Table of Contents: Chapter 4

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401 Code of Ethics

401.1 Adoption of Code of Ethics and Declaration of Policy

The City maintains a commitment to professional conduct and high ethical standards to comply in all material respects with all laws and regulations applicable to City business. The City maintains the highest standards of ethical conduct in City operations and in our dealings with employees, citizens, customers, elected and appointed officials, and the public. This commitment is reflected in the various provisions of the City's Personnel Policies which guide employees to be fair, equitable, courteous and respectful of all people and represent the employee and City as, competent, transparent, and trustworthy without conflicts of interest. Employees must uphold these values and standards to ensure respect and public trust as individuals and as an organization. It is important to respect and observe these high standards in all contacts made with elected and appointed officials, the general public and fellow employees.

401.2 Integrity and Honesty of Employees 

401.2.1 Employees are expected to follow all state statutes, laws, ordinances, and regulations. The commission of any felony and all misdemeanors involving dishonesty, false statement, or violence will be grounds for disciplinary action.

401.2.2 Employees shall not make or cause to be made any false, artificial, or misleading communications or entry into any of the City's financial or official records.

401.2.3 Employees shall at all times display the highest level of integrity in performing his or her duties and never knowingly nor negligently mislead the public, employees or government officials; except to the extent consistent with established law enforcement practices in connection with a criminal investigation or arrest.

401.2.4 Employees shall conduct themselves so as to maintain public confidence in the performance of their duties and shall not act beyond their authority or competency.

401.3 Fair and Equal Treatment

401.3.1 Employees shall treat every person's and organization's concerns fairly and equally with courtesy and respect. Employees of the City must never discriminate unfairly by providing special favors or privileges to anyone whether for remuneration or not; and should never accept for themselves or family, favors or benefits under circumstances which may give the appearance to reasonable persons as influencing the performance of his or her governmental duties.

401.3.2 No employee shall grant a special consideration, treatment or advantage to any person or organization beyond which is available to every other person or organization.

401.4 Confidentiality

Confidential information refers to nonpublic information. The definition of confidential information, examples of confidential information, employee obligations regarding confidential information, use of confidential information, and confidential communications are further governed by the City's Communication Policy.

401.4.1 Employees shall not use confidential information for personal gain.

401.4.2 Employees shall not otherwise use or disclose confidential information except as authorized by law.

401.5 Conflicts of Interest

The City of Lee's Summit requires its employees to conduct themselves in such a manner that such activities do not conflict with the best interests of the City or detract from the performance of their job responsibilities. A conflict of interest describes a situation where an employee is supposed to act one way but has incentive to act in another way. It is important to note that a conflict of interest may exist even if decisions are not affected by a private or personal interest. It can include a situation in which an employee has a private or personal interest that appears to influence the objective exercise of his or her official duties or has the potential to compromise or bias professional judgment and objectivity. Employees will not create conflict of interest or any potential conflict of interest with the duties and obligations of their positions and should avoid even the appearance of such conflicts by full, public disclosure of such interests in writing to the Department Director and, where possible, by abstaining from participation in any form in the performance or exercise of the official, discretionary actions. The following is a non-exclusive list of situations that constitute conflict of interests:

401.5.1 Employment of Relatives. Employees must comply with the City's Nepotism Policy so as to avoid conflicts of interest that arise whenever an employee is involved in the hiring of or supervision of a Family Member. This conduct is further governed by the City's "Nepotism" Policy, Section 110.

401.5.2 Incompatible Off-Duty Employment. Employees shall not be employed by another entity, participate in self-employment or serve another entity in any manner where such activity affects the employee's work performance or interferes with the employee's ability to act in the best interests of the City or gives substantial evidence that the secondary job or self-employment is a conflict of interest in part or in whole. Employees shall not provide a secondary employer or employees of a secondary employer with special government services or treatment. Performing a secondary job or self-employment while on duty (e.g. making business contacts, conducting follow-ups on outside work, delivering correspondence, selling equipment, etc.) is strictly prohibited. This conduct is further governed by the City's "Employment" Policy, Section 107.

401.5.3 Future Employment. When an employee has been offered or is discussing future employment with a person, firm or any other business entity that is presently dealing with the City concerning matters within the employee's current official duties, that employee should disclose such possible future employment to the Department Director.

401.5.4 Representing Private Interests before the City and Litigation. No employee in their official position shall represent or appear on behalf of a third party before the City Council or any committee, board or commission of the City. No employee in the course of his/her official duties shall voluntarily appear on behalf of a party adverse to the City in any litigation, action or proceeding against the interests of the City, or in any action or proceeding in court in which the City or employee of the City in the course of his/her official duties is a complainant. No employee shall conduct a private personal relationship with any person (e.g., victims, suspects, defendants, etc.) involved in an active case with any relation to City business prior to disposition without full public disclosure in writing to the Department Director; and said employee shall abstain from any activities or influence related to the matter as an employee of the City.

401.5.5 Financial Liabilities and City Obligations. No employee shall attempt to bind or incur financial liability or obligations for the City unless the employee has explicit authority to do so. Employees making decisions concerning the sale, use or purchase of materials, equipment, property, services or any other commodity or item (including those who assist in the design or preparation of specifications) shall deal only with entities who best serve the City's requirements as to price, quality and service, for the betterment of the City, and only for appropriate City business. This conduct is further governed by the City's Purchasing Policy.

401.5.6 Contracts, Sales, Purchases, Services and Private Business Relationships. No employee shall, directly or indirectly, make or participate in the making of a City contract, sale, purchase or service with any person or business by which the employee is employed or in whose business the employee has a Substantial Interest. The term "Substantial Interest" is defined in section 401.5.12. Employees and their spouses and dependents are prohibited from bidding on City work or from purchasing City owned equipment, materials or purchases, directly or indirectly, by any means of disposition. Employees and their spouses and dependents shall not enter into any private business transaction with any person or business entity that has a matter pending or to be pending upon which the employee is or will be called upon to render a work related decision or pass judgment. If the employee is already engaged in the business transaction at the time that a matter arises, he/she shall be disqualified from rendering any decision or passing any judgment upon the same as an employee of the City.

401.5.7 Personal Investments. No employee shall make any personal investments creating a Substantial Interest in any business entity which will create a conflict between his/her private interest and the public interest; nor shall any employee or any business entity of which he/she is an officer, agent, or member, or the owner of Substantial Interest, sell any goods or services to any business entity which is licensed by or regulated in any manner by the City when such sales shall constitute a conflict.

401.5.8 Personal Gain from City Equipment, Facilities or Personnel. No employee may directly or indirectly benefit personally from their position or connections as an employee, from any sale, purchase, or use of City materials, supplies or equipment, City facilities, confidential information obtained as an employee, or City personnel. This conduct is further governed by the City's "Use of City Vehicles" Policy.

401.5.9 Gifts, Favors and Extra Compensation. No employee shall solicit, accept or receive any fee, gratuity, discount, favor or other valuable thing, herein commonly defined as gift, from any person, organization, or business which is involved directly or indirectly in doing business or seeking to do business with the City for themselves or coworkers that would create or appear to create a conflict of interest, abuse of authority or prestige. The following exceptions are permitted: (1) It is permissible for employees to accept unsolicited meals from persons doing business with the City, as well as to reciprocate and purchase meals for persons doing business with the City. (2) Employees may accept gratuitous meals when invited to speak at or address various meetings, attend grand openings, open houses or other community promotions, and professional events. (3) Employees may accept promotional items and unsolicited things of de minimis value not to exceed $50. (4) Employees may accept any gift which is made available to all or many employees upon approval of the Department Director. (5) Employees may accept awards and tokens of appreciation for themselves or on behalf of the City and his or her coworkers. (6) Meals and Gifts of de minimis value should not exceed the annual total taxable value of $100 from any one entity.

401.5.10 Political Activity. Political activity of employees is governed by the City's Charter, Section 14.3. No employee shall use official authority or influence for the purpose of interfering with or affecting the result of an election to a Lee's Summit city office or any ballot proposition. Employees may exercise their rights as private citizens to express opinions and if a qualified voter of the city, to vote in any municipal election.

401.5.11 Business Affairs. All of the business affairs of the City with all parties, including government officials, suppliers, customers, and competitors, shall always be conducted on an ethical, legal and arm's-length basis.

401.5.12 Miscellaneous

"Substantial interest" means any of the following:

(a) If an employee or an employee's spouse or dependents, either individually or collectively, has owned within the preceding 12 months a legal or equitable interest exceeding $5,000 or 5% of any business entity, whichever is less, the employee has a substantial interest in that business.
(b) If an employee or an employee's spouse or dependents, either individually or collectively, has received during the preceding calendar year compensation which is or will be required to be included as taxable income on federal income tax returns of the employee and spouse in an aggregate amount of $5,000 from any business or combination of businesses, the employee has a substantial interest in that business or combination of businesses.
(c) If an employee or an employee's spouse or dependents, either individually or collectively, has received in the preceding 12 months, without reasonable and valuable consideration, goods or services having an aggregate value of $1,000 or more from a business or combination of businesses, the employee has a substantial interest in that business or combination of businesses.
(d) If an employee or an employee's spouse or dependents holds the position of officer, director, associate, partner or proprietor of any business, other than an organization exempt from federal taxation of corporations under section 501(c)(3), (4), (5), (6), (7), (8), (10) or (19) of Chapter 26 of the United States Code, the employee has a substantial interest in that business, irrespective of the amount of compensation received by the employee or employee's spouse. Although a City employee does not have a substantial interest in a not-for-profit organization which is exempt from federal taxation, by holding the position of officer, director, associate, partner or proprietor, the employee must disclose this interest if he/she intends to participate in any matter between the City and the organization. The disclosure must be filed with the Department Director before the employee acts on the matter.
(e) If an employee or an employee's spouse or dependents receives compensation which is a portion or percentage of each separate fee or commission paid to a business or combination of businesses, the employee has a substantial interest in any client or customer who pays fees or commissions to the business or combination of businesses from which fees or commissions the employee or the employee's spouse, either individually or collectively, received an aggregate of $2,000 or more in the preceding calendar year.

From time to time, employees may have personal circumstances that create a real or perceived conflict of interest with the City, such as property rights. The conflict should be immediately disclosed to the Department Director in writing. The employee shall be removed from any internal review, process or discussions affecting the matter. Any oral or written presentation by the employee shall be qualified as speaking as an individual not as a City representative, although recognizing professional expertise may be a part of the testimony. In no way shall the employee use their official position to influence the outcome. Likewise, an employee will not be retaliated against for expressing their personal views on their own time.

There may be unique situations in which a conflict of interest, real or perceived, is created. Department Directors shall have the discretion to make a determination that there is a conflict of interest and regulate employee conduct.

Any employee who has not filed a disclosure of Substantial Interests shall, before acting upon any matter which will affect any business in which the employee has a Substantial Interest, file a written report of the nature of the interest with the Department Director.

Employees should direct all questions concerning conflicts of interest to their supervisor or to the City Attorney's office.

401.6 Complaints and Procedures

401.6.1 Employees shall report violations of Personnel Policies Manual Chapter 4, Section 401 to the Department Director or City Manager that has supervisory responsibility.

401.6.2 Any allegation of a violation of the ethical conduct should first be filed with the Department Director or City Manager that has supervisory responsibility in which the violation is claimed to have occurred. Whenever possible, the complaint shall be acted upon and resolved through standard policies and procedures, more specifically noted, Disciplinary Actions contained in the Personnel Policy Manual. The Department Director and City Manager shall report the complaint to the Human Resource Department and shall collaborate with the Human Resource Department to find resolution and take appropriate action.

401.6.3 All investigations, information, reviews, proceedings, actions and reports subject to personal conduct shall be deemed personnel matters and, thus confidential in accordance with applicable law.