Recommendations to the Pomona City Council
from the Pomona Ethics Commission
Summary: By a vote of the Pomona Ethics Commission, and in consultation with City staff, we do hereby make the following recommendations.
Recommendations fall into four different categories (ethics code update, additional rules and expectations, investigative process and implementation of policies) and can be implemented by the Council in different phases.
The most recent Ethics Policy adopted by the city was in 2006; and because there have been a number of state, federal, and local charter changes that affect ethics; and because several regional cities have since developed new Ethics policies and Ethics Commissions that have resulted in best practices; we recommend that:
1) The City Council designate the Pomona Ethics Commission as the main point for advice and information for Ethics related matters; and that they further establish a communication process for the Ethics Commission to provide advice and information to City Commissioners and the public on Ethics related issues; and require the Ethics Commission to prepare and publish an annual report; and to establish required training and education of Ethics and related matters such as the Brown Act for all Commissioners.
2) The City updates the code of ethics for adoption by the City Council in clear and simple terms that can be understood by all members of our community and includes the City’s Code of Interest and Revolving Door Rules as set forth by existing law; and work with the City’s Ethics Commission on developing a companion guide to the updated Ethics Code similar to the guide developed by the City of Los Angeles which provides clear examples and real-world scenarios under each policy and process by the end of January 2026.
Ethics laws set the minimum legal standards to protect the integrity of the decision-making process and use of resources by government officials; City ethics codes have the opportunity to go beyond the minimum standard and set additional rules and expectations to promote the public trust; and that the financial disclosure section of Ethics Codes provide the opportunity to set forth additional standards; therefore we recommend that:
1) The City Council ask the City to review and update the existing gifts and gifts disclosure policy in the Ethics Code to be in compliance with existing law; and add a section for the disclosure of behest payments for any elected official as required by existing law. 2) The City Council adopt a requirement that lobbyists register with the City as the cities of Los Angeles and Long Beach require; this new requirement would not only allow the general public and city staff to easily look up lobbyists but also provides an opportunity for the City to clearly define who is a lobbyist. (See notes in Addendum - Lobbyists Registration Requirements) 3) The City establishes an “appearance standard” in the Ethics Code similar to the one developed by the City of Los Angeles to determine that a City official’s or employee’s participation in a manner “is not in the public interest.” The City Attorney and Ethics Commission would be able to recommend to the City Council on Ethics matters that are not in the public interest for an individual to participate in a manner when the facts are such that the public might well question an individual’s objectivity and the public interest prevents them from acting even when they would not be disqualified by statutory or common law. (See notes in Addendum - Appearance Standard)
1 ATTACHMENT NO. 1
Recommendations to the Pomona City Council from the Pomona Ethics Commission
4) T he City Council ask the City to research and consider adding additional restrictions for Ethics
Commissioners
that
restrict
them
from
engaging
in
certain
political
activity
on
behalf
of
a
City
officeholder,
a
candidate
for
City
office,
or
a
City
controlled
committee
(unless
the
activity
is
on
behalf
of
their
own
candidacy)
similar
to
the
rules
required
by
the
City
of
Los
Angeles
in
an
effort
to
deter
bias
or
the
appearance
of
bias
from
Commissioners
when
dealing
with
Ethics
matters
directly
impacting
elected
officials
that
appointed
them
as
Commissioners.
(See
notes
in
Addendum
-
Political
Activity)
5) That the City Council ask the City to research and consider adding a Recusal Notification requirement
for
Commissioners;
add
requirement
for
Disclosure
of
City
action
affecting
officials
financial
interest;
and
additional
required
financial
disclosure
forms
similar
to
the
ones
developed
and
implemented
by
the
City
of
Los
Angeles
and
making
all
required
Ethics
forms
easily
available
to
the
general
public
similar
to
the
City
of
Long
Beach
and
require
the
Ethics
Commission
to
track
and
review
recusal
notifications.
When
a
Commissioner
submits
5 or
more
recusal
notifications
within
a
365
day
period,
the
Ethics
Commission
would
conduct
a
review
to
determine
whether
the
member’s
financial
interests
create
a
significant
and
continuing
conflict
with
a
member’s
duties
on
the
commission.
(See
notes
in
Addendum
-
Additional
Disclosure)
6) That the City Council ask the City to review the existing Supplier and Vendor (Procurement) Code
of
Conduct
policy
and
align
as
needed
with
the
updated
City’s
Code
of
Ethics.
7) That the City Council ask the City Manager and HR department to review and update as needed
the
definition
of
“immediate
family”
in
the
disclosing
of
family
members
section
for
city
employees.
As the Ethics Code is being updated, the Ethics reporting and investigative process needs
to
simultaneously
be
in
the
development
process;
we
recommend
that:
1) The City Council ask the City and the Ethics Commission to develop an intake and reporting process
that
allows
for
anonymous
reporting
and
is
clear
for
Elected
Officials,
City
Employees,
Commissioners
and
the
general
public
to
comprehend;
and
that
clearly
defines
the
roles
of
all
parties
involved;
and
clearly
defines
potential
Ethics
violations
by
the
end
of
January
2026.
2) The City Council ask the City and the Ethics Commission to work together and develop and launch
a
website
for
reporting
potential
Ethics
violations
by
the
end
of
January
2026.
The
development
process
may
be
a
phased
in
approach
that
includes
a
basic
process
that
is
available
early
on
and
a
more
extensive
process
and
system
that
will
take
longer
to
develop
After the Ethics Code is updated and new policies begin to be implemented; we recommend
that:
That the city council ask the City to work with the appropriate parties including but not limited to HR
department,
labor
partners
and
Ethics
Commission
to
1. develop a plan to introduce new Ethics resources and/or new Ethics requirements and trainings
for
city
employees;
2. develop a plan to introduce new Ethics resources and/or new Ethics requirements and trainings
for
Elected
Officials,
Commissioners
and
the
general
public;
3. develop a compliance tracking system;
2 Recommendations to the Pomona City Council from the Pomona Ethics Commission
4. research and consider the benefit of assigning an “ethics liaison” in every city department
similar
to
what
the
cities
of
Los
Angeles
and
Long
Beach
have
done.
(See
notes
in
Addendum
-
Ethics
Liaisons)
DRAFT ETHICS COMMISSION SCOPE OF WORK: The Pomona Ethics Commission is the main point for advice, education, policy review, campaign
matters
(including
proactive
audits
on
select
campaign
contributions
and
expenditures)
and
general
information
for
Ethics
related
matters
for
Elected
Officials,
Commissioners
and
the
general
public.
The
Ethics
Commission
is
responsible
for
developing
and
implementing
an
Ethics
enforcement
policy
that
applies
to
Elected
Officials
and
Commissioners
and
begins
after
City
staff
conduct
an
investigation
and
intake
process
and
provide
the
findings
to
the
Ethics
Commission
for
review
and
enforcement
action
(including
required
penalties
and
disciplinary
actions
to
be
imposed
per
law
or
necessary
referrals
to
other
agencies).
In Pomona the City Attorney, City Clerk and HR Department staff also play distinct roles in Ethics
matters
working
alongside
the
Ethics
Commission.The
City
Attorney
is
the
legal
advisor
to
the
City.
They
provide
legal
services
and
support
for
the
City
and
advice
for
the
Ethics
Commission,
including
in
areas
like
campaign
finance,
lobbying,
and
conflicts
of
interest
laws.
The City Clerk is the local official who administers democratic processes such as elections, access
to
City
records,
and
all
legislative
actions
ensuring
transparency
to
the
public.
Their
responsibilities
include
but
are
not
limited
to
conducting
regular
and
special
municipal
elections
and
campaign
disclosure
and
conflict
of
interest
statement
filings.The
City
Clerk
works
with
the
Ethics
Commission
by
providing
status
updates
on
Ethics
related
filings
by
Commissioners
and
Elected
Officials
and
providing
information
as
requested
regarding
campaign
disclosures
and
local
campaign
rules.
The HR Department staff are the assigned staff liaisons to the Ethics Commission. The HR staff works
closely
with
the
Ethics
Commission
and
provides
Ethics
related
information
and
policies
to
City
employees.
3 ADDENDUM
#5 LOBBYIST REGISTRATION REQUIREMENTS: City of Long Beach Long Beach Municipal Code Section 2.08 LOBBYISTS Lobbyists shall register with the City Clerk within fifteen (15) days after qualifying as a lobbyist under Section 2.08.020. A lobbyist shall renew his or her registration by January 15 or each year unless he or she has terminated their status as a lobbyist pursuant to Section 2.08.050, by such date. Long Beach Office of the City Clerk: As outlined in Long Beach Municipal Code Chapter 2.08 (Lobbyists), you may be required to register your lobbying activities with the City of Long Beach. The purpose of the Lobbyist Registration
and
Reporting
Ordinance
is
two-fold:
1)
To
ensure
the
public
has
full
knowledge
of
who
is
attempting
to
influence
the
decisions
that
affect
City
policy;
and
2)
To
ensure
that
elected
City
officials
are
informed
of
what
interests
each
lobbyist
represents.
City of Long Beach: Lobbying Ordinance: Defines who is a lobbyist and who is exempt.
City of Los Angeles City of Los Angeles Ethics Handbook Chapter 7: Lobbying (page 51-54) To foster public confidence in the integrity of City decisions, City law requires lobbying entities to disclose
their
activity
and
limits
the
ability
of
certain
City
officials
to
to
attempt
to
influence
City
action.
An individual is a City lobbyist if the individual contacts a City official or employee in an attempt to
influence
City
action
on
behalf
of
another
person
and
is
compensated
for
at
least
30 hours
of
lobbying
activity
in
a
three-month
period.
Lobbying
firms
employ
lobbyists
to
lobby
on
other
behalf
of
third
parties.
Lobbyist
employers
employ
lobbyists
in-house
to
lobby
on
the
Organization
on
behalf.
Lobbyists,
lobbying
firms,
and
lobbyist
employers
must
register
with
the
Ethics
Commission
and
file
quarterly
disclosure
statements.
#6 APPEARANCE STANDARD: CIty of Los Angeles City of Los Angeles Ethics Handbook Chapter 3: Conflicts of Interest (page 31) The City Charter has a conflicts provision, which authorizes the City Attorney to determine that a City
Official’s
or
employee’s
participation
in
a
manner
“is
not
in
the
public
interest”.
The
City
Attorney
has
opined
that
it
is
not
in
the
public
interest
for
an
individual
to
participate
in
a
manner
when
the
facts
are
such
that
the
public
might
well
question
an
individual’s
objectivity.
An
actual
conflict
is
not
necessary
to
be
disqualified
under
this
standard.
The
City
Attorney
may
decide
that
the
public
interest
prevents
you
from
acting
even
when
you
would
not
be
disqualified
by
statutory
or
common
law.
If
the
City
Attorney
concludes
that
you
cannot
act
as
a
result
of
the
public
interest
standard,
you
are
disqualified
from
acting
in
the
matter.
City of Long Beach City of Long Beach Ethics Commission Action Plan: Oversight of City Ethics Program page 13 5.7 Ethics Commission to conduct Proactive Audits on Select Campaign Contributions and Expenditures.
4 ADDENDUM
#7 POLITICAL ACTIVITY City of Los Angeles City of Los Angeles Ethics Handbook Chapter 5: Political Activity (page 45) General Managers, Department Heads, Board Members and Commissioners may not do any of the
following:
● Solicit, direct, or receive a contribution from a person who has, or in the preceding 12 months
had
a
matter
involving
a
City
action
before
you.
● Engage in any of the following on behalf of a City officeholder, a candidate for City Office,
or
a
City
controlled
Committee
(unless
the
activity
is
on
behalf
of
your
own
candidacy):
○ Ask someone to make a contribution ○ Invite someone to a fundraising event ○ Supply names to be used for a fundraising event ○ Permit your name, signature, or official title to appear on a solicitation for contributions,
or
in
an
invitation
for
a
fundraising
event.
○ Pay for 20 percent or more of the costs of a fundraising event. ○ Hire someone to conduct a fundraising event. ○ Deliver someone else’s contribution to a City officeholder, a candidate for City office,
or
a
City
controlled
committee.
Additional restrictions for Ethics Commissioners ● Participate in or contribute to the election campaign of anyone running for City or School Board
office.
● Participate in or contribute to the election campaign of a City official or School Board Member
running
for
any
office.
#2 ADDITIONAL DISCLOSURE City of Los Angeles City of Los Angeles Ethics Handbook Chapter 2: Financial Disclosure (page 19-20) City and state laws prohibit public officials from making, participating in, or attempting to use an official
position
to
influence
City
matters
in
which
they
have
a real or apparent conflict of
interests.
When
a
conflict
exists,
you
must
disqualify or recuse yourself from the City matter.
Disqualification
may
or
may
not
be
related
to
interests
reported
on
your
SEI.
Board
and
commission
members
are
required
to
file
Form
51 each
time
they
recuse.
A
separate
form
must
be
filed
for
each
item
from
which
they
recuse
themselves,
and
a
separate
form
must
also
be
filed
each
time
the
same
item
appears
on
a
separate
agenda.
In
addition,
a
Form
51 must
be filed even if the member is not present at the meeting at which the conflicting matter is considered.
The original Form 51 and a copy of the meeting agenda must be filed with the Ethics
Commission
within
15 days
after
the
meeting.
About the Notification Recusal Review Process City law requires the Ethics Commission to track and review recusals. When a Board or Commission
member
submits
3 or
more
form
51s
within
a
365-period,
the
Ethics
Commission
conducts
a
review
to
determine
whether
the
member’s
financial
interests
create
a
significant
and
continuing
conflict
with
a
member’s
duties
on
the
board
or
commission.
If
the
Ethics
Commission
determines
that
there
is
a
significant
and
continuing
conflict,
it
is
required
to
order
divestment
of
the
financial
interest
causing
the
conflict.
Divestment
can
be
avoided
by
resigning
from
the
board
or
commission.
Recusal
reviews
may
be
viewed
online
through
the
Ethics
Commission
meeting
agendas,
Statement
of
City-related
Business
(Form
44)
5 ADDENDUM
City of Los Angeles Ethics Handbook Chapter 2: Financial Disclosure (page 21) Some City officials are required to file Form 44 within 10 days after a City action affects their financial
interests.
The
individuals
who
must
file
Form
44 include
elected
officials,
board
and
commission
members,
the
heads
of
City
agencies,
and
individuals
who
hold
an
appointed
office
that
is
identified
in
the
Charter.
City actions that trigger reporting include the sale of real or personal
property
to
the
City; the purchase of real or personal property from the City; the approval
or
denial
of
an
application
for
a
City
license,
certificate,
permit,
franchise,
change
of zone, variance, credential, or other benefit; the award or denial of a City Contract; and the receipt
of
a
City
grant,
loan,
or
forgiveness
of
debt.
Interests must be reported when they are
held
by
the
official,
the
official's
spouse
or
registered
domestic
partner,
or
a
business
in
which
either
the
official
or
the
official's
spouse
or
registered
domestic
partner
holds
an
ownership
interest
of
five
percent
or
more.
City of Long Beach City of Long Beach Office of the City Clerk Disclosure Reports and Ethics Portal Public Official Form 700 Filings and the 800 form series (behested payments, gifts to agencies, ceremonial
roles
and
ticket
distributions,
etc)
are
available
for
the
public
to
easily
access
and
review.
#2 ETHICS LIAISONS City of Los Angeles Executive Directive No. 7 of the Villaraigosa Series: Governmental Ethics: Departmental Liaison, Training, and Compliance Appoint a Departmental Liaison to the City Ethics Commission The City Ethics Commission is charged with administering the City of Los Angeles Governmental
Ethics
Ordinance
through
training,
advice
and
technical
assistance
to
City
departments
and
officials,
as
well
as
through
enforcement
of
the
law,
when
necessary.
To
assist
in
the
Commission's
critical
mandate,
I
direct
each
Department
Head
to
designate
from
among
his
or
her
departmental
management
an
individual
to
act
as
liaison
to
the
City
Ethics
Commission.
That
individual
must
have
the
authority
and
responsibility
to
effectively
coordinate
the
department's
programmatic
work
with
the
Ethics
Commission,
and
to
monitor
departmental
compliance
with
all
ethics
laws
and
requirements.
The
duties
of
the
Ethics
Liaison
will
include:
● Reviewing the agency Conflict of Interest Code biennially so that it remains current; ● Ensuring full compliance of departmental personnel with requirements to file financial disclosure
statements,
statements
of
City
related
business,
and
any
other
similar
public
filing
required
by
law;
● Ensuring that staff and department-related commissioners have completed required ethics
training;
● Ensuring full compliance with this Executive Directive and Executive Directive Number 1, including
posting
of
the
City
Ethics
Code
and
filing
of
recusal
notices;
● Disseminating ethics-related materials to staff; ● Remaining up to date on emerging ethics issues, concerns and relevant enforcement matters
while
working
with
the
Department
Head
to
devise
approaches
to
broadening
compliance
with
ethics
laws
and
principles;
and
● Working with the City Ethics Commission and the Office of the Mayor when necessary to fulfill
these
duties.
6