SEC. 4.107. COMPLAINTS BY CITIZENS AND EMPLOYEES; WHISTLEBLOWER PROGRAM.

(a) WHISTLEBLOWER PROGRAM. The Controller shall administer and publicize a whistleblower and citizen complaint program for citizens and employees to report the misuse of City funds, improper government activities by City officers and employees, deficiencies in the quality and delivery of government services, and wasteful and inefficient City government practices. Subject to subsection (b), the Controller shall investigate and otherwise attempt to resolve complaints reported to the Whistleblower Program. The Controller shall administer a hotline telephone number and website and publicize the hotline and website through press releases, public advertising, and communications to City employees.

(b) REFERRAL OF CERTAIN COMPLAINTS. The Controller shall refer the following complaints as set forth in this subsection (b):

(1) Those which another City agency is required by federal, state, or local law to adjudicate: To that agency;

(2) Those which may be resolved through a grievance mechanism established by collective bargaining agreement or contract: To the official or agency designated in the agreement or contract;

(3) Those which involve allegations of conduct which may constitute a violation of criminal law: To the District Attorney or other appropriate law enforcement agency;

(4) Those which are subject to an existing, ongoing investigation by the District Attorney, City Attorney, or Ethics Commission, where the applicable official or Commission states in writing that investigation by the Controller would substantially impede or delay his, her, or its own investigation of the matter: To the investigating office; and

(5) Those which allege conduct that may constitute a violation of local campaign finance, lobbying, conflict of interest, or governmental ethics laws, regulations, or rules: To the Ethics Commission and the City Attorney.

Where the conduct that is the subject of the complaint may violate criminal law and any civil or administrative law, statute, ordinance, or regulation, the Controller may take action on the noncriminal aspects of the matter under this Section 4.107 even if a referral has been made to another agency under this subsection (b).

If a complaint is referred under this subsection (b), the Controller shall inform the complainant of the appropriate procedure for the resolution of the complaint.

(c) TRACKING AND INVESTIGATION. The Controller shall receive, track, and investigate complaints made or referred to the Whistleblower Program. The investigation may include all steps that the Controller deems appropriate, including the review of the complaint and any documentary or other evidence provided with it, the gathering of any other relevant documents from any City department or other source, and interviews of the complainant and other persons with relevant information.

(d) INFORMATION PROVIDED UNDER PENALTY OF PERJURY. In those instances in which the Controller deems it appropriate, the Controller may require that persons making complaints or providing information swear to the truth of their statements by taking an oath administered by the Controller, or an agent of the Controller, or through written declarations made under penalty of perjury under the laws of the State of California.

(e) REFERRAL AND RECOMMENDATION BY CONTROLLER. The Controller may refer the complaint to a City department for investigation, either before conducting an initial investigation or after doing so, and may recommend that a City department take specific action based on the Controller’s initial investigation. Within 60 days of receiving a complaint for investigation or a recommendation by the Controller for specific action, or such other time as the Controller shall specify, the City department shall report to the Controller in writing the results of the department’s investigation and any action that the department has taken in response to a recommendation by the Controller that the department take specific action.

(f) REPORT BY DEPARTMENT AND FURTHER ACTION BY CONTROLLER. If the Controller has recommended that a City department take disciplinary or other corrective action that the department has declined to take, the department shall report to the Controller its reasons for failing to do so within the time frame that the Controller specifies for reporting on its investigation of the complaint. If the Controller determines that the department’s reasons are inadequate and that further investigation may be appropriate, the Controller may refer the matter to the Mayor, City Attorney, or District Attorney, or to any officer or agency that has jurisdiction over the matter.

(g) RESPONSIBILITY OF DEPARTMENTS. The department head shall be responsible for compliance by his or her department with these duties. If department staff fail to comply with the duties to investigate complaints referred by the Controller and to make the reports required by this Section 4.107, the Controller shall notify the department head. If the department head fails to take action to obtain the department’s compliance with these duties, the Controller may refer the matter to the Mayor, City Attorney, or District Attorney or to any officer or agency that has jurisdiction over the matter.