HUMAN SERVICES DEPARTMENT INCOMPATIBLE ACTIVITIES POLICY I. Purpose To establish a uniform department policy governing outside employment, activities, or enterprises for compensation which may be incompatible, inconsistent, in conflict or inimical with the job duties and responsibilities of an employee with the Human Services Department. II. General This policy is enacted pursuant to Government Code 1126, a copy of which is attached hereto and incorporated by this reference. It is not the intention of this policy to infringe unnecessarily upon an employee s plans to advance his or her career goals, or to improve his or her financial situation. This policy is adopted in order to comply with applicable statutes, and to assure the public of the commitment and service it deserves from its officers and employees. Government Code 1126 authorizes local agencies to adopt rules prohibiting employees from engaging in any employment, activity, or enterprise for compensation (collectively referred to as outside employment ) that is inconsistent with, incompatible, in conflict with, or inimical to his or her duties as a local agency officer or employee or with the duties, function or responsibilities of his or her appointing power or the agency by which he or she is employed. Government Code 1126 further prohibits an employee from performing any employment, activity or enterprise for compensation outside his or her employment for the County of Sonoma ( County ) where his or her efforts will be subject to approval by any employee, board or agency of the County unless approved by the employee s appointing authority using the process set out below. This policy does not prevent employees from working outside of the Department as long as such work is compatible with their job duties and responsibilities. A. Potential conflicts between an employee s job duties and the employee s outside employment and private activities are prohibited by law. In addition, conflicts can be detrimental to clients, staff, and the department as a whole. 1. An employee shall not be assigned to or perform any action on any case which personally involves the employee in any way. This includes cases which involve the employee's relatives, family members, household members and personal friends. It also includes casework, clerical work and any other official department activity.
It does not include assisting such persons with completing forms or submitting information to the department as long as the employee does not perform any official actions on the case. Such assistance shall not be provided on work time. Managers shall arrange for the work on such cases to be done by a limited number of designated staff. Managers will receive a monthly report on the assignment of such cases from the appropriate supervisor. Employee-recipient cases shall be assigned to certain uninvolved staff. 2. An employee may not accept or continue any employment which is incompatible, inconsistent, in conflict or inimical with his or her job duties or responsibilities of employment with the department. Outside employment may be prohibited and may be considered incompatible. 3. Examples of incompatible activities include, but are not limited to: The employee refers Department clients to his or her own private practice or that of a relative or family member or one in which he/she has a financial interest, either for direct services or as a consultant to other agencies or individuals. The employment involves the use of County facilities, equipment, supplies; or the badge, uniform, prestige, or influence of the County or the employee s County position. The employment is performed during the employee s regular working hours, unless the employee is on authorized leave. The employment involves the performance of an act which may be subject to the control, inspection, review, audit or enforcement of any other officer or employee or the agency by which he or she is employed, and the employee s appointing authority determines that there is a likelihood of actual incompatibility, such as potential favoritism, selective enforcement, or misuse of County information. The employment involves receipt or acceptance by the employee or any entity owned in whole or in part by the employee of any money, gift or other consideration from anyone other than the County for the performance of an act which the employee would be expected to render in the regular course or hours of his or her County employment or as a part of his or her duties as a County employee. The employment involves such time demands as would render the employee's job performance with the department less efficient. The employee is acting as an agent of a third party in transacting business with the department. The employment involves work on a project under contract with the County of Sonoma. 2
C. Disciplinary Action III. Procedure The employee uses his or her position with the department or the influence derived therefrom for his or her own personal gain or advantage. The employee uses information obtained through his or her employment with the Department for his or her personal gain or advantage. The employment involves counseling individuals in which the individual or a family member is, or is about to become, a client of the Department. Protective service workers will disclose to clients in other therapeutic contexts their affiliation with Protective Services and that if the client becomes involved in the program, termination of treatment and transition to a new counselor will be necessary. If an individual being seen by an employee in his or her private clinical practice becomes a client of the Department, the therapist/employee must immediately inform his or her supervisor or manager and develop a plan for termination of treatment. 1. Employees are encouraged to seek a determination from their appointing authority before accepting outside employment in order to avoid inadvertent violation of this policy. Violations of this policy may result in discipline up to and including termination. A. A copy of this policy will be distributed to all current employees and all newly hired employees. Employees shall sign a receipt to show that they have been provided a copy of the policy, and return the receipt to the department. B. The department shall keep the signed Incompatible Activities Policy Receipt in the employee s personnel file. C. Any employee who intends to engage in any outside employment for compensation, such as that described above, is encouraged to notify the appropriate supervisor, manager and/or Division Director, and request a determination on incompatibility on form HSD 745, Review for Approval of Additional Employment. The request should include sufficient description of the proposed duties and work schedule at the desired outside employment to permit the appointing authority to reach an informed decision. D. If an employee has any doubts about the appropriateness of existing or planned outside employment, activities, or enterprise for compensation, he or she is encouraged to notify the appropriate supervisor, manager and/or Division Director. E. The supervisor, manager or Division Director will respond in writing to the employee's concerns and advise the employee regarding the existing or planned outside employment, activities or enterprises. If there is any doubt, the supervisor or manager should consult with the Division Director. 3
F. The Division Director reviews the manager s determination and approves or disapproves it. If disapproved, the Division Director must state the reasons in writing and return the form to the employee. G. Disapprovals and Appeal Process IV. References 1. All determinations will be given to the employee in writing and will state the reasons for disapproval. 2. An employee may appeal a determination made under these policies by: Note: Filing an appeal in writing to the Director of Human Services within ten (10) work days after being informed of the decision. Within 15 days of receiving a notice and determination request from an employee, the appointing authority shall determine whether or not the proposed activity is incompatible, and notify the employee in writing of his or her determination. If not satisfied with the Director s decision, filing a written appeal with the Director of Human Resources within fifteen (15) calendar days of the issuance of the written determination of incompatible activities. The employee s written appeal should include a copy of the initial request for determination, the appointing authority s response, and any other information the employee believes is relevant. The Director of Human Resources shall issue a written determination within fifteen (15) calendar days of receiving the appeal. The Director of Human Resources decision shall be mailed to the employee via first class mail and shall be conclusive, final and binding on both the employee and the appointing authority. Any of the time limits may be extended by mutual agreement. California Government Code Incompatible Activities, Article 4.7, Section 1126 Sonoma County Civil Service Rule 10, Separations and Suspensions DM Section 01-04 V. Forms HSD 745 VI. Attachments Confidentiality Review for Approval of Additional Employment Attachment I California Government Code, Article 4.7, Section 1126 Incompatible Activities. Attachment II Incompatible Activities Policy Receipt 4
INCOMPATIBLE ACTIVITIES POLICY RECEIPT (To be placed in Employee s Personnel File) I received a copy of the Sonoma County Human Services Department Incompatible Activities Policy. I certify that I have read and understand the Policy. I acknowledge that if I fail to follow the terms of this policy I may be subject to discipline up to and including termination. DATE: PRINTED NAME: SIGNATURE: 5
West's Ann.Cal.Gov.Code 1126 WEST'S ANNOTATED CALIFORNIA CODES GOVERNMENT CODE TITLE 1. GENERAL DIVISION 4. PUBLIC OFFICERS AND EMPLOYEES CHAPTER 1. GENERAL ARTICLE 4.7. INCOMPATIBLE ACTIVITIES Current through Ch. 1of 2003-04 Reg.Sess. urgency legislation, Ch. 4of 1st Ex.Sess. urgency legislation, & Ch. 1of 2nd Ex.Sess. 1126. Inconsistent, incompatible, or conflicting employment, activity, or enterprise by local agency officer or employee; rules; rights; collective bargaining (a) Except as provided in Sections 1128 and 1129, a local agency officer or employee shall not engage in any employment, activity, or enterprise for compensation which is inconsistent, incompatible, in conflict with, or inimical to his or her duties as a local agency officer or employee or with the duties, functions, or responsibilities of his or her appointing power or the agency by which he or she is employed. The officer or employee shall not perform any work, service, or counsel for compensation outside of his or her local agency employment where any part of his or her efforts will be subject to approval by any other officer, employee, board, or commission of his or her employing body, unless otherwise approved in the manner prescribed by subdivision (b). (b) (c) Each appointing power may determine, subject to approval of the local agency, and consistent with the provisions of Section 1128 where applicable, those outside activities which, for employees under its jurisdiction, are inconsistent with, incompatible to, or in conflict with their duties as local agency officers or employees. An employee's outside employment, activity, or enterprise may be prohibited if it: (1) involves the use for private gain or advantage of his or her local agency time, facilities, equipment and supplies; or the badge, uniform, prestige, or influence of his or her local agency office or employment or, (2) involves receipt or acceptance by the officer or employee of any money or other consideration from anyone other than his or her local agency for the performance of an act which the officer or employee, if not performing such act, would be required or expected to render in the regular course or hours of his or her local agency employment or as a part of his or her duties as a local agency officer or employee or, (3) involves the performance of an act in other than his or her capacity as a local agency officer or employee which act may later be subject directly or indirectly to the control, inspection, review, audit, or enforcement of any other officer or employee or the agency by which he or she is employed, or (4) involves the time demands as would render performance of his or her duties as a local agency officer or employee less efficient. The local agency shall adopt rules governing the application of this section. The rules shall include provision for notice to employees of the determination of prohibited activities, of disciplinary action to be taken against employees for engaging in prohibited activities, and for appeal by employees from such a determination and from its application to an employee. Nothing in this section is
intended to abridge or otherwise restrict the rights of public employees under Chapter 9.5 (commencing with Section 3201) of Title 1. (d) The application of this section to determine what outside activities of employees are inconsistent with, incompatible with, or in conflict with their duties as local agency officers or employees may not be used as part of the determination of compensation in a collective bargaining agreement with public employees. 7