined as appropriate, up to and including termination. Any City of Santa Clarita employee who learns of any misuse of software or related documentation within the City shall notify the Technology Services Manager immediately. III. PROCEDURES The following are the procedures to ensure employee compliance with this policy. A. All City employees, volunteers, and independent contractors with access to the City's computer systems shall be given a copy of this policy and shall sign an acknowledgement of the policy in order to continue access to the City's computer systems. B. All City employees shall receive a copy of this policy and shall sign the acknowledgement before establishment of logon and access to the computer system is granted. Any City volunteers and/or independent contractors requiring access for the purpose of conducting City business shall receive a copy of this policy and shall sign the acknowledgement before access to the system is granted. C. All City computers shall be periodically audited. All software not purchased, licensed and/or installed by Technology Services shall be deleted. Violations of this policy shall be reported to the Technology Services Manager, appropriate Department Head, and Human Resources. Appropriate disciplinary action may be taken, up to and including termination, as provided for in the Personnel Rules. TV. EXCEPTIONS There are no exceptions to this policy without City Manager approval. V. AUTHORITY By the authority of the City Manager. a . Caravalho City Manager polkim0l•14 Computer Softwam I, , am an employee, volunteer, independent contractor Print Name (Circle One) of the City of Santa Clarita. I have received, read, and understand the City's computer software policy (Standard Management Procedure Number III -14, effective November 1, 1998) and I agree to abide by all of the provisions herein stated. Signed: Date: The above volunteer, independent contractor is hereby *authorized to access the City's computer (Circle One) system for the purposes of performing City business. Print Name Signature Title Department/Division *Authorization may only be provided by a regular City employee. P.Jkiedffl-U atmchm t 3 APPENDIX C CITY OF SANTA CLARITA NUMBER 111-9.2 ORIGINAL ISSUE EFFECTIVE July 1, 1991 July 1, 1991 CURRENT ISSUE EFFECTIVE Sept. 23, 1996 July 1, 1996 SUPERSEDES 111-9.1 RESPONSIBLE DEPARTMENT: CITY MANAGER'S OFFICE I. II PURPOSE POLICY/PROCEDURE SUBJECT DRUG-FREE WORKPLACE AND COMMERCIAL DRIVER'S LICENSE DRUG AND ALCOHOL TESTING CATEGORY HUMAN RESOURCES To set forth policies, procedures and guidelines designed to effectively deal with and eliminate substance abuse and its effects in the workplace. The City of Santa Clarita will maintain a drug- free workplace through the measures set forth below. The unlawful manufacture, distribution, dispensing, possession or use of a controlled substance or alcohol by any employee in the workplace is strictly prohibited. This policy also establishes procedures for the- administration of the Department of Transportation (DOT) Commercial Driver's License Drug and Alcohol Testing Program. POLICY 1. It is the goal of the City to create a healthy and safe work environment so as to deliver the best and most cost-efficient municipal service to the citizens of Santa Clarita. It is the responsibility of the City employees to cooperate in efforts to protect the life, personal safdty and property of co-workers and fellow citizens. Substance abuse has been found to be a contributing factor to absenteeism, substandard performance, increased potential for accidents, poor morale and impaired public relations. It is the goal of this policy to prevent substance abuse in the workplace by clearly stating employee responsibilities relative to substance abuse and by providing managers and supervisors with guidelines and procedures for the detection of such abuse and the enforcement of related rules. Employees must, therefore, take all reasonable steps to abide by and cooperate in the implementation and enforcement of these policies and regulations. 3. The City encourages employees who believe that they may have a drug or alcohol problem to voluntarily seek counseling, assistance and/or rehabilitation, and will be supportive of those employees who voluntarily seek help. However, the City will be equally firm in identifying and disciplining those employees who continue to be substance abusers and do not seek help. 4. Alcohol or drug abuse in the workplace will not be tolerated, and disciplinary action, up to and including termination, will be used as necessary to achieve the goal of eliminating substance abuse in the workplace. Drug -Free Workplace Page 2 The Omnibus Transportation Employee Testing Act of 1991 (Pub. L. No. 102-143, 105 Stat. 952) requires alcohol and drug testing of safety -sensitive transportation employees who are required to have a commercial driver's license (49 CFR Parts 40, 382, 391, 392, and 395, as amended). The analysis of the Federal Highway Administration (FHWA) Regulations, (59 Fed. Reg. 7494 (1994)) states that "this final rule for alcohol and controlled substances testing extends coverage to both inter- and intrastate truck and motor coach operation including those operated by Federal, State, and local government agencies." In order to comply with the Department of Transportation regulations, the City of Santa Clarita has developed specific guidelines regarding when and how drug -alcohol testing will occur, as well as provisions on rehabilitative services available to all covered employees. I11. PROCEDURES Both the City and its employees have responsibilities in the implementation of this Policy with the goal of eliminating substance abuse in the workplace. Employee Responsibilities An employee must: A. Sign and submit to your Supervisor an "acknowledgement and agreement statement" as the law requires employees to acknowledge and agree to abide by this policy as a condition of continued employment. (Attachment D) B. Not report to work or be subject to duty while "under the influence of drugs or alcohol." NOTE: "Under the influence of drugs or alcohol" means: the use of any alcoholic beverage or any illegal drug or substance, or the misuse of any prescribed drug, in a manner and to a degree that impairs the employee's work performance or ability to use City property or equipment safely. C. Notify his/her Supervisor, before beginning work, when taking any medications or drugs, prescription or nonprescription, which may interfere with the safe and effective performance of duties or operation of City equipment. D. Not possess or use impairing drugs (illegal drugs and prescription drugs without a prescription) or alcohol during working hours or while subject to duty, on breaks, Drug -Free Workplace Page 3 during meal periods or anytime while on City property. E. Not store in a locker, desk, automobile, or other repository on City property, any alcohol or illegal drug. This policy is not intended to prevent an employee from possessing alcoholic beverages in scaled containers in his/her personal vehicle. Nor is this policy intended to prevent presentation of alcohol as a gift. F. Not directly or through a third party sell or provide drugs or alcohol to any person, including any employee, while either employee or both employees are on duty or subject to being called. G. Submit to an alcohol and drug test when requested to do so by the employee's Department Head as provided for in accordance with the guidelines set forth herein. H. Provide within 24 hours of request bona fide verification of a current valid prescription for any potentially impairing drug or medication identified when a drug test is positive. The prescription must be in the employee's name. I. File an "Employee Report of Conviction for Violating Criminal Drug Statues In The Workplace" (Attachment A) to the Personnel Officer within 5 days of such conviction. 2. Management Responsibilities A. Department Heads and Supervisors are responsible for reasonable enforcement of this policy. B. The Personnel Officer, Department Heads or their designee may request that an employee submit to a drug and/or alcohol test in accordance with the guidelines set forth herein. C. Whenever any Department Head or their designee encounters an employee who refuses an order to submit to a drug or alcohol test upon request, the Department Head or Supervisor shall remind the employee of the requirements of the Personnel Rules and this policy and the disciplinary consequences provided for in this policy. Such refusal may be considered as insubordinate conduct and grounds for disciplinary action up to and including termination. D. Where there is a "reasonable suspicion" (III, 4. C. 1) a.) that an employee is under the influence of drugs or alcohol, the Department Head or their designee should detain the employee for a reasonable time until the employee can be safely transported home. Drug -Free Workplace Page 4 E. Department Heads and their designees shall not physically search the person of employees, nor shall they search the personal possessions of employees without freely given consent in the presence of the Personnel Officer and/or his/her designee. F. Department Heads and their designees shall notify the City Manager or his/her designee, whenever they have reasonable suspicion to believe that an employee may have illegal drugs in his or her possession or in an area not jointly or fully controlled by the City. If the Personnel Officer, or his/her designee, concurs that there is reasonable suspicion of illegal drug possession, the City Manager shall notify the appropriate law enforcement agency. G. Education and Training 1) Every employee will receive the following drug/alcohol abuse education: a. A copy of this policy will be given to each employee. b. Drug/alcohol abuse information will be periodically distributed and displayed in the work areas. Periodic training classes will be conducted by the City on these topics. 2) Every supervisor and manager who may be called upon to determine whether an employee must be drug/alcohol tested based on reasonable suspicion will receivethe following drug/alcohol abuse training: a. A one-hour (minimum) training period on the specific, contemporaneous physical, behavioral, and performance indicators of probable drug use. b. A one-hour (minimum) training period on the specific, contemporaneous physical, behavioral, and performance indicators of probable alcohol use. 3. Rehabilitation A. General: The City encourages those employees who think that they may have a problem with drugs and/or alcohol to seek assistance and rehabilitation at an early date prior to notification of testing for any substance abuse problem. B. Employee Assistance: The Employee Assistance Program (E.A.P.) is available to assist employees in these efforts. Information pertaining to such programs may be obtained by direct contact with the E.A.P. agency or by contacting the Personnel Department. Drug -Free Workplace Page 5 C. Voluntary Referral: A decision by an employee to voluntarily seek treatment or rehabilitation for the first time, will not be used as the basis for disciplinary action. However, the City may in such cases require such employees to comply with the provisions of the Last Chance Agreement and Follow -Up Testing (111, 3. E. & F.). D. Leave: If necessary, the employee may be granted a leave of absence without pay in order to participate in treatment and rehabilitation. E. "Last Chance Agreement": Employees who undergo treatment and/or rehabilitation may be required to sign a "Last Chance Agreement" (Attachment B) as a condition of continued employment. In said agreement, the employee promises to complete the treatment of the rehabilitation program and to comply with other terms stated therein. If the employee violates this agreement, he/she may be subject to disciplinary action up to and including termination. F. Follow-up Testing: An employee entering a rehabilitation program may be required to submit to random testing for up to one year after completion of the program. If the employee fails to comply or if further substance abuse is detected upon such testing, the employee may be subject to disciplinary action up to and including termination. 4. Drug Testing Guidelines Applicable to All Employees A. Drug Testing Defined: Drug and/or alcohol testing may include any test for any substance which could impair an employee's ability to effectively and safely perform the functions of his/her job. B. Pre -Employment Examinations: 1) Required: All pre-employment physical examinations include drug testing as defined herein. 2) Results: A positive result for a drug and/or alcohol analysis may result in the applicant not being hired where the applicant's use of drugs and/or alcohol could affect requisite job standards, duties or responsibilities. If a drug screen is positive at the pre-employment physical, the applicant may be requested to provide within 24 hours of request bona fide verification of a valid current prescription for the drug identified in the drug screen. If the prescription is not in the applicant's name or the applicant does not provide acceptable verification, or if the drug is one that is likely to impair the applicant's ability to perform the job duties„the applicant may Drug -Free Workplace Page 6 not be hired. C. Alcohol/Drug Testing of Employ: 1) " Cause: a. An employee may be requested to submit to a drug and/or alcohol test when a Department Head or designee has reasonable suspicion the employee is under the influence of drugs or alcohol while on the job or subject to being called to the job. NOTE: "Reasonable Suspicion" is defined as a belief based upon objective facts sufficient to lead a reasonably prudent person to suspect that an employee is under the influence of drugs or alcohol so that the employee's ability to perform the functions of the job is impaired or so that the employee's ability to perform his/her job safely is reduced. For example, any of the following, alone 'or in combination, may constitute reasonable suspicion: - Slurred speech; - Alcohol odor on breath; - Unsteady walking and movement; - An accident involving City property; - Physical altercation; - Verbal altercation; - Unusual behavior; - Possession of alcohol or drugs; - Information obtained from a reliable person with personal knowledge, b. In addition, follow-up drug and/or alcohol testing related to rehabilitation (III, 3. F.) may also be required. C. An employee who suffers a work-related injury which requires medical treatment other than first aid may be required to submit to a drug and/or alcohol test at the time they receive medical treatment for their injuries. 2) Documentation: Any Department Head or designee requesting an employee to submit to a drug and/or alcohol test shall document in writing the facts constituting "reasonable suspicion" (III, 4. C. 1) a.) that the Drug -Flee Workplace Page 7 employee in question is under the influence of drugs or alcohol. (Attachment E) 3) Prerequisite. Prior to the administration of any drug or alcohol testing, the City Physician and/or the Department Head or their designee shall attempt to obtain from the employee to be tested a completed and signed consent form (Attachment Q. This form will provide for the employee's consent in writing to physical and/or psychological examination and testing and the release of result information by the City Physician to the City. Refusal by the,employee to sign a consent form may be considered insubordination and may therefore be grounds for disciplinary action up to and including termination. 4) Results: If the drug screen is positive, the employee may be requested to provide within 24 hours of the test bona fide verification of a valid current pi escription for the drug identified in the drug screen. The prescription must be in the employee's name. 5. Additional guidelines applicable only to DOT Commercial Driver's License Drug and Alcohol Testing Program ' A. General I) Employees performing work in the following classifications who are required to possess a commercial drier's license as a condition of employment and are therefore subject to drug/alcohol testing as outlined in this Commercial Driver's License Policy: 1. Street Supervisor 2. Crew Leader 3. Street Maintenance Worker 4. Groundskeeper I 5. Temporary Groundskeeper 2) No driver shall possess or use alcohol while performing safety -sensitive functions 3) No driver shall perform safety -sensitive functions within four (4) hours after using alcohol. 4) No driver required to take a post -accident alcohol test shall use alcohol for eight (8) hours following the accident. 5) Questions about this policy should be directed to the Personnel Manager, Drug -Free Workplace Page 8 B. Types of Alcohol/Drug Testing Employees subject to this drug/alcohol testing program are required to be tested under the following five circumstances: 1) Pre-employment Testing a. A pre-employment drug/alcohol test will be conducted when an individual is considered for hire in a classification requiring a commercial diiver's license listed in this policy. Applicants who refuse a test or test positive may not be hired and are not entitled to a retest. b. A drug/alcohol test will be conducted when a current employee transfers from a position not covered by this policy into a position listed in this policy. An employee transferring into a position requiring drug testing who tests positive may, upon request, have his/her sample retested. Alcohol samples cannot be retested. A positive test result from a drug/alcohol test may result in denial of the transfer where the candidate's use of drugs or alcohol could affect requisite job standards, duties, or responsibilities. The employee may also be subject to discipline up to and including termination. C. An employee who transfers from one position covered by this policy to another covered by this policy does not require testing at the time of the transfer. 2) Random Testing a. All employees working in positions covered by this policy are subject to unannounced testing based on random selection. b. Fifty percent (50%) of all employees in safety -sensitive positions shall submit to an unannounced random drug test every year in order to qualify for continued employment. Twenty-five percent (25%) of all employees in safety -sensitive positions shall submit to an unannounced random alcohol test every year in order to qualify for continued employment C. Random alcohol testing will only be conducted just before, during, or just after the employee's performance of a safety -sensitive function, C Drug -Free Workplace Page 9 d. To assure that the selection pr occss is random, all employees covered by this policy will be placed in a common pool All eligible regular and temporary employees will be in this pool C The random selection procedure may be a computer-based number generator that is matched with an employee's payroll identification number. f. An employee who refuses to be tested may be subjected to disciplinary action up to and including termination. 3) Post -Accident Testing a. Employees working in positions covered by this policy whose performance either contributed to an accident or cannot be completely discounted as a contributing factor to the accident will be drug/alcohol tested. Such detennination will be made by two management employees who have been trained in substance abuse behavior identification. b. An "accident" is defined under the FHWA regulations as an incident in which a fatality occurs, medical attention is needed away from the scene, or "tow away" vehicle damage results (49 CFR Part 391 5). C. The employee will be tested as soon as possible, but no later than 8 hours following the accident. If the test is to administered within 2 hours following the accident, the reasons for failing to perforin the test within 2 hours must be documented and kept on file for inspection. A management representative shall accompany the employee to the collection site for testing. Additionally, post -accident testing is required of a driver after the accident if the driver has received a moving traffic citation. d. All reasonable steps will be taken to obtain a urine or breath sample from an employee after an accident In case of a conscious but hospitalized employee, the hospital or medical facility will be requested to obtain a sample and, if necessary, reference will be made to the DOT drug testing requirements, If an employee is unconscious or otherwise unable to consent to the procedure, the treating physician will determine when the employee is able to understand a request to provide a sample. Drug -Free Workplace Page 10 e. If an employee who is subject to post -accident testing is conscious, able to urinate normally (in the opinion of a medical professional), and/or provide a breath sample and refuscs to be tcsted, that employee may be subjected to disciplinary action up to and including termination. 4) Reasonable Suspicion Testing When there is reasonable suspicion to believe that an employee covered by this policy is under the influence of a prohibited drug or - alcohol, the employee will be acquired to take a drug/alcohol test. b. Before an employee is tested for reasonable suspicion, the Personnel Officer, Department Head or designee and another Supervisor must substantiate and concur in the decision to test, Either the Department Head or designee or the Supervisor must have received training in the physical, behavioral, speech, and performance indicators for detecting symptoms of drug/alcohol use. A decision to test must be based on a reasonable and articulable belief that the employee is under the influence of a prohibited drug or alcohol on the basis of specific, contemporaneous physical, behavioral or performance indicators of probable drug or alcohol use. d. Within 24 hours after observation of a reasonable suspicion event, the observing Department Head or Supervisor will document in writing, with a copy to the employee, a description of the behavior or performance indicator which led to the reasonable suspicion test, e. The employee will be tested as soon as possible, but no later than 8 hours following the observations. If the test is not administered within 2 hours following the obser vations, the reasons for failing to perform the test within 2 hours must be documented and kept on file for inspection. A management representative shall accompany the employee to the collection site for testing. Return to Duty and Follow-up Testing An employee must submit to a drug and/or alcohol test upon returning to duty after being removed from duty because a drug or alcohol test detected a prohibited presence of alcohol or a controlled substance in the employee's system. Drug -Free Workplace Page l I b. An employee who at the recommendation of the Medical Review Officer (MRO) returns to work after rehabilitation will be given unannounced drug and/or alcohol tests, as directed by the MRO. C. The time period for follow-up testing will not be more than 60 months. A reasonable minimum is 12 months. This period will be determined by the MRO based on the individual circumstances of the case. c d. Six tests will be given within the first 12 months after an employee returns to duty, but follow-up testing may be extended by a Substance Abuse Professional (SAP) for up to 60 months following return to work. e. Testing will be on a daily, weekly, monthly or longer basis at the discretion of the MRO or SAP. f. These tests are in addition to the other types of tests stated in this policy. g. An employee who undergoes rehabilitation and returns to work following release for duty by the MRO or SAP and refuses or fails additional drug/alcohol tests may be subjected to disciplinary action up to and including termination. C. Testing Procedures 1) Alcohol testing will be performed utilizing breath tests. 2) Tests for marijuana, cocaine, opiates, amphetamines and phencyclidine will be performed utilizing urine samples. 3) An applicant who is offered a position covered by this policy will be required to report to the drug/alcohol testing collection site specified in (III, 5. E.) of this policy within 24 hours of notification and provide a specimen of their urine and/or breath prior to employment and prior to performing a safety -sensitive function 4) Upon notification that a drug/alcohol test is required, an employee will report for the drug/alcohol test immediately and will be considered "on City time." All random drug/alcohol testing will be scheduled during the employee's regular work shift. The City will provide transportation to and from the collection site. Failure to submit to the drug/alcohol testing may Drug -Free Workplace Page 12 result in disciplinary action up to and including termination. 5) The collection agency shall adhere to all requirements outlined in 49 CFR Parts 40, 382, 391, 392, and 395, as amended, and Procedures for Transportation Workplace Drug/Alcohol Testing Program. C) Employees who test positive on a urine test may request in writing a retest from the split sample within 72 hours of receipt of the final test result from the MRO, if the MRO determines there is no legitimate medical explanation for a confirmed positive test result other than the unauthorized use of a prohibited drug. 7) All medical personnel authorized to administer required tests shall require positive identification from the employee to be tested before the employee enters the testing area. The employee shall provide positive identification to testing personnel. 8) A pre-test interview shall be conducted by testing personnel with the employee in order to ascertain and document the recent use of any prescription or non-prescription drugs, or an indirect exposure to drugs that may result in a false positive test result. 9) Specimen Collection (Urinalysis) a The testing facility area should be private and secure. b. Testing personnel must positively identify the employee providing the sample. C. Testing personnel should search the area in which the sample is to be produced and verify it is free of potential contaminants. d. Testing personnel shall require the employee being tested to remove any unnecessary outer garments (i.e., coats, jackets, etc.) and shall visually check for signs of concealed items that might be used to adulterate or substitute a sample. Personal belongings such as briefcases or purses must remain with the employee's outer gar ments. The employee shall retain control of his/her wallet. e. The hot water supply to the testing room shall be turned off from outside of the room or disconnected f. Any urinal or toilet should be filled with blue -colored water Drug -Free Workplace Page 13 g. The employee being tested will wash his/her hands with soap and water. h. The employee will urinate into one (1) container, The employee must provide at least forty-five (45) milliliters for the specimen to be adequate for testing. The container will be sealed by the employee and the employee's identifying mark will be placed on the container. After obtaining the sample, it shall be tested for appropriate temperature and the actual temperature recorded. The sample shall be divided into a primary sample of thirty (30) milliliters and a secondary sample of fifteen (15) milliliters. k. The sample containers must be immediately scaled, appropriately labeled, and the numbers rechecked to ensur e they are referenced to the employee providing the sample. 1. The samples shall be stored in a secure area in accordance with laboratory procedure until delivery to the contracting laboratory if necessary. M. All medical personnel utilized for testing will be certified as qualified to collect urine samples or adequately trained in collection procedures. 10) Where the employee appears unable, or unwilling to give an adequate specimen at the time of the test, testing personnel shall document the circumstances on the drug -test report form provided by the MRO. The employee shall be permitted no more than four (4) hours to give a sample, during which time he or she shall remain in the testing area, under observation. Reasonable amounts of water may be given to the employee to encourage urination. Failure to submit a sample shall be considered a refusal to submit to a drug -test Refusal to submit to the drug test may result in disciplinary action up to and including termination. 11) Breathalizer. a. The testing area should be private and secure b. Testing personnel must positively identify the employee undergoing the test. Drug -Free Workplace Page 14 C. Only the Evidential Breath Testing Device (EBT) shall be used to perform alcohol tests. d. Only Breath Alcohol Technicians (BAT) may conduct the alcohol testing of the employees. The City shall send the employee being tested to an appropriate medical facility. The BAT shall undergo ti arcing in the proper use and maintenance of the EBT (including insuring the proper calibration and maintenance of the EBT), e. If the initial EBT test result indicates an alcohol conccntiation of .02% or greater, a second test will be performed with an EBT which has the capacity to print out the results of the test, sequentially number the test and indicate the date and time of the test. f. The result of the second EBT test will be considered positive if it indicates an alcohol concentration level of .04% or higher. g If the result of the second EBT test is between .02% or .039% for an employee, he or she will be removed from duty and meet the requirements in Section III.5.H.1) f, of this Policy, except that the employee need not be evaluated by the MRO. D. Testing Methodology 1) The testing or processing phase shall consist of a two-step procedure: a. Initial screening test, and b. Confirmation test, 2) The urine sample is first tested using the initial drug screening procedure. An initial positive test result will not be considered conclusive; rather, it will be classified as "confirmation pending." Notification of test results to the supervisor or other departmental designee shall be held until the confirmation test results are obtained. 3) A specimen initially testing positive will undergo a confirmatory test. The confirmation procedure shall be technologically different and more sensitive than the initial screening test. 4) The drug screening tests selected shall be capable of identifying marijuana, cocaine, opiates, phencyclidine (PCP), and amphetamines. 5) A positive test for alcohol shall include presence of alcohol in an Drug -Free Woikplace Page 15 employee's system at a level of .04% or greater. Presence of alcohol shall be expressed in terms of grams of alcohol per 210 liters of breath. 6) Concentrations of a drug at or above the following levels shall be considered a positive test result when using the initial rmnntunoassay drug screening test. Initial Test Substance Level (n /ml) Marijuana metabolite ................ .............. ................. 50 Cocaine metabolite ................................... ...............300 Opiate metabolite ..... ............... ...... ...... ... . ......... 300* Phencyclidine ................... ................. .... ............ 25 Amphetamines ................................. ...................1000 *-25ng/ml if immunoassay specific for free morphine. Concentrations of a drug at or above the following levels shall be considered a positive test result when performing a confirmatory GUMS test on a urine specimen that tested positive using a technologically different initial screening method. Cnhd51nor- Confirmatory Test Level (n nil) Marijuana metabolite ......... ....................... .............. 15 (1) Cocaine metabolite ......................... .............. ..... . 150 (2) Opiates: m Morphine......... ....................... .... ........... 300* Codeine................................................... .300* Phencyclidine ....................................... :........ . .....25 Amphetamines: Amphetamine ............... ... .... . .......................500 Methamphetamine ... ... ................ ...... ..........500 (3) (1) Delta-9-tetrahydrocannabinol-9carboxylic acid (2) Benzoylecgonine (3) Specimen must also contain amphetamine at a concentration greater than or equal to 200 ng/ml. F. Medical Review Officer 1) The Medical Review Officer (MRO) for this policy will be provided by First Care Occupational Medical Group, 25327 Avenue Stanford, Suite I Drug -Free Workplace Page 16 105, Valencia, California 91355 or another certified laboratory The MRO is a licensed physician who has knowledge of substance abuse disorders and has appropriate medical training to'interpret and evaluate an individual's positive test result together with his/her medical history and other relevant biomedical information. 2) The following is a listing of the MRO's specific responsibilities. For additional details of responsibilities see the U.S. Department of Health and Human Resources (DHHS) Medical Review Officer Manual. a. Review the results of all drug tests. b. Review and interpret positive test results. C. Request, if needed, a quantitative description of test results. d. Receive a certified copy of the original chain of custody, e. Inform the tested individual and provide test results. f. Conduct a medical interview with the tested individual. I g. Review the individual's medical history, or any other relevant biomedical factors, h. Give the individual an opportunity to discuss test results. i. Order a reanalysis of the original sample in a certified laboratory (applicable to active City employees only). j. Not receive urinalysis or breath test results that do not comply with the Mandatory Guidelines. k. Not declare as positive an opiate -positive without "clinical evidence." 1. Determine whether a result is scientifically insufficient. m. Determine whether a result is consistent with legal drug/alcohol use. n. Forward results of verified positive tests to the Personnel Manager. 0 Maintain the required records to administer this program. Drug -Fret Workplace Page 17 F. Testing Laboratory 1) The testing laboratory for this policy is: First Care Occupational Medical Group, 25327 Avenue Stanford, Suite 105, Valencia, California 91355, or another certified laboratory. 2) The testing laboratory will comply with all methods and procedures of 49 CFR Parts 40, 382, 391, 392, and 395, as amended and will provide annual reports to the City of Santa Clarita showing compliance. G. Collection Agency 1) The primary collection agent for this policy is: First Care Occupational Medical Group, 25327 Avenue Stanford, Suite 105, Valencia, California 91355 To contact First Care Occupational Medical Group for emergency collection, call (661) 253-8686. 2)' The collection agency will comply with all methods and procedures of 49 CFR Parts 40, 382, 391, 392, and 395, as amended and will provide annual reports to the City of Santa Clarita showing compliance. The collection agency shall notify the City of Santa Clarita immediately by telephone when an employee tests positive in order to remove the employee from the safety - sensitive position. H. Administrative Action 1) An employee engaged in a safety -sensitive position will immediately be taken out of service if the employee refuses -to sign the consent for drug and alcohol testing form, if the employee refuses to submit to a drug and/or alcohol test when requested to do so by the Personnel Officer, a Department Head or designee, or if the employee's test result detects a prohibited presence of controlled substances or alcohol. In order for the employee to return to work, the following conditions must be met: a. The employee will enroll in a City -approved drug and/or alcohol rehabilitation program at the employee's expense and supply proof of satisfactory completion. b. The employee will submit to a return -to -duty drug test with a result indicating an absence of prohibited presence of controlled substances and alcohol. The employee must sign a "Last Chance Agreement" (Attachment B), and comply with all the terms of his/her recommended Drug -Free Workplace Page 18 treatment: d. If applicable, the employee must re -obtain all necessary licenses and documents e. The employee will be subject to unannounced follow-up drug and/or alcohol tests for up to sixty (60) months. f. The employee must submit to an evaluation by the MRO. If the employee's alcohol test detects a presence of alcohol between .02%and .039%, the employee will be taken out of service for at east eight (8) hours [oi twenty-four (24) hours for di ivers], and the employee may not be returned to service until he/she submits to a return -to -duty drug and/or alcohol test with a result indicating an absence of a prohibited presence of controlled substances or alcohol. The employee will be subject to discipline up to and including termination and may also be subject to follow-up testing. 6. Confidentiality: Laboratory reports or test results shall not appear in an employee's general personnel file Information of this nature will be contained in a separate confidential medical folder that will be securely kept under the control of the Personnel Manager. The reports or test results may be disclosed to the City Management on a strictly need -to -know basis and to the tested employee upon request. Disclosures, without patient consent, may also occur when: A The information is compelled by law or by judicial or administrative process; B. The information has been placed at issue in a formal dispute between the employer and employee; C. The information is to be used in administering an employee benefit plan; D. The information is needed by medical personnel for the diagnosis or treatment of the patient who is unable to authorize disclosure. N. DISCIPLINARY ACTION Disciplinary action, tip to and including termination, may be taken against an employee for any of the following reasons: Failure to comply with any of the Employee Responsibllrtics set forth In this policy. Drug -Free Workplace Page 19 2. Positive results from a drug and/or alcohol test. 3. Refusal to be tested in accordance with this policy. 4. Violation of a "Last Chance Agreement." V. EXCEPTIONS There are no exceptions to this policy without City Manager approval. VI. ATTACHMENTS A. Report of Conviction of Drug Offense B. Last Chance Agreement C. Consent for Drug and Alcohol Testing D. Acknowledgement and Understanding of Policy E. Supervisor's Report of Employee Physical Characteristics and Behavior VII. AUTHORITY By the authority of the City Manager. George A Caravalho City Manager J CITY OF SANTA CLARITA DRUG-FREE WORKPLACE ACT COMPLIANCE PROGRAM: REPORT OF CONVICTIONS FOR VIOLATIONS OF CRIMINAL DRUG STATUTES IN THE WORKPLACE NOTE Attachment A BY LAW, THIS REPORT MUST BE FILED WITH TIIE CITY WITHIN FIVE DAYS FOLLOWING ANY CONVICTION (INCLUDING PLEAS OF GUILTY OR NOLO CONTENDERE) OF VIOLATING A CRIMINAL DRUG STATUTE IN THE WORKPLACE. FAILURE TO SO REPORT TO THE CITY WITHIN FIVE DAYS MAKES YOU LIABLE TO DISCIPLINARY ACTION, UP TO AND INCLUDING TERMINATION. Employee Name Department/Work Group, Job Title Date Hired I hereby report that I was convicted of, or plead guilty to or nolo contendere to, the following violation of a criminal drug statute that occurred in the workplace. (Describe violation, when and where it happened): This conviction was entered in the following court at the date shown: Court Today's date is: Date I understand that within 30 days of today's date, the City by law must either discipline me, including the possibility of terminating me, or offer me assistance in the form of participation in an authorized rehabilitation or drug abuse assistance program. If offered, and accepted by me, I must satisfactorily take part in the program to continue employment here. Signatuie Attachment B CITY OF SANTA CLARITA DRUG-FREE WORKPLACE AND COMMERCIAL DRIVER'S LICENSE DRUG AND ALCOHOL TESTING POLICY LAST CHANCE AGREEMENT I have received a copy of the City of Santa Clarita's Policy on Drug -Free Workplace, and I fully understand its provisions and acknowledge that compliance with the Policy is a condition of continued employment. I hereby acknowledge that I have entered or will enter a treatment or rehabilitation program for alcohol or drug abuse satisfactory to the City of Santa Clarita. I agree to complete such program, perform the duties of my job in accordance with standards of performance reasonably expected, and comply with the City's rules including the Policy on Drug -Free Workplace, I agree to consent, for up to one year, to undergo physical or psychological examinations, and/or to random testing of my blood, urine, breath, or other body fluid specimens for alcohol, drugs or their metabolites. I understand that a violation of said Policy or a breach of this agreement may result in disciplinary action, up to and including termination. Employee Signature Witness Signature Date Date Attachment C CITY OF SANTA CLARITA DRUG-FREE WORKPLACE ACT COMPLIANCE PROGRAM CONSENT FOR DRUG AND ALCOHOL TESTING I hereby author ize to collect from me the following specimens- , insert blood, aline, breath or other specimens) and to conduct tests on such samples to determine the presence of alcohol, drugs, then - metabolites, of other substances that violate the Policy on Drug -Free Workplace. I hereby authorize Doctoi to conduct a physical and/or psychological examination on me. Further, I consent to the ielease of examination and/or test results to the City of Santa Clarita administrative personnel for use in disciplinary actions or for other legitimate work related purposes. This consent is effective immediately and shall remain in effect until (date one year after signature of consent.) I understand that I have a right to i equest a copy of this authorization I further understand that if I refuse to consent to such examination and/or tests of sign this form, I may be subject to disciplinary action, up to and including termination of employment. CONSENT GIVEN. Print Employee's Name Employee Signature Witness Signature CONSENT REFUSED, Print Employee's Name Explanation for refusal Employee Signatuie Witness Signature Date Date Date Date Attachment D DRUG-FREE WORKPLACE AND COMMERCIAL DRIVER'S LICENSE DRUG AND ALCOHOL TESTING POLICY ACKNOWLEDGEMENT AND AGREEMENT STATEMENT Under the terms of the Drug -Free Workplace Act and the Department of Transportation (D.O.T.) Commercial Driver's License Drug and Alcohol Testing Program, the City is i equired to give to you a copy of the official policy statement. Please sign below to indicate that - D You have received this statement. 10 You have read it or been informed of its contents. You agree to abide by this policy in all respects. Note that the law requires you to acknowledge and agree to the above as a condition of continued employment. Acknowledged and Agreed: Signature Print Name Here Department/Work Group Date Please detach this page from the policy document and return it to the Personnel Office. Attachment E SUPERVISOR'S REPORT OF EMPLOYEE'S PHYSICAL CHARACTERISTICS AND BEHAVIOR Employee Name Location of Observation Date & Time of Observation Circle the descriptions that best apply to the employee's physical characteristics and / or behavior. Briefly describe in the Remarks Section what the employee said or did that initially led you to believe the. employee might be under the influence of drugs and/or alcohol and the names of any other employees or individuals who witnessed said actions. Leave blank those factors which do not apply to the employee's condition. BEHAVIOR: Temperament- Withdrawn Boisterous Uncooperative Combative Agitated Restless Other Speech: Rambling Confused Slurred Incomplete Sentences Not Understandable Other Walking: Hesitant Slow Swaying Staggering Stumbling Falling Other Alertness: Slow Asleep Unresponsive Confused Distracted Other PHYSICAL CHARACTERISTICS: Odor of Alcohol on Breath Blank Stare Odor of Chemicals Blood Shot Eye(s) Dilated Pupils Rapid Eye Movement Other UNUSUAL ACTIONS• Vomiting Fighting Crying Physical Withdrawal Inappropriate Laughter Other (Continued) Attachment E Remarks: I acknowledge that on the following date, , I received the required training to permit me to "determine whether reasonable suspicion exists to require" an employee to undergo testing. I also acknowledge that this written record was made within twenty-four (24) hours of the observed behavior. Print Name Signature S I IumanIt,b Pu Illy P.13, s III -9 2Dnig-frc w F,pl.itt d- Date and Time APPENDIX D CITY OF SANTA CLARITA NUMBER. III -13,1 ORIGINAL ISSUE 11/01/98 EFFECT1Vh, 11/01/98 CURRENT ISSUE 07/01/03 1 EFFECTIVE 07/01/03 SUPERCEDES I1I-13 RESPONSIBLE DEPAR'T'MENT: CITY MANAGER'S OFFICE 1. PURPOSE POLICY/PROCEDURE SUBJECT ELECTRONIC COMMUNICATION CATEGORY HUMAN RESOURCES STANDARD MANAGEMENT PROCEDURE To identify appropriate use of the City's electronic communications systems and data, including Internet access and use; identify ownership of electronic communications; and address privacy of any data contained on or transmitted through the City's electronic communications systems. II. DEFINITIONS "Electronic communications systems" means all electronic equipment, devices, software, data, and/or other means of electronic communication (either furnished by the City or property of the employee), including, but not limited to computer hardware and software, telephones, fax machines, cellular telephones, pagers, e-mail, Internet/World Wide Web, voice mail, and personal digital assistants. "Electronic storage" means any stored data, wire, or electronic communication incidental to the electronic transmission thereof: It also means any stored communications by an electronic communication service for purposes of backup protection of such communication. "Electronic communications" weans any transfer of signs, signals, writing, images, sounds, data, or intelligence of any nature transmitted in whole or in part by a wire, radio, electromagnetic, photoelectric or photooptical system, including, but not limited to telephone calls, cellular phone calls, fax machine transmissions, and e-mail, , III. POLICY A. The City's electronic communications systems are designated to facilitate City business and communication through the appropriate use of the electronic communications systems and electronic storage thereon. The City values its electronic communications and electronic storage; and takes measures to safeguard them from corruption and illegal use, and to protect the City from any possible liability due to illegal,use of electronic communications and electronic storage. The City respects the individual privacy of its employees. However, employee privacy does not extend to the employee's work-related conduct or to the use of City -provided equipment or supplies, Employees should be aware that the terms of this Policy might affect their privacy in the workplace. B. The City's electronic communications systems, electronic communications, and electronic storage are City property and are primarily intended for City business. All electronic communications and electronic storage within these systems are the property of the City, regardless of the content, including any personal communications. The City reserves the right to monitor the electronic communications systems for any reason, including the right to review, audit, and disclose all matters sent over and/or stored in the electronic communications systems. (See Section IV., I.) As a result, employees should be aware that no electronic communications transmitted on the electronic communications systems, or electronic storage contained within the systems, is private or confidential, Employees should have no expectation of privacy with respect, to any use, business or personal, of the City's electronic communications systems. C. Employees should be aware that electronic communications and/or electronic storage could be copied, modified, and/or forwarded to others without the express permission of the original author. Therefore, employees must use caution in the storage, transmission, and dissemination of electronic communications outside of the City and must comply with all state and federal laws. Electronic communications and/or electronic storage of the City may be recognized as official records in need of protection/retention in accordance with the laws of California. All e-mail and Internet messages are subject to the Personnel Rules and all state and federal laws, including, but not limited to the California .Public Records Act, open meeting laws, and the federal Electronic Communications Privacy Act. D. The City's electronic communications systems are primarily for the conduct of City business. Limited, occasional, or incidental use of the electronic communications systems (either furnished by the City or property of the employee) for personal, non- business purposes is permitted only under the following circumstances: • Personal use is limited to break or lunch times; • Personal use may not interfere with the productivity of the employee or his or her co-workers; • Personal use may not involve any prohibited activity described in this Policy; Personal use may not disrupt or delay the performance of City business; • Personal use may not consume City resources or otherwise deplete system resources available for business purposes; • Personal use may not be used for personal employee gain or commercial ventures; • Personal use may not support or advocate non -City -related business or purposes. If an employee's personal use of the City's electronic communications systems results in a cost to the City, the cost must be reimbursed to the City by the employee. (See Section IV., C. for a description of the reimbursement policy for telephone and cellular phone use). 2 E.. It is the responsibility of each City employee to use the City's electronic communications systems in a professional and courteous manner,. The City forbids the use of its electronic communications systems in a manner that violates any law, regulation, ordinance, or policy or procedure of the City. Electronic communications systems should not be used in any way that is offensive, harmfid, or insulting to any person. Examples of prohibited uses include, but are not limited to: • Solicitation of funds; • Political messages or transmissions; • Religious messages or transmissions; • Gossip; • Racial or ethnic slurs; • Messages or transmissions that could be construed' to be harassment or disparagement of others based on sex, race, sexual orientation, age, national origin, or religious or political beliefs; • Pictures, messages, jokes, cartoons, or other transmissions which are sexually explicit, lewd, or derogatory; • Unwelcome sexual propositions or love Ietters; • Messages or transmissions that violate another policy of the City, including, but not limited to, anti -discrimination policies and anti -harassment policies; or, • Any other messages or transmissions which are in any way inappropriate or unrelated to the City's legitimate business activities. Employees who are granted access to the Internet are also expected to use this privilege in a professional and courteous manner. The generally prohibited uses of electronic communications systems described above also apply to use of the Internet. However, employees should be aware that the improper use of the Internet also includes, but is not limited to: • Accessing gross, indecent, obscene, harassing, pornographic, or sexually explicit materials; • Accessing gambling sites; • Accessing illegal drug -oriented sites; F. Employees may not intentionally intercept, eavesdrop on, record, read, alter, retrieve, receive, send, or use another person's electronic communications and/or electronic storage without proper authorization. Employees, including system administrators and supervisors, may not, without authorization, peruse electronic communications and/or electronic storage of other employees. (See Section IV., I. for the procedure to obtain authorization.) IV, PROCEDURES The following are the procedures to ensure employee compliance with this Policy: A. No regular, temporary, seasonal or contractual City employee or volunteer shall access the City's electronic communications systems without reading and complying with the procedures set forth in this Policy. 3 B. All employees, Councilmembers, Commissioners, and volunteers requesting authorization to access the City's electronic communications systems, electronic communications and electronic storage shall be given a copy of all related technology policies and shall sign an acknowledgement of the policies recognizing parameters for compliance. C. The City shall provide employees with a monthly cellular phone and desk telephone usage report for the telephone numbers assigned to them. Employees shall review each usage report to identify minutes of personal usage and associated costs. Payment to the City for those costs shall be submitted to the City's cashier within two weeks after receipt of the usage statement. A copy of the usage statement shall be included with the payment. D. No e-mail messages shall be considered by the City to be retained in the ordinary course of business. However, some e-mail messages should be classified as a record per the following criteria: 1. Content required by law to be retained. 2. Content which is documentation of notice to a member of the public of an action or position taken on behalf of the City. 3. Content which is documentation of a City policy, City regulation or official decision made on behalf of the City. 4. Content which is documentation of a transaction of business between the City and another party. It is the responsibility of the creator to determine if an e-mail message sent internally should be classified as a record that requires retention. It is the responsibility of the recipient of an e-mail message received from outside City sources to determine if an e- mail message should be classified as a record that requires retention. Once retention status is determined, transfer of the message to a printed hard copy is required prior to deletion or purge from the e-mail system. E. All passwords created by the user or issued to the user are for the purpose of communication and are not to be shared, given or otherwise disclosed to any other person. Passwords must not be shared and will be changed periodically by the Technology Services staff to ensure security. All security features contained within the City's electronic communications systems such as passwords, codes, or delete functions will not prevent the City from accessing employees' business or personal electronic communications, stored or otherwise, on the electronic communications systems. F. Research of information for City use will be conducted through the City's Internet Browser using an assigned authorization log -on and password. G. Information to be posted on the Internet to promote the City or its representation shall be reviewed and approved for content by the Public Information Officer, prior to being posted. No one other than the Technology Services Manager or his or her designee is authorized to post City information on the Internet. M H. Requests for access into an employee's writing, to the appropriate department Technology Services Manager for action Resources Manager. individual data and messages will be made, in head for approval and then forwarded to the The requests shall also be copied to the Human I. Violations of this Policy shall be reported to the Human Resources Manager, appropriate department head and Personnel Officer only. Any employee who accesses the City's electronic COmn]Llnlcations systems without complying with the procedures set forth In this Policy or otherwise violates this Policy may be subject to disciplinary action, up to and including termination, as provided for in the City's Personnel Rules. In addition, misuse of the electronic communications systems may, in appropriate cases, be referred for criminal prosecution. V. EXCEPTIONS There are no exceptions to this Policy without City Manager approval. VI. AUTHORITY By the authority of the City Manager. Kenneth R. Pulskamp City Manager 5 CITY OF SANTA CLARITA ELECTRONIC COMMUNICATIONS POLICY ACKNOWLEDGEMENT AND CONSENT 1, , have received, read, and understand the City of Santa Clarita's Electronic Communication Policy. I and aware that violation of this Policy may result in disciplinary action, up to and including termination, as provided for in the City's Personnel Rules. I understand this signed document will be maintained in my Personnel file. I recognize and understand that the City's electronic C0111111LInications systems are t0 be Used primarily for conducting City business. I am aware that I have no expectation of privacy or confidentiality when using the City's electronic communications systems and/or electronic storage. I understand that the City has, and will exercise, the right to monitor, review, copy, and/or disclose all matters on the City's electronic communication systems and/or electronic storage at any time, with or without notice to me, and that such access may occur during or after working hours. I realize that the use of a password does not restrict the City's access. I agree to comply with all provisions of this Policy. I also hereby consent that the City may monitor, review, and/or copy any information, both personal and business-related, on the City's electronic communications systems and/or electronic storage at any time, and may, without further notice, disclose that information to a third party, including law enforcement agencies. Signed Date 0 APPENDIX E CITY OF SANTA CLARITA POLICY/PROCEDURE NUMBER II1.7 SUBJECT ORIGINAL ISSUE 07/01/90 EFFECTIVE 07/01/90 NEPOTISM CURRENT ISSUE I EFFECTIVE ICATEGORY SUPERSEDES I HUMAN RESOURCES RESPONSIBLE DEPARTMENT. CITY MANAGER'S OFFICE STANDARD MANAGEMENT PROCEDURE I. PURPOSE It is the City of Santa Clarita's policy to recruit employees on the basis of open competitive or promotional examinations. Selection is based upon the qualifications of each candidate. Regardless of the intentions, the selection and appointment of an individual who is related to, or cohabitates with a current City employee, or other City official creates an appearance of favoritism and/or a conflict of interest. Similarly, the marriage or cohabitation of two City employees who report to each other may create an appearance of favoritism or a conflict of interest. It is the intention of this policy to prevent such conflicts. II. DEFINITION A. For purposes of this policy, relatives are defined as an employee's spouse; natural, step or legal children; parents, including in-laws; brothers and sisters, including in-laws; grandparents and grandchildren. B. For purposes of this policy, cohabitation is defined as two legally unrelated individuals who share a household. III. POLICY AND PROCEDURES A. Relatives and individuals who cohabitate with current City employees, City Councilmembers, Commissioners or other City officials are not eligible for City positions where a potential conflict of interest, a perceived potential conflict of interest or the potential for creating an adverse impact on supervision, safety, security, or morale exists. 13. If two employees marry or cohabitate, the Personnel Officer will review the working relationship of the two employees and determine if the relationship creates a potential conflict of interest or an adverse impact on supervision, safety, security, or morale. If the Personnel Officer determines that the relationship creates a potential conflict of interest or an adverse impact on supervision, safety, security, or morale, an effort will be made to transfer the least senior employee to a position where such a conflict or adverse impact does not exist. IV. EXCEPTIONS There are no exceptions to this policy without City Manager approval. V. AUTHORITY By the authority of the City Manager. L orge A. Caravalho City Manager policrosAll 7 nepotism APPENDIX F CITY OF SANTA CLARITA NUMBER III - 6.1 ORIGINAL ISSUE 07/01/90 1 EFFECTIVE 07/01/90 CURRENT ISSUE 01/01/03 1 EFFECTIVE 01/01/03 SUPERSEDES 111-6 RESPONSIBLE DEPARTMENT: CITY MANAGER'S OFFICE I. II. PURPOSE POLICY/PROCEDURE SUBJECT UNLAWFUL HARASSMENT & DISCRIMINATION CATEGORY HUMAN RESOURCES STANDARD MANAGEMENT PROCEDURE The City of Santa Clarita, as your employer, must take all reasonable steps to prevent discrimination and harassment from occurring. Harassment in the work place is an unlawful practice. City employees are expected to conduct themselves in a professional and courteous manner at all times. Behavior or actions which result in or establish an environment of harassment are strictly prohibited. POLICY The City of Santa Clarita maintains a strict policy prohibiting all types of harassment or discrimination because of gender, genetic characteristics or information, race, color, national origin, ancestry, religion, creed, sex, physical or mental disability, cancer -related medical condition, marital status, veteran status, sexual orientation and age, or any other basis protected by applicable federal, state or local law. All such harassment or discrimination is prohibited. The City's anti -harassment policy applies to all employees involved in the operations of the City and prohibits harassment by any employee of the City including supervisors and co-workers, and by others doing business with the City. If harassment occurs on the job by someone not employed by the City, the procedures in this policy should be followed as if the harasser were an employee of the City. A. Harassment Defined Harassment is unwelcome verbal, visual, or physical conduct that creates an intimidating offensive, or hostile work environment or that interferes with work performance. Such conduct constitutes harassment when: Submission to the conduct is made either an explicit or implicit condition of employment; 0 Submission to or rejection of the conduct is used as the basis for an employment decision; or The harassment unreasonably interferes with an employee's work performance or creates an intimidating, hostile, or offensive work environment. Page 1 of 6 Harassing conduct can take many forms and includes, but is not limited to, slurs, jokes, statements, gestures, pictures, computer images, or cartoons regarding an employee's age, ancestry, color, marital status, medical conditions, mental disability, physical disability, national origin, race, religion, sex, or sexual orientation. Sexual Harassment Defined The law defines sexual harassment as unwanted sexual advances, requests for sexual favors or visual, verbal or physical conduct of a sexual nature when: (1) submission to such conduct is made a term or condition of employment; or (2) submission to or rejection of such conduct is used as basis for employment decisions affecting the individual; or (3) such conduct has the purpose or effect of unreasonably interfering with an employee's work performance or creating an intimidating, hostile or offensive working environment. This definition includes potential forms of offensive behavior. The following is a list of some examples: Unwanted sexual advances. Offering employment benefits in exchange for sexual favors. ❑ Making or threatening reprisals after a negative response to sexual advances. Visual conduct: leering, making sexual gestures, displaying of sexually explicit jokes, comments about an employee's body or dress. _i Verbal sexual advances or propositions. Verbal abuse of a sexual nature, graphic verbal commentary about an individual's body, sexually degrading words to describe an individual, suggestive or obscene letters, notes or invitations. ❑ Physical conduct: touching, assault, impeding or blocking movements. J Retaliation for reporting harassment or threatening to report harassment. Harassment can occur between members of the same or opposite sex. Harassment on the job is unlawful whether it involves co-worker harassment, harassment by a supervisor or manager, or by persons doing business with or for the City. B. Preventing Harassment The City's Complaint Procedure: The City's complaint procedure provides for an immediate, thorough and objective investigation of every harassment or discrimination claim, appropriate disciplinary action against one found to have engaged in prohibited harassment or discrimination, and appropriate remedies to any victim of harassment or discrimination. Page 2 of 6 FE Employees who believe they have been harassed or discriminated on the job, including by persons doing business with or for the City, should provide a written or verbal complaint to your immediate supervisor or to the City's Human Resources Manager as soon as possible. The complaints should include details of the incident(s), names of individuals involved, and the names of any witnesses. Supervisors and managers must immediately refer all harassment or discrimination complaints to the City's Human Resources Manager. Ll All incidents of harassment and discrimination that are reported must be investigated. The Human Resources Manager will immediately undertake or direct an effective, thorough and objective investigation of the harassment or discrimination allegations. The investigation will be completed and the determination regarding the harassment or discrimination alleged will be made and communicated to the employee(s) who complained and the accused harasser(s). If the City determines that harassment or discrimination has occurred, the City will take effective remedial action commensurate with the circumstances. Appropriate action will also be taken to deter any future harassment or discrimination. If a complaint of harassment or discrimination is substantiated, appropriate disciplinary action, up to and including discharge, will be taken. The City will also take appropriate action to remedy any loss to the employee resulting from the harassment or discrimination. ALL EMPLOYEES SHOULD NOTE THAT THE FAILURE TO USE THE CITY'S COMPLAINT PROCEDURE MAY RESULT IN THE DEFEAT OF ANY CLAIM OF SEXUAL HARASSMENT IF LITIGATED. C. Employee's Duty to Disclose Benefits Received Employees are hereby informed that no supervisor, manager, or officer of the City, or other person or entity doing business with the City, is authorized to condition the receipt or denial of any benefit, compensation, or other term or condition of employment on your acquiescence to any sexual demand. To the contrary, all employees are instructed that they must refuse such demands and report them promptly either to their immediate supervisor or to the Human Resources Division of the City. Any employee who is found to have obtained any benefit from the City because he or she submitted to an unreported sexual demand will be disciplined appropriately, including but not limited to, reimbursement for the value of any benefits received. Any employee making such a demand will be similarly disciplined. D. Prohibition Against Retaliation In accordance with applicable law, the City prohibits retaliation against any employee because of the employee's opposition to a practice the employee reasonably believes to constitute employment discrimination or harassment or because of the employee's participation in an employment discrimination investigation, proceeding or hearing, Any retaliatory adverse action because of such opposition or participation is unlawful and will not be tolerated. 3 of 6 Examples of Opposition: Opposition to perceived discrimination includes threatening to file a discrimination complaint with the EEOC, state agency, union or court, or complaining or protesting about alleged employment discrimination to a manager, union official, co-worker or other official. Opposition also includes a complaint or protest made on behalf of another employee or made by the employee's representative. A complaint about an employment practice constitutes protected opposition only if the employee communicates to the City a reasonable good faith belief that the practice opposed constitutes unlawful employment discrimination. Opposition in a manner which disrupts the workplace, or which constitutes an unlawful activity, or engaging in badgering or threatening of employees or supervisors is not protected. Examples of Participation: The City will not tolerate retaliation against any individual because he or she has filed a charge, testified, assisted or participated in any manner in an investigation, proceeding, hearing or litigation under federal or state employment discrimination statutes or at other hearings regarding protected employee rights, such as an application for unemployment benefits. The City also prohibits retaliation against somebody closely related to or associated with the employee exercising such rights. The City's Complaint Procedures: The City's complaint procedure provides for an immediate, thorough and objective investigation of any claim of unlawful retaliation because of opposition to alleged discrimination or harassment or participation in a proceeding regarding alleged employment discrimination. If you believe that you have been retaliated against because of your opposition to an employment practice you reasonably believe to be discriminatory or because of your participation in a hearing or proceeding regarding alleged unlawful discrimination, you should provide a written or verbal complaint to your immediate supervisor or to the City's Human Resources Manager as soon as possible. Your complaint should be as detailed as possible, including the names of individuals involved, the names of any witnesses, and any documentary evidence. All complaints of prohibited retaliation which are reported to management will be investigated. The City will immediately undertake and direct an effective, thorough and objective investigation of the retaliation allegations. The investigations will be completed .and a determination regarding the alleged retaliation will be made and communicated to the employee who complains and to the person(s) accused of retaliation. If the City determines that an individual has suffered adverse action in retaliation for opposition to alleged employment discrimination or participation in a proceeding related to alleged employment discrimination, the City will take effective remedial action appropriate to the circumstances. The City will also take Page 4 of 6 action to deter any future retaliation. If a complaint of unlawful retaliation is substantiated, appropriate disciplinary action, up to and including discharge, will be taken. Whatever action is taken against the person responsible for the retaliation will be communicated to the employee who complained. E. Additional Enforcement Information In addition to the City's internal complaint procedure, employees should also be aware that the federal Equal Employment Opportunity Commission (EEOC) and the California Department of Fair Employment and Housing (DFEH) investigate and prosecute complaints of harassment, discrimination, or retaliation in employment. The addresses and telephone numbers of these agencies can be found in the telephone directory. The policies and procedures described above apply to all types of unlawful harassment and discrimination and employees should feel free, without fear of retaliation, to follow the procedures set forth above if they believe they have been unlawfully harassed, discriminated or retaliated against. For more information, contact the City's Human Resources Division. III. AUTHORIZATION By the authority of the City Manager. Kenneth R. Pulskamp City Manager 5 of 6 City of Santa Clarita Policy Number III - 6.1 Unlawful Harassment & Discrimination ACKNOWLEDGEMENT By my signature below, I acknowledge that I have received, read and understood the City of Santa Clarita's policy, III -6.1, Unlawful Harassment & Discrimination and I will abide by its terms. Employee Printed Name Employee Signature Date S 1, 1 110—fid 11.......nulll A fT.arl�nlnulmn�In� Page 6_of 6 APPENDIX G CITY OF SANTA CLARITA NUMBER III -11 ORIGINAL ISSUE 08/92 I EFFECTIVE 01/89 CURRENT ISSUE I EFFECTIVE SUPERSEDES RESPONSIBLE DEPARTMENT: CITY MANAGER'S OFFICE I. II PURPOSE POLICY/PROCEDURE SUBJECT EQUAL EMPLOYMENT OPPORTUNITY CATEGORY HUMAN RESOURCES STANDARD MANAGEMENT PROCEDURE To set forth the specific responsibilities, procedures, actions, and data necessary for implementation by City staff. The purpose of the City's Equal Employment Opportunity Policy is to convey the ongoing commitment of the City of Santa Clarita to equal employment opportunities to all who seek employment and/or promotions within the City. It should not be interpreted as granting "preferential treatment" to specialized population groups. As a public entity, it is our duty and responsibility to meet the needs of our constituents by making efforts to ensure adequate representation of ethnic and gender groups in the City's labor force. All employees of the City of Santa Clarita are reminded that the equal employment opportunity concept is an integral, meaningful part of all employment practices. Every employee is responsible for creating a supportive work climate conducive to achieving the goals included in this policy. Obstruction of the intent or process of equal opportunity employment will not be tolerated. POLICY Statement of Policy on Equal Employment Opportunity A. The City's policy of equal employment opportunity is to recruit, hire, promote, reassign, compensate, and train for all job -classifications without regard to political affiliation or opinion, age, race, color, national origin, ancestry, religious creed, marital status, disability, medical condition, sex, sexual orientation, pregnancy, or pregnancy -related condition, All employment decisions and personnel actions, including those relating to compensation, benefits, transfers, layoff's, City -sponsored training, and tuition assistance programs shall be administered in accordance with the principle of equal employment opportunity. 1. It is the policy of the City of Santa Clarita to hire at every level of the City's service (official/administration, professional, office/clerical, technical, protective -service, skilled - craft, paraprofessional and service -maintenance) without discrimination regarding political affiliation or opinion, age, race, color, national origin ancestry, religious creed, marital status, disability, medical condition, sex, sexual orientation, pregnancy, or pregnancy -related condition. 2. The Equal Employment Opportunity Policy shall be reviewed annually to revise and expand its policies/procedures to ensure compliance with any new'laws or changes to existing laws. In order to achieve equal employment opportunity, the following policies for recruitment, selection, transfers/promotions, grievance procedures, delegation of responsibilities and monitoring the effectiveness of the policy shall be implemented. III. Dissemination of'Policy The following are the methods that are used to publicize the City's commitment to Equal Employment Opportunity: A. Internal Dissemination The City notifies supervisory and management personnel, officials, and other employees of its Equal Employment Opportunity Policy through a variety of methods. These include, but are not limited to: 1. New employees are made aware of the Equal Employment Opportunity Policy through a statement of nondiscrimination by the City Manager, City philosophy, employee handbook, etc. 2. Employee publications and bulletin boards. 3. , Management and supervisory personnel, officials and administrators are provided with information and training regarding the Equal Employment Opportunity Policy which they in turn discuss at department meetings. 4. Human Resources employees attend training classes in Equal Employment Opportunity. 5. Nondiscrimination posters (such as "Equal Employment is the Law" and "Discrimination in Employment, etc.) are posted in areas where they are viewed by employees, such as reception areas, lounges, employment offices, etc. 6. Significant events involving the positive achievements of all employees are publicized in employee publications. B. External Dissemination 1. The City of Santa Clarita works with recruiting sources and special interest and minority organizations to ensure that females and minorities are aware of openings and are submitting applications for available positions. 2. City representatives participate in seminars conducted to inform employees of the Equal Employment Opportunity Policy and to provide information to those individuals responsible for making hiring decisions. 3. Job listings describing the job duties, qualifications, training, and general information are distnbuted to minority and female organizations. 4. Minority organizations are given the name of a person to contact for employment inquiries. 2 IV, Support of Community Action Programs Recognizing its role as a major employer and provider of service throughout Santa Clarita, the City actively supports community programs which are designed to improve the employment opportunities of minorities and females, to enhance its image in the community which it serves, and to establish the City as an attractive organization for which to work. V. Outreach Recruitment A. The City's list of recruitment sources shall continually be revised to include minority employment agencies/vocational centers, minority professional associations, personnel departments of other nearby municipalities and local universities/junior colleges/trade schools. B. When appropriate, advertisements for City positions shall be placed in local special interest group newsletters/publications; also, ads shall be placed in community newspapers of nearby cities with a high percentage of minorities. C. A representative of the City shall make an annual presentation to local high schools and other institutions of higher education regarding job opportunities with the City, D. Statistics of applicant's ethnicity/race, age, physical/handicap status and their information source for the position they applied for shall be maintained by the City in order to measure the City's outreach recruitment efforts. VI. Selection A. In establishing qualifications for evaluating and screening candidates, all qualifications should be clearly job-related and established at a level no higher than actually required to satisfactorily perform the primary duties of the position in question. B. ' When a written examination is to be administered, all applicants for a position who meet the desirable minimum qualifications stated in the job specification shall receive further consideration in the examination process. C. When only an oral examination is to be administered, only the most qualified shall receive further consideration, D. All job specifications shall be valid and job related. They shall be reviewed for job relatedness, validity, and nonexclusionary content each time a vacancy is to be filled. E. Whenever possible, oral boards shall be composed of a diverse ethnic and gender representation of the population. F. During an employee's probation period, their manager/supervisor shall work closely with them to provide guidance and information about all aspects of City employment. VII. Training and Promotion A. All employees, regardless of race/ethnicity or sex, shall have an equal chance at promotional opportunities. B. In order to achieve an appropriate attitude about equal employment opportunity among employees and supervisory personnel, the City's Equal Employment Opportunity Policy shall be discussed in both employee orientation and management programs. C Employees shall receive on -the -fob -training whenever possible to prepare them for promotional opportunities_ VIII, Termination An exit interview shall be conducted with every employee who separates from the City workforce; one of the purposes of this is to find out if discrimination has taken place and to find out if that is why the employee is leaving. DX. Monitoring Effectiveness of the Equal Employment Opportunity Policy In order to adequately measure the success of the program, all employment activities are monitored including, but not limited to, the following; Applicant flow Hires Internal Actions Terminations Data on the above areas is compiled by Human Resources. This data, and other information as may be appropriate, shall form the basis for an analysis of the results of the Equal Employment Opportunity Policy and will be submitted to the City Attorney. X. Human Resources Responsibility A. When appropriate, expand the City's recruitment list by placing advertisements for City positions in local special interest group newspapers and community newspapers of nearby cities with a high percentage of minorities. B. Ensure that class specifications are current and job reluted. C. Through information provided on job bulletins, inform all prospective employees of the City's Equal Employment Opportunity Policy. D. Keep a log of applicant's ethnicity/race, age, physical/handicap status and their information source for the position they applied; this will serve as a tool to measure the City's outreach recruitment efforts. E Continue to keep all sexist language from all classification titles F. When appropriate, administer performance tests instead of written tests. G. When appropriate, use a validated test for written examinations. H. Whenever possible, oral board raters shall be composed of a diverse ethnic and gender representation of the population. I Orient all oral board raters on the City's Equal Employment Opportunity Policy. J. Review fob specifications for fob relatedness, validity and nonexclusionary content every time a vacancy is to be filled. K Orient all new and current employees on the City's Equal Employment Opportunity policy and their responsibilities in adhering to it. L. Discuss the City's Equal Employment Opportunity Policy in both employee orientations and management training programs. M. Facilitate the training of mid-level supervisors/managers so they are able to provide their subordinates with on-the-job training. N. Facilitate employee training to prepare them for promotional opportunities. 0. Provide information about educational opportunities available at local colleges/trade schools and seminars/training courses provided by professional organizations. P. Conduct an exit interview with every employee who separates from the City workforce; the purpose is to find out if discrimination has taken place and if that is why the employee is leaving. Q. Work with the City Manager and department heads on attaining progress with and resolving problems about equal employment opportunity. R. Support and abide by the policies and practices prescribed in the Equal Employment Opportunity Policy. XI. Responsibility of the City Manager A. Discuss the City's Equal Employment Opportunity Policy with newly appointed department heads. B. Preside over management meetings in order to keep department heads apprised of progress, plans or problems concerning the Equal Employment Opportunity Policy. C. Monitor Human Resources efforts in carrying out the specific responsibilities outlined in the Equal Employment Opportunity Policy. D. Support and abide by the policies and practices prescribed in the Equal Employment Opportunity Policy. E. Take corrective action with managers and supervisors whose behavior shows lack of respect for gender, religious, physical, and/or ethnic differences. 5 XII. Responsibility of Department Heads A. Ensure that there,is full compliance within their respective departments with the City's Equal Employment Opportunity Policy. B Inform managers and supervisors that one aspect of their performance is being evaluated on the basis of their Equal Employment Opportunity efforts and results. C Inform managers and supervisors that it is their responsibility to take actions to prevent harassment of employees. D. Bring recent developments in the area of Equal Employment Opportunity to the attention of their employees. E. Give supervisors on-the-job training, whenever possible, to prepare them for promotional opportunities. F. Take corrective action with managers and supervisors whose behavior shows lack of respect for gender, religious, physical, and/or ethnic differences. XIII. Responsibilities of Managers and Supervisors A. During an employee's probation period, work closely with the employee to provide guidance and information about all aspects of City employment. B. Ensure that there is full compliance within their respective departments with the policies of the City's Equal Employment Opportunity Policy, C. Bring recent developments in the area of Equal Employment Opportunity to the attention of their employees. D. Take corrective action with employees whose behavior shows lack of respect for gender, religious, physical, and/or ethnic differences. E. Take advantage of Human Resources services on management training and orientation. F. Support and abide by the policies and practices of the Equal Employment Opportunity Policy. XIV. Employee Responsibility A. Support and abide by the policies and practices prescribed in the Equal Employment Opportunity Policy. B. Not conduct themselves in such a manner which shows a lack of awareness and respect for gender, religious, physical and/or ethnic differences. C Advise supervisors of training and education received which will enhance opportunity for advancement, 6 The ultimate responsibility for the success of the Policy lies with all department heads, managers, supervisors, officials, and employees of the City of Santa Clarita, The City of Santa Clar>ta is committed to following the spirit and intent of this Policy and the support of its objectives. XV. EXCEPTIONS There are no exceptions to this policy without City Manager approval. XVI. AUTHORIZATION By the authority of the Clay Manager. 7eorge IA&Caravalho City Manager policies/111-11 Equal Employmunt Opportunity APPENDIX H City of Santa Clarita, . . Personnel Rules EXHIBIT I PERSONNEL RULES CITY OF SANTA CLARITA RULE I. DEFINITION OF TERMS SEC. 1. "Advancement": A salary increase within the limits of a pay range established for a class. SEC. 2. "Allocation": The assignment of a single position to its proper class in accordance with the duties performed, and the authority. and responsibilities exercised. SEC. 3. "Appointing Authority": The officers of the city who have the final authority to make the appointment to the position to be filled. SEC. 4. "Appropriate Unit": A unit of employee classes or positions, established pursuant to Article II thereof. SEC. 5. "Class": All positions sufficiently similar in duties, authority, and responsibility, to permit grouping under a common title in the application with equity of common standards of selection, transfer, demotion and salary. SEC. 6. "Competitive Service": All positions of employment in the service of the City, except those excluded by the personnel ordinance. SEC. 7. "Confidential Employee": An employee, who, in the course of his or her duties, has access to information relating to the City's administration of employer-employee relations. SEC. 8. "Consult/Consultation in Good Faith": Communication orally or in writing for the purpose of presenting and obtaining views or advising of intended actions; and, as distinguished from meeting and conferring in good faith regarding matters within the required scope of such meet and confer process, does not involve an exchange of proposals and counter proposals in an endeavor to reach agreement, nor is it subject to Article IV hereof. SEC. 9. "Date of Hire": The date an employee was first appointed to a permanent position with the City of Santa Clarita. SEC. 10 "Days": Calendar days unless expressly stated otherwise. SEC. 11. "Demotion": The movement of an employee from one class to another class having a lower maximum base rate of pay. SEC. 12. "Disciplinary Action": The discharge, demotion, reduction in pay, or suspension of a regular employee for punitive reasons and not for any non -punitive reasons. SEC. 13. "Eligible": A person whose name is on an employment list. SEC. 14. "Employment List": A. Open employment list: A list of names of persons who have taken an open -competitive examination for a class in the competitive service and have qualified. B. Promotional employment list: A list of names of persons who have taken a promotional examination for a class in the competitive service and have qualified. SEC. 15. "Examination": A. A. Open -competitive examination: An examination for a particular class which is open to all persons meeting the. qualifications for the class. B. Promotional examination: An examination for a particular class which is open only to employees meeting the qualifications for the class. C. Continuous examination: An open competitive examination which is administered periodically and as a result of which names are placed on an employment list, in order of final scores, for a period of not more than one year. SEC. 16. "Immediate Family": Immediate family means: spouse; natural, step or legal children; parent, including in-laws; brother or sister; grandparents; grandchild; State of California registered domestic partners and children of domestic partners. SEC. 17. "Impasse": The representatives of the City and a Recognized Employee Organization have reached a point in their meeting and conferring in good faith where their differences on matters to be included in a Memorandum of Understanding, and concerning which they are required to meet and confer, remain so substantial and prolonged that further meeting and conferring would be futile. SEC. 18. "Lay -Off': The separation of employees from the active work force due to lack of work or funds, or to the abolition of positions by the City Council for the above reasons or due to organization changes. SEC. 19. "Management Employee": An employee having responsibility for formulating, administering or managing the implementation of policies or programs. SEC. 20. "Personnel Officer": The City Manager or his/her duly authorized representative. SEC. 21. "Personnel Ordinance": Ordinance No. 88-52 which creates a personnel system for the City. SEC. 22. "Position": A group of duties and responsibilities in the competitive service requiring the full-time or part-time employment of one person. SEC. 23. "Probationary Period": A period to be considered an integral part of the examination, recruiting, testing and selection process during which an employee is required to demonstrate fitness for the position to which the employee is appointed by actual performance of the duties of the position. SEC. 24. "Promotion": The, movement of an employee from one class to another class having a higher maximum base rate of pay. SEC. 25. "Proof of Employee Support": (1) an authorization card recently signed and personally dated by an employee, or (2) a verified authorization petition or petitions recently signed and personally dated by an employee, or (3) employee dues deduction authorization, using the payroll register for the period immediately prior to the date a petition is filed hereunder, except that dues deduction authorizations for more than one employee organization for the account of any one employee shall not be considered as proof of employee support hereunder shall be the authorization last signed by an employee. The words "recently signed" shall mean within 180 days prior to the filing of a petition. SEC. 26. "Provisional Appointment": An appointment of a person who possesses the mini -mum qualification established for a particular class and who has been appointed to a position in that class in the absence of available eligibles. In no instance shall a provisional appointment exceed six months, unless extended by the City Manager. SEC. 27. "Recognized Employee Organization": An employee organization which has been formally acknowledged by the City as the employee organization that represents the employees in an appropriate representation unit pursuant to Article II hereof. SEC. 28. "Regular Employee": An employee in the competitive service who has successfully completed the probationary period and has been retained as hereafter pro-vided in these rules. SEC. 29. "Reinstatement": The restoration without examination of a former regular employee to a classification in which the employee formerly served as a regular non -probationary employee. SEC. 30. "Relief of Duty": The temporary assignment of an employee to a status of leave with pay. SEC. 31. "Seniority": The amount of time spent in paid status in'a permanent City position. Seniority is accrued for full months of City service. Individuals serving in part time positions shall have their seniority calculated proportionately. SEC. 32. "Supervisory Employee": Means any employee having authority, in the interest of the City, to hire, transfer, suspend, lay off, recall, promote, discharge, assign, reward, or discipline other employees, or responsibility to direct them, or to adjust their grievances, or effectively to recommend such action, if, in connection with the foregoing, the exercise of such authority is not of a merely routine or clerical nature, but requires the use of independent judgement. - SEC. 33. "Suspension": The temporary separation from service of an employee without pay for disciplinary purposes. SEC. 34. "Temporary Employee": An employee who is appointed to a non -regular position for a limited period of time. SEC. 35. "Transfer": A change of an employee from one position to another position in the same class or in a comparable class. RULE II. ADMINISTRATIVE PROCEDURES SEC. 1. Purpose of the Personnel Rules: These personnel rules establish the policies and procedures for the administration of the City's personnel system. Except as other -wise provided, the personnel rules shall apply to those employees occupying positions in classifications in the competitive service. The City may apply portions of these rules to individuals not in the classified service. However, in no event shall provisions regarding discipline, appeals, etc. be construed to apply to individuals not in the classified service. SEC. 2. Delegation of Authority: Except as otherwise provided, any duties, responsibilities, powers, and authority granted by these rules or the personnel ordinance to the appointing authority, personnel officer, or department managers, may be delegated, in writing, to any subordinate employee at the discretion of the delegating individual. RULE III. CLASSIFICATION SEC, 1. Preparation of Plan: The Personnel Officer, or a person or agency employed for that purpose, shall ascertain and record the duties and responsibilities of all positions in the competitive service and shall recommend a classification plan for such positions. The classification plan shall consist of classes of positions in the competitive service defined by class specifications including the title. The classification plan shall be so developed and maintained that all positions substantially similar with respect to duties, responsibilities, authority and character of work are included within the same class. SEC. 2. Adoption, Amendment and Revision of Plan: The classification plan shall be adopted by the City Manager and may be amended by the City Manager. SEC. 3. Allocation of Positions: Following the adoption of the classification plan and consultation with any recognized employee organization affected, the Personnel Officer shall allocate every position in the competitive service to one of the classes established by the plan. SEC. 4. New Positions- A new position shall not be created and filled until the classification plan has been amended to provide therefore and an appropriate employment list established for such position. SEC. 5. Reclassification: Positions, the assigned duties of which have been materially changed by the City so as to necessitate reclassification, whether new or already created, shall be allocated by the Personnel Officer to a more appropriate class. Reclassification shall not be used for the purpose of avoiding restrictions concerning demotions and promotions, nor to effect a change in salary in the absence of a significant change in assigned duties and responsibilities. RULE IV. APPLICATIONS AND APPLICANTS SEC. 1. Announcement: All examinations for classes in the competitive service shall be publicized by such methods as the Personnel Officer deems appropriate. Special recruiting shall be conducted, if necessary, to insure that all segments of the community are aware of the forthcoming examinations. The announcements shall specify the title and pay of the class for which the examination is announced; the nature of the work to be performed; preparation desirable for the performance of the work of the class; the manner of making application and other pertinent information. SEC. 2. Application Forms: Applications shall be made as prescribed on the examination announcement. Application forms shall require information covering training, experience and other pertinent information, and may include certificates of one or more examining physicians, references and fingerprints All applications must be signed by the person applying. SEC. 3. Disqualification: The Personnel Officer may reject any application which indicates on its face that the applicant does not possess the minimum qualifications required for the position, or for any other valid reason as determined by the personnel Officer. SEC. 4. Ineligibility for Employment: A. Further examination or consideration for employment of any applicant may be discontinued, and any temporary or probational employment of any person may be terminated, when either of the following has been determined to the satisfaction of the Personnel Officer: That the applicant has been convicted of a felony and such felony conviction, in the opinion of the Personnel Officer, is contrary to the qualifications for the functions and duties of the position for which the employment application is made; or 2. That the applicant has been convicted of a misdemeanor involving moral turpitude, dishonesty, fraud, deceit or evidencing a trait or disposition which, in the opinion of the Personnel Officer, is contrary to the qualifications for or the functions and duties of the position for which the employment application is made. SEC. 5. Personnel Officer; Record Information: A Pursuant to sections 11105 (b) (10) and 13305 (b) (10) of the California Penal Code, the person holding the position of and bearing the title of Personnel Officer, where access is needed in order to assist such Personnel Officer in fulfilling employment duties, is hereby authorized and directed to obtain criminal offender record information for and on behalf of the City of Santa Clarita for use in making or assisting in making of determinations pursuant to Section 4 above. SEC. 6. Law Enforcement Authority; Record Information: A. Pursuant to sections 11105 (b) (10) and 13305 (b) (10) of the California Penal Code, the Attorney General of the State of California and Police Department of the City of Santa Clarita are hereby authorized and upon request of the Personnel Officer are hereby directed to obtain and to disseminate to the Personnel Officer criminal offender record information for and on behalf of the City of Santa Clarita for use in making or assisting in making of determinations pursuant to Section 4 above SEC. 7. Utilization of Record Information: )A. The Personnel Officer shall be the custodian of, shall have sole access to and shall not knowingly disclose any information received from and maintained by a law enforcement or criminal justice agency pertaining to the criminal record of an applicant for employment except insofar as is necessary to carry out duties which are inherently a part of acting on the basis of such information. The use of said information, for the purposes described in Section 4, shall solely be the duty of the Personnel Officer, and shall not be delegated to persons not authorized by this section to use such information. B. The Personnel Officer shall not seek from any source whatsoever, or utilize, as a factor in determining any condition of employment including hiring, promotion, termination, or any apprenticeship training program or any other training program leading to employment, any record of arrest or detention which did not result in conviction. As used in this section, a conviction shall include a plea, verdict, or finding of guilt regardless of whether sentence is imposed by the court. RULE V. EXAMINATIONS SEC. 1. Examination Process: The selection techniques used in the examination process shall be impartial and relate to those subjects which, in the opinion of the Personnel Officer, fairly measure the relative capacities of the persons examined to execute the duties and responsibilities of the class to which they seek to be appointed. Examinations may include but are not necessarily limited to achievement and aptitude tests, other written tests, personal interview, performance tests, physical agility tests, evaluation of daily work performance, work samples, medical tests, psychological tests, successful completion of prescribed training or other examination techniques as determined by the Personnel Officer. The probationary period shall be considered a portion of the examination process. Examinations shall be designed to provide equal opportunity to all candidates by being based on an analysis of the essential requirements of the class, covering only factors related to such requirements. SEC. 2. Promotional Examinations: Promotional examinations may be conducted wherever, in the opinion of the Personnel Officer, the needs of the service required. Promotional examinations may include any of the selection techniques mentioned in Section 1 of this rule, or any combination of them. Only regular or probationary employees who meet the requirements set forth in the promotional examination announcements may compete in promotional examinations. SEC. 3. Continuous Examination: Open -competitive examinations may be administered periodically for a single class as the needs of the service require. Names shall be placed on employment lists, and shall remain on such lists as prescribed in Rule VI. SEC. 4. Conduct of Examination: The Personnel Officer may contract with any competent agency or individual for the preparing and/or administering of examinations. In the absence of such a contract, the Personnel Officer shall see that such duties are performed. SEC. 5. Notification of Examination Results and Review of Papers: Each candidate in an examination shall be given notice of the results thereof and, if successful, of the final earned score and/or rank on the employment list. RULE VI. EMPLOYMENT LISTS SEC. 1, Employment Lists: As soon as possible after the completion of an examination, the Personnel Officer shall prepare and maintain an employment list consisting of the names of candidates who qualified in the examination. SEC. 2. Duration of Lists: Employment lists other than those resulting from a continuous examination shall remain in effect until exhausted or abolished by the Personnel Officer. The Personnel Officer may abolish an employment list any time the needs of the City so require. SEC 3. Removal of Names from List: The name of any person appearing on an employment, re-employment or promotional list shall be removed by the Personnel Officer if the eligible requests in writing that the name be removed or if the eligible fails to respond to a notice of certification mailed to the last designated address. The person affected shall be notified of the removal of the name by a notice mailed to the last known address. The names of persons on promotional employment lists who resign from the service shall automatically be dropped from such lists. RULE VII. METHOD OF FILLING VACANCIES SEC. 1. Types of Appointment: All vacancies in the competitive service shall be filled by transfer, demotion, re-employment, reinstatement, or from an appropriate employment by the Personnel Officer from an appropriate employment list, if available. In the absence of persons eligible for appointments in these ways, provisional appointments may be made in accordance with these Personnel Rules. SEC. 2. Notice to Personnel Officer: If a vacancy in the competitive service is to be filled, the appointing power shall notify the Personnel Officer. If there is no re-employment list available for the class, the appointing power shall have the right to decide whether to fill the vacancy by reinstatement, transfer, demotion, appointment from a promotional employment list or appointment from an open employment list. SEC. 3. Certification of Eligibles: If the appointing power does not consider it in the City's best interest to fill the vacancy by reinstatement, transfer, or demotion, or if it is not possible to fill the vacancy by re-employment, certification shall be made from an appropriate employment list provided eligibles are available. When the appointing power requests a vacancy be filled by appointment from a promotional employment list or from an open employment list, the Personnel Officer should certify from the specified list the names of all individuals willing to accept appointment. Whenever there are fewer than three naives of individuals willing to accept appointment, on a promotional employment or on an open employment list, the appointing power may make an appointment from among such eligibles or may direct the Personnel Officer to establish a new list. SEC. 4. Appointment: After interview and investigation, the appointing power shall make appointments from among those certified, and shall immediately notify the Personnel Officer of the persons appointed. The person accepting appointment shall report to the Personnel Officer, or the Personnel Officer's designated representative for processing on or before the date of appointment. If the applicant accepts the appointment and reports for duty within such period of time as the appointing authority shall prescribe, the applicant shall be deemed to be appointed; otherwise, the applicant shall be deemed to have declined the appointment. SEC. 5. Provisional Appointment: In the absence of there being names of individuals willing to accept appointment from appropriate employment lists, a provisional appointment may be made by the appointing authority of a person meeting the minimum training and experience qualifications for the position. A provisional employee may be removed at any time without the right of appeal or hearing. No provisional appointment shall exceed six months, without the approval of the City Manager. A provisional appointee shall accrue the same benefits as probationary employees. If a provisional appointee is selected for a full-time position with the City, the time served as a provisional appointee shall not be counted as time toward the fulfillment of the required probationary period. No special credit shall be allowed in meeting any qualifications or in the giving of any test or the establishment of any open -competitive promotional lists, for service rendered under a provisional appointment. RULE VIII. PROBATIONARY PERIOD SEC. 1. Regular Appointment Following Probationary Period: All original and promotional appointments shall be tentative and subject to a probationary period of not less than one year actual service to be determined for each class by the Personnel Officer. Public Safety employees, however, shall serve a probationary period of 18 months. The appointing authority may extend such probationary period up to six months. The Personnel Officer shall notify the appointing authority and the probationer concerned two weeks prior to the termination of any probationary period. If the service of the probationary employee has been satisfactory to the appointing authority, then the appointing authority shall file with the Personnel Officer a statement in writing to such effect and stating that the retention of such employee in the service is desired. If such a statement is not filed, the employee will be deemed to be unsatisfactory and his employment terminated at the expiration of the probationary period. Where a statement of satisfactory service has not been filed, notice of the termination shall be served on the terminated employee by the Personnel Officer after the expiration of the probationary period. SEC. 2. Objective of Probationary Period: The probationary period shall be regarded"as a part of the selection process and shall be utilized for closely observing the employee's work and for securing the most effective adjustment of a new employee to his position. SEC. 3 Refection of Probationer: During the probationary period, an employee may be refected at any time by the appointing authority without cause and without the right of appeal. Notification of refection by the appointing authority shall be served on the probationer. SEC 4 Rejection Following Promotion: Any employee refected during or at the conclusion of the probationary period following a promotional appointment, shall be reinstated to the position from which the employee was promoted unless charges are filed and the employee is discharged in the manner provided in the Personnel Ordinance and these rules for positions in the competitive service, provided that a vacancy exists If there is no vacancy in such position, the employee may request to be placed on a re-employment list. RULE IX. TRANSFER, PROMOTION, DEMOTION, SUSPENSION AND REINSTATEMENT SEC. 1. Transfer: No Person shall be transferred to a position for which that person does not possess the minimum qualifications. Upon notice to the Personnel Officer, an employee may be transferred by the appointing power or designee at any time from one position to another position in a comparable class. For transfer purposes, a comparable class is one with the same maximum salary, involves the performance of similar duties and requires substantially the same basic qualifications. If the transfer involves a change from one department to another, both department heads must consent thereto unless the City Manager orders the transfer. Transfer shall not be used to effectuate a promotion, demotion, advancement, or reduction, each of which may be accomplished only as provided in the Personnel Ordinance or these Rules. SEC. 2. Promotion. If, in the opinion of the Personnel Officer, it is in the best interests of the municipal service, a vacancy in the position may be filled by a promotional examination instead of open -competitive examination. SEC. 3 Demotion: The appointing power may demote an employee whose ability to per -form the required duties falls below standard, or for disciplinary purposes. Upon request of the employee, and with the consent of the appointing power, demotion may be made to a vacant position. No employee shall be demoted to a position who does not possess the minimum qualifications. Disciplinary demotion action shall be in accordance with Rule X hereof. SEC. 4. Voluntary Demotion: Upon written request of an employee and with the approval of the appointing authority, an employee may voluntarily demote to a different classification for which they are qualified. A voluntarily demoted employee shall be assigned to the highest pay rate in the pay range for such employee's new classification which is not more than the employee's pay rate in effect immediately prior to such demotion. SEC. 5. Suspension: The appointing authority may suspend an employee from a position at any time for a disciplinary purpose. Suspension without pay shall not exceed 30 calendar days, nor shall any employee be penalized by suspension for more than 30 calendar days in any fiscal year. Department heads may suspend a subordinate employee for not more than four working days at any one time, and not more than once in a 30 calendar day period. Suspension actions shall be reported immediately to the Personnel Officer, and shall be taken in accordance with Rule X here -of. SEC. 6. Reinstatement: With the approval of the appointing authority, a regular employee or probationary employee who has completed at least six months of probationary service and who has resigned with a good record may be reinstated within two years of the effective date of resignation, to a vacant position in the same or comparable class. Upon reinstatement, the employee shall be subject to the probationary period prescribed for the class. No credit for former employment shall be granted in computing salary, vacation, sick leave or other benefits except on the specific direction of the appointing authority at the time of reinstatement. SEC. 7. Out of Class Assignment: With the approval of the City Manager, regular or probationary employees may be assigned to a higher level classification in the case of unusual extended leaves and/or vacancies of 30 consecutive calendar days or more as a professional growth and developmental opportunity. Assignment must last for a minimum of 30 consecutive calendar days to a maximum of six consecutive months. The City Manager may approve extending the length of an assignment. Employees appointed to an Out -of -Class Assignment will be compensated, at City Manager discretion, at not less than a 5% increase over their current salary, to a maximum of E step of the higher level classification. Benefit levels will remain unchanged for the duration of the Out -o£ -Class Assignment. Compensation changes will be effective with the first day of the Out -of -Class Assignment. RULE X. DISCIPLINARY ACTION SEC. 1. Legitimate Reasons for Disciplinary Action: Disciplinary action consists of discharge, involuntary demotion, suspension, reduction in salary, or transfer for purposes of punishment. Written reprimands, deferred merit salary increases and negative performance evaluations are not considered disciplinary actions. Discipline will not be imposed except upon a showing of cause which may include but shall not be limited to the following. A. Violation of City Rules, ordinances, and/or administrative policies and procedures; B. Failure to properly perform assigned duties; C. Theft of City property; D. Insubordination; E. Conviction of a felony, or conviction of a misdemeanor relating to the employee's fitness to perform assigned duties; F. Unauthorized absence from employment; G. Tardiness; ' H. Failure to maintain satisfactory working relationships with other employees or the public; I. Reporting for work, or being at work, under the influence of or in possession of alcohol, or non -prescribed controlled substances, J. Improper use of City funds; K. Unauthorized use of City property; L. Falsification of records, and any information provided on an application for employment; M. Failure to properly care for City property; N. Acceptance of any gift, (other than as provided for by written city policy) reward or other form of compensation in addition to regular compensation for performance of official duties; O. Misstatement of material fact; P. Indolence, carelessness or negligence; Q. Failure to maintain any employment qualification; R. Discourteous treatment of the public; S. Failure to comply with safety standards; T. Abuse of sick leave; U. Other failure of good behavior either during or outside of employment such that the employee's conduct causes discredit to the City. SEC. 2. Disciplining Authority: Department managers shall have the authority to impose discipline up to a suspension of four working days. The department manager shall have the responsibility to institute disciplinary action, to schedule and conduct any predisciplinary conference and to recommend the imposition of disciplinary action of a severity equivalent to a suspension of five working days or more. SEC. 3. Notice of Discipline: Prior to recommending the imposition of any disciplinary action of a severity equal to a suspension of five days or more, the department manager shall issue a Notice of Intent to the employee setting forth the nature of the proposed disciplinary action and any specific charges against the employee. The Notice of Intent shall also inform the employee of their right to receive copies of the written documents and materials upon which the proposed disciplinary action is based and of their right to respond either orally or in writing within five business days from the date of the issuance of the Notice of Intent SEC. 4. Representation: If an employee requests or is required to meet with a department manager or supervisor and such meeting involves the possible imposition of disciplinary action against the employee, the employee upon request, shall be entitled to have a representative present at such meeting. SEC. 5. Emergency Suspension: When a department manager determines that an employee's conduct threatens or has caused injury to persons or property, the department manager may impose a suspension with pay against the employee, effective immediately, until a pre -disciplinary conference is conducted pursuant to Section 3 above. The imposition of an emergency suspension against an employee does not preclude the department manager from proposing a more severe disciplinary action against such employee receiving an emergency suspension. Within three days of such emergency suspension, the department manager shall notify the employee, in writing, of the nature of any proposed disciplinary action, the reason for the disciplinary action and of any specific charge against the employee, and of the employee's right to receive copies of the documents and materials upon which the disciplinary action is based, and of the employee's right to respond to the charge, either orally or in writing. The department manager, unless otherwise requested by the employee, shall conduct a disciplinary conference in not less than ten days after the effective date of the emergency suspension. RULE XI. APPEAL PROCEDURES SEC. 1. Requests for Disciplinary Hearings: Employees shall have the right to appeal the imposition of disciplinary action of a severity equal to a suspension of five days or more. When an employee requests a disciplinary hearing, the request shall be in writing, signed by the employee or representative and presented to the Personnel Officer within ten business days after the date of the Notice of Imposition of the disciplinary action if personally served, and 15 days if served by mail. Any such requests shall be addressed to the Personnel Officer and shall identify the subject matter of the appeal, the grounds for the appeal and the relief desired by the employee. All disciplinary hearings shall be conducted in private unless the employee requests, in writing, a public hearing If the employee fails to request a disciplinary hearing within the prescribed time, the employee shall have waived the right to a hearing and all rights to further appeal of the disciplinary action. SEC. 2. Scheduling of Disciplinary Hearing: The Personnel Officer shall schedule any disciplinary hearing within a reasonable time after the filing of the employee's request, considering the availability of a Hearing Officer and the convenience of the employee and witnesses. SEC. 3. Hearing Officer: The appointing authority shall be the Hearing Officer for disciplinary hearings except that the appointing authority may designate a department director or third party as the Hearing Officer for any disciplinary hearing. SEC. 4. Representation at Disciplinary Hearing: At the disciplinary hearing, the employee may appear personally and may be represented by counsel or other representative. The employee and the City shall have the right to produce and confront witnesses, and to present any relevant oral or documentary evidence. SEC. 5. Conduct of Disciplinary Hearing: The conduct of the disciplinary hearings shall be under the control of the Hearing Officer with due regard for the rights and privileges of the parties. During the examination of a witness, the Hearing Officer may exclude from the hearing any and all other witnesses. The Hearing Officer shall have the power to issue subpoenas to compel the attendance of witnesses and to require the production of documents. SEC. 6. Hearing Officer's Decision: Within 30 days after the disciplinary hearing, the Hearing Officer shall issue a written decision containing findings of fact and conclusion of law. The Hearing officer shall have the authority to affirm, revoke or reduce the disciplinary action imposed against the employee. The Hearing Officer's decision constitutes a final resolution of any disciplinary action and no further appeal shall be permitted within the City's administrative process. RULE XII. LAYOFF POLICY AND PROCEDURE SEC. 1. Statement of Intent: Whenever, in the judgement of the City Council, it becomes necessary to abolish any position or employment, the employee holding such position or employment, may be laid off or demoted without disciplinary action and without the right of appeal. SEC. 2. Notification: Employees to be laid off shall be given, whenever possible, at least 14 calendar days prior notice. SEC. 3 Vacancy and Demotion: Except as otherwise provided, whenever there is a reduction in the workforce, the appointing authority shall first demote to a vacancy, if any, in a lower class for which the employee who is the latest to be laid off in accordance with Section 6 is qualified. All persons so demoted shall have their names placed on the re- employment list. SEC. 4. Employee Rights: An employee affected by layoff shall have the right to displace an employee in the same department who has less seniority in a lower class in the same class series or in a lower classification in which the affected employee once had regular status. For the purpose of this section and Section 5, seniority includes all periods of full-time service at or above the classification level where layoff is to occur. SEC. 5. Seniority: In order to retreat to a former or lower class, an employee must have more seniority than at least one of the incumbents in the retreat class and request displacement action in writing to the Personnel Officer within five working days of receipt of notice of layoff. Employees retreating to a lower or similar class shall be placed at the salary step representing the least loss of pay. In no case shall the salary be increased above that received in the class from which the employee was laid off. Employees retreating to a lower or similar class shall serve a probationary period in the new class unless they have previously successfully completed a probationary period in the class or a class in the class series. SEC. 6. Employment Status: In each class of position, employees shall be laid off according to employment status in the following order: temporary, provisional, probationary and regular. Temporary, provisional and probationary employees shall be laid off according to the needs of the service as determined by the appointing authority. In cases where there are two or more regular employees in the class from which the layoff is to be made, such employees shall be laid off on the basis of the last evaluation rating in the class, providing such rating has been on file at least 30 days and no more than 12 months prior to layoff as follows: First, all employees having ratings of "improvement needed." Second, all employees having ratings of "competent." Third, all employees having ratings of "out -standing." Employees within each category shall be laid off in inverse order of seniority in City service. SEC. 7. Re-employment List: The names of persons laid off or demoted in accordance with these rules shall be entered upon a re-employment list. Lists from different departments or at different times for the same class of position shall be combined into a single list. Such list shall be used by every appointing authority when a vacancy arises in the same or lower class of position before certification is made from an eligible list SEC. 8. Duration of Re-employment List: Names of persons laid off shall be carried on a re-employment list for one year, except that persons appointed to permanent positions of the same level as that which laid off, shall, upon such appointment, be dropped from the list. Persons who refuse re-employment shall be dropped from the list. Persons re-employed in a lower class, or on a temporary basis, shall be continued on the list for the higher position for one year. RULE XIII. SEPARATION FROM SERVICE SEC. 1. Discharge: An employee in the competitive service may be discharged at any time by the appointing power. Whenever it is the intention of the appointing power to discharge an employee in the competitive service, the Personnel Officer shall be notified. Disciplinary discharge action shall be taken in accordance with Rules X. SEC. 2. Resignation: Any employee wishing to leave the competitive service in good standing shall file with the appointing authority a written resignation stating the effective date and reasons for leaving at least two weeks before leaving the service, unless such time limit is waived by the appointing authority. A statement as to the resigned employee's service performance and other pertinent information shall be forwarded to the Personnel Officer. Failure to give notice as required by this rule shall be cause for denying future employment by the City. RULE XIV ADMINISTRATIVE LEAVES, REPORTS AND RECORDS SEC. 1. Attendance- Employees shall be in attendance at their work in accordance with the rules regarding hours of work, holidays and leaves. All departments shall keep daily attendance records of employees which shall be reported to the Personnel Officer in the form and on the dates he shall specify. Failure on the part of an employee, absent without leave, to return to duty within 24 hours after notice to return shall be considered a voluntary resignation, and such employee automatically waives all rights under the personnel ordinance and these rules. The depositing in the United States mail of a first class letter, postage paid, addressed to the employee's last known place of address, shall be reasonable notice. SEC. 2. Military Leave: Military leave shall be granted in accordance with the provisions of state law. In addition, during active military campaigns (such as Operation Desert Storm, Afghanistan, Iraq, etc.), employees who are called to serve due to campaign shall be entitled to a continuation of their City pay, offset by military pay for a total of 180 days for the period of active duty. If the employee is entitled to benefits under the provisions of state law, the offset City pay shall be reduced by such State mandated benefits. SEC 3. Leave of Absence Without Pay: The City Manager, in his/her unrestricted discretion, may grant a regular or probationary employee Leave of Absence Without Pay or seniority for not to exceed three months. After three months, the Leave of Absence Without Pay may be extended if so authorized. Department heads may grant a regular or probationary employee leave of absence without pay for not to exceed one calendar week. All such leaves shall be reported to the Personnel Officer. No such leave shall be granted except upon written request of the employee, at least 30 days in advance, setting forth the reason for the request. When such advance notice is not practicable, the request must be submitted as much in advance of the date of the Leave of Absence Without Pay as possible. Employees are required to exhaust all accrued leave time, which they are eligible to use under the City's policies, prior to becoming eligible for a Leave of Absence Without Pay. The approvals of such leaves shall be in writing. Upon expiration of a regularly approved,leave or within a reasonable period of time after notice to return to duty, the employee shall be reinstated in the position held at the time the leave was granted or an equivalent position. Failure on the part of an employee on leave to report promptly at its expiration, or within a reasonable time after notice to return to duty, shall be deemed to be discharged. Depositing in the United States mail of a first class letter, postage paid, addressed to the employee's last known place of address, shall be reasonable notice. SEC. 4. Vacation Leave: The time at which an employee shall take vacation leave shall be determined by the appointing authority with due regard for the wishes of the employee and with particular regard for the needs of service. Regular and Probationary employees shall accrue vacation at the rates specified in the City's Salary Resolution and Administrative Policy III -1.1. Vacation accruals for the first and last months of work will be prorated based on the percentage of days in the month the employee is on the payroll. Accumulation of unused vacation leave credit which exceeds three times an employee's annual accrual shall be converted to pay at the applicable rate and paid out to affected employees in August of each calendar year unless otherwise authorized by the City Manager. SEC. 5. Jury Duty: Every classified employee of the City who is called or required to serve as a trial juror, upon notification and appropriate verification submitted to his/her supervisor, shall be entitled to be absent from his/her duties with the City during the period of such service or while necessarily being present in court as a result of such call. The employee shall turn over to the City any pay received for jury duty. SEC. 6. Family Care and Medical Leave: Leaves shall be granted in accordance with the provisions of state and federal laws and established City policies and procedures for the administration of such laws. SEC. 7. SICK LEAVE: A. Accrual: Regular and Probationary employees shall accrue sick leave at the rates specified in the City's Salary Resolution and Administrative Policy III -1.1. Sick leave accruals for the first and last months of work will be prorated based on the percentage of days in the month the employee is on the payroll. B. Usage: Sick leave may be taken for absences from duty made necessary by: 1. Personal illness or physical incapacity caused by factors over which the employee has no reasonable or immediate control. 2. Injury, either fob or non -job related. In cases of job related injury, employee shall be charged with sick leave usage only to the extent that their salary is not covered by Worker's Compensation. 3. Medical, dental or eye examination or treatment for which appointment cannot be made outside of working hours. 4. Hospitalization of a member of the immediate family or any member of an employee's household for whom the employee is entitled to claim an exemption under the federal tax laws. Sick leave usage shall be limited to the day of an operation, the day of birth of the employee's child, or during the critical illness of a member of the employee's immediate family. 5. Care of a member of the immediate family who is critically ill or inured though not hospitalized where such leave is approved by the department head. An employee on sick leave shall notify the head of the department or such other person as departmental rules may provide promptly on the first day of absence of the reason for requiring such leave. Failure to do so may be grounds for denial of sick leave. Conversion of vacation to sick leave is authorized only if the employee is confined to a hospital. Verification shall be submitted from the attending physician or the hospital. Sick leave shall automatically be terminated on the date of retirement of the employee or the date on which the ordinary disability allowance under the retirement system becomes effective. Inability to work because of intemperance is not an authorized reason for sick leave. C. Verification A supervisor or department head may require a doctor's verification of illness for any period of absence; however, it shall be mandatory for any employee absent for more than seven calendar days due to illness or non - job related injury. The doctor's verification must include: 1. The employee's name. 2. The name and address of the doctor. 3. A statement by the physician that the employee is under the care of the physician and that the illness/injury prevents the employee from per -forming their duties. 4. Statement of specific dates the doctor recommends the employee stay off work. 5. Date(s) employee was seen by the doctor. 6. Verification must be signed (not signature -stamped) by the physician. D. Extended Absence: When a sick leave absence exceeds 15 calendar days, the employee must file with their department head, not later than three calendar days following the 15 -day period, a statement from the employee's physician regarding the estimated length of disability. If the length of absence exceeds the stated estimated period of disability, a new statement must be filed within three calendar days following the expiration of the original estimated date of return. When the use of extended sick leave is predicted, the employee's physical condition will be evaluated to determine the nature and duration of disability. When a physical evaluation indicates that the employee suffers from a permanent or long-term disability that will interfere with the performance of their duties, it will be the responsibility of the department head to initiate action to transfer, return, terminate or modify duties of the employee. No exceptions to the foregoing procedure are authorized except by the express permission of the City Manager. E. Incentive Program: The sell back of sick leave to the City shall be as follows Employees who utilize sick leave between January 1st and November 30th of each calendar year, based on the following schedule, shall be eligible to convert to cash or vacation accrual in the last paycheck in December of the same calendar year, the amount of time from their sick leave balance indicated on said schedule. Under no circumstances shall an employee cash out or convert to vacation accrual any sick leave amounts in excess of their available balance at the time of payout. No sick leave usage = 5 days conversion eligibility Up to 1 day sick leave usage = 3 days conversion eligibility Up to 2 days sick leave usage = 2 days conversion eligibility Up to 3 days sick leave'usage = 1 day conversion eligibility A day is defined as the number of hours an employee is regularly scheduled to work in one day, not to exceed nine hours. 2. Employees who have a sick leave balance of 201 hours as of November 301h of any calendar year are eligible to convert to cash or vacation in the last pay -check in December of the same calendar year, up to 10% of their sick leave balance up to 500 hours. Any employee who attains eligibility for both sections 1 and 2 as described above, shall take advantage of only one part, whichever provides the most benefit to the employee. No exceptions to the forgoing procedure are authorized except by the express permission of the City Manager. SEC. 8. Personnel Records: The Personnel Officer shall maintain a service of personnel record for each employee in the service of the City showing the naive, title of position held, the department to which assigned, salary, changes in employment status and such other information as may be considered pertinent by the Personnel Officer. SEC. 9. Change of Status Report: Every appointment, transfer, promotion, demotion, change of salary rate or any other temporary or permanent change in status of employees shall be reported to the Personnel Officer in such manner as he/she may prescribe. SEC. 10. Pregnancy Disability Leave: Leaves shall be granted in accordance with state laws and established City policies and procedures for administration of such laws. SEC. 11. Holidays: City Holidays shall be observed per Ordinance No. 88-38. Any regular or probationary exempt or non-exempt employee whose regularly scheduled day off falls on a designated City holiday will accrue an additional floating holiday for that calendar year. Any regular or probationary non-exempt employee who is requested by their supervisor to report to work on a designated City holiday will receive time and one half for the hours worked on the holiday in addition to their regular holiday pay. Regular and Probationary full time employees shall accrue eight hours of pay for each holiday Regular and Probationary part time employees shall accrue holiday hours on a pro rata basis according to the number of hours they regularly work on a daily basis. SEC. 12. Bereavement Leave: Bereavement Leave may be granted by a Department Head for employee absence from duty made necessary by death in the employee's immediate family, to a maximum of four working days. SEC. 13. Fitness for Duty Leave: The appointing authority may place an employee on a Fitness for Duty Leave, when in his/her judgement, an employee is incapacitated to perform the regular functions of the position. The appointing authority shall obtain necessary medical reports prior to taking such action, or in emergencies, pending the outcome of the medical evaluation of the employee's physical and/or mental health as it relates to the performance of his or her work. City ordered medical examinations shall be paid for by the City. RULE XV. GRIEVANCE PROCEDURES SEC. 1. Purpose of Grievance Procedure: The grievance procedure shall be used to resolve employee complaints regarding: A An alleged violation of any Memoranda of Understanding. B. An alleged violation of the City's Personnel Ordinance or Rules. Specifically excluded from the grievance procedure are: A. Performance evaluations including deferral of merit increases. B. Written reprimands. C. Policy decisions of the City Council. D. Matters for which there is a separate appeal, including disciplinary action. SEC. 2. Informal Discussion of Grievance: When an employee has a complaint, the employee shall first informally discuss the matter with the employee's immediate supervisor within 15 calendar days from the date of the incident or decision generating the grievance. If, after discussion, the complaint has not been satisfactorily resolved the employee shall have the right to file a formal grievance. SEC. 3. Formal Grievance Procedure: The formal grievance procedure shall be used to resolve an employee's complaint not satisfactorily resolved by informal discussion. A. An employee shall have the right to present a formal grievance, in writing, within five working days after the informal discussion of the grievance with the immediate supervisor or the immediate supervisor's superior All formal grievances shall state the reasons for the complaint and the employee's suggested solution. B The formal grievance shall be presented to the department manager. The department manager shall discuss the grievance with the employee and/or the employee's representative. Within ten working days after receipt of the formal grievance, the department manager shall render a written decision regarding its merits. If the department manager's decision does not satisfactorily resolve the complaint, the employee may present the formal grievance to the appointing authority. The grievance shall be considered resolved and no further review of the subject matter of the grievance shall be permitted under this rule when the employee does not seek further review of the grievance within five working days after receipt of the decision of the department manager Failure of the department manager to render a written decision on the grievance within five working days constitutes a decision denying the grievance. C. When the employee presents a formal grievance to the appointing authority or his/her designee, the appointing authority or his/her designee shall discuss the grievance with the employee and the employee's representative. Within 15 days after meeting with the employee and the employee's representative, the appointing authority or his/her designee shall render a written decision regarding its merits. The decision of the appointing authority or his/her designee shall resolve the grievance and no further review of the subject matter of the grievance shall be permitted within the City's administrative process. D. The City shall not institute any reprisals against any employee or any representative resulting from the use of the grievance procedure. RULE XVI. PERFORMANCE EVALUATION PROCEDURE SEC. 1. Purpose of Performance Report: The department manager shall be responsible for the evaluation of the work performance of an employee. The appointing authority or department manager may use the performance evaluation report to promote or train an employee or as a basis for disciplinary action. The department manager shall use only fob related factors to evaluate an employee's work performance. SEC. 2. Preparation of Performance Report: During the probationary period, the probationary employee or promotional appointee shall be evaluated after three months and six months. An evaluation after nine months is optional and left to the discretion of the supervisor. Thereafter, every employee shall be evaluated every 12 months. An employee may also be evaluated at any time at the discretion of the supervisor. SEC. 3. Non -Appealable• Employees may attach a reasonable amount of rebuttal material to any evaluation with which they disagree. Evaluations are not subject to any form of appeal. RULE XVII. WORK SCHEDULES SEC. 1. All employees shall -be assigned a regular work schedule as required by the needs of the City. Except in the cases of emergency, the City shall give employees five calendar days notice prior to changing their regular work schedule. RULE XVIII. SALARY PLAN SEC. 1. Each job classification shall be assigned to a five step salary range which shall operate as follows: A. The first step will be the hiring date unless otherwise determined by the appointing authority. B. The second, third and fourth steps may be granted to employees after 12 months of fully satisfactory service at the previous step upon the recommendation of the Department Manager and the approval of the City Manager or his/her designee. C. The fifth step may be granted to employees after 12 months of above average service at the fourth step upon the recommendation of the Department Head and the approval of the City Manager or his/her designee. Salary step increases shall be granted for merit only. There shall be no appeal for the denial of a salary step increase. RULE XIX. DRUG TESTING SEC. 1. Conditions Allowing for Testing: Employees may be subjected to drug testing if the City has a reasonable suspicion that the employee is using (1) illegal drugs; (2) prescription drugs without or contrary to a prescription, (3) being under the influence of alcohol during working hours. Reasonable suspicion shall mean an articulable and specific state of facts and/or circumstances which would lead a reasonable person to believe an individual was using unlawful drugs/narcotics, alcohol or prescription drugs without or contrary to a prescription. No information or knowledge obtained through application of this policy/procedure may be used for other than administrative purposes. SEC. 2 Authority for Testing: Only the Personnel Officer or an employee's department head or his/her designee, acting in the absence of the Department Head, may order a drug test. SEC. 3. Pre -Employment- Drug testing may also be included as part of the pre- employment physical examination. RULE XX, EMPLOYEE RELATIONS POLICY ARTICLE I, GENERAL PROVISIONS SEC. 1. This Rule implements the Meyers -Milias-Brown Act, Government Code section 3500 et seq. by providing orderly procedures for the administration of employer-employee relations between the City and its employee organizations. However, nothing contained herein shall be deemed to supercede the provisions of the merit system, or which provide for other methods of administering employer- employee relations. The Rule is intended, instead, to strengthen merit, civil service, and other methods of administering employer-employee relations through the establishment of uniform and orderly methods of communications between employees, employee organizations and the City. It is the purpose of this Rule to provide procedures for meeting and conferring in good faith with Recognized Employee Organizations regarding matters that directly affect and primarily involve the wages, hours and other terms and conditions of employment of employees in appropriate units. Employees of the City shall have the right to form, join and participate in the activities of employee organizations of their own choosing for the purpose of representation on all matters of employer-employee relations including, but limited to, wages, hours and other terms and conditions of employment; except, however, for those rights which are reserved to the employer by law or reserved by provision contained herein. Employees shall also have the right to refuse to loin or participate in the activities of employee organizations and shall have the right to be free from intimidation, restraint, coercion, interference, discrimination or reprisal because of their exercise of any of the rights herein enumerated or granted by law. Nothing herein shall be construed to restrict any legal or inherent exclusive City rights with respect to matters of general legislative or managerial policy, which include among others: The exclusive right to determine the mission of its constituent departments, commissions and boards; set standards of service; determine the procedures and standards of selection for employment; direct its employees; take disciplinary action; relieve its employees from duty because of lack of work or for other legitimate reasons; require overtime; maintain the efficiency of governmental operations; determine the methods, means and personnel by which government operations are to be conducted; take all necessary actions to carry out its mission in emergencies; and exercise complete control and discretion over its organization and the technology of performing its work. ARTICLE II, REPRESENTATION PROCEEDINGS SEC. 2. Policy and Standards for Determination of Appropriate Units: The policy objectives in determining the appropriateness of units shall be the effect of a proposed unit on (1) the efficient operations of the City and its compatibility with the primary responsibility of the City and its employees to effectively and economically serve the public, and (2) providing employees with effective representation based on recognized community of interest considerations. These policy objectives require that the appropriate unit shall be the broadest feasible grouping of positions that share an identifiable community of interest and that fragmentation and/or proliferation of unity must be avoided. Factors to be considered shall be: A. Similarity of the general kinds of work performed, types of qualifications required, and the general working conditions. B. History of representation in the City and similar employment, except however, that no unit shall be deemed to be an appropriate unit solely on the basis of the extent to which employees in the proposed unit have organized. C. Consistency with the organizational patterns of the City. D. Number of employees and classifications, and the effect on the administration of employer-employee relations. There shall be no fragmentation classifications and/or proliferation of units. E. Effect on the classification structure and impact on the stability of the Employer-employee relationship of dividing related classifications among two or more units. A single classification shall not be divided between different units under any circumstances. F. Effect of differing legally mandated impasse resolution procedures. Managerial supervisory and confidential responsibilities are determining factors in establishing appropriate units hereunder, and therefore such managerial, supervisory and confidential employees may not be included in units that include non -managerial, non - supervisory and non -confidential employees. Managerial, supervisory and confidential employees may not represent any employee organization which represents other employees on matters within the scope of representation. The Personnel Officer shall, after notice to and consultation with affected employee organizations, allocate new classifications or positions, delete eliminated classifications or positions, and retain, reallocate or delete modified classifications or positions from units in accordance with the provisions of this Section and this Article II where applicable. The Personnel Officer may also propose to modify existing units utilizing the provisions of these rules. SEC. 3. Filing of Recognition Petition by Employee Organization: An employee organization that seeks to be formally acknowledged as the Exclusively Recognized Employee Organization representing the employees in an appropriate unity shall file a petition with the Personnel Officer containing the following information and documentation: A Naive and address of the employee organization. B. Names and titles of its officers. C. Names of employee organization representatives who are authorized to speak on behalf of the organization. D. A statement that the employee organization has, as one of its primary purposes, representing employees in their employment relations with the City. E. A statement whether the employee organization is a chapter of, or affiliated directly or indirectly in any manner, with a local, regional, state,, national or international organization, and, if so, the name and address of each such other organization. F. Certified scopes of the employee organization's constitution and by- laws or articles of incorporation. G. A designation of those persons, not exceeding two in, number, and their addresses, to whom notice sent by regular United States mail will be deemed sufficient notice on the employee organization for any purpose. H. A statement that the employee organization has no restriction on membership based on race, color, creed, sex, disability, age, sexual orientation, or national origin. I. The fob classifications or titles of employees in the unit claimed to be appropriate and the approximate number of member employees therein. J. A statement that the employee organization has in its possession proof of employee support as herein defined to establish that a majority of the employees in the unit claimed to be appropriate have designated the employee organization to represent them in their employment relations with the City. Such written proof shall be submitted for confirmation to the Personnel Officer or to a mutually agreed upon disinterested party. K. A request that the Personnel Officer formally acknowledge the petitioner as the Recognized Employee Organization representing the employees in the unit claimed to be appropriate for the purpose of meeting and conferring in good faith The Petition, including the proof of employee support and all accompanying documentation, shall be declared to be true, correct and complete, under penalty of perjury, by the duly authorized officer(s) of the employee organization executing it. SEC. 4. City Response to Recognition Petition: Upon receipt of the Petition, the Personnel Officer shall determine whether: A. There has been compliance with the requirements of the Recognition Petition, and; B. The proposed representation unit is an appropriate unit in accordance with Section 2 of this Article. If an affirmative determination is made by the Personnel Officer on these matters, (s)he shall so inform the petitioning employee organization, shall give written notice of such request for recognition to the employee in the unit and shall take no action on said request for 30 days thereafter. If either of these matters are not affirmatively determined, the Personnel Officer shall offer to consult thereon with such petitioning employee organization, and if the determination remains unchanged, shall inform that organization of the reasons for the denial in writing. The petitioning employee organization may appeal such determination in accordance with Section 9 of this Resolution. SEC. 5. Open Period for Filing Challenging Petition: Within 30 days of the date written notice was given to affected employees that a valid recognition petition for an appropriate unit has been filed, any other employee organization may file a competing request to be formally acknowledged as the Exclusively Recognized Employee Organization of the employees in the same or in an overlapping unit (one which corresponds with respect to some but not all the classifications or positions set forth in the recognition petition being challenged), by filing a petition evidencing proof of employee support in the unit claimed to be appropriate of at least 30 percent and otherwise in the same form and manner as set forth in Section 2 of this Article. If such challenging petition seeks establishment of an overlapping unit, the Personnel Officer shall call for a hearing on such overlapping petitions for the purpose of ascertaining the more appropriate unit, at which time the petitioning employee organizations shall be heard. Thereafter, the Personnel Officer shall determine the appropriate unit or units in accordance with the standards in Section 2 of this Article. The petitioning employee organizations shall have fifteen 15 days from the date notice of such unit determination is communicated to them by the Personnel Officer to amend their petitions to conform to such determination or to appeal such determination pursuant to Section 9 of this Article. SEC. 6. Election Procedure: The Personnel Officer shall arrange for a secret ballot election to be conducted. All employee organizations who have submitted petitions which have been determined to be in conformance with these rules shall be included on the ballot. The choice of "no organization" shall be included on the ballot. Employees entitled to vote in such election shall be those persons employed in regular permanent positions within the designated appropriate unit who were employed during the pay period immediately prior to the date which ended at least 15 days before the date the election commences, including those who did not work during such period because of authorized leaves of absence, and who are employed by the City in the same unit on the date of the election. An employee organization shall be formally acknowledged as the Exclusively Recognized Employee Organization for the designated appropriate unit following an election or run-off election if it received vote equaling a numerical majority of all eligible voters. In an election involving three or more choices, where none of the choices receives a majority of the eligible voters the two choices receiving the largest number of valid votes shall proceed to a runoff election. The rules governing an initial election shall apply. There shall be no more than one valid election under this Resolution pursuant to any petition in a 12 -month period affecting the same unit. Costs of conducting elections shall be borne in equal shares by the City and by each employee organization appearing on the ballot. SEC. 7. Procedure for Decertification of Recognized Employee Organization: A Decertification Petition alleging that the incumbent Exclusively Recognized Employee Organization no longer represents a majority of the employees in an established appropriate unit may be filed with the Personnel Officer only during the months of March of any year following the first full year of recognition or during the 30 day period commencing 120 days prior to the termination date of a Memorandum of Understanding then having been in effect less than three years, which ever occurs later. A Decertification petition may be filed by two or more employees or their representative, or an employee organization, and shall contain the following information and documentation declared by the duly authorized signatory under penalty of perjury to be true, correct and complete: A. The name, address and telephone number of the petitioner and a designated representative authorized to receive notices or requests for further information. B. The name of the established appropriate unit and of the incumbent Exclusively Recognized Employee Organization sought to be decertified as the representative of that unit. C. All allegation that the incumbent Exclusively Recognized Employee Organization no longer represents a majority of the employees in that appropriate unit, and any other relevant and material facts relating thereto. D. Proof of employee support that at least thirty 30% of the employees in the established appropriate unit no longer desire to be represented by the incumbent Exclusively Recognized Employee Organization. Such proof shall be submitted for confirmation to the Personnel Officer, within the time limits specified in the first paragraph of this Section. An employee organization may in satisfaction of the Decertification petition requirements here under, file a Petition under this section in the form of a Recognition Petition that evidences proof of employee support of at least thirty 30% and otherwise conforms to the requirements of Section 3 of this Article. The Personnel Officer shall initially determine whether the Petition has been filed in compliance with the applicable provision of this Article. If this determination is in the negative, (s)he shall offer to consult thereon with the representative(s) of such petitioning employee or employees organization, and, if such determination thereafter remains unchanged, shall return such Petition to the employees or employee organization with a statement of the reasons for the denial in writing. The petitioning employees or employee organization may appeal such determination in accordance with Section 9 of this Article, If the determination of the Personnel Officer in the affirmative, or if his/her negative determination is reversed on appeal, (s)he shall give written notice of such Decertification of Recognition Petition to the incumbent Recognized Employee Organization and to unit employees. SEC. 8. Procedure for Modification of Established Appropriate Units: Requests by employee organizations for modifications of established appropriate units may be considered by the Personnel Officer only during the period specified in Section 7 of this Article. Such requests shall be submitted in the form of a Recognition Petition, and, in addition to the requirements set forth in Section 3 of this Article, shall contain a complete statement of all relevant facts and citations in support of the proposed modified unit in terms of the policies set forth in Section 2 hereof. The Personnel Officer shall process such petitions as other Recognition Petitions under this Article. The Personnel Officer may on his/her own motion propose during the period specified in Section 7 of this Article, that an established unit be modified. The Personnel Officer shall give written notice of the proposed modification(s) , to any affected employee organization and shall hold a meeting concerning the proposed modification (s), at which time all affected employee organizations shall be heard. Thereafter the Personnel Officer shall determine the composition of the appropriate unit or units in accordance with Section 2 of this Article, and shall give written notice of such determination to the affected employee organizations. The Personnel Officer's determination may be appealed as provided in Section 9 of this Article. If a unit is modified pursuant to the motion of the Personnel Officer hereunder, employee organizations may thereafter file Recognition Petitions seeking to become the Recognized Employee Organization for such new appropriate unit or units pursuant to Section 3. SEC. 9. Appeals: An employee organization aggrieved by an appropriate unit determination of the Personnel Officer under this Article may, within ten days of notice thereof, request the intervention of the California State Conciliation Service pursuant to Government Code Sections 3507.1 and 3507.3, or may, in lieu thereof or thereafter, appeal such determination to the City Manager for final decision within 15 days of notice of the Personnel Officer's determination or the termination of proceedings pursuant to Government Code Section 3507 1 or 3507.3, whichever is later. An employee organization aggrieved by a determination of the Personnel Officer that a Recognition Petition (Section 3); Challenging Petition (Section 5); or Decertification or Recognition Petition (Section 7) — or employees aggrieved by a determination of the Personnel Officer that a Decertification Petition (Section 7) — has not been filed in compliance with the applicable provisions of this Article, may, within 15 days of notice of such determination, appeal the determination to the City Manager for final decision. Appeals to the City Manager shall be filed in writing with the City Manager's office and a copy served on the Personnel Officer. The City Manger shall respond to any appeal within 30 days of the filing. The City Manager may, in his/her discretion, but with the consent of the appellant, refer to the dispute to a third party hearing process. Any decision of the City Manager determining the substance of the dispute shall be final and binding. ARTICLE III IMPASSE PROCEDURES SEC. 10. Initiation of Impasse Procedures: If the meet and confer process has reached impasse as defined in this Rule, either party may initiate the impasse procedures by filing with the other party a written request for an impasse meeting, together with a statement of its position on all disputed issues. An impasse meeting shall then be scheduled promptly by the Personnel Officer. The purpose of such impasse meeting shall be: A. To identify and specify in writing the issue or issues that remain in dispute. B. To review the position of the parties in a final effort to resolve such Disputed issue or issues; and C. If the dispute is not resolved, to discuss arrangements for the utilization of the impasse procedures provided herein. SEC. 11. Impasse Procedures: Impasse procedures are as follows: A. If the parties agree to submit the dispute to mediation, and agree on the selection of a mediator, the dispute shall be submitted to mediation. All Mediation proceedings shall be private. The mediator shall make no public recommendation, nor take any public position at any time concerning the issues. B. If the parties failed to agree to submit the dispute to mediation or failed to agree on the selection of a mediator, or failed to resolve the dispute through mediation within 15 days after the mediator commenced meeting with the parties, the matter may be submitted to the City Council. The City Council shall take such action regarding the impasse as it in its discretion deems appropriate as in the public interest. Any legislative action by the City Council on the impasse shall be final and binding. SEC. 12. Costs of Impasse Procedures: The costs for the services of a mediator and other mutually incurred costs of mediation and fact-finding, shall be borne equally by the City and the Recognized Employee Organization. The cost for a fact-finding panel member selected by each party, and other separately incurred costs shall be borne by such party. ARTICLE IV MISCELLANEOUS PROVISIONS SEC. 13. Construction: This Rule shall be administered and construed as follows: A Nothing in this Rule shall be construed to deny to any person, ' employee, organization, the City, or any authorized officer, body or other representative of the City, the rights, powers and authority granted by Federal or State law. B. This Rule shall be interpreted so as to carry out its purposes as set forth in Article I. C. Nothing in the Rule shall be construed as making the provisions of California Labor Code Section 923 applicable to City employees or employee Organizations, or of giving employees or employee organizations the right to participate in, support, cooperate or encourage, directly or indirectly, any strike, sick-out or other total or partial stoppage or slow down of work which is contrary to law or court order. In the event employees engage in such actions, they shall subject themselves to discipline up to and including termination and may be deemed to have abandoned their employment; and employee organizations may thereby forfeit all rights accorded them under this Rule and other City law for a period of up to one year from commencement of such activity. NOTES City of Santa Clarita 23920 Valencia Boulevard Santa Clarita, California 91355 005 12/01 Human Resources S \HUMANRSS\Pohcy\Pe1sonnel Rules doc APPENDIX I A,ICP / Ethics Page 1 of 9 ;kitlevican 1-1ItInIflim Print Now . , ,. American Institute of Certified Planners Code of Ethics and Professional Conduct Adopted March 19, 2005 Effective June 1, 2005 The Executive Director of APA/AICP ,s the Ethics Officer as referenced in the following. We, professional planners, who are members of the American Institute of Certified Planners, subscribe to our Institute's Code of Ethics and Professional Conduct. Our Code is divided into three sections: Section A contains a statement of aspirational principles that constitute the ideals to which we are committed. We shall strive to act in accordance with our stated principles. However, an allegation that we failed to achieve our aspirational principles cannot be the subject of a misconduct charge or be a cause for disciplinary action. Section B contains rules of conduct to which we are held accountable. If we violate any of these rules, we can be the object of a charge of misconduct and shall have the responsibility of responding to and cooperating with the investigation and enforcement procedures, If we are found to be blameworthy by the AICP Ethics Committee, we shall be subject to the imposition of sanctions that may include loss of our certification. Section C contains the procedural provisions of the Code. It (1) describes the way that one may obtain either.a formal or informal advisory ruling, and (2) details how a charge of misconduct can be filed, and how charges are investigated, prosecuted, and adjudicated. The principles to which we subscribe in Sections A and B of the Code derive from the special responsibility of our profession -to serve the public interest with compassion for the welfare of all people and, as professionals, to our obligation to act with high integrity. As the basic values of society can come into competition with each other, so can the aspirational principles we espouse under this Code. An ethical judgment often requires a conscientious balancing, based on the facts and context of a particular situation and on the precepts of the entire Code. As Certified Planners; all of us are also members of the American Planning Association and share in the goal of building better, more inclusive communities. We want the public to be aware of the principles by which we practice our profession in the quest of that goal. We sincerely hope that the public will respect the commitments we make to our employers and clients, our fellow professionals, and all other persons whose interests we affect. A: Principles to Which We Aspire 1. Our Overall Responsibility to the Public Our primary obligation is to serve the public interest and we, therefore, owe our allegiance to a conscientiously attained concept of the public interest that is formulated through continuous and open debate. We shall achieve high standards'of professional integrity, proficiency, and knowledge. To comply with our obligation to the public, we aspire to the following principles: a) We shall always be conscious of the rights of others. b) We shall have special concern for the long-range consequences of present actions. c) We shall pay special attention to the interrelatedness of decisions, http://www.planninp.oi•e/ethics/conduct.ht,r,l?nro ic:ct=Pri„, n n o innno A;CP / Ethics Page 2 of 9 d) We shall provide timely, adequate, clear, and accurate information on planning issues to all affected persons and to governmental decision makers. e) We shall give people the opportunity to have a meaningful impact on the development of plans and programs that may affect them. Participation should be broad enough to include those who lack formal organization or influence. f) We shall seek social justice by working to expand choice and opportunity for all persons, recognizing a special responsibility to plan for the needs of the disadvantaged and to promote racial and economic integration. We shall urge the alteration of policies, institutions, and decisions that oppose such needs. g) We shall promote excellence of design and endeavor to conserve and preserve the integrity and heritage of the natural and built environment. h) We shall deal fairly with all participants in the planning process. Those of us who are public officials or employees shall also deal evenhandedly with all planning process participants. 2. Our Responsibility to Our Clients and Employers We owe diligent, creative, and competent performance of the work we do in pursuit of our client or employer's interest, Such performance, however, shall always be consistent with our faithful service to the public interest. a) We shall exercise independent professional judgment on behalf of our clients and employers. b) We shall accept the decisions of our client or employer concerning the objectives and nature of the professional services we perform unless the course of action is illegal or plainly inconsistent with our primary obligation to the public interest. c) We shall avoid a conflict of interest or even the appearance of a conflict of interest in accepting assignments from clients or employers. 3. Our Responsibility to Our Profession and Colleagues We shall contribute to the development of, and respect for, our profession by improving knowledge and techniques, making work relevant to solutions of community problems, and increasing public understanding of planning activities. a) We shall protect and enhance the integrity of our profession. b) We shall educate the public about planning issues and their relevance to our everyday lives. c) We shall describe and comment on the work and views of other professionals in a fair and professional manner. d) We shall share the results of experience and research that contribute to the body of planning knowledge. e) We shall examine the applicability of planning theories, methods, research and practice and standards to the facts and analysis of each"particular situation and shall not accept the applicability of a customary solution without first establishing its appropriateness to the situation. f) We shall contribute time and resources to the professional development of students, http://www.pianning.org/ethics/conduct.htmI?i)roiect=Print 411 MOOR AICP / Ethics Page ? of 9 interns, beginning professionals, and other colleagues, g) We shall increase the opportunities for members of underrepresented groups to become professional planners and help them advance in the profession. h) We shall continue to enhance our professional education and training. i) We shall systematically and critically analyze ethical issues in the practice of planning, j) We shall contribute time and effort to groups lacking in adequate planning resources and to voluntary professional activities, B: Our Rules of Conduct We adhere to the following Rules of Conduct, and we understand that our Institute will enforce compliance with them. If we fail to adhere to these Rules, we could receive sanctions, the ultimate being the loss of our certification: 1. We shall not deliberately or with reckless indifference fail to provide adequate, timely, clear and accurate information on planning issues, 2. We shall not accept an assignment from a client or employer when the services to be performed involve conduct that we know to be illegal or in violation of these rules. 3. We shall not accept an assignment from a client or employer to publicly advocate a position on a planning issue that is indistinguishably adverse to a position we publicly advocated for a previous client or employer within the past three years unless (1) we determine in good faith after consultation with other qualified professionals that our change of position will not cause present detriment to our previous client or employer, and (2) we make full written disclosure of the conflict to our current client or employer and receive written permission to proceed with the assignment. 4. We shall not, as salaried employees, undertake other employment in planning or a related profession, whether or not for pay, without having made full written disclosure to the employer who furnishes our salary and having received subsequent written permission to undertake additional employment, unless our employer has a written policy which expressly dispenses with a need to obtain such consent. 5. We shall not, as public officials or employees; accept from anyone other than our public employer any compensation, commission, rebate, or other advantage that may be perceived as related to our public office or employment. 6. We shall not perform work on a project for a client or employer if, in addition to the agreed upon compensation from our client or employer, there is a possibility for direct personal or financial gain to us, our family members, or persons living in our household, unless our client or employer, after full written disclosure from us, consents in writing to the arrangement. 7. We shall not use to our personal advantage, nor that of a subsequent client or employer, information gained in a professional relationship that the client or employer has requested be held inviolate or that we should recognize as confidential because its disclosure could result in embarrassment or other detriment to the client or employer. Nor shall we disclose such confidential information except when (1) required by process of law, or (2) required to prevent a clear violation of law, or (3) required to prevent a substantial injury to the public. Disclosure pursuant to (2) and (3) shall not be made until after we have verified the facts and issues involved and, when practicable, exhausted efforts to obtain reconsideration of the matter and have sought separate opinions on the issue from other qualified professionals employed by our client or employer. 8. We shall not, as public officials or employees, engage in private communications with planning process participants if the discussions relate to a matter over which we have authority to make a binding, final determination if such private communications are prohibited by law or by agency rules, procedures, or custom. lItID://W',VW,Dlamiina.ore/ethics/conduct.litml?nrniect=Print All QinnnQ AICP / Ethics Dagc 4 of 9 9. We shall not engage in private discussions with decision makers in the planning process in any manner prohibited by law or by agency rules, procedures, or custom. 10. We shall neither deliberately, nor with reckless indifference, misrepresent the qualifications, views and findings of other professionals, 11. We shall not solicit prospective clients or employment through use of false or misleading claims, harassment, or duress. 12, We shall not misstate our education, experience, training, or any other facts which are relevant to our professional qualifications. 13. We shall not sell, or offer to sell, services by stating or implying an ability to influence decisions by improper means. 14. We shall not use the power of any office to seek or obtain a special advantage that is not a matter of public knowledge or is not in the public interest. 15. We shall not accept work beyond our professional competence unless the client or employer understands and agrees that such work will be performed by another professional competent to perform the work and acceptable to the client or employer. 16. We shall not accept work for a fee, or pro bone, that we know cannot be performed with the promptness required by the prospective client, or that is required by the circumstances of the assignment. 17. We shall not use the product of others' efforts to seek professional recognition or acclaim intended for producers of original work. 18. We shall not direct or coerce other professionals to make analyses or reach findings not supported by available evidence. 19. We shall not fail to disclose the interests of our client or employer when participating in the planning process. Nor shall we participate in an effort to conceal the true interests of our client or employer. 20. We shall not unlawfully discriminate against another person. 21. We shall not withhold cooperation or information from the AICP Ethics'Officer or the AICP Ethics Committee if a charge of ethical misconduct has been filed against us. 22. We shall not retaliate or threaten retaliation against a person who has filed a charge of ethical misconduct against us or another planner, or who is cooperating in the Ethics Officer's investigation of an ethics charge. 23. We shall not use the threat of filing an ethics charge in order to gain, or attempt to gain, an advantage in dealings with another planner. 24. We shall not file a frivolous charge of ethical misconduct against another planner. 25. We shall neither deliberately, nor with reckless indifference, commit any wrongful act, whether or not specified in the Rules of Conduct, that reflects adversely on our professional fitness. C: Our Code Procedures 1. Introduction In brief, our Code Procedures (1) describe the way that one may obtain either a formal or informal advisory ethics ruling, and (2) detail how a charge of misconduct can be filed, and how charges are investigated, prosecuted, and adjudicated. 2. Informal Advice }httn-//unznzr nlanninrr nrn/rtihire/rnnrinrt ktm]?nrn;—I—Print n ii oi-)nno AICP / Ethics Page 5 of 9 All of us are encouraged to seek informal ethics advice from the Ethics Officer, Informal advice is not given in writing and is not binding on AICP, but the AICP Ethics Committee shall take it into consideration in the event a charge of misconduct is later filed against us concerning the conduct in question. -If we ask the Ethics Officer for informal advice and do not receive a response within 21 calendar days of our request, we should notify the Chair of the Ethics Committee that we are awaiting a response. 3. Formal Advice Only the Ethics Officer is authorized to give formal advice on the propriety of a planner's proposed conduct. Formal advice is binding on AICP and any of us who can demonstrate that we followed such advice shall have a defense to any charge of misconduct_ The advice will be issued to us in writing signed by the Ethics Officer. The written advice shall not include names or places without the written consent of all persons to be named. Requests for formal advice must be in writing and must contain sufficient details, real or hypothetical, to permit a definitive opinion. The Ethics Officer has the discretion to issue or not issue formal advice. The Ethics Officer will not issue formal advice if he or she determines that the request deals with past conduct that should be the subject of a charge of misconduct. The Ethics Officer will respond to requests for formal advice within 21 days of receipt and will docket the requests in a log that will be distributed on a quarterly basis to the Chair of the AICP Ethics Committee. If the Ethics Officer fails to furnish us with a timely response we should notify the Chair of the AICP Ethics Committee that we are awaiting a response. 4. Published Formal Advisory Rulings The Ethics Officer shall transmit a copy of all formal advice to the AICP Ethics Committee. The Committee, from time to time, will determine if the formal advice provides guidance to the interpretation of the Code and should be published as a formal advisory ruling. Also, the Ethics Committee has the authority to draft and publish formal advisory rulings when it determines that guidance to interpretation of the Code is needed or desirable. S. Filing a Charge of Misconduct Any person, whether or not an AICP member, may file a charge of misconduct against a Certified Planner. A charge of misconduct shall be made In a letter sent to the AICP Ethics Officer. The letter may be signed or it may be anonymous. The person filing the charge is urged to maintain confidentiality to the extent practicable. The person filing the charge should not send a copy of the charge to the Certified Planner identified in the letter or to any other person. The letter shall accurately identify the Certified Planner against whom the charge is being made and describe the conduct that allegedly violated the provisions of the Rules of Conduct. The person filing a charge should also cite all provisions of the Rules of Conduct that have allegedly been violated, However, a charge will not be dismissed if the Ethics Officer is able to determine from the facts stated in the letter that certain Rules of Conduct may have been violated, The letter reciting the charge should be accompanied by all relevant documentation available to the person filing the charge. While anonymously filed charges are permitted, anonymous filers will not receive notification of the disposition of the charge. Anonymous filers may furnish a postal address in the event the Ethics Officer needs to reach them for an inquiry. 6. Receipt of Charge by Ethics Officer The Ethics Officer shall maintain a log of all letters containing charges of misconduct filed against Certified Planners upon their receipt and shall transmit a quarterly report of such correspondence to the Chair of the Ethics Committee. Within two weeks of receipt of a charge, the Ethics Officer shall prepare a cover letter and transmit the charge and all attached documentation to the named Certified Planner, who shall be now referred to as "the Respondent," The Ethics Officer's cover letter shall indicate whether the Ethics Officer expects the Respondent to file a "preliminary response" or whether the Ethics Officer is summarily dismissing the charge because it is clearly without merit. A copy of the cover letter will also be sent to the Charging Party, if identified, If the cover letter summarily dismisses the charge, it shall be sent to an identifiable Charging Party by receipted Certified Mail. The Charging Party will have the right to appeal the summary dismissal as provided in Section 11. After the Ethics Officer has received a charge, the Charging Party may withdraw it only with the permission of the Ethics Officer. After receiving a charge, the Ethics httn'//www nl,,innina.nro/ethics/rnnrinct html?nrniPrt=Print All R/onnQ AICP / Ethics Page 6 of 9 Officer shall have a duty to keep an identified Charging Party informed of its status. If an identified Charging Party has not received a status report from the Ethics Officer for 60 calendar days, the Charging Party should notify the Chair of the AICP Ethics Committee of the lapse. 7. Right of Counsel A planner who receives a charge of misconduct under a cover letter requesting a preliminary response should understand that if he or she desires legal representation, it would be advisable to obtain such representation at the earliest point in the procedure. However, a planner who elects to proceed at first without legal representation will not be precluded from engaging such representation at any later point in the procedure. S. Preliminary Responses to a Charge of Misconduct If the Ethics Officer requests a preliminary response, the Respondent shall be allowed 30 calendar days from receipt of the Ethics Officer's letter to send the response to the Ethics Officer. The Ethics Officer will grant an extension of time, not to exceed 15 calendar days, if the request for the extension is made within the 30 day period. Failure to make a timely preliminary response constitutes a failure to cooperate with the Ethics Officer's investigation of the charge. A preliminary response should include documentation, the names, addresses and telephone numbers of witnesses, and all of the facts and arguments that counter the charge. Because the motivation of the person who filed the charge is irrelevant, the Respondent should not discuss it, The Ethics Officer will send a copy of the preliminary response to the Charging Party, if identified, and allow the Charging Party 15 calendar days from the date of receipt to respond. 9. Conducting an Investigation After review of the preliminary response from the Respondent and any counter to that response furnished by an identified Charging Party, or if no timely preliminary response is received, the Ethics Officer shall decide whether an investigation is appropriate. If the Ethics Officer determines that an investigation should be conducted, he or she may designate a member of the AICP staff or AICP counsel to conduct the investigation. The Respondent must cooperate in the investigation and encourage others with relevant information, whether favorable or unfavorable, to cooperate, Neither the Ethics Officer , nor designee, will make credibility findings to resolve differing witness versions of facts in dispute. 10. Dismissal of Charge or Issuance of Complaint If, with or without an investigation, the charge appears to be without merit, the Ethics Officer shall dismiss it in a letter, giving a full explanation of the reasons. The dismissal letter shall be sent to the Respondent and the Charging Party by receipted Certified Mail. If, however, the Ethics Officer's investigation indicates that a Complaint is warranted, the Ethics Officer shall draft a Complaint and send it to the Respondent by receipted Certified Mail, with a copy to the Charging Party. The Complaint shall consist of numbered paragraphs containing recitations of alleged facts. Following the fact paragraphs, there shall be numbered paragraphs of alleged violations, which shall cite provisions of the Rules of Conduct that the Ethics Officer believes are implicated. The allegations in the Complaint shall be based on the results of the Ethics Officer's investigation of the charge and may be additional to, or different from, those allegations initially relied upon by the Charging Party. The Ethics Officer shall maintain a log of all dismissals and shall transmit the log on a quarterly basis to the Chair of the Ethics Committee. 11. Appeal of Dismissal of Charge Identified Charging Parties who are notified of the dismissal of their ethics charges shall have 30 calendar days from the date of the receipt of their dismissal letters to file an appeal with the Ethics Committee, The appeal shall be sent to the Ethics Officer who shall record it in a log and transmit it within 21 calendar days to the Ethics Committee. The Ethics Committee shall either affirm or reverse the dismissal, If the dismissal is reversed, the Ethics Committee shall either direct the Ethics Officer to conduct a further investigation and review the charge again, or issue a Complaint based on the materials before the Committee. The Ethics Officer shall notify the Charging Party and the Respondent of the Ethics Committee's determination.. httl)://wv,w.ptanning.org/ethics/conduct.htnil?project=Print 4/18/2008 MCP / Ethics 12. Answering a Complaint Page 7 of 9 The Respondent shall have 30 calendar days from receipt of a Complaint in which to file an Answer. An extension not to exceed 15 calendar days will be granted if the request is made within the 30 day period. In furnishing an Answer, the Respondent is expected to cooperate in good faith. General denials are unacceptable. The Answer must specifically'admit or deny each of the fact allegations in the Complaint. It is acceptable to deny a fact allegation on the ground that the planner is unable to verify its correctness, but that explanation should be stated as the reason for denial. The failure of a Respondent to make a timely denial of any fact alleged in the Complaint shall be deemed an admission of such fact. The Ethics Officer may amend a Complaint to delete any disputed fact, whether or not material to the issues. The Ethics Officer also may amend a Complaint to restate fact allegations by verifying and adopting the Respondent's version of what occurred, The Ethics Officer shall send the Complaint.or Amended Complaint and the Respondent's Answer to the Ethics Committee with a copy to an identified Charging Party. The Ethics Officer shall also inform the Ethics Committee if there are any disputed material facts based on a comparison of the documents. 13. Conducting a Hearing a) If the Ethics Officer notifies the Ethics Committee that material facts are in dispute or if the Ethics Committee, on its own, finds that to be the case, the Chair of the Committee shall designate a "Hearing Official" from among the membership of the Committee. At this point in the process, the Ethics Officer, either personally or through a designated AICP staff member or AICP counsel, shall continue to serve as both Investigator -Prosecutor and as the Clerk serving the Ethics Committee, the Hearing Official and the Respondent. In carrying out clerical functions, the Ethics Officer, or designee, may discuss with the Ethics Committee and the Hearing Official the procedural arrangements for the hearing. Until the Ethics Committee decides the case, however, the Ethics Officer or designee shall not discuss the merits of the case with any member of the Committee unless the Respondent is present or is afforded an equal opportunity to address the Committee member. b) The Ethics Officers ' hall transmit a "Notice of Hearing" to the Respondent, the Hearing Official and an identifiCharging Party. The hearing shall normally be conducted in the vicinity where the alleged misconduct occurred. The Notice will contain a list of all disputed material facts that need to be resolved. The hearing will be confined to resolution of those facts. There shall be no requirement that formal rules of evidence be observed. c) The Ethics Officer will have the burden of proving, by a preponderance of the evidence, that misconduct occurred. The Ethics Officer may present witness testimony and any other evidence relevant to' demonstrating the existence of each disputed material fact. The Respondent will then be given the opportunity to present witness testimony and any other evidence relevant to controvert the testimony and other evidence submitted by the Ethics Officer. The Ethics Officer may then be given an opportunity to present additional witness testimony and other evidence in rebuttal. All witnesses who testify for the Ethics Officer or the Respondent shall be subject to cross-examination by the other party. The Hearing Official shall make an electronic recording of the hearing and shall make copies of the recording available to the Ethics Officer and the Respondent. d) At least 30 calendar days before the hearing, the Ethics Officer and the Respondent shall exchange lists of proposed witnesses who will testify, and copies of all exhibits that will be introduced, at the hearing. There shall be no other discovery and no pre -hearing motions. All witnesses must testify in person at the hearing unless arrangements can be made by agreement between the Respondent and the Ethics Officer prior to the hearing, or by ruling of the Hearing Official during the hearing, to have an unavailable witness's testimony submitted in a video recording that permits the Hearing Official to observe the demeanor of the witness. No unavailable witness's testimony shall be admissible unless the opposing party was offered a meaningful opportunity to cross-examine the witness. The hearing shall httn://w,,vw nlanninp_nrn/elhicq/r.nnrliint htTlll%nrniP(•t=Pr;nt n /1 011)nn0 AICF / Ethics Page S of 9 not be open to the public. The Hearing Official shall have the discretion to hold open the hearing to accept recorded video testimony of unavailable witnesses. The Respondent will be responsible for the expense of bringing his or her witnesses to the hearing or to have their testimony video recorded. Following the closing of the hearing, the Hearing Official shall make findings only as to the disputed material facts and transmit the findings to the full Ethics Committee, the Ethics Officer, and the Respondent. The Hearing Official, prior to issuing findings, may request that the parties submit proposed findings of fact for his or her consideration. 14. Deciding the Case The Ethics Committee (including the Hearing Official member of the Committee) shall resolve the ethics matter by reviewing the documentation that sets out the facts that were not in dispute, any fact findings that were required to be made by a Hearing Official, and any -arguments submitted to it by the Respondent and the Ethics Officer. The Ethics Officer shall give 45 calendar days notice to the Respondent of the date of the Ethics Committee meeting during which the matter will be resolved. The Ethics Officer and the Respondent shall have 21 calendar days to submit memoranda stating their positions. The Ethics Officer shall transmit the memoranda to the Ethics Committee no later than 15 calendar days prior to the scheduled meeting. If the Committee determines that the Rules of Conduct have not been violated, it shall dismiss the Complaint and direct the Ethics Officer to notify the Respondent and an Identified Charging Party. If the Ethics Committee determines that the Ethics Officer has demonstrated that the Rules of Conduct have been violated, it shall also determine the appropriate sanction, which shall either be a reprimand, suspension, or expulsion. The Ethics Committee shall direct the Ethics Officer to notify the Respondent and an identified Charging Party of its action and to draft a formal explanation of its decision and the discipline chosen. Upon approval of the Ethics Committee, the explanation and discipline chosen shall be published and titled "Opinion of the AICP Ethics Committee." The determination of the AICP Ethics Committee shall be final. 15. Settlement of Charges a) Prior to issuance of a Complaint, the Ethics Officer may negotiate a settlement between the Respondent and an identified Charging Party if the Ethics Officer determines that the Charging Party has been personally aggrieved by the alleged misconduct of the Respondent and a private resolution between the two would not be viewed as compromising Code principles, If a settlement is reached under such circumstances, the Charging Party will be allowed to withdraw the charge of misconduct. b) Also prior to issuance of a Complaint, the Ethics Officer may enter into a proposed settlement agreement without the participation of an identified Charging Party. However, in such circumstances, the proposed settlement agreement shall be contingent upon the approval of the Ethics Committee. An identified Charging Party will be given notice and an opportunity to be heard by the Ethics Committee before it votes to approve or disapprove• the proposed pre -Complaint settlement. c) After issuance of a Complaint by the Ethics Officer, a settlement can be negotiated solely between the Ethics Officer and the Respondent, subject to the approval of the Ethics Committee without input from an identified Charging Party. 16. Resignations and Lapses of Membership If an AICP member who is the subject of a Charge of Misconduct resigns or allows membership to lapse prior to a final determination of'the Charge (and any Complaint that may have issued), the ethics matter will be held in abeyance subject to being revived if the individual applies for reinstatement of membership within two years. If such former member, however, fails to apply for reinstatement within two years, the individual shall not be permitted to reapply for certification for a period of 10 years from the date of resignation or lapse of membership. If the Ethics Officer receives a Charge of Misconduct against a former member, the Ethics Officer shall make an effort to locate and advise the former member of the filing of http.//www.r)lannin2.orP/ethics/conduct.html?Droiect=Print 4/1 R/ 000 AICP / Ethics Page 9 of 9 the Charge and this Rule of Procedure. 17 . Annual Report of Ethics Officer Prior to January 31 of each calendar year the Ethics Officer shall publish an Annual Report of all ethics activity during the preceding calendar year to the AICP Ethics Committee and the AICP Commission. The AICP Commission shall make the Annual Report available to the membership. ©Copyright 2008 American Planning Association All Rights Reserved r http://www.planning.org%ethics/coriduct.html?project=Print 4/18/2008 APPENDIX J CODE OF ETHICS CALIFORNIA MUNICIPAL TREASURERS ASSOCIATION (As Amended by the Board of' Directors April 2001) Ethics is defined by Webster as the rules or standards governing the conduct of the members of a profession. Ethical conduct must be based upon justice and fair play in the fullest sense. The purpose of this code is to assemble a body of principles to guide members of the California Municipal Treasurers Association as they confront ethical problems when carrying out their duties and responsibilities. According to Henry J. Wirtenberger, S.J. author of "Morality and Business", t-wo virtues stand out in evaluating the quality of human conduct. They are justice and prudence. (1) St. Thomas Aquinas defined justice as "a cardinal virtue whereby one has the constant and perpetual will to give to others whatever is due them." (2) Prudence is the ability by which a person learns to differentiate between what is good and what is evil, i.e., capable of exercising sound judgment in practical matters. According to Aristotle's brief definition, "Prudence is a reasonable way of doing things." Using the foregoing principles of justice and prudence as guides, the following Code of Ethics shall govern the professional conduct of active members of the California Municipal Treasurers Association. (1) To protect, preserve and maintain intact cash, investments and other assets placed in trust with the Treasurer on behalf of the residents of the community. (1) To promote principles of good government. To be dedicated to the concepts of effective and efficient local government service being provided by elected and appointed Treasurers. (2) To maintain personal conduct in such a manner as will enhance the stature of the profession and its ability to serve the public. (3) To observe the profession's technical standards and continually strive to improve the Treasurers' level of competence. (4) To be dedicated to the highest ideals of honor, integrity, and objectivity in all public and professional relationships, and to function within existing legal guidelines. (5) To promote cooperation, good relations, bonds of friendship and mutual understanding among the membership. (6) To encourage the development of clear lines of communication between residents and elected officials, administrative officers and employees. Bylaws 1 (7) To resist encroachments upon areas of responsibility, as the Treasurer must be free to cavy out official duties without interference. (8) To seek no personal advantage or gain as a result of the position occupied, or due to the commission of a questionable act. By accepting membership, each member agrees to be bound and governed by the Code of Ethics and the Code of Professional Conduct as adopted by CMTA. Bylaws 2 CALIFORNIA MUNICIPAL TREASURERS ASSOCIATION CODE OF PROFESSIONAL CONDUCT (As Amended by the Board April 2001) I. THE ASSOCIATION Tho California Municipal Treasurers Association (CMTA) is a professional association of public treasurers organized in 1959. IL PURPOSE The purpose of the Association shall be to promote professional standards for publicTreasurers and a fraternal fellowship among the members. III. GENERAL POLICY STATEMENT The code was prepared as a policy statement regarding how a member of CMTA approaches matters involving professional conduct. It is a fundamental principle that professional conduct for a public treasurer should exist at a level well above the Minimum required by law. IV. GENERAL RESPONSIBILITIES The Treasurer performs at least the following basic functions: (1) Acts as trustee and custodian of all jurisdiction monies. (a) The Treasurer's primary responsibility is to maintain the safety of monies placed in his/her public trust. (b) In order to limit exposure to risk, investment transactions should be executed with bank- ers and brokers with adequate capital resources, and purchases should be limited to a r small percentage of the firm's capital and surplus. (2) Disburses public monies in accordance with prescribed statutes in a timely manner. (a) The receipt of revenues and maturities of investments should be scheduled so that adequate cash will be available to meet disbursements. (b) An adequate percentage of the portfolio should be maintained in liquid short-term securi- ties to be converted to cash if necessary. (c) The weighted average life of the general governmental portfolio should be maintained within limits dictated by the cash flow needs of the jurisdiction. Bylaws 3 (d) Yield becomes a consideration only after the basic requirements of safety and liquidity have been met. (3) Invests temporarily idle monies in accordance with Stale or local statutes, regulations and ad- ministrative directives. (Section 53601 ct seq, of the Government Code.) (a) Purchase of securities should be made on the basis of competitive bids when practical. (b) Security purchases and holdings are to be maintained within statutory limits imposed by the Government Code or local ordinance. V. REPORTS The Treasurer shall file reports as required by various sections of the Government Code. VI. HEARINGS RELATED TO ALLEGATIONS OF PROFESSIONAL MISCONDUCT A violation of CMTA's code of professional conduct is grounds for suspension and/or termination of CMTA membership. Upon receiving allegations that a CMTA member has violated provisions of CMTA's code of professional conduct from another CMTA member, the President and board shall do the following: (l) Board Notification by President. The President shall notify board members that an allegation has been made and shall forward all background information provided. The Board will then determine by conference call or fax vote if a Board hearing should be scheduled. (2) Discussion at Board Meeting. If the Board determines a vote is required, the Board shall schedule the matter for discussion and action at a regularly scheduled CMTA Board meeting. (3) Notice and Opportunity to Be Heard. The President shall notify the delegate/member whose conduct is at issue of the fact and nature of the allegations, as well as the delegate/member's opportunity to provide the Board additional information relating to the allegations. 'Such notice shall occur at least four weeks prior to the Board meeting at which the allegations will be discussed. The member may provide the Board infonnation orally at the board meeting, or in writing at least four days prior to the Board meeting, or both, (4) Board Deliberation and Discussion. After considering all of the infonnation received, the Board may, by a majority vote, do one of the following: a. Find that no violation occurred and continue the delegate/representative's membership in good standing, b. Depending on the severity of the violation(s) the Board find occurred: Bylaws 4 i. Suspend delegate/representative's membership for a specified period, or ii. Terminate the delegate/representative's membership. Suspensions and terminations shall be effective immediately. (5) Reinstatement. Any delegate/representative who has been terminated may, for good cause shown, petition for reinstatement. (6) Notice to Agency. If the Board determines that suspension or termination is appropriate, it may provide written notice of its decision and the basis therefore to the delegate/representative's employer. Bylaws 5 APPENDIX K California Society of Municipal Finance Officers Code of Ethics Last Updated: 7/30/2007 The purpose of the California Society of Municipal Finance Officers is to improve the knowledge; skills, and performance of individuals responsible for municipal and other local government fiscal policy and management. The organization reinforces the professionalism in financial management and provides a method for meeting the challenges of change and solving problems relating to government finance. To further these 'objectives, members are enjoined to adhere to legal, moral and professional standards of conduct. The ethical principles set forth in this code shall govern the conduct of the Municipal members of the California Society of Municipal Finance Officers who shall: 1. Demonstrate and be dedicated to the highest ideals of honor and integrity in all public and personal relationships to merit the respect and confidence of the elected officials, other public officials, employees and the public. 2, Recognize and be accountable for their responsibilities as public officials; be sensitive and.responsive to the rights of the public. - 3. Exercise prudence and integrity in the management of funds in their custody and in all financial transactions. 4. Maintain their own competence, enhance the competence of their colleagues and staff members, and provide encouragement to those seeking to enter the field of government finance. 5. Seek excellence in the public service; be well informed and well prepared to exercise public authority. 6. Demonstrate professional integrity in the issuance and management of information; prepare and present statements and financial information fairly, in accordance with law and generally accepted practices and guidelines. 7. Respect and protect privileged information; be sensitive and responsive to inquiries from the public and the media within the framework of local government policy. LA #4543-7396-1730 vl 8. Act with honor, integrity and virtue in all professional relationships; respect the rights of their colleagues and other public officials with whom they work and associate. 9, Handle all matters of personnel within the scope of their authority on the basis of merit so that fairness and impartiality govern their decisions. 10. Seek no favor or accept any personal gain which would influence, or appear to influence, the conduct of their official duties. 11. Protect the public trust, avoid even the appearance of impropriety, and safeguard the integrity of the government they serve. The California Society of Municipal Finance Officers recognizes three classifications of membership: Municipal, Other Government, and Commercial members. (Additional classifications maybe authorized by the board of directors under the Other Government classification.) . The Code of Ethics specifically addresses the conduct of those who hold Municipal membership. The Society's Commercial and Other Government members are encouraged to honor and respect the Code as it applies to Municipal members. LA #4848-7396-1730 vl APPENDIX L 4' ICMA Code of Ethics With Guidelines The ICMA Code of Ethics was adopted by the ICMA membership in 1924, and most recently amended by the membership in May 1998. The Guidelines for the Code were,adopted by the ICMA Executive Board in 1972, and most recently revised in July 2004. The mission of ICMA is to create excellence in local governance by developing and fostering professional local government management worldwide. To further this mission, certain principles, as enforced by the Rules of Procedure, shall govern the conduct of every member of ICMA, who shall. 1. Be dedicated to the concepts of effective and democratic local government by responsible elected officials and believe that professional general management is essential to the achievement of this objective. 2. Affirm the dignity and worth of the services rendered by government and maintain a constructive, creative, and practical attitude toward local government affairs and a deep sense of social responsibility as a trusted public servant. Guideline Advice to Officials of Other Local Governments. When members advise and respond to inquiries from elected or appointed officials of other local governments, they should inform the administrators of those communities. 3. Be dedicated to the highest ideals of honor and integrity in all public and personal relationships in order that the member may merit the respect and confidence of the elected officials, of other officials and employees, and of the public. Guidelines Public Confidence. Members should conduct themselves so as to maintain public confidence in their profession, their local government, and in their performance of the public trust. Impression of Influence. Members should conduct their official and -personal affairs in such a manner as to give the clear impression that they cannot be improperly influenced in the performance of their official duties. Appointment Commitment. Members who accept an appointment to a position should not fail to report for that position. This does not preclude the possibility of a member considering several offers or seeking several positions at the same time, but once a bona fide offer of a position has been accepted, that commitment should be honored. Oral acceptance of an employment offer is considered binding unless the employer makes fundamental changes in terms of employment. Credentials. An application for employment or for ICMA's Voluntary Credentialing Program should be complete and accurate as to all pertinent details of education, experience, and personal history. Members should recognize that both omissions and inaccuracies must be avoided. Professional Respect. Members seeking a management position should show professional respect for persons formerly holding the position or for others who might be applying for the same position Professional respect does not preclude honest differences of opinion; it does preclude attacking a person's motives or integrity in order to be appointed to a position. Reporting Ethics Violations. When becoming aware of a possible violation of the ICMA Code of Ethics, members are encouraged to report the matter to ICMA. In reporting the matter, members may choose to go on record as the complainant or report the matter on a confidential basis. Confidentiality. Members should not discuss or divulge information with anyone about pending or completed ethics cases, except as specifically authorized by the Rules of Procedure for Enforcement of the Code of Ethics. Seeking Employment. Members should not seek employment for a position having an incumbent administrator who has not resigned or been officially informed that his or her services are to be terminated. 4. Recognize that the chief function of local government at all times is to serve the best interests of all of the people. Guideline Length of Service. A minimum of two years generally is considered necessary in order to render a professional service to the local government A short tenure should be the exception rather than a recurring experience. However, under special circumstances, it may be in the best interests of the local government and the member to separate in a shorter time. Examples of such circumstances would include refusal of the appointing authority to honor commitments concerning conditions of employment, a vote of no confidence in the member, or severe personal problems. It is the responsibility of an applicant for a position to ascertain conditions of employment. Inadequately determining terms of employment prior to arrival does not justify premature termination. 5. Submit policy proposals to elected officials, provide them with facts and advice on matters of policy as a basis for making decisions and setting community goals, and uphold and implement local government policies adopted by elected officials Guideline Conflicting Roles. Members who serve multiple roles -- working as both city attorney and city manager for the same community, for example --should avoid participating in matters that create the appearance of a conflict of interest They should disclose the potential conflict to the governing body so that other opinions may be solicited. 6. Recognize that elected representatives of the people are entitled to the credit for the establishment of local government policies, responsibility for policy execution rests with the members 7 Refrain from all political activities which undermine public confidence in professional administrators Refrain from participation in the election of the members of the employing legislative body. Guidelines Elections of the Governing Body. Members should maintain a reputation for serving equally and impartially all members of the governing body of the local government they serve, regardless of party To this end, they should not engage in active participation in the election campaign on behalf of or in opposition to candidates for the governing body Elections of Elected Executives. Members should not engage in the election campaign of any candidate for mayor or elected county executive. Running for Office Members shall not run for elected office or become involved in political activities related to running for elected office. They shall not seek political endorsements, financial contributions or engage in other campaign activities. Elections.' Members share with their fellow citizens the right and responsibility to vote and to voice their opinion on public issues However, in order not to impair their effectiveness on behalf of the local governments they serve, they shall not participate in political activities to support the candidacy of individuals running for any city, county, special district, school, state or federal offices Specifically, they shall not endorse candidates, make financial contributions, sign or circulate petitions, or participate in fund-raising activities for individuals seeking or holding elected office Elections on the Council -Manager Plan. Members may assist in preparing and presenting materials that explain the council-manager form of government to the public prior to an election on the use of the plan If assistance is required by another community, members may respond All activities regarding ballot issues should be conducted within local regulations and in a professional manner Presentation of Issues. Members may assist the governing body in presenting issues involved in referenda such as bond issues, annexations, and similar matters. 8. Make it a duty continually to improve the member's professional ability and to develop the competence of associates in the use of management techniques Guidelines Self -Assessment Each member should assess his or her professional skills and abilities on a periodic basis Professional Development Each member should commit at least 40 hours per year to professional development activities that are based on the practices identified by the members of ICMA 9. Keep the community informed on local government affairs; encourage communication between the citizens and all local government officers, emphasize friendly and courteous service to the public, and seek to improve the quality and image of public service. 10. Resist any encroachment on professional responsibilities, believing the member should be free to carry out official policies without interference, and handle each problem without discrimination on the basis of principle and justice Guideline Information Sharing The member should openly share information with the governing body while diligently carrying out the member's responsibilities as set forth in the charter or enabling legislation 11 Handle all matters of personnel on the basis of merit so that fairness and impartiality govern a member's decisions pertaining to appointments, pay adjustments, promotions, and discipline Guideline Equal Opportunity. All decisions pertaining to appointments, pay adjustments, promotions, and discipline should prohibit discrimination because of race, color, religion, sex, national origin, sexual orientation, political affiliation, disability, age, or marital status It should be the members' personal and professional responsibility to actively recruit and hire a diverse staff throughout their organizations. 12 Seek no favor, believe that personal aggrandizement or profit secured by confidential information or by misuse of public time is dishonest Guidelines Gifts. Members should not directly or indirectly solicit any gift or accept or receive any gift --whether it be money, services, loan, travel, entertainment, hospitality, promise, or any other form—under the following circumstances' (1) it could be reasonably inferred or expected that the gift was intended to influence them in the performance of their official duties, or (2) the gift was intended to serve as a reward for any official action on their part It is important that the prohibition of unsolicited gifts be limited to circumstances related to improper influence In de minimus situations, such as meal checks, some modest maximum dollar value should be determined by the member as a guideline. The guideline is not intended to isolate members from normal social practices where gifts among friends, associates, and relatives are appropriate for certain occasions Investments in Conflict with Official Duties. Member should not invest or hold any investment, directly or indirectly, in any financial business, commercial, or other private transaction that creates a conflict with their official duties. In the case of real estate, the potential use of confidential information and knowledge to further a member's personal interest requires special consideration. This guideline recognizes that members' official actions and decisions can be influenced if there is a conflict with personal investments Purchases and sales which might be interpreted as speculation for quick profit ought to be avoided (see the guideline on "Confidential Information"). Because personal investments may prejudice or may appear to influence official actions and decisions, members may, in concert with their governing body, provide for disclosure of such investments prior to accepting their position as local government administrator or prior to any official action by the governing body that may affect such investments Personal Relationships. Members should disclose any personal relationship to the governing body in any instance where there could be the appearance of a conflict of interest. For example, if the manager's spouse works for a developer doing business with the local government, that fact should be disclosed Confidential Information. Members should not disclose to others, or use to further their personal interest, confidential information acquired by them in the course of their official duties. Private Employment. Members should not engage in, solicit, negotiate for, or promise to accept private employment, nor should they render services for private interests or conduct a private business when such employment, service, or business creates a conflict with or impairs the proper discharge of their official duties Teaching, lecturing, writing, or consulting are typical activities that may not involve conflict of interest, or impair the proper discharge of their official duties Prior notification of the appointing authority is appropriate in all cases of outside employment Representation. Members should not represent any outside interest before any agency, whether public or private, except with the authorization of or at the direction of the appointing authority they serve. Endorsements. Members should not endorse commercial products or services by agreeing to use their photograph, endorsement, or quotation to paid or other commercial advertisements, whether or not for compensation Members may, however, agree to endorse the following, provided they do not receive any compensation- (1) books or other publications; (2) professional development or educational services provided by nonprofit membership organizations or recognized educational institutions, (3) products and/or services in which the local government has a direct economic interest. Members' observations, opinions, and analyses of commercial products used or tested by their local governments are appropriate and useful to the profession when included as part of professional articles and reports APPENDIX M Ethical Principles for City Attorneys Adopted October 6, 2005 City Attorneys Department Business Session Preamble A city attorney occupies an important position of trust and responsibility within city goveriunent. Central to that trust is an expectation and commitment that city attorneys will hold themselves to the highest ethical standards. Every effort should be made to earn the trust and respect of those advised, as well as the community served. The City Attorneys Department of the League of California Cities has therefore adopted these ethical principles to: o Serve as an aspirational guide to city attorneys in making decisions in difficult situations, ❑ Provide guidance to clients and the public on the ethical standards to which city attorneys aspire, and ❑ Promote integrity of the city and city attorney office. City attorneys are also subject to the State Bar's Rules of Professional Conduct. For an explanation of how the rules apply to city attorneys, please see Practicing Ethics published by the League of California Cities in 2004, available at www.cacities,org/attorneys. These aspirational ethical principles are not an effort to duplicate or interpret the State Bar's requirements or create additional regulatory standards. The role of the city attorney and the client city varies. Sorne city attorneys are full-time public employees appointed by a city council; some are members of a private law firm, who serve under contract at the pleasure of a city council. A few are directly elected by the voters; some are governed by a charter. When reflecting on the following principles, the city attorney should take these variations into account. The city attorney should be mindful of his or her unique role in public service and take steps to ensure his or her words and deeds will assist in furthering the underlying intent of these principles. When used in this document, the term "city attorney" refers to all persons engaged in the practice of municipal law. This includes attorneys in firms that provide legal services to cities on an ongoing basis that are the functional equivalent to services provided by assistant or deputy city attorneys (for example, on redevelopment and personnel issues). City Attorney Ethical Principles Adopted October 6, 2005 Page 2 Fundamental Principles (There is no significance to the order of the list.) Principle 1 (Rule of Law). As an officer of the courts and local government, the city attorney should strive to defend, promote and exemplily the law's purpose and intent, as determined from constitutional and statutory language, the case law interpreting it, and evidence of legislative intent. As an attorney representing a public agency, the city attorney should promote the rule of law and the public's trust in city govermnent by providing representation that helps create a culture of compliance with ethical and legal obligations. Explanation. The city attorney's advice and actions should always proceed from the goal ofpronroting the rule of law in a free, democratic society. Because the public's business is involved, within the city organization the city attorney should consistently point out clear legal constraints in an unambiguous manner, help the city to observe such constraints, identify to responsible city officials known legal improprieties and remedies to cure them, and if necessary, report up the chain of command to the highest level of the organization that can act on the client city's behalf. )Examples I . The city attorney should give advice consistent with the law and the'policy objectives underlying those laws, but may consider and explain good faith arguments for the extension or change of a legal principle. 2. The city attorney should not attempt to justify a course of action that is clearly unlawful. Where the city attorney's good faith legal assessment is that an act or omission would be clearly unlawful, the city attorney should resist pressure to be "creative" to come up with questionable legal conclusions that will provide cover for the elected or appointed public officials to take actions which are objectively unlikely to be in conformance with the legal constraints on the city's actions, 3. The city attorney's guiding principle in providing advice and services should be sound legal analysis. The city attorney should not advise that a course of action is legal solely because it is a common practice ("everyone else does it that way"), a past practice ("we have always done it that way"), or because the risk of suit or other consequence for action is considered low. 4. The city attorney's advice should reflect respect for the legal system. 5. If the city has made a decision that the city attorney believes may be legally harmful to the city, the city attorney should encourage the city to take any necessary corrective action but do so in a way that minimizes any damage to the city's interests. 6. The city attorney should be willing to give unpopular legal advice that meets the law's purpose and intent even when the advice is not sought but the legal problem is evident to the attorney. City Attorney Ethical Principles Adopted October 6, 2005 Page 3 7. The city attorney should not only explain and advise the city on the law, but should encourage the city to comply with the law's purpose and intent. Principle 2 (Client Trust). The city attorney should earn client trust through quality legal advice and the manner in which the attorney represents the city's interests. Explanation. It is difficult for the city attorney to effecti>>ely represent the city if public officials do not trust the city attorney's competence and professionalism. Examples 1. , The city attorney should use available resources to maximize his or her ability to advise knowledgeably on issues of municipal law. 2. The city attorney should be clear with individual council members and staff on the extent to which their communications with the city attorney can and will be kept confidential. The city attorney should be especially clear when confidentiality cannot be lawfully maintained. 3. Sometimes the city attorney will be asked a question during a public or private meeting and the city attorney is unsure of the answer. When time permits, the city attorney should advise that additional time is needed to research the matter and provide an appropriate response. If extra time is not available, then the city attorney should be candid regarding any uncertainty he or she feels about the answer given. 4. When a question is posed and the city attorney knows there is no definitive, clear conclusion, the city attorney should describe the competing legal considerations, as well as infonn the city of the legally supportable courses of action, together with an evaluation of the course that is most likely to be upheld. 5. In the event the city attorney is asked in a public forum to provide advice that could undermine the city's ultimate position, the city attorney should seek to meet in closed session, if legally permissible, or, if time permits, provide his or her opinion in a confidential memorandum. If the advice must be given during an open session, then the city attorney must be mindful of the impact that advice given in public may have on the city's ultimate position. 6. When the city attorney has a duty to provide documents or other information to outside law enforcement authorities, he or she should do so in a way to minimize harm to the city consistent with thai duty. City Attorney Ethical Principles Adopted October 6, 2005 Page 4 Principle 3 (No Politicization). The city attorney should provide legal advice in a manner that avoids the appearance that the advice is based on political aligrunent or partisanship, which can undermine client trust. Explanation. The city attorney and the city attorney's advice needs to be trusted cis impartial by the entire council, staff and community. Examples 1. The city attorney should provide consistent advice with the city's overall legal interests in mind to all members of the city team regardless of their individual views on the issue. 2. Each city council member, irrespective of political affiliation, should have equal access to legal advice from the city attorney, while legal work on a matter consuming significant legal resources should require direction from a council majority. 3. The city attorney or persons seeking to become city attorney should not make campaign contributions to or participate in the campaigns of that city's officials, including candidates running for that city's offices or city officers running for other offices. For private law firms serving as city attorney or seeking to become city attorney, this restriction should apply to the law firm's attorneys. 4. When considering whether to become involved in policy advocacy on an issue that may potentially come before the city, the city attorney should evaluate whether such involvement might compromise the attorney's ability to give unbiased advice or create the appearance of bias, Principle 4 (No Self Aggrandizement). The city attorney should discharge his or her duties in a manner that consistently places the city's interests above self -advancement or enrichment. Explanation, The city attorney, by his or her acts and deeds, should demonstrate that his or her highest professional priority is to serve the city's needs. Examples 1. The city attorney's operating and legal services budget requests should be based on the goal of efficiently serving the client city's realistic legal needs (i.e. avoid "empire building"). 2. The city attorney should provide advice without a focus on garnering personal support or avoiding personal criticism. City Attorney Ethical Principles Adopted October 6, 2005 Page 5 3. While it is appropriate for a city attorneys to provide both advisory and litigation services, a city attorney should give the city a full range of reasonable options including alternatives to litigation for resolving issues. Principle 5 (Professionalism and Courtesy). The city attorney should conduct himself/herself at all times in a professional and dignified manner, interacting with all elected officials, city staff, members of the public, and the media with courtesy and respect, Explanation. The city attorney should be a role model of decorum and composure. Examples 1. The city attorney should provide advice and information to the council and individual council members in an evenhanded manner consistent with city policy governing the provision of legal services to the city. 2. The city attorney should communicate in a way that is sensitive to both the context and audience, explaining the law in a way that is understandable. 3. In interactions with the public, the city attorney's role is to explain procedures and the law, but not engage in debate. 4. The city attorney should show professional respect for city staff, colleagues, the legal system and opponents. The city attorney should not personally attack or denigrate individuals, particularly in public forums. 5. The city attorney should not seem to endorse, by silence or otherwise, offensive comments made to him/her about others. 6. Sometimes the city attorney will provide advice in public, either because of a city's approved practices or as necessitated during a public meeting. Such advice should be provided in a low-key, dispassionate and non -confrontational manner. 7. The tone of the city attorney's advice and representation should not give the appearance of a personal attack on an individual, even when it is necessary to explain that a particular official's action is unlawful. 8. The city attorney should be open to constructive feedback and criticism. Principle 6 (Policy versus Law). The city attorney's obligation is to understand the city's policy objectives and provide objective legal advice that outlines the legally defensible options available to the city for achieving those objectives. Explanation. The city attorney must respect policymakers 'right to make policy decisions. , City Attorney Ethical Principles Adopted October 6, 2005 Page 6 Examples I . The city attorney may offer input on policy matters, but should make clear when an opinion is legal advice and when it is practical advice. 2. The city attorney should not let his or her policy preferences influence his or her legal advice. 3. If a city attorney finds it necessary to advise the city that a particular course of action would be unlawful, the city attorney should strive to identify alternative approaches that would lawfully advance the city's goals. Principle 7 (Consistency). The city attorney should conduct his or her practice in a way that consistently furthers the legitimate interests of cities. Explanation. Consistency in the legal positions taken by city attorneys is vital to city attorneys' credibility with the courts, clients, and the public. Examples 1. The city attorney should not represent a private client if that representation will necessitate advancing legal principles adverse to cities' clearly recognized and accepted interests. 2. When providing advice, the city attorney should inform his or her city of any far- reaching negative impacts a position may have on the city's own potential future interests as well as cities' interests in general, particularly when establishing legal precedent. 3. The city attorney should carefully consider whether to hire or recommend a firm that advances legal principles adverse to city interests on behalf of private clients. Principle 8 (Personal Financial Gain). The city attorney's primary responsibility is to serve the city's interest without reference to personal financial gain. Explanation. An important aspect of the city attorney profession is public service. Examples 1. The city attorney should provide the highest possible quality work regardless of the remuneration received. 2. The city attorney's representation should be based on a realistic understanding of the city's needs in light of the city's fiscal and other constraints. I-Iowever the city City Attorney Ethical Principles Adopted October,6, 2005 Page 7 attorney should advise the city when additional resources are necessary to provide the level of legal services -the city requires. 3. The city attorney should refrain from providing unnecessary or redundant services to the city. 4. The city attorney should never use the power, resources or prestige of the office for personal gain. Principle 9 (Hiring by and of City Attorneys). The selection and retention of the city attorney and city attorney staff should be based on a fair process that emphasizes professional competence and experience. The process should not include inappropriate considerations such as political, personal or financial ties. Explanation. The public's trust in the quality of the city's legal services is undermined if it appears that considerations other than competence affected the decision to hire someone. Examples 1. The city attorney should engage staff and vendors based on objective standards relating to professional competence and experience. 2. The city attorney should avoid providing gratuities to decision -makers during the pendency of decisions relating to the city attorney's employment. 3. City attorneys must keep employment negotiations separate from the city attorney's role as the city's legal advisor. 4. The city attorney should not undermine the employment of an incumbent city attorney. The city attorney may respond to'unsolicited inquiries from a potential client about future representation. 5. The city attorney should maintain an office that is open to employees from diverse backgrounds and remove unnecessary barriers to success in his or her office and in the legal profession. 6. The city attorney should not award or recommend award of litigation or legal services -related contracts if the public could question whether the contract was awarded for reasons other than merit, such as the contractor (or member of the contractor) providing gifts to or participating in political campaigns of (including making campaign contributions to) officials with the power to award the contracts. City Attorney Ethical Principles Adopted October 6, 2005 Page 8 7' The city attorney should hire or recommend staff and consultants who adhere to these ethical principles and encourage existing staff and consultants to do likewise, 8. The city attorney should seriously consider refusing to represent cities that do not support the city attorney's adherence to these principles Principle 10 (Professional Development). The city attorney should contribute to the profession's development by improving his or het own knowledge and training and by assisting other public agency attorneys and colleagues in their professional development, Explanation. For city attorneys to remain a vital, positive part of municipal government, members of the profession should take affirmative actions to advance respect for and proficiency by its practitioners. Examples 1. City attorneys have a strong tradition of assisting their colleagues through formal or informal sharing of their knowledge and expertise, including active participation in the League of California Cities, the State Bar and a local municipal attorney group or bar association. This tradition also includes sharing of research and opinions when consistent with protecting client,confidences. 2. The city attorney should continually strive to improve his or her substantive knowledge of the law affecting municipalities through presenting or attending appropriate educational programs. 3. The city attorney should keep in mind the dynamic nature of municipal law and update his or her understanding of the law on an issue, rather than relying on past knowledge. APPENDIX N International Institute of Municipal Clerks Code of Ethics Believing in freedom throughout the world allowing increased cooperation between Municipal Clerks and other officials, locally, nationally and internationally, 1 do hereby subscribe to the following principles and ethics which I affirm will govern my personal conduct as a Municipal Clerk: To uphold constitutional government and the laws of my community; To so conduct my public and private life as to be an example to my fellow citizens; To impart to my profession those standards of quality and integrity that the conduct of the affairs of my office shall be above reproach and merit public confidence in our community; To be ever mindful of my neutrality and impartiality, rendering equal service to all and to extend the same treatment I wish to receive myself; To record that which is true and preserve that which is entrusted to me as if it were my own; and To strive constantly to improve the administration of the affairs of my office consistent with applicable laws and through sound management practices to produce continued progress and so fulfill my responsibilities to my community and others. These things I, as a Municipal Clerk, do pledge to do in the interest and purposes for which our government has been established. RESOLUTION NO. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA CLARITA, CALIFORNIA, ESTABLISHING A POLICY INCLUDING A CITY CODE OF ETHICS AND CONDUCT WHEREAS, the City of Santa Clarita ("City") wishes to establish a policy containing a City Code of Ethics and Conduct; and WHEREAS, City elected officials, appointed officials and employees are governed by various applicable laws, including laws regarding the conflicts of interest, government transparency laws, and laws regulating personal advantages and perquisites of office; and WHEREAS, City employees are also guided by various City personnel policies that relate to ethics and conduct, and WHEREAS, City officials and employees are also guided by the City Philosophy; and WHEREAS, City officials and employees are guided by the values regarding ethics and conduct; and WHEREAS, the Code of Ethics and Conduct describes many of these duties and values, NOW, THEREFORE, the City Council of the City of Santa Clarita does hereby resolve as follows: SECTION 1. Recitals. The City Council finds and declares that the above recitals are true and correct and incorporates them herein. SECTION 2. Adoption of Code of Ethics and Conduct Policy. The City Council hereby adopts the Code of Ethics and Conduct Policy, attached hereto and incorporated by reference. SECTION 3. Effective Date. This Resolution shall take effect from and after its date of passage; approval and adoption. SECTION 4. Certification. The City Clerk shall certify to the adoption of this Resolution. PASSED, APPROVED AND ADOPTED this **** day of******, 2008. MAYOR ATTEST: CITY CLERK STATE OF CALIFORNIA ) COUNTY OF LOS ANGELES ) ss. CITY OF SANTA CLARITA) I, Sharon L. Dawson, CMC, City Clerk of the City of Santa Clarita, do hereby certify that the foregoing Resolution was duly adopted by the City Council of the City of Santa Clarita at a regular meeting thereof, held on the ***.* day of ******, 2008, by the following vote: AYES: COUNCILMEMBERS: NOES: COUNCILMEMBERS: None ABSENT: COUNCILMEMBERS: None OA CITY CLERK STATE OF CALIFORNIA ) COUNTY OF LOS ANGELES ) ss. CITY OF SANTA CLARITA ) CERTIFICATION OF CITY COUNCIL RESOLUTION I, Sharon L. Dawson, City Clerk of the City of Santa Clarita, do hereby certify that this is a true and correct copy of the original Resolution No. 08-: , adopted by the City Council of the City of Santa Clarita, California on;*****:*;, 2007, which is now on file in my office. Witness my hand and seal of the City of Santa Clarita, California, this _ day of , 20—. Sharon L. Dawson, CMC City Clerk By Susan Caputo Deputy City Clerk 3 CITY OF SANTA CLARITA NUMBER ORIGINAL ISSUE EFFECTIVE CURRENT ISSUE I EFFECTIVE SUPERSEDES RESPONSIBLE DEPARTMENT: CITY MANAGER'S OFFICE PURPOSE POLICY/PROCEDURE SUBJECT CODE OF ETHICS AND CONDUCT CATEGORY CITY COUNCIL STANDARD MANAGEMENT PROCEDURE The City of Santa Clarita has developed the following policy for administration of a Code of Ethics and Conduct. POLICY I. Purpose The City recognizes that the proper operation of democratic government requires that decision -makers be independent, impartial, and accountable to the people they serve. At the City of Santa Clarita, we believe ethical conduct requires more than simply complying with the laws and regulations that govern our organization. As members of the City Council, boards, committees, commissions, and employees, we agree to uphold this Code of Ethics and Conduct. The residents of the City of Santa Clarita are entitled to a fair, ethical and accountable local government which has earned the public's full confidence for integrity. The City of Santa Clarita's strong desire to fulfill this mission therefore requires that: ■ Public officials, both elected and appointed, and employees comply with both the letter and spirit of the laws and policies affecting the operations of government ' ■ Public officials be independent, impartial and fair in their judgment and actions ■ Public office be used for the public good, not for personal gain and • Public deliberations and processes be conducted openly, unless legally confidential, in an atmosphere of respect and civility For these reasons, the City of Santa Clarita has adopted this Code of Ethics and Conduct for elected officials, and members of appointed boards, commissions, committees, staff, and volunteers to assure public confidence in the integrity of local government and its effective and fair operation. II. Persons Governed by Policy This policy shall govern all elected officials of the City, appointed officials of the City, Commissions of the City, members of City committees, employees of the City, and volunteers for the City, whether serving for compensation or no compensation ("Covered Persons"). These persons are also guided by policies, principles and guidelines established by the City and various organizations. 1 of 5 1. Inteirity/Honesty Covered persons will be honest with fellow officials, the public and others. Covered persons shall be prepared to make unpopular decisions when the public's interest requires it. Additionally, covered persons shall take responsibility for their actions and disclose suspected instances of corruption to the appropriate authorities. 2. Accountability/Responsibility Covered persons shall hold a high standard and be accountable to the public, stakeholders, and other institutions. Such persons are required to be an agent of the democratic process, thus receive input, explain actions, accept results of the body's decisions, and engage in continuous improvement. Covered persons are prudent stewards of public resources and actively consider the impact of their decisions on the financial and social stability of the City and its residents. 3. Respec Covered persons shall treat fellow officials, staff and the public with courtesy and civility, even when there is disagreement on what is best for the community. Covered persons shall actively listen, ask questions, seek diverse opinions and participate in added value discussion for the purpose of consensus building, and make decisions and recommendations based upon research and facts involving staff and stakeholders, taking into consideration short and long-term goals. Furthermore, covered persons shall support a positive work environment for City staff and others who serve the City. 4. Fairness Covered persons shall be impartial when making decisions, avoiding the temptation to favor those who have supported the covered person and disfavor those who have not. They shall support the public's right to know and will promote their meaningful participation in the conduct of the public's business. Furthermore, covered persons shall treat all persons, claims, and transactions in a fair and equitable manner, and make decisions based on the merits of the issue, with attention to due process. 5. Comply with the Law Covered persons shall comply with the laws of the Nation, the State of California, and City in the performance of their public duties. These laws include, but are not limited to: the United States and California Constitutions; United States and California codes, regulations, interpretive administrative findings and relevant case law, City ordinances, City norms and procedures, and City personnel guidelines and philosophies. These laws include, but are not limited to, topics relating to ethics and conduct, including conflicts of interest, financial disclosure regulations, and campaign finance contribution limitations and reporting requirements. Additionally, certain City professionals are guided by particular rules regarding ethics provided by their professional organizations. 6. Act in the Public Interest Recognizing that stewardship of the public interest must be their primary concern, covered persons will work for the common good of the people of the City and not any private or personal interest, and they will assure fair and equal treatment of all persons, claims, and transactions coming before the City, including the City Council, boards, commissions, and committees. 7. Conflict of Interest In order to assure their independence and impartiality on behalf of the common good, covered persons shall not use their official positions to influence government decisions in which they have a material 2of5 financial interest or personal relationship which may give the appearance of a conflict of interest. In accordance with the law, covered persons shall disclose investments, interests in real property, sources of income, and gifts, and they shall abstain from participating in deliberations and decisions -making where conflicts may exist. (See California Government Code §§ 1090 et seq., 81000 et seq , 82000 et seq., 87100 et seq.; 87407; California Health & Safety Code §§ 33130 et seq ; California Penal Code §68; 2 Code of California Regulations.§§ 18700 et. seq.) 8. Regulations Retarding Personal Advantages and Perquisites Covered persons shall comply with the requirements of the United States and California Constitutions; United States and California codes, regulations, interpretive administrative findings and relevant case law, relating to the acceptance and reporting of gifts, loans, and other possible perquisites of office. (See California Constitution, Art. XII, § 7; Gov. Code §§ 3204, 8314, 36501 et seq , 82000 et seq., 87200 et. seq., 87400 et seg.; 89001, 89500 et seq.; Pen. Code § 424 et seq.; 2 Code of Cal. Regs. §§ 18700 et seg, 18930 et seq.) 9. Confidential Information Covered persons shall respect the confidentiality of information concerning City property, personnel or proceedings of the City. They shall neither disclose confidential information without proper legal authorization, nor use such information to advance their personal interests. (See Gov. Code §§54963, 82000 et seq.) 10. Use of Public Resources Covered persons shall not use public resources not available to the public in general, such as City staff, time, equipment, supplies or facilities, for private gain. Covered persons shall not utilize the City's name or logo for the purpose of endorsing any political candidate. (See Gov. Code §§ 3204, 8314, 89001, 89500 et seq.; Pen. Code § 424 et seq.; 2 Code of Cal. Regs. §§ 18901.) 11. Representation of Private interests In keeping with their role as stewards of the public interest, members of Council shall not appear on behalf of the private interests of third parties before the Council or any board, commission, committee, or proceeding of the City, nor shall members of boards, commissions and committees appear before their own bodies or before the Council on behalf of the private interests of third parties related to the areas of service of their bodies. 12. Advocacy Covered persons shall represent the official policies or positions of the City Council, board, commission, or committee to the best of their ability. When presenting their individual opinions and positions, covered persons shall explicitly state they do not represent their body or the City of Santa Clarita, nor will they allow the inference that they do. 13. Governmental Transparency Laws Covered persons are governed by relevant government transparency laws, including, but not limited to, the California Brown Act (Gov. Code §§ 54950 et seq and California Public Records Act (Gov. Code §§ 6250 et seq.). 14. Independence of Boards, Commissions, and Committees Because of the value of the independent advice of boards, commissions, and committees to the public decision-making process, members of Council shall refrain from using their positions to influence 3 of 5 unduly the deliberations or outcomes of board, commission, and committee proceedings. 15. Positive Work Place Environment City Council Members, Commissioners and Committee Members shall support the maintenance of a positive and constructive work place environment for City employees, for persons dealing with the City, and for each other as well. These persons shall recognize their special role in dealings with City employees and refrain from creating the perception of inappropriate direction to.staff 16. Implementation All covered persons should be familiar with this Code of Ethics and Conduct and embrace its provisions. For this reason, ethical standards shall be included in orientations for City Council Members, Commissioners, Committee Members, and newly appointed officials, staff, and volunteers. Furthermore, copies of this Code of Ethics and Conduct shall be distributed at orientation sessions'for all new City elected and appointed officials, and employees. 17. Compliance The Santa Clarita Code of Ethics and Conduct expresses standards of ethical conduct expected for covered persons, and the public can continue to have full confidence in the integrity of government. The City of Santa Clarita will continue to comply with state and federal laws, and will continue conducting necessary trainings as mandated by the state and nation. Any violations of applicable laws as referred to in this Code of Ethics and Conduct, which include, but are not limited to, violations of the United States and California Constitutions; United States and California codes, regulations, interpretive administrative findings and relevant case law, may be reported to the appropriate governing agencies. Any persons who believe that a City official, employee, or volunteer has violated this Code of Ethics and Conduct shall report the allegation to the proper agency. 4of5 EXCEPTION There are no exceptions to the above stated guidelines without City Council approval. AUTHORITY By order of the City Council. 5 of 5