LOS ANGELES UNIFIED SCHOOL DISTRICT EMPLOYEE CODE OF ETHICS PREAMBLE All persons employed by the Los Angeles
Unified School District (“LAUSD” or “District”) including elected members of the Board of Education, regardless of their particular job or role, are part of one of the nation’s most important public educational institutions. As such, they have special legal and ethical obligations arising from two distinct disciplines: government service and education. The governmental dimension of these responsibilities imposes duties inherent in public service including the promotion and protection of public trust and confidence and avoidance of conflicts of interest and appearances of impropriety. While these duties are more obvious with respect to the job responsibilities of elected Board of Education members, the Superintendent and senior LAUSD administrators, they are no less important or binding with respect to school principals, teachers, counselors and non-instructional staff, who use public facilities and deal with public authority and resources. Though the educational responsibilities of District employees are more extensive and obvious with respect to certificated instructional personnel such as school principals and teachers, all employees are ethically bound to place the educational and developmental interests of students above personal interests. All LAUSD employees should conduct themselves in a manner that promotes and supports the development of good character by teaching, enforcing, advocating and modeling ethical principles. The ethical and legal responsibilities of those who serve the mission of the LAUSD in their various relationships and duties are broad and often complex. This Code of Ethics has been adopted to provide clarity about those responsibilities to assist employees to recognize and live up to their ethical responsibilities. CORE ETHICAL PRINCIPLES The first and greatest concern of an employee shall be promotion of LAUSD’s mission to provide students with a quality education in a safe setting that reflects its commitment to the highest ethical standards. An LAUSD employee is expected to acknowledge and accept the ethical responsibilities stated in this Code and interpret and apply them so as to create an ethical environment that fosters public and collegial trust, personal and institutional integrity, high levels of competence and accountability and a positive atmosphere characterized by integrity, fairness, respect, and caring. The specific provisions of this Code of Ethics are grounded in core ethical principles such as trustworthiness, respect, responsibility, fairness, caring, and good citizenship. Since no code of conduct can cover all situations or answer all questions, LAUSD employees are expected to govern their behavior in accordance with these general principles by:
a) b) c) d) e) f) g)
being honest treating all persons with respect demonstrating accountability for responsibilities pursuing excellence striving to be fair in all matters obeying all laws and regulations working in cooperation with others to protect and improve the LAUSD community and advance the well-being of students.
PURPOSE OF CODE OF ETHICS This Code of Ethics plays a central part in the commitment of the LAUSD to assure that all persons involved in pursuing the mission of the District abide by high ethical standards in all their work-related activities and relationships. In furtherance of this purpose employees and members of the Board of Education are expected and required to abide by the letter and spirit of this Code and to represent the District in a manner that engenders public trust in its integrity and competence. APPLICATION OF CODE OF ETHICS This Code applies to the Board of Education and all certificated, classified and other employees of the LAUSD including all instructional and support personnel. Unless otherwise stated, the term “employees” is used to refer to all these groups. All employees are required to read and sign an acknowledgement that they have read and understand the Code as an indication of their agreement to abide by its provisions. In interpreting the provisions of this Code, an LAUSD employee and the District shall use good faith, sound discretion and good judgment and seek to adhere to the spirit as well as the letter of specific standards. An LAUSD employee shall also comply with all State law and applicable LAUSD rules and regulations, including applicable provisions of collective bargaining agreements. ENFORCEMENT It is expected that the primary use of this Code will be informative and educational. To assure adherence to its standards of conduct, the District will enforce its provisions. The Code is an enforceable regulation for purposes of employee disciplinary actions. Violations of any provision of this Code may result in administrative or disciplinary action as well as referral to appropriate authorities for civil and/or criminal prosecution. Determinations made with respect to potential violations of the Ethics Code shall in no way preclude or replace any other legal action that may be warranted by the conduct.
STANDARDS OF CONDUCT 1. Avoiding Appearances Of Impropriety Regarding Students. LAUSD employees are entrusted with the physical and emotional safety and well being of LAUSD students. To justify and maintain this trust, LAUSD employees shall not engage in any conduct that is likely to create in the minds of reasonable, impartial observers the perception that a relationship or interaction with one or more students is abusive, exploitative or otherwise improper. Dating and/or other social relationships between employees and students are strictly prohibited. 2. Avoiding Appearances Of Impropriety Regarding Public Power Or Resources. LAUSD employees are entrusted with stewardship over the District’s public school system. To justify and maintain public trust and confidence in the integrity and competency of the LAUSD, employees shall not engage in any conduct that is likely to create in the minds of reasonable, impartial observers the perception that they misused funds, facilities, property, time or other public assets or have otherwise engaged in conduct unbefitting a government employee in a public school system. 3. Reporting Improper Conduct. LAUSD employees shall protect students and safeguard the public’s trust by reporting unethical, illegal or dangerous conduct to a supervisor, the Ethics Officer, or the Inspector General. This obligation to report misconduct arises whenever an LAUSD employee has personal knowledge that another employee’s conduct constitutes: a) b) c) d) e) f) a violation of the law or this code gross mismanagement a significant waste of funds an abuse of authority a substantial and specific danger to public health or safety other conduct that could injure the reputation of the District or subject it to liability.
An LAUSD employee shall not file frivolous or unsubstantiated complaints regarding misconduct of other employees, nor shall they abuse the process by which misconduct may be reported. 4. Prohibition Of Retaliation. LAUSD employees shall not use or threaten to use official authority or influence to discourage, restrain or interfere with any other employee from reporting facts believed to constitute improper, unethical or illegal conduct nor shall they harass, punish or retaliate against any employee who has made a good faith complaint. 5. Honesty And Integrity. LAUSD employees must conduct themselves in a manner that engenders respect and justifies trust in their integrity, competency and devotion to the mission of the LAUSD. LAUSD employees shall demonstrate personal trustworthiness by being honest and avoiding any form of falsification, misrepresentation, deception, or cheating in District records and all their communications and actions.
6. Candor Regarding Supervisor-Subordinate Relationship. LAUSD employees shall demonstrate a high degree of accountability by being candid and forthright in giving timely, complete and accurate information to help their superiors and members of the Board of Education make informed and intelligent decisions. 7. Atmosphere Of Integrity. An LAUSD employee must strive to establish and uphold an atmosphere of integrity that encourages honesty and discourages all forms of dishonesty, deception or academic cheating. An LAUSD employee shall assure that all official actions affecting students, including but not limited to the assignment of grades; conclusions and recommendations incorporated in formal assessments, determinations of eligibility for special programs; accessibility to particular classes, teachers and programs; and inclusion or exclusion from sports or other co-curricular activities, shall reflect adherence to the highest standards of integrity and fairness. 8. Improper Influence. An LAUSD employee shall not engage in nor cooperate with any conduct intended to improperly influence the actions, grades or assessments of any central or local administrator, teacher, counselor, coach or other employee who makes decisions affecting students. For example, money or personal favors should not be offered in exchange for a decision affecting a student’s grades. 9. Cheating And Improper Assistance. An LAUSD employee shall not engage in nor cooperate with any conduct intended to improperly aid students in their performance on exams or participate in or allow actions designed to alter or falsify tests or grades. 10. Confidentiality. LAUSD employees shall abide by all laws and District policies concerning confidential information. An LAUSD employee must not use or disclose confidential information acquired in the course of official duties for financial gain, personal advantage or any other non-official reason. 11. Procurement Information. An LAUSD employee who has access to confidential information relating to contracts, construction, or procurement must maintain the confidentiality of such information and not disclose or use it for any purpose other than in the proper performance of the employee’s job. 12. Student Records And Personnel Files. An LAUSD employee must not use or disclose confidential, private or sensitive information acquired in the course of official duties relating to student performance and records, personnel files or other District records except in the proper performance of the employee’s job. 13. Confidentiality Of Meetings. An LAUSD employee must honor confidentiality agreements and policies concerning the content and source of comments and actions occurring during staff, faculty, parent and closed Board of Education meetings. 14. Improper Use Of Position. LAUSD employees shall use the authority, discretion, powers and resources arising from their public position only to advance public interests and not to attain personal or private gain or advantage for themselves or any other person. (For provisions relating to prohibited and approved activities on school premises, see Board Rule 1251.) In dealing with personal matters, an LAUSD employee shall not use official letterhead, 4.
title, or badge or otherwise refer to their position with LAUSD in a manner that would create in the mind of a reasonable objective observer the belief that the employee was seeking to induce or intimidate persons to resolve disputes more favorably, provide preferential treatment, or give gratuities, discounts, favors or provide other unwarranted personal or private benefits. 15. Unauthorized Use Of District Facilities, Equipment, Supplies, And Mailing Lists. An LAUSD employee shall not use nor allow others to use for non-District purposes, District equipment, supplies or mailing lists nor engage in or allow conduct resulting in the unauthorized use of any District resource. Except for occasional and limited personal use that does not interfere with the performance of official duties or create an appearance of impropriety, an LAUSD employee shall not use nor allow others to use District facilities, equipment, supplies or mailing lists for personal purposes. a) Reporting And Reimbursement Obligation. An LAUSD employee shall make reasonable efforts to avoid the necessity of using District facilities or equipment for personal use and where such use is not reasonably avoidable the employee shall promptly report and reimburse the District for the costs of all such uses. b) Examination Of Records. LAUSD reserves the right to review records to determine abuse of privileges relating to the use of telephones (including cellular phones), pagers, computers (including internet access), copy machines, automobiles and/or transportation vehicles. 16. Misuse Of Time. The time and services of all LAUSD employees during working hours are assets of the District that should be used only for LAUSD business. An LAUSD employee shall not conduct personal business on District time. 17. Misuse Of Personnel. An LAUSD employee shall not direct, cause, induce or permit another District employee to perform personal services or confer a private benefit on District time. Employees who are asked or instructed to perform improper personal services shall refuse to do so and report the request or instruction to the Superintendent, the Ethics Officer or Inspector General. 18. Negotiations For Future Employment. In order to avoid conflicts of interest and appearances of impropriety, an LAUSD employee shall not discuss or negotiate the possibility of future employment with any person or organization (other than a government agency) that might be directly or indirectly benefited in a substantial way by any official action the employee might take. 19. Maintaining A Respectful Environment. The ability to resolve problems and work effectively as team members is often necessary to effectiveness. The cornerstone to a good working environment is respect. An LAUSD employee shall strive to create and sustain a respectful, fair and caring environment by treating all persons including other District employees, students and parents with a high degree of respect by being civil and courteous and avoiding conduct that can reasonably be construed as abusive, rude or inappropriate.
20. Exploitative Or Abusive Conduct. An LAUSD employee shall strive to protect and safeguard the physical and mental well being of all persons in the working environment. An LAUSD employee shall treat students and other LAUSD employees with respect, never engaging in conduct that could reasonably be construed as exploitative, physically intimidating, discriminatory, harassing (in a sexual nature or otherwise), or abusive. Language that relates to race, ethnicity, religion, national origin or sexual orientation in a profane or jokingly way, no matter what the speakers intention is shall not be used in any job-related situation. 21. Conflicts Of Interest. LAUSD employees shall employ independent objective judgment in performing their duties, deciding all matters on the merits, free of partiality or prejudice and unimpeded by conflicts of interest or other improper influences. 22. Financial Conflicts Of Interest. LAUSD employees shall be deemed to have a financial interest in a decision if it is reasonably foreseeable that the decision will have a material financial effect on: a) The employee’s immediate family (spouse, domestic partner, parent and minor child), distinguishable from its effect on the public generally; b) Any business entity in which the employee has a direct or indirect investment worth $1,000 or more or in which the employee is a director, officer, partner, trustee, employee, or holds any position of management; c) Any real property in which the employee has a direct or indirect interest worth $1,000 or more; d) Any source of income of $1,000 or more. 23. Outside Income. LAUSD employees shall not accept any outside earned income in any situation where a reasonable person in the education community could conclude that the receipt of the income would be inconsistent, incompatible or in conflict with their official duties. For example, employees who select textbook vendors shall not accept income from these vendors. 24. Financial Disclosure. LAUSD employees designated in the Conflict of Interest and Disclosure Code filed with the County of Los Angeles shall submit an annual report in the forms provided. LAUSD employees required to submit such reports shall do so honestly, in good faith, in a timely manner and with no intent to circumvent or evade the clear purposes of such disclosure requirements. 25. Filings Copied To The LAUSD Ethics Office. Any filing required to be filed pursuant to the Political Reform Act of 1974, as amended, commencing with California Government Code Section 81000, as amended, by candidates for Board of Education, shall also be filed in the form of a copy with the Ethics Office. 26. Post Employment Restrictions; Revolving Door Limits; Contract Restrictions. After leaving the District by resignation LAUSD employees are restricted from certain types of employment for a period of twelve (12) months. These restrictions are designed to prevent an unfair competitive advantage to companies hiring former LAUSD employees. 6.
Former LAUSD employees may not register as lobbyists and lobby the District for one (1) year after leaving District employment. The District shall not contract with former employees who, within the preceding twelve months, held a position of substantial responsibility in the area of service to be performed by the contract or participated in any way in developing the contract or its specifications. For the twelve months after an LAUSD employee has left the agency, the District shall not contract with a business where the former LAUSD employee serves as an officer, principal, partner, major shareholder or has been identified as a key personnel and where the former LAUSD employee held a position of substantial responsibility in the area of service to be performed by the contract or participated in any way in developing the contract or its specifications. LAUSD employees shall not contract with a business which has a subcontractor which employs a former LAUSD employee who has left the District within the previous twelve months, and where the former LAUSD employee serves as an officer, principal, partner, major shareholder or has been identified a key personnel and where the former LAUSD employee held a position of substantial responsibility in the area of service to be performed by the contract or participated in any way in developing the contract or its specifications. 27. General Limitation On Solicitation. An LAUSD employee shall not solicit or accept any payments or other benefits under circumstances that would create in the mind of a fairminded, reasonable person the belief that such funds were provided with the intent to improperly influence the employee’s actions. 28. Gifts And Gratuities. An LAUSD employee shall not allow personal gifts, favors or benefits from lobbyists, vendors, parents, students or others to affect work-related decisions or action. A gift is defined as anything of value which is provided to the extent that payment or consideration of equal or greater value is not received in return including but not limited to, tickets to sporting or cultural events, items of food, meals, use of facilities, forgiveness of debts, interests in real property, investments, or merchandise; a rebate or discount (unless the rebate or discount is normally given to any member of the public) Unless normally offered to any member of the public, a Board Member may not accept a free pass or discount from a transportation company. The acceptance of a free pass or discount by a Board Member shall work as a forfeiture of that office. (California Constitution, Article 12, Section 7.) 29. Personal Transactions With People Doing Business With The District. The acceptance of gifts, payments or other benefits from those with whom LAUSD does business can be improper. LAUSD employees who are in the position to make or influence a decision to spend District funds shall not solicit or accept any personal benefit of more than nominal value ($100) during a calendar year from any single person or organization that might benefit from the employee’s decision. This provision does not apply to:
a) Meals provided at an event at which the employee participates in a seminar or similar activity; b) Travel expenses and meals paid for by a local, state, federal or foreign government agency; c) Items received from a union representing the employee. 30. Hiring And Promotion Decisions. An LAUSD employee who is in a position to make or influence hiring or promotion decisions shall strive to select the person whose job-related competency and character most closely matches the need of the work site/district as demonstrated by qualifications, experience and work history and performance in official District selection processes. 31. Supervising Relatives. There is no prohibition to prevent close relatives (spouse, brother, sister, parent, child, grandchild, aunt, uncle, cousin, nephew, niece, father-in-law, mother-in-law, brother-in-law or sister-in-law) or cohabitants (persons living together) from working at the same facility or program. But close relatives or cohabitants working with each other in superior-subordinate situations, where one supervises the work of the other, can raise serious morale issues and create appearances of impropriety. Unless a special written waiver is obtained from the General Superintendent, which does not negatively affect the general interest of the LAUSD, an LAUSD employee shall not: a) cause or permit the hiring, appointment or transfer of a person to a position where a close relative or cohabitant would exercise contract management or direct supervision and evaluation authority over another close relative or co-habitant. This includes any situation in which a contract principal at a school is a relative or cohabitant of any person also employed at the same school. b) directly or indirectly recommend or advocate any personnel action that affects any close relative or cohabitant employed at the LAUSD. c) directly or indirectly cause or permit the employment of a close relative or cohabitant employed at the LAUSD to be a consultant or employee at the LAUSD. 32. Voting Affecting A Close Relative. An LAUSD employee shall not vote on any expenditure that would result in a direct financial benefit to a close relative or cohabitant.
33. Fairness. An LAUSD employee shall be fair, open-minded and impartial in exercising the employee’s authority. An LAUSD employee shall strive to assure that all actions promote fairness and equity for all employees, students and others affected. 34. Compliance. An LAUSD employee shall uphold all laws and regulations of the United States and the State of California (particularly the Education Code) and all other applicable government entities, and the policies, procedures, rules and regulations of the LAUSD, including applicable collective bargaining agreements.
ACKNOWLEDGEMENT (To Be Filed in Personnel File)
I acknowledge my obligation as a public employee to conduct myself so as to justify public trust that decisions are made on the merits, untainted by conflicts of interest. I have fully read, understand and have in my possession a copy of the standards and requirements of this Code of Ethics and I understand that my failure to abide by these provisions can result in administrative action, formal discipline (including termination from District service), other legal action, subject to my due process rights under applicable State law or applicable collective bargaining agreements. I understand that negative assumptions about the character of LAUSD employees are not intended or implied by the requirement that LAUSD employees acknowledge and agree to abide by the Code of Ethics.
Name (Print): "_________________________________ Signature: "____________________________________
LOS ANGELES UNIFIED SCHOOL DISTRICT CONTRACTORS AND CONSULTANTS CODE OF CONDUCT 1. Application Of The Contractor Code Of Conduct. This Code of Conduct shall govern the conduct of all contractors of the Los Angeles Unified School District (“LAUSD”), except where the LAUSD has contracted through a State sanctioned master, standard or interagency agreements (“piggybacking”.) These standards supersede all prior written Ethics Policies duly adopted by the LAUSD which are in conflict with these standards. These standards are to be read in conjunction with the latest edition of the LAUSD Contract Handbook and other applicable LAUSD contracting and procurement policies and procedures. All contractors shall insure that their subcontractors comply with this Code of Conduct. 2. Advisory Volunteers. Any person who serves on a volunteer basis on an advisory group, committee or commission for the purpose of participation in the making of an LAUSD decision shall comply with this Code of Conduct. 3. Purpose. The purpose of this Code of Conduct is: To protect the integrity of the procurement process; To provide a comprehensive statement of pertinent regulations and obligations governing the conduct of contractors doing business with the LAUSD so they will be able to compete fairly and perform their work and services in an ethical manner. 4. Not Exclusive. This document does not purport to respond to all ethical issues which may arise in the course of doing business with the LAUSD 5. Ethical Conduct. . Each person and entity is expected to conduct himself or herself in the manner of an ethical, reasonable person with the express understanding that acting ethically is not an optional course of conduct at the LAUSD but the only course of conduct permitted. The LAUSD Ethics Office is charged with educating and advising about ethical issues. If you have any questions regarding this Code of Conduct you are welcome to contact the Ethics Office. 6. Enforcement. The provisions of this Code of Conduct are enforceable by the LAUSD Inspector General and other appropriate enforcement authorities. 7. Avoiding The Appearance Of Impropriety. All contractors should refrain from conduct which they know or reasonably should know is likely to create in the minds of reasonable, objective, fair-minded observers the perception that they are using their contract with the LAUSD in an improper manner. 8. Contacts By Staff Prior To The Issuance Of A Solicitation. While informational and market research contacts with prospective contractors are a valuable source of data to the LAUSD, such contacts can be perceived as improper. All parties must exercise sound judgment and exercise caution to prevent an actual or implied impression that such contacts will result in preferential treatment of the prospective contractor. 10.
9. Lobbying. Under LAUSD Policy a lobbyist is defined as any person who receives compensation, other than reimbursement for reasonable travel expenses, to influence any LAUSD action. All persons classified as a lobbyist under this definition shall register with the LAUSD prior to the commencement of any lobbying activity. The LAUSD shall not award a contract to any person or entity that is in violation of this policy. This definition of lobbyist is broader than definitions used by other agencies. You should consult the LAUSD Lobbyist Registration Code to determine whether you are a lobbyist. 10. Zero Tolerance Regarding Gifts. No bidder or proposer shall offer, give, or promise to offer or give, directly or indirectly any money, gift, gratuity or other thing of value to any LAUSD procurement staff at any time. 11. Zero Tolerance Regarding Offers Of Employment. No bidder, proposer, or contractor shall offer, or promise to offer, either directly or indirectly, any future employment or business opportunity to any LAUSD staff, their immediate family, spouse, significant other or business associates of such persons if such offer of employment is conditioned expressly or impliedly on the awarding of a present or future contract or preference in the awarding of a contract to anyone at any time by the LAUSD. 12. Disbursement Of Preliminary Information. No bidder, proposer or contractor shall request or attempt to request from any LAUSD staff the dissemination of any information regarding present or future contracts or expectations of such contracts unless this information is made available at the same time and in the same form to all other bidders, proposers or contractors. 13. Receipt Of Protected Information. No bidder, proposer or contractor shall solicit or obtain, directly or indirectly, from any LAUSD employee, any information developed during the course of conducting the procurement relating to the procurement prior to the contract award unless this information is a public record under the Public Records Act. 14. Contractor Qualification. The LAUSD will accept bids and proposals for contracts and procurement of goods or services having a value, to be determined by the LAUSD, only from firms or entities which are complying with the LAUSD contracting and procurement policies and procedures. 15. Advice On Development. No contractor, who participates in the development of a scope of work, solicitation documents, contractual instruments or technical specifications may participate as a proposer or sub-proposer on that particular procurement or perform any work on that particular procurement. The LAUSD General Superintendent or his/her designee upon a showing of good cause may waive this prohibition in writing. 16. Conflicts Of Interest. A conflict of interest may exist when one has a financial interest in or towards a person or entity, which results in a real or apparent advantage to that person, or entity. The existence of a financial relationship between a contractor and any LAUSD Board Member or employee, or a member of that employee’s immediate family, who has 11.
participated or will participate in the contract to which the contractor is a party, shall constitute a conflict of interest. If the contractor has a financial relationship with any LAUSD Board Member, or employee, the contractor shall disclose this fact in writing to the General Superintendent or his/her designee as soon as this possible conflict of interest is known. The Contractor is under a continuing duty to advise the LAUSD of any conflict of interests that may arise during the term of the contract. A conflict of interest may also exist when the contractor has previously employed, or is currently offering employment to, or considering an employment application of, any LAUSD staff or his or her immediate family. While not all conflicts will cause a contractor to be disqualified, failure to disclose a known conflict may justify disqualification and/or sanctions. BE SAFE - DISCLOSE. The General Superintendent or his/her designee, in consultation with legal counsel, shall determine whether a conflict of interest exists and recommend appropriate action for resolution. If it is determined that an actual or apparent conflict of interest exists, the LAUSD General Superintendent or his/her designee shall notify the contractor of this finding and the action that the LAUSD shall take to resolve this conflict of interest in writing. 17. Sanctions. The LAUSD encourages reporting of all good faith suspected violations of this Code of Conduct. Prior to a determination of actual violation by the responsible party or entity, there exists the presumption the alleged violator is innocent of the violation. There shall be no adverse consequences suffered by anyone making a good faith report of a suspected violation nor shall there be any adverse consequences suffered by anyone accused of violating these standards and subsequently found not to have violated this Code of Conduct. The identity of any persons reporting violations of these standards shall be kept confidential. All suspected violations shall be reported immediately to the Inspector General for investigation. The Inspector General shall investigate the allegations and, if determined to have merit, the matter will be referred to the appropriate enforcement authorities. In addition, if the Inspector General has determined that the alleged violations have merit, the LAUSD may take one or more of the following actions: a) b) c) d) e) Meeting with the contractor to explain the violation; Suspending the contract or subcontract involving the offending contractor; Directing the prime contractor to remove the offending subcontractor from the project; Rescinding, voiding, or terminating the contract; and/or Any other reasonable penalty deemed appropriate.
The General Superintendent or his/her designee shall state in writing to the contractor its recommendations regarding the violation and, if appropriate, sanctions. The contractor may 12.
request an informal hearing with the General Superintendent or his/her designee to explain its position regarding the alleged violation and/or punishment prior to the General Superintendent or his/her designee taking any action. This request must be made in writing and received by the General Superintendent or his/her designee within ten (10) working days of the recommendation for sanctions. If no request is received within the ten (10) working day period the recommended action shall be taken. If a timely request for a hearing is received the informal hearing shall take place within ten (10) days after the General Superintendent or his/her designee receives the request. The contractor may be represented by legal counsel at its own expense at the hearing. Within ten (10) working days after the informal hearing, the Superintendent or his/her designee shall advise the contractor in writing the outcome of the hearing at which time the decision becomes final. If the sanctions imposed by the General Superintendent or his/her designee is anything more than a conference with the alleged offending contractor the alleged offending contractor may: a) file an appeal to the Los Angeles Board of Education, which reserves the right to determine whether to hear the appeal. The Los Angeles Board of Education’s decision to hear an appeal is within its sole discretion. b) request a full hearing before the American Arbitration Association (AAA) pursuant to its rules and regulations. This request must be in writing and directed to the General Superintendent or his/her designee. This request must be received within ten (10) working days after the General Superintendent’s decision becomes final. The contractor shall bear the costs associated with the arbitration. The hearing shall take place in the County of Los Angeles, State of California and shall take place as soon as possible. Any decision rendered by the AAA shall be binding on all parties. In the case of a procurement in which a contract has not yet been awarded, the LAUSD shall determine whether to terminate the procurement or take other appropriate action.
LOBBYIST REGISTRATION CODE PREAMBLE The Lobbyist Registration Code shall govern the conduct of all lobbyists of the LAUSD. The Lobbyist Registration Code establishes a positive, effective, and comprehensive guidance for the conduct of lobbyists of the LAUSD. The Lobbyist Registration Code will facilitate in enhancing the public’s trust and confidence in the LAUSD by requiring lobbyists to make their interests a matter of public record. 1. Registration Requirements. Lobbyists, lobbying firms, and lobbyist employers shall register with the Ethics Officer within 10 days after qualifying as a lobbyist, lobbying firm, or lobbyist employer. Registration shall be completed prior to the commencement of lobbying by the lobbyist. Registration shall include the filing of a registration statement, and the payment of any fees authorized by this section. Registration shall be renewed annually by January 15 of each succeeding year by the filing of a renewal statement and the payment of a fee. Each lobbyist, lobbying firm, and lobbyist employer required to register under this section may be charged a fee by the LAUSD that shall be in an amount necessary to pay the direct costs of implementing this section. 2. Contents Of Registration Statements. a) The lobbyist registration statement shall include all of the following: The name, address, and telephone number of the lobbyist. For each person from whom the lobbyist receives compensation to provide lobbying services, all of the following: The full name, business address, and telephone number of the person or company. The time period of the contract or employment agreement. The lobbying interests of the person or company. A written authorization signed by the person. A statement signed by the lobbyist certifying that he or she has read and understands the prohibitions contained in this Code. b) The registration statement of a lobbying firm shall include all of the following: The full name, business address, and telephone number of the lobbying firm. A list of the lobbyists who are partners, owners, officers, or employees of the lobbying firm.
For each person or company with whom the lobbying firm contracts to provide lobbying services, the following: The full name, business address, and telephone number of the person or company. The time period of the contract. Information sufficient to identify the lobbying interests of the person or company. A written authorization signed by the person. A statement signed by the designated responsible person that he or she has read and understands the prohibitions contained in this Code. c) The registration statement of a lobbyist employer shall include all of the following: (1) The full name, business address, and telephone number of the lobbyist employer. (2) A list of the lobbyists or lobbying firms who are employed by the lobbyist employer. (3) The lobbying interests of the lobbyist employer, including identification of specific contracts or LAUSD actions. (4) A statement signed by the designated responsible person that he or she has read and understands the prohibitions contained in this Code. d) The registration statement must be amended within 10 days of a change in the information included in the statement. However, if the change includes the name of a person by whom a lobbyist or lobbying firm is retained, the registration statement shall be amended to show that change prior to the commencement of lobbying by the lobbying firm or the lobbyist. 3. Record Retention And Audit. Lobbyists, lobbying firms, and lobbyist employers which receive payments, make payments, or incur expenses or expect to receive payments, make payments, or incur expenses in connection with activities which are reportable pursuant to this section shall keep detailed accounts, records, bills, and receipts for a period of 4 years and make them reasonably available for inspection for the purposes of auditing for compliance with, or enforcement of this section. 4. Contents Of Quarterly Reports. a) A lobbyist shall complete and verify a quarterly report, and file his or her report with the Ethics Officer, and a copy of the report with his or her lobbying firm or lobbyist employer. The quarterly report shall contain all of the following: (1) A report of all activity expenses by the lobbyist during the reporting period.
(2) The full name, business address, and telephone number of each person or company who contracted with the lobbyist for lobbying services including the true party in interest1, a description of the specific lobbying interests of the person or company, and the total payments, including fees and the reimbursement of expenses, received from the person or company for lobbying services during the reporting period. If the lobbyist lobbied on a specific contract, the lobbyist shall disclose the contract number and describe in detail the nature of the contract. The lobbyist shall also disclose payments received for lobbying on a specific contract. (3) A report of all contributions of one hundred dollars ($100) or more made or delivered by the lobbyist to any LAUSD official during the reporting period. b) A lobbying firm shall file a quarterly report containing all of the following: (1) The full name, address, and telephone number of the lobbying firm. (2) The full name, business address, and telephone number of each person or company who contracted with the lobbying firm for lobbying services, a description of the specific lobbying interests of the person or company, and the total payments, including fees and the reimbursement of expenses, received from the person or company for lobbying services during the reporting period. If the lobbying firm contracts with a lobbyist to lobby a specific contract, the lobbying firm shall disclose the contract number and describe in detail the nature of the contract. (3) A copy of the quarterly report completed and verified by each lobbyist in the lobbying firm pursuant to this Code. (4) Each activity expense incurred by the lobbying firm including those reimbursed by a person or company who contracts with the lobbying firm for lobbying services. (5) The date, amount, and the name of the recipient of any contribution of one hundred dollars ($100) or more made by the filer to a LAUSD official. c) A lobbyist employer shall file a quarterly report containing all of the following: (1) The name, business address, and telephone number of the lobbyist employer. (2) The total amount of payments to each lobbying firm. (3) The total amount of all payments to lobbyists employed by the filer. (4) A description of the specific lobbying interests of the filer. If the lobbyist employer has contracted a lobbying firm or lobbyist to lobby a specific contract, the lobbyist
“True party in interest” is defined as the person or entity on whose behalf the lobbyist attempts to influence LAUSD action, even if another person compensates the lobbyist. 16.
employer shall disclose the contract number and describe in detail the nature of the contract. The lobbyist employer shall also disclose the amount of money paid to a lobbying firm or lobbyist to lobby the specific contract. (5) A quarterly report, completed and verified by each lobbyist employed by a lobbyist employer pursuant to this Code. (6) Each activity expense of the filer and a total of all activity expenses of the filer. (7) The date, amount, and the name of the recipient of any contribution of one hundred dollars ($100) or more made by the filer to a LAUSD official. (8) The total of all other payments to influence LAUSD action. d) The quarterly reports required pursuant to this Code shall be filed within thirty (30) days after the end of each calendar quarter. The period covered shall be from the beginning of the calendar year through the last day of the calendar quarter prior to the thirty day period during which the report is filed, except that the period covered by the first report a person or company is required to file shall begin with the first day of the calendar quarter in which the filer first registered or qualified. e) When a person or company is required to report activity expenses pursuant to this section, all of the following information shall be provided: (1) The date and amount of each activity expense. (2) The full name and official position, if any, of the beneficiary of each expense, a description of the benefit, and the amount of the benefit. (3) The full name of the payee of each expense if other than the beneficiary. 5. Report Retention Of LAUSD Ethics Office. The original and one copy of each report required by Section 4 of this Code shall be filed with the Ethics Officer, shall be retained by the LAUSD for a minimum of four years, and shall be available for inspection by the public during regular working hours. 6. Limitations On Lobbying LAUSD. a) It is improper for a lobbyist, a lobbying firm or a lobbyist employer to make gifts to a LAUSD official aggregating more than one hundred dollars ($100) in a calendar year, or to act as an agent or intermediary in the making of any gift, or to arrange for the making of any gift by any other person. b) It is improper for any LAUSD official knowingly to receive any gift which is made improper by these regulations. For the purposes of this Code, “gift” shall have the meaning provided in Section 11 below.
c) No lobbyist or lobbying firm shall do any of the following: (1) Do anything with the purpose of placing a LAUSD official under personal obligation to the lobbyist, the lobbying firm, or the lobbyist’s or the firm’s employer. (2) Deceive or attempt to deceive any LAUSD official with regard to any material fact pertinent to any LAUSD action. (3) Cause or influence any LAUSD action for the purpose of thereafter being employed to secure its passage or defeat. (4) Attempt to create a fictitious appearance of public favor or disfavor of any LAUSD action, or cause any communications to be sent to any LAUSD official in the name of any fictitious person or in the name of any real person, except with the consent of that real person. (5) Represent falsely, either directly or indirectly, that the lobbyist or the lobbying firm can control any LAUSD official. (6) Accept or agree to accept any payment that is contingent upon the outcome of any LAUSD action. d) Commencing with the issuance of a request for proposal, a request for qualifications or any other document initiating a contract and ending on the date the staff recommendation for award is made public, no lobbyist representing a person or entity submitting a proposal in response to the request for proposal, the request for qualifications or any other document initiating a contract shall contact by any means or engage in any discussion concerning the award of the contract with any Board Member or his/her staff, or any LAUSD staff. Any such contact shall be grounds for the disqualification of the proposer. e) During price negotiations of non-competitive bid contracts, lobbyists shall not contact, lobby or otherwise attempt to influence LAUSD staff, other than negotiation team members, or Board Members and their staff, relative to any aspect of the contract under negotiation. This provision shall apply from the time of award until the recommendation for execution of the contract is made public. Any concerns relative to any contract under negotiation shall be communicated only to the CEO for resolution. f) A lobbyist representing a person or entity who submitted a proposal or bid in response to a request for proposal, a request for qualifications or any other document initiating a contract shall not contact a Board Member or his/her staff regarding a protest submitted regarding the recommended contract award or any lawsuit or potential lawsuit regarding the recommended contract award or any issue relating to the underlying procurement.
g) Any person or entity who receives compensation pursuant to a contract or subcontract to lobby on behalf of, or otherwise represent, the LAUSD shall be prohibited from lobbying the LAUSD on behalf of any person or entity for compensation. h) No former LAUSD official shall become a lobbyist for a period of one year after leaving the LAUSD. 7. Termination Of Lobbyist Activity. (a) Lobbying firms and lobbyist employers upon ceasing all lobbying activity which required registration shall file a notice of termination within 30 days after the cessation. (b) Lobbyists and lobbying firms shall remain subject to Section 6(a), (b) and (c) of this Code for twelve (12) months after filing a notice of termination. 8. Enforcement Provisions. a) The provisions of this Code are not applicable to any of the following: (1) An elected public official who is acting in his or her official capacity to influence LAUSD action. (2) Any newspaper or other periodical of general circulation, book publisher, radio or television station which, in the ordinary course of business, publishes or broadcasts news items, editorials, or other documents, or paid advertisement, that directly or indirectly urges LAUSD action, if the newspaper, periodical, book publisher, radio or television station engages in no further or other activities in connection with urging LAUSD action other than to appear before the LAUSD in support of, or in opposition to the LAUSD action. (3) Any union, its agents, employees or members, who are acting as the exclusive representatives of collective bargaining units and who are representing employees of that bargaining unit. b) The provisions of this Code are enforced by the LAUSD Inspector General. c) The LAUSD shall reject any bid or other proposal to enter into a contract with the LAUSD by any person or entity who has not complied with the registration and reporting requirements of this Code. d) Furthermore, the LAUSD may impose additional sanctions which may include one or more of the following options: (1) Disqualification from lobbying on the matter related to the violation. (2) Suspension from all LAUSD lobbying activities for a period of time.
(3) Permanent prohibition from all LAUSD lobbying activities. e) The sanctions imposed for violations of this Code will depend upon the severity of the violation and may be progressive unless the violation is determined to be so egregious as to warrant more severe action initially. f) The following procedures should be followed prior to the imposition of any sanction(s) for violation of this Code: (1) All information relating to the alleged violation shall be forwarded to the Inspector General for investigation. (2) Upon completion of the investigation, the Inspector General shall submit his/her findings to the LAUSD General Superintendent or his/her designee for review. (3) The LAUSD General Superintendent, or his/her designee, shall hold an administrative hearing relating to the alleged violation. Any entity may submit evidence in support of or in opposition to the allegations. (4) If the LAUSD General Superintendent, or its designee, finds that a violation of the Lobbyist Registration Code has occurred, it shall decide appropriate sanctions. The LAUSD General Superintendent shall have final approval over the findings and sanctions imposed by its designee. (5) The imposition of sanctions by the General Superintendent shall raise a right of appeal to the LAUSD Board. The LAUSD Board shall review the resulting appeals on a discretionary basis. 9. Adoption. The LAUSD Board Secretary shall attest to the adoption of this Code and shall cause its general publication once, within fifteen days of its adoption.
APPENDIX DEFINITIONS For the purposes of the Code of Conduct for LAUSD Contractors and Consultants and the Lobbyist Registration Code, the following definitions shall apply which are defined in accordance with Chapter 2 of the Political Reform Act as follows: “Activity Expense” means any expense incurred or payment made by a lobbyist, lobbying firm, or lobbyist employer, or arranged by a lobbyist, lobbying firm, or lobbyist employer, which benefits in whole or in part any LAUSD official, or a member of the immediate family of an LAUSD official. “Administrative Testimony” means influencing or attempting to influence LAUSD action undertaken by any person or entity who does not seek to enter into a contract or other arrangement with the LAUSD by acting as counsel in, appearing as a witness in, or providing written submissions, including answers to inquiries, which become a part of the record of any proceeding of the LAUSD which is conducted as an open public hearing for which public notice is given. “Board Member” includes Board Members of the LAUSD. “Contribution” means a payment, a forgiveness of a loan, a payment of a loan by a third party, or an enforceable promise to make a payment except to the extent that full and adequate consideration is received unless it is clear from the surrounding circumstances that it is not made for political purposes. An expenditure made at the request of a candidate, committee, or elected officer is a contribution to the candidate, committee, or elected officer unless full and adequate consideration is received for making the expenditure. “Contribution” also includes purchasing tickets for events such a dinners, luncheons, rallies, and similar fundraising events; using the candidate’s own money or property used on behalf of his or her candidacy; granting discounts or rebates not extended to the public generally or the granting of discounts or rebates by television and radio stations and newspapers not extended on an equal basis to all candidates for the same office; paying compensation by any person for the personal services or expenses of any other person if such services are rendered or expenses incurred on behalf of a candidate or committee without payment of full and adequate consideration. “Contribution” also includes any transfer of anything of value received by a committee from another committee, unless full and adequate consideration is received. “Contribution” does not include amounts received pursuant to an enforceable promise to the extent such amounts have been previously reported as a contribution. However, the fact that such amounts have been received shall be indicated in the appropriate campaign statement. “Contribution” does not include a payment made by an occupant of a home or office for costs related to any meeting or fundraising event held in the occupant’s home or office if the costs for the meeting or fundraising event are five hundred dollars ($500) or less. 21.
“Contribution” does not include volunteer personal services or payments made by any individual for his or her own travel expenses if such payments are made voluntarily without any understanding or agreement that they shall be, directly or indirectly, repaid to him or her. “Consultant” means an individual whom, pursuant to a contract with the LAUSD makes or participates in the making of an LAUSD decision. “Contractor” means any construction company, engineering firm, consultant, legal firm, or any company, supplier, or business entity who is presently engaging in any business with the LAUSD or any owner or employee of such entities and all entities who have submitted a bid or proposal for an LAUSD contract. “Contractor” shall also include “consultant” as defined in this code of conduct. “Designated Authority Or LAUSD Official” means any officer, employee, member, or consultant of the LAUSD whose position with the LAUSD involves the making or participation in the making of decisions which may have a reasonably foreseeable material effect on any financial interest. Such employees are designated in the LAUSD’s Conflict of Interest Code. “District Or LAUSD” means the Los Angeles Unified School District. “Ethics Officer” means the individual designated by the LAUSD with whom statements and reports required by this Code shall be filed. “Financial Interest” means, with regard to a Board Member or LAUSD employee or a member of his or her immediate family, a financial interest in a decision if it is reasonably foreseeable that the decision will have a material financial effect, distinguishable from its effect on the public generally, or on: a) Any business entity or real property in which the Board Member or LAUSD employee has a direct or indirect investment worth one thousand dollars ($1,000) or more; or b) Any source of income, other than gifts and other than loans by a commercial lending institution in the regular course of business on terms available to the general public without regard to official status aggregating three hundred dollars ($300) or more, provided to, received by, or promised to the Board Member or LAUSD employee within twelve (12) months prior to the time the decision is made; or c) any business entity in which the Board Member or LAUSD employee is a director, officer, partner, trustee, or holds any management position; or d) any donor of, or any intermediary or agent for a donor of, a gift or gifts aggregating three hundred dollars ($300) or more in value provided to, received by, or promised to a Board Member or LAUSD employee within twelve (12) months prior to the time when the decision is made; or employee knows or has reason to know that a party to the contract is a person with whom the Board Member or LAUSD employee, or any member of his or her immediate family, has engaged in any business transaction or transactions on terms 22.
not available to members of the public, regarding any investment or interest in real property, or the rendering of goods or services totaling in value one thousand dollars ($1,000) or more within twelve (12) months prior to the time the official action is to be performed. For purposes of this section, indirect investment or interest means any investment or interest owned by the spouse or dependent child of a public official, by an agent on behalf of a public official, or by a business entity or trust in which the official, the official’s agents, spouse, and dependent children own directly, indirectly, or beneficially a 10-percent interest or greater. “Gift” means: a) except as provided in subdivision (b), any payment that confers a personal benefit on the recipient to the extent that consideration of equal or greater value is not received and includes a rebate or discount in the price of anything of value unless the rebate or discount is made in the regular course of business to members of the public without regard to official status. Any person, other than a defendant in a criminal action, who claims that a payment is not a gift by reason or receipt of consideration has the burden of proving that the consideration received, is of equal or greater value. b) The term “gift” does not include: (1) Informational material such as books, reports, pamphlets, calendars, or periodicals. No payment for travel or reimbursement for any expenses shall be deemed “informational material.” (2) Gifts that are not used and which, within 30 days after receipt, are either returned to the donor or delivered to a nonprofit entity exempt from taxation under Section 501(c)(3) of the Internal Revenue Code without being claimed as a charitable contribution for tax purposes. (3) Gifts from an individual’s spouse, child, parent, grandparent, grandchild, brother, sister, parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, or first cousin or the spouse of any such person, or significant other; provided that a gift from any such person shall be considered a gift if the donor is acting as an agent or intermediary for any person not covered by this paragraph. (4) Campaign contributions required to be reported under Chapter 4 of the Political Reform Act. (5) Any devise or inheritance from an individual’s spouse, child, parent, grandparent, grandchild, brother, sister, parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, or first cousin or the spouse of any such person, or significant other; provided that a device or inheritance from any such person shall be considered a gift if the donor is acting as an agent or intermediary for any person not covered by this paragraph.
(6) Personalized plaques and trophies with an individual value of less than two hundred fifty dollars ($250). “Immediate Family” means the spouse and dependent children. “LAUSD Action” means the drafting, introduction, consideration, modification, enactment, or defeat of a policy, resolution, contract, or report by the governing board of an organizational unit of the LAUSD, or by an LAUSD official, including any action taken, or required to be taken, by a vote of the members of the LAUSD or by the members of the governing board of an organizational unit of the LAUSD. “LAUSD Employee” means any individual who receives compensation from the LAUSD for full or part-time employment and any contractor, subcontractor, consultant, expert or advisor acting on behalf of, or providing advice to the LAUSD. “LAUSD Official” means any Board member, member of an organizational unit of the LAUSD, or employee of the LAUSD. The term LAUSD official includes a “designated LAUSD employee”. “Lobbying” means influencing or attempting to influence LAUSD action through direct or indirect communication, other than administrative testimony, with an LAUSD official. “Lobbying Firm” means any business entity, including an individual lobbyist, which meets either of the following criteria: (1) The business entity receives or becomes entitled to receive any compensation, other than reimbursement for reasonable travel expenses, for the purpose of influencing LAUSD action on behalf of any other person, and any partner, owner, officer, or employee of the business entity is a lobbyist; or (2) The business entity receives or becomes entitled to receive any compensation, other than reimbursement for reasonable travel expenses, to communicate directly with any LAUSD official for the purpose of influencing LAUSD action on behalf of any other person, if a substantial or regular portion of the activities for which the business entity receives compensation is for the purpose of influencing LAUSD action. “Lobbyist” means any individual who receives any economic consideration, other than reimbursement for reasonable travel expenses, for lobbying, including consultants and officers or employees of any business entity seeking to enter into a contract with the LAUSD. Unions, its agents, employees or members, who are acting as the exclusive representatives of collective bargaining units and who are representing employees of that bargaining unit shall not be considered lobbyist. “Lobbyist Employer” means any person, other than a lobbying firm, who does either of the following: (1) Employs one or more lobbyists for the purpose of influencing LAUSD action, or; (2) Contracts for the services of a lobbying firm for economic consideration for the purpose of influencing LAUSD action. 24.
“Official Responsibility” means the direct administrative or operating duties for the LAUSD, whether intermediate or final, and whether exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct LAUSD action. “Participation In The Making Of An LAUSD Decision” in accordance with California Code of Regulations , sections 18702.1 through 18702.4, means a Board Member or LAUSD employee who: a) acting within his or her LAUSD position: (1) Votes or engages in discussion on a matter; (2) Appoints a person; (3) Obligates or commits his or her agency to any course of action; (4) Enters into any contractual agreement on behalf of the LAUSD; (5) Determines not to act, within the meaning of subparagraphs (1), (2), (3), or (4), unless such determination is made because of his or her financial interest. When the determination not to act occurs because of his or her financial interest, the official’s determination must be accompanied by disclosure of the financial interest, made part of the LAUSD’s official record or made in writing to the official’s supervisor, appointing power or any other person specified in a conflict of interest code adopted pursuant to Government Code §87300. b) A public official as defined hereafter or designated employee “participates in the making of an LAUSD decision” when, acting within his or her LAUSD position, he or she: (1) Negotiates, without significant substantive review, with a governmental entity or private person regarding the decision; or (2) Advises or makes recommendations to the decision-maker, either directly or without significant intervening substantive review, by: (A) Conducting research or conducting any investigation which requires the exercise of judgment on the part of the official or designated employee and the purpose of which is to influence the decision; or (B) Preparing or presenting any report, analysis or opinion, orally, or in writing, which requires the exercise of judgment on the part of the official or designated employee and the purpose of which is to influence the decision. c) Making or participating in the making of an LAUSD decision shall not include: (1) Actions of public officials which are solely ministerial, secretarial, manual or clerical; 25.
(2) Appearance by a public official as a member of the general public before a governmental agency in the course of prescribed governmental function to represent himself or herself on matters related solely to his or her personal interests; or (3) Actions by public officials, employees, or employee representatives relating to their compensation or the terms or conditions of their employment or contract. “Person” means an individual, proprietorship, firm, partnership, joint venture, joint stock company, syndicate, business trust, estate, company, corporation, association, club, committee, organization, or group of persons acting in concert. “Public Official” means every member, officer, employee or consultant of a state or local government agency, but does not include judges and court commissioners in the judicial branch of government. “Public official” also does not include members of the Board of Governors and designated employees of the State Bar of California, members of the Judicial Council, and members of the Commission on Judicial Performance, provided that they are subject to the provision of Article 2.5 (commencing with §6035) of Chapter 4 of Division 3 of the Business and Professions Code as provided in §6038 of that article. “Significant Other” means an individual with whom a Board Member or LAUSD employee participates in a dating relationship.