6.6. SR 03-01-1993
ITEM 6.6.
TO:
FROM:
MAYOR & CITY COUNCIL
PAT KLAERS, CITY ADMINI~R
FEBRUARY 26, 1993 ~pr
CITY EMPLOYEE CODE OF ETHICS
DATE:
SUBJECT:
At the February 1, 1993 City Council meeting, the City Attorney
was requested to review the County Conflict of Interest policy
in order to determine if a similar policy would be appropriate
for the City of Elk River. The Council requested some feedback
from the Attorney at the March 1, City Council meeting.
At this time Peter is still having the Larkin, Hoffman
personnel specialist review the Conflict of Interest policy
from the County and is not prepared to make any final
recommendations to the City Council. The City does have a
Conflict of Interest policy that is contained in its Personnel
Ordinance and this City Conflict of Interest policy is attached
for your review. Additionally, conflict of interest activities
are covered by a variety of State laws that also affect the
City of Elk River.
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A brief update from Peter is expected at
meeting, but no final recommendation is
future meeting. The material from the County
to Peter is attached for your information.
this City
scheduled
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720 Dodge Avenue N.W., Elk River, Minnesota 55330 (612) 441-7420
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8. Supplemental Employment. Employees must devote all work
time to City business. No work relating to supplemental
employment may be performed during an employees regularly
scheduled hours. Employees may accept supplemental employment
while a City employee only if the following conditions are met:
a. The employee informs his/her supervisor of the duties
of the supplemental position and any potential conflict of
interest with City employment;
b. The supplemental employment does not conflict with
the overtime requirements of the employee's position with
the City; and
c. The supervisor approves of the supplemental
employment if it potentially conflicts with his/her City
employment.
9.
Conflict of Interest. The credibility of local
government rests heavily upon the confidence which
citizens have in public employees to render fair and
impartial services to all citizens without regard to
personal interest and/or political influence. Thus, City
employees must scrupulously avoid any activity which
suggests a conflict of interest between their private
interests and City responsibilities. Employees of the
City, or their family members, shall not engage or have
financial interest in any business or other activity which
could reasonably lead to a conflict of interest with the
employee's primary City responsibilities. "Family
members" of an employee shall be deemed to be the
employee's spouse, parents, children, siblings,
brothers-in-law, and sisters-in-law and the lineal
descendants of any of them. Examples of activities which
are not in accordance with this policy include, but are
not limited to:
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a. Having an interest in any business which has contacts
or other direct dealing with the City;
b. Activities which require the employee to interpret
City codes, ordinances, or regulations when such activity
involves matters with which the employee has business
and/or family ties;
c. Consulting activities carried out within the City if
such consulting involves talents or skills primarily
related to the employee's City work responsibilities; and
d. Using an employee's authority or City position for
the purpose of personal financial gain.
Any employee engaging in any activity involving either an
actual or potential conflict of interest or having knowledge of
such activity by another employee shall promptly report the
activity to the City Administrator. The City Administrator
shall investigate the matter and make a determination as to
whether or not an actual or potential conflict exists. If the
City Administrator determines a conflict exists, it shall be
presumed that the continuation of the practice would be
injurious to the effectiveness of the employee in carrying out
his/her responsibilities. In such cases the employee shall
immediately terminate the conflicting activity or be subject to
termination of employment.
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Sherburne County
COORDINA TOR
DATE: December 4, 1992
TO: All County Elected Officials
and Department Heads
13880 Highway 10
P.O. Box 311
Elk River, MN 55330
241-2701 CJ 1-800-433-5229
(Within 612 Area Code)
FROM: Sherburne County Board of Commissioners
SUBJECT: Conflict of Interest Policy
The 1991 management letter from the State Auditor has required that
the County establish a mechanism to monitor compliance with
Conflict of Interest Policy. The Attached information and Related
Party Transaction Questionnaire fulfill this state imposed mandate.
Please read the information and respond at your earliest
convenience.
d~
C:DEC/lmg
An Equal Opportunity Employer
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SHERBURNE COUNTY
RELATED PARTY
TRANSACTION QUESTIONNAIRE
The Related Party Transaction Questionnaire identifies the
relationships of County employees who may make purchasing
decisions, influence contract/lease approval, or represent the
County in business transactions with firms, organizations, or
individuals who have a special relationship with the employee.
This special relationship may be the possible influence of family
members who may influence management or operating policies of the
other, or with firms or organizations who through business with the
County may allow the employee to materially benefit from this
business.
Knowledge of such relationships will allow County management to
implement control mechanisms to avoid conflict of interest
situations in business transactions. This information will also be
used to demonstrate and document compliance with the Minnesota
State Auditor's legal compliance guidelines.
Sherburne County has a Conflict of Interests Policy, Section 18.3
of the Personnel Rules and policies (last revised on 6/3/92)
requiring immediate disclosure to superiors of any situation which
may pose a conflict of interest. The County Board also approved a
Code of Ethics on January 8, 1993, copy also attached. The
attached ques tionnaire provides an annual query of any special
relationships of employees or officials with individuals/firms that
transact business with the County.
This questionnaire is being distributed to all Commissioners and
Department Heads since they implement purchasing pOlicy and
practices, and have overall requisition authority and
responsibility. If Department Heads deleqate discretionary
decision makinq to others, these employees should also complete the
form. Please copy as many as necessary. The employees will be
asked to answer the questions and sign the questionnaire. The
questionnaire will be sent out annually in future years to update
representations of related party transactions.
Signed forms should be returned to the Coordinator's Office to be
kept on file. Such information will be made available to the
Office of the State Auditor in their annual audit of the financial
operations of the County.
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SHERBURNE COUNTY
RELATED PARTY
TRANSACTION QUESTIONNAIRE
DEFINITIONS
RELATED PARTY: Immediate family member, relative or any party with
which a formal or informal business relationship is
held and any party to which one owes an allegiance
or oath to.
CONTROL: The possession, direct or indirect, of the power to
direct or cause the direction of the management and
policies of a specified party, whether through
ownership, by contract, or other means.
MANAGEMENT:
Any person having responsibility for achieving the
obj ecti ves of the organization and accompanying
authority to establish the pOlicies and/or make the
decisions through which such obj ecti ves are
pursued. This would include the Board of
Commissioners, Department Heads, and other classes
of employees who have purchase decision
responsibilities.
MATERIAL
INTEREST:
Any transaction, or group of transactions, during
the calendar year which exceed $2,000.
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SHERBURNE COUNTY
RELATED PARTY
TRANSACTION QUESTIONNAIRE
1. Have you or any related party of yours had any material
interest (over $2,000), direct or indirect, in any business
transaction with the County since January 1, 1992?
YES
NO
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2. As of today's date do you or any related party of yours have
any material interest, direct or indirect, in any pending or
incomplete business transaction with Sherburne County?
YES
NO
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3. Have you or any related party of yours been indebted to any
vendor that you believe the County does business with at any
time since January 1, 1992? Please exclude amounts due for
purchases on usual trade terms.
YES
NO
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................................. --.. ----........... ------ --..... --... -- --......... --------..................--
I have answered the above questions correctly to the best of my
knowledge and belief.
Department
Date
Your Name (Please Print)
. Signature
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SHERBURNE COUNTY ADMIN I STRATIVE MANUAL
Personnel Rules and policies
Page 51
Last Date Revised 06/03/92
8) Using, threatening to use, or attempting to use
pOlitical influence or attempting to exert unethical
pressure on any County employee or officer in securing
promotion, transfer, leave of absence, increased
compensation, or other favors;
9) Absence from work for two (2) consecutive days without
notice to supervisor;
10) Drinking alcoholic beverages during working hours,
intoxicated while at work, or consuming or being under
the influence of a narcotic drug other than as
prescribed by a physician while at work;
11) Theft of public property, pilferage, or other
unauthorized taking of public property from a public
building or premises for private use;
12) Sexual, racial, ethnic harassment of any County
employee (any written or verbal complaint of sexual,
racial, or ethnic harassment shall be reported by the
employee's supervisor or Department Head to the
Personnel Coordinator within twenty-four (24) hours of
the occurrence) ;
13) Acting in a manner not here and above specified which
tends to lower discipline or morale within the County
or that adversely affects the rendering of prompt,
courteous, and efficient service by the County and its
employees to the public;
14) Engaging in an unapproved conflict of interest as
defined below.
In additon, disciplinary action may be taken for reasons or
"cause" specifically defined by the department rules other
than those listed herein.
onflict of Interest
ployees shall obtain prior approval from their approving
authority before engaging in any other employment activity
or enterprise for private gain that may constitute a
conflict of interest. In determing whether such outside
employment or activities for private gain constitute a
conflict of interest with public duties, or are
inconsistent or incompatible with public employment, the
fOllowing shall be considered:
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SHERBURNE COUNTY ADMINISTRATIVE MANUAL
Personnel Rules and policies
Page 52
Last Date Revised 06/03/92
1) The use of County time, facilities, equipment, and
supplies or the badge, uniform, prestige or influence
of County employment for private gain;
2) Receipt or acceptance by the employee of any money or
other considerations from anyone other than the County
for the performance of an act which the employee would
be required or expected to perform in the regular
course of his/her County employment, or as a part of
his/her duties as an employee;
3) The performance of an act in other than his/her
capacity as an employee, which act may later be
subject directly or indirectly to the control,
inspection, review, audit, or enforcement by such
employee for the department by which he/she is
employed.
18.4 Disciplinary Actions
Disciplinary actions, depending on the severity of rule
violations or misbehavior, shall be progressive following
as closely as possible the steps outlined below. More
serious violations and/or misbehavior may warrant the more
severe disciplinary action.
18.41
Oral Reorimand
This is an action taken by a Department Head in
which he/she tells an employee about an action or
behavior of the employee which he/she as a
Department Head finds obj ectionable or wishes
corrected.
18.42
Written Reprimand
This is an action taken by a Department Head in
which he/she writes out the action or behavior
which he/she wishes the employee to change,
cease, or begin. The written reprimand shall
describe, in detail, the behavior to be
corrected, shall give directions and orders for
the future, and will point out the consequences
of repeating the actions which brought about the
written reprimand. Written reprimands must be
presented to the employee in accordance with
Section 18.5 of these regulations.
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CODE OF ETHICS
Proposed Draft of May 31, 1991
A. Use of Confidential Information
1. An employee shall not knowingly:
reveal a confidence on protected data on an
individual or an entity
use a confidence or protected data to the
employee's advantage or the advantage of others or
the disadvantage of the client
2. An employee may reveal:
- confidences or protected data in the course of
litigation, by consent of the client or under
court order
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- a confidence or protected data if there is an
intent to cornr.tit a crime and the information is
necessary to prevent a crime
- data on an individual to the individual or to
their authorized agent
Confidence is information gained in the professional
relationship with that client.
Protected data is defined as data on an individual or
entity collected by the government which is private
data.
B. Conflict of Interests
An employee shall not enter into
transaction when it uses confidential
gained in the course of employment.
a business
informa tion
An employee shall not provide financial assistance
to a client.
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An employee may not accept compensation in any
form from a client for his/her work for the county.
Compensation does not include awards, plaques or
mementos recognizing the employee's contribution in
their area or to a charitable organization; honoraria
or other expenses in conjunction with a paper
presentation or demonstration in the employee's field
of expertise or scholarships/financial grants for
schooling.
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An employee shall not knowingly:
1. Use his/her position to secure benefits,
privileges, exemptions or advantages for the
employee, the employee's family or friends.
2. Accept other employment, enter into a
contractual relationship or public office where it
will affect the employee's independence of
judgment or require. -use of .confidential
information gained in the employee's duties as an
employee for the county or vice versa.
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3. Act as an agent or attorney for any matter
pending before the County of Sherburne or its
boards or agencies except in the proper discharge
of its duties or if such action is personal in
nature to the employee or the employee's family.
Discussion: An employee should not appear before the
Planning Commission on behalf of a third party and
seek to use his/her position to sway the Commission
because of such position. However, an employee may
have need to utilize the county court systems to act
as a personal representative on a family member's
estate or in a dissolution action.
4. Use his/her position for private gain or
advantage
s. Conduct personal business while working
his/her regularly scheduled hours
6. Use county facilities or equipment for
personal use
7. Accept rebates or procure any financial gain
through the letting of bids or employment of
outside personnel.
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8. Accept any employment which is similar to the
employment held by the employee for the county
which may mislead the outside employer that such
outside employment is an extension of their county
employment
9. Accept employment with any individual who is a
client through the county and the employee of the
county has direct or indirect control of provision
of services or goods or the county employee would
be in a position to directly or indirectly
monitor, license or otherwise have input regarding
the outside provision of goods/services.
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The county encourages its employees to become active
participants in the areas which the employees reside,
whether such activities are charitable organizations,
school programs or other activities.
c.
Elections
No elected individual shall require directly
or indirectly his/her employees to campaign on
his /her behalf as a condition to employment. No
employee shall use county time or resources in
promoting or in advocating the election of any
individual.
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