HR Committee

Friday, December 15, 2023, 8:30 AM, City Hall - 149 Church Street - Sharon Bushor conference Room, 830am Friday December 15th, 149 Church Street City Hall, Sharon Bushor conference room or remotely via ZOOM: Please click the link below to join the webinar: Zoom Link: https://zoom.us/j/94820907375?pwd=ZWdzWk5KTGp5K29vZ1dEd2dLaU9jQT09 Meeting ID: 948 2090 7375 Passcode: 616429 1. Adopt Minutes Subject 1.1. Approval of Minutes Meeting December 15, 2023 - HRPC - Friday, December 15, 2023, 8:30 AM, City Hall - 149 Church Street - Sharon Bushor conference Room, Category 1. Adopt Minutes Department Type Minutes Recommended Action Subject 1.1. Meeting Minutes 10.27.23 Meeting December 15, 2023 - HRPC - Friday, December 15, 2023, 8:30 AM, City Hall - 149 Church Street - Sharon Bushor conference Room, Category 1. Adopt Minutes Department Human Resources Type Recommended Action 2. Public Forum (30 minutes time certain) 3. Executive Session Subject 3.1. Grievance hearings Meeting December 15, 2023 - HRPC - Friday, December 15, 2023, 8:30 AM, City Hall - 149 Church Street - Sharon Bushor conference Room, Category 3. Executive Session Page 1 of 14  Department Human Resources Type Recommended Action 4. Policy Discussion, and approval of new policies Subject 4.1. Waste, Fraud and Abuse Policy Meeting December 15, 2023 - HRPC - Friday, December 15, 2023, 8:30 AM, City Hall - 149 Church Street - Sharon Bushor conference Room, Category 4. Policy Discussion, and approval of new policies Department Human Resources Type Recommended Action Subject 4.2. Whistle Blower Policy Meeting December 15, 2023 - HRPC - Friday, December 15, 2023, 8:30 AM, City Hall - 149 Church Street - Sharon Bushor conference Room, Category 4. Policy Discussion, and approval of new policies Department Human Resources Type Recommended Action Subject 4.3. Conflict of Interest Policy Meeting December 15, 2023 - HRPC - Friday, December 15, 2023, 8:30 AM, City Hall - 149 Church Street - Sharon Bushor conference Room, Category 4. Policy Discussion, and approval of new policies Department Human Resources Type Recommended Action 5. Other Committee Business 6. Adjournment Subject 6.1. Motion to adjourn Meeting December 15, 2023 - HRPC - Friday, December 15, 2023, 8:30 AM, City Hall - 149 Church Street - Sharon Bushor conference Room, Category 6. Adjournment Page 2 of 14  Department Council and Board Type Recommended Action 7. Informational and Non-Discrimination Statements The City of Burlington will not tolerate unlawful harassment or discrimination on the basis of political or religious affiliation, race, color, national origin, place of birth, ancestry, age, sex, sexual orientation, gender identity, marital status, veteran status, disability, HIV positive status, crime victim status or genetic information. Page 3 of 14 HUMAN RESOURCES DEPARTMENT CITY OF BURLINGTON 200 Church Street, Suite 102, Burlington, VT 05401 Phone: (802) 540-2505 | Fax (802) 864-1777 Vermont Relay: 7-1-1 or 800-253-0191 MINUTES Human Resource Policy Committee Friday, October 27th 2023 8:30 am, HR Conference Room, 200 Church St., Burlington, VT OR Remotely via ZOOM 8:30 am to 10:10 Present: Councilor Sarah Carpenter (SC), Councilor Zoraya Hightower (ZC), Councilor Hannah King (HK), HR Director, Kerin Durfee (KD), Human Resources Talent Development & Diversity Manager Vanessa Santos Eugenio(VSE), Chief Finance Officer Katherine Schad (KS) and HR Safety Manager Tim William (TW) Meeting Called to Order by SC at 8:35am 1. Agenda HK made motion to approve agenda, SC seconded, so moved and approved 2. Approve/minutes of HRPC meeting held 10/27/23 HK made motion to approve agenda, SC seconded, so moved and approved 3. Public forum Former councilor Max Tracy, voiced concerns of regarding fallout a city council meeting that came from the August 13 meeting, to address hard/affect to the former employees. SC shared that the HRPC met with City attorney’s office, who advised that the committee not to discuss former or current employees in public settings. 4. Presentation on Recruitment VSE Presented a bird’s eye view of recruitment of City of Burlington employees/applicants, covering posting methods, internal review of applicants, transparency in the recruitment timeline. ZC raised interest in wishing to see an additional presentation on retention and turnovers, and pay equity. 5. Discuss/ Approve new polices to be added to the City of Burlington’s Comprehensive Personnel Policy Manual a. Fraud, waste and abuse Policy i. KS shared that these policies had been reviewed last month, and that a change was made that reporting could be done to any member HR and not just the director, additionally that HR would be apprised of any investigation even if they were not leading the investigation. Only changes made to the policy that had been discussed in the HRPC meeting as not additional changes were suggested or requested. ZH had requested more time to review the policy. 1|Page Revised: 7.22.2020 Page 4 of 14  b. Whistleblower protection Policy i. Motion made to approve by ZH, motion second by HK, all voted in favor motion so moved and approved. 6. Discussion on REIB’s involvement in reviewing the City of Burlington’s Comprehensive Personnel Policy Manual a. KD reported that a review by REIB offer lenses of additional inclusive language, and that the department would work with recommendations to HR to include in the CPPM, and that it is KD preface to include the REIB department in the review. 7. Other Committee Business a. KD shared that there may be some expected union activity discussion next meeting. b. SC shared that due to issues in finding space, that unless stated by either SC or KD that the meetings will be held on Zoom only unless said otherwise. c. Next meeting scheduled for December 15th, 2023. d. KD shared that at the next meeting, a new HR Admin assistant will be in place, and support the committee moving forward. 8. Adjournment a. SC motion for adjournment seconded by ZH, all in favor. Meeting adjured at 10:10am 2|Page Revised: 7.22.2020 Page 5 of 14  City of Burlington Fraud, Waste, and Abuse Policy The City of Burlington (“the City”) is committed to conducting its affairs ethically and in accordance with applicable laws, rules, regulations, policies, and procedures. The City is also committed to strong internal control systems and prevention, deterrence, detection, and elimination of fraud, waste, and abuse. Each member of the City’s workforce and community shares in this responsibility and has a fiduciary duty to conserve, preserve, and to restrict all use of City resources and property to activities and conduct that comply with this policy. I. Purpose The purpose of this policy is to: • Prevent, deter, and detect fraud, waste, and abuse; • Assign responsibility for implementing internal controls to prevent, deter, and detect violations of this policy; • Establish reporting mechanisms to be used for notification of known or suspected fraud, waste, or abuse; and • Educate employees, City Councilors, subcontractors, the community, and other stakeholders about legal and policy requirements. II. Scope This policy applies to any fraud or suspected fraud, waste, or abuse, involving City property, resources, employees, customers, vendors, contractors, consultants, or other parties affiliated with the City. III. Policy Individuals or entities shall not perpetrate, engage in, or otherwise facilitate any act or attempted act of fraud, waste, or abuse. All employees and affiliates are responsible for reporting suspected or known violations of this policy. The City will investigate allegations of fraud, waste, or abuse in accordance with established policies and procedures. IV. Definitions: For purposes of this policy, the following definitions apply: Fraud is defined as a false representation of a matter of fact that is intended to result in financial or personal gain. Fraud includes false representation of fact by making false statements or by concealment of information. Someone who commits fraud may do so with the intent to personally profit from the act, but this is not always the case. Fraud can be perpetrated with the intent to benefit another party, such as family members, friends, or even a particular area of the City. Waste is defined as the intentional or unintentional, thoughtless, or careless expenditure, consumption, mismanagement, use, or squandering of resources to the detriment or potential detriment of the City. Waste also includes incurring unnecessary costs because of inefficient or ineffective practices, systems, or controls. Abuse is defined as excessive or improper use of a thing, or to use something in a manner contrary to the natural or legal rules for its use. Abuse can occur in financial or non-financial settings. 1 Page 6 of 14  Examples of Fraud, Waste and Abuse include but are not limited to: • Violations of the City procurement policy • Excessive or unnecessary purchases • Inappropriate expenditures • Conducting personal business on City time • Charging personal or non-City expenses as business expenses against a City account • Charging for inflated labor costs or hours, or categories of labor which have not been incurred • Inaccurate time reporting • Billing more than one source, unit, department, or public or private partner for the same work or expense • Misrepresenting a project’s status to continue receiving funds • Awarding a job, contract, or any other source of funds to a particular company, family member, or friend, absent sole source approval by the CAO • Embezzlement - theft or misappropriation of funds belonging to one's employer. • Forgery or alteration of documents (checks, contracts, purchase orders, time sheets, etc) • Theft or unauthorized removal or willful destruction of City records or property • Misappropriation of funds, equipment, supplies, or any other asset • Improprieties in handling and reporting financial transactions • Authorizing or receiving payments for goods not received or services not performed • Vendor kickbacks – an illegal payment intended as compensation for preferential treatment • Misuse of authority for personal gain • Plagiarism • Making false statements or claims that may be used to access benefits to which a person is not entitled • Any computer-related activity involving the alteration, destruction, forgery or manipulation of data for fraudulent purposes V. Operational Responsibility and Fostering a Culture of Ethics Department Heads are responsible for establishing intolerance for fraud, waste, and abuse by establishing a culture of integrity and high ethical standards and principles in their department. Each Department Head is responsible for adequate financial and other internal controls within their area of responsibility. This responsibility requires acting prudently and inquisitively and maintaining awareness of activities and locations where violations of this policy are likely to occur. All staff share responsibility for fostering an institutional culture of ethics. On an annual basis, all employees are required to acknowledge the responsibility to maintain a culture of ethics and integrity, to respect financial and operational policy and other internal controls, to maintain awareness of activities and locations where violations of this policy are likely to occur, and to report any policy violation of which they become aware. VI. Reporting Employees or other individuals associated with the City who become aware of, or have a reasonable basis for believing that fraud, waste or abuse has occurred shall promptly report the suspected activity. 2 Page 7 of 14  Individuals and entities making such reports are subject to the protections of the City’s Whistleblower Protection Policy. Reports can be made to: 1 . The employee’s supervisor, 2 . The Chief Administrative Officer, or 3. Any member of the Human Resources Department. When possible, the following information should be provided to assist in investigating and resolving the matter: • A description of the suspected violation; • The name of the person(s) involved; • The location where the action occurred; • When the action occurred; • Any other details that may be important for our investigation (other witnesses, evidence, documents, dollar amounts, time period); and • The specific law, regulation or policy that was violated, if known. It is not required to have proof of wrongdoing when reporting suspected violations of this policy; however, anyone reporting such activity must have reasonable grounds for doing so. No disciplinary or retaliatory action shall be taken against any City employee who, in good faith, reports or causes to be reported suspected fraud, waste, or abuse or who assists in an authorized review of alleged fraud, waste, or abuse as defined under this policy. The prohibition against disciplinary action does not include disciplinary action for self-reported violations. VII. Investigating Fraud Depending on the nature, magnitude and the complexity of the fraud, investigations will be carried out by either internal City staff or by an external firm with specific expertise to deal with the particular allegation. In all cases a member of the City HR team will be involved in, or apprised of, the investigation. Investigations will be conducted without regard to any person’s relationship to the organization, position or length of service. The investigating party will have full access to any files, information or witnesses to conduct the investigation and will keep records of all actions in the investigation, to ensure success in any future criminal, civil or disciplinary action. The investigating party will issue a report detailing the finding and conclusion of the investigation, including recommendations for future action. In cases of substantiated fraud, the City will inform the City Council regarding the situation and will also bring pursue disciplinary or criminal sanctions where appropriate and possible and will attempt to recover losses by any lawful means. VIII. Disciplinary Action City employees engaging in fraud, waste, or abuse, as defined by this policy may be subject to disciplinary action up to and including termination. City employees suspected of perpetrating fraud, waste, or abuse may be placed on administrative leave during the course of the investigation. 3 Page 8 of 14 The results of investigations will not be discussed or discussed with anyone other than those persons associated with the City who have a legitimate need to know in order to perform their duties and responsibilities. This does not preclude the disclosure of the results in accordance with legal requirements and authority. If the violation is identified as a potential crime, it will be reported to the appropriate law enforcement organization up to and including termination. Criminal investigations will be conducted separately from any internal investigation. Information obtained by the internal investigation may be made available to law enforcement to assist in the criminal investigation. 4 Page 9 of 14  City of Burlington Whistleblower Protection Policy A whistleblower as defined by this policy is an employee of the City of Burlington who reports an activity that the employee considers to be illegal or dishonest to one or more of the parties specified in this policy, this includes but is not limited to all allegations of fraud, waste, and abuse. The whistleblower is not responsible for investigating the activity or for determining fault or corrective measures; appropriate management officials are charged with these responsibilities. Examples of illegal or dishonest activities are violations of federal, state or local laws; billing for services not performed or for goods not delivered; and other fraudulent financial reporting as detailed in the City’s Fraud, Waste, and Abuse Policy. If an employee has knowledge of or a concern of waste, fraud or abuse, the employee is to contact their immediate supervisor, the Chief Administrative Officer, or a member of the Human Resources Department. The employee must exercise sound judgment to avoid baseless allegations. An employee who intentionally files a false report of wrongdoing will be subject to discipline up to and including termination. Whistleblower protections are provided in two important areas -- confidentiality and against retaliation. Insofar as possible, the confidentiality of the whistleblower will be maintained. However, identity may have to be disclosed to conduct a thorough investigation, to comply with the law and to provide accused individuals their legal rights of defense. The City of Burlington will not retaliate against a whistleblower. This includes, but is not limited to, protection from retaliation in the form of an adverse employment action such as termination, compensation decreases, or poor work assignments and threats of physical harm. Any whistleblower who believes they are being retaliated against must contact a member of the Human Resources Department immediately. The right of a whistleblower for protection against retaliation does not include immunity for any personal wrongdoing that is alleged and investigated. All reports of illegal and dishonest activities will be promptly submitted to the employee’s supervisor, the Chief Administrator, or any member of the Human Resources Department. Employees with any questions regarding this policy should contact the Human Resources Department. Page 10 of 14  City of Burlington Fraud, Waste, and Abuse Policy The City of Burlington (“the City”) is committed to conducting its affairs ethically and in accordance with applicable laws, rules, regulations, policies, and procedures. The City is also committed to strong internal control systems and prevention, deterrence, detection, and elimination of fraud, waste, and abuse. Each member of the City’s workforce and community shares in this responsibility and has a fiduciary duty to conserve, preserve, and to restrict all use of City resources and property to activities and conduct that comply with this policy. I. Purpose The purpose of this policy is to: • Prevent, deter, and detect fraud, waste, and abuse; • Assign responsibility for implementing internal controls to prevent, deter, and detect violations of this policy; • Establish reporting mechanisms to be used for notification of known or suspected fraud, waste, or abuse; and • Educate employees, City Councilors, subcontractors, the community, and other stakeholders about legal and policy requirements. II. Scope This policy applies to any fraud or suspected fraud, waste, or abuse, involving City property, resources, employees, customers, vendors, contractors, consultants, or other parties affiliated with the City. III. Policy Individuals or entities shall not perpetrate, engage in, or otherwise facilitate any act or attempted act of fraud, waste, or abuse. All employees and affiliates are responsible for reporting suspected or known violations of this policy. The City will investigate allegations of fraud, waste, or abuse in accordance with established policies and procedures. IV. Definitions: For purposes of this policy, the following definitions apply: Fraud is defined as a false representation of a matter of fact that is intended to result in financial or personal gain. Fraud includes false representation of fact by making false statements or by concealment of information. Someone who commits fraud may do so with the intent to personally profit from the act, but this is not always the case. Fraud can be perpetrated with the intent to benefit another party, such as family members, friends, or even a particular area of the City. Waste is defined as the intentional or unintentional, thoughtless, or careless expenditure, consumption, mismanagement, use, or squandering of resources to the detriment or potential detriment of the City. Waste also includes incurring unnecessary costs because of inefficient or ineffective practices, systems, or controls. Abuse is defined as excessive or improper use of a thing, or to use something in a manner contrary to the natural or legal rules for its use. Abuse can occur in financial or non-financial settings. 1 Page 11 of 14  Examples of Fraud, Waste and Abuse include but are not limited to: • Violations of the City procurement policy • Excessive or unnecessary purchases • Inappropriate expenditures • Conducting personal business on City time • Charging personal or non-City expenses as business expenses against a City account • Charging for inflated labor costs or hours, or categories of labor which have not been incurred • Inaccurate time reporting • Billing more than one source, unit, department, or public or private partner for the same work or expense • Misrepresenting a project’s status to continue receiving funds • Awarding a job, contract, or any other source of funds to a particular company, family member, or friend, absent sole source approval by the CAO • Embezzlement - theft or misappropriation of funds belonging to one's employer. • Forgery or alteration of documents (checks, contracts, purchase orders, time sheets, etc) • Theft or unauthorized removal or willful destruction of City records or property • Misappropriation of funds, equipment, supplies, or any other asset • Improprieties in handling and reporting financial transactions • Authorizing or receiving payments for goods not received or services not performed • Vendor kickbacks – an illegal payment intended as compensation for preferential treatment • Misuse of authority for personal gain • Plagiarism • Making false statements or claims that may be used to access benefits to which a person is not entitled • Any computer-related activity involving the alteration, destruction, forgery or manipulation of data for fraudulent purposes V. Operational Responsibility and Fostering a Culture of Ethics Department Heads are responsible for establishing intolerance for fraud, waste, and abuse by establishing a culture of integrity and high ethical standards and principles in their department. Each Department Head is responsible for adequate financial and other internal controls within their area of responsibility. This responsibility requires acting prudently and inquisitively and maintaining awareness of activities and locations where violations of this policy are likely to occur. All staff share responsibility for fostering an institutional culture of ethics. On an annual basis, all employees are required to acknowledge the responsibility to maintain a culture of ethics and integrity, to respect financial and operational policy and other internal controls, to maintain awareness of activities and locations where violations of this policy are likely to occur, and to report any policy violation of which they become aware. VI. Reporting Employees or other individuals associated with the City who become aware of, or have a reasonable basis for believing that fraud, waste or abuse has occurred shall promptly report the suspected activity. 2 Page 12 of 14  Individuals and entities making such reports are subject to the protections of the City’s Whistleblower Protection Policy. Reports can be made to: 1 . The employee’s supervisor, 2 . The Chief Administrative Officer, or 3. Any member of the Human Resources Department. When possible, the following information should be provided to assist in investigating and resolving the matter: • A description of the suspected violation; • The name of the person(s) involved; • The location where the action occurred; • When the action occurred; • Any other details that may be important for our investigation (other witnesses, evidence, documents, dollar amounts, time period); and • The specific law, regulation or policy that was violated, if known. It is not required to have proof of wrongdoing when reporting suspected violations of this policy; however, anyone reporting such activity must have reasonable grounds for doing so. No disciplinary or retaliatory action shall be taken against any City employee who, in good faith, reports or causes to be reported suspected fraud, waste, or abuse or who assists in an authorized review of alleged fraud, waste, or abuse as defined under this policy. The prohibition against disciplinary action does not include disciplinary action for self-reported violations. VII. Investigating Fraud Depending on the nature, magnitude and the complexity of the fraud, investigations will be carried out by either internal City staff or by an external firm with specific expertise to deal with the particular allegation. In all cases a member of the City HR team will be involved in, or apprised of, the investigation. Investigations will be conducted without regard to any person’s relationship to the organization, position or length of service. The investigating party will have full access to any files, information or witnesses to conduct the investigation and will keep records of all actions in the investigation, to ensure success in any future criminal, civil or disciplinary action. The investigating party will issue a report detailing the finding and conclusion of the investigation, including recommendations for future action. In cases of substantiated fraud, the City will inform the City Council regarding the situation and will also bring pursue disciplinary or criminal sanctions where appropriate and possible and will attempt to recover losses by any lawful means. VIII. Disciplinary Action City employees engaging in fraud, waste, or abuse, as defined by this policy may be subject to disciplinary action up to and including termination. City employees suspected of perpetrating fraud, waste, or abuse may be placed on administrative leave during the course of the investigation. 3 Page 13 of 14 The results of investigations will not be discussed or discussed with anyone other than those persons associated with the City who have a legitimate need to know in order to perform their duties and responsibilities. This does not preclude the disclosure of the results in accordance with legal requirements and authority. If the violation is identified as a potential crime, it will be reported to the appropriate law enforcement organization up to and including termination. Criminal investigations will be conducted separately from any internal investigation. Information obtained by the internal investigation may be made available to law enforcement to assist in the criminal investigation. 4 Page 14 of 14