CITY ATTORNEY’S OFFICE MEMORANDUM
NOT ATTORNEY CLIENT PRIVILEGED
TO: Mayor, Vice Mayor, Council, City Manager
FROM: Katie Doerr, Deputy City Attorney
RE: Ethics Commissions
DATE: October 22, 2024
On July 9, 2024, Council gave direction to provide additional information on the structure of city ethics commissions operating in California.
Ethics Commission Overview
An ethics commission is a standing body with delegated authority to interpret and enforce the jurisdiction’s ethics regulations. An ethics commission is usually an independent body that provides external oversight and enforcement of ethics laws. In California, the FPPC performs the role for state and local officials subject to the Political Reform Act. Local agencies can have ethics commissions that are charged with enforcing and taking other actions with respect to local ethics laws. A key goal of an ethics commission is to enhance public trust in the ethics enforcement process by assigning it to a quasi-independent entity. An ethics commission can also play a role in training and education.
Below are brief summary descriptions of the prominent ethics commissions in California cities. Commissions range from five to nine members, and often have provisions that ensure a diversity of policy backgrounds among commissioners. Commissions are created by charter or ordinance. Commissions generally oversee development, review and enforcement of local ethics, lobbying, campaign finance, and disclosure laws. The commissions’ means of enforcing the laws they oversee generally lies in their ability to conduct audits and investigations, issue subpoenas, levy fines and impose penalties.
They may also issue opinions regarding the laws and ordinances they cover, and develop manuals and conduct educational outreach.
OTHER ALTERNATIVES
Ethics Task Force
An Ethics Task Force is a body convened by a local agency to accomplish a specific task relating to ethics, typically making a policy recommendation on ways to enhance the culture of ethics in the organization. The task force is usually disbanded after it has made its recommendation or accomplished its task. It is an information gathering and advisory body. The City Council would make the ultimate decision on whether to adopt measures adopted by the task force. The City of West Hollywood has an Ethics Reform Task Force, composed of three members of the public with specialized knowledge, which recommends to Council reforms to assure strong and comprehensive local ethics rules consistent with the city’s commitment to open and fair government. The task force has no investigative or enforcement authority.
Ethics Committee
An ethics committee is a standing body designed to be a source of advice on policy implementation and support for ethics within the agency. It can be comprised of members of the public, local officials, or a combination of both. An ethics committee can also play
an educational role within the agency and in the community. Santa Clara’s ethics committee, for example, is a Council subcommittee composed of three councilmembers, focused on the refinement and establishment of policies and procedures regarding Council operations and general good government practices, as well as further implementation of the city’s Code of Ethics. Other staff regularly attend. The Committee has no investigative, enforcement, or subpoena power. The committee meets quarterly, and meetings are open to the public.
Ethics Hotline/Officer
This can serve as a sounding board for public officials on public service ethics dilemmas.
In the private sector, many large companies provide such a source of advice for their people. This kind of position can also play an educational and training role.
Santa Monica currently has an ethics hotline: https://www.santamonica.gov/processexplainers/how-to-report-a-possible-ethical-violation-by-staff The City of Anaheim recently created an Ethics Officer position. The annual cost of the position is approximately $350,000. The Ethics Officer’s role is to promote public confidence in the integrity of local government and its operation, and its functions include, but are not limited to:
Serving as the city resource for understanding of laws, ordinances, and regulations pertaining to the conduct of public employees, elected and appointed officials, candidates, lobbyists, and others, including the California Political Reform Act, California Public Records Act, and local, state, and federal statutes. Collaborating with key staff and departments such as the City Manager’s Office, City Attorney’s Office, City Clerk’s Office, to advance conflicts and ethics efforts, and develop and implement an ethics program.
Develop, implement, and sustain an education program for employees, officials, lobbyists, stakeholders, and consultants to help them understand their responsibility to perform in compliance with all laws, rules, and regulations. Evaluate and propose improvements to laws and policies relating to campaign finance reform, lobbying, governmental ethics, and conflicts of interest. Collaborate with the city’s audit division to manage a fraud hotline and investigate incidents reported through the hotline.
Contract Enforcement by the FPPC
The FPPC contracts with cities, counties, and special districts to allow the FPPC to enforce local ethics and campaign finance laws. This is authorized by Government Code Section 83123.6. The contract scope of work includes advising, informing, auditing, and enforcing local campaign finance and ethics ordinances, for a fee. The FPPC will ensure candidates and campaigns are following the rules and public officials are adhering to ethical standards.
CALIFORNIA ETHICS COMMISSIONS
LONG BEACH
Ethics Commission (longbeach.gov)
Creation and authority. Created by the voters via Measure CCC in 2018, which adopted a charter amendment adding Section 2400, as well as amending other relevant laws to create a commission of Long Beach residents to monitor, administer, and implement government ethics in the city.
Composition. Seven commissioners, serving four-year terms. Two appointed by the Mayor who have represented local civic organizations with a demonstrated history of involvement in local governance. Two appointed by the City Auditor who have a background in public policy or public law, government ethics, or open government matters, campaign finance, auditing of compliance with ethics laws, protection of whistleblowers, or technology as it relates to open government. The final three commissioners are appointed by the Commission, by affirmative vote of at least three members, following a public recruitment and application process.
Powers and Duties. The Commission serves as an advisory body to the City Council, and does not have subpoena power, or the authority to conduct investigations or enforcement, or impose penalties.
Provide support and guidance to agencies and officials in administering the Charter and other laws, specifically in areas of campaign finance, conflicts, and government ethics.
Provide policy recommendations to Mayor and Council in areas of campaign finance reform, lobbying, government ethics, and conflicts of interest, and report on effectiveness of laws.
Assist with development of the local Conflict of Interest code. Education, advocacy and training.
Investigation and Enforcement. The Long Beach Ethics Commission does not have investigation or enforcement authority.
Penalties. The Commission does not have the authority to assess penalties.
Staff assistance and budget. The City Clerk is charged with staffing and administrative management of the Commission. One dedicated City Clerk position is budgeted, as well as time from a management position each in the City Manager and City Attorney’s Office.
LOS ANGELES
Laws - Ethics Commission (lacity.gov)
Creation and authority. Established by Charter Amendment. The Commission has authority over the Charter, statutes, and ordinances concerning campaign financing, lobbying, conflicts of interest and governmental ethics.
Composition. Five members. Mayor, City Attorney, Controller, President of Council, and President Pro Tem of the Council each appoint one member, subject to confirmation by majority vote of the Council. Members serve staggered five-year terms. No member who
completed a five-year term is eligible for reappointment. Members must be registered voters of the City of Los Angeles. Members have limits on their ability to run for office during and following their term on the Ethics Commission. Members may be removed for cause by the Mayor with concurrence of the Council majority, or by vote of 2/3 of the Council.
Powers and Duties.
Receive documents and conduct audits pursuant to the Charter. Administer the municipal lobbying ordinance.
Act as filing officer under the Political Reform Act. Audit disclosure statements and investigate alleged violations of state law, the Charter, and city ordinances within their jurisdiction and report findings to City Attorney and appropriate enforcement authorities.
Report to the Council every three years on the effectiveness of ordinances within their jurisdiction, and make recommendations for reform.
Maintain a whistle-blower hotline.
Assist departments in compliance with laws, and develop an education program. Issue written opinions upon request on areas within their jurisdiction.
Investigations and Enforcement. If, upon receipt of a sworn complaint, the Commission determines there is sufficient cause to investigate, it will perform an investigation.
Investigations are confidential. The Commission has subpoena power over people and records. If the Executive Director determines there is probable cause a violation occurred, the Executive Director shall cause an administrative enforcement accusation to be issued and served. After an accusation is issued, the Commission shall cause a public evidentiary hearing to be held to determine if a violation has occurred. The person accused of the violation has a right to be present and represented by counsel. If the Commission determines no violation occurred, it shall publish a declaration so stating.
Any interested person may seek judicial review of any action of the commission.
Penalties. If the Commission determines on the basis of substantial evidence a violation has occurred, it shall issue an order that requires the violator to (1) cease and desist the violation; (2) file any reports or other documents required by law; (3) pay a monetary penalty to the General Fund of up to $5,000 per violation or three times the amount at issue, whichever is greater.
Divestiture: In the event a member of a city board or commission is disqualified during any 365 day period from acting on (1) three or more agenda matters by reason of the same investment in a business entity, the same interest in real property or the same source of income, or (2) 1% or more of the matters pending before the board or commission by reason of any investments in business entities, any interests in real property or any sources of income, the commission shall examine the nature and extent of the conflicts and shall determine whether the member has a significant and continuing conflict of interest. If the commission so determines, it shall order divestment of the conflicting investment, interest or source of income. The Council may, by ordinance,
impose additional requirements to assure that continuing conflicts of interest by members of boards and commissions are adequately monitored and avoided.
Staff assistance and budget. The Commission has an Executive Director who is appointed by and serves at the will of the Commission. The Executive Director may hire additional staff. The City Attorney provides legal services to the Commission. In the event of a conflict, the Commission may employ independent staff counsel. The Commission also has the authority upon 4/5 vote of its members to appoint a Special Prosecutor, on recommendation of the City Attorney. $250,000 shall be included in each Fiscal Year budget of the Commission for this purpose. The Special Prosecutor shall be selected by a three judge panel, and shall have the authority to prosecute criminal and civil actions in the name of the People.
Ballot Measure. A pending measure on the November ballot would enhance the responsibilities of the ethics commission, propose a $6.5 million annual budget for the Ethics Commission, update fines for violating ethics laws from $5,000 to $15,000 per violation, and allow the Ethics Commission to retain its own legal counsel. The special prosecutor allowance would be raised to $500,000.
SAN DIEGO
Ethics Commission | City of San Diego Official Website
Creation and authority. Formed by ordinance in 2001 for the purpose of monitoring, administering, and enforcing the city’s government ethics laws. It is governed by Section
26.0401-26.0456 of the San Diego Municipal Code. The Commission investigates elected city officials, candidates for city office, certain employees, consultants, and members of boards and commissions, among others.
Composition. Seven members appointed by the Mayor from a pool of nominees submitted by the Council and City Attorney and confirmed by the Council. At least two members must have been candidates for elective office or otherwise held high level positions in a campaign. At least three members must be attorneys. No more than three members may be registered with the same political party. Members serve up to two four-year terms.
Powers and Duties.
Monitoring, administering, and enforcing the city’s government ethics laws and proposing new ethics reforms.
Conducting investigations, subpoenaing documents, referring violations to appropriate enforcement agencies, and auditing disclosure statements. Advising and educating city officials, candidates, political committees, and lobbyists about ethics laws.
Investigations and Enforcement. The Commission handles civil administrative complaints for violations of the city’s ethics laws. Enforcement extends to elected officials, unclassified city employees, city consultants required to file economic disclosures, board and commission members who file Form 700, city-affiliated agencies (such as Convention Center), campaigns, and lobbyists.
Administrative actions must be commenced within three years of the alleged violation. An investigation may be commenced by formal complaint, or by informal complaint which are brought before the Commission in the discretion of the Executive Director. Commission staff performs an initial review to determine whether the subject of the complaint is appropriate for consideration by the Commission. Commission staff does not begin a formal investigation until authorized to do so by a vote of the Ethics Commission. The Commission votes on how to proceed in closed session. If the case advances to a probable cause hearing, the Commission has separate hearing procedures to provide the accused with due process. Cases do not often advance to this stage. The Executive Director is authorized to negotiate stipulated settlements, and once approved by at least five commissioners, stipulations are posted on the Commission’s website, explaining the basis for the violation, the fine, and any mitigating circumstances. The Commission’s outside counsel advises the Commission throughout.
Penalties. The Commission may issue fines up to $5,000, as well as ordering education and training.
Staff assistance and budget. The Committee retains legal counsel independent of the City Attorney, as authorized by a Chater amendment in 2004.
SAN JOSE
Board of Fair Campaign and Political Practices (Formerly Ethics Commission) | City of San José (sanjoseca.gov)
Creation and authority. The Board is created by ordinance to monitor and enforce campaign and ethics ordinances in Title 12 of the San Jose Municipal Code.
Composition. The Board is composed of five members appointed by a 2/3 vote of the Council, each serving a maximum of two four-year terms. Membership should be representative of the community and have demonstrated familiarity and experience with campaign laws.
Powers and Duties. The Board has subpoena, investigative, and enforcement authority. Monitors compliance with local campaign and ethics ordinances in Title 12 of the San Jose Municipal Code.
Reviews and investigates allegations of violations and makes recommendations for enforcement action.
Makes recommendations to the Council regarding campaign and ethics regulations and policies.
Investigations and Enforcement. The Board issues an RFQ for a neutral Evaluator and/or Investigator in advance of each election cycle. An evaluator must have a legal background and experience in ethics, election, or political law. An investigator must have experience in investigative practices and procedures including skills in obtaining information and facts through interview, questioning, and observation. The investigation procedures applicable to the Evaluator are also applicable to the Investigator.
The statute of limitation for filing a complaint is four years after the alleged violation.
Complaints are filed with the City Clerk, who forwards it to the Evaluator. The Evaluator
performs a preliminary evaluation of every complaint to determine if sufficient cause exists to conduct a full investigation. If the complaint on its face warrants investigation, the Evaluator advises the Board, who schedules a hearing to consider the Evaluator’s report and recommendations. The Board may then direct the Evaluator to conduct an investigation. Following the investigation, the Evaluator advises the Board Chair to set a hearing for submittal and distribution of the Evaluator’s report and recommendations. The respondent may appear before the board and submit a response and evidence. The vote of at least three Board members is required to find a violation has occurred. A respondent may seek juridical review of the Board’s decision in Superior Court.
Penalties. The Board may issue a public statement or reprimand; may require corrective action by a particular deadline; or may impose a penalty up to $5,000 per violation or three times the amount at issue, whichever is greater. At any time, the Evaluator or the Board may refer a complaint and any information gathered to another enforcement agency who may more appropriately resolve the allegations in the complaint.
Staff assistance and budget. The City Attorney’s Office provides advice to the Board on matters unrelated to complaints or on general interpretations of the law, but does not participate in investigations or reviews of complaints.
OAKLAND
City of Oakland | Public Ethics Commission (oaklandca.gov) Creation and authority. Created by Charter Amendment in 1996. The Commission has jurisdiction over local laws governing campaign finance, financial conflicts of interest by public officials, lobbyist registration and reporting, post-governmental employment, misuse of city resources, gifts and honoraria, and public meetings and records.
Composition. Seven member board of volunteer city residents. Three members are appointed by the Mayor, City Attorney and City Auditor, subject to veto by the Council.
Four members are recruited and selected by the Commission itself. Members serve for up to two three-year terms. Members may be removed for cause by the appointing authority, with the concurrence of the Council by Resolution. Members shall reside and be registered to vote in the city, and have limits on their lobbying and political activity while serving on the Commission. Regular public meetings are typically held on the first Monday of the month.
Powers and Duties.
Foster and enforce compliance with laws under their jurisdiction. Conduct audits and investigations, issue subpoenas, enforce fines and penalties, and refer matters to other enforcement agencies.
By affirmative vote of five members, reprimand, censure or impose administrative remedies.
Report on effectiveness of laws and make recommendations. Issue oral advice and written opinions, in consultation with the City Attorney. Act as filing officer.
Educate and promote understanding with laws under their jurisdiction. Set Council compensation as provided for in the Charter.
Investigations and Enforcement. Upon receipt of a formal complaint and determination that the complaint warrants further inquiry, an investigation ensues. After the investigation, Commission staff shall issue a report as to whether there is probable cause a violation occurred. Upon review, the Commission may decide to close the matter, request further investigation, and/or seek a stipulated settlement, or may refer the matter to administrative hearing. The Commission may either sit as a hearing panel or may delegate authority to one or more members, or to an independent hearing officer. The Commission must provide notice to the responding party and may issue subpoenas.
Hearings afford due process to the accused, but are not subject to formal rules of evidence. The Commission’s order following a hearing may determine a violation of law occurred only if the weight of the evidence shows it is more likely than not that a violation occurred. The Commission’s order and findings of fact and conclusions may include orders for corrective, remedial or punitive actions, and any appropriate fines. Any person aggrieved by the action of the hearing officer may seek judicial review.
The Commission may also receive informal complaints, upon which it has no obligation, but retains discretion, to process and review. The Commission also has a procedure for addressing repetitive and unmeritorious complaints.
Penalties. Penalty options include a warning letter; streamlined stipulation for common low-level violations assessing penalties up to $800, and mainline penalties for more serious violations, from $1,000 per violation to $5,000 per violation, or three times the amount at issue, whichever is greater.
Staff assistance and budget. Minimum staffing consists of the following full time positions:
Executive Director, Enforcement Chief, Ethics Investigator, Ethics Analyst I, Ethics Analyst II, Administrative Assistant I, Democracy Dollars Manager and three full-time positions to assist that person. The City Attorney advises the commission, or retains outside counsel in the event of a conflict.
RIVERSIDE
Board of Ethics | City Clerk (riversideca.gov)
Creation and authority. Established by ordinance in 2016. The ordinance sets forth prohibited conduct that may be the subject of a complaint. Only violations of the alleged prohibited conduct in the ordinance shall be grounds for a complaint.
Composition. Nine members appointed by the Mayor and City Council. Regular public meetings are held the first Thursday of the month.
Powers and Duties. Advise and make recommendations to Council on all matters pertaining to the adoption, revision, administration and enforcement of the Code of Ethics and Conduct set forth in the municipal code.
Investigations and Enforcement. Only those who live, work, or attend school in Riverside may bring a complaint, unless the alleged violation took place outside the boundaries of the jurisdiction. Complaining parties must have personally witnessed the alleged violation.
Complaints and evidence shall be filed with the City Clerk within one year of the alleged
violation. Within 20 days of the Clerk deeming the complaint complete, the Clerk shall set the matter for a pre-conference before the Board of Ethics. At the pre-conference, the Board shall review the complaint to determine whether the complaint is compliant with the municipal code, the Board of Ethics shall facilitate settlement discussions between the parties. Both complainant and accused official shall have the opportunity to present evidence. The Board shall determine by majority vote whether the complainant has shown that the evidence, if true, more likely than not shows a potential violation. If the Board so finds, then a hearing panel is selected, and the City Clerk shall set a hearing date within 45 days. The Chair of the hearing panel of the Board of Ethics shall preside over the hearing. No new evidence may be submitted at the formal hearing. The Complainant shall have the burden of proving by preponderance of the evidence that a violation occurred.
Upon conclusion of the hearing, the City Clerk of a member of the hearing panel shall prepare a statement of findings, which shall be considered by the hearing panel within 30 days after the hearing. A decision of the hearing panel may be appealed to the City Council by either party. If there is no appeal, the decision becomes final and there is no further right to appeal. The City Council will then determine if sanctions should be imposed, if applicable.
Penalties. Upon a finding of the Council that an official violated any provision of prohibited conduct, the Council may impose the following sanctions:
Elected officials: public apology by the official to the complainant; recommendation for training; removal from regional committees; removal from Mayor Pro Tem rotation; public censure; or restriction from traveling to attend meetings or conferences outside city limits.
Appointed officials of Boards and Commissions: Public apology by the official to the complainant; recommendation for training; referral to the Board of Commission of which appointed official is a member for public censure; public censure the Mayor and City Council; removal from chair, vice chair, or other leadership positions; or removal from office as provided by the Charter.
No official who is the complainant or subject of a complaint shall participate in deliberations or decisions concerning sanctions to be imposed for such complaint.
Staff assistance and budget. Unknown.
SACRAMENTO
Filing an Ethics Complaint | City of Sacramento
Creation and authority. Created by the Council by ordinance in 2017. Sac. City Code
2.112. The purpose of the commission is to review and consider complaints against elected and appointed city officials, to ensure those officials are conforming their conduct to the city’s laws and policies. The commission has authority over Section 35 of the Charter (Limitation on Future Employment), Municipal Code Chapter 1.20 (Code of Fair Campaign Practices), Municipal Code Chapter 2.13 (Campaign Contribution Limitations) and 2.14 (Campaign Spending Limitations and Public Campaign Financing), Chapter 2.15 (Lobbyist Registration and Reporting Code), 2.16 (Conflict of Interest), 4.02 (Code of Ethics), 4.04 (Sunshine Ordinance) and Chapter 3 (Conduct of Members) and Rule 6.E (Closed Sessions) of the Council Rules of Procedure.
Composition. Five members, nominated by the personnel and public employees committee and appointed by the Mayor with the concurrence of a majority of the Council.
Members serve four-year terms, and no member shall serve more than two consecutive terms. Members must be residents of the city, and shall have a background in law, ethics, local government, or similar experience. There are limits on commissioners holding elective office during and after their time on the commission. The Commission has a minimum of two meetings per year, and is subject to the Brown Act.
Powers and Duties.
Review, investigate, and consider complaints in areas of their jurisdiction. Enforce administrative penalties for violations.
At least annually report to the City Council regarding activities of the commission, and provide recommendations.
Review contract with the FPPC.
Provide annual input to the City Attorney on the list of law firms used to conduct investigations of sexual harassment claims against city officials. Provide input on the initial selection, retention, and replacement of an evaluator. Act as the screening panel for selection of independent redistricting commission candidates.
Investigations and Enforcement. The Council shall retain a neutral and independent evaluator to review and investigate complaints and make recommendations to the Commission.
Any person may file a complaint with the City Clerk. The City Clerk shall perform an initial review, and shall thereafter (1) refer the complaint to the Independent Evaluator for a preliminary evaluation and notify the Commission of the referral; (2) refer the complaint to another city department or the FPPC or other government agency if the Clerk determines they may more appropriately address the allegations; or (3) dismiss the complaint for lack of jurisdiction and notify the Complainant of the dismissal.
Upon receiving a complaint from the City Clerk, the Independent Evaluator shall complete a preliminary evaluation to determine whether sufficient cause exists to conduct a full investigation. If there is sufficient cause, the Independent Evaluator will conduct a formal investigation and prepare a report. Upon receiving the report, the City Clerk will advise the Chairperson and City Attorney, and set a hearing at the earliest practicable date. The report shall be made public, and the respondent has the opportunity to submit a written response.
The hearing shall be open to the public. Each side shall present to the Commission, and California Rules of Evidence do not apply. The Commission may consider any relevant evidence, including hearsay. At the conclusion of the hearing, the Commission may take one or more of the following actions: (1) pass a motion directly the Independent Evaluator to conduct further investigation and report back; (2) adopt a resolution finding sufficient evidence exists to establish a violation occurred based on a preponderance of the evidence; (3) adopt a resolution finding sufficient evidence does not exist to establish a violation occurred and order the complaint dismissed; (4) pass a motion referring the matter to the FPPC or another governmental agency.
Penalties. Remedies for violations include the following: (1) a finding that mitigating circumstances exist and no further action is warranted; (2) a reprimand; (3) an order that the respondent take corrective action by a certain date; (4) an order issuing a warning letter that best conditions for potential imposition of penalties depending on the future conduct of the respondent; (5) an order imposing an administrative penalty. Penalties for each violation may not exceed $5,000 or in the case of campaign contributions, three times the amount at issue.
Staff assistance and budget: The City Attorney advises the commission on legal matters such as interpretation of ethics laws. The City Attorney does not participate in investigations, but the Commission may consult with the City Attorney about procedure.
The Independent Evaluator is a neutral and independent party retained by the city on the Commission’s behalf review and investigate complaints and give recommendations to the Commission.
CHULA VISTA
Board of Ethics | City of Chula Vista (chulavistaca.gov) Creation and authority. The Board of Ethics was created by the Council by Ordinance, Municipal Code Section 2.28, to exercise authority over the City’s Code of Ethics.
Composition. seven members serving four-year terms. Applications for membership are reviewed by the Ethics Commission and a recommendation is made to Council, who appoints members. The Board meets monthly.
Powers and Duties.
Advises and makes recommendations to the Council on all matters related to potential unethical conduct and make recommendations to the Council for implementation of the code of ethics.
Receives and initiates complaints of violation of city’s Code of Ethics. investigates violations and transmits findings to the appropriate authority or city officer Serves as a hearing body for violations of the code of ethics. Renders advisory opinions or interpretations with respect to applications of the Code. Proposes revisions to the Code to ensure its continuing pertinence and effectiveness. Participate in the selection and nomination members to the Board of Ethics.
Investigations and Enforcement. If an individual board member refers a matter for investigation, it is assigned to a panel attorney, who conducts an investigation as to whether probable cause exists. If the attorney determines there is probable cause, the attorney presents its case to the board. If the board finds there is probable cause, it assigns the case to another panel attorney for investigation and submission to the board for a full hearing.
If a member of the public makes a complaint, it must be made within 90 days of the occurrence. The Board may refer the matter to another enforcement agency, or may perform a prima facie review to determine if the complaint complies with the minimum requirements for complaints. The board may then perform an investigation, either through
an ad hoc subcommittee comprised of one to three board members, or by hiring an outside investigator. The complaint then proceeds to a probable cause hearing, and if cause is found, to a full hearing on the merits. Formal rules of evidence do not apply. If the board makes a finding of misconduct, that finding may not be changed by the city Council. Only police and firefighters, granted appeal rights under state law, may appeal the decision to the Council.
Penalties. A declaration of misconduct may contain a recommendation of sanctions against the city official found to have engaged in misconduct, including, but not limited to, remedial actions to prevent future misconduct, reprimand, censure, or removal from office.
SAN FRANCISCO
San Francisco Ethics Commission
Creation and Authority. Created directly by city voters through the passage of Proposition K in 1993. The powers and duties of the Ethics Commission are governed by Charter Sections 15.100, et seq., and Appendix C, Sections C3.699-10-C3.699-16. The Commission has jurisdiction over the local campaign finance reform ordinance; campaign and government conduct code; prohibition of false endorsement in campaign literature ordinance; lobbyist registration ordinance; sunshine ordinance (partial).
Composition. Five members, one each appointed by the Mayor, the Board of Supervisors, the Assessor-Recorder, the City Attorney, and the District Attorney. Members serve sixyear terms. The Mayor’s appointee must have background in public information and public meetings; assessor’s appointee must have background in campaign finance; city attorney’s appointee must have background in governmental ethics, and other two appointees shall be broadly representative of the general public.
Powers and Duties. The Commission has subpoena, investigative, and enforcement authority. Charter Appendix C3.699-11
Conduct investigations and enforcement proceedings for alleged violations of the charter and city ordinances related to campaign finance, lobbying, conflicts of interest and governmental ethics.
Authorized to hold hearings to determine whether an elective or appointed city officer warrants suspension or removal for acts of official misconduct. Serves as filing officer for public disclosure statements. Audit campaign statements and other relevant documents and investigate alleged violations of state law, the charter, and city ordinances relating to campaign finance, government ethics, and conflicts of interest, and to report findings to the District Attorney.
Make recommendations to the BOS regarding legislation and charter amendments related to government ethics.
Maintain a whistleblower hotline.
Provide education and training.
Issue opinions and advice to any person requesting an opinion with respect to that person’s duties under the provisions of the charter or any ordinance related to campaign finance, conflicts of interest, lobbying, or governmental ethics. The opinion shall be submitted to the City Attorney and District Attorney, who shall advise whether they concur or disagree, and the reason for any disagreement.
Investigations and Enforcement:
Identifies, investigates, and remedies unlawful conduct within the scope of the Commission’s jurisdiction. May include imposition of monetary penalties levied by the five member ethics commission.
The commission may conduct investigations of alleged violation of the charter and city ordinances related to campaign finance, lobbying, conflicts of interest, and governmental ethics. If the commission receives a sworn complaint from any person, or on its own initiative believes a violation has occurred, the complaint is immediately forwarded to the City Attorney and District Attorney. Within 10 days, The City Attorney or District Attorney shall inform the commission whether they intend to pursue an investigation. The commission may perform its own investigation if it believes there is sufficient cause to do so. Within 14 days, the commission shall notify the complainant of the action to be taken on the complaint, if any. Investigations and records shall be confidential. The accused shall be given notice of the charges against them, and shall have the right to appear at the hearing to determine whether probable cause exists for believing the person committed a violation. Once the Commission determines there is probable cause that a violation occurred, it may hold a public hearing. If the commission determines based on substantial evidence presented at the hearing that a violation has occurred, penalties may be imposed.
Penalties: direction to cease and desist; direct filing of any reports required by law; monetary penalties payable to the general fund of up to $5,000 per violation or 3x the amount at issue; recommend removal from office.
Charter 15.105: Suspension and Removal. Provides that elective or appointed officers are subject to suspension and removal for official misconduct, which includes any wrongful behavior by a public officer in relation to the duties of their office, willful in character, including any failure, refusal or neglect of an officer to perform any duty required by law, or conduct that falls below the standard of decency, good faith, and right action impliedly required of public officers, and including violation of specific conflict of interest or governmental ethics laws. When any city law provides that a violation constitutes is deemed official misconduct, the conduct is covered and the person may be subjected to discipline or removal from office.
Process: Mayor has power to suspend and appoint qualified person to the office during period of suspension. Upon suspension, Mayor must immediately notify the Ethics Commission and Board of Supervisors the cause of the suspension and written charges shall be provided to the Commission, BOS, and accused. The accused shall have the right to appear with counsel and defend themselves before the Ethics Commission. The Ethics Commission shall hold a hearing within 5 days of the filing of written charges. After hearing, the Commission shall transmit the full record of the hearing to the BOS with a recommendation as to whether charges should be sustained. If, upon 3/4 vote of the BOS the charges are sustained, the
suspended officer shall be removed from office. If not sustained or not acted on within 30 days, the suspended officer shall be reinstated.
Staff assistance and budget: In FY22 the Ethics Commission had a total operating budget of $6.55 million to fund programming and staffing.
BERKELEY
Fair Campaign Practices Commission | City of Berkeley (berkeleyca.gov) Creation and authority. The Commission was formed by ordinance to ensure monies received or spent in municipal campaigns are fully disclosed in accordance with the Berkeley Elections Reform Act.
Composition. The Commission has nine members, and members serve for the same term as the councilmember appointing them. Members must be registered voters in Berkeley and shall not seek or hold office or contribute to any campaign while on the commission.
Meetings are once a month, and open to the public.
Powers and Duties.
Prescribe forms and reports, statements, notices and other documents required by law.
Prepare and publish materials and instructions setting forth methods of bookkeeping and preservation of records to facilitate compliance with and enforcement of the law Provide assistance to agencies and public officials in administering the provisions of the law.
Determine whether required documents have been filed, and, if so, whether they conform to the law.
Issue advisory opinions upon request.
Investigate violations, and subpoena documents and witnesses.
Investigations and Enforcement. After the commission determines there is probable cause for believing a provision of the Elections Reform Act has been violated, it may hold a hearing to determine if the violation has occurred, and may determine an appropriate remedy if violation is found. Ay person may seek judicial review of any action of the commission.
Penalties. The commission may order violators: (1) cease and desist violations; (2) file any reports and statements or other documents or information legally required; (3) pay a monetary penalty up to $1,000 per violation, or up to the amount f the value of the unlawful contribution, whichever is greater.
Staff assistance and budget. Unknown.