10-09-17 Regular Meeting of the La Porte City Council

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City of La Porte Internal Ethics and Compliance Policy La Porte, Texas The City Council is the governing body for the City of La Porte, Texas; therefore, it must bear the initial responsibility for internal ethics and compliance. For this purpose it hereby adopts this policy, to be formally designated as the City of La Porte Internal Ethics and Compliance Policy. As part of this policy, the City of La Porte there hereby establishes an Internal Ethics and Compliance Program. The purpose of this policy is designed to ensure effective, efficient and ethical governance. Introduction: This policy prescribes the standards of ethical conduct for all employees of the City of La Porte. All employees must familiarize themselves with this policy. All employees must abide by applicable federal and state laws, administrative rules, and this ethics policy. An employee who violates any provision of the policy is subject to disciplinary action up to and including termination. Additionally, an employee who violates any applicable federal or state law or rule may be subject to civil or criminal penalties in addition to any disciplinary action. Policy compliance management and enforcement: The City Manager is charged with monitoring compliance within the organization and taking appropriate action in response to compliance related complaints. The City Manager, along with his/her designees, are responsible for oversight of the Internal Ethics and Compliance Program, which includes the regular review of financial reports and establishing and maintaining an adequate internal control structure with appropriate checks and balances. Furthermore, these officials shall take appropriate measures to promote an organizational culture that encourages ethical conduct and a commitment to compliance with all applicable laws and regulations. The City of La Porte will take all possible steps to avoid the delegation of substantial discretionary authority to individuals whom the organization knows or should know, have previously engaged in illegal activities. Towards this end criminal background checks will be conducted as a condition of employment for all prospective employees and as needed on current employees. All City employees, as well as members of the members of City Council, will participate in annual training in ethics and in the compliance program and ethical behavior generally. The City of La Porte will take all steps to ensure that compliance standards are effectively communicated to all employees by requiring participation in training and by distributing information that explains the requirements of the City of La Porte Internal Ethics and Compliance Policy. Specifically, a copy of the City of La Porte Ethics and Compliance Policy, including any amendments and all related documents will be made available to all employees. Training will be held during new employee orientation and annually thereafter. Each employee will sign a document acknowledging their receipt and understanding of the policy. The City of La Porte shall further notify all agents of the organization, including City contractors, regarding the Ethics and Compliance Policy, and its expectation of ethical behavior and compliance with the law. This shall include individuals and companies that the City does business and shall be accomplished by way of the distribution of written materials, electronic communication and/or verbal communication. The Finance Director shall conduct quarterly internal financial audits and other finance control and fraud risk evaluations to monitor compliance and assist in the reduction of identified problem areas.