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The City and County of San Francisco (“City”) has a paramount interest in protecting the integrity of its government institutions. To further this interest, individuals should be encouraged to report possible violations of laws, regulations, and rules governing the conduct of City officers and employees, City contractors, and employees of City contractors.
This Chapter 1 fulfills the Charter’s requirements for two City programs relating to whistleblowers, as required by Charter Appendix Section F1.107. First, as required by the Charter, the Office of the Controller has authority to receive and investigate whistleblower complaints concerning deficiencies in the quality and delivery of City government services, wasteful and inefficient City government practices, misuse of City funds, and improper activities by City officers, employees, and contractors.
Second, as required by the Charter, this ordinance protects the confidentiality of whistleblowers, and protects City officers and employees from retaliation for filing whistleblower complaints or providing assistance with the investigation of such complaints. As set forth in this Chapter 1, the Ethics Commission has primary responsibility for ensuring such protections.
(Added by Ord. 71-00, File No. 000358, App. 4/28/2000; amended by Ord. 29-02, File No. 020017, App. 3/15/2002; Ord. 205-08, File No. 080019, 9/18/2008; Ord. 299-18, File No. 180317, App. 12/21/2018, Eff. 1/21/2019; re-enacted by Proposition D, 3/5/2024, Eff. 4/12/2024, Oper. 10/12/2024)
(a) The amendment furthers the purposes of this Chapter;
(b) The Ethics Commission approves the proposed amendment in advance by at least a four-fifths vote of all its members;
(c) The proposed amendment is available for public review at least 30 days before the amendment is considered by the Board of Supervisors or any committee of the Board of Supervisors; and
(d) The Board of Supervisors approves the proposed amendment by at least a two-thirds vote of all its members.
(Added by Proposition D, 3/5/2024, Eff. 4/12/2024, Oper. 10/12/2024)
(a) COMPLAINTS. Any person may file a complaint for investigation with the Office of the Controller’s Whistleblower Program, Ethics Commission, District Attorney, City Attorney, or the complainant’s department alleging that a City officer or employee has engaged in improper government activity, misused City funds, caused deficiencies in the quality and delivery of government services or engaged in wasteful and inefficient government practices, or that a City contractor or employee of a City contractor has engaged in unlawful activity in connection with a City contract.
(b) ETHICS COMMISSION COMPLAINT PROCEDURES. The Ethics Commission shall investigate complaints filed under this Section 4.105 that contain potential violations of local campaign finance, lobbying, conflicts of interest, and governmental ethics laws pursuant to the procedures specified in Charter Section C3.699-13 and the regulations adopted thereunder. Nothing in this subsection (b) shall preclude the Ethics Commission from referring any matter to any other City department, commission, board, officer, or employee or to other government agencies for investigation and possible disciplinary or enforcement action. The Ethics Commission may require that any City department, commission, board, officer, or employee report to the Ethics Commission on the referred matter.
(c) REFERRAL. The Ethics Commission shall refer complaints that do not allege a violation of law, regulation or rule that is within the Ethics Commission’s jurisdiction to the appropriate agency for investigation and possible disciplinary or enforcement action. The Commission may conduct preliminary investigations into such complaints to determine whether the complaint contains sufficient information to warrant referral. The Ethics Commission may require any City department to provide a written report regarding the department’s investigation and any action that the department has taken in response to the Ethics Commission’s referral within a time-frame that the Ethics Commission shall specify.
(Added by Ord. 71-00, File No. 000358, App. 4/28/2000; amended by Ord. 29-02, File No. 020017, App. 3/15/2002; Ord. 299-18, File No. 180317, App. 12/21/2018, Eff. 1/21/2019; re-enacted by Proposition D, 3/5/2024, Eff. 4/12/2024, Oper. 10/12/2024)
(a) WHISTLEBLOWER PROGRAM. The Controller shall administer and publicize a whistleblower and citizen complaint program for citizens and employees to report the misuse of City funds, improper government activities by City officers and employees, deficiencies in the quality and delivery of government services, and wasteful and inefficient City government practices. Subject to subsection (b), the Controller shall investigate and otherwise attempt to resolve complaints reported to the Whistleblower Program. The Controller shall administer a hotline telephone number and website and publicize the hotline and website through press releases, public advertising, and communications to City employees.
(b) REFERRAL OF CERTAIN COMPLAINTS. The Controller shall refer the following complaints as set forth in this subsection (b):
(1) Those which another City agency is required by federal, state, or local law to adjudicate: To that agency;
(2) Those which may be resolved through a grievance mechanism established by collective bargaining agreement or contract: To the official or agency designated in the agreement or contract;
(3) Those which involve allegations of conduct which may constitute a violation of criminal law: To the District Attorney or other appropriate law enforcement agency;
(4) Those which are subject to an existing, ongoing investigation by the District Attorney, City Attorney, or Ethics Commission, where the applicable official or Commission states in writing that investigation by the Controller would substantially impede or delay his, her, or its own investigation of the matter: To the investigating office; and
(5) Those which allege conduct that may constitute a violation of local campaign finance, lobbying, conflict of interest, or governmental ethics laws, regulations, or rules: To the Ethics Commission and the City Attorney.
Where the conduct that is the subject of the complaint may violate criminal law and any civil or administrative law, statute, ordinance, or regulation, the Controller may take action on the noncriminal aspects of the matter under this Section 4.107 even if a referral has been made to another agency under this subsection (b).
If a complaint is referred under this subsection (b), the Controller shall inform the complainant of the appropriate procedure for the resolution of the complaint.
(c) TRACKING AND INVESTIGATION. The Controller shall receive, track, and investigate complaints made or referred to the Whistleblower Program. The investigation may include all steps that the Controller deems appropriate, including the review of the complaint and any documentary or other evidence provided with it, the gathering of any other relevant documents from any City department or other source, and interviews of the complainant and other persons with relevant information.
(d) INFORMATION PROVIDED UNDER PENALTY OF PERJURY. In those instances in which the Controller deems it appropriate, the Controller may require that persons making complaints or providing information swear to the truth of their statements by taking an oath administered by the Controller, or an agent of the Controller, or through written declarations made under penalty of perjury under the laws of the State of California.
(e) REFERRAL AND RECOMMENDATION BY CONTROLLER. The Controller may refer the complaint to a City department for investigation, either before conducting an initial investigation or after doing so, and may recommend that a City department take specific action based on the Controller’s initial investigation. Within 60 days of receiving a complaint for investigation or a recommendation by the Controller for specific action, or such other time as the Controller shall specify, the City department shall report to the Controller in writing the results of the department’s investigation and any action that the department has taken in response to a recommendation by the Controller that the department take specific action.
(f) REPORT BY DEPARTMENT AND FURTHER ACTION BY CONTROLLER. If the Controller has recommended that a City department take disciplinary or other corrective action that the department has declined to take, the department shall report to the Controller its reasons for failing to do so within the time frame that the Controller specifies for reporting on its investigation of the complaint. If the Controller determines that the department’s reasons are inadequate and that further investigation may be appropriate, the Controller may refer the matter to the Mayor, City Attorney, or District Attorney, or to any officer or agency that has jurisdiction over the matter.
(g) RESPONSIBILITY OF DEPARTMENTS. The department head shall be responsible for compliance by his or her department with these duties. If department staff fail to comply with the duties to investigate complaints referred by the Controller and to make the reports required by this Section 4.107, the Controller shall notify the department head. If the department head fails to take action to obtain the department’s compliance with these duties, the Controller may refer the matter to the Mayor, City Attorney, or District Attorney or to any officer or agency that has jurisdiction over the matter.
(Added by Ord. 205-08, File No. 080019, 9/18/2008; amended by Ord. 299-18, File No. 180317, App. 12/21/2018, Eff. 1/21/2019; re-enacted by Proposition D, 3/5/2024, Eff. 4/12/2024, Oper. 10/12/2024)
For purposes of this Chapter 1, the following words and phrases shall have the following meanings:
“City” or “City agency” shall mean the City and County of San Francisco, its departments, commissions, task forces, committees, and boards.
“Complainant’s department” includes the complainant’s supervisor, the executive director or highest ranking officer in the complainant’s department, and the board or commission overseeing the complainant’s department.
“Deficiencies in the quality and delivery of government services” shall mean the failure to perform a service, when performance is required under any law, regulation or policy, or under a City contract or grant.
“Improper government activity” shall mean violation of any federal, state, or local law, regulation, or rule, including but not limited to laws, regulations, or rules governing campaign finance, conflicts of interest, or governmental ethics laws; or action which creates a danger to public health or safety by the failure of City officers or employees to perform duties required by their positions. “Improper government activity” does not include employment actions for which other remedies exist.
“Misuse of City funds” shall mean any use of City funds for purposes outside of those directed by the City.
“Preliminary investigation” shall be limited to, but need not include all of the following: review of the complaint and any documentary evidence provided with the complaint; interview of the complainant; interview of the respondent, counsel to respondent and any witnesses who voluntarily agree to be interviewed for this purpose; review of any relevant public documents and documents provided voluntarily to the Commission.
“Supervisor” shall mean any individual having the authority, on behalf of the City, to hire, transfer, suspend, lay off, recall, promote, discharge, reward, or discipline other employees, or the responsibility to routinely direct them, to adjust their grievances, or to effectively recommend such action, if, in connection with the foregoing, the exercise of that authority is not merely routine or clerical, but requires the use of independent judgment.
“Unlawful activity” shall mean violations of any federal, state or local law, regulation or rule including but not limited to those laws, regulations or rules governing campaign finance, conflicts of interest or governmental ethics laws; or actions which create a danger to public health or safety by the failure of City officers or employees to perform duties imposed by a City contract.
“Wasteful and inefficient City government practices” shall mean the expenditure of City funds that could be eliminated without harming public health or safety, or reducing the quality of government services.
(Added by Ord. 71-00, File No. 000358, App. 4/28/2000; amended by Ord. 29-02, File No. 020017, App. 3/15/2002; Ord. 299-18, File No. 180317, App. 12/21/2018, Eff. 1/21/2019; re-enacted by Proposition D, 3/5/2024, Eff. 4/12/2024, Oper. 10/12/2024)
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