Attachment A - New Mayor and Council Resource Guide — Council Legislation/Environmental Committee, March 20, 2024 (part 2 of 2)

Examples include bribes and kickbacks (for example, receiving money back from proceeds paid to a company that does business with a public entity).
27 Sometimes violation of a state law is the basis of an “honest services” fraud claim (in addition to other charges, like income tax evasion). However, the courts have also held that such claims can also be based on common or judge- made law concepts relating to a public official’s fiduciary duties to his or her constituents.

The potential penalties for federal fraud are steep. The maximum penalty for being guilty of wire and/ or mail fraud includes a jail term of up to 20 years and a $250,000 fine. 28 For more information, see “Making a Federal Case Out of Corruption,” available at www.ca-ilg.org/fedcase.

ATTACHMENT A
Institute for Local Government | 11
Disqualification Based on
Financial Interests
Under the Political Reform Act

BASIC RULES
In the statewide general election of 1974, voters passed the Political Reform Act, creating an independent
authority, the Fair Political Practices Commission (FPPC), to, among other things, administer and enforce an
across-the-board, bright line rule: public officials may not participate in governmental decisions affecting their financial interests.

The rule is designed to have public officials avoid
putting themselves in the position of choosing between
advancing the public’s interest or their own financial
interests. That would be a potential conflict of interest.

This does not mean there is anything corrupt or dishonest about having a disqualifying conflict of interest; nor is it against the law to have a disqualifying conflict of interest.

It typically means that a public official has a personal life, with all the financial realities that life can involve.

The key is to be aware when one’s economic interests
are implicated by a public agency decision, so one can
stay clear of and avoid the decision-making process. This way, there is no question about whether one’s personal
interests affected the decision-making process in any way.

The rule is that a public official may not make, participate in, or influence a governmental decision that will have a reasonably foreseeable and material financial effect on the official, the official’s immediate family, or any of the official’s economic interests.
29 Economic interests include real property, sources of income, business entities in which a public official has an investment or holds a management position, and
donors of gifts.

Note the breadth of the disqualification
requirement: one must not only step aside from
voting, but the entire process leading up to a
governmental decision….

Note the breadth of the disqualification requirement:
one must not only step aside from voting, but the entire process leading up to a governmental decision, whether
a vote of a legislative body or an action or decision by an employee vested with the authority to act on behalf of
the agency. This means conversations with fellow officials and staff are also against the law if one has a conflict of interest. Also, there may be even more restrictive local requirements.

Note that disqualified officials do not count toward the establishment of a quorum.
30 Updates to the Political Reform Act Conflict of
Interest Regulations
The FPPC has updated conflict of interest regulations under the Political Reform Act. These changes are significant and have changed several key parts of the conflict of interest analysis, including: material business interests, what is “reasonably foreseeable,” the 500 foot real property rule, the public generally exception and overall streamlining of the 8-step conflict of interest analysis.

For more information on these updates to the conflict of interest regulations, see the FPPC webpage for newly adopted, amended or repealed regulations at: www.fppc.ca.gov/the- law/fppc-regulations/ newly-adopted-amended-or-repealed- regulations.html. Also seek professional guidance when
facing a potential conflict of interest issue as the rules and regulations can be complicated.

ATTACHMENT A
12 | Understanding the Basics of Public Service Ethics Laws | PERSONAL FINANCIAL GAIN LAWS Imprecise T erminology: Abstentions, and Disqualifications The terms “abstention,” and “disqualification” are sometimes used interchangeably when describing an official’s decision to step aside from the decision-making process, and the applicable laws do not necessarily mandate the use of any particular term. The important thing is to be clear on why a decision-maker is stepping aside.

Voluntary Abstention
There are instances in which a public official voluntarily chooses not to participate in a decision by “abstaining” from the vote. The official may know it will be difficult to put personal interests aside and make a decision based solely on the public’s interest. Or, the official may worry the public will perceive the official cannot put personal interests aside even if the official knows the he or she can.

The decision to voluntarily refrain from participating in the decision-making process can involve two conflicting values:

1. One’s responsibility to perform the duties of his or her office; and

2. One’s responsibility to honor one’s own ethical standards or the public’s trust in the decision-making process.

Both responsibilities are important, of course. Because of this, deciding not to participate should not be viewed as a way of avoiding difficult decisions.

Mandatory Disqualification
By contrast, when someone has a disqualifying conflict of interest, there is no choice. The law prohibits that individual from participating in or seeking to influence a decision—even if the official believes he or she can be fair.

The law presumes the public will doubt a person’s ability to be fair. This is an example of avoiding the appearance of impropriety as well as the potential for actual impropriety.

ATTACHMENT A
Institute for Local Government | 13
Political Reform Act – The Four
Step Conflict of Interest T est
The process of determining when an official is disqualified from participating in a decision can be a very complex one, depending on the interests involved and the governmental decision contemplated. There are statutes, regulations, and interpretive opinions that flesh out each aspect of the basic prohibition.

T o organize the analysis, the FPPC has adopted a new four- step procedure (trimmed down from an eight-step analysis that had been used for many years) for identifying when one must disqualify oneself from participating in a matter.

Although it is useful to be aware of the general outlines of the process, the analysis is probably best undertaken with the assistance of agency attorneys and/ or the FPPC staff— particularly since the rules are not necessarily logical or intuitive.

1. Is it r
easonably foreseeable that a governmental
decision will have a financial effect on any of the public official’s financial interests?

2. W
ill the reasonably foreseeable financial effect be
material?

3. Can the public official demonstr
ate that the material
financial effect on the public official’s financial interest is indistinguishable from its effect on the public
generally?

4. If
, after applying the three steps above the public official determines they have a conflict of interest, he or she
may not make, participate in making, or in any way
attempt to use his or her official position to influence the governmental decision, unless some exception
applies.

Evaluating each of these four steps involves fact-specific inquiries that must be guided by the standards and
definitions laid out in the regulations.
31 FOR MORE INFORMATION

ETHICS CODE VERSUS LOCAL CONFLICT OF

INTEREST CODES
California’s Political Reform Act requires local
agencies to adopt local conflict of interest
codes.
32 These codes supplement state law, by
specifying which positions in the agency are
subject to disclosure under the Act.

For more information, see “About Local Conflict
of Interest Codes” (available at www.ca-ilg.
org/local- conflict-of-interest-codes) and the
FPPC’s materials on adopting local conflict of
interest codes (see http:/ /www.fppc.ca.gov/
learn/ rules-on-conflict-of-interest-codes/local-
government-agencies-adopting-amending-coi.
html).

See the following resources:
» “Deciding When Not to Participate in an Agency
Decision: Abstentions and Disqualifications,”
available at www.ca-ilg.org/ abstentions.
» “Property Ownership in Y our Jurisdiction,”
available at www.ca-ilg.org/ owningproperty.

For specific questions, please contact agency counsel
or the FPPC at 1-866-ASK-FPPC (866-275-3772 *2)
or [email protected].

ATTACHMENT A
14 | Understanding the Basics of Public Service Ethics Laws | PERSONAL FINANCIAL GAIN LAWS

GETTING ADVICE AND STAYING OUT OF TROUBLE ON POLITICAL REFORM ACT ISSUES Public officials should seek advice on how these laws apply as early in the process as possible — as soon as a disqualifying conflict of interest is even a possibility. This means taking an active and attentive role by asking questions when items are placed on an agency agenda or mentioned or discussed as part of an agency’s business.

For example, when a city manager or other executive previews items or programs during a report, or when staff responds to a question from a constituent, if it becomes evident that a governmental decision within the meaning of the law is contemplated, the public official should immediately ask themselves whether any of their financial interests might be affected, and, if so, seek advice about whether they have an actual conflict.

Early consultation allows an attorney to analyze all of the facts involved and the relevant law. Even though the analysis is laid out in four specific steps, each step has various rules and FPPC regulations associated with it, which can be complex. As one seasoned local agency attorney has observed, the later in the process the consultation occurs, the more likely the advice will be that disqualification must occur to make sure the official stays out of trouble.

Does advice from agency counsel protect an official against a FPPC enforcement action? No. Only a formal opinion or formal advice letter from the FPPC will protect a public official if someone argues that a violation of the Political Reform Act has occurred. Receiving such advice from the Commission takes time — another good reason to raise the conflict issue as early as possible.

ATTACHMENT A
Institute for Local Government | 15
Identifying Economic Issues

WHAT KINDS OF ECONOMIC INTERESTS
ARE A CONCERN?
There are a number of ways to have a financial interest in a decision:
» Sources of Income. Receiving $500 or more in income
from one source (including any income received
from a business, nonprofit organization, government
agency, or individual) within twelve months prior to
the decision creates an economic interest. “Sources
of income” includes a community property interest
in a spouse or domestic partner’s
33 income, but not
separate property income.34 Additionally, if someone
promises an official $500 or more twelve months prior
to the decision, the person or entity promising the
money is a source of income, even if the income has yet to be received by the official, as long as the official has a legally-enforceable right to the promised income.
35 » Investments. An economic interest is created if the official, the official’s spouse or domestic partner41
(even as separate property), or dependent children
(or anyone acting on their behalf) has an investment
worth $2,000 or more in a business entity (even if the
official does not receive income from the business).
42 Investments include stocks and corporate (though not government) bonds.
» Business Employment or Management. If the
official serves as a director, officer, partner, trustee, employee or otherwise serves in a management
position in a company, an economic interest is
created.
43 Note this does not apply to a member of
the board of a nonprofit entity.
» Related Businesses. The official has an economic
interest in a business that is the parent, subsidiary or is otherwise related to a business where the official:
• Has a direct or indirect investment worth $2000
or more; or
• Is a director, officer, partner, trustee, employee,
or manager.44
» Personal Finances. An official has an economic
interest in their own expenses, income, assets,
or liabilities and those of the official’s immediate
family (spouse or domestic partner
36 and dependent
children).37
» Real Property. An interest in real property worth
$2,000 or more creates an economic interest.38 The
interest may be held by the official, the official’s spouse or domestic partner39 (even as separate property)
and children (or anyone acting on their behalf). Real
property interests can also be created through leases,
loans, mortgage, or security interests in property.
40 » Business-Owned Property. A direct or indirect
ownership interest in a business entity or trust that
owns real property is another form of economic
interest.
45 » Loans. A loan from someone (or guarantee on a loan) can create an economic interest unless the loan is from a commercial institution, made in the regular course of business and is on the same terms as are available to
members of the public.
46 » Gifts. Receiving gifts totaling $460 (2015-16) or more in a twelve-month period prior to the decision
from any one person or organization may create an
economic interest depending on the type of public
official involved and whether the gift-giver is in the
agency’s jurisdiction.
47 Being promised a gift of $460
(2015-16) or more within a twelve- month period
prior to the decision can also create a disqualifying
financial interest.
48 The limit is adjusted every two
years to reflect changes in the cost of living.49 For more discussion of the gift issue, please see Chapter 3, and www.ca-ilg.org/ GiftCenter.

The timeline for determining whether an official has a
potentially disqualifying economic interest is twelve
months before the decision in question—not the calendar year.
50 If a public official thinks he or she has one of the economic interests described above, the next step is to consult
with the agency attorney about the situation and how the FPPC’s four-step conflict of interest analysis applies. One of the key purposes of the disclosure requirements is to enable the public to assess whether an official’s financial interests may affect his or her decision-making. The
disclosure requirements are discussed in further detail in Chapter 4.

ATTACHMENT A
16 | Understanding the Basics of Public Service Ethics Laws | PERSONAL FINANCIAL GAIN LAWS

DISCLOSURE OF CONFIDENTIAL INFORMATION
California law also makes disclosure of certain
kinds of confidential information for personal
financial gain (as defined) a misdemeanor.
51 This
restriction applies to public officers and employees.52 Confidential information means information not
subject to disclosure under the Public Records Act
and information that may not be disclosed by statute,
regulation, or rule.
53 REAL PROPERTY INTERESTS
The previous FPPC regulations analyzed real property
conflicts in a two-step process. The first step was to
determine if the official’s property was “directly” or
“indirectly” involved in the decision and then to determine if the decision would have a “material” effect on the
official’s property. The old regulations described a number of different types of decisions, and provided that if the official’s property was the subject of one of those types of decisions, the property was deemed to be “directly”
involved in the decision. In addition, there was a rule based upon the proximity of the official’s property in relation to other property that was the subject of the decision. If the official’s property was within 500 feet of the subject property, the official’s property was deemed to be
“directly” involved in the decision. If the official’s property did not fall within any of the circumstances described in the old rule, the official’s property was considered to be “indirectly” involved in the decision.

In 2014, the FPPC amended its regulations to simplify
the property interests analysis by dispensing with
the “directly” versus “indirectly involved” dichotomy.

Now, a real property interest is examined in light of its “materiality” only.
54 Before the change, if the official’s property was located within 500 feet of property that was the subject of a
governmental decision, the financial impacts of the
decision on the official’s property were presumed to be material. The presumption could be rebutted, however, by showing that the decision would not have any impact on
the value of the official’s property.

Now, the 500 foot rule is still a part of the new regulation but the presumption of materiality can only be rebutted by written advice from the FPPC finding that the decision will have no measureable impact on the value of the
official’s property.

ATTACHMENT A
Institute for Local Government | 17
Additionally, the recent changes to the regulation ushered in a new “Reasonably Prudent Person” standard, which
serves as a sort of “catch-all” exemption. Specifically, even if an official’s property is not the subject of the decision, or is located well beyond 500 feet from the subject property, the official must consider whether “…a reasonably prudent person, using due care and consideration under the
circumstances, [would] believe that the governmental
decision was of such a nature that its reasonably
foreseeable effect would influence the market value of
the official’s property.”
For interests in common areas, such as in a residential condominium complex or an industrial lease that includes areas in common with other tenants, the new regulations redefine “real property in which an official has an interest” to exclude an official’s undivided interest in common area, thus offering another simplification of the real property interest analysis.

For interests in business properties, under the updated regulations, the effects of the decision on the official’s real property interest do not have to be considered when the decision involves the issuance of a permit or entitlement, or when one is considering the impact of the decision on the income producing potential of the property. When
applying those factors, only the impacts on the official’s business entity interest are to be considered.
55 THE “PUBLIC GENERALLY” ANALYSIS
Under the FPPC’s Four-Step T est, if the effect of a decision on the public official’s interests is indistinguishable from the effect on the public generally, the public official may participate in the decision even if the decision would
otherwise materially affect the official’s economic
interests.

In 2015, the FPPC revised the analysis to simplify the
previous general rule and various exceptions; the former nine separate regulations were consolidated into a single regulation,
56 which now provides that an official may
participate in a decision “if the official establishes that a significant segment of the public is affected and the effect on his or her financial interest is not unique compared to the effect on the significant segment.” A “significant segment is defined as at least 25% of:
» All businesses or nonprofit entities in the jurisdiction; » All real property (commercial or residential) in the
jurisdiction; or
» All individuals in the jurisdiction.

The effect of a decision on an official’s interest
is considered unique if it results in a disproportionate effect on:
» The development potential, use, or income-producing
potential of real property or a business entity in which the public official has an interest;
» The official’s business entity or real property because of how close business or the property is to the project that is the subject of the decision;
» The official’s business entity or real property interests as a result of the cumulative effect of the official’s
multiple interests in similar entities or properties that is substantially greater than the effect on a single interest; » The official’s business entity or real property interests as a result of the public official’s substantially greater business volume or larger real property the size when
the decision will affect all interests by the same or
similar rate or percentage;
» A person’s income, investments, assets or liabilities, or real property if the person is a source of income or gifts to the official; or
» The official’s personal finances or those of his or her immediate family.57

ATTACHMENT A
18 | Understanding the Basics of Public Service Ethics Laws | PERSONAL FINANCIAL GAIN LAWS

WHAT HAPPENS IF AN OFFICIAL
IS DISQUALIFIED?
General Rule
If an official is disqualified from participating on a specific agenda item under the conflict of interest rules established by the Political Reform Act, the official must:
» If the decision is being voted on at a public meeting, verbally identify the financial interest or potential
conflict of interest in sufficient detail to be understood by the public; and
» Not attempt to influence the decision in any way, which includes talking with colleagues or staff about the
matter at any time, including before, during, or after
any meeting at which the item may be taken up.

At the meeting, elected and appointed officials, and
top staff members who have conflicts of interest must
leave the room when that matter is up for decision
(unless the matter is on consent, in which case the
official must declare the conflict and have the clerk
record an abstention on that particular item).
58 This
may be a good practice for comparable officials at
other local agencies as well.

Officials subject to the leave-the-room requirement
will also need to explain why they are disqualified
from participating, based on the nature of the
financial interest.
59 For example:
» Investment. If the interest relates to an investment, provide the name of the business in which the
investment is held.

» Business Position. If the interest relates to a business position, give a general description of the activity in which the business is engaged as well as the name of
the business.
» Real Property. If the interest relates to real property, supply the address or another indication of the location of the property (unless the property is the public
official’s principal or personal residence, in which case explain the property is a residence and do not give the address or location).
» Income or Gifts. If the interest relates to the receipt of income or gifts, then describe the source.
» Personal Finances. If the interest relates to a personal financial interest in the decision, then describe the
expense, liability, asset or income affected.

Exceptions to the Leave-the-Room Requirement
There are limited exceptions that allow a disqualified
official to remain in the room and provide input as a
member of the public to represent himself or herself
on matters related solely to the official’s “personal
interests.”
60 These include when the subject of the discussion is:
» Interests in real property wholly owned by the
official or his or her immediate family;61
» Interests in a business entity wholly owned by the
official or his or her immediate family;62 and
» Interests in a business entity over which the official (or the official and his or her spouse or domestic
partner63) exercises sole direction and control.64
Even though the law allows the public official to remain in the room when these interests are at stake, the public official may still wish to balance that option with the potential that the public may nonetheless perceive
the official is improperly trying to influence his or
her colleagues. Many officials balance their rights as
individuals with their responsibility to maintain the public’s trust in both their leadership and the agency that they serve by leaving the room after having provided their input related to their personal interest.

Note on Closed Sessions
If a decision will be made or discussed in a closed session, an official with a conflict may not be present. Nor may the official obtain non-public information about the closed session.
65 Effect of Disqualification
The general rule is a majority of the membership of a
body must be present in order for the decision-making
body to conduct business—a concept known as a
quorum.
66 For some kinds of agencies, a majority of the quorum is necessary for an item to pass, although there are
special rules that apply to certain kinds of actions.

Note, however, the rule is different for county boards
of supervisors, community college boards and school
boards, which generally require a majority vote of the
entire membership of the board to act.
67 Those who are disqualified from participating in the decision are not counted toward the quorum.68

ATTACHMENT A
Institute for Local Government | 19
However, those who abstain because of a pending
question concerning a conflict of interest (for example, an elected official is waiting to receive an advice letter from the FPPC) may be counted toward the quorum. This is
because they have not yet been disqualified (typically their agency attorneys will recommend they abstain pending
resolution of the conflict issue).
69 FOR MORE INFORMATION

PENALTIES
Political Reform Act Penalties
A refusal to disqualify oneself is a violation of the Political Reform Act. Violations of these laws are punishable by
a variety of civil, criminal, and administrative penalties, depending on the severity of the violation and the degree of intent to violate the law that enforcement entities are able to demonstrate.
70 These penalties can include any or all of the following:
» Immediate loss of office;71
» Prohibition from seeking elected office in the future;72 » Fines of up to $10,000 or more depending on the
circumstances;73 and
» Jail time of up to six months.74
Effect on Agency and Those Affected by
Agency’s Decision
When a disqualified official participates in a decision, a court can void the decision.
75 This can have serious
consequences for those affected by the decision as well as the public agency itself. If someone is encouraging an official to participate in spite of a disqualifying interest, consider pointing out the costs that would occur if the agency’s decision has to be undone—not to mention the
legal consequences for the official.

T ypically it is wise to err on the side of caution when there is a question regarding the appropriateness of an official’s participation in a matter. When in doubt, sit a decision out.

FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

See the following resources:
» The FPPC has produced “Recognizing Conflicts
of Interest: A Guide to the Conflict of Interest
Rules of the Political Reform Act” (2015),
available at www.fppc.ca.gov/ content/ dam/
fppc/NS-Documents/LegalDiv/Conflicts%20
of%20Interest/Conflicts-Guide-August-2015-
Jan-2016-Edits.pdf.
» “Using Public Office to Promote One’s Business
Interests,” available at www.ca-ilg.org/
publicoffice.
» Conflicts of Interest (2010). Explains California’s
conflict-of-interest laws available at http:/ / ag.ca.
gov/ publications/ coi.pdf.

For specific questions, please contact the Fair
Political Practices Commission or agency counsel.

ATTACHMENT A
20 | Understanding the Basics of Public Service Ethics Laws | PERSONAL FINANCIAL GAIN LAWS Interests in Agency
Contracts Barred

BASIC RULES
California law strictly forbids public officials from having an economic interest in their agencies’ contracts. In
essence, this is a prohibition against self-dealing. Now codified in section 1090 of the Government Code, this
particular law has been traced back to the earliest days of California’s statehood—to 1851.
76 This prohibition applies to elected and appointed officials as well as public agency employees and consultants.
77 This means that, if an official has an interest in a contract being contemplated by their agency, the agency may not
enter into the contract. If a staff member has an interest in the contract, the staff member may not participate
in any way in the contract negotiations or in any part of the development of the contract. Contracts are broadly
defined and include employment and a variety of other
relationships, including independent contractors.
78 Key things to keep in mind include the following.
» Making a Contract. The prohibition applies to
preliminary discussions, negotiations, planning and
solicitation of bids, as well as voting on the contract itself. This means the affected official can’t be involved in those as well.
» Disqualification Doesn’t Fix the Problem. When the
prohibition applies, the agency may not enter into the
contract in question. Members of the governing board
of a local agency (including a board of supervisors,
board of directors, city council or school board
members) are deemed to have made any contract
executed by the board, or any person or agency under
its jurisdiction, even if officials disqualify themselves from participating in the contract.
» Financial Interest. A “financial interest” in a contract includes a direct or indirect financial interest. A
direct financial interest is present when the official
is the party contracting with the agency. An indirect
financial interest involves an official who has a financial relationship with the contracting party or will receive some benefit from the making of the contract with the
contracting party. For example, the Attorney General
has concluded that a trustee of a community college
district cannot become employed in any capacity by
the district because the trustee would have a financial interest in the employment contract. It does not
matter if the official’s financial interest is positively or negatively affected. This provision covers financial relationships that go beyond the official’s immediate
family.

Officials will sometimes hear their agency counsel refer to this issue as a “section 1090 problem,” in reference to the Government Code section containing this prohibition.

These restrictions on contracts are in addition to the
restrictions of the Political Reform Act.

A key question to ask oneself in evaluating an agency’s contracts is: “will this contract affect my economic
interests in any way?” If the answer is “yes,” speak with agency counsel immediately.

A key question to ask in evaluating an
agency’s contracts is: “will this contract affect
my economic interests in any way?” If the
answer is “yes,” speak with agency counsel
immediately.

ATTACHMENT A
Institute for Local Government | 21

FPPC JURISDICTION OVER
SECTION 1090 QUESTIONS
The Legislature empowered the FPPC in 2013 to
enforce the provisions of section 1090 through either
administrative proceedings similar to those it uses for violations of the Political Reform Act or civil actions imposing fines. Prior to commencing such an action,
however, the FPPC must obtain permission from the
district attorney of the county in which the alleged
violation occurred, and the FPPC may not issue opinions related to past conduct. Further, before providing advice, the FPPC must send a copy of the request for advice to the Attorney General and the local district attorney.
79 The FPPC has developed a six-step analysis to determine whether a violation of section 1090 might occur based on the facts and circumstances presented to the FPPC prior to the action being taken. Those steps are as follows:

Step 1:

Is the public official in question subject t
o the
provisions of section 1090?
Step 2:

Does the decision at is
sue involve a contract?
Step 3:

Is the official making or par
ticipating in
making a contract?
Step 4:

Does the official ha
ve a financial interest
in the contract?
Step 5:

Does either a r
emote interest or a
noninterest exception apply?
Step 6:

Does the “Rule of Nec
essity” apply?

WHAT IS THE THEORY OF NOT ALLOWING
DISQUALIFICATION?
When the prohibition against interests in
contracts under section 1090 applies, the agency
may not enter into the contract, even if the
official with the interest recuses or disqualifies
him- or herself. Why? The theory seems to be
decision-makers may be favorably influenced
to award a contract that benefits a colleague—
perhaps with the expectation the favor may
be returned in the future. The courts have
made clear that the law will assume that undue
influence was exerted, and that the risk to the
public from self-dealing by public officials is too
great to allow anything other than a bright-line,
absolute prohibition. The absolute prohibition
guards against such a tendency toward what
might be described as “you-scratch-my-back-I’ll-
scratch-yours” dynamics within the agency.

ATTACHMENT A
22 | Understanding the Basics of Public Service Ethics Laws | PERSONAL FINANCIAL GAIN LAWS

EXCEPTIONS TO RULES
There are limited exceptions to the general prohibition against interests in contracts.

Non-Interest Exception
Some potential interests in a contract are so small
California law classifies them as “non-interests” in a
contract. One is when an official receives public services provided by the official’s agency on the same terms
that the services are provided to the general public. For example, a member of a water district board may receive water service. In such cases, the official and the official’s agency may participate in the contract. California law
provides a full list of exceptions.
80 Remote Interest Exception
A local agency may enter into a contract when an official has a “remote” interest so long as the official does not attempt to influence another member of the board or
council.
81 Government Code section 1091 lists more than a
dozen types of remote interests, including:
» Being an employee of the contracting party, if the
contracting party has ten or more employees, the
employee began his or her employment at least three
years prior to initially assuming office, and certain other requirements are met;
82 or
» Being a supplier of goods or services to the party
contracting with the agency, when those goods or
services have been supplied to the contracting party
by the public official for at least five years prior to assuming office.
83 Moreover, in 2015, the Legislature passed Senate Bill 704 which added a remote interest exception stating that an official is not financially interested in a contract if he or she is an owner or partner of a firm serving on an advisory board to the contracting agency and the owner or partner recuses himself or herself from reviewing a project that results from a contract between the firm and agency.
84 If the decision-maker qualifies as having a remote
interest, the agency must then take these steps to
stay on the right side of the law:
» The board or council member must disclose the
financial interest to the board or council, and disqualify himself or herself from participating in all aspects of the decision;
» The disclosure must be noted in the official records of the board or council; and
» The board or council, after such disclosure, must
approve, ratify or authorize the contract by a good faith vote of the remaining qualified members of the board
or council.
85 It is important to note that this exception applies only to members of multi-member bodies (not to individual
decision-makers and employees).
86 ATTACHMENT A
Institute for Local Government | 23

LIMITED RULE OF NECESSITY
Even if there is not an exception from the prohibition, the agency may still enter into a contract if the rule of necessity applies.
87 In general, this allows an agency to
acquire an essential supply or service. The rule also allows a public official to carry out essential duties of his or her office where he or she is the only one who may legally act.

Consult with agency counsel whether the intricacies of
this rule may apply in any given situation.

T ypes of Ethics Laws

SPECIAL RULE FOR SCHOOL DISTRICT
BOARDS
California’s Education Code specifically allows
school board members to vote on collective
bargaining agreements and personnel matters
that affect a class of employees to which a
relative belongs.
88 Whether this rule also applies
to domestic partners is not clear under the
statute.

FOR MORE INFORMATION
See the following resources:
» “How Y our Agency Counsel Should Advise Y ou
When Agency Contracts Represent a Conflict of
Interest,” available at www.ca-ilg.org/ coi.
» “Let’s Make a Deal: Securing Goods and
Services For Y our Agency,” available at
www.ca-ilg.org/ procurement.

For specific questions, please contact
agency counsel.

PENALTIES
The penalties for violating the prohibition against interests in contracts are severe.

Criminal Penalties
Willful violations are a felony and may be punished by
fines of up to $1,000, imprisonment, and being disqualified from ever holding public office again.
91 Effect on Contract
The contract also is “void,” which means the local agency does not have to pay for goods or services received under the contract.
92 The agency may also seek repayment of
amounts already paid.93

FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

T ypes of Ethics Laws

GETTING ADVICE AND STAYING OUT OF

TROUBLE ON CONTRACT ISSUES
As with issues under the Political Reform Act,
advice of counsel does not provide a defense or
immunity in a criminal prosecution relating to
unlawful interests in contracts.
89 As discussed above, the FPPC now has authority
to issue advice and opinions on questions
involving contracts under section 1090.

The Attorney General will also provide such
advice, but only certain kinds of officials
are entitled to request an Attorney General
opinion.
90 In addition, the process can take
months.

ATTACHMENT A
24 | Understanding the Basics of Public Service Ethics Laws | PERSONAL FINANCIAL GAIN LAWS Employment-Related
Restrictions

BASIC RULES
Another kind of “personal financial gain” law prohibits elected officials and top-level managers from trading on the relationships developed in public service for their own benefit.

For example, elected officials and chief executives who leave government service must not represent people
for pay before their former agencies for one year after leaving their agency.
94 This is known as a “revolving door”
restriction.

In addition, under California’s conflict of interest
disqualification rules, a public official may not make
or influence agency decisions when the interests of a
prospective employer are at stake.
95 The situation arises
when an official is negotiating or has “any arrangement” concerning prospective employment with someone with
business before the agency.

FOR MORE INFORMATION
On employment restrictions, see “Revolving
Door Restrictions for Local Officials,” available at
www.ca-ilg.org/ revolvingdoor.

For specific questions, please contact the Fair Political Practices Commission or agency counsel.

WHEN AN EMPLOYEE RUNS FOR A SEAT

ON THE GOVERNING BOARD
California law says that, with a few exceptions,
local agency employees must resign their
employment before taking a seat on the governing
board of their local agency.
96 However, running
for an office is not prohibited while employed by a
local agency.

This restriction applies to cities, counties,
special districts, and other public agencies and
corporations.
97 There are parallel restrictions for employees who
run for school boards
98 and community college
district governing boards.99 All of the sections note
that, if an employee refuses to resign, his or her
position will automatically terminate upon being
sworn into office on the governing board.
100
These restrictions prevent the dual role conflicts
associated with being both in the role of employee
and employer.
101

PENALTIES
These employment-related restrictions are part of the
Political Reform Act. As discussed above, violations of the Act are punishable by a variety of civil, criminal and administrative penalties, depending on the severity of the violation and the degree of intent to violate the law that enforcement entities are able to demonstrate.
102
These penalties can include any or all of the following:
» Immediate loss of office;103
» Prohibition from seeking elected office in the future;104 » Fines of up to $10,000 or more depending on the
circumstances;105 and
» Jail time of up to six months.106

FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

ATTACHMENT A
Institute for Local Government | 25
Endnotes and Additional
Information
Note: The California Codes are accessible at http:/ /leginfo. legislature.ca.gov/. Fair Political Practices Commission regulations are accessible atwww.fppc.ca.gov/the-law/
fppc-regulations/ regulations-index.html. A source for case law information is www.findlaw.com/ cacases/ (requires
registration).
1 Cal. P enal Code §§ 7 (definition number 6), 68(a).
2 See
Cal. Penal Code §§ 68(a), 86.
3 Id
.; See also People v. Anderson, 75 Cal. App. 365, 242 P.2d 906 (1925).
4 See
18 U.S.C. § 201.
5 See
Cal. Penal Code § 518.
6 In r
e Shepard, 161 Cal. 171 (1911) (in the context of removal- from- office proceedings for misconduct).
7 Cal. P
enal Code § 74.
8 See gener
ally Cal. Penal Code § 68(a). See also Cal. Elect. Code § 20 (making those convicted of making or receiving a bribe ineligible for public office).
9 See
Cal. Penal Code § 85.
10 Cal. P
enal Code § 521.
11 Cal. P
enal Code § 19.
12 Cal. Go
v’t Code §§ 3060-3074.
13 Cal. P
enal Code § 74.
14 See Cal. Gov’t Code § 995.8. See also Los Angeles Police Protective League v. City of Los Angeles, 27 Cal. App. 4th 168, 32 Cal. Rptr. 2d 574 (1994) (finding city was not required to provide the defense of police officers accused of vandalism and conspiracy to commit vandalism).
15 See Cal. Gov’t Code § 995.2(a)(2) (public agency may refuse defense of civil action if, among other reasons, the agency finds the official acted because of “actual fraud, corruption or actual malice.”) See
also Cal. Gov’t Code § 822.2 (immunity from liability
for misrepresentation does not apply in instances of corruption). 16 See Cal. Gov’t Code § 818.
17 Calif
ornia Rules of Professional Conduct for Lawyers, Rule
3-600(A); Ward v. Superior Court, 70 Cal. App. 3d 23, 138 Cal. Rptr. 532 (1977) (county counsel’s client is county, not assessor in his individual capacity).
18 18 U.S.

C. § 666.
19 See
18 U.S.C. §§ 666 (specifying maximum 10-year prison term and fine “under this title”), 3571 (general fine for violating federal criminal laws).
20 2
6 U.S.C. § 7201.
21 Id
.
22 2
6 U.S.C. § 7206(1).
23 U.S. v
. Gaytan, 342 F.3d 1010 (9th Cir. 2003).
24 18 U.S.

C. §§ 1341 (mail fraud), 1343 (wire fraud), 1346 (honest services).
25 U.S. v
. Sawyer, 239 F.3d 31, 39 (1st Cir. 2001) (finding sufficient evidence of guilt apart from proof of violation of state law). 26 U.S. v. Lopez-Lukis, 102 F.3d 1164, 1169 (11th Cir. 1997) (noting that effort to improperly control composition of decision- making body constituted an effort to deprive public of honest services); McNally v. U.S., 483 U.S. 350, 362-63 (1987) (Justice Stevens, dissenting). 27 See Skilling v
. U.S., 130 S.Ct. 2896, 2931(2010) (holding that
in order to avoid unconstitutional vagueness, 18 USC § 1346 only criminalizes bribes and kick-back schemes).
28 18 U.S.

C. §§ 1341 (“. . . shall be fined under this title or imprisoned not more than 20 years, or both.”), 1343 (“shall be fined under this title or imprisoned not more than 20 years, or both.”). 29 See
Cal. Gov’t Code §§ 87100-87105.
30 2 Cal. C
ode Regs. § 18707(a)(1)(C).
31 2 Cal. C
ode Regs. § 18700(d).
32 Cal. Go
v’t Code § 87300.
33 2 Cal. C
ode Regs. § 18229.
34 Cal. Go
v’t Code §§ 82030, 87103(c); 2 Cal. Code Regs. §§ 18700, 18700.1.
35 Cal. Go
v’t Code § 87103(c). See also Larsen Advice Letter, No. A-82- 192 (1982).
36 2 Cal. C
ode Regs. § 18229 (referring to Cal. Gov’t Code § 82029 defining “immediate family”).
37 2 Cal. C
ode Regs. § 18700.
38 Cal. Go
v’t Code § 87103(b); 2 Cal. Code Regs. § 18700(c)(6)(B). 39 2 Cal. C
ode Regs. § 18229.
40 See
Cal. Gov’t Code §§ 82033, 87103(b).
41 2 Cal. C
ode Regs. § 18229.
42 Cal. Go
v’t Code §§ 82034, 87103(a); 2 Cal. Code Regs. § 18700(c) (6)(A).
43 Cal. Go
v’t Code § 87103(d); 2 Cal. Code Regs. § 18700(c)(6)(D). 44 2 Cal. C ode Regs. §§ 18700(c)(6)(D), 18700.2(b).
45 Cal. Go
v’t Code § 82033 (pro rata interest, if own 10 percent
interest or greater).
46 Cal. Go
v’t Code § 82030(b)(8), (10).
47 Cal. Go
v’t Code§ § 82028, 87103(e); 2 Cal. Code Regs. §§
18940(c), 18940.2(a)..
48 Cal. Go
v’t Code § 87103(e); 2 Cal. Code Regs. §§ 18940(c),
18940.2(a).
49 Cal. Go
v’t Code § 89503(f).

ATTACHMENT A
26 | Understanding the Basics of Public Service Ethics Laws | PERSONAL FINANCIAL GAIN LAWS 50 See gener ally Cal. Gov’t Code § 87103. See also 2 Cal. Code Regs. § 418700(c)(6)(C), (E).
51 See
Cal. Gov’t Code § 1098(a).
52 Id
.
53 See
Cal. Gov’t Code § 1098(b)
54 See gener
ally, 2 Cal. Code Regs. § 18702.2.
55 2 Cal. C
ode Regs. § 18702.2(a)(5).
56 2 Cal. C
ode Regs. § 18703.
57 2 Cal. C
ode Regs. § 18703(b),(c).
58 See
2 Cal. Code Regs. § 18707.
59 2 Cal. C
ode Regs. §18707(a)(1)(A).
60 2 Cal. C
ode Regs. §18707(a)(3)(C).
61 2 Cal. C
ode Regs. § 18704(d)(2)(A).
62 2 Cal. C
ode Regs. § 18704(d)(2)(B).
63 2 Cal. C
ode Regs. § 18229.
64 2 Cal. C
ode Regs. § 18704(d)(2)(C).
65 See
2 Cal. Code Regs. § 18707(a)(2). See also Hamilton v. Town of Los Gatos, 213 Cal. App. 3d 1050, 261 Cal. Rptr. 888 (1989). 66 See
Cal. Gov’t Code § 36810 (for general law cities). See also Cal.

Civ. Code § 12; Cal. Civ. Proc. Code § 15.
67 See
Cal. Gov’t Code § 25005; Cal. Educ. Code §§ 35164 (K-12 districts), 72000(d)(3) (community college districts).
68 2 Cal. C
ode Regs. § 18707(a)(1)(C); Farwell v. Town of Los Gatos, 222 Cal. App. 3d 711, 271 Cal. Rptr. 825 (1990) (subsequently ordered not published). See also 62 Cal. Op. Att’y Gen. 698, 700 (1979).
69 Farwell v. Town of Los Gatos, 222 Cal. App. 3d 711, 271 Cal. Rptr. 825 (1990) (subsequently ordered not published). See also 62 Cal. Op. Att’y Gen. 698, 700 (1979).
70 See gener
ally Cal. Gov’t Code §§ 91000-14.
71 See
Cal. Gov’t Code § 1770(h) (providing a vacancy occurs upon conviction of a felony or of any offense involving a violation of official duties).
72 See
Cal. Gov’t Code § 91002 (providing no person convicted of a misdemeanor under the Political Reform Act shall be a candidate for any elective office or act as a lobbyist for a period of four years following the date of the conviction).
73 Cal. Go
v’t Code § 91000(b). See also Cal. Gov’t Code § 83116(c) (providing that the FPPC may impose administrative penalties of up to $5,000 per violation of the Political Reform Act). 74 See
Cal. Penal Code § 19 (providing misdemeanors are punishable by imprisonment in county jail up to six months, a fine not exceeding $1,000, or both).
75 See
Cal. Gov’t Code § 91003(b).
76 Calif
ornia Attorney General, Conflicts of Interest, 55 (2010), available at http:/ / ag.ca.gov/ publications/ coi.pdf. 77 Id .
78 See Calif
ornia Housing Finance Agency v. Hanover/California
Management and Accounting Center, Inc. (2007) 148 Cal.App.4th 682.
79 Cal. Go
v’t Code § 1097.1.
80 See
Cal. Gov’t Code § 1091.5.
81 See
Cal. Gov’t Code § 1091(a), (c).
82 See
Cal. Gov’t Code § 1091(b)(2).
83 See
Cal. Gov’t Code § 1091(b)(8).
84 20
15 Cal. Stat. ch. 495, § 1 (amending Cal. Gov’t Code § 1091). 85 See
Cal. Gov’t. Code § 1091.
86 Calif
ornia Attorney General, Conflicts of Interest, 67(2010), available at http:/ / ag.ca.gov/ publications/ coi.pdf. 87 See
70 Cal. Op. Att’y Gen. 45 (1987).
88 See
Cal. Educ. Code § 35107(e).
89 P
eople v. Chacon, 40 Cal. 4th 558, 53 Cal. Rptr. 3d 876 (2007). 90 See
Cal. Gov’t Code § 12519.
91 See
Cal. Gov’t Code § 1097.
92 T
homson v. Call, 38 Cal. 3d 633, 214 Cal. Rptr. 139 (1985). 93 See
Cal. Gov’t Code § 1092.
94 Cal. Go
v’t Code § 87406.3; 2 Cal. Code Regs. § 18746.3.
95 Cal. Go
v’t Code § 87407.
96 Cal. Go
v’t Code § 53227(a).
97 Cal. Go
v’t Code § 53227.2(a).
98 Cal. E
duc. Code § 35107(b)(1).
99 Cal. E
duc. Code § 72103(b)(1).
100
Cal. Go
v’t Code § 53227(a); Cal. Educ. Code §§ 35107(b)(1),
72103(b)(1).
101
Bd. of R
etirement of Kern County Employees’ Retirement Ass’n v.

Bellino, 126 Cal. App. 4th 781, 24 Cal. Rptr. 3d 384 (2005). 102
See gener
ally Cal. Gov’t Code §§ 91000-14.
103
See
Cal. Gov’t Code § 1770(h) (providing a vacancy occurs upon conviction of a felony or of any offense involving a violation of official duties).
104
See
Cal. Gov’t Code § 91002 (providing no person convicted of a misdemeanor under the Political Reform Act shall be a candidate for any elective office or act as a lobbyist for a period of four years following the date of the conviction).
105
Cal. Go
v’t Code § 91000(b). See also Cal. Gov’t Code § 83116(c) (providing that the FPPC may impose administrative penalties of up to $5,000 per violation of the Political Reform Act). 106
See
Cal. Penal Code § 19 (providing misdemeanors are punishable by imprisonment in county jail up to six months, a fine not exceeding $1,000, or both).

ATTACHMENT A
Institute for Local Government | 27
CHAPTER 3:

Perk Issues,
Including Compensation,
Use of Public Resources,
and Gift Laws

ATTACHMENT A
28 | Understanding the Basics of Public Service Ethics Laws | PERK ISSUES, INCLUDING COMPENSATION, USE OF PUBLIC RESOURCES, AND GIFT LAWS Chapter 3: Perk Issues, Including Compensation, Use of Public Resources, and Gift Laws C

ONTENTS
Compensation Issues .................................................................................................................................................... 29 Basic Rules

.............................................................................................................................................................. 29 Counties

.................................................................................................................................................................. 29 Special Districts

.................................................................................................................................................... 29 Cities

......................................................................................................................................................................... 31 Charter Cities

................................................................................................................................................... 31 General Law Cities
.......................................................................................................................................... 31 L
ocal Agency Chief Executives and Staff

.........................................................................................................32 Special Issue: Speaking and Other Fees

............................................................................................................33 Basic No-Honoraria Rule
..............................................................................................................................33 Ex
ceptions to No-Honoraria Rules

..............................................................................................................33 Penalties

...................................................................................................................................................................33 Reimbursement of Expenses

....................................................................................................................................... 34 Basic Rules

.............................................................................................................................................................. 34 When May Expenses Be Reimbursed?

...................................................................................................... 34 Process Requirements
................................................................................................................................... 34 Amounts

........................................................................................................................................................... 34 Penalties

...................................................................................................................................................................35 California Law Penalties
................................................................................................................................35 F
ederal Law Penalties
.....................................................................................................................................35 R
estrictions on Use of Public Resources
....................................................................................................................36 Basic Rules

.....................................................................................36 No Use of Public Resources on Ballot Measure Related Activities

.......................................................36 Prohibition Against Mass Mailings at Public Expense

............................................................................36 Penalties

...................................................................................................................................................................37 Gifts to Public Officials

..................................................................................................................................................38 Basic Rules

.........................................................................38 Exceptions/Gifts Subject to Special Rules

........................................................................................................39 What to Do About Unwanted Gifts?

................................................................................................................40 Penalties

................................................................................................................................................................... 41 California Law Penalties
................................................................................................................................. 41 F
ederal Law Penalties
..................................................................................................................................... 41 Inc
ome T ax Violations

........................................................................................................................................... 41 Use of Campaign Funds

................................................................................................................................................ 42 Basic Rule

................................................................................................................................................................ 42 Penalties

ATTACHMENT A
Institute for Local Government | 29
Compensation Issues

BASIC RULES
T ypically there is a legal limit on public official
compensation levels, either in state or local statutes.

Public officials, particularly elected ones, may only
receive such compensation that the law allows.
1 Any extra
compensation must be refunded.2 Moreover, as protectors of the public purse, courts generally take a strict approach to public official compensation limits.
3 COUNTIES
County boards of supervisors set their salaries;
supervisors’ salaries are subject to referendum.
5 SPECIAL DISTRICTS
California law sets the salaries for members of special district governing boards—typically in the law that creates the particular kind of special district.
6 Salaries usually are
tied to the days a public official spends participating in meetings or other district-related work, with a maximum number of compensated days per month. The chart on the
next page contains examples from some of the numerous
types of special districts throughout the state.

WITH MONEY COMES EDUCATION
If a local agency provides any type of compensation
or payment of expenses to members of a legislative
body, then all of the members must have two hours
of ethics training within one year of entering public
service. Subsequent trainings must occur every two
years after that.
4 For more information on these requirements,
see www.ca-ilg.org/ AB1234compliance.

ATTACHMENT A
30 | Understanding the Basics of Public Service Ethics Laws | PERK ISSUES, INCLUDING COMPENSATION, USE OF PUBLIC RESOURCES, AND GIFT LAWS Special Districts
Type of District Per Day/Meeting Maximum Maximums
Airport districts $100 for attending each board meeting Not to exceed four meetings in a calendar month7
Cemetery districts $100 for attending each board meeting Not to exceed four meetings in a calendar month8
Community Services districts $100 per day Not to exceed six days of compensated service per month9
Fire Protection districts $100 for attending each board meeting Not to exceed four meetings in a calendar month 10 Harbor districts No per day salary $600 per month11
Hospital districts $100 for attending each board meeting Not to exceed five meetings in a calendar month12 Park and Recreation districts $100 for attending each board meeting $500 per month13 Sanitation districts $100 per day for board meetings or service provided at the request of the
board
Not to exceed six days per month14
Utility districts $100 per day $600 per month15
Vector Control districts T rustees serve without compensation T rustees serve without compensation 16 Irrigation Districts
Irrigation districts of less than 500,000
acres
$100 per day Not to exceed six days of compensated
service17
Irrigation districts of less than 500,000
acres that produce or deliver electricity
$100 per day OR $600 per month An annual cap of $15,00018 Irrigation districts of 500,000
acres or more
No per day salary Salary to be fixed by ordinance and subject to referendum but cannot exceed the salary
of a member of the Imperial County Board of
Supervisors19

ATTACHMENT A
Institute for Local Government | 31
Water Districts
Type of District Per Day Maximum Maximums
Water district directors (as defined) $100 per day Not to exceed 10 days of compensated service per month20
California water district officials (as
defined)
$100 per day No maximum21
County water district directors (as defined) $100 per day Not to exceed 6 days of compensated service per month22
Contra Costa County Water District
directors (as defined)
$100 per day Not to exceed 10 days of compensated service per month23
Municipal water district directors (as
defined)
$100 per day Not to exceed 6 days of compensated service per month24
What kinds of meetings and days of work may a
district official be compensated for? T ypically:
» A meeting of any “legislative body” as defined by
California’s open meeting laws;
» A meeting of an advisory body; and
» Conference attendance or educational activities,
including ethics training.25
Agencies may compensate officials for attendance at other events as specified in a written policy adopted in a public meeting.
26 Note that these parameters don’t apply when
the district does not pay compensation based on number
of days doing district business, but instead pays a more salary-like form of compensation.
27 CITIES
Charter Cities
For charter cities, elected official compensation is a matter of local concern which may be addressed in the city’s
charter.
28 General Law Cities
Broadly speaking in general law cities, city council
members’ baseline compensation is set by ordinance;
such compensation is tied to parameters established in
California law in the 1980s.
29 The starting points are:30
General Law Cities
City Size by Population Baseline Per Month Salary
Up to and Including 35,000 $300
Over 35,000 Up to and
Including 50,000 $400
Over 50,000 Up to and
Including 75,000 $500
Over 75,000 Up to and
Including 150,000 $600
Over 150,000 Up to and
Including 250,000 $800
Over 250,000 Population $1000
General law cities may increase these amounts by
up to five percent per year from the date of any prior
adjustments.
31 When a city council votes to increase
compensation, the increase takes effect in the future—not during the deciding council members’ current terms.
32 Elected mayors may receive additional compensation.33 These amounts compensate city council members for
their service on the council, including any commission, committee, board, authority, or similar body on which

ATTACHMENT A
32 | Understanding the Basics of Public Service Ethics Laws | PERK ISSUES, INCLUDING COMPENSATION, USE OF PUBLIC RESOURCES, AND GIFT LAWS the city council member serves, unless California law
authorizes additional compensation.34 If California law provides for additional council member compensation
for serving on a commission—but that statute does not
specify an amount of compensation—the compensation is
$150 per month.
35 DISCLOSURE REQUIREMENTS WHEN

MAKING COMPENSATED APPOINTMENTS
From time to time, a decision-making body will
be asked to appoint one or more of its members
to certain positions. If that appointment involves
additional compensation, the agency must make a
special disclosure.
36 The disclosure is on a form provided by the Fair
Political Practices Commission and must be posted
on the agency’s website.
37 LOCAL AGENCY CHIEF EXECUTIVES

AND STAFF
Governing bodies must approve all contracts with local
agency chief executives (as defined) in open session,
which must be reflected in the minutes.
38 In addition,
salaries, salary schedules and fringe benefits must be
approved at a regular (as opposed to a special) meeting of the body.
39 Senate Bill 1436, signed into law on August
22, 2016, also requires a governing body to orally report a summary of its recommendation for a final action
regarding local agency executive compensation during the open meeting in which that final action is to be taken and prior to the body actually taking that final action.
40 Copies of contracts are public documents that must be made available on request.
41 Moreover, local agencies must
report the annual compensation of its elected officials, officers and employees to the State Controller and, if
the agency maintains one, post such information on the
agency’s website.
42 The California Constitution provides that “[a] local government body may not grant extra compensation or
extra allowance to a public officer, public employee, or contractor after service has been rendered or a contract has been into and performed in whole or in part, or pay a claim under an agreement made without authority of
law.”
43 Thus, even if a public employee’s compensation is
later deemed to be inadequate, it is not legal for a local agency to compensate the employee over and above the
amount fixed by contract or law.

Beginning in 2012, California law prohibits local agencies 44 from approving contracts for chief executives or
department heads (as defined45) that contain automatic
renewal clauses that provide for automatic compensation adjustments that exceed the cost of living.
46 Contracts must also comply with California law
restrictions on the amount of severance an agency pays if it becomes necessary to terminate a contract with a local agency employee.
47 Copies of severance agreements are
public documents.48
If an employee is subsequently convicted of abuse of
position (as defined
49), the employee must reimburse:
• 1) any severance payments paid,50 and
• 2) any paid leave provided pending charges.51

FOR MORE INFORMATION
On executive compensation issues, see
www.ca-ilg.org/ post/ executive-compensation-issues.

For specific questions, please contact agency counsel.

ATTACHMENT A
Institute for Local Government | 33
SPECIAL ISSUE: SPEAKING AND

OTHER FEES
Basic No-Honoraria Rule
California law also regulates the degree to which public officials may receive payments for giving a speech, writing an article or attending a public or private conference, convention, meeting, social event, meal or similar
gathering.
52 No local elected office holder, candidate
for local elected office, or designated employee may
accept such payments—which are known as honoraria.
53 The notion is such communications are part of a public official’s service.

If one receives an honorarium from someone who is
unaware of the rules, there is a 30-day time limit for
returning it.
54 Exceptions to No-Honoraria Rules
Some gestures in connection with speaking or writing
engagements are allowed. These include:
» Payments Voluntarily Made to Charitable and Similar
Organizations. An organization may recognize a public
official’s speech, article or meeting attendance by
making a direct contribution to a bona fide charitable, educational, civic, religious, or similar tax-exempt
nonprofit organization.
55 A public official may not make
such donations a condition for the speech, article or
meeting attendance.
56 In addition, the official may
not claim the donation as a deduction for income tax
purposes.
57 Nor may the donation have a reasonably
foreseeable financial effect on the public official or
on any member of the official’s immediate family.
58 The official may not be identified to the nonprofit
organization in connection with the donation.
59 » Payments Deposited in Local Agency General Fund.

An honorarium given to an official that is unused may
be deposited into the local agency’s general fund within 30 days of receipt, so long as it is not claimed by an
official as a deduction from income for income tax
purposes.
60 » Income from Bona Fide Occupation. An official may be paid income for personal services if the services
are provided in connection with a bona fide business,
trade, or profession (such as teaching, practicing law, medicine, insurance, real estate, banking, or building
contracting) and the services are routinely provided
in connection with the trade, business or profession.
61 This exception does not apply, however, when the
main activity of the business or profession is making
speeches.
62 » Some Gestures in Connection with a Speech or Panel Discussion. An official may accept certain gestures
when the official gives a speech, participates in a panel or seminar, or provides a similar service. These are
exempt from the honoraria ban and are not considered
“gifts” by the Political Reform Act. These include free admission to the event, refreshments and similar non-
cash nominal benefits received at the event, necessary
lodging and subsistence provided directly in connection with the speech, panel, seminar, or service, and
transportation (within California) to the event.
63 PENALTIES
The restrictions against accepting fees are part of
the Political Reform Act. Violations of these laws are
punishable by a variety of civil, criminal and administrative penalties, depending on the severity of the violation and the degree of intent to violate the law that enforcement entities are able to demonstrate.
64 These penalties can include any or all of the following:
» Immediate loss of office;65
» Prohibition from seeking elected office in the future;66 » Fines of up to $10,000 or more depending on the
circumstances;67 and
» Jail time of up to six months.68

FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

ATTACHMENT A
34 | Understanding the Basics of Public Service Ethics Laws | PERK ISSUES, INCLUDING COMPENSATION, USE OF PUBLIC RESOURCES, AND GIFT LAWS Reimbursement of Expenses

BASIC RULES
California law contains certain requirements and
restrictions on local agency practices relating to
reimbursing local elected and appointed officials’
expenses.

When May Expenses Be Reimbursed?
The core test on whether an expense is reimbursable is
whether the expense was “actual and necessary” in the
official’s performance of official duties.
69 Local agencies
must adopt expense reimbursement policies that specify
which kinds of activities are reimbursable for decision- making body members.
70 Many also have policies that
govern employee reimbursements. Such policies are an
opportunity for a local agency to make findings on why
reimbursable activities are necessary to the individual’s performance of their duties.
71 Of course, if one has already received a cash advance or other form of payment for an expense, one may not
request reimbursement. Double-charging a public agency
for expenses misappropriates public resources and is a
crime.
72 Process Requirements
For decision-making body member reimbursements, local
agencies must:
» Use expense report forms;73
» Identify a “reasonable time” within which these forms must be submitted;74 and
» Require that all expenses be documented with
receipts.
75 Those requesting reimbursement must show their request falls within the agency’s parameters for use of public
resources.
76 Many local agencies have also adopted similar
policies for employee reimbursements.

All expense reimbursement requests and supporting
documentation are public records.77
Amounts
Local reimbursement policies may specify what
constitutes reasonable rates for travel, meals, lodging and other expenses. For decision-making body
reimbursements, if a local policy does not specify
reimbursement rates, then the reimbursable rates default to Internal Revenue Service guidelines.
78 If a public official wants to seek reimbursement for levels of expenses not otherwise authorized under the agency’s reimbursement policy, then the official may seek prior
approval for such reimbursement from the governing body (before incurring the expense).
79 Officials who spend more than allowed under their
agencies’ reimbursement policies have the option of
simply paying the extra costs themselves.
80 California law requirements relating to expense
reimbursement policies and restrictions on reimbursement rates only apply to reimbursements of members of a
legislative body.
81 Although charter cities may not be
subject to this requirement given their home rule authority, many charter cities have such policies as a matter of good practice.
82 Again, many local agencies have adopted policies that govern reimbursements for staff as well as elected and
appointed officials. Another option is to have the policies address expenses other than those are, strictly speaking, “reimbursed” (for example, those expenses that are paid by the agency in the first instance).

FOR MORE INFORMATION
See the following resources:
» “Buying Meals for Others on the Public’s Dime,”
available at www.ca-ilg.org/ dime.
» “Expense Reimbursement Frequently Asked
Questions,” available at
www.ca-ilg.org/ExpenseReimbursementFAQs.
» Sample reimbursement policies available at
www.ca-ilg.org/SampleReimbursementPolicies.

For specific questions, please contact the Fair
Political Practices Commission or agency counsel.

ATTACHMENT A
Institute for Local Government | 35

PENALTIES
California Law Penalties
Penalties for misuse of public resources or falsifying
expense reports in violation of expense reporting policies include:
» Loss of reimbursement privileges;83
» Restitution to the local agency;84
» Civil penalties of up to $1,000 per day and three times the value of the resource used;85 and
» Criminal prosecution and a lifetime bar from public
office.86
At some point, personal use of public resources becomes embezzlement—a form of theft.
87 Embezzlement may constitute “willful misconduct” which warrants the removal from office of a public officer, or it may be prosecuted as a felony violation. A public officer convicted of embezzlement is guilty of a felony punishable by imprisonment; in addition, that person is ineligible thereafter to hold public office within California.
88 Federal Law Penalties
Federal prosecutors have been known to treat the receipt of illegitimate expense reimbursements or advances as
income to the official. Because the official has not typically reported these payments as such on the official’s tax
returns, the official then becomes subject to an action for income tax evasion.

The Internal Revenue Code is notoriously complex and its penalty sections are no exception. The general penalty for willful income tax evasion is a fine of up to $100,000 and up to five years in prison, or both. Those convicted are also responsible for paying the costs of prosecution.
89 Failure to
report information to the tax authorities is punishable by fines of up to $25,000 and/ or a year in federal prison, plus the costs of prosecution.
90 If the postal service was used in any way, such use can also become the basis for a charge of mail fraud.
91 Mail
fraud is punishable by up to five years in federal prison per violation and/ or a fine of the greater of 1) twice the gain to the violator or 2) $250,000 per violation.
92 If the program has any degree of federal funding,
the federal criminal laws against corruption and
embezzlement will also apply.
93 FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

ATTACHMENT A
36 | Understanding the Basics of Public Service Ethics Laws | PERK ISSUES, INCLUDING COMPENSATION, USE OF PUBLIC RESOURCES, AND GIFT LAWS Restrictions on Use of Public
Resources

BASIC RULES
No Personal or Political Use of Public Resources
Under California law, using public resources for either personal or political purposes is illegal.
94 “Public resources”
include such things as:
» Money (for example, charges made on an agency
credit card or account);95
» Staff time;
» Equipment (for example, machinery, vehicles,
technology, tools, telephones, furniture and
computers); and
» Supplies (for example, items one would otherwise
purchase at office supply or hardware stores).
“Use” means the use of public resources that is substantial enough to result in a gain in advantage for the user
and a loss to the local agency that can be estimated
as a monetary value.
96 Using a public agency vehicle
for personal errands is an example, as is using office
equipment and supplies for one’s political campaign,
business or family purposes (for example, the office
photocopier).

There are very narrow exceptions for “incidental and
minimal” use of resources. The purpose of these
exceptions appears to be more to prevent traps for the
unwary; they do not constitute an affirmative authorization for personal use of public resources. An “occasional
telephone call” is an example of an incidental and minimal use of public resources.
97 In addition, subsequent reimbursement or payment for resources misused is not a defense.
98 No Use of Public Resources on Ballot Measure Related Activities
Local agencies may take positions on ballot measures, as long as they do so in an open meeting where all points of view can be heard.
99 They generally may not, however, use
public resources to engage in campaign- type advocacy
with respect to the agency’s position. Materials that urge voters to either “vote yes” or “vote no” on a measure
constitute campaign advocacy,
100 so are materials whose
style, tone and timing indicate that their purpose is
advocacy as opposed to informational.
101

FOR MORE INFORMATION
On ballot measure activities, see
www.ca-ilg.org/ballot-measure-activities.

Prohibition Against Mass Mailings at Public Expense
The law reflects the notion it is unfair for public officials to use public resources to enhance their visibility and name identification with potential voters. For this reason, California law forbids sending mass mailings at public
expense.
102 The FPPC has defined “mass mailings” as
sending more than 200 substantially similar pieces that contain the name, office or pictures of elected officials except as part of a standard letterhead using the official’s name and office.
103
The rules on what constitute a mass mailing are quite
complex. Make sure to consult with agency counsel
whenever sending out materials that contain elected
officials’ names, offices or pictures (for example,
newsletters). Also, there are some exceptions to the
prohibition (for example, legal notices and directories).

FOR MORE INFORMATION
On mass mailings, see the following resources:
» “Career-Saving Tips on Mass Mailings,” available
at www.ca-ilg.org/ massmailing.
» The Fair Political Practices Commission fact
sheet on prohibited mass mailings available
at www.fppc.ca.gov/learn/ public-officials-
and-employees-rules-/ communications-
sent-using-public-funds/ campaign-related-
communications.html.

ATTACHMENT A
Institute for Local Government | 37

PENALTIES
Public officials face both criminal and civil penalties for using public resources for personal or political benefit.104 Criminal penalties include:
» T wo- to four-years in state prison;105 and
» Permanent disqualification from public office.106
Civil penalties include fines of up to:
» $1,000 for each day the violation occurs;
» Three times the value of the resource used;107 and
» Possible reimbursement for the costs of any litigation initiated by private individuals, including reasonable
attorney’s fees.108
For specific questions, please contact the Fair Political Practices Commission or agency counsel.

Additionally, the FPPC may impose an administrative
fine of up to $5,000 per violation.109
Misuse of public resources is also punishable under
laws prohibiting misappropriation of public resources
and embezzlement.
110
Both intentional and negligent violations of the law are punishable.
111

FOR MORE INFORMATION
On penalties for ethics law violations, see
www.ca-ilg.org/ consequences.

ETHICS CODES VERSUS LOCAL

CONFLICT OF INTEREST CODES
The Political Reform Act requires local agencies to
adopt local conflict of interest codes.112
These codes supplement state law, by specifying
which positions in the agency are subject to which
ethics laws.

For more information, see “About Local
Conflict of Interest Codes” (see http:/ /www.
ca-ilg.org/local- conflict-of-interest-codes)
and the FPPC’s materials on adopting local
conflict of interest codes (see www.fppc.
ca.gov/index. php?id=228).

ATTACHMENT A
38 | Understanding the Basics of Public Service Ethics Laws | PERK ISSUES, INCLUDING COMPENSATION, USE OF PUBLIC RESOURCES, AND GIFT LAWS Gifts to Public Officials

BASIC RULES
Receiving gifts can present a host of issues for public officials. Of course, making demands for gifts in exchange for official action violates California and federal laws prohibiting bribery and extortion.
113 Such demands also
deprive the public of its right to honest services from public officials.
114
Gifts that are not requested present other issues.

California law puts an annual limit on the aggregate value of gifts a public official can receive from a single source; gifts over a certain amount also must be reported on a
public official’s Statement of Economic Interests.

Generally speaking, California public officials must:
» Report gifts worth $50 or more on their Statement of Economic Interests.115 Gifts from a single source must
be added up over the course of a calendar year. An
official’s reporting obligation is triggered when the
combined value of a series of gestures from a single
gift-giver reaches $50 or more.
» Not receive gifts that exceed $460 (2015-16) from
a single source per calendar year.116 This limit can be exceeded by accepting a single large gesture or a series of gestures over the course of a calendar year from the same gift-giver that total more than $460 (2015-16).
117
» Having accepted gifts may keep a public official from participating in the decision-making process. If a
public official accepts gestures with a value of more
than $460 (2015-16) from a single gift- giver in the
twelve months preceding the official’s involvement in a decision affecting that gift giver, the official may have to disqualify himself from participating in that decision- making process.
118
More detail on these rules is available at www.ca-ilg. org/ GiftCenter. These rules apply to elected officials, top level managers and others who are covered in the agency’s local conflict of interest code or make governmental decisions. 119
Putting aside what the rules allow, public officials are well-advised to look beyond what the law allows in
any situation involving a nice gesture. This includes
considering how residents will view a public official’s actions.

COMPLIANCE STRATEGY:

Questions for Public Officials to Ask About Nice
Gestures

One way to analyze one’s likely obligations under
California’s gift rules is to ask:

1. Did I or my family receive something of value?

2. What’s its value?

3. Who gave it to me?

4. Did I do something in exchange for what I
received?

5. What kind of gift is it and do special rules apply
as a result?

6. Which of the permitted courses of action do I
want to take with respect to the gift?
Explanations of each of questions are available at
www.ca-ilg.org/GiftCenter.

Unless one of the exceptions applies
120 (see the chart on
the following page), a public official receives a gift for purposes of California’s gift rules any time the official receives anything that:
» Has a monetary value;
» Provides the official with a personal benefit, and
» For which the official doesn’t pay full value.121

ATTACHMENT A
Institute for Local Government | 39

EXCEPTIONS/GIFTS SUBJECT TO SPECIAL RULES

Certain kinds of gestures either are exempt from California’s gift rules or are subject to special treatment.

More information on each of these is available at www.ca-ilg.org/GiftCenter.

Special Rules Relating to Who Receives the Gift
(Question 1 at www.ca-ilg.org/GiftCenter)
� Gifts to family members122
Gifts Subject to Special Valuation Rules
(Question 2 at www.ca-ilg.org/GiftCenter)
� Air tr ansportation 123
� Nonpr ofit or political fundraiser tickets 124
� Other tick ets and passes125
� In vitation only events 126
Special Rules for Certain Sources of Gifts
(Question 3 at www.ca-ilg.org/GiftCenter)
� Someone who is an int ermediary for another127
� Gr oup gifts 128
� F amily gifts 129
� Gestur es received in the context of certain relationships:
• Bona fide dating relationships130
• Existing personal or business relationship131
• Long term relationships132
� A cts of neighborliness 133
� Ag ency gifts 134
• Gifts from public agencies to agency officials135
• Agency provided tickets or passes136
• Agency raffles or gift exchanges137
Gestures that Are Part of An Exchange
(Question 4 at www.ca-ilg.org/GiftCenter)
� Gif ts paid for (reimbursed) in full 138 or in part139 � Gif ts exchanged on occasions like birthdays or holidays 140 � T rading off who pays for meals or activities (“reciprocal exchanges”)141
� Emplo yee gift exchanges 142
� Bar ter transactions 143
� P resentations, event attendance and articles written 144 � C eremonial functions 145
� Emplo yment-related gestures 146
� Busines s gestures 147
� Gestur es in connection with volunteer nonprofit service 148 � P rizes in bona fide competitions 149
Additional Special Rules Based on Type of Gift
(Question 5 at www.ca-ilg.org/GiftCenter)
� Home hospitalit y150
� Inf ormational material 151
� Inheritanc es152
� L eave credits 153
� Disast er relief payments 154
� P ersonalized plaques or trophies 155
� W edding gifts 156
� Tr a ve l 157 and free transportation from transportation companies158 � T ickets /free admissions 159
� P ayments to worthy causes made at an official’s request (behest
ed payments)160
� W edding guest benefits 161
� Ber eavement offerings 162
� A cts of compassion 163
� Gif t made because of existing personal or business relationship unrelated to the official’s position where there is no evidence the official makes decisions that affect the gift giver.164 Gifts can be:
» T angible or intangible
» Real property or personal property
» Goods or services165
Under some circumstances, gifts that an official’s family receives are considered gifts to the official for purposes of California’s gift rules.
166

ATTACHMENT A
40 | Understanding the Basics of Public Service Ethics Laws | PERK ISSUES, INCLUDING COMPENSATION, USE OF PUBLIC RESOURCES, AND GIFT LAWS

TRAVEL PASSES FROM TRANSPORTATION

COMPANIES
When an official is offered free or discounted
transportation, the official is well-advised to ask, “Who is offering the travel?” Different rules may apply to gifts of travel depending on who is the source of the gift.

If the gift of travel is from a transportation carrier, a public official should be especially careful. California law forbids elected and appointed public officials
from accepting free passes or discounted travel from
transportation companies.
167
This prohibition applies to any kind of travel — personal, business or on behalf of one’s public agency — to any
location, near or far. The rule applies both to elected and appointed public officers but not to employees.
168
However, sometimes the rule doesn’t apply. The chief
exception is when the free or discounted travel is
available to the general public and is given for reasons unrelated to the person’s status as a public official.
169
For example, the prohibition against accepting free
travel from transportation companies did not apply
when:
� The elected official received a first-class airline
upgrade because he was going on his honeymoon
and the upgrade was given to all honeymooners.
170
� An elected official received free airline travel
because he was the spouse of a flight attendant.171
� An elected official exchanged frequent flier miles for an airline ticket because the earning of frequent-flier miles is done without regard to the person’s status as
an officeholder.
172

WHAT TO DO ABOUT
UNWANTED GIFTS?
Some officials have a no-gifts policy or may be concerned about the public perceptions associated with receiving
gifts from certain sources (or certain kinds of gifts).

They may also just not want the gift.

Under such circumstances, an official has the
following options:
» Decline the gift in the first place or return the gift unused to the gift giver within 30 days of receiving
it.173 Documenting one’s actions (for example, with a
thanks-but-no-thanks note), can be helpful.
» If the item is a pass or ticket, simply not use the pass or ticket and not let anyone else do so.174
» Donate the gift, unused, within thirty days of receipt to a 501(c)(3) tax-exempt nonprofit organization or to a
government agency, without claiming a tax deduction
for the donation. (Note the donation must be made
within 30 days of the gift’s receipt and the gift must
be unused. Note too that for gifts to nonprofits, the
nonprofit must be one which neither the official nor a
family member holds a position.)
175
» Reimburse the donor for the fair market value of
the gift within 30 days of receiving it.176 Keeping
documentation (for example, a cancelled check) of the
reimbursement is a good practice.

For gifts that are over the annual limit or would put the official over the annual limit for that gift giver, some officials also “buy down” the value of a gift (or the most recent gift in a series) to keep the value of the gift(s) from that gift giver below the annual limit.

The official then reports the fact that they received
gift(s), what the gift(s) was/were, and the source of the gift(s) on their Statement of Economic Interests. Again, when paying down the gift, it is best to do so by check and then make sure the donor cashes the check.

FOR MORE INFORMATION
On gift laws, see the following resources:
» The Institute Gift Resource Center,
see www.ca-ilg. org/GiftCenter.
» The Fair Political Practices Commission fact
sheet titled “Limitations and Restrictions on
Gifts, Honoraria, T ravel and Loans,” available
at www.fppc.ca.gov/ content/ dam/fppc/NS-
Documents/TAD/Public%20Officials%20
and%20Employees/LocalGiftFactSheet.pdf.

For specific questions, please contact the Fair
Political Practices Commission or agency counsel.

ATTACHMENT A
Institute for Local Government | 41

PENALTIES
California Law Penalties
These gift limit and reporting requirements are part of the Political Reform Act. Violations of these laws are
punishable by a variety of civil, criminal and administrative penalties, depending on the severity of the violation and the degree of intent to violate the law that enforcement entities are able to demonstrate.
177
These penalties can include any or all of the following:
» Immediate loss of office;178
» Prohibition from seeking elected office in the future;179 » Fines of up to $10,000 or more depending on the
circumstances;180 and
» Jail time of up to six months.181
Federal Law Penalties
Honest Services Fraud
Under federal wire and mail fraud laws, the public has the right to the “honest services” of public officials.
182
The basic concept is that a public official owes a duty of loyalty and honesty to the public—similar to a trustee
or fiduciary.
183 That duty is violated when a public official
makes a decision that is not motivated by his or her
constituents’ interests but instead by his or her personal interests.
184 Specifically, honest services fraud refers to
actions that constitute bribery and kickback schemes.185 In one instance, federal authorities prosecuted a city
treasurer whose decisions to award contracts were
motivated in part by gifts.
186
The maximum penalty for being guilty of wire and/ or
mail fraud includes a jail term of up to 20 years and a $250,000 fine.
187
Extortion
A demand for gifts or other benefits in exchange for
official action could also constitute extortion. Extortion occurs when someone obtains money through threat of
harm or under color of official right.
188 T o be chargeable
as a federal offense, the act must affect interstate
commerce. The maximum penalty for extortion under
federal law is 20 years in prison and a $250,000 fine.
189
A person convicted of a felony involving extortion
is forever disqualified from seeking elected office in
California.
190

INCOME TAX VIOLATIONS
Income tax problems arise when officials receive money
and other kinds of valuable items and don’t report them on their income tax forms. Prosecutors don’t need to
show that the money or gifts were received in exchange
for improper purposes—only that they were not reported
on the official’s income tax form.

Income tax evasion carries with it a possible five-year prison term and a fine of up to $100,000.
191 In addition,
prosecutors can require the defendant to pay for the
costs of prosecution (in addition to one’s own costs
associated with defending against the prosecution).
192
The sometimes-related crime of filing a false tax return is punishable by a maximum three-year prison term
and a fine of up to $100,000 (along with the costs of
prosecution).
193

FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

ATTACHMENT A
42 | Understanding the Basics of Public Service Ethics Laws | PERK ISSUES, INCLUDING COMPENSATION, USE OF PUBLIC RESOURCES, AND GIFT LAWS Use of Campaign Funds

BASIC RULE
In general, money raised to support a person’s election to office may only be used for political, legislative, or governmental purposes. It’s not okay to spend these
monies is a way that confers a personal benefit on the
candidate.
194 Any expenditure that confers a substantial
personal benefit on an individual must be directly related to a political, legislative, or governmental purpose.
195 For
example, using campaign funds to repair your car so you can travel to and from campaign events confers a personal benefit and is not a proper expenditure of those funds.

FOR MORE INFORMATION
On the permissible use of campaign funds, see
Campaign Disclosure Manual 2: Information for
Local Candidates, Superior Court Judges, Their
Controlled Committees and Primarily Formed
Committees for Local Candidates, 2007, available
online at www.fppc.ca.gov.

For specific questions, please contact the Fair
Political Practices Commission or agency counsel.

PENALTIES
These restrictions are part of the Political Reform Act.

Violations of these laws are punishable by a variety of civil, criminal and administrative penalties, depending on the severity of the violation and the degree of intent to violate the law that enforcement entities are able to demonstrate.
196
These penalties can include any or all of the following:
» Immediate loss of office;197
» Prohibition from seeking elected office in the future;198 » Fines of up to $10,000 or more depending on the
circumstances;199 and
» Jail time of up to six months.200

FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

ATTACHMENT A
Institute for Local Government | 43
Endnotes and Additional
Information
Note: The California Codes are accessible at http:/ /leginfo. legislature.ca.gov/. Fair Political Practices Commission regulations are accessible atwww.fppc.ca.gov/the-law/
fppc-regulations/ regulations-index.html. A source for case law information is www.findlaw.com/ cacases/ (requires
registration).
1 F or example, the salary of council members of general law cities is controlled by Government Code section 36516(a), which permits a city council to establish by ordinance a salary up to a ceiling determined by the city’s population. The electorate may approve a higher salary. Cal. Gov’t Code § 36516(b). A council member appointed or elected to fill a vacancy is compensated in the same amount as his or her predecessor. A directly-elected mayor may receive additional compensation with the consent of the electorate or by ordinance of the city council. Cal. Gov’t Code § 36516.1.
2 C
ounty of San Diego v. Milotz, 46 Cal. 2d 761, 767, 300 P. 2d 1, 4 (1956) (action to recover fees from court reporter for faulty work).
3 Id
.
4 Cal. Go
v’t Code §§ 53234-35. See www.ca-ilg.org/
ab1234compliance.
5 Cal. C
onst. art. XI, § 1(b).
6 See, e.g.
, Cal. Pub. Res. Code § 5784.15(a), (b) (park and
recreation district board members may be compensated a
maximum of $100 per day for board meetings and $500 per month); Cal. Health & Safety Code § 6489 (sanitation district board members may receive $100 per day for board meetings or service rendered at request of board, not to exceed six days per month); Cal. Water Code §§ 20201, 20202 (water district officials—as defined—may, by ordinance, provide for compensation of $100 per day for each day’s attendance at board meetings or each day’s service rendered at the board’s request; not to exceed 10 days service/ meetings per month); Cal. Water Code §§ 34740-41 (California water districts must adopt bylaws fixing compensation paid to officers, but may not exceed $100 per day for attendance at board meetings and for each day’s service at the request of the board); Cal. Water Code § 30507 (county water district directors receive compensation not to exceed $100 per day for each day’s attendance at board meetings or each day’s service rendered at the board’s request but not to exceed six days service/ meetings per month); Cal. Water Code § 30507.1 (Contra Costa County Water District directors receive compensation not to exceed $100 per day for each day’s attendance at board meetings or each day’s service rendered at the board’s request but not to exceed 10 days service/ meetings per month); Cal. Water Code § 21166 (irrigation district directors in districts of less than 500,000 acres receive 1) compensation of up to $100 per day, not to exceed six days, 2) irrigation district directors in districts that produce or deliver electricity receive one of the following: up to $100 per day or $600 per month, with an annual cap of $15,000); Cal. Water Code § 22840 (irrigation districts of 500,000 acres or more receive a salary to be fixed by ordinance and subject to referendum but cannot exceed the salary of a member of the Imperial County Board of Supervisors); Cal. Water Code § 71255 (municipal water district directors receive compensation not to exceed $100 per day for each day’s attendance at board meetings or each day’s service rendered at the board’s request but not to exceed six days service/ meetings per month).
7 Cal. P
ub. Util. Code § 22407.
8 Cal. Health & Saf
ety Code § 9031(a).
9 Cal. Go
v’t Code § 61047(a).
10 Cal. Health & Saf
ety Code § 13857(a).
11 Cal. Harb . & Nav. Code § 6060.
12 Cal. Health & Saf
ety Code § 32103.
13 Cal. P
ub. Res. Code §§ 5784.15(a), (b).
14 Cal. Health & Saf
ety Code § 6489(a).
15 Cal. P
ub. Util. Code § 11908.1(a).
16 Cal. Health & Saf
ety Code § 2030(a).
17 Cal. W
ater Code § 21166.
18 Id
.
19 Cal. W
ater Code § 22840.
20 Cal. W
ater Code §§ 20201, 20202.
21 Cal. W
ater Code §§ 34740-41.
22 Cal. W
ater Code § 30507.
23 Cal. W
ater Code § 30507.1.
24 Cal. W
ater Code § 71255.
25 Cal. Go
v’t Code § 53232.1(a).
26 Cal. Go
v’t Code § 53232.1(b).
27 Cal. Go
v’t Code § 53232.1(c).
28 Cal. C
onst. art. XI, § 5(b)(4).
29 See
Cal. Gov’t Code § 36516.
30 See
Cal. Gov’t Code § 36516(a).
31 Cal. Go
v’t Code § 36516(a)(4).
32 See
Cal. Gov’t Code § 36516.5 (providing a change of
compensation does not apply during the same term but allowing adjustment when one or more members serving staggered terms begin new terms).
33 See
Cal. Gov’t Code § 36516.1.
34 See
Cal. Gov’t Code § 36516(c).
35 Id
.
36 2 Cal. C
ode Regs. § 18702.5(b)(3).

ATTACHMENT A
44 | Understanding the Basics of Public Service Ethics Laws | PERK ISSUES, INCLUDING COMPENSATION, USE OF PUBLIC RESOURCES, AND GIFT LAWS 37 Id . The form is called “Form 806.” More information regarding Form 806 is available from the Fair Political Practices Commission website at: http:/ /www.fppc.ca.gov/learn/ public- officials-and-employees-rules-/ agency-report-of-public-official- appointments-form-806.html.
38 Cal. Go
v’t Code § 53262 (a) (“All contracts of employment with a superintendent, deputy superintendent, assistant superintendent, associate superintendent, community college president,
community college vice president, community college deputy vice president, general manager, city manager, county administrator, or other similar chief administrative officer or chief executive officer of a local agency shall be ratified in an open session of the governing body which shall be reflected in the governing body’s minutes.”).
39 Cal. Go
v’t Code §54956(b) (“Notwithstanding any other law,
a legislative body shall not call a special meeting regarding the salaries, salary schedules, or compensation paid in the form of fringe benefits, of a local agency executive, as defined in subdivision (d) of Section 3511.1. However, this subdivision does not apply to a local agency calling a special meeting to discuss the local agency’s budget.”).
40 20
16 Cal. Stat. ch. 175, § 1 (amending Cal. Gov’t Code § 54953). 41 Cal. Go
v’t Code § 53262(b) (“Copies of any contracts of
employment, as well as copies of the settlement agreements, shall be available to the public upon request.”).
42 Cal. Go
v’t Code §§ 53891, 53892, 53908.
43 Cal. C
onst. art. XI, § 10(a).
44 Cal. Go
v’t Code § 3511.1(c) (defining local agency as “a county, city, whether general law or chartered, city and county, town, school district, municipal corporation, district, political subdivision, or any board, commission, or agency thereof, or other local public agency”).
45 Cal. Go
v’t Code § 3511.1(d) (defining “local agency executive” as “any person employed by a local agency who is not subject to the Meyers-Milias-Brown Act (Chapter 10 (commencing with Section 3500)), Chapter 5 (commencing with Section 45100) of Part 25 of Division 3 of Title 2 of the Education Code, or Chapter 4 (commencing with Section 88000) of Part 51 of Division 7 of Title 3 of the Education Code, and who meets either of the following requirements: (1) the person is the chief executive officer of the local agency, or (2) the person is the head of a department of a local agency).
46 Cal. Go
v’t Code § 3511.2 (“On or after January 1, 2012, any
contract executed or renewed between a local agency and a local agency executive shall not provide for the following: (a) An automatic renewal of a contract that provides for an automatic increase in the level of compensation that exceeds a cost-of-living adjustment....”).
47 Cal. Go
v’t Code § 3511.2 (“On or after January 1, 2012, any
contract executed or renewed between a local agency and a local agency executive shall not provide for the following:… (b) A maximum cash settlement that exceeds the amounts determined pursuant to Article 3.5 (commencing with Section 53260) of Chapter 2 of Part 1 of Division 2 of Title 5.”) See also Cal. Gov’t Code § 53260(a) (“All contracts of employment between an employee and a local agency employer shall include a provision that provides that regardless of the term of the contract, if the contract is terminated, the maximum cash settlement that an employee may receive shall be an amount equal to the monthly salary of the employee multiplied by the number of months left on the unexpired term of the contract…”).
48 Cal. Go v’t Code § 53262(b) (“Copies of any contracts of employment, as well as copies of the settlement agreements, shall be available to the public upon request.”).
49 Cal. Go
v’t Code § 53243.4 (“For purposes of this article, ‘abuse of office or position’ means either of the following:
(a) An abuse of public authorit
y, including, but not limited to,
waste, fraud, and violation of the law under color of authority. (b
) A crime against public justice, including, but not limited to, a crime described in Title 5 (commencing with Section 67), Title 6 (commencing with Section 85), or Title 7 (commencing with Section 92) of Part 1 of the Penal Code.”).
50 Cal. Go
v’t Code §§ 53243.2 (“On or after January 1, 2012, any
contract of employment between an employee and a local agency employer shall include a provision which provides that, regardless of the term of the contract, if the contract is terminated, any cash settlement related to the termination that an employee may receive from the local agency shall be fully reimbursed to the local agency if the employee is convicted of a crime involving an abuse of his or her office or position.”), 53243.3 (“On or after January 1, 2012, if a local agency provides, in the absence of a contractual obligation, for any of the payments described in this article, then the employee or officer receiving any payments provided for those purposes shall fully reimburse the local agency that provided those payments in the event that the employee or officer is convicted of a crime involving the abuse of his or her office or position.”).
51 Cal. Go
v’t Code §§ 53243 (“On or after January 1, 2012, any
contract executed or renewed between a local agency and an officer or employee of a local agency that provides paid leave salary offered by the local agency to the officer or employee pending an investigation shall require that any salary provided for that purpose be fully reimbursed if the officer or employee is convicted of a crime involving an abuse of his or her office or position.”), 53243.3 (“On or after January 1, 2012, if a local agency provides, in the absence of a contractual obligation, for any of the payments described in this article, then the employee or officer receiving any payments provided for those purposes shall fully reimburse the local agency that provided those payments in the event that the employee or officer is convicted of a crime involving the abuse of his or her office or position.”). 52 See
Cal. Gov’t Code § 89501 (definition of honorarium).
53 See
Cal. Gov’t Code § 89502 (general prohibition).
54 See
Cal. Gov’t Code § 89501(b)(2).
55 See
2 Cal. Code Regs. §18932.5(a)(1) (direct charitable
contributions excluded from honorarium definition).
56 See
2 Cal. Code Regs. §18932.5(a)(2).
57 See
2 Cal. Code Regs. §18932.5(a)(3).
58 See
2 Cal. Code Regs. §18932.5(a)(4).
59 See
2 Cal. Code Regs. §18932.5(a)(5).
60 See
Cal. Gov’t Code § 89501(b)(2).
61 See
Cal. Gov’t Code § 89501(b)(1).
62 Id
.
63 2 Cal. C
ode Regs. § 18932.4(e).

ATTACHMENT A
Institute for Local Government | 45
64 See gener
ally Cal. Gov’t Code §§ 91000-14.
65 See
Cal. Gov’t Code § 1770(h) (providing a vacancy occurs upon conviction of a felony or of any offense involving a violation of official duties).
66 See
Cal. Gov’t Code § 91002 (providing no person convicted of a misdemeanor under the Political Reform Act shall be a candidate for any elective office or act as a lobbyist for a period of four years following the date of the conviction).
67 Cal. Go
v’t Code § 91000(b).
68 See
Cal. Penal Code § 19 (providing misdemeanors are punishable by imprisonment in county jail up to six months, a fine not exceeding $1,000, or both).
69 Cal. Go
v’t Code § 53232.2(a).
70 Cal. Go
v’t Code § 53232.2(b).
71 65 Cal. Op
. Att’y Gen. 516, 522 (1982) (citing Collins v. Riley, 24 Cal. 2d 912, 918, 152 P.2d 169 (1944) and determining that the expenses of a handicapped council member met this standard); 61 Cal. Op. Att’y Gen. 303 (1978) (citing Gibson v. Sacramento County, 37 Cal. App. 523, 174 P. 935 (1918)); Madden v. Riley, 53 Cal. App. 2d 814, 823, 128 P.2d 602, 607 (1942) (propriety of conference expenses for networking purposes).
72 See P
eople v. Bradley, 208 Cal. App. 4th 64 (2012), reh’g denied (2012), rev. denied (2012) (upholding the conviction of city manager and council member of misappropriating public funds Penal Code section 424-when they made charges on city credit card for expenses that they had also received cash advances for). 73 Cal. Go
v’t Code § 53232.3(a).
74 Cal. Go
v’t Code § 53232.3(c).
75 Id
.
76 Cal. Go
v’t Code § 53232.3(b).
77 Cal. Go
v’t Code § 53232.3(e).
78 Cal. Go
v’t Code § 53232.2(c).
79 Cal. Go
v’t Code § 53232.2(f).
80 Cal. Go
v’t Code § 53232.2(g).
81 See
Cal. Gov’t Code § 53232.2(b).
82 See
Cal. Const. art. XI, § 5. County of Sonoma v. Comm’n on State Mandates, 84 Cal. App. 4th 1264, 101 Cal. Rptr. 784 (2000). 83 Cal. Go
v’t Code § 53232.4(a).
84 Cal. Go
v’t Code § 53232.4(b).
85 Cal. Go
v’t Code § 53232.4(c). See also Cal. Gov’t Code § 8314. 86 Cal. Go
v’t Code § 53232.4(d). See Cal. Penal Code § 424. See also Cal. Elect. Code § 20 (making those convicted of embezzlement or theft of public money ineligible for public office). 87 Cal. P
enal Code § 504.
88 Cal. P
enal Code § 514. See also Cal. Elect. Code § 20 (making those convicted of embezzlement or theft of public money ineligible for public office).
89 See
26 U.S.C. § 7201.
90 See
26 U.S.C. § 7203.
91 See
generally 18 U.S.C. §§ 1341-46.
92 See
generally 18 U.S.C. § 3571(b), (d).
93 See, e.g
, 18 U.S.C. §§ 641 (crime of embezzlement against the
United States), 648 (misuse of public funds).
94 See
Cal. Penal Code § 424; Cal. Gov’t Code § 8314.
95 See
People v. Bradley, 208 Cal. App. 4th 64 (2012) (upholding the conviction of city manager and council member of
misappropriating public funds— Penal Code section 424— when they made personal charges on city credit card).
96 Cal. Go
v’t Code § 8314(b)(4).
97 Cal. Go
v’t Code § 8314(b)(1).
98 See P
eople v. Bradley, 208 Cal. App. 4th at 81-82 (holding
restitution was not a defense because misappropriation occurs as soon as credit card was use for personal purpose or unused cash advances were not promptly returned; this is particularly the case when restitution is prompted by a criminal investigation). 99 V
argas v. City of Salinas, 46 Cal. 4th 1, 35-37, 92 Cal. Rptr. 3d 286, (2009). See also Choice-in-Education League v. Los Angeles Unified School Dist., 17 Cal. App. 4th 415, 429-431, 21 Cal. Rptr. 3d 303 (1993) (school district did not illegally expend public funds by holding and broadcasting school board meeting at which the board took position opposing a statewide ballot initiative); League of Women Voters of California v. Countywide Criminal Justice Coordination Committee, 203 Cal. App. 3d 529, 560, 250 Cal. Rptr. 3d 161 (1988). See also Cal. Elect. Code § 9282.
100
Cal. Go
v’t Code § 54964(b)(3).
101
V
argas, 46 Cal. 4th at 40, citing Stanson v. Mott, 17 Cal. 3d 206, 130 Cal. Rptr. 697 (1976).
102
See
Cal. Gov’t Code § 89001.
103
See
2 Cal. Code Regs. § 18901.
104
See
Cal. Penal Code § 424; Cal. Gov’t Code § 8314.
105
Cal. P
enal Code § 424
106
See
Cal. Penal Code § 424. See also Cal. Elect. Code § 20 (making those convicted of embezzlement or theft of public money ineligible for public office).
107
Cal. Go
v’t Code § 8314(c)(1).
108
Cal. Go
v’t Code § 91012.
109
Cal. Go
v’t Code § 83116.

ATTACHMENT A
46 | Understanding the Basics of Public Service Ethics Laws | PERK ISSUES, INCLUDING COMPENSATION, USE OF PUBLIC RESOURCES, AND GIFT LAWS 110 Cal. P enal Code § 424 (“(a) Each officer of this state, or of any county, city, town, or district of this state, and every other person charged with the receipt, safekeeping, transfer, or disbursement of public moneys, who either:

1. Without authority of law, appropriates the same, or any portion thereof, to his or her own use, or to the use of another; or,

2. Loans the same or any portion thereof; makes any
profit out of, or uses the same for any purpose not
authorized by law . . .”).
111
Cal. Go
v’t Code § 8314(c)(1).
112
Cal. Go
v’t Code § 87300.
113
Cal. P
enal Code §§ 68(a), 518; 18 U.S.C. §§ 201, 872-880.
114
Under f
ederal wire and mail fraud laws, the public has the right to the “honest services” of public officials. 18 U.S.C. §§ 1341 (mail fraud), 1343 (wire fraud), 1346 (honest services). The basic concept is that a public official owes a duty of loyalty and honesty to the public—similar to a trustee or fiduciary. U.S. v. Sawyer, 239 F.3d 31, 39 (1st Cir. 2001) (finding sufficient evidence of guilt apart from proof of violation of state law). That duty is violated when a public official makes a decision that is not motivated by his or her constituents’ interests but instead by his or her personal interests. U.S. v. Lopez-Lukis, 102 F.3d 1164, 1169 (11th Cir. 1997) (noting that effort to improperly control composition of decision-making body constituted an effort to deprive public of honest services); McNally v. U.S., 483 U.S. 350 at 362-63 (Justice Stevens, dissenting).
115
Cal.

Gov’t Code § 87207(a)(1). For more information, see
http:/ /www.ca-ilg.org/StatementofEconomicInterests.
116
Cal. Go
v’t Code § 89503; 2 Cal. Code Regs. § 18940.2 (the FPPC adjusts the limit biennially).
117
If the limit is e
xceeded one has several options, any of which
must be exercised within 30 days of receiving the gift. One may return the gift unused to the donor, reimburse the donor for all or a portion of the value of the gift or donate the gift, without claiming a tax deduction, to a 501(c)(3) charitable organization or government agency. 2 Cal. Code Regs. §18941(c).
118
Cal. Go
v’t Code § 87103(e); 2 Cal. Code Regs. § 18700(c)(6)
(E). This is because public officials may not make, participate in making, or influence governmental decisions which affect their personal financial interests. Cal. Gov’t Code § 87100. The law makes a judgment that one is financially self-interested in a decision when one accepts gifts exceeding the $460 (2015-16) gift limit from someone affected by that decision. Cal. Gov’t Code § 89503; 2 Cal. Code Regs. § 18940.2(a).
119
2 Cal. C
ode Regs. §§ 18940(d), 18730(b)(8.1)(A) (application of the gift disclosure rules). See also 2 Cal. Code Regs. §§ 18701(a), 18730(b)(9) (application of the disqualification/ conflict of interest rules). See also 2 Cal. Code Regs. § 18940.1(b) (definition of “official”).
120
See gener
ally 2 Cal. Code Regs. § 18942 (list of exceptions in the regulations).
121
See gener
ally 2 Cal. Code Regs. § 18940(a).
122
2 Cal. C
ode Regs. § 18943.
123
2 Cal. C
ode Regs. § 18946.5.
124
2 Cal. C
ode Regs. § 18946.4.
125 2 Cal. C ode Regs. §18946.1.
126
2 Cal. C
ode Regs. §18946.2.
127
Cal. Go
v’t Code §§ 87210, 87313; 2 Cal. Code Regs. § 18945(b)
(the source of the payment is the source of the gift).
128
2 Cal. C
ode Regs. §18945.2.
129
2 Cal. C
ode Regs. § 18942(a)(3).
130
2 Cal. C
ode Regs. § 18942(a)(18)(A).
131
2 Cal. C
ode Regs. § 18942(a)(19).
132
2 Cal. C
ode Regs. § 18942(a)(17)(C).
133
2 Cal. C
ode Regs. § 18942(a)(17).
134
2 Cal. C
ode Regs. § 18944.
135
2 Cal. C
ode Regs. § 18944.3.
136
2 Cal. C
ode Regs. § 18944.1.
137
2 Cal. C
ode Regs. § 18944.2.
138
See
Cal. Gov’t Code § 82028(a).
139
2 Cal. C
ode Regs. § 18941(c)(3).
140
2 Cal. C
ode Regs. § 18942(a)(8)(A).
141
2 Cal. C
ode Regs. § 18942(a)(8)(B).
142
2 Cal. C
ode Regs. § 18944.2(d) (does not apply to tickets or
passes that come from someone outside the agency).
143
See
Cal. Gov’t Code § 82028(a).
144
Cal. Go
v’t Code §§ 89501, 89502.
145
2 Cal. C
ode Regs. §§ 18942(a)(13), 18942.3.
146
See
Cal. Gov’t Code §§ 82030, 82030.5, 87207.
147
See
Cal. Gov’t Code §§ 82005, 87207, 87209.
148
See
Cal. Gov’t Code § 82028(a); Institute for Local Government, Commitment to Nonprofit Causes and Public Service: Some Issues to Ponder, at 7 (2008). Available at www.ca-ilg.org/ document/ commitment-nonprofit-causes- and-public-service- some-issues-ponder.
149
2 Cal. C
ode Regs. § 18942(a)(14).
150
2 Cal. C
ode Regs. § 18942(a)(7).
151
2 Cal. C
ode Regs. §§ 18942(a)(1), 18942.1.
152
2 Cal. C
ode Regs. § 18942(a)(5).
153
2 Cal. C
ode Regs. § 18942(a)(9).
154
2 Cal. C
ode Regs. § 18942(a)(10).
155
2 Cal. C
ode Regs. § 18942(a)(6).
156
2 Cal. C
ode Regs. §§ 18946.3, 18942(b)(2).
157
2 Cal. C
ode Regs. §§ 18950-18950.3.

ATTACHMENT A
Institute for Local Government | 47
158 See Cal. Const. art. XII, § 7 (“A transportation company may not grant free passes or discounts to anyone holding an office in this state . . .”).
159
2 Cal. C
ode Regs. §§ 18492(a)(13), 18942.1(c), 18946.1, 18946.2, 18946.4.
160
See
Cal. Gov’t Code § 82015 (note the behested payment
reporting requirement also applies to candidates). For more information, see www.ca-ilg.org/BehestedPayments.
161
2 Cal. C
ode Regs. § 18942(a)(15).
162
2 Cal. C
ode Regs. § 18942(a)(16).
163
2 Cal. C
ode Regs. § 18942(a)(18)(B).
164
2 Cal. C
ode Regs. § 18942(a)(19).
165
2 Cal. C
ode Regs. § 18940(a).
166
See gener
ally 2 Cal. Code Regs. § 18943.
167
See
Cal. Const. art. XII, § 7 (“A transportation company may not grant free passes or discounts to anyone holding an office in this state . . .”).
168
See
3 Cal. Op. Att’y Gen. 318 (1944).
169
7 4 Cal. Op. Att’y Gen. 26 (1991).
170
Id
.
171
6 7 Cal. Op. Att’y Gen. 81 (1984).
172
80 Cal. Op
. Att’y Gen. 146 (1997).
173
2 Cal. C
ode Regs. § 18941(c)(1).
174
2 Cal. C
ode Regs. § 18946.1 (b)(3) (“A pass or ticket has no
reportable value unless it is ultimately used or transferred to another person.”).
175
2 Cal. C
ode Regs. § 18941(c)(2).
176
2 Cal. C
ode Regs. § 18941(c)(3).
177
See gener
ally Cal. Gov’t Code §§ 91000-14.
178
See
Cal. Gov’t Code § 1770(h) (providing a vacancy occurs upon conviction of a felony or of any offense involving a violation of official duties).
179
See
Cal. Gov’t Code § 91002 (providing no person convicted of a misdemeanor under the Political Reform Act shall be a candidate for any elective office or act as a lobbyist for a period of four years following the date of the conviction).
180
Cal. Go
v’t Code § 91000(b).
181
See
Cal. Penal Code § 19 (providing misdemeanors are punishable by imprisonment in county jail up to six months, a fine not exceeding $1,000, or both).
182
18 U.S.

C. §§ 1341 (mail fraud), 1343 (wire fraud), 1346 (honest services).
183
U.S. v
. Sawyer, 239 F.3d 31, 39 (1st Cir. 2001) (finding sufficient evidence of guilt apart from proof of violation of state law). 184
U.S. v
. Lopez-Lukis, 102 F.3d 1164, 1169 (11th Cir. 1997) (noting that effort to improperly control composition of decision- making body constituted an effort to deprive public of honest services); McNally v. U.S., 483 U.S. 350 at 362-63 (Justice Stevens, dissenting).
185
See
Skilling v. U.S., 130 S.Ct. 2896, 2931(2010) (holding that in order to avoid unconstitutional vagueness, 18 USC §1346, defining “scheme or artifice to defraud,” only criminalizes bribes and kick-back schemes).
186
U.S. v
. Kemp, 379 F.Supp. 2d 690, 697-98 (E.D. Penn. 2005).
187
18 U.S.

C. §§ 1341 (“…shall be fined under this title or imprisoned not more than 20 years, or both.”). 1343 (“shall be fined under this title or imprisoned not more than 20 years, or both.”). See generally 18 U.S.C. § 3571(b), (d).
188
18 U.S.

C. § 1951.
189
18 U.S.

C. § 1951(a). See generally 18 U.S.C. § 3571(b).
190
See
Cal. Elect. Code § 20 (making those convicted of a felony involving bribery, embezzlement, extortion or theft of public money ineligible for public office).
191
2 6 U.S.C. § 7201.
192
Id
.
193
2 6 U.S.C. § 7206(1).
194
See
Cal. Gov’t Code §§ 89510-22. Campaign funds include “any contributions, cash, cash equivalents, and other assets received or possessed” by a campaign committee. Cal. Gov’t Code § 89511(b)(1).
195
Cal. Go
v’t Code § 89512 (an expenditure of campaign funds must be reasonably related to a legislative or governmental purpose, unless the expenditure confers a substantial personal benefit, in which case such expenditures must be directly related to a political, legislative or governmental purpose). “Substantial personal benefit” means a campaign expenditure which results in a direct personal benefit with a value of more than $200. Cal.

Gov’t Code § 89511(b)(3).
196
See gener
ally Cal. Gov’t Code §§ 91000-14.
197
See
Cal. Gov’t Code § 1770(h) (providing a vacancy occurs upon conviction of a felony or of any offense involving a violation of official duties).
198
See
Cal. Gov’t Code § 91002 (providing no person convicted of a misdemeanor under the Political Reform Act shall be a candidate for any elective office or act as a lobbyist for a period of four years following the date of the conviction).
199
Cal. Go
v’t Code § 91000(b).
200
See
Cal. Penal Code § 19 (providing misdemeanors are punishable by imprisonment in county jail up to six months, a fine not exceeding $1,000, or both).

ATTACHMENT A
48 | Understanding the Basics of Public Service Ethics Laws | TRANSPARENCY LAWS Blank Page

ATTACHMENT A
Institute for Local Government | 49
CHAPTER 4:

T ransparency Laws

ATTACHMENT A
50 | Understanding the Basics of Public Service Ethics Laws | TRANSPARENCY LAWS Chapter 4: T ransparency Laws
C

ONTENTS
Economic Interest Disclosure ...................................................................................................................................... 51 Basic Rules

............................................................................................................................................................... 51 Penalties

.............................................................................................................................................................. 54 Penalties

...............................................................................................................................................................56 Penalties

...............................................................................57 Honest Services Fraud
....................................................................................................................................57 T
he Public’s Right to Access Records
........................................................................................................................ 58 Basic Rules

.............................................................................................................................................................. 58 Penalties

.............................................................................................................. 60 Basic Rules

.............................................................................................................................................................. 60 Good Ethics Equals Good Politics

....................................................................................................................... 61 T ypical Closed Session Issues
............................................................................................................................ 62 P
enalties

...................................................................................................................................................................63 Nullification of Decision ................................................................................................................................63 Criminal Sanctions
..........................................................................................................................................63 Other C
onsequences
......................................................................................................................................63 T
he Public’s Right to Participate in Meetings

.......................................................................................................... 64 Basic Rules

.............................................................................................................................................................. 64 Posting and Following the Agenda

.............................................................................................................. 64 The Public’s Right to Materials Not Included in the Agenda Packet

................................................... 64
Special Issues

........................................................................................... 64 Sign-In Must Be Voluntary............................................................................................................................64 The Public’s Right to be Heard.....................................................................................................................64 Penalties

.................................................................................................................................................................. 66 Nullification of Decision ............................................................................................................................... 66 Criminal Sanctions
......................................................................................................................................... 66 Other Measur
es

.............................................................................................................................................. 66 Potential Civil Rights Violations

.................................................................................................................. 66 Endnotes and Additional Information
........................................................................................................................67

ATTACHMENT A
Institute for Local Government | 51
Economic Interest Disclosure

BASIC RULES
There is an adage about one’s life being an open book.

Nowhere is this truer than for public officials and
their financial situations. When people become public
servants, the public gets to learn a great deal about their financial lives. California voters established some of these disclosure requirements when they approved the Political Reform Act (PRA) in 1974.
1 Those entering public service
sacrifice a degree of their privacy.

The disclosure requirements of the PRA apply to all
“designated employees” of an agency.2 “Designated
employees” is broadly defined to include local elected
officials (e.g., members of city councils, county boards of supervisors, and district boards), executive level agency employees (e.g., General Managers and Superintendents), and consultants and appointed members of councils,
commissions, boards, committees and other local
agency bodies with significant decision-making authority that exceeds a solely advisory function. “Designated
employees” also includes persons in staff positions
required to disclose their economic interests under
the agency’s local conflict of interest code because the position entails the making, or participation in the making, of decisions which may foreseeably have a material effect on any financial interest of the employee.

This disclosure is made on a form called a “Statement
of Economic Interests.” It may also be referred to by the acronym “SEI” or its number, “Form 700.” A web-based
version of the form is available from the Fair Political Practices Commission (FPPC) website: www.fppc.ca.gov.

Local agencies may adopt electronic filing procedures with FPPC oversight.
3 One’s local agency usually provides paper
copies of the form as well.

This form is filed upon assuming office, on an annual basis while in office and upon leaving office.
4 Local rules may
impose more stringent requirements.

The following kinds of economic interests must be
disclosed if they meet certain minimum thresholds:
» Sources of income;
» Interests in real property;
» Investments;
» Business positions; and
» Sources of gifts. See the table on the following page.

ETHICS CODES VERSUS LOCAL

CONFLICT OF INTEREST CODES
The PRA requires local agencies to adopt local
conflict of interest codes, which supplement
California law by specifying which positions in the
agency are subject to which ethics laws.
5 For more information, see “About Local Conflict of
Interest Codes” (available atwww.ca-ilg.org/ sites/
main/files/file-attachments/ about_local_conflict_
of_interest_codes.pdf) and FPPC materials on
adopting local conflict of interest codes (seewww.
fppc.ca.gov/learn/ rules-on-conflict-of-interest-
codes/local-government-agencies-adopting-
amending-coi.html).

ATTACHMENT A
52 | Understanding the Basics of Public Service Ethics Laws | TRANSPARENCY LAWS

TYPES OF ECONOMIC INTERESTS THAT MUST BE DISCLOSED
» Sources of Income. Disclosure is required for income of $500 or more provided or promised to an official from one source (including any income received from a business, nonprofit organization, government agency, or individual) for the previous calendar year (for annual disclosures) or the previous 12 months (for assuming office statements).
6 “Income” includes a community property interest in a spouse or domestic partner’s7 income.8 » Personal Finances. An official has an economic interest in that official’s expenses, income, assets or liabilities and those of his or her immediate family (spouse or domestic partner9 or dependent children).10 » Real Property. An interest in real property must be disclosed where the interest is worth $2,000 or more. The interest may be held by the official, the official’s spouse or domestic partner11 (even as separate property) or children, or anyone acting on their behalf. Real property interests can also be created through leaseholds, options and security or mortgage interests in property.
12 » Investments. Another disclosable interest is created when the official, the official’s spouse or domestic partner13 (even as separate property), or dependent children or anyone acting on their behalf, has an investment worth $2,000 or more in a business entity that has an interest in real property in the jurisdiction, or does business or plans to do business in the jurisdiction, or has done business within the jurisdiction at any time during the two years prior, even if the official does not receive income from the business. 14 » Busines s Employment or Management. If the official serves in a director, officer, partner, trustee, employee, or other management position in a business entity, an economic interest is created.15 Note that this does not apply to a member of the board of a nonprofit entity.16
» Related Businesses. The official must disclose an interest in a business that is the parent, subsidiary or is otherwise related to a business in which the official:
• Has a direct or indirect investment worth $2000
or more; or
• Is a director, officer, partner, trustee, employee, or manager.17 » Business-Owned Property. A direct or indirect ownership interest in a business entity or trust that owns real property is another disclosable interest.18
» Loans. Another type of potentially disclosable interest is created by the receipt of a loan, unless the loan is from a commercial lending Institution or indebtness created as part of a retail installment or credit card transaction, issued on the same terms as available to anyone in the public.19 » Gifts. Gifts from a single source must be totaled up over the course of a calendar year. An official’s reporting obligation is triggered when the combined value of gifts from one source totals $50 or more. 20 For more
information about gifts, please see Chapter 3, and www.ca-ilg.org/GiftCenter.23

ATTACHMENT A
Institute for Local Government | 53

PENALTIES
Economic interest disclosure requirements are part of
the PRA. Failure to report or incomplete reporting are
punishable by a variety of civil, criminal and administrative penalties depending on the severity of the violation and the degree of intent to violate the law that enforcement entities are able to demonstrate.
21 Penalties for violation of the PRA can include one or more of the following:
» Immediate loss of office;22
» Prohibition from seeking elected office in the future;23 » Fines of up to $10,000 or more depending on the
circumstances;24 and
» Jail time of up to six months.25
In addition to the above penalties, failure to file a
Statement of Economic Interests on time will result in
late fees of $10 per day, up to a maximum of $100.
26 FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

ATTACHMENT A
54 | Understanding the Basics of Public Service Ethics Laws | TRANSPARENCY LAWS Campaign Contribution
Disclosure

BASIC RULES
California has an extensive framework for transparency
with respect to campaign contributions.
27 The basic
reasoning behind these laws is that the public has a right to know who gives money and other forms of support to
candidates for public office. Another stated justification is that the prospect of public disclosure will discourage improper influences.
28 These transparency requirements apply not only
to candidates, but also to groups which organize
to participate in the election process (known as
“committees”).
29 T ransparency requirements also apply
to those who make large contributions, ten thousand
dollars ($10,000) or more in a calendar year, to influence elections.
30 Those who participate in campaigns to pass
or defeat ballot measures are also subject to these
requirements.
31 Cities and counties may have additional campaign
finance disclosure laws for candidates for offices within their jurisdiction or committees focused on local ballot measures.
32 Copies of these local ordinances must be filed
with the FPPC.33
In addition, certain categories of local officials are subject to restrictions on campaign contributions received from people with business pending before the agency. Chapter 5 (pages _-_) explains these restrictions.

Chapter 3 explains the restrictions on how campaign funds may be spent.

On campaign contribution disclosure, see the
following resources:
» The FPPC has extensive information to guide
candidates and ballot measure committees on
these requirements. Visit the FPPC website at
www.fppc.ca.gov or call the FPPC’s toll-free
number: 1-866-ASK-FPPC (1-866-275-3772).
» The Political Reform Division of the California
Secretary of State’s office issues identification
numbers to campaigns and committees, provides
technical assistance to filers, and maintains
disclosure reports for public access. Visit the
Secretary of State’s website at www.sos.ca.gov/ prd
or call 916-653-6224.
» For federal elections (Presidential, U.S. Senate,
House of Representatives), consult the Federal
Election Commission at 1-800-424-9530 or on the
web at www.fec.gov.

For specific questions, please contact the Fair Political Practices Commission.

FOR MORE INFORMATION

ATTACHMENT A
Institute for Local Government | 55

PENALTIES
The PRA includes campaign contribution disclosure
requirements. Violations of the PRA are punishable by
a variety of civil, criminal and administrative penalties, depending on the severity of the violation and the degree of intent to violate the law that enforcement entities are able to demonstrate.
34 These penalties can include any or all of the following:
» Immediate loss of office;35
» Prohibition from seeking elected office in the future;36 » Fines of up to $10,000 or more depending on the
circumstances;37 and
» Jail time of up to six months.38

FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

OTHER DISCLOSURE REQUIREMENTS
The California Public Records Act is the main
source of authority providing public access
to documents in the possession of public
agencies in California. There are specific
disclosure requirements that are useful to note
that are discussed in more detail online and in
other chapters of this guide:
» General gifts to public agencies must be
disclosed on a special form and posted on
the agency website. For more information,
see www.ca-ilg.org/GiftsQuestion3 and
www.fppc.ca.gov/learn/ public-officials-and-
employees-rules-/ gifts-and-honoraria.html.
» Gifts of event tickets to public agencies must
be disclosed on a special form and submitted
to the FPPC for posting on its website. For
more information, see www.ca-ilg. org/
GiftsQuestion3 and www.fppc.ca.gov/learn/
public-officials-and-employees-rules-/
reporting-ceremonial-role-events-and-ticket-
admission.html.
» Campaign contributions in excess of $250
received during the preceding 12 months
from any party or participant in a pending
permit or license application are discussed on
chapter 5.

There are of course other disclosure and
notice requirements that are not listed
here; these are just some that often raise
issues concerning public confidence and
ethics.

ATTACHMENT A
56 | Understanding the Basics of Public Service Ethics Laws | TRANSPARENCY LAWS Charitable Fundraising
Disclosure

BASIC RULES
A frequently overlooked disclosure obligation relates to an official or candidate’s charitable or other fundraising activities. This obligation is referred to as the “behested payments” requirement. The reasoning behind these laws
is that the public has a right to know who is contributing to an elected official’s favorite charities and other causes.

The disclosure requirement is triggered when:
» A person or entity donates $5,000 or more in a
calendar year;
» The donation is for a legislative, governmental or
charitable purpose; and
» The donation is made at the behest of the a public
official. This means the official or candidate (or their employee or agent):
• Has requested or suggested the donation;
• Controls or directs the donation; or
• Plays a cooperating, consulting, or coordinating role with respect to the donation.39
The report must contain the following information:
» The contributor’s name and address;
» The dollar amount or fair market value of the
contribution;
» The date or dates on which the contributions were
made;
» The name and address of the recipient of the
contribution;
» If goods or services were contributed, a description of those goods and services; and
» A description of the purpose or event for which the
contribution was used.40
The official must make this report once contributions
from a single donor (whether an individual or an
organization) have reached the $5,000 aggregate
threshold for any calendar year. Once this occurs,
all contributions the donor makes or made for the
calendar year must be disclosed within 30 days after:
1) the date the $5,000 threshold was reached, or 2)
the date the payment was made, whichever occurs
later.
41 Within 30 days of the donor reaching the $5,000
threshold, the elected official must file a report with his or her agency (typically through the agency’s filing officer)

42. The FPPC’s “Form 803 - Behested Payments Report”
should be used to make this disclosure.
43 What is a “legislative, governmental or charitable”
purpose? The law does not define these words,
but charitable causes typically involve Internal
Revenue Code section 501(c)(3) organizations. A
“governmental” cause might include such things as
fundraising for a new public library. The reference to
a “legislative” cause apparently has its roots in a 1996 FPPC advice letter which addressed a situation in
which a State Senator asked a private party to pay the
airfare and expenses for a witness to come testify at a legislative hearing.
44 Of course, when a public servant conditions his or her official actions on a contribution to a worthy cause it is criminal extortion under both state and federal law.
45 See discussion in the next section.

FOR MORE INFORMATION
On charitable fundraising, see the following resources:
» “Raising Funds for Favorite Causes,” available at
www.ca-ilg.org/fundraising.
» “Using Public Resources for Gifts and Charitable
Purposes,” available at www.ca-ilg.org/
PublicResourcesforGifts.
» “Commitment to Nonprofit Causes and Public
Service: Some Issues to Ponder,” available at www.
ca-ilg.org/ nonprofits.
» “Understanding the ‘Behested Payments’ Issue,”
available at www.ca-ilg.org/BehestedPayments.

For specific questions, contact the FPPC or
agency counsel.

ATTACHMENT A
Institute for Local Government | 57

PENALTIES
These disclosure requirements are part of the PRA. PRA
violations are punishable by a variety of civil, criminal and administrative penalties, depending on the severity of the violation and the degree of intent to violate the law that enforcement entities are able to demonstrate.
46 Penalties for Extortion under State and Federal Law
California Law
If an official demands, solicits, or otherwise compels a contribution to a charitable organization in exchange for performing an official act favorable to the person making the contribution, the official’s act of compelling the
contribution could be prosecuted as extortion. Extortion under color of official right is a misdemeanor under
California law.
47 Misdemeanors are punishable by up to
six months in county jail, a fine of up to $1,000, or both.48 Extortion can also be the basis for a grand jury to initiate removal-from-office proceedings for official misconduct. 49 Federal Law
If the official’s extortion affects interstate commerce, it is chargeable as a federal offense, which, under federal law, has a maximum penalty of 20 years in prison and a
$250,000 fine.
50 Honest Services Fraud
Under federal wire and mail fraud laws, the public has
the right to the “honest services” of public officials. 51 The basic concept is that a public official owes a duty of loyalty and honesty to the public—similar to that owed
by a trustee or fiduciary.
52 That duty is violated when a
public official makes a decision that is not motivated by his or her constituents’ interests but instead by his or her personal interests.
53 In one instance, federal authorities prosecuted a city treasurer whose decisions to award contracts were
motivated in part by whether the firm contributedto
political and charitable causes favored by the
treasurer.
54 The maximum penalty for wire and/ or mail fraud
includes a jail term of up to 20 years and a
$250,000 fine.
55 FOR MORE INFORMATION
On penalties for violations of ethics laws,
see www.ca-ilg.org/ consequences.

ATTACHMENT A
58 | Understanding the Basics of Public Service Ethics Laws | TRANSPARENCY LAWS The Public’s Right to
Access Records

BASIC RULES
There are two sets of laws and regulations that govern
public records in California. One set governs the public’s right to access public records.
56 The other set governs
which records an agency must retain and for how long.57 Pursuant to the California Public Records Act (“CPRA”), the public has the right to access materials that are
created in the course of conducting the people’s
business.
58 These materials include any writing prepared,
owned, used or retained by a public agency, with some
exceptions.
59 “Writings” include, among other things,
documents, computer data, e-mails, facsimiles and
photographs.
60 Public agency records are generally subject to public disclosure unless a specific exemption applies.
61 A few of
the exemptions worth noting are:
» The “pending litigation” exemption, which exempts
from disclosure documents prepared in support of
ongoing litigation (but for this protection, lawyers suing an agency could obtain all documents containing the
agency’s legal strategy just by asking for them).
62 » The “drafts” exemption, which exempts from disclosure preliminary drafts, notes or other interagency or
intra-agency memoranda not retained in the agency’s
ordinary course of business. The public agency also
must be able to demonstrate that the public’s interest
in nondisclosure clearly outweighs the public’s interest in disclosure.
63 » The “personal privacy” exemption, which exempts from disclosure personnel files, medical records or other
such files, the disclosure of which would constitute an unwarranted invasion of personal privacy.
64 Despite these exceptions, the safe assumption is that most materials used, prepared, or simply maintained by a public agency—including e-mails—are records subject to
disclosure.

A person may make a request for records in any manner,
whether orally in person or over the phone, or in a writing mailed, emailed, faxed or personally delivered to the
agency.
65 There are two ways for a person to gain access
to requested records, and the requester may choose either or both: 1) inspecting the records at the local agency’s office during regular business hours; and 2) receiving
copies of the requested records.
66 A request for records must be specific and clear enough for the local agency to be able to determine what
records the requester seeks.
67 However, if the request is
overly broad or unclear, the local agency must assist the requester with revising the request so that it seeks more easily identifiable records; for instance, the local agency can describe the kind of records it possesses that may be relevant given the purpose of the request and how those records are maintained.
68 Within ten calendar days of receiving a CPRA request, a local agency must respond to the requester notifying them of whether there are records responsive to the request
that the agency will disclose.
69 If the agency is withholding
any records pursuant to one or more applicable
exemptions, the response must be in writing and identify the exemption(s) invoked to justify the nondisclosure.
70 Sometimes records will contain both nonexempt and
exempt information, and the agency must redact a writing to conceal the portions that are exempt before disclosing the writing.
71 Although the CPRA sets a specific deadline
for responding to a records request, the CPRA simply states that the nonexempt records must be actually disclosed to the requester “promptly.”
72 RECORDS RETENTION
Counties and cities generally must retain
public records for a minimum of two years,
but for special districts, the duration of time
varies based on the type of records sought
to be destroyed.
73 Most local agencies adopt
record retention schedules as part of their
records management system. These define
which records must be retained and for how
long. The California Secretary of State provides
local agencies with record management
guidelines.
74 A safe assumption is that most materials
involved in one’s public service are public
records subject to disclosure.

ATTACHMENT A
Institute for Local Government | 59
On Public Records, see the following resources:
» The People’s Business: A Guide to the California
Public Records Act, 2008. Available at the League
of California Cities website at www.cacities.org/
PRAGuide or in hardcopy form from www.cacities.
org/ publications or by calling (916) 658-8217.
» The People’s Business December 2014 Guide
Supplement, 2014. Available at the League of
California Cities website at www.cacities.org/
Member-Engagement/Professional-Departments/
City-Attorneys/Publications.
» The People’s Business: 2014 Chart of Frequently
Requested Information and Records, 2014. Available
at the League of California Cities website at www.
cacities.org/Member-Engagement/Professional-
Departments/City-Attorneys/Publications.
» Summary of the California Public Records Act,
2004. Available on the California Attorney
General’s website at http:/ / ag.ca.gov/ publications/
summary_public_records_act.pdf.

For specific questions, please contact agency counsel.

PENALTIES
Anyone can sue the agency to enforce the right to access public records which are subject to disclosure.75 If the agency loses, it must pay costs and attorney’s fees.76

FOR MORE INFORMATION
On penalties for violations of ethics laws,
see www.ca-ilg.org/ consequences.

FOR MORE INFORMATION

ATTACHMENT A
60 | Understanding the Basics of Public Service Ethics Laws | TRANSPARENCY LAWS Conducting the Public’s
Business in Public

BASIC RULES
The underlying philosophy of California’s open
government laws is that public agency processes should
be as transparent as possible. Such transparency is vital in promoting public trust in government.

The Ralph M. Brown Act (Brown Act) is California’s
open meeting law for the governing bodies of nearly all local agencies.
77 The Brown Act provides minimum legal
requirements for local agency transparency in decision- making.
78 (Please note that community college boards
are subject to less stringent requirements than are other local agencies. Check the endnotes for specific references to open meeting laws pertaining to community college
districts.)
79 Under the Brown Act, elected and most appointed local agency decision-making bodies, including many advisory
committees, must conduct their business in open and
public meetings to assure that the local decision-making process is observable by the public.
80 The issue of what
kinds of bodies are subject to open meeting laws may
require careful legal analysis. For purposes of clarity, this guide uses the term “decision-making body” and
“decision-makers,” but the reader should be aware that
this term is imprecise.

A “meeting” is any congregation of a majority of the
members of a decision-making body to discuss, hear,
deliberate, or make a decision on any item within the
agency’s jurisdiction. In other words, a majority of a
decision-making body cannot hear a presentation or
talk privately about an issue within its subject matter jurisdiction, no matter how the conversation occurs,
whether by telephone or e-mail, on a private blog, or at a local coffee shop.
81 The following are some key things to keep in mind:
» Committees and Advisory Bodies. Advisory groups or
committees formally created by a governing body are
subject to the open meeting laws. Standing committees
are subject to the open meeting laws if they have
a continuing subject- matter jurisdiction or have a
meeting schedule fixed by charter or formal action of
the governing body.
82 » Serial Meetings. Avoid unintentionally creating a “serial” meeting—a series of communications that
result in a majority of decision-makers conferring on an issue. For example, if two members of a five-member
decision-making body consult with each other outside
of a public meeting (which is not in and of itself a
violation) about a matter of agency business, and then
one or both of those individuals consults with a third
member on the same issue, a majority of the body has
consulted on the same issue and a violation of the open meeting law has occurred. Note the communication
does not need to be in person and can occur through
a third party. For example, sending or forwarding
e-mail can be sufficient to create a serial meeting, as can a staff member polling decision-makers members
in a way that reveals the members’ positions to one
another.
83 However, separate communications of an employee
or official of a local agency with individual decision- makers to answer questions or provide information are
permissible, as long as those communications do not
communicate information about other decision-makers’
comments or positions.
84 For example, the General
Manager of a special district may have an individual
meeting with Board Member A to answer questions
or provide information about a proposal, and then the
General Manager may have a similar meeting with Board
Member B, as long as the General Manager does not
communicate Board Member A’s comments or position on
the proposal to Board Member B.

ATTACHMENT A
Institute for Local Government | 61

GOOD ETHICS EQUALS GOOD POLITICS
The media is highly vigilant in monitoring
compliance with open government
requirements—and quick to report on
perceived violations.
» Posting and Following the Agenda. The Brown
Act requires that at least 72-hours before a regular
meeting, and 24-hours before a special meeting, a local agency must post an agenda for the meeting, including
on the agency’s website, if the agency maintains one.
85 In general, public officials may only discuss and act on items included on the posted agenda for that meeting.
86 However, decision-makers or staff may briefly respond to questions or statements during the public comments
section of the meeting even if the questions or
statements are unrelated to any agenda items. Officials can also request staff to look into a matter or place
a matter on the agenda of a subsequent meeting.
87 Action may be taken on a matter not on the agenda
only when the decision-making body determines by a
majority vote that an emergency situation exists or the decision-making body determines by a two-thirds vote
of those officials present at the meeting that there is a need to take immediate action and the need for action
came to the attention of the local agency subsequent to the agenda being posted.
88 » Permissible Gatherings. Not every gathering of
members of a decision-making body outside of a
noticed meeting violates the law. For example, an open
meeting violation would not occur if a majority of a
decision-making body attends the same educational
conference or a meeting not organized by the local
agency as long as certain requirements are met.
89 Neither is attendance at a social or ceremonial event in and of itself a violation.
90 The basic rule to keep in
mind is a majority of members of a decision-making
body cannot discuss agency business (including at
conferences or social events) except at an open and
properly noticed meeting.
» Closed Sessions. The open meeting laws allow
for closed discussions only under very limited
circumstances.91 For example, a governing body may
generally meet in a closed session to receive advice
from its legal counsel regarding pending or reasonably
anticipated litigation.
92 However, the reasons for
holding the closed session must be noted on the
agenda and different disclosure requirements apply to
different types of closed sessions.
93 See the table on
the next page for information on what kinds of closed
sessions are permissible.

Because of the complexity of the open meeting laws, close consultation with the agency’s legal advisor is necessary to ensure that all requirements are met.

FOR MORE INFORMATION
On open meeting laws, see the following resources:
» Open and Public V: A Guide to the Ralph M.

Brown Act, 2016. Available on the League of
California Cities website at www.cacities.org/
OpenandPublicV or in hardcopy form by visiting
www.cacities.org/ publications or by calling (916)
658-8217.
» The Brown Act: Open Meetings for Local
Legislative Bodies, 2003. Available on the
California Attorney General’s website at
http:/ / oag.ca.gov/ open- meetings.
» “Closed Session Leaks: Discretion is the Better
Part of Valor – and Ethics,” available at
www.ca-ilg.org/ closed-session-leaks.
» The use of technology and public meetings is
discussed in Meetings and T echnology: Finding the
Right Balance, 2013. Available at www.ca-ilg.org/
technology-and-meetings.

For specific questions, please contact agency counsel.

ATTACHMENT A
62 | Understanding the Basics of Public Service Ethics Laws | TRANSPARENCY LAWS

TYPICAL CLOSED SESSION ISSUES
Local agency open meetings laws vary in terms of what kinds of closed sessions are allowed. Below is a list of matters that generally may be addressed in closed session. The list is illustrative, but not comprehensive, and in many cases, there are statutory limitations and requirements that must be considered. Consult with agency counsel concerning 1) whether a particular type of closed session is permissible and 2) under what circumstances. � Personnel. T o consider the appointment, employment, evaluation of performance, discipline, or dismissal of
a public employee, or to hear complaints against an
employee; however, where the body will be hearing
complaints against an employee, at least 24-hours
before the time for holding the session, the employee
must receive a written notice of his or her right to
require that the hearing be in open session .
94 � Pending Litigation. T o confer with or receive advice from the agency’s legal counsel with respect to existing, threatened or potential litigation.
95 � R eal Estate Negotiations. T o grant authority to the agency’s negotiator regarding the price and terms for
the purchase, sale, exchange, or lease of real property on the agency’s behalf.
96 � Labor Negotiations. T o meet with the agency’s labor negotiator regarding salaries, benefits, and other
matters within the scope of labor negotiations.
97 � Student Disciplinary Issues (for School Districts and Community College Districts). T o consider discipline
of a student if a public hearing would result in the
prohibited disclosure of private information, after
notifying the student (and his or her parents in the
case of minor students) and not receiving in response a request for a public hearing.
98 � Grand Jury Proceedings. T o allow testimony in private before a grand jury (either individually or collectively). 99 � License Applicants with Criminal Records. T o allow an agency to determine whether an applicant for a license
or license renewal with a criminal record is sufficiently rehabilitated to obtain the license.
100
� Public Security. T o confer with designated law
enforcement officials regarding threats to public
facilities or services, or the public’s right of access to those facilities or services.
101
� Multi-jurisdictional Law Enforcement Agency.

T o discuss ongoing multi-jurisdictional criminal
investigations.
102
� Hospital Peer Review and Trade Secrets. T o discuss
issues related to medical quality assurance or involving hospital trade secrets.
103
Just because a topic may be discussed in closed session does not mean that it always must be discussed in closed session. However, sometimes there are reasons for
discussing a matter during a permissible closed session.

For example, the governing body should discuss an
employee disciplinary matter in a closed session meeting to protect the privacy interests of the employee, unless the affected employee gives permission for the governing body to discuss the matter in open session. Other times, the governing body may decide than an open session is in the public’s best interest, even if not required (for example, in determining negotiating positions for the agency). Keep in mind that the decision of whether a meeting should be open or closed (where the governing body has authority to decide) is a collective one, not an individual one. However, also keep in mind that a closed session is permissible
only where a statute specifically allows it. Otherwise, the matter must be discussed in open session.

ATTACHMENT A
Institute for Local Government | 63

PENALTIES
Nullification of Decision
Many decisions that are not made according to the
open meeting laws are voidable.
104 After asking the
agency to cure the violation, either the District
Attorney or any interested person may sue to
have the action declared void.
105
Criminal Sanctions
Additionally, members of the governing body who
intentionally violate the open meeting laws may be guilty of a misdemeanor.
106 The penalty for a misdemeanor
conviction is imprisonment in county jail for up to six months or a fine of up to $1,000 or both.
107
Other Consequences
Either the District Attorney or any interested person may sue to remedy past, and prevent future, violations of the open meeting laws.
108Another remedy, under certain
circumstances, is for a court to order all closed sessions be electronically recorded.
109 Costs and attorney fees may
be awarded to those who successfully challenge open
meeting law violations.
110

FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

A NOTE ABOUT BLOGGING AND SOCIAL

NETWORKING SITES
Decision-makers who are covered by open meeting
laws must avoid situations in which the majority
of a decision- making body uses the Internet to
communicate with each other about a matter of
agency business. For this reason, decision-makers
must take special care when responding to each
other’s emails, blogs, or posts on social networking
sites (such as Facebook or LinkedIn).

The so-called “Web 2.0” creates opportunities
for people to present information on websites in the
form of a journal. These sites also allow visitors to
make comments or ask questions (called “posts” or
“postings”) in response to
the others’ comments.

For many decision-makers, blogging offers an
effective way to share information with and
communicate with constituents. For example,
rather than having to respond to 10 e-mails asking
the same question, an official can simply post a
response on his or her blog and refer folks to the
answer. Blogging can also be a good way to keep the
public informed, especially as fewer people turn to
traditional media for information.

However, a majority of decision-makers participating
in a blog or other web-based conversation could
constitute a “meeting” within the meaning of the
open meeting laws. This means that the meeting
must be held in accordance with all open meeting
requirements, in an appropriate (accessible to those
with disabilities) location, with prior notice and
an agenda.

What is the reasoning underlying these restrictions?
One is that the public has a right to know about
discussions and decision-making on any issue that
may affect them. There is also an underlying belief
that decision-makers should deliberate on issues
in front of, and facing, their constituents. Another
proposed justification is that officials should hear
the thoughts of the full range of constituents (not
just those on the Internet), should constituents
choose to offer them. Further, public discussions and
decision-making prevents fears of secret backroom
deals made without public knowledge.

For more information, see “Legal Issues Associated
with Social Media” (available at www.ca-ilg.org/
SocialMediaLegalIssues) and “T aking the Bite
Out of Blogs: Ethics in Cyberspace” (available at
www.ca-ilg.org/ blogs).

ATTACHMENT A
64 | Understanding the Basics of Public Service Ethics Laws | TRANSPARENCY LAWS The Public’s Right to
Participate in Meetings

BASIC RULES
Another element of open meeting laws is the public’s
right to address the governing body at any open meeting.

An elected official’s duty is to both hear and evaluate these communications. There are a number of basic rules that govern this right. (Again, check the endnotes for specific references to requirements for community college boards.)
111
Posting and Following the Agenda
The open meeting laws provide requirements for informing the public of the date, time, and location of meetings, and the items of business to be addressed at the meetings.
112
The agenda must be posted at least 72-hours in advance
of a regular meeting.
113
Members of the public may request that a copy of the
agenda packet be mailed to them at the time the agenda is posted or upon distribution to the governing body.
114 Local
agencies must post these materials on their website, if the agency has a website.
115
There are a few exceptions to the 72-hour requirement
that relate to unexpected circumstances.
116 These
exceptions, where applicable, also permit an agency to
take action on or discuss items not on the agenda.
117 The
agency may also hold special meetings on 24-hours’
notice
118 or on less than 24-hours’notice if a true
emergency exists.119
The Public’s Right to Materials Not
Included in the Agenda Packet
Any documents or other materials relating to an agenda
item for an open session of a regular meeting of a
governing body distributed less than 72 hours before the meeting must be made available to the public. This must occur when the materials are distributed to the members of the governing body at a public office or location that the agency designates for this purpose. Local agencies must list the address of this office or location on the agendas for all meetings of their governing body.
120
Any documents distributed during a public meeting must
also be made available to the public. This must occur at the meeting if the document is prepared by the agency, or after the meeting if the document is prepared by someone else, such as a member of the public.
121

SPECIAL ISSUES
Electronic Recording of Meetings is Allowed
Anyone attending a meeting may photograph or record it
with an audio or video recorder unless the governing body reasonably finds that the noise, illumination, or obstruction of view would disrupt the meeting.
122
Any audio or video recording of a meeting made by the
local agency becomes a public record that must be made
available to the public for at least 30 days.
123
Sign-In Must Be Voluntary
Members of the public cannot be required to register their name or fulfill any other condition for attendance at a meeting. If an attendance list is used, it must clearly state that signing the list is voluntary.
124
The Public’s Right to be Heard
Generally, every agenda must include an opportunity for the public to address the governing body on any item of interest to the public within the body’s jurisdiction.
125 If the
issue of concern is one pending before the governing body, the opportunity must be provided before or during the
body’s consideration of that issue.
126
Reasonable Time Limits May Be Imposed
Local agencies may adopt reasonable regulations to
ensure everyone has an opportunity to be heard in an
orderly manner.
127

ATTACHMENT A
Institute for Local Government | 65
When many people wish to comment on an issue, for
example, an agency may assign a time limit to each
speaker to ensure that everyone has a chance to be heard and the agency can complete its business (individuals
using a translator must be allotted at least twice the
amount of time of a English speaker). However, every
effort should be made to avoid artificially short time limits; this gives the public a reasonable chance to share their views and demonstrates the agency’s commitment to
considering the public’s perspectives.

Handling Disruptions
If an individual or group willfully interrupts a meeting and order cannot be restored, the room may be cleared.
128
Members of the media must be allowed to remain (except
those participating in the disturbance) and only matters on the agenda can be discussed.
129
The chair may encourage everyone to be civil and mutually respectful during the meeting and have disruptive
individuals removed from the room.
130 However, speakers
may not be prevented from criticizing the governing
body.
131
Finally, note that other California laws may provide
additional, subject-specific notice requirements.

FOR MORE INFORMATION

GOOD ETHICS EQUALS GOOD POLITICS
Community relations—and the public’s
opinion of an official’s responsiveness—are
seriously undermined when it appears an
official is not listening to input provided by the
public. There can be even more damage if an
official expresses disagreement in a hostile or
disrespectful way with a position that is being
advocated.

Even if one disagrees with the views being
offered, the statesperson-like approach is to
treat all speakers with the same respect one
would like to be treated with if the roles were
reversed. This is an application of the value of
respect.

On public participation in meetings, see the
following resources:
» The Brown Act: Open Meetings for Local
Legislative Bodies, 2003. Available on the
California Attorney General’s website at
http:/ / oag.ca.gov/ open-meetings.
» Institute resources on civility,
see www.ca-ilg.org/ civility.

For specific questions, please contact
agency counsel.

ATTACHMENT A
66 | Understanding the Basics of Public Service Ethics Laws | TRANSPARENCY LAWS

PENALTIES
Nullification of Decision
As a general matter, decisions that are not made according to the open meeting laws are voidable.
132 After asking the
agency to cure the violation, either the District Attorney or any interested person may sue to have the action declared void.
133
Criminal Sanctions
Additionally, members of the governing body who
intentionally violate the open meeting laws may be guilty of a misdemeanor.
134 The penalty for a misdemeanor
conviction is imprisonment in county jail for up to six months, a fine of up to $1,000, or both.
135
Other Measures
Either the District Attorney or any interested person may sue to remedy past and prevent future violations of the open meeting laws.
136 Another remedy, under certain
circumstances, is for a court to order that all closed
sessions be electronically recorded.
137 Costs and attorney’s
fees may be awarded to those who successfully challenge open meeting law violations.
138
Potential Civil Rights Violations
By implementing policies or taking actions to regulate or limit the public’s right to participate in meetings, other than those regulations and limitations specifically allowed under California law and constitutional law principles, the governing board exposes the local agency to liability for violations of individuals’ civil rights
139 including liability for
attorney fees.140

FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

VOTERS SUPPORT OPEN GOVERNMENT
In 2004, California voters made public
agency transparency a state constitutional
and statutory requirement. The California
Constitution now provides that “[t]he people
have the right of access to information
concerning the conduct of the people’s
business, and, therefore, the meetings of public
bodies and the writings of public officials and
agencies shall be open to public scrutiny.”
141

ATTACHMENT A
Institute for Local Government | 67
Endnotes and Additional
Information
Note: The California Codes are accessible at http:/ /leginfo. legislature.ca.gov/. Fair Political Practices Commission regulations are accessible atwww.fppc.ca.gov/the-law/
fppc-regulations/ regulations-index.html. A source for case law information is www.findlaw.com/ cacases/ (requires
registration).
1 P olitical Reform Act. Cal. Gov’t Code §§ 87200-10.
2 Cal. Go
v’t Code § 82019.
3 See
Cal. Gov’t Code § 87500.2.
4 Cal. Go
v’t Code §§ 87202-04, 87302. See 2 Cal. Code Regs. §
18722.
5 Cal. Go
v’t Code § 87300.
6 See
Cal. Gov’t Code § 87103(c).
7 2 Cal. C
ode Regs. § 18229.
8 Cal. Go
v’t Code §§ 82030, 87103(c).
9 2 Cal. C
ode Regs. § 18229.
10 Cal. Go
v’t. Code § 82029.
11 2 Cal. C
ode Regs. § 18229.
12 See
Cal. Gov’t Code §§ 82033, 87103(b).
13 2 Cal. C
ode Regs. § 18229.
14 Cal. Go
v’t Code §§ 82034, 87103(a) .
15 Cal. Go
v’t Code § 87103(d).
16 See
Cal. Gov’t Code § 82005.
17 Cal. Go
v’t Code §§ 82034, 87103(a), (d).
18 Cal. Go
v’t Code § 82033 (pro rata interest, if own 10 percent
interest or greater).
19 Cal. Go
v’t Code § 82030(a),(b)(8), (10).
20 Cal. Go
v’t Code § 87207(a)(1).
21 See gener
ally Cal. Gov’t Code §§ 91000-14.
22 See
Cal. Gov’t Code § 1770(h) (providing a vacancy occurs upon conviction of a felony or of any offense involving a violation of official duties).
23 See
Cal. Gov’t Code § 91002 (providing no person convicted of a misdemeanor under the Political Reform Act shall be a candidate for any elective office or act as a lobbyist for a period of four years following the date of the conviction).
24 Cal. Go
v’t Code § 91000(b).
25 See Cal. Penal Code § 19 (providing misdemeanors are punishable by imprisonment in county jail up to six months, a fine not exceeding $1,000, or both).
26 Cal. Go
v’t Code § 91013.
27 See gener
ally Cal. Gov’t Code §§ 84100-511.
28 See
Cal. Gov’t Code § 81002(a).
29 See, e.g.,
Cal. Gov’t Code §§ 82013, 84101.
30 See
Cal. Gov’t Code § 82013(c).
31 See
Cal. Gov’t Code § 84202.3.
32 See
Cal. Gov’t Code §§ 81013, 81009.5.
33 Cal. Go
v’t Code § 81009.5(a). Local disclosure requirements can be found on the Fair Political Practices Commission’s website, available at http:/ /www.fppc.ca.gov/learn/ campaign-rules/local- campaign-ordinances.html.
34 See gener
ally Cal. Gov’t Code §§ 91000-14.
35 See
Cal. Gov’t Code § 1770(h) (providing a vacancy occurs upon conviction of a felony or of any offense involving a violation of official duties).
36 See
Cal. Gov’t Code § 91002 (providing no person convicted of a misdemeanor under the Political Reform Act shall be a candidate for any elective office or act as a lobbyist for a period of four years following the date of the conviction).
37 Cal. Go
v’t Code § 91000(b).
38 See
Cal. Penal Code § 19 (providing misdemeanors are punishable by imprisonment in county jail up to six months, a fine not exceeding $1,000, or both).
39 See
Cal. Gov’t Code § 82015(b)(2)(B)(iii); 2 Cal. Code Regs. § 18215.3(a). See also Cal. Fair Political Practices Commission, Limitations and Restrictions on Gifts, Honoraria, Travel and Loans, at 8 (2015), available at http:/ /www.fppc.ca.gov/ content/ dam/ fppc/NS-Documents/TAD/Public%20Officials%20and%20
Employees/StateGiftFactSheet.pdf.
40 See
Cal. Gov’t Code § 82015(b)(2)(B)(iii). See also Fair Political Practices Commission, California Form 803 – Behested Payments Report Instructions, available at http:/ /www.fppc.ca.gov/ content/ dam/fppc/NS-Documents/TAD/ Agency%20Reports/Form803.
pdf .
41 Cal. Go
v’t Code § 82015(b)(2)(B)(iii).
42 Cal. Go
v’t Code § 82015(b)(2)(B)(iii); Fair Political Practices Commission, California Form 803 – Behested Payments Report Instructions, available at http:/ /www.fppc.ca.gov/ content/ dam/ fppc/NS-Documents/TAD/ Agency%20Reports/Form803.pdf.
43 F
air Political Practices Commission, California Form 803 - Behested Payments Report, available at http:/ /www.fppc.ca.gov/ content/ dam/fppc/NS-Documents/TAD/ Agency%20Reports/
Form803.pdf.
44 See Schmidt A
dvice Letter, No. A-96-098 (March 26, 1996); S.

Rules. Comm., S.B. 124 S. Floor Analysis, 1997-1998 Sess., (Cal.

Sept. 2, 1997).
45 Cal. P
enal Code § 518; In re Shepard, 161 Cal. 171 (1911). See also 18 U.S.C. § 666(a)(1)(B) .

ATTACHMENT A
68 | Understanding the Basics of Public Service Ethics Laws | TRANSPARENCY LAWS 46 See gener ally Cal. Gov’t Code §§ 91000-14.
47 Cal. P
enal Code § 521.
48 Cal. P
enal Code § 19.
49 Cal. Go
v’t Code §§ 3060-3074.
50 18 U.S.

C. §§ 1951(a), 3571(b).
51 18 U.S.

C. §§ 1341 (mail fraud), 1343 (wire fraud), 1346 (honest services).
52 U.S. v
. Sawyer, 239 F.3d 31, 39 (1st Cir. 2001) (finding sufficient evidence of guilt apart from proof of violation of state law). 53 U.S. v
. Lopez-Lukis, 102 F.3d 1164, 1169 (11th Cir. 1997) (noting that effort to improperly control composition of decision- making body constituted an effort to deprive public of honest services); McNally v. U.S., 483 U.S. 350 at 362-63 (Justice Stevens, dissenting).
54 U.S. v
. Kemp, 379 F.Supp. 2d 690, 697-98 (E.D. Penn. 2005). In Skilling v. U.S., 130 S.Ct. 2896, 2931 (2010), the U.S. Supreme Court held that in order to avoid unconstitutional vagueness 18 USC §1346 (honest services fraud) only criminalizes bribes and kick-back schemes.
55 18 U.S.

C. §1341 (“. . . shall be fined under this title or imprisoned not more than 20 years, or both.”).
56 See
Cal. Gov’t Code §§ 6250-70.
57 See
Cal. Gov’t Code §§ 34090-34090.8.
58 See gener
ally Cal. Gov’t Code §§ 6250-70.5. See also Cal. Const. art. I, § 3(b)(1).
59 See
Cal. Gov’t Code §§ 6252-53.
60 Cal. Go
v’t Code § 6252(g) (“‘Writing’ means any handwriting,
typewriting, printing, photostating, photographing, photocopying, transmitting by electronic mail or facsimile, and every other means of recording upon any tangible thing any form of
communication or representation, including letters, words, pictures, sounds, or symbols, or combinations thereof, and any record thereby created, regardless of the manner in which the record has been stored.”)
61 St
ate ex rel. Division of Industrial Safety v. Superior Court, 43 Cal.

App. 3d 778, 117 Cal. Rptr. 726 (1974); Cook v. Craig, 55 Cal. App. 3d 773, 127 Cal. Rptr. 712 (1976).
62 Cal. Go
v’t Code § 6254(b).
63 Cal. Go
v’t Code § 6254(a).
64 Cal. Go
v’t Code § 6254(c).
65 L
eague of California Cities, The People’s Business: A Guide to the California Public Records Act, 11 (2008), available at http:/ /www. cacities.org/PRAGuide (citing Los Angeles Times v. Alameda Corridor T ransportation Authority (2001) 88 Cal.App.4th 1381). 66 Id
. at 10.
67 Id
. at 11 (citing Rogers v. Superior Court (1993) 19 Cal.App.4th 469; Cal. First Amend. Coalition v. Superior Court (1998) 67 Cal.App.4th 159).
68 Id
. at 12 (citing Cal. Gov. Code § 6253.1; State Board of Equalization v. Superior Court (1992) 10 Cal.App.4th 1177).
69 Id . at 11 (citing Cal. Gov’t Code § 6253(c)).
70 Id
. at 13 (citing Cal. Gov’t Code § 6255).
71 Id
. (citing Cal. Gov. Code § 6253(a); ACLU Foundation v.

Deukmejian (1982) 32 Cal.3d. 440).
72 Id
. (citing Cal. Gov. Code § 6253(b); 88 Ops.Cal.Atty.Gen. 153 (2005); 89 Ops.Cal.Atty.Gen. 39 (2006)).
73 Cal. Go
v’t Code §§ 26202 (counties), 34090(d) (cities), 60201
(special districts). Note that in California, the Public Records Act is not a records retention statute. See Los Angeles Police Dept. v.

Superior Court, 65 Cal. App. 3d 661 (1977).
74 T
he Secretary of State’s Local Government Records Management Guidelines may be viewed at http:/ /www.sos.ca.gov/ archives/ admin-programs/local-gov-program.
75 Cal. Go
v’t Code § 6258.
76 Cal. Go
v’t Code § 6259(d).
77 See gener
ally Cal. Gov’t Code §§ 54950-63 (for cities, counties, special districts and school districts).
78 See
Cal. Gov’t Code § 54953.7.
79 Cal. E
duc. Code §§ 72121-29 (for community college district
governing boards).
80 See
Cal. Gov’t Code § 54952.2(a).
81 Cal. Go
v’t Code § 54952.2(b); Cal. Educ. Code § 72121.
82 Cal. Go
v’t Code § 54952(b).
83 Cal. Go
v’t Code § 54952.2.
84 Cal. Go
v’t Code §§ 54954.2; 54956.
85 Cal. Go
v’t Code § 54952.2(b)(2).
86 W
olfe v. City of Fremont, 144 Cal. App. 4th 533, 50 Cal. Rptr. 3d 524 (2006); see also S.B. 1732, 2007-2008 Leg., Reg. Sess. (Cal. 2008) (clarifying Cal. Gov’t Code § 54952.2 to include both communications that result in a collective concurrence and those that are part of the process of developing collective concurrence). 87 Cal. Go
v’t Code § 54954.2; Cal. Educ. Code § 72121.5.
88 Cal. Go
v’t Code § 54954.2(a)(2), See Cal. Educ. Code § 72121.5. 89 Cal. Go
v’t Code § 54954.2(b).
90 Cal. Go
v’t Code § 54952.2(c)(2).
91 Cal. Go
v’t Code § 54952.2(c)(5).
92 See, e.g.,
Cal. Gov’t. Code §§ 54956.5-54957, 54957.6, 54957.10,
54962; Cal. Educ. Code § 72122.
93 Cal. Go
v’t Code § 54956.9.
94 Cal. Go
v’t Code §§ 54957(b)(1), (2).
95 Cal. Go
v’t Code § 54956.9.
96 Cal. Go
v’t Code § 54956.8.
97 Cal. Go
v’t Code §§ 3549.1 (school and community college
districts), 54957.6 (other local agencies).

ATTACHMENT A
Institute for Local Government | 69
98 Cal. E
duc. Code §§ 35146, 72122.
99 Cal. Go
v’t Code § 54953.1.
100
Cal. Go
v’t Code § 54956.7.
101
Cal. Go
v’t Code § 54957(a).
102
Cal. Go
v’t Code § 54957.8.
103
Cal. Go
v’t Code §§ 37606, 37624.3; Cal. Health & Safety Code §§ 1461, 1462, 32106, 32155.
104
Cal. Go
v’t Code § 54960.1; Cal. Educ. Code § 72121(b).
105
Id
.
106
Cal. Go
v’t Code § 54959.
107
See
Cal. Penal Code § 19.
108
Cal. Go
v’t Code § 54960(a).
109
Cal. Go
v’t Code § 54960(b).
110
Cal. Go
v’t Code § 54960.5.
111
Cal. E
duc. Code §§ 72121-29 (for community college district
governing boards).
112
Cal. Go
v’t Code § 54954.2(a); Cal. Educ. Code § 72121.
113
Id
.
114
Cal. Go
v’t Code § 54954.1.
115
See
Cal. Gov’t Code § 54954.2. This requirement currently only applies to:
»
T
he governing body of a local agency or any other local body created by state or federal statute; or
» A commission, committee, board, or other body of a local agency, created by charter, ordinance, resolution, or formal action of a legislative body, if the members are compensated for their appearance, and at least one member is also the member of a governing body created by state or federal
statute.

However, per 2016 Cal. Stat. ch. 265, § 1 (amending Cal. Gov’t Code § 54954.2), beginning January 1, 2019, the agenda
for a meeting of a legislative body of a city, county, city and county, special district, school district, or political subdivision established by the state must be posted on the local agency’s “primary Internet Web site homepage” if the local agency has a webpage.
116
Cal. Go
v’t Code § 54954.2(b).
117
Cal. Go
v’t Code § 54954.2(b)(2).
118
Cal. Go
v’t Code § 54956.
119
Cal. Go
v’t Code § 54956.5.
120
Cal. Go
v’t Code § 54957.5.
121
Cal. Go
v’t Code § 54957.5(c).
122
Cal. Go
v’t Code § 54953.5(a).
123
Cal. Go
v’t Code § 54953.5(b).
124
Cal. Go
v’t Code § 54953.3.
125
Cal. Go
v’t Code § 54954.3(a); Cal. Educ. Code § 72121.5.
126
Cal. Go
v’t Code § 54954.3(a).
127
Cal. Go
v’t Code § 54954.3(b); White v. City of Norwalk, 900 F.2d 1421, 1425 (9th Cir. 1990).
128
Cal. Go
v’t Code § 54957.9.
129
Id
.
130
Cal. Go
v’t Code § 54957.9;Norse v. City of Santa Cruz, 629 F.3d 966, 976 (9th Cir. 2010).
131
Cal. Go
v’t Code § 54954.3(c); Perry Educational Association v.

Perry Local Educators’ Association, 460 U.S. 37, 46 (1983); Acosta v.

City of Costa Mesa, 718 F.3d 800 (9th Cir. 2013).
132
Cal. Go
v’t Code § 54960.1; Cal. Educ. Code § 72121(b).
133
Id
.
134
Cal. Go
v’t Code § 54959.
135
See
Cal. Penal Code § 19.
136
Cal. Go
v’t Code § 54960(a).
137
Cal. Go
v’t Code § 54960(b).
138
Cal. Go
v’t Code § 54960.5.
139
See
42 U.S.C. § 1983.
140
See
42 U.S.C. § 1988.
141
Cal. C
onst. art. I, § 3(b)(1).

ATTACHMENT A
70 | Understanding the Basics of Public Service Ethics Laws | PERSONAL FINANCIAL GAIN LAWS

ATTACHMENT A
Institute for Local Government | 71
CHAPTER 5:

Fair Process Laws
and Merit-Based
Decision-Making

ATTACHMENT A
72 | Understanding the Basics of Public Service Ethics Laws | FAIR PROCESS LAWS AND MERIT-BASED DECISION-MAKING Chapter 5: Fair Process Laws and Merit-Based Decision-Making C

ONTENTS
The Right to Fair and Unbiased Decision-Makers ...................................................................................................74 Basic Rules

...............................................................................................................................................................74 Effect of Violations

.........................................................................................................................................................75 Effect on Decision

..................................................................................................................................................75 Due Process Violations

.........................................................................................................................................75 Vote-T rading

....................................................................................................................................................................75 Basic Rules

...............................................................................................................................................................75 Penalties

...................................................................................................................................................................76 Personal Loans

.................................................................................................................................................................76 Basic Rules

...............................................................................................................................................................76 Penalties

...............................................................................................................................................................77 Penalties

....................................79
Basic Rules

...................................................................................................................................................................

Affected Officials
........................................................................................................................................... 80 Ext
ortion under California and Federal Law

.............................................................................................. 81 Kinds of Proceedings Affected

..................................................................................................................... 81 Actions That Must Be T aken
......................................................................................................................... 81 P
enalties

..........................................83
Engaging in Political Activities During Work Hours or While in Uniform

...........................................83
Penalties

...................................................................................................................................................................83

ATTACHMENT A
Institute for Local Government | 73
Holding Multiple Public Offices ................................................................................................................................... 83 Basic Rules

...............................................................................................................................................................83 Special Issues

.......................... 84
Individual Agency Guidelines

...................................................................................................................... 84 Penalties

............................................................................................. 85 Basic Rules

.............................................................................................................................................................. 85 Exceptions

.............................................................................................................................................................. 85 Emergency

.............................................................................................................................................. 85 Design-Build

.................................................................................................................................................... 86 Penalties

...............................................................................................................................................................87 Penalties

ATTACHMENT A
74 | Understanding the Basics of Public Service Ethics Laws | FAIR PROCESS LAWS AND MERIT-BASED DECISION-MAKING The Right to Fair and Unbiased
Decision-Makers

BASIC RULES
Although California statutes largely determine when
public officials must disqualify themselves from
participating in decisions, common law (judge-made law) and some constitutional principles still require a public official to exercise his or her powers free from personal bias—including biases that have nothing to do with
financial gain or losses.

Under the common law doctrine, an elected official has
a fiduciary duty to exercise the powers of office for the benefit of the public and is not permitted to use those powers for the benefit of private interests. It should be noted that the interest need not be financial.
1 Local officials are much less constrained when
the body is acting in a legislative, as compared
to a quasi-judicial capacity.

In addition, constitutional due process principles require a decision-maker to be fair and impartial when the decision- making body is sitting in what is known as a “quasi-
judicial” capacity. Quasi-judicial matters include variances, use permits, annexation protests, personnel disciplinary actions and licenses. Quasi-judicial proceedings tend
to involve the application of common requirements or
principles to specific situations, much as a judge applies the law to a particular set of facts.

The kinds of impermissible bias
2 include:
» Personal Interest in the Decision’s Outcome.

For example, one court found an elected official was
biased and should not participate in a decision on a
proposed addition to a home in his neighborhood when
the addition would block the elected official’s view
of the ocean from the official’s apartment.
3 Personal
interest bias can also arise when hearing officers
are selected and paid on an ad hoc basis, making
their future work dependent on the public agency’s
goodwill.
4 » Personal Bias.
• People. Strong animosity about a permit applicant
based on conduct that occurred outside the hearing
is one example. Conversely, a strong personal
loyalty toward a party could bias an official as well.
5 • Belief/Ideology. Examples include strong
ideological reactions to a proposed Planned
Parenthood clinic or community center for a
particular ethnic or religious group.
» Factual Bias. For example, information an official
might receive outside the public hearing that causes
the official to have a closed mind to any factual
information that may be presented in a hearing. This is a variation of the “ex parte communications” doctrine,
which suggests that, in quasi-judicial matters, all
communications to decision-makers about the merits
(or demerits) of an issue should occur in the context
of the noticed hearing (as opposed to private meetings
with either side of an issue, for example).
6 » Dual Role Influence. Another example is when
someone plays multiple roles in a decision making
process. A court concluded that a business owner’s
fair hearing rights were violated when a public agency
attorney made the initial decision to deny the renewal
of the business’s regulatory permit then acted as a legal adviser to a hearing officer reviewing that denial.
7 When an official sits in a quasi-judicial capacity, that official’s personal interest or involvement, either in a decision’s outcome or with any participants, can create a risk that the agency’s decision will be set aside by a court if the decision is challenged. T ypically, having the official disqualify himself or herself removes the risk.
8 Decision-makers are also well advised to step aside on participation in a quasi-judicial matter when the decision- maker has pre-judged the matter. Attributes of having
“pre-judged the matter” include having a closed mind or a preconceived and unalterable view of the proper outcome without regard to the evidence.
9 ATTACHMENT A
Institute for Local Government | 75
This rule does not preclude holding opinions, philosophies or strong feelings about issues or specific projects; it also does not proscribe expression of views about matters
of importance in the community, particularly during an
election campaign.
10 Nevertheless, if an official has made
very strident and unequivocal statements for or against a pending project or issue, a court could find that the official could not participate as an unbiased decision-maker when the project or issue comes before the agency.
11 Also, local
officials are much less constrained when the body is acting in a legislative, as opposed to quasi-judicial capacity.

FOR MORE INFORMATION
Effect of Violations

EFFECT ON DECISION
An administrative decision tainted by bias will be set aside.

The agency will have to conduct new proceedings free of the influence of the biased decision-maker.
12 DUE PROCESS VIOLATIONS
If the violation rises to the level of a denial of due process under constitutional law, the affected individual(s) may seek damages, costs and attorney’s fees.
13 FOR MORE INFORMATION
On the effect of ethics law violations,
see www.ca-ilg.org/ consequences.

Vote-T rading

BASIC RULES
The California law that prohibits public officials from asking for, receiving, or agreeing to receive bribes in exchange for their votes or other official actions also forbids them from giving, or offering or promising to give, “any official vote” in exchange for another public official’s vote on the“same or another question.”
14 Like bribery, vote-trading is a form of “you-do-this- for-me,-I-will-do-this-for-you” practice. In Latin, this is known as a quid pro quo (“this for that”). Quid pro
quos are legally risky. Any time a public official stops making decisions based on what’s best for the public, the transparency and integrity of the policy-making process is compromised.

Note that the California Attorney General has concluded that the prohibition against vote-trading applies to
exchanges of votes between public officials and not to
commitments made by jurisdictions in an inter-agency
agreement.
15 FOR MORE INFORMATION
On vote trading, see www.ca-ilg.org/votetrading. For
specific questions, please contact agency counsel.

On fair decision-making and bias, see the following
resources:
» When an Elected Official Feels Passionately
About an Issue: Fair Process Requirements in
Adjudicative Decision-Making,” available at
www.ca-ilg.org/bias.
» “When Y our Decision Will Affect a Friend or
Supporter,” available at www.ca-ilg.org/ resource/
when-your-decision-will-affect-friend-or-
supporter.
» Understanding the Basics of Local Agency
Decision- Making, 2009, available at www.ca-ilg.
org/ decisionmaking.
» An Ounce of Prevention: Best Practices for
Making Informed Land Use Decisions, 2006,
available at www.ca-ilg.org/ ounce.

For specific questions, please contact agency
counsel.

ATTACHMENT A
76 | Understanding the Basics of Public Service Ethics Laws | FAIR PROCESS LAWS AND MERIT-BASED DECISION-MAKING

PENALTIES
Penalties for vote trading include “imprisonment in the state prison for two, three, or four years and . . . by a restitution fine of not less than two thousand dollars
($2,000) or not more than ten thousand dollars ($10,000) . . .”
16 A conviction for vote-trading will also lead to an
immediate loss of office and permanent disqualification from holding any office in the state.
17 FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

Personal Loans

BASIC RULES
Elected officials and others may not receive a personal loan from any officer, employee, member or consultant of the official’s respective agency while in office.
18 There also are limits on elected officials’ and others’ ability to receive loans from those with contracts with the agency (except for bank or credit card loans made in the regular course of the company’s business).
19 Personal loans over
$500 from others must meet certain requirements (for
example, be in writing, clearly state the date, amounts and interest payable).
20 For further discussion of ethics laws
related to personal loans and other economic interests, see Chapter 2.

PENALTIES
These restrictions are part of the Political Reform Act.

Violations of these laws are punishable by a variety of civil, criminal and administrative penalties, depending on the severity of the violation and the degree of intent to violate the law that enforcement entities are able to demonstrate.
21 These penalties can include any or all of the following:
» Immediate loss of office;22
» Prohibition from seeking elected office in the future;23 » Fines of up to $10,000 or more depending on the
circumstances;24 and
» Jail time of up to six months.25

FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

ATTACHMENT A
Institute for Local Government | 77
Decisions May Not
Benefit Family

BASIC RULES
An important part of a fair process is that everyone,
irrespective of their personal relationship to decision- makers, will have the same access to public agency
benefits and approvals.

An outgrowth of this principle is the rule that public
officials must disclose their interests and disqualify
themselves under the Political Reform Act and other
laws (for example Government Code section 1090’s
proscription against interests in contracts) from
participating in decisions that will have the result of their immediate family’s expenses, income, assets or
liabilities increasing or decreasing.
26 “Immediate family”
includes one’s spouse or domestic partner and dependent children.
27 For further discussion of conflict of interest
disclosure and disqualification, see Chapter 2.

Some jurisdictions have also adopted additional policies to prevent nepotism in hiring, promotions and
appointments. For example, marital status policies
regarding supervisor/ supervisee relationships, consensual workplace romance policies, and anti-fraternizations
policies. For more information about hiring family
members, see “Hiring: When a Relative Wants a Job,”
available at www.ca-ilg.org/fair-processes.

PENALTIES
The disqualification requirements relating to family
members are part of the Political Reform Act. A refusal to disqualify oneself is punishable by a variety of civil, criminal and administrative penalties, depending on
the severity of the violation and the degree of intent
to violate the law that enforcement entities are able to demonstrate.
28 These penalties can include any or all of the following:
» Immediate loss of office;29
» Prohibition from seeking elected office in the future;30 » Fines of up to $10,000 or more depending on the
circumstances;31 and
» Jail time of up to six months.32
If the family members’ interest relates to an interest in a contract, penalties for violating Government Code section 1090 apply (for example, felony prosecution or refunds of amounts paid under the contract).
33 For more information
about Government Code section 1090, see Chapter 2.

EFFECT ON AGENCY AND THOSE
AFFECTED BY AGENCY’S DECISION
When a disqualified official participates in a decision, it can also void the decision.
34 This can have serious
consequences for those affected by the decision as well as the public agency.

FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

ATTACHMENT A
78 | Understanding the Basics of Public Service Ethics Laws | FAIR PROCESS LAWS AND MERIT-BASED DECISION-MAKING Restrictions and Disqualification
Requirements Relating to
Campaign Contributions

BASIC RULES
Generally, the ethics laws with respect to campaign
contributions emphasize disclosure rather than
disqualification.
35 Disclosure enables voters to assess
the degree an official could be influenced by campaign
contributors who appear before the agency. Both financial and in-kind (goods and services) support must be
disclosed.
36 These requirements are discussed on
Chapter 4.

Moreover, the courts have held the receipt of campaign
contributions does not generally give rise to a duty to disqualify for bias. For example, a court determined an elected official who received a campaign contribution
from a developer is not automatically barred from acting on the developer’s land use permit application.
37 The court
left open the possibility this scenario could, under certain circumstances, create a problem.

However, under limited (and sometimes counterintuitive) circumstances, certain local agency officials must
disqualify themselves from participating in proceedings regarding licenses, permits and other entitlements for use if the official has received campaign contributions of more than $250 during the previous twelve months from any
party or participant.
38 Campaign contributions may be
both monetary (dollars) and “in-kind” (goods or services) contributions.
39 In addition, these officials are prohibited from receiving, soliciting or directing a campaign contribution of more than $250 from any party or participant in a license,
permit or entitlement proceeding while the proceeding is pending and for three months after the proceeding.
40 Affected Officials
Generally speaking, this requirement does not apply to
officials directly elected to the board of local agencies while acting in the scope of the office for which they were elected. However, elected officials are covered by this prohibition when they sit as members of other boards
to which they were not elected (such as joint powers
agencies, regional government entities or local agency
formation commissions).
41 Other covered officials include appointed board or
commission members who become or have been
candidates for elective office.
42 These prohibitions apply only with respect to campaign contributions from persons who are financially interested in the outcome of the specified proceedings. Those
interested persons include:
» Parties to the proceeding (such as applicants for the permit, license or entitlement); and
» Participants.43
A participant is a person who is not a party but who
actively supports or opposes a particular decision in a proceeding involving a license, permit or other entitlement for use and who has a financial interest in the outcome of the decision.
44 A person qualifies as a “participant” if he or
she attempts to influence the officers or employees of the agency with respect to the decision or testifies in person before the agency with respect to the decision.
45 ATTACHMENT A
Institute for Local Government | 79
Extortion under California and Federal Law
A demand for campaign contributions can also constitute extortion. Extortion occurs when someone obtains money
through threat of harm or under color of official right .46
» California Law. Extortion under California law is a
misdemeanor.
47 Misdemeanors are punishable by up
to six months in county jail, a fine of up to $1,000 or both.
48 Extortion can also be the basis for a grand jury
to initiate removal-from-office proceedings for official misconduct.
49 » Federal Law. T o be chargeable as a federal offense, the act must affect interstate commerce. The maximum
penalty for extortion under federal law is 20 years in
prison and a $250,000 fine.
50 Kinds of Proceedings Affected
The general rule applies to all proceedings involving
licenses and permits, including use permits. This includes:
» Business, professional, trade and land use licenses and permits;
» Land use permits;
» Franchises; and
» Contracts, other than competitively bid, labor or
personal employment contracts.51
Examples of land use permits include conditional use
permits,
52 zoning variances,53 and tentative subdivision
and parcel maps.54 Examples of covered contracts include consulting contracts, whether engineering, architectural or legal.
55 Actions That Must Be T aken
Disclosure
When someone files a permit or license application, that individual must publicly report all covered officials to whom the individual made contributions of more than
$250 during the previous twelve months.
56 Likewise, a
covered official must publicly disclose on the record of the proceeding any party or participant who has contributed more than $250 during the previous twelve months to that official.
57 The disclosure must be made prior to the agency making any decision in the proceeding (without the covered
official’s participation).
58 Disqualification
If prior to making a decision in the proceeding, a covered official knowingly receives more than $250 in campaign
contributions from a party during the previous twelve
months, that official must disqualify himself or herself from participating in the proceeding.
59 Likewise, with
respect to contributions received from a participant, the covered official must disqualify himself or herself if he or she has reason to know, prior to making a decision in the proceeding, that the participant is financially interested in the outcome of the proceeding.
60 (Note the disqualification requirement is triggered by actual receipt of campaign contributions, not simply
asking for a contribution if the request is unsuccessful. Of course, there are significant ethical issues associated with soliciting campaign contributions from either parties or participants while a decision is pending).

Disqualification means the official may not participate in making any decision in the proceeding, and may not in any way attempt to use his or her official position to influence the decision.
61 Avoiding Disqualification
A covered official may avoid disqualification if he or
she returns the contribution, or that portion which is
over $250, within 30 days from the time the official
knows or has reason to know of the contribution and the proceeding.
62 No Contributions During the Proceeding
While the permit or license proceeding is pending and
for three months after the decision, covered officials
must not solicit or receive campaign contributions from either parties or participants (persons who actively
support or oppose a particular decision and are financially interested in the outcome).
63 This prohibition includes
a prohibition against soliciting, receiving or directing contributions on behalf of another person or on behalf
of a campaign committee.
64 Likewise, all parties and participants are prohibited during this period of time from making contributions of more than $250 to any officials involved in the proceedings.
65 ATTACHMENT A
80 | Understanding the Basics of Public Service Ethics Laws | FAIR PROCESS LAWS AND MERIT-BASED DECISION-MAKING

MORE ON FUNDRAISING
Even when the law does not constrain an
official’s political fund-raising activities (other
than requiring disclosure of donors), it is important
to be extraordinarily judicious in choosing those
one will ask for campaign contributions.

If an individual or company has matters pending
with one’s agency, they (and others, including the
media and one’s fellow candidates) are going to
perceive a relationship between the decision and
whether they contribute to one’s campaign. The
unkind characterization for this dynamic is “shake-
down.”
T wo important points to remember:
• Public officials who indicate their actions on a
matter will be influenced by whether they receive
a campaign contribution put themselves at risk of
being accused of soliciting a bribe or extortion.
• The legal restrictions on campaign fund-raising
are minimum standards.

FOR MORE INFORMATION

PENALTIES
The disqualification requirements are part of the Political Reform Act. A refusal to disqualify one-self is punishable by a variety of civil, criminal and administrative penalties, depending on the severity of the violation and the degree of intent to violate the law that enforcement entities are able to demonstrate.
66 These penalties can include any or all of the following:
» Immediate loss of office;67
» Prohibition from seeking elected office in the future;68 » Fines of up to $10,000 or more depending on the
circumstances;69 and
» Jail time of up to six months.70

FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

See the following resources:
» “Raising Funds for Favorite Causes,” available at
www.ca-ilg.org/fundraising.
» Institute resources on ethics on the campaign
trail, see
www.ca-ilg.org/ campaigning-office.
» “FPPC resources on campaign contribution limits,
see www.fppc.ca.gov/learn/ campaign-rules/
state-contribution-limits.html.
»”Campaign Disclosure Manual 2 – Information for
Local Candidates, Superior Court Judges, Their
Controlled Committees, and Primarily Formed
Committees for Local Candidates,” 2016.

Available at www.fppc.ca.gov/learn/ campaign-
rules/ campaign-disclosure-manuals.html.

For specific questions, please contact the Fair
Political Practices Commission or agency counsel.

ATTACHMENT A
Institute for Local Government | 81
Agency Staff and
Political Activities

BASIC RULES
There are a number of laws designed to insulate public
employees from having to participate in the campaign
activities of candidates for their agency’s governing board.

Employment Decisions, Soliciting Support
and Campaign Contributions
California law forbids candidates and officials from
conditioning employment decisions on support of a
person’s candidacy.
71 Soliciting campaign funds from agency officers or
employees is also unlawful.
72 There is an exception if the
solicitation is made to a significant segment of the public that happens to include agency officers or employees.
73 Candidates also may not offer or arrange for an increase in salary for an agency employee in exchange for a political contribution.
74 Note that members of the International City/County
Management Association and the City Attorneys
Department of the League of California Cities place a high value on maintaining their independence from the political process. As a result, both organizations encourage their members not to make campaign contributions to local
officials.
75 Engaging in Political Activities During Work Hours or While in Uniform
Engaging in political activities during work hours violates prohibitions against the political use of public resources. 76 Local agencies and school districts may impose additional restrictions on the political activities of employees
during working hours or while on agency property.
77 Such restrictions can include wearing political buttons during work hours and displaying political signs at one’s workstation.
78 Additionally, California law prohibits employees or officers of local agencies from engaging in political activities of any kind while in uniform.
79 For more information about the use of public resources for political purposes, see Chapter 3.

PENALTIES
Violation of the prohibition against soliciting campaign funds from agency staff is punishable as a misdemeanor. 80 Offering or arranging a raise for an agency employee in exchange for a contribution is punishable by up to a year in county jail, a fine of up to $5,000 or both.
81 No penalties are specified in the code sections creating the prohibitions against conditioning employment decisions
on political support or against engaging in political
activities while in uniform.
82 Presumably violations would
fall into the catchall penalty for misconduct in office, which is loss of office.
83 Public officials face both criminal and civil penalties for using public resources for political benefit.
84 See Chapter 3
for more details.

FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

ATTACHMENT A
82 | Understanding the Basics of Public Service Ethics Laws | FAIR PROCESS LAWS AND MERIT-BASED DECISION-MAKING Holding Multiple Public Offices
There is such a thing as too much public service; the
law limits the degree to which public officials can
simultaneously hold multiple offices. The reason is, when an official assumes a public office, he or she takes on responsibility to the constituents of that agency to put their interests first. When an official occupies multiple offices in multiple agencies, fulfilling that responsibility becomes more complicated, both legally and ethically.

Potential legal issues include:
» Political Reform Act issues when the official is in the position of making decisions that affect the official’s economic interests. This issue is covered in Chapter 2; » Section 1090 issues when the official’s position is such that the official has an interest in a contract in which the agency is involved. This issue is also covered in
Chapter 2; and
» Incompatibility of office issues (for example,
membership on the city council and serving on the
board of another local agency) when the official’s
offices are such that the official may be subjected to
conflicting loyalties.
85 The incompatible office holding problem differs from a conflict of interest that involves a potential clash
between one’s private interest and one’s public duties, incompatibility of offices normally refers to the “public- public” situation where no personal conflict of interest is involved. Instead there is a potential clash between one’s responsibility to two sets of constituents.

A similar but different conflict can arise when a local agency officer engages in incompatible employment
activities. Here, there is only one public office with the conflict arising from the outside employment activity.
86 BASIC RULES
California law prohibits public officers from simultaneously holding multiple offices that are “incompatible” with one another.
87 Offices are incompatible when:
» Either of the offices may audit, overrule, remove
members of, dismiss employees of, or exercise
supervisory powers over the other office or body;
» Based on the powers and jurisdiction of the offices, there is a possibility of significant clashes of duties or loyalties between the offices; or
» Public policy considerations make it improper for the position of making decisions that affect the official’s economic interests. This issue is covered in Chapter 2; The notion underlying the prohibition is that it can be unfair and unwise to have decision-makers who are
supposed to have just one agency’s (and one agency’s
constituents) interests at heart assume multiple
decision-making roles. As the Attorney General
observed, the public is entitled to utmost loyalty from those who occupy offices.
89 This restriction on holding multiple public offices only applies to positions that are considered to be offices— including appointed or elected members of a governmental board, commission, committee, or other body.
90 The
restriction does not apply to positions of employment in an agency,
91 although employees may be prohibited from
serving on the governing bodies of agencies in which they are employed.
92 Note there can be specific legislative exceptions to this rule.
93 Under some circumstances, local agencies may
allow simultaneous occupancy of what would otherwise
be incompatible offices.
94 When one assumes a public office, one takes
on responsibility to the constituents of that
agency to put their interests first. When one
occupies multiple offices in multiple agencies,
that job becomes more complicated…

ATTACHMENT A
Institute for Local Government | 83

SPECIAL ISSUES
Employees Who Run for the Governing Board of Their
Public Agency Employers
Generally, an individual may not serve as an elected or appointed member of a local agency’s governing board
if he or she is an employee of the local agency.
95 If the
employee does not resign, the individual’s employment
automatically terminates upon being sworn into office.
96 Volunteer firefighters are exempt from these provisions if the firefighter receives no salary.
97 Individual Agency Guidelines
Local agencies must adopt rules regarding incompatible
employment activities.
98 FOR MORE INFORMATION
On holding multiple offices see “Holding T wo Positions” available online at www.fppc.ca.gov/learn/ public-
officials-and-employees-rules-/ conflict-of-interest/
holding-two-positions.html.

For specific questions, please contact the Fair Political Practices Commission or agency counsel.

PENALTIES
If an official accepts a second office that is incompatible with an office he or she currently holds, the prior office automatically terminates when the official is sworn into the second office.
99 FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

ATTACHMENT A
84 | Understanding the Basics of Public Service Ethics Laws | FAIR PROCESS LAWS AND MERIT-BASED DECISION-MAKING Competitive Bidding Processes
for Public Contracts

BASIC RULES
Public contracting laws — including those adopted at the local level — are designed to give all interested parties the opportunity to do business with the government on an
equal basis.
100
This keeps contracts from being steered to businesses or individuals because of political connections, friendship, favoritism, corruption or other factors. It also assures that the public receives the best value for its money by promoting competition among businesses.
101
Many competitive bidding requirements are locally
imposed, for example by charter cities as part of their municipal affairs authority.
102 California law also authorizes
local agencies to adopt procedures for acquisition of
supplies and equipment.
103 Most purchasing ordinances
require competitive bids for contracts in excess of
designated dollar amounts.

For public works projects, California law defines when
general law cities and counties must use competitive
bidding. For general law cities, public works projects over $5,000 are subject to the state’s competitive bidding
requirements.
104 For county projects, the threshold is based
on population: $6,500 (counties with populations of
500,000 or over),
105 $50,000 (counties with populations
of 2 million or over)106 and $4,000 (all other counties).107 Note that it is a misdemeanor to split projects to avoid competitive bidding requirements.
108
The contract for a competitively bid public project must be awarded to the lowest responsible bidder.
109 A responsible
bidder is one who is able to perform the contract if
awarded.
110

EXCEPTIONS
Emergency
Contracts may be awarded without competitive bidding if the legislative body makes a finding by a four-fifths vote that an emergency exists.
111
Professional Services
Contracts for professional services such as private
architectural, landscape architectural, engineering,
environmental, and surveying, or construction
management firms need not be competitively bid,
but must be awarded on the basis of demonstrated
competence and on the professional qualifications
necessary for the satisfactory performance of the services required.
112 However, if the professional services are too
closely akin to the work typically performed by public
works construction contractors (for example, some
services performed by construction managers), then
competitive bidding may be required.
113
Special Services
The legislative body of any public agency may contract
with and employ persons for special services and advice in financial, economic, accounting, engineering, legal, or administrative matters if such persons are specially trained and experienced and competent to perform the special
services required.
114 The test as to whether services are
special services depends on the nature of the services, the necessary qualifications required of a person furnishing the services, and the availability of the service from public sources.
115

ATTACHMENT A
Institute for Local Government | 85
Design-Build
Design-build is a method of project delivery in which
the design and construction functions are combined and
contracted to a single entity (called the “design builder”).

Local agencies (defined to include cities, counties
and special districts
116), with approval of the agency’s
governing body, may use design-build contracting for
building construction projects over one million dollars. 117
Local agencies may award design-build projects using
either the lowest responsible bidder or best value.
118

FOR MORE INFORMATION
On public agency procurement processes,
see the Institute resources available at
www.ca-ilg.org/ post/fair-procurement.

PENALTIES
An agency that improperly awards a bid to any bidder
other than the lowest responsible bidder may be liable for reimbursing the low bidder’s actual cost in submitting the bid, but will not be liable for the low bidder’s lost profits. 119

HONEST SERVICES, FRAUD

AND EXTORTION
Under federal wire and mail fraud laws, the
public has the right to the “honest services” of
public officials.
120
The basic concept is that a public official owes
a duty of loyalty and honesty to the public—
similar to a trustee or fiduciary.
121 That duty is
violated when a public official makes a decision
that is not motivated by his or her constituents’
interests but instead by his or her personal
interests.
122 Specifically, honest services fraud
refers to actions that constitute bribery and
kickback schemes.
123
“Kickbacks” (for example, receiving money
back from proceeds paid to a company
that does business with a public entity) in
exchange for favorable contracting decisions
is one area in which prosecutors have been
particularly active.

The maximum penalty for being guilty of wire
and/ or mail fraud includes a jail term of up to
20 years and a $250,000 fine.
124
An official’s refusal to award a contract unless
the individual receives benefits can also be
prosecuted as extortion.
125 T o be chargeable
as a federal offense, the act must affect
interstate commerce. The maximum penalty
for extortion under federal law is 20 years in
prison and a $250,000 fine.
126
For more information about honest services,
fraud and extortion, see “Making a Federal Case
Out of Corruption,” available at www.ca-ilg.org/
fedcase.

ATTACHMENT A
86 | Understanding the Basics of Public Service Ethics Laws | FAIR PROCESS LAWS AND MERIT-BASED DECISION-MAKING Whistle-Blowing Protections

BASIC RULES
California whistle-blowing laws make it unlawful for
employers to retaliate against employees who refuse
to participate in unlawful activities.
127 Furthermore, if
an employee can demonstrate by a preponderance of
evidence that his or her whistle-blowing activities were a contributing factor in an adverse employment action,
the burden of proof then shifts to the employer to
demonstrate by clear and convincing evidence that the
employer would have taken the action for “legitimate,
independent reasons” even if the employee had not been
a whistle-blower.
128 These protections apply specifically to
local agency employees.129
California law requires employers to post the state
attorney general’s whistle-blower hotline number at the workplace.
130 Any employee or member of the public
can call the hotline at (800) 952-5225 to register their concerns about potentially unlawful practices.
131

FOR MORE INFORMATION

PENALTIES
Violation of whistle-blower protection laws is a
misdemeanor.
132 The maximum criminal penalty for an
individual is a year of jail time, a fine of $1,000 or both.133 In the case of corporations, the criminal penalty is a fine of up to $5,000.
134
In addition, retaliation against an employee for whistle- blowing activities could result in a suit for violation of the employee’s civil rights.
135 Such actions carry the prospect
of damages136 and attorney’s fees awards.137

FOR MORE INFORMATION
On penalties for ethics law violations,
see www.ca-ilg.org/ consequences.

On whistle-blower protections, see the following
resources:
» “For Whom the Whistle Blows,” available at
www.ca-ilg.org/whistle.
» Walking the Line: What to do When Y ou Suspect
an Ethics Problem, 2005. Available at
www.ca-ilg.org/WhatT oDo.

ATTACHMENT A
Institute for Local Government | 87
Endnotes and Additional
Information
Note: The California Codes are accessible at http:/ /leginfo. legislature.ca.gov/. Fair Political Practices Commission regulations are accessible atwww.fppc.ca.gov/the-law/
fppc-regulations/ regulations-index.html. A source for case law information is www.findlaw.com/ cacases/ (requires
registration).
1 See Nus sbaum v. Weeks, 214 Cal. App. 3d 1589, 1597-98, 263 Cal.

Rptr. 360, 365-66 (4th Dist. 1989).
2 See
Breakzone Billiards v. City of Torrance, 81 Cal. App. 4th 1205, 1234 n.23, 97 Cal. Rptr. 2d 467 (2d Dist. 2000) (finding no common law bias).
3 See
Clark v. City of Hermosa Beach, 48 Cal. App. 4th 1152, 56 Cal.

Rptr. 2d 223 (2d Dist. 1996) (finding common law bias). 4 Haas v
. County of San Bernadino, 27 Cal. 4th 1017, 119 Cal. Rptr. 2d. 341 (2002).
5 See Br
eakzone, 81 Cal. App. 4th at 1234 n.23, 97 Cal. Rptr. 2d at 490.
6 See, e.g.
, Nightlife Partners, Ltd. v. City of Beverly Hills, 108 Cal. App. 4th 81, 89, 133 Cal. Rptr. 2d 234, 241 (2d Dist. 2003). 7 Nightlif
e Partners, 108 Cal.App.4th at 97-98, 133 Cal. Rptr. 2d at 248.
8 See F
airfield v. Superior Court, 14 Cal. 3d 768, 122 Cal. Rptr. 543 (1975); Mennig v. City Council, 86 Cal. App. 3d 341, 150 Cal. Rptr. 207 (2d Dist. 1978).
9 See C
ohan v. City of Thousand Oaks, 30 Cal. App. 4th 547, 35 Cal. Rptr. 2d 782 (2d Dist. 1994) (where local ordinance called for “person” appealing planning commission decision to city council to show cause why the commission’s action should be overturned, city council’s decision to appeal the action to itself was an appearance of conflict of interest and was part of overall violation of developer’s substantive and procedural due process rights).
10 F
airfield v. Superior Court, 14 Cal. 3d 768, 122 Cal. Rptr. 543 (1975). 11 Nasha v
. City of Los Angeles, 125 Cal. App. 4th 470, 482, 22 Cal.

Rptr. 3d 772 (2004).
12 See gener
ally Cal. Civ. Proc. Code § 1094.5. See Clark v. City of Hermosa Beach, 48 Cal. App. 4th 1152, 56 Cal. Rptr. 2d 223 (2d Dist. 1996) (requiring the council to rehear an appeal from the planning commission’s decision and provide a fair hearing). 13 See
42 U.S.C. §§ 1983, 1988.
14 Cal. P
enal Code § 86.
15 91 Cal. Op
. Att’y Gen. 46 (2008).
16 Cal. P
enal Code § 86.
17 See
Cal. Pen. Code § 88. See also Cal. Elect. Code § 20 (making those convicted of a felony involving bribery, embezzlement, extortion or theft of public money ineligible for public office); Cal. Gov’t Code § 1770(h) (providing a vacancy occurs upon conviction of a felony or of any offense involving a violation of official duties).
18 Cal. Go
v’t Code § 87460(a), (b).
19 See
Cal. Gov’t Code § 87460(c), (d).
20 See
Cal. Gov’t Code § 87461.
21 See gener
ally Cal. Gov’t Code §§ 91000-14.
22 See
Cal. Gov’t Code § 1770(h) (providing a vacancy occurs upon conviction of a felony or of any offense involving a violation of official duties).
23 See
Cal. Gov’t Code § 91002 (providing no person convicted of a misdemeanor under the Political Reform Act shall be a candidate for any elective office or act as a lobbyist for a period of four years following the date of the conviction).
24 Cal. Go
v’t Code § 91000(b).
25 See
Cal. Penal Code § 19 (providing misdemeanors are punishable by imprisonment in county jail up to six months, a fine not exceeding $1,000, or both).
26 2 Cal. C
ode Regs. § 18700.
27 See
Cal. Gov’t Code § 82029.
28 See gener
ally Cal. Gov’t Code §§ 91000-14.
29 See
Cal. Gov’t Code § 1770(h) (providing a vacancy occurs upon conviction of a felony or of any offense involving a violation of official duties).
30 See
Cal. Gov’t Code § 91002 (providing no person convicted of a misdemeanor under the Political Reform Act shall be a candidate for any elective office or act as a lobbyist for a period of four years following the date of the conviction).
31 Cal. Go
v’t Code § 91000(b).
32 See
Cal. Penal Code § 19 (providing misdemeanors are punishable by imprisonment in county jail up to six months, a fine not exceeding $1,000, or both).
33 See, e.g.
, People v. Honig, 48 Cal. App. 4th 289, 55 Cal. Rptr. 2d 555 (1996).
34 See
Cal. Gov’t Code § 91003(b).
35 T
his is a requirement of the Political Reform Act. See generally Cal.

Gov’t Code §§ 84100-511.
36 Cal. Go
v’t Code § 82015; 2 Cal. Code Regs. § 18421.1.
37 W
oodland Hills Residents Association v. City Council, 26 Cal. 3d 938, 164 Cal. Rptr. 255 (1980). But see Cal. Gov’t Code § 84308; 2 Cal. Code Regs. §§ 18438.1-.8 (defining who is disqualified from acting on a land use entitlement application after receipt of a campaign contribution).
38 Cal. Go
v’t Code § 84308(c).
39 See
Cal. Gov’t Code § 82015; 2 Cal. Code Regs. § 18215.
40 See
Cal. Gov’t Code § 84308(b).
41 See
Cal. Gov’t Code § 84308(a)(3); 2 Cal. Code Regs. § 18438.1.

ATTACHMENT A
88 | Understanding the Basics of Public Service Ethics Laws | FAIR PROCESS LAWS AND MERIT-BASED DECISION-MAKING 42 See
Cal. Gov’t Code § 84308(a)(4); 2 Cal. Code Regs. § 18438.1.

See also Davis Advice Letter No. A-02-344.
43 See
Cal. Gov’t Code § 84308(b), (c); 2 Cal. Code Regs. §
18438.4.
44 See
Cal. Gov’t Code § 84308(a)(2).
45 Id
.
46 Cal.P
en. Code §518; 18 U.S.C. § 1951.
47 Cal. P
enal Code § 521.
48 Cal. P
enal Code § 19.
49 Cal. Go
v’t Code §§ 3060-3074.
50 18 U.S.

C. § 1951(a). See generally 18 U.S.C. § 3571(b).
51 See
Cal. Gov’t Code § 84308(a)(5); 2 Cal. Code Regs. § 18438.2. 52 Cal. Go
v’t Code § 65901.
53 Cal. Go
v’t Code § 65906.
54 Cal. Go
v’t Code §§ 66411-413.5.
55 Cal. Go
v’t Code §§ 4526, 37103, 53060.
56 Cal. Go
v’t Code § 84308(d); 2 Cal. Code Regs. § 18438.8.
57 Cal. Go
v’t Code § 84308(c).
58 Id
.
59 Id
.
60 Id
.
61 Id
.
62 Id
.
63 Cal. Go
v’t Code § 84308(b).
64 Id
.
65 Cal. Go
v’t Code § 84308(d).
66 See gener
ally Cal. Gov’t Code §§ 91000-14.
67 See
Cal. Gov’t Code § 1770(h) (providing a vacancy occurs upon conviction of a felony or of any offense involving a violation of official duties).
68 See
Cal. Gov’t Code § 91002 (providing no person convicted of a misdemeanor under the Political Reform Act shall be a candidate for any elective office or act as a lobbyist for a period of four years following the date of the conviction).
69 Cal. Go
v’t Code § 91000(b).
70 See
Cal. Penal Code § 19 (providing misdemeanors are punishable by imprisonment in county jail up to six months, a fine not exceeding $1,000, or both).
71 See
Cal. Gov’t Code § 3204, which reads as follows: No one who holds, or who is seeking election or appointment to, any office or employment in a state or local agency shall, directly or indirectly, use, promise, threaten or attempt to use, any office, authority, or influence, whether then possessed or merely anticipated, to confer upon or secure for any individual person, or to aid or obstruct any individual person in securing, or to prevent any individual person from securing, any position, nomination, confirmation, promotion, or change in compensation or position, within the state or local agency, upon consideration or condition that the vote or political influence or action of such person or another shall be given or used in behalf of, or withheld from, any candidate, officer, or party, or upon any other corrupt condition or consideration. This prohibition shall apply to urging or discouraging the individual employee’s action.
72 See
Cal. Gov’t Code § 3205.
73 See
Cal. Gov’t Code § 3205(c).
74 See
Cal. Gov’t Code § 3205.5, which reads as follows: No one who holds, or who is seeking election or appointment to, any office shall, directly or indirectly, offer or arrange for any increase in compensation or salary for an employee of a state or local agency in exchange for, or a promise of, a contribution or loan to any committee controlled directly or indirectly by the person who holds, or who is seeking election or appointment to, an office. A violation of this section is punishable by imprisonment in a county jail for a period not exceeding one year, a fine not exceeding five thousand dollars ($5,000), or by both that imprisonment and fine.
75 T
he ICMA Code is available on the ICMA website at:
http:/ / icma.org/ codeofethics.
76 See
Cal. Gov’t Code § 8314.
77 See
Cal. Gov’t Code § 3207 (providing that any city, county or local agency may prohibit or restrict officers and employees engaging in political activity during working hours and political activities on agency premises); Cal. Educ. Code § 7055; 5 U.S.C. §§ 7321-26 (prohibiting employees of state and local executive agencies who work in connection with programs financed in whole or in part by federal loans or grants from engaging in political activities while on duty).
78 See
Cal. Teachers Ass’n v. Governing Bd., 45 Cal.App.4th 1383, 53 Cal.Rptr.2d 474 (1996); 5 C.F.R. § 734.306 example 16 (with limited exception, those employees working in connection with federally funded programs “may not wear partisan political buttons or display partisan political pictures, signs, stickers, or badges while he or she is on duty or at his or her place of work.”). 79 Cal. Go
v’t Code § 3206. See also Cal. Gov’t Code § 3302.
80 See
Cal. Gov’t Code § 3205
81 See
Cal. Gov’t Code § 3205.5, which reads as follows: No one who holds, or who is seeking election or appointment to, any office shall, directly or indirectly, offer or arrange for any increase in compensation or salary for an employee of a state or local agency in exchange for, or a promise of, a contribution or loan to any committee controlled directly or indirectly by the person who holds, or who is seeking election or appointment to, an office. A violation of this section is punishable by imprisonment in a county jail for a period not exceeding one year, a fine not exceeding five thousand dollars ($5,000), or by both that imprisonment and fine.
82 See
Cal. Gov’t Code §§ 3204, 3206.
83 See
Gov’t Code §§ 3060-75. See also Steiner v. Superior Court, 50 Cal.App.4th 1771, Cal. Rptr.2d 668 (1996) (discussing the types of misconduct warranting removal from office under section 3060).
84 See
Cal. Penal Code § 424; Cal. Gov’t Code § 8314.

ATTACHMENT A
Institute for Local Government | 89
85 See
Cal. Gov’t Code § 1099.
86 See
Cal. Gov’t Code § 1126.
87 Cal. Go
v’t Code § 1099(a).
88 Cal. Go
v’t Code § 1099(a)(1)-(3).
89 91 Cal. Op
. Att’y Gen. 25 (2008)
90 Cal. Go
v’t Code § 1099(a).
91 Cal. Go
v’t Code § 1099(c).
92 Cal. Go
v’t Code § 53227(a); Cal. Educ. Code §§ 35107(b)(1),
72103(b)(1).
93 See, e.g.
, Cal. Health & Safety Code § 6480(b) (relating to city officials serving on sanitary districts) See also 85 Cal. Op. Att’y Gen. 239 (2002) (noting the Legislature can create exceptions to the incompatibility doctrine).
94 See
66 Cal. Op. Att’y Gen. 293 (1983) (offices of city and county planning commission are incompatible but county and charter city may adopt legislation specifying otherwise).
95 See
Cal. Gov’t Code § 53227 (for cities, counties and special districts); Cal. Educ. Code §§ 35107(b)(1) (school districts), 72103(b)(1) (community college districts). See also 84 Cal. Op.

Att’y Gen. 126 (2001) (community college board member may not become part-time instructor for district).
96 Cal. Go
v’t Code § 53227(a); Cal. Educ. Code §§ 35107(b)(1),
72103(b)(1).
97 See
85 Cal. Op. Att’y Gen. 230 (2002) (“salary” does not include per-call and equipment stipends).
98 Cal. Go
v’t Code § 1126(c).
99 Cal. Go
v’t Code § 1099(b) (noting that this position is
enforceable through Civil Procedure Code section 803). People ex rel. Chapman v. Rapsey, 16 Cal. 2d 636, 107 P.2d 388 (1940). See also Cal. Gov’t Code § 1126.
100
See
Cal. Pub. Cont. Code § 100.
101
Id
.
102
Smith v
. City of Riverside, 34 Cal. App. 3d 529, 110 Cal. Rptr. 67 (4th Dist. 1973). See also Cal. Pub. Cont. Code § 1100.7. 103
Cal. Go
v’t Code §§ 54201-25.
104
Cal. P
ub. Cont. Code § 20162.
105
Cal. P
ub. Cont. Code § 20122.
106
Cal. P
ub. Cont. Code § 20123.
107
Cal. P
ub. Cont. Code § 20121.
108
Cal. P
ub. Cont. Code § 20163.
109
Cal. P
ub. Cont. Code § 20162.
110
See
Cal. Pub. Cont. Code § 1103.
111
Cal. P
ub. Cont. Code §§ 1102, 20168, 22050.
112
Cal. Go
v’t Code § 4526.
113
C
ity of Inglewood-Los Angeles County Civic Ctr. Auth. v. Superior Court, 7 Cal. 3d 861, 103 Cal. Rptr. 689 (1972).
114
Cal. Go
v’t Code § 53060.
115
Cal. School Emplo
yees Ass’n v. Sunnyvale Elementary Sch. Dist., 36
Cal. App. 3d 46, 60, 111 Cal. Rptr. 433, 442 (1st Dist. 1973). 116
Cal. P
ub. Cont. Code § 22161(f).
117
Cal. P
ub. Cont. Code § 22162.
118
Cal. P
ub. Cont. Code § 22164.
119
K
ajima/Ray Wilson v. Los Angeles County Metro. Transp. Auth., 23 Cal. 4th 305, 315-16, 96 Cal. Rptr. 2d 747 (2000).
120
18 U.S.

C. §§ 1341 (mail fraud), 1343 (wire fraud), 1346 (honest services).
121
U.S. v
. Sawyer, 239 F.3d 31, 39 (1st Cir. 2001) (finding sufficient evidence of guilt apart from proof of violation of state law). 122
U.S. v
. Lopez-Lukis, 102 F.3d 1164, 1169 (11th Cir. 1997) (noting that effort to improperly control composition of decision- making body constituted an effort to deprive public of honest services); McNally v. U.S., 483 U.S. 350 at 362-63 (Justice Stevens, dissenting).
123
See Skilling v
. U.S., 130 S.Ct. 2896, 2931(2010) (holding that
in order to avoid unconstitutional vagueness, 18 USC §1346, defining “scheme or artifice to defraud,” only criminalizes bribes and kick-back schemes).
124
18 U.S.

C. § 1951.
126
18 U.S.

C. § 1951(a).
127
See
Cal. Lab. Code § 1102.5(c) (“An employer, or any person acting on behalf of the employer, shall not retaliate against an employee for refusing to participate in an activity that would result in a violation of state or federal statute, or a violation of or noncompliance with a local, state, or federal rule or regulation.”). 128
Cal. Lab
. Code § 1102.6.
129
See
Cal. Lab. Code § 1106.
130
See
Cal. Lab. Code § 1102.8 (requiring employers to post
employees’ rights and responsibilities under the whistle- blower laws, including the telephone number for the Attorney General’s hotline).
131
See
Cal. Lab. Code § 1102.7 (requiring the Attorney General to set up the hotline).
132
Cal. Lab
. Code § 1103.
133
Id
.
134
Id
.
135
See, e.g., C
onnick v. Myers, 461 U.S. 138, 103 S.Ct. 1684 (1983);
Pickering v. Bd. of Educ. of Twp. High Sch. Dist. 205, Will County, Ill., 391 U.S. 563, 88 S.Ct. 1731 (1968); Garcetti v. Ceballos, 547 U.S. 410, 126 S. Ct. 1951(2006).
136
42 U.S.

C. § 1983.
137
42 U.S.

C. § 1988.

ATTACHMENT A
1400 K Street, Suite 205
Sacramento, California 95814
T elephone: 916.658.8208
Fax: 916.444.7535 www.ca-ilg.org
Hard copies available for purchase.

Email [email protected] for more information.

ATTACHMENT A
Your Role as an Elected Official

ATTACHMENT A
Your Role As A Local Elected Official
How Well-Informed Public Officials Promote the Public
Interest*
Training, education and keeping abreast of developments essential for the pub lic service are the oldest form of education in California. The first compulsory education of which there is a record was f
or the public service.

The seventh Governor of California, Diego de Borica, a man of wit and charm, took office in 1794. This was 50 years before the ability to read, write and update one’s knowledge of changing events was considered necessary for the common man. Finding that only 14 of his 50 soldiers at the capital in Monterey had the ability to read and write, de Borica made available the three touchstones of keeping up to date (teachers, money and materials) and started California’s first compulsory education program, confining it to those in public service.

Nearly
another century passed before there was compulsory education in California for the general populace. Consequently, any discussion of the role of elected leaders in California in “keeping up” stems from venerable precedents.

Thirty years ago, the League of California Cities published Municipal Post-entry Training Needs and Resources, which fostered modern policies to make available time, money and materials for keeping abreast.

One could spend an entire career exam ining the endless diversities of mayors, council persons, other city officials and the ways in which leadership greatness occurs. No matter how long the list or how exhaustive the examples, one recurring characteristic of leaders is an unquenchable thirst to learn, to absorb, to put theory into practice, and to follow and understand the ebb and flow of events as they unfold.

Very
often, one finds extremely able women a nd men in governmental leadership positions who are skilled analysts bu t who cannot move from analysis to action because they lack the best and m
ost current information. Maybe this is what General Carl Spatz had in mind when he said of a fellow officer in World War II, “He thinks things through very carefully and then goes off half- cocked.”
What is often lacking to keep local governmen t officials from going off “half-cocked” is an inability to relate the specif ic situation in their city to the general situation or em erging trends and experiences of other cities and other local government officials, whether elected or appointed.

There is nothing sadder or more depressing than to hear from a public official, “I don’t have time to
go to this training program, or that statewide meeting of a Cal Cities department.” Or, “Our budget is too tight to spend money on trying to learn something new.” Or, “We are not interested in what is going on in Sacramento, or within the various professions that make
up local government, or how other cities similar to ours met and solved that problem.” *
by Randy H. Hamilton, Institute of Governmental Affairs, University of California, Berkeley. Reprinted with permission from Western City magazine.

League of California Cities
New Mayors and Council Members Academy

ATTACHMENT A
Your Role As A Local Elected Official
City officials are always quick to point out, and rightly so, the differences between the public and private sectors. One of the differences they frequently overlook is that when things are tough in the private sector the last thing that gets the budget ax is research, training and development.

W
hat are the first things that get cut when things are tough in the public sector? They are budgeted funds for training, continuing education and attendance at professional m eetings to acquire
the newest knowledge and ways of doing things. This approach to allocation of resources is
one of the main differences between the public and the private sectors.

Local
government leaders need a far-reaching “education” in the broadest sense: exposure to different points of view and current trends. City officials need the ability to openly look at issues and
to adapt their thinking to clearly reflect the m atters at hand, to seek the widest possible spectrum of orientation and options for policy form u lation and implementation. It is often from the clash of old and new ideas that learning begins to take shape.

Cal Cities, through its many conferences, institutes, regional division activities, and the annual conference, provides an ideal vehicle for city officials, without enrolling in formal degree or training programs, to fulfill individual goals and improve public activities. Cal Cities does this by making “education” -- broadly defined -- become part of the everyday business of governance.

I
f history teaches us anything, it is that neither Plato’s philosopher-kings nor Jackson’s untutored citizenry
can, in today’s world, safely manage a free society. There may have been a time in the past when cities could be run on the theory that any person could conduct the affairs of a municipality just as any person might poke a fire or rock a baby, but that won’t suffice today or tomorrow.

Our urban areas are becoming too complex and central to the society in which we live for that simplistic approach to policy-setting, management and public endeavor.

An
“educated” newly elected or appointed official has just begun his or her education upon election or appointment. He or she reads, discusses, assimilates knowledge all through the tenure in public life. It has become increasingly difficult for the well-educated to remain well-educated, h
owever brilliant the individual may be. If he or she is in a moderately specialized professional field - - as most are -- it is a difficult job to keep u p with advances in one’s own field, but doing so must not hinder or interfere with doing so in fulfillment of public responsibilities.

I
recall an incident concerning a friend, an elected council person who was “too busy” to attend a specialized
Cal Cities conference. Had he attended, he would have learned that the speech he delivered at a City Council meeting, which was widely quoted in the press, urged approval of a policy that was clearly illegal. All hands suffe red indignity and embarrassment when the city
attorney and city manager had to publicly refute the council member’s position because he was “too busy” to keep up with the kaleidoscope of affairs municipal.

The late Justice Felix Frankfurter put it succinctly:
“Without . . . highly trained, imaginative and c ourageously disinterested public officials the democratic aim of our society cannot be achieved. Such a body of public officials is indispensable, no matter what social and econom ic policies may express the popular will in the
League of California Cities
New Mayors and Council Members Academy

ATTACHMENT A
Your Role As A Local Elected Official
executive and legislative branches of Government.”
Would that every public official in every city in California took as an essential task continuing education and training in the broad sense expresse d here. Then, perhaps, they would achieve the wish best expressed in the words of John Masefield’s couplet:

There were three men, as
Down the road came he;
The man they saw, the man he was,
The man he wanted to be.

League of California Cities
New Mayors and Council Members Academy

ATTACHMENT A
Your Role As A Local Elected Official
This page intentionally left blank
League of California Cities
New Mayors and Council Members Academy

ATTACHMENT A
Your Role As A Local Elected Official
League of California Cities New Mayors and Council Members Academy Steering the Ship[1]
“When I ran for office, I was the captain of my ship, steaming through a successful election. Now that I’m a city council member, I feel like a novice on a tiny sailboat, tacking from point to point, trying to make headway.”
-- former Minneapolis city council member
Cooperation, coordination, collaboration – not unfamiliar concepts for most municipalities. But how can communities really practice these concepts? And what, in particular, is the role of elected and professional leaders in promoting them?
One popular strategy for reinventing community is reinventing how cities provided services to citizens – making them easier to use and cheaper to implement by reducing overlap and duplication. This strategy has worked effectively in cities of many sizes, and is often necessary to access complicated state and federal resources. A collaborative stance, however, can be an uneasy position for elected officials. After all, elected officials are accustomed to shaping their destinies, and city staff are accustomed to charting careful progress with procedures that emphasize stability and uniformity.

So what is collaboration? How is it different from the work most groups are used to doing? And how can city leaders promote an d sustain effective collaborations? In this discussion. We’ll use a broadly accepted definition of collaboration from the Collaboration Handbook: Creating, Sustaining and Enjoying the journey by Karen Ray and Michael Winer: “Collaboration is a mutually beneficial and well -defined relationship entered into by two or more organizations to achieve results they are more likely to achieve together than alone.” A Metaphor for Collaborating
In the past, when we wanted to improve ourselves we created a tas k force or an office to make changes, to oversee planning, and to spend resources. We added programs, staff or facilities to ensure we met our needs. In essence, we built a bigger boat. It’s always been done that way. This way, we’re in control of the ship and we can clearly assign accountability to specific individuals.

We can forecast the cost of building a bigger boat and predict any risk.

Unfortunately, we’ve learned that all that luxurious control carries a high price tag. Staff and programs cost money and our huge vessel grows difficult to navigate. It’s almost as if we’ve set up a wonderful target for all the rest of the flotilla to attack. For we are not in our boat alone.

Many of our citizens and the organizations they belong to also care passionately about the services the city provides. Many people are shipping off to a destination called Reinventing Community in various crafts like canoes, dugouts, speedboats, tugs, barges, and anything else that can float. [1] This article is reprinted with permission from the June-July 1997 issue of Minnesota Cities Magazine, a publication of the League of Minnesota Cities. Written by Karen Ray, president of Karen Ray Associates.

ATTACHMENT A
Your Role As A Local Elected Official
League of California Cities New Mayors and Council Members Academy Collaborating is like bu ilding a marina – making space for everyone’s vessel; collecting all that passionate interest and using it effectively. A marina handles many different ships or boats, and creates order so each can move the way it needs to. The role of leaders is to create an environment that promotes collaboration. Leaders are like managers of marinas, or of environments that encourage redesign of systems and bail our duplication of cost or service.

The Process of Collaboration
Collaborations develop over time – just as marinas do – and are fueled with passion, power and politics. Partnerships usually start person -to-person. A city administrator has lunch with an agency director and they get excited about a new idea. During the first stage of collaboration, individuals imagine the results they want and excite others about that vision – often one person or small group at a time. This stage is characterized by many meetings and revisions of the initial vision statement to reflect everyone’s passions. Our marina makes space for all passionate sailors so the each can participate and contribute.

Passion: The Leader’s Role
Recognize that other people’s passions will not go away. You can rely on them to show up at public meetings, for instance, in order to be heard. How can you round up all of that energy and resources and guide it to good results? Do you have the right pe ople, able to make decisions for their agencies or groups, in the room working together? Now admit to yourself and to others what you will get out of this change. What is your personal self-interest? We use words like “hidden agenda” or “turf” to refer to other people’s selfinterests, but self-interest is not inherently bad after all, it got you your job. Hiding self -interest or being evasive about it is what makes us targets of suspicion.

Gradually, the focus in a collaboration shifts from individuals to the organizations they represent.

It’s great to be passionate about a dream and the desired results, but it’s going to take the organizations’ resources to make those results happen. It’s at this stage that wise partnerships collect everybody’s power and apply it to achieve results. Trying to reduce someone else’s power, ignoring conflicts, and avoiding difficult discussions and decisions indicates that true collaboration is not happening.

Power: The Leader’s Role
At this point leadership may play its most vital role surfacing conflict and keeping the vision and desired results central to decision making. People naturally avoid the difficult discussions and dialogues that true change engenders. Someone may be perceived as a potential “loser” if systems are reformed. Your job as leader is to help the group face that prospect, and treat it professionally and bravely. Do you insist on resolving long-standing conflicts?

ATTACHMENT A
Your Role As A Local Elected Official
League of California Cities New Mayors and Council Members Academy Specific action plans emerge as conflicts are resolved. Organization s make real headway when they start responding to the plans by changing individual policies and procedures. Once again, the marina metaphor illustrates the point: plenty of meetings with marina builders, officials and bureaucrats occur in the marina architect’s office. But all the meetings in the world lead to nothing unless ground is broken and construction begins.

Politics: The Leader’s Role
Partnerships use politics to break ground and accomplish plans. As political will for change builds, a collaboration enters its maturity. Communities are reinvented as city leaders and community participants put new standard operating procedures in place. This takes time so leaders must keep the enthusiasm brewing. Do you openly ask organizations to change policies, and do you help groups assess whether or not the changes are working?
Real Change
Charles Bruner earns us in his book Thinking Collaboratively: Ten Questions and Answers to Help Policy Makers Improve Children’s Services, that efforts to repair fragmented systems often result in “pro forma responses to mandates” rather than in real changes. This is because collaboration requires courage to resolve conflict, and leadership to support the long-term effort required by true partnerships. You can reinvent your community if you remember your role as a leader: to ask yourself these questions so that you create and sustain an environment where the principles of collaboration are applied at all stages of work.

ATTACHMENT A
Your Role As A Local Elected Official
This page intentionally left blank
League of California Cities
New Mayors and Council Members Academy

ATTACHMENT A
Your Role As A Local Elected Official
Council Conduct with City Staff, the Public, and Each Other Council Conduct wi
th One Another
“In life, courtesy and self-possession, and in the arts, style, are the sensible impressions of the free mind, for both arise out of a deliberate shaping of all things and from never being swept away, whatever the emotion, into confusion or dullness.” --William Butler Yeats
Councils are composed of individuals with a wide variety of backgrounds, personalities, values, opinions, and goals. Despite this diversity, all have chosen to serve in public office in order to preserve and protect the present and the future of the community. In all cases, this common goal should be acknowledged even as Council may “agree to disagree” on contentious issues. The City’s Code of Ethics & Values should be referred to for positive statements of ethical behavior.

IN PUBLIC MEETINGS
Use formal titles.

It is preferred that Council refer to one another formally during public meetings as Mayor, Vice Mayor or Council Member followed by the individual’s last name.

Practice civility and decorum in discussions and debate.

Difficult questions, tough challenges to a particular point of view, and criticism of ideas and information are legitimate elements of a free democracy in action. However, making personal, slanderous, threatening, abusive, or disparaging comments is not appropriate. No shouting or physical actions that could be construed as threatening will be permitted.

Honor the role of the Chair in maintaining order.

It is the responsibility of the Chair to keep the comments of all participants on track during public meetings. Council Members should horror efforts by the Chair to focus discussion on current agenda items. If there is disagreement about the agenda or the Chair’s actions, those objections should be voiced politely and with reason, following procedures outlined in Robert’s Rules of Order.

Demonstrate effective problem solving approaches.

Council Members have a public stage to show how individuals with disparate points of view can find common ground and understanding, negotiating solutions that benefit the community as a whole.

IN PRIVATE ENCOUNTERS
Continue respectful behavior in private.

The same level of respect and consideration of differing points of view, that is deemed appropriate for public discussions, should be maintained in private conversation.

League of California Cities
New Mayors and Council Members Academy

ATTACHMENT A
Your Role As A Local Elected Official
Be aware of the insecurity of written notes, voicemail messages, and e-mail.

Technology allows words written or said without much forethought to be distributed wide and far. Would you feel comfortable to have this note faxed to others? How would you feel if this voicemail message was played on a speakerphone in a full office? What would happen if this e- mail message was forwarded to others? Written notes, voicemail messages and e-mail should be treated as potentially “public” communication.

Even private conversations can have a public presence.

Elected officials are always on display – their actions, mannerisms, and language are monitored by people around them that they may or may not know. Lunch table conversations can be eavesdropped upon, parking lot debates may be watched, and casual comments between individuals before and after public meetings noted.

Council Conduct with City Staff

“Whenever there is a human being, there is an opportunity for kindness.” --Seneca
Governance of a City relies on the cooperative efforts of elected officials, who set policy, and the City Manager and staff, who implement and administer the Council’s policies. Therefore, every effort should be made to be cooperative and show mutual respect for the contributions made by each individual for the good of the community.

Treat all staff as professionals.

Clear, honest communication that respects the abilities, experience, and dignity of each individual is expected. Poor behavior towards staff is not acceptable.

Direct staff issues and assignments to the City Manager.

Assignments for City staff and/or requests for additional background information should be directed only
to the City Manager.

Requests for follow-up or directions to staff should only be made through the City Manager or the City Attorney when appropriate. Materials supplied to a Council Member in response to a request will be made available to all members of the Council so that all have equal access to information.

Never publicly criticize an individual employee.

Council should never express concerns about the performance of a City employee in public, to the employee directly, or to the employee’s supervisor. Comments about staff performance should only be made to the City Manager through private correspondence or conversation.

Comments about staff in the office of the City Attorney should be made directly to the City Attorney.

Allow staff to handle administrative functions.

League of California Cities
New Mayors and Council Members Academy

ATTACHMENT A
Your Role As A Local Elected Official
Council Members must not attempt to influence City staff on the making of appointments, awarding of contracts, selecting of consultants, processing of development applications, or granting of City licenses and permits.

Check with the City Manager on correspondence before taking action.

Before sending correspondence, Council Members should check with the City Manager or Executive Assistant to the Mayor and City Council to see if an official City response has already been sent or is in progress.

Limit requests for staff support.

Routine secretarial support will be provided to all Council Members. All mail for Council Members is opened by the Executive Assistant to the Mayor and City Council, unless other arrangements are requested by a Council Member. Mail marked personal or confidential is not opened.

Requests for additional staff support – even in high priority or emergency situations – should be made to the City Manager who is responsible for allocating City resources in order to maintain a professional, well-run City government.

Do not solicit political support from staff.

Council Members should not solicit any type of political support (financial contributions, display of posters or lawn signs, name on support list, etc.) form City staff. City staff may, as private citizens with constitutional rights, support political candidates but all such activities must be done away from the workplace. City employees are prohibited from using City resources, City time or appearing in uniform in relation to political activities.

Council Conduct with the Public
“If a man be gracious and courteous to strangers, it shows he is a citizen of the world, and that his heart is no island cut off from other lands, but a continent that joins to them.” --Francis Bacon

IN PUBLIC

MEETINGS
Making the public feel welcome is an important part of the democratic process. No signs of partiality, prejudice or disrespect should be evident on the part of individual Council Members toward an individual participating in a public forum. Every effort should be made to be fair and impartial in listening to public testimony.

Be welcoming to speakers and treat them with care and gentleness.

Most residents may be nervous speaking before the City Council since they do not do it very often. They may feel uncomfortable and emotional. Putting speakers at ease will allow them to express their viewpoints more effectively, make Council meetings run more efficiently, and help the democratic process be fulfilled.

League of California Cities
New Mayors and Council Members Academy

ATTACHMENT A
Your Role As A Local Elected Official
Be fair and equitable in allocating public hearing time to individual speakers.

The Chair will determine and announce limits on speakers at the start of the public hearing process, per Council policy. Generally, each speaker will be allocated four minutes with applicants and appellants or their designated representatives allowed 10 minutes. If many speakers are anticipated, the Chair may ask for speaker cards to be filled out and may shorten the time limit and/or ask speakers to limit themselves to new information and points of view not already covered by previous speakers.

No speaker will be turned away unless he or she exhibits inappropriate behavior. Each speaker may only speak once during the public hearing unless the Council requests additional clarification later in the process. After the close of the public hearing, no more public testimony will be accepted unless the Chair reopens the public hearing for a limited and specific purpose.

Give the appearance of active listening.

It is disconcerting to speakers to have Council Members not look at them when they are speaking. It is fine to look down at the documents or to make notes, but reading for a long period of time, gazing around the room, or entering into prolonged dialogue with adjacent Council Members or staff gives the appearance of disinterest. Be aware or facial expressions, especially those that could be interpreted as “smirking,” disbelief, anger or boredom.

Ask for clarification, but avoid debate and argument with the public.

Only the Chair – not individual Council Members – can interrupt a speaker during a presentation. However, a Council Member can ask the Chair for a point of order if the speaker is off the topic or exhibiting behavior or language the Council Member finds disturbing.

If speakers become flustered or defensive by Council questions, it is the responsibility of the Chair to calm and focus the speaker and to maintain the order and decorum of the meeting.

Questions by Council Members to members of the public testifying should seek to clarify or expand information. It is never appropriate to belligerently challenge or belittle the speaker.

Council Members’ personal opinions or inclinations about upcoming votes should not be revealed until after the public hearing is closed.

Undertake no personal attacks of any kind, under any circumstance.

Council Members should be aware that their body language and tone of voice, as well as the words they use, can appear to be intimidating or aggressive.

Follow parliamentary procedure in conducting public meetings.

The City Attorney serves as advisory parliamentarian for the City and is available to answer questions or interpret situations according to Roberts Rules or Order. Final rulings on parliamentary procedure are made by the Chair, subject to the appeal of the full Council.

IN UNOFFICIAL SETTINGS
Make no promises on behalf of the Council.

League of California Cities
New Mayors and Council Members Academy

ATTACHMENT A
Your Role As A Local Elected Official
Council Members will frequently be asked to explain a Council action or to give their opinion about an issue as they meet and talk with constituents in the community. It is appropriate to give a brief overview of City policy and to refer to City staff for further information or appropriate action. It is inappropriate to overtly or implicitly promise Council action, or to promise City staff will do something specific (fix a pothole, remove a library book, plant new flowers in the median, etc.)
Make no personal comments about other Council Members.

It is acceptable to publicly disagree about an issue, but it is unacceptable to make derogatory comments about other Council Members, their opinions and actions.

Remember that Council Members are always on display.

Council Members are constantly being observed by the community every day that they serve in office. Their behaviors and comments serve as models for proper deportment in their city.

Honesty and respect for the dignity of each individual should be reflected in every word and action taken by Council Members, 24 hours a day, seven days a week. It is a serious and continuous responsibility.

Council Conduct with Other Public Agencies
Be clear about representing the City or personal interests.

If a
Council Member appears before another governmental agency or organization to give a statement on an issue, the Council Member must clearly state if his or her statement reflects personal opinion or is the official stance of the City.

If the Council Member is representing the City, the Council Member must support and advocate the official City position on an issue, not a personal viewpoint.

If the council Member is representing another organization whose position is different from the City, the Council Member should withdraw from voting on the issue if it significantly impacts or is detrimental to the City’s interest. Council Members should be clear about which organizations they represent and inform the Mayor and Council of their involvement.

Correspondence should also be equally clear about representation.

City letterhead may be used when the Council Member is representing the City and the City’s official position. A copy of official correspondence should be given to the Executive Assistant to the Mayor and City Council to be filed in the Council Office as part of the permanent public record.

Correspondence of Council Members representing a personal point of view on a City issue, or a dissenting point of view from an official Council position, should make it clear that the views expressed represent only the individual Council Member.

League of California Cities
New Mayors and Council Members Academy

ATTACHMENT A
Your Role As A Local Elected Official
Council Conduct wi
th Boards, Commissions and Committees
“We rarely find that people have good sense unless they agree with us.” --Francois, Duc de La Rochefoucauld
The City has established several Boards, Commissions and Committees (collectively referred to as City Commissions) as a means of gathering more community input. Citizens who serve on City Commissions become more involved in government and serve as advisors to the City Council. They are a valuable resource to the City’s leadership and should be treated with appreciation and respect.

If attending a City Commission meeting, express personal opinions only.

Council Mem
bers may attend any City Commission meeting, which are always open to any member of the public. However, they should be sensitive to the way their participation – especially if it is advocating a certain position – could be viewed as unfairly affecting the process. Any public comments by a Council Member at a City Commission meeting should be clearly made as individual opinion and not a representation of the feelings of the entire City Council, unless the Council has taken a position on the topic. Council Members should not appear before a commission on behalf of an individual, business or developer.

Remember that City Commissions serve the community, not individual Council Members.

The City Council appoints individuals to serve on City Commissions, and it is the responsibility of City Commissions to follow policy established by the Council. But City Commission members do not report to individual Council Members, nor should Council Members feel they have the power or right to threaten City Commission members with removal if they disagree about an issue. Appointment and re-appointment to a City Commission should be based on such criteria as expertise, ability to work with staff and the public, and commitment to fulfilling official duties. A City Commission appointment should not be used as political “reward.” Concerns about an individual City Commission member should be discussed with the Mayor. · Be respectful of diverse opinions.

A primary role of City Commissions is to represent many points of view in the community and to provide the Council with advice based on a full spectrum of concerns and perspectives.

Council Members may have a closer working relationship with some individuals serving on the City Commissions, but must be fair and respectful of all citizens serving on City Commissions.

Keep political support away from public forums.

City Commission members may offer political support to a Council Members, but not in a public forum while conducting official duties. Conversely, Council Members may support board and commission members who are running for office, but not in an official forum in their capacity as a Council Member.

League of California Cities
New Mayors and Council Members Academy

ATTACHMENT A
Preparing for Successful Public Meetings:

Checklist for Before, During, and After
These are general suggestions. Formal board,
commission or council meetings will have additional
and more technical preparation requirements.

Before
the Meeting
Th
e Issue
 Deve
lop a clear statement about the topic
and how it might affect the public.
 Se
t clear expectations about the purpose of
the meeting and intended outcomes.
 Cre
ate
an agenda with estimated times, and
whether an item is information, review or a
decision.

Outreach
 Id
entify which type
s of community members
you hope will attend.
 In
addition to advisory boards and task
forces, speak to leaders from a wide range of
groups (such as school, business, faith-
based, health and neighborhood groups).
 Se
nd out an e-blast; issue a press release;
post to blogs.
 Use
social media to announce the meeting
and invite people. Include directions, transit
routes and suggestions about parking.
 Re
ach out to the community; talk to people
one on one
and to groups at their meetings.
 Tra
nslate outreach materials as needed and
share with appropriate community groups.

Logistics
 If y
ou have flexibility, choose a time of day
that is convenient for those you are trying to
include.
 Make sure the facility and equipment are
suited to your intended purpose and
audience.
 Determine if special accommodations are
warranted (for example, food, childcare,
translation services or devices).

Information
 Educ
ate oneself and staff about the topic
ahead of time.
 L
ine up subject matter experts as needed;
explain the need to translate technical
information into plain language that
everyone can understand.
 Make
information available to the public
before the meeting, in a variety of formats
including online and via community
outreach.
 Invit
e que
stions ahead of time.
 De
termine application of open meeting laws
and assure compliance.

During
the Meeting
Expl
aining the Process
 Be clear who is running the meeting.
 De
fine the goal of the meeting, key topics
and what decisions will or will not be made.
 Introduc
e all public officials.
 Ex
plain the meeting process, when it is the
public’s tur
n and time restrictions (and the
reasons for the time r
estrictions).
 C
larify how comments will get recorded and
used.

Information Sharing
 Have
high quality visual aids and adequate
handouts.
 Ke
ep explanations as simple as possible and
avoid acronyms and technical terms.

Conti
nued on next page
www.ca-ilg.org/engagement
League of California Cities
New Mayors and Council Members Academy

ATTACHMENT A
Managing the Discussion
 Set a friendly tone.
 Be attentive and use active listening skills.
 Ex
plain what plan/process the agency is
using to determi
ne what is on topic and off
topic.
 C
apture off topic comments to be addressed
at a different time.
 Be
honest about what the agency can and
cannot do; define parameters.
 S
olicit comments from those not heard,
using dire
ct invitation, such as a “last ca
ll”
or cards requesting written comments.

Creating a Welcoming Environment
 P
rovide food (ideally multi-ethnic to match
your community’s preferences).
 Of
fer name tags and sign-in sheets; collect
emails for follow-up (keeping in mind that
it is optional for attendees to provide their
names and contact information).
 Expr
ess appreciation to all attendees.
 Provide
an anonymous feedback form to all
a
ttendees to learn what worked we
ll and
what can be improved for next time.

After the Meeting
 Pre
pare and post a meeting summary.
 S
end out an “e-blast” about decisions,
action items, next steps and any follow-up
meetings; provide a specific contact person.
 R
each out to attendees who did not speak
up during the meeting (they may care just as
much but may be introverts).
 F
ollow up with those who mig
ht be
disappointed with the decision; encourage
them to stay involved.
 Ke
ep asking for feedback and continue to
provide information about the issue.
 Appl
y the evaluation to the next public
process.
“Be
fore the meeting, educate the public. During the
meeting, educate the public. After the meeting, keep
educating the public.”
- Ad
vice s
hared by a C
ounty Supervisor at a
CSAC Institute Training
G:\I
NSTITUTE\PublicEngagement\Publications\Meeting Checklist\ Meeting Preparation Checklist_FINAL.pdf
Ins
titute for Local Government
www.ca-ilg.org
Resources Available through the Institute
The Institute’s Meeting Resource Center aims to help
local officials and agency staff make the most of meeting time. www.ca-ilg.org/meeting-resource-center
About the Institute for Local Government
This checklist is a service of the Institute for Local
Government (ILG) whose mission is to promote good
government at the local level with practical, impartial and easy-to-use resources for California communities.

ILG is the nonprofit 501(c)(3) research and education
affiliate of the League of California Cities and the
California State Association of Counties. For more
information and to access the Institute’s resources on
local government 101 and public engagement, visit
www.ca-ilg.org/local-government-101 and www.ca-
ilg.org/ engagement. To access this resource directly, go to www.ca-ilg.org/ PublicMeetingPrepChecklist.

The Institute welcomes feedback and suggestions for
improving this resource:
 Email: [email protected] Subject:

Preparing for Successful Public Meetings: Checklist
for Before, During and After
 Mail: 400 K Street, Suite 205 ▪ Sacramento, CA ▪
95814
League of California Cities
New Mayors and Council Members Academy

ATTACHMENT A

CA-ILG.ORG P a g e | 1

Basics of California’s Open Meeting Laws

 Elected and most appointed local-agency bodies must conduct their business in open and public meetings.1
 The law allows for private discussion during closed sessions under very limited circumstances. 2  A “meeting” is any situation involving a majority of a public body in which agency business is transacted or discussed. In other words, a majority of the body cannot communicate privately about a matter of agency business no matter how the communication occurs, whether by telephone or e-mail, or at a local coffee shop.
3  The public must be informed of the time and place of each meeting and the issues to be addressed.
4  The agenda must be posted at least 72 hours in advance of a regular meeting and written in a way that informs people of what business will be discussed. 5 Special meetings require 24-hour
notice to the members of the governing body and media outlets and must include a brief description of the business that will be discussed.
6  In general, public officials may only discuss and act on items included on the posted agenda for a meeting.
 The public has a right to address the governing body at any meeting. 7  Local agencies may adopt reasonable rules to ensure everyone has an opportunity to be heard in an orderly manner.
8 For example, some agencies impose a uniform time limit on each person providing public comments on an issue.
 Sign-in at meetings is voluntary. Members of the public cannot be required to register their name or satisfy any other condition for attendance. If an attendance list is used, it must clearly state that signing the list is voluntary.9
Making Your Open Public
Meetings More Effective

California law provides general rules which local
agencies must follow when conducting official
business. In addition to state law, many local
agencies have their own rules of conduct and
procedure. However, merely following the laws and
rules will not always result in an effective meeting.

Outlined below are the basics of California’s open
meeting laws as well as tips for both local officials
and the public to help ensure a successful meeting.

ATTACHMENT A

CA-ILG.ORG P a g e | 2
A Note on Civility
 First and foremost, everyone should
treat others how they would like to
be treated.
 Set a friendly tone.
 Demonstrate civility toward
members of the governing body as
well as the public.
 Embrace diverse points of view.
 Consider using titles – using titles
and last name is a sign of respect.
 Separate the person from the
problem – avoid personal attacks,
name calling or questioning
people’s motives. These actions
undermine your effectiveness and
your message.
 Avoid engaging in debates and
interruptions.
 Be attentive and use active listening
skills.
 Limit statements in discussions to
those that move the conversation
forward.
 Keep remarks brief, to the point and
non-repetitive of comments others
have made.
 Anonymous speech must be permitted.10
 When comments fall within the purview of the governing body, a chairperson cannot stop a speaker from expressing opinions and/or criticisms of the governing body. 11  If an individual or group willfully interrupts a meeting and order cannot be restored, the room may be cleared.12 Members of the media must be allowed to remain and only matters on the agenda can be discussed.13
 Anyone attending a meeting may photograph or record it with an audio or video recorder unless the governing body makes a finding that the noise, illumination or obstruction of view will disrupt the meeting.
14 Effective Public Meetings: Best Practices

Tips for Elected and Appointed Officials

 Be Clear About the Process
o Be clear about who is running the meeting and
explain the role of the presiding officer (chair of the meeting).
o The chair can help ensure a more successful
meeting by:
 Explaining the meeting process and outlining
local rules and procedures at the beginning of
the meeting, including any limitations on public
participation.
 Assuring people that they will be allowed to
share their views.
 Reminding all participants (governing body and
public) to be compassionate about the fear of
public speaking; do not allow heckling or
applause.


Be Prepared
o Educate yourself about agenda items before the
meeting.
o
Make information available to the public before the
meeting.
o
Reach out to the community; talk to community
members one-on-one and to groups at their
meetings.
o
Invite questions ahead of the meeting.

Tips for Public Participants

 Be Clear About the Process
o Understand open meeting laws, local rules and meeting procedures. o Understand the role of the presiding officer (chair of the meeting).

 Be Prepared
o Educate yourself about agenda items before the meeting. o Review any informational material made available before the meeting. o Familiarize yourself with the members of the decision-making body so that you can address them at the meeting.

ATTACHMENT A

CA-ILG.ORG P a g e | 3
ILG is the nonprofit 501(c)(3) research and education affiliate of the League of California Cities, the California State Association of Counties and the California Special Districts Association. For more information and to access the Institute’s resources on local government basics visit www.ca- ilg.org/local-government-basics.

The Institute welcomes feedback on this resource:
 Email: [email protected] Subject: Making Your Public Meetings More Effective  Mail: 1400 K Street, Suite 205 ▪ Sacramento, CA ▪ 95814 About the Institute for Local Government
o Reach out to your local decision-makers and agency staff before the meeting and share your thoughts in advance.
o Submit letters of support or opposition, or any questions you may have to the decision- making body before the meeting.
o If planning on making comments during the public comment period, prepare your remarks in advance.

ENDNOTES

1 See Cal. Gov't Code § 54952.2(a); Cal. Gov’t Code § 54954.2(a). 2 See Cal. Educ. Code § 72122.
3 See Cal. Gov't Code § 54952.2(b); Cal. Educ. Code § 72121. 4 See Cal. Gov’t Code §§ 54954.2, 54956, 54956.5.
5 See Cal. Gov’t Code § 54954.2.
6 See Cal. Gov’t Code § 54956.
7 See Cal. Gov’t Code § 54954.3.
8 See Cal. Gov’t Code § 54954.3(b); White v. City of Norwalk, 900 F.2d 1421, 1425 (9th Cir. 1990). 9 See Cal. Gov’t Code § 54953.3.
10 See Cal. Gov’t Code § 54953.3.
11 See Cal. Gov’t Code §§ 54954.3(c), 54957.9; Perry Educational Association v. Perry Local Educators’ Association, 460 U.S. 37, 46 (1983).
12 See Cal. Gov’t Code § 54957.9.
13 See Cal. Gov’t Code § 54957.9.
14 See Cal. Gov’t Code § 54953.5(a).

ATTACHMENT A
Understanding Your City's Departments

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide

Understanding Your City’s Departments

Introduction

Elected officials interact with all city departments and are re sponsible for making decisions that affect each of these department s. While it may not be necessary to have a detailed understanding of the functions and roles of your city’s departments, a basic understanding of these functions in order to make more informed decisions is helpful.

The purpose of this se ction is to provide information about each city department by describing their basic responsibilities, pr imary functions and re lationship with the council. Each article in this section will provide an introduction to the department. For a more comprehensive guide, please consult the reference pages at the end of this section for further reading.

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide The City Manager

Most California cities mainta in the council-manager form of government, with a city council elected by the people and charged with the basic responsibility of governing the community. Generally, a city manager is a ppointed by the council to manage the city’s administrative responsibilities and day-to-day operations. In becoming an elected official in a city, it should be helpful to review the roles of city officials and examine the nature of their relationship to the city manager.

Primary Functions of the City Manager

The city manager has two distinct, if overlapping, roles:

1) To provide direct staff assistance to the council as a whole and to its individual members.

2) To manage the city organization in the delivery of public services.

The elected official normally works on two kinds of matters -- daily constituent needs or specific complaints, and the longe r-range issues of public policy, such as what services should be provided by the city government, at what leve l those services should be provided, and what direction th e community should take in its future development. In order to deal effectively with either type of problem, the elected official requires staff assistance.

In a real sense, the entire city organization se rves as staff to the el ected officials, and the city manager, together with other members of the management team, see to it that the necessary assistance is provided. Perhaps th e most common problem experienced is the constituent service problem, i.e., when a citizen contacts a council member with a complaint about city service. The council me mber then asks the manager (or an assigned staff assistant in a larger city ) to investigate, or resolve the matter, with or without a report back to the council member.

On another level, the council relies on the manager and its staff for assistance in policy formulation. City staff can provide inform ation the council needs to make a decision, staff can provide a recommendation of the best approach to take on a policy matter, or staff can provide assistance to the council in sorting out specifi c issues and aid in developing policy alternatives.

Individual members of the council should not expect the city manager to implement their ideas unless a majority of the council gives such direction. The city manager’s role is to carry out council policy as esta blished on a given issue by a majority of its members. A council member who is in th e minority on some issue should endeavor to change his/her colleague’s position rather than expecting the city manager to martial the organization’s resources in support of a policy decision that differs from the direction set by the council majority.

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide Regardless of the issue area, the city mana ger as a generalist assists the council in working with staff to facilitate the counc il's decision-making role. If the council is concerned with a land-use planning issue, the manager works with the city's planning staff to provide information and/or alternatives for the council; if the council is concerned about the level of police service, the manager works with the city's police services staff to do the same, and so forth. The city manager is directly responsible for the quality of all staff assistance provided to the council.

In addition to his or her role in providing di rect staff assistance to the city council, the city manager is responsible for executing counc il policies. As the chief executive officer of the city, the manager must see to it th at the services and programs the council has decided upon are effectively deliv ered. In this role, the mana ger supervises the work of the city's management team to make certain that the systems and procedures employed in the delivery of services are the most effec tive possible in relation to program objectives, and to make equally sure that the people within the city organization are working together as a team.

It is extremely important that the manager be well-qualified technically; know how to deliver city services in an efficient manner; know when the procedures in use could be strengthened or improved upon; and to suggest techniques or approaches which can work to achieve the objectives set by th e council. But it is of at least equal importance that the manager knows how to get the most out of th e people in the city organization; how to assist them in working well together; and how to realize the best performance of which each is capable.

A word about the city manager as a professional is useful at this point. The professional city manager has one basic commodity to sell , aside from technical knowledge about city service delivery systems and the management of people in organizatio ns: integrity. The good manager must have the ability and, on occasion, the guts to present what he or she feels is best for the community even when this view may not be popular. His or her ability to always be thorough and forthcoming in providing information and alternatives to the council is the essence of professionalism. In group pro cesses particularly, trust is vital to effectiveness.

Relations Between the City Council and the City’s Management Staff

The determining factor in assessing any rela tionship between people is the quality of communication between them. Th e perceptions and expectations that each person has of the other and of their relationship form the basis of the relationship. The completeness of communication (the transmission of inform ation) is dependent upon this foundation, which underlies all human relations in any orga nization. It is eq ually applicable to relations between members of the management team, members of the city council, and between the city council and appointed staff. Each participant in the city organization, elected or appointed, must work at appreciating the many sets of relationships which exist and which must be accommodated in the process of setting and effecting city policy.

In a well-functioning city government, the city council and the city staff will demonstrate a genuine respect for each other and each othe r's roles. This does not necessarily mean

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide that everyone will agree. Rather, there is agreement about how to disagree. Public statements expressing lack of trust or persona lized attacks reduces everyone's image, and creates a climate of protecting one's self a nd defensiveness. Council member concerns (individual or as a council) about the performance or integrit y of staff appointed by the city manager can be very helpful to the city manager, if offered pr ivately. None of the above is to suggest th at public expression abou t the city manager or staff performance is always out of place, but that the time and place should be subject to the standards the city council sets for itself and done in a manner which minimizes personal attacks and maximizes getting the job done.

The relationship between the mayor and city ma nager is slightly different because of the unique role of that position. The mayor is the chief elected official of the city, whether directly elected as mayor or elected by a vote of the council. In th is role, the mayor is responsible to provide policy l eadership to the council, and to represent the council in public meetings. But the mayor should also be able to represent th e council to the city manager in the day-to-day carrying out of the city's business. The mayor should facilitate the relationship between the management st aff and the council by being a source of advice and counsel to which the manager can re ly. To fulfill this role effectively the mayor must be able to fairly represent the view of the whole coun cil, and the council must respect the mayor's role as its repres entative. A good working relationship between the mayor and the city manager is therefore essential.

Two important factors to consider in council and manager relations are the responsibilities the council has towards the city manager:
• Providing direction to the city staff
• Evaluating the performance of the city manager
Providing Direction to the City Staff
The city council's ability to govern and make progress is very closely r elated to the council's ability to provide direction to the city manager and staff. Only when individual council member desires are "elevated" to a po licy or program supported by all or at least a m
ajority of the city council can one' s own agenda be realized.

Unfortunately, there are many forces at work m aking unity and a team approach difficult for a city council to achieve. This can be es pecially true in district cities in which individual council
members view their district as a first priorit y. Consequently, many city coun
cils have found it invaluable to occasion ally come together in a facilitated team- building or goal setting workshop or to attend, as a group, similar sessions offered through Cal Cities . In any event, a city cou ncil-directed goals process resulting in a council-adopted goals statement can be very helpful in clarifying its priorities to the staff and community as a whole.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide Evaluating the Performance of the City Manager
Performance evaluations are communication devices. Without performance appraisals, something is lost in the communication process, and a loss in this ar ea can ill be afforded by any of the participants in local government . Since the city manager has the greatest influence in carrying out council policies, one of the most important jobs a mayor or council member has is to pr ovide clear directi on and carefully monitor the manager’s progress, giving praise or corrective measures as needed.

Performance appraisals are always a two-step process. First, the participants must discuss the expectations that exist against which performance will be measured. What are the standards, what are the principal values, and what are the objectives to be pursued? It is only after the council has determined with the city manager (or attorney, or clerk) the factors which will be assessed that the appointed official is in a position to really know what is most important to the council; and it is only then that the council is in a position to effectively evalua te performance, the second step in the process. An increasing number of city manager employment agreements make specific reference to a periodic evaluation of the city manager.

A good working relationship at the top of the city organization is clearly important. To realize this, the participants must begi n with a good understandi ng of the roles and responsibilities of each other, and then must work at the job of communicating in order to keep it. Some cities have found it very helpful to hold or participate in workshops designed to develop more effective wo rking relations among council members and between the council and staff.

When a functional understanding of each pe rson's interests exists, and there is an atmosphere of trust and support, although not ne cessarily agreement, then conflict can be addressed in a mature way and reason can be the order of th e day. Then locally elected leaders can more effectively serve the public interest and win the public's respect; this will make your difficult job a little easier and probably more fun.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide The City Attorney
The city attorney is a valuable resource to a mayor and city c ouncil. In order to facilitate effective communication between the city council and the city attorney, it is helpful to understand a city's options in obtaining legal services and what the city attorney's job entails.

This paper is designed to provide mayors and city council members with information to help facilitate a solid working relationship w ith their city attorney. The paper covers the primary functions of a city attorney, how a city may select a city attorney, the importance of communication, and a short discussion on the attorney-client relationship.

Effective communication between city officials and the city attorney is critical to the smooth operation of the city. Early and frequent communication about proposed city actions can save cities headaches and money in the long run.

Primary Functions of the City Attorney
The city attorney has several functions, whic h can be categorized as follows and will be explained in further detail below:
• Serving as chief counsel to the city for both elected officials and staff • Reviewing and drafting ordinances, resolutions, contracts, deeds, leases and other legal documents
• Representing the city in litigation as a defendant or a prosecutor.

Chief Counsel to the City/ Elected Officials and Staff
As chief counsel, the city attorney typically attends all city council meetings to provide on-the-spot counsel and to have firsthand information on immediate and contemplated city actions. An important aspect of this job is to render opinions on specific legal issues.

These opinions can either be formal (in wri ting) or informal (ora l advice). The city attorney also may serve as the council's parliamentarian.

One of the primary functions of the city attorney is to provide legal advice on whether the city has the authority to enga ge in a given activity. Cities , of course, share sovereign power with the state and federa l governments. There are po licy areas in which the state and federal government have reserved authority exclusively to themselves, thereby "preempting" local action on an issue. Ther e are other instances in which the state or federal law has imposed specific obligations on a ci ty if it wants to take action. In either event, the city attorney's advice can prevent costly legal missteps.

In order to render an informed opinion on im portant legal questions, the city attorney must sometimes analyze several sets of st atutes and hundreds of reported cases. The sheer volume of law affecting cities has increased greatly during the last decade.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide Further complicating the city attorney's job is th e fact that the law is not always clear in a given area. When this occurs, the city attorn ey must give his or her best judgment on the probable and possible legal consequences of a proposed course of action. The city attorney cannot, however, make the law clear when it is not and would disservice the city by creating a false sense of security in the face of real risk.

Reviewing and Drafting Legal Documents
In addition to providing counsel to the city, th e city attorney is also responsible for the drafting and/or review of important legal documents, such as ordinances or contracts.

Representing the City in Litigation
In addition to advising the city on the legal implications of its actions, the city attorney in 10 cities prosecutes state law violations. Almost all city attorneys prosecute violations of city ordinances.

Even when a city has in-house legal staff, it may find it necessary to contract out some work. There will be times when the city's legal needs require the services of a specialist.

Also, the city's legal requirements will have peaks and valleys; it may not make sense to hire full-time, long term st aff to cover the "peaks." Fi nally litigation can be very consuming of both attorney and support staff tim e and may therefore be contracted out in all or part.

Hiring a City Attorney
The voters elect a small number (eleven) of c ity attorneys in California. The remaining cities with appointed city atto rneys obtain legal services in two basic ways. The city can hire one or more attorneys as full-time city staff (the "in-house" city attorney), or, the city may choose to hire a "contract" city attorney to provide legal services.

According to the League's records, about a f ourth of California's ci ties have chosen to have full-time, in-house legal counsel. Numerous cities contract with attorneys in private practice who either represent several cities or represent ot her, non-municipal clients.

Many smaller cities have chosen to receive legal services this way.

Communication Is a Two-Way Street
Effective communication requires a joint effort on the part of the city attorney and city officials to make sure the city attorney is kept informed of the city's activities. This means that council members must sometimes take the initiative in communicating concerns to the city attorney; similarly, the city attorney must communicate concerns to the council as well. It is particularly helpful for a city attorney to receive a “heads up” if the council member knows in advance that a legal question may arise at a public meeting.

By alerting the city attorney to the issue beforehand, the city attorney will be prepared to answer any questions that may arise during the meeting.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide The city attorney is paid to give good and timel y advice. If the city attorney is unable to give good and timely advice because of poor communications either to or from the attorney, neither the city nor the taxpayers are getting their money' s worth. Worse yet, the city m
ay have to spend more money on litigation and adverse judgments -- money which could be better
spent on other public programs.

A Note Ab
out the Attorney-Client Relationship
A client's communication s with his or her attorney are pr otected by the attorney-client privilege, which protects the confidentiality of those communicati ons. Allowances are made for this fact in the Brown Act, which authorizes the council to meet in closed (non- public) session to discuss pending litigation against the city.

One frequently asked question is precisely "who" is the c ity attorney’s client. The answer determines to whom the attorn ey-client privilege applies. Although there is some debate on the issue, the basic answer is the city attorney's client is the city as a whole, acting through the city m
anager and city council. Th e city council therefore holds the attorney- clien
t privilege, which means the city atto rney's communications with staff members and individual members of the council cannot be kept confidential from the full city council.

From time to time a city official may w onder about the adv ice being given by the city attorney. It is tempting, of course, to seek a second or even third opinion. While such opinions have their place, it is b est to include the city at torney in evaluating any such option.

The city
attorney is the individual the city has hired (or the voters ha ve hired) to advise the city on legal matters. The city attorney is most familiar with the laws bearing on the city'
s action, particularly local ordinances, internal procedures and any charter provisions.

If the city is sued over a given action
, it is the city attorney who will be responsible, in all likelihood, for defending the city in court.

In recognition of the perils asso ciated with usurping the city attorney's role in advising a city on its legal matters, and on the limitations on an outsider’s ability to give competent advise without access to the ‘whole story’, it has been long-standing Cal Cities policy to forbid its staff from giving city officials legal advice on city matters.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide City Clerks
Governme
nt Code Section 36501 sets forth the governing officers of the city, one of which is the City Clerk. The City Clerk is the local official for elections, local legislation, the Public Records Act, the Po litical Reform Act, the Maddy Act (public noticing of commission appointments), and the Brown Act. Before the City Council takes any action (and after they take action), the City Clerk, in conjunction with the City Attorney, ensures that actions are in complian ce with all federal, state and local statutes and regulations. The City Clerk serves as a liaison between the public and the City Council, and the City Clerk's office is generally the first place residents call when seeking help from City Hall.

Considered one of the oldest government professions , the City Clerk is an officer in a municipal corporation perfor ming a variety of complex pr ofessional and managerial duties including the execution of tasks pr escribed by the Government and Election Codes. In both General Law a nd Charter Cities, the City Cl erk may be directly elected by the voters or appointed by the City Coun cil or City Manager. Depending on the organizational structure, the City Clerk’ s position may range from a division or department director, or may carry the title of Assistant City Manager.

Responsible for the overall policy deve lopment, planning, fiscal management, administration and operations of the City Cler k Department, the City Clerk’s duties may include management of programs and servic es including elections, citywide records management, Fair Political Practices Commission mandated filings, preparation of City Council agendas, minutes, resolutions, and ordi nances, recording actions of City Council meetings, the administrative aspects of cont ract execution (such as ensuring that bonds and insurance documents are submitted and valid), and handling public records research requests.

The scope of a City Clerk’s re sponsibilities can vary signifi cantly among municipalities.

However, certain core responsib ilities remain and can be categorized into legislative, elections, records management, or administrative functions.

Legislative responsibilities –
Each time the City Council take s action it is a legislative act whether it be by ordinance, resolution or minute action, the City Clerk must ensure th at the action taken complies with federal, state, and local laws.

These legislative responsibilities include:
• Ensure compliance with the Brown Act (open meeting law) • Ensure compliance with parliamentary procedures
• Coordinate, prepare, and di stribute council agendas, minut es, actions, and records of the proceedings
• Coordinate, prepare, and direct posting, ma iling, and publication of legally-required public hearing notices/publications (incl uding City Council, committee, special

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide agency, and authority meetings)
• Certify and attest to actions taken – (i.e. confirming that the document is the true and correct copy approved and that those execu ting the document on behalf of the city have the proper authority to do so)
• Codify and maintain municipal code; manage regular updates • Provide technical and administrative assistance to City Council, special agency and authority meetings
Election responsibilities
• Coordinate and conduct municipal electi ons including special elections, ballot measures, initiatives, referendums and recalls
• Serve as liaison to the County Recorder and Registrar of Voters. • Serve as City’s official filing officer for local campaigns; ensure compliance with Political Reform Act
• Manage receipt and processing of petitio ns relating to initiatives, recalls, and referendums, associated measures, analyses, arguments, and rebuttals • Coordinate voter outreach campaigns and conduct voter registration Records Management responsibilities
• Maintain records in compliance with Public Records Act • Responds to requests for public records in compliance with the Public Records Act, in consultation with the City Attorney
• Administer comprehensive citywide re cords management program which may include document imaging
• Manage processing, indexing, and maintenance of official City documents and records (ordinances, resolutions, and legislative actions) • Protect vital records
• Coordinate and facilitate research (internal and external) • Records disaster management
Administrative responsibilities
• Oversee official bid openings, contract and insurance administration • Process liability claims, summonses, and subpoenas
• Coordinate recruitment and selection pro cesses for city committee, commission, and board members; ensure compliance with Maddy Act
• Administer and maintain oaths of office (public officials and employees) • Plan, direct, organize, and coordinate activ ities of a municipal department, division, or major program
• Develop and implement goals and objectives , policies and procedures both citywide and departmentally, especially for City Clerks who are also department heads • Provide leadership and direction with new program (and program changes) development and implementation
• Prepare and administer departm
ent budget

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide • Manage and supervise administrative, professional, technical, and support staff In summary, the City Clerk is a vital link in the successful opera tion of the municipal corporation. The legislative responsibility charged to the City Clerk is critical to the decision-making process of the local legisla tive body. As the local Elections Official, the City Clerk remains neutral to ensure the integrity of the democratic process. The City Clerk’s statutory responsibilities ensure th e City’s business is conducted in the best interest of the citizenry it se rves. While the core responsibi lities endure, the City Clerk’s role continues to evolve while remaining responsive to the changing needs of the citizenry, elected officials, and technology.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide The Finance Department
A city’s fi
nance department represents a unified, integrated financial center with responsibility for financial matte rs affecting all departments and activities of the city.

Historically, this was not the case: rather th e finance function was fragmented in several independent city directors, with responsibility for some activities retained by individual operating departments. The idea of central izing the finance functions of auditor, treasurer, controller, purchasing agent, tax co llector, etc., has won increasing favor and has allowed for more professionalism and accountability. You can, however, still find organizations that have various financial functions assigned to different departments.

Cities in California have broad authority to establish a finance department and assign appropriate functions. The fina ncial duties assigned by the state statutes to the city clerk may be transferred to the director of finance at the discretion of th e city council, and the duties of the city treasurer may be transferred from an elected treasurer to an appointed officer if approved by the electorate.

In recent years, many cities have expanded the role of the finance department to an administrative services function encompassing other general administrative functions. In those instances, often the position of accounting officer or controller exists for purposes of carrying out the duties found elsewhere under the direction of a finance director.

Primary Functions of the Finance Department
The basic duties of the finance department can be summarized as follows:
• Preparation of the city budget and other financial planning documents • Maintenance of all financial records in conformity with generally accepted accounting principles and in compliance with state and federal la ws and preparation of the Comprehensive Annual Financial Report (CAFR)
• Providing financial informati on to the city council, city manager and other city officials on a timely and meaningful basis
• Revenue collection, tax collection and purchasing
Preparation of the City Budget and Other Documents
The budget should be viewed as one of the principal documents by which city policies are carried out. In order for the budget to accurately reflect the de sires and the priorities of the council and the community, there must be agreement -- prior to the development and adoption of a budget --on what service, and on what levels the city wants to and/or should provide. Then, based on those adopted policies and priorities, the council can give staff the basic guidance necessary to prepare the budget for council consideration.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide In most cities, the finance department prep ares the city budget under the direction of the city manager. The budget document ties together financial information and financial decisions. Together, they're a financial expr ession of the services your local government provides based on established pr iorities. Preparing the budget in the same department that maintains the accounting records increases accountability and accuracy.

An historical document, the budget reflects services your government has provided for many years. As a planning document, it se ts spending and servic e priorities for the coming year and in some cases two years. The budget is usually considered to be the city's single most important policy execution document. After it is adopted, it becomes law; however it is subject to amendment if conditions or priorities change. Changes in the budget may be executed by either the governing body or as designated by the governing body. Revenue and expenditure estimates in the budget are a yardstick against which actual revenues and expenditures are measured. Estimated beginning and ending fund balances, reflecting the results of the revenue and expenditure estimates are also an important element of the budget. The budget b ecomes the city's strategic plan for the future, both for operation and maintenance and capital improvements.

The finance director must be an integral participant in budget preparation and control.

The depth of involvement and responsibilities will vary from city to city. At the very least, the finance director will be responsible for furnishing previous expenditure records, revenue projections, and fund balance estimates. It should further be the director's responsibility to constant ly review budget procedures and make any needed improvements. The finance department shoul d issue regular financial statements during the course of the budget year so city officials can monitor budget implementation and compliance. The finance director typically prepares a midyear report to the council regarding the status of city finances. The midyear report takes on increasing importance if the entity is operating on a multiyear budget program. It is also especially critical when the economy is not as strong as normal.

The finance director must constantly re view and study current revenue policies and trends. The director must be alert to rec ognize the need for new revenue or the necessity to adjust revenue estimates to meet changing conditions and to report the findings and recommendations to the appropriate authoritie s for their action. The finance director is responsible for the preparation and interpretation of financial data for short and long term plans and programs. The director should be prepared, when necessary, to accept the responsibility for determining the most appropriate method of borrowing funds and must insure that debt schedules are met, that surplus funds are prop erly invested, that reserves are maintained at appropriate levels, and that the fiscal credit of the municipality is maintained at the highest possible level.

There is an emerging trend to link the budget to performance and to organizational goals and objectives. Accountability is beco ming understandably more important as competition and demands for resources increase.

The Government Finance Officers Association (GFOA) of the United States and Canada grants a certificate of achievement for excellence in budgeting to those cities that prepare

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide a budget in accordance with certain standard s. The California Society of Municipal Finance Officers also offers a certificate program for budget documents that meet a certain standard. These certificates are ge nerally included in th e front of the budget document.

Maintenance of all Financial Records
The finance department is required to mainta in certain financial records and to prepare financial reports. Although the statutory dutie s may vary in individua l cases, there must be a complete set of accounting records for a ll functions and activit ies performed by the governmental unit, with responsibility for such records and accountability lodged with the finance director. These records must reflect compliance with legal requirements.

Providing Financial Information to the City Council, City Manager, and City Staff
The city's comprehensive annual financial report (CAFR) is the best resource for making sure the revenues, expenditures, bonds, and grants you've authorized during the budget process were collected and spent the way they were intended. It can also provide a basis for future decisions. The CAFR serves as a public document that tracks the performance of individual funds. Seek the assistance of the finance director when reading the report to insure that you are getting the clearest picture of the financial condition for your city.

Although financial reports can vary from city to city, there is a stan dard format and most city financial reports should contain the following:
• Asset, Liability and Fund Balance Information.
• Information on the basic expenditure and revenue categories you've authorized by law; financial reports compar ing actual revenues and expenditures against estimates adopted in the budget.
• Information on revenues and expenditures organized into several different funds.

This is because government dollars are of ten earmarked for one specific use and cannot be used for another. Most of the "bulk" in the CAFR occurs because statements are included for every fund. But the type of information included for each fund is essentially the same.

Financial statements cannot tell you everything about your city's financial condition.

Much of the information can only suggest additional questions. For example, you probably won't be able to tell from your annual report whether local pension funds are adequately funded. In addition, your financ ial report is not the best source for determining the real cost of city programs and services (i.e., some previous year's expenses which have been promised but not paid yet may be included in current year totals).

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide Financial reports can also be misleading. Depending on whether revenues and expenses are recorded when they are anticipated and ow ed or when they are actually received and paid, the financial position of your municipality or of partic ular funds may look better or worse than is actually the case. Transfers between funds can also be complicated. So be careful about jumping to conclusions too quickly.

The Governmental Accounting Standards Board sets standards for financial reporting.

GASB’s Pronouncement 34 will significantly change the reporting model over the next few years with goal of making the report cl earer and more useful. The Government Finance Officers Association (GFOA) of the United States and Canada grants a certificate of achievement for excellence in fi nancial reporting to those cities that prepare a CAFR in accordance with these standards. The California Society of Municipal Finance Officer (CSMFO) also offers a cer tificate program for excellence in financial reporting. These certificates for the preceding year are genera lly included in the front of the CAFR.

If you find anything in your local government's financial report that causes concern, ASK. You may have spotted a problem. A nd if the report only LOOKS like you have a problem, you will be that much surer that your municipality is in good financial condition.

The traditional financial audit is an exam ination of the governmental unit's accounting records and underlying financial systems and inte rnal control. The objective is to verify that all financial transactions have been properly handled and recorded in compliance with legal restrictions and generally accepted accounting principles so that the statements produced from the records accurately represen t the public finances with which you have been entrusted.

Revenue Collection and Purchasing
The handling and accounting of cash and the inve stment of surplus funds is occasionally the responsibility of some officials other than the finance director. In many cities, however, the treasury function is included within the finance department. In other cities the city treasurer and city finance depart ment are independent from each other.

Regardless of whether the collection, custody and disbursement of municipal funds are the direct responsibility of the finance director or some other director, there should be no compromise in the centralization of responsibility and control.

The finance director should see that all city revenues are collected in a timely and orderly way. This function includes supervision of lo cal tax collections, such as business license taxes; coordination with county, state and fe deral officers through whom local revenues flow; and the collection of fees for services and regulatory functions.

If enterprise activities such as water, wastewater, electricity, transit, etc., are the responsibility of the city, then the finance dire ctor must act as the chief financial officer for these activities as well. In addition to the responsibilities outlined above, billing, collections and rate setting may also be performed by the finance department.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide Council and Finance Department Relations
The shock of current reality and the forecas
ts of "hard times ahead" have pushed financial
issues, and finance personnel, from the wings to the center of the stage along side the city council and the city manager. With finances , rather than programs and services, now a principal worry of municipal policy makers, th ere is renewed interest in the concept of finance departments, an interest which had diminished during the long years of economic expansion and relatively constantly growing revenues.

With restrictions on the supply of financial re sources, cities are coming to grips with the need to assess and control the demand for serv ices. In the past, "free" or under-priced governmental services have induced over c onsumption and hampered an assessment of real need or demand. The proper price incent ives and disincentives can help reduce the need for government services or regulations.

To support proper pricing decisi ons and to move toward financial sustainability, city councils will need to know the actual costs of city programs and act ivities. This will require the introduction of more sophisticated accounting systems that can identify all the costs of a given program, including direct and indirect costs.

The heightened need for precision in financ ial decisions will create a demand for more accurate forecasts of revenues a nd expenditures. It is expect ed that finance departments will be required to have a significantly increased commitment to these activities.

Since Proposition 13 has limited the use of ge neral obligation bonds to finance capital improvements, and since redevelopment financ ing and other capital financing tools have been jeopardized, considerable creative energy will be required of c ity councils and their finance staffs to provide for the construction of needed capital projects.

City councils and other public policy offi cials are becoming more aware of the unintended effects of their fina ncial decisions. In the fu ture, you and your colleagues on the council will work with the finance depa rtment and city manager to identify the inadvertent incentives and disincentives wh ich your finance polic ies have on private decisions such as whether to rent or buy a hom e, where to live, where to work, where to locate a commercial or industrial plant, how to commute, how to invest, etc. You will ask the finance department to provide informa tion that will help answer the question: Do our fiscal policies support community goals?
The demand for more timely financial inform ation, additional information resources and improved financial management systems will necessitate the use of the latest available technology in data processing. Even most small cities now have computerized financial systems.

The recent focus through Statewide initia tives (Proposition 1A on the November 2004 ballot) on local government finance has height ened the awareness a nd knowledge of the public about local finance issues. City offi cials should expect citizens, investors and

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide other governments to demand more and better in formation concerning the city's financial condition in the future.

Due to the need to address the important issues above, the staffs of city finance departments can be expected to grow, proba bly in absolute numbers and certainly in professionalism. This is likely to be in cont rast to other city departments that probably will not grow in an era of controlled demand and limited resources.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide The Fire Department1
In decades past, fire departme nts occupied themselves with attempting to save lives and protect property by utilizing their resources to suppress fires. During recent decades, the fire service began to understa nd the value of utilizing strate gies to prevent fires before they occur.

Today, participants in the progressive and mode rn fire service have expanded their roles, mission, and resources to three additional areas:
• “All risk” hazard protection and mitigation
• Provision of emergency medical services
• Establishing community based fire protection strategies The “all risk” strategy is particularly significant in California where our citizens live with the constant threat of earthquakes, floods, te rrorist attacks, tornadoes, major hazardous materials releases, environmental disasters and nuclear accidents. Implementation of this strategy has necessitated that the fire service concentrate its efforts to institute readiness strategies for disaster preparedness.

Providing emergency medical services (EMS ) is now the most significant way that today’s fire departments expe nd their time, energy, and resources. Two thirds of all responses in cities involve providing servi ce for those in need of medical attention.

Firefighters devote extensive training hours in the areas of advanced first-aid, emergency medical technician (EMT), use of automatic defibrillators (EMT-D), and paramedic training (EMT-P). Firefighters save mo re lives by providing prompt, thorough, and efficient medical service than they do by rescuing residents from building fires.

Providing community based fire protection will occupy the fire service in the coming decade. Studies indicate that when citizens were asked whom they trust in the government, more than 75 percent responded that they trust the fire department. This concept attempts to utilize the community’s high level of trust in the fire fighting profession, and attempts to make firefight ers community ambassadors as a launch point for substantive community outreach program s. Some examples are using the fire department and fire stations to:
• To hold community events and community meetings
• To conduct health fairs and blood pressure screening
• To hold CPR, first aid, baby sitter safety classes
• As a safe haven for children who are victims of abuse and violent crimes • To educate the community on topics such as smoke detectors, fire extinguishers, and home safety
• To hold neighborhood disaster preparedness programs to teach self-sufficiency to citizens in preparation for catastrophic events
• To assist elderly citizens with vision and hearing programs * Written by Gerald A. Simon, Fire Chief, City of Santa Clara.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide • To instruct the community on the dangers associated with security bars in their homes • Collection sites for toys, food and supplies for community need programs • For counseling, mentoring, and functioning as role models fo r the youth in the community
These are the strategies that fire department s will employ to enhance the service delivery into the next millennium and beyond.

Law and Authority
State law is silent concerning th e authority of charter cities to provide fire protection.

However, Section 38600 of the Government Code provides that the legislative body of a city may provide for fire protection and prevention, and Section 38611 of the Government Code makes it mandatory that a city organized under general law shall establish a fire department. The specific local authorization under which a fire department functions is established by the charter of the city council itself. In addition to local laws and ordinances, fire department operations also are affected by numerous types of federal and state intergovern mental regulations and mandat es. It is common for fire departments to enter into agreements, such as mutual and automatic aid, and joint powers agreements. These agreements assist individual fire departments to provide the highest possible level of service to the citizens. Fire departments are strengthened tremendously by knowing that these agreements with thei r neighboring jurisdictions enhance service levels on a routine basis, and allow for a si gnificant influx of need ed resources during abnormal or catastrophic events. Mutual ai d training is a great way to strengthen a disaster preparedness program and to develop “good neighbor” habits across jurisdictional boundaries.

Diverse Roles and Functions of the Fire Department
Many fire departme
nts are organized into a structure which has practical application from an administrative and operational perspectiv e. The modern fire service is highly structured with a well-defin ed chain of command. The us e of the incident command system (ICS) and the advent of the standard ized emergency management system (SEMS) have allowed fire departments to become prof icient in structuring complicated tasks and managing incidents effectively.

Effective structuring has helped produce fire department organizations that are able to provide a number of diverse functions and roles. These include:

Fire Suppression
Reducing the hostile spread of fire
Inspections of local businesses
Em
ergency medical response
Disaster preparedness (All-risk)
Calls for general service to citizens
Response to wildland /urban interface
emergencies
Fire Prevention
Public education
Code enforcement
Building plan review
Fire cause determination
Building safety inspections
Home inspections
Weed abatement

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide Fire Training
Training to enhance emergency skills
Safety training and awareness
Injury prevention strategies
Physical fitness training
Technology implementa tion – computers and
Computer-Aided-Dispatch systems
Regional training activities
Joint Fire Academies to train recruits
Volunteer Firefighters
Fire suppression services
Emergency medical training
Community service events
Administrative Support Services
Human resources
Budget analysis/preparation
City Attorn
ey liaison
Clerical support services
Governmental relations
Duplicating and document preparation
Facilities maintenance
Apparatus maintenance
Emergency Medical Services
Training emergency me
dical responders
EMT, EMT-D, EMT-P training
Community CPR training
Baby sitter safety programs
Continuing education training
Mass casualty planning and training
Ambulance transportation
Hazardous Materials
Training hazardous ma
terials responders
Public education and consultation
Emergency Response Team (ERT) industrial training
Environmental crimes and disasters
Use, handling, storage and disposal of
hazardous materials
Air, water and underground protection.

Public Relations Unit
Media relations
School, church, community programs

Public broadcasting on our channels
Community training/public education
Disaster preparedness
Rescue Specialties
Confined space rescue
Urban search and rescue (USAR)
High angle rescue
Swift water rescue
Communication –911
Public Safe
ty Answering Point (PSAP) calls to
911
Emergency medical dispatch
Priority dispatching and call triage
These activities represent some of the roles, functions and activities for today’s fire service. Of course the degree to which they exist depend upon the size of the agency and resources available to fund these services and activities.

Fire Department Policy Development Items and Programs
The essence of the work that fire department s perform tends to be largely operational in nature and function. Since the operational na ture is predominant, it is important that policy development occur at some level of th e municipal structure. Policy development, in its most productive form, is a collabora tive effort between the mayor and council members, the city manager and the fire chie f. In that regard, there are a number of documents prepared by the fire chief and the city manager with which mayors and members of council may be involved. They include:

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide • Fire Departme
nt Mission Statement
• Operational Goals and Objectives Statements
• Standard Operating Procedures and Directives
• Department Budget
• Local Fire Prevention Codes Ordinances
• Mutual Aid Agreements
• Automatic Aid Agreements
• Fire Master Plan for Establishing or Maintaining Levels of Service • Permit Streamlining Process
• Building Plan Applications
• Site Plan Applications
• Fire Sprinkler Applications
• Permits for Community Events
• Hazardous Materials Business Plans
• Hazardous Materials Law and Ordinances
• Weed Abatement Procedure
• Specifications for Fire Stations
• Bid Specifications for Apparatus and Equipment
• Memoranda of Understanding with Labor Groups
• Contracts processed through the agency attorney
As examples:
• The permit streamlining process is a collaborative effort between many different departments. In order to expedite the plan review and permits to serve our customers in private industry, the fire department must also interact with the planning, building, and electric departments and with the engineering division. • To administer a non-point source program, the fire department may need to interact with the street department, the water depa rtment, a regional environmental agency, and the office of the city attorney.
• To implement efficient and effective disast er planning activities and administration of the Emergency Operations Center (EOC), fire departments must cooperate with the police department, public works, public information specialists, and all city department personnel involved in emergency operations strategies.

To optimize service delivery, it is crucial that an effective line of communication be developed between the mayor, city council, the city manager, and the fire chief.

Council and Fire Department Relations
Like all other municipal departments, the fire department is not an isolated organization within a city structure. What other depa rtments do within a comm unity dramatically
affects the capability of the fire department to accomplish its purposes. Accordingly, the

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide fire department should have input into the policy making process to assure that other municipal operations don’t adversely affect the fire service, and conversely, that the fire service does not adversely affect other municipal operations.

While the broad policies guiding the department are established by the council, specific operating policies are established by city management and fire department administration for the day-to-day functioning of the department. In this regard, care must be taken to be sure of the compatibility of all these policies.

The fire department budget, which is the principal operating plan developed under general council policies, can provide elected officials with considerable information regarding the services provided.

There are a variety of factors that elected officials can consider in monitoring the efficiency and effectiveness of the fire de partment. Some indicators of performance might include:
• Fire loss statistics, which affect insurance rates paid by the community. • Response time statistics, which create the floor (base level) of service as compared to the ceiling (maximum level) of service to be provided.
• Fire prevention inspection, which assist in monitoring the success of hazard reduction in the community.
• Disaster plans, also known as multi-hazard functional risk plans which demonstrates the community’s ability to meet the challenge of catastrophic risk. • Training statistics, which illustrate how much skill training is given, and in what areas this training is focused.
• Educational assessments can illustrate the importance of advanced education and college training in upgrading the professionalism of the department. • Hazardous materials inventories, which can assist in determining threat and/or risk of a significant hazardous materials release or environmental incident. • Injury statistics, which can indicate the effectiven ess of physical fitness as an established cultural value in the department.
• Citizen complaint reports, which can be an indicator of customer service as a cultural organizational value and citizen satisfaction with service delivery. • Community service activity report, which can assist in iden tifying how involved the department is in providing “community based fire protection”.

Other Factors
In order for elected officials to better unders tand the operations of their fire department, they must consider some of the factors and peculiarities that affect the ability of the department to deliver its se rvice. Among these items are the various federal and state laws and agreements governing operations, the geographical area served by the department and its numerous characteristic s, both natural and made by humans, the water distribution system serving the depart ment, staffing levels, the degree of fire

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide prevention effort, the relationship between the fire department and other municipal departments, the relationship between the fi re department and the community, the type and condition of equipment util ized by the department, and va rious safety and personnel factors bearing on the day-to-day operations of the department and the training and education of fire personnel.

In this age when all public services ar e coming under increasing scrutiny, elected officials must be alert to ch anges in public attitude, technology, new legal requirements, community needs and social trends in orde r to assure that municipal services are delivered effectively and efficiently. This is certainly true in the area of fire services.

Although the public may seem to favor funding public safety se rvices (fire, police, and 911) while cutting back in other areas, fi re departments will likely be faced with increasing fiscal pressures. This may come about because of demands for expanded services in the face of both decreasing and devaluing dollars; mandates by the federal or state government affecting fire services; pressures from labor groups; and new building or business presenting new or expanded hazards or service areas for fire departments.

Some items with which elected officials will be dealing in the future:
• Enactment of stricter fire prevention codes requiring the installation of automatic fire suppression equipment and fire detection devices
• Hazardous materials remediation plans to a ssure that there is less environmental impact caused by those who use, handle, store and dispose of hazardous materials • Increased pressure from industry to respond to their need to perform services better, faster, cheaper
• Community demands to “re-invent” government to provide more and varied services but pay less taxes to cover the cost of the service
There are numerous arrangements fire depart ment administration and elected officials may wish to consider in order to improve department service and efficiency. Among these items are:
• Review of joint power ag reements, mutual aid agreements, and automatic aid agreements to assure that they are of maximum benefit to all concerned • Review of emergency medical services to be sure they are being effectively provided by qualified personnel and that their costs are being adequately covered • Ways to provide value added service to the community, such as “community based fire protection”
• Implementation of a streamlining process to review all building plans to improve the efficiency of the process for our industrial customers
• Review of the “all-risk” multi-hazard functional plan to assure disaster readiness • Drill community-wide to practice and exercise disaster readiness • Public education programs; with an emphasis on youth and the elderly • Customer service programs for internal and external customers

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide • Review of response times to all areas served
• Review of department mission, goals, operational plans • Adoption of a fire master plan to provide optimum prevention, suppression capabilities
• Review of state and federal le gislation in the field of hazardous materials to assure local compliance and minimization of environmental risk • Use of civilians in place of sworn personnel
• Consolidation of related services being provided
A review of the these elements with the city manager or the city administrator, and the fire chief or fire administrator on a regular basis will be of considerable assistance to you in assessing the value they hold in the comm unity. This knowledge can be particularly important during periods of uncertain revenue streams, competition for shrinking federal and state dollars, recession, inflation, or unexpected downturns in local economies.

Many cities fund fire, police, and 911 servic es at high levels. During a period of financial hardship and economic downturn what would you, as a council, do to the budgets of each department throughout the city? Would fire, police, and 911 services take their fair share of budget cuts? The an swer may lie in whether or not the fire department provides “value added services” to the community such as all risk mitigation, and emergency and community based fire protection—services that extend far beyond the traditional paradigm of saving life and property.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide The Planning and Community Development Department2
A City’s Planning or Community Development Department is typically responsible for the planning and building inspection functions. Many cities have reorganized to combine several functions under the title of Commun ity Development. In most Cities this combination is simply Planning and Building, while in other cities it can encompass Planning, Building, Code Enforcement, Economic Development (Redevelopment) and even Public Works and/or Engineering are sometimes placed under the mantra of Community Development. The level or complexity of the combination depends largely on the size of the City and its staff work load. Again, the most common combination of functions is Planning and Building. These two city services are very interrelated.

The principal authority to carry out planni ng and building functions is based in an assortment of federal, state and local laws. Police power is the legal basis for all land use regulation. Various sections of the state G overnment Code contain most of the enabling authority to review and condition development including subdivisions of land.

The principal function of the Planning Depart ment or Division is the administration of the General Plan review development or use applications. • General Plan preparation and update
• Zoning Map and Ordinance preparation and update
• Enforce and implement the California Environmental Quality Act (CEQA) • Conduct Planning related code enforcement
• Process development applications
• Provide public information
• Act as the staff liaison to both the Planning Commission and City Council The primary functions of the Building Depart ment or Division are issuance of building permits and conducting construction inspections.
• Issuance of Building permits and plan checks
• Performing building inspections and occupancy permits • Conduct building related code enforcement
• Abating dangerous buildings
• Providing public information
• Act as staff liaison to the Board of Appeals and City Council A variety of public agencies, as well as, homeowners and developers, regularly request information about land use, zoning, cons truction requirements, building permits, demographics and design and development standards. Dissemination of information is a central aspect of the department and a subs tantial percentage of time is devoted to responding to public information requests.
2 Revised by Thomas Sullivan, AICP, Community Development Director, Saratoga

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide The General Plan
The General Plan
is the most important planning document of the City. All other planning documents must be c onsistent with the General Plan. It is the document that provides the information about existing condition s and future desires. The General Plan consists of seven mandated elements: Land Use, Transportation, Housing, Open Space, Conservation Safety and Noise. There can al so be any number of optional elements, for example: Community Design, Parks and Recreati on, growth Management or Agriculture.

The individual elements that make up the Ge neral Plan must be consistent with each other. Some Cities write the General Plan as a single document with chapters and other cities write their General Plans one element at a time. The Governor’s Office of Planning and Research (OPR) provides guidelines for the preparation of all mandated elements except Housing. The State Department of Housing and Community Development (HCD) publishes those guidelines and reviews and certify the draft Housing Elements.

Zoning
Zoning is the most common implementation ordinance of the Genera l Plan. The Zoning Ordinance is a set of rules that carry out the intent of the General Plan. It basically is the division of the city into different land use cl assifications and the application of different regulations in each. Each of the zoning clas sifications must be consistent with the General Plan. The Zoning Ordinance deals with issues from density, floor area ratios (FAR), lot size, length and width to the le ngth of RV’s you can or cannot park at your home. The regulations cannot be ambiguous. The public often th inks that zoning is land use planning, when it is only a small portion of what makes up land use planning.

Specific Plans
After a City has a General Plan adopted, the City Council can direct that a series of Specific Plans be prepared to provide for the systematic implementation of the General Plan. The Government Code provides some ve ry detailed guidance about Specific Plans.

While Cities can and do prepare these plans, often Cities require de velopers to prepare them. As the name infers, these plans are very specific. They provide design guidance for infrastructure and ultimate land use. Th ey can even provide detailed architectural treatments.

Design Guidelines
Not all Cities have design guidelines. Some Cities have several designated areas where differing design requirements are set forth. Design guidelines are us ed to protect areas that have historical architectural themes. They are used to ensure developments follow a desired architectural design theme. Occasi onally, Cities offer incentives to obtain the desired architectural look. De sign guidelines are used to e ither protect existing quality design or to help create the quality desired.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide Subdivisions
The primary purpose of the Subdivision Map Act is to encourage orderly community development, to ensure that areas within th e development that are dedicated to the public will be properly improved by the subdivider, and to protect the public from fraud and exploitation. The Subdivision Map Act, work ing in conjunction with the City’s Zoning Ordinance, guides and controls to a large part the development of the City. A minor subdivision or parcel map is a map that divides a single parcel into four or fewer lots. A major subdivision is a map that divides a parcel into five or more lots.

California Environmental Quality Act (CEQA)
The California Environmental Quality Act (CEQA) requires that both private and public projects be analyzed for their potential imp acts to the environment. An Environmental Impact Report is an informational document intended to assist City officials in making decisions regarding a proposed project. Following the precise process laid out in the CEQA Guidelines is very important. While the EIR may be the heart of CEQA, most reviews end in the adoption of a Negative Declaration of Environmental Impact. In other words, the proposed project does not have a ny environmental impacts that are not known and cannot be mitigated through project redesign.

Code Enforcement
This is a necessary function for the Planni ng and Building Departments. Cities are authorized to prosecute violations in order to enforce building and/or zoning codes. Most cities prefer compliance to code requirements to the prosecution of property owners. In most cases, a discussion of the issues usually leads to compliance.

The Public Hearing Process
The Government Code sets out particular requirements to be followed in order to conduct a public hearing. It also provi des guidance on what types of activities or applications require formal public hearing. Typically, if a public hearing is to be conducted, proper notice must be given. The public hearing noti ce must be given in at least two forms; advertised in a newspaper of general circulat ion and posting of the pr oject site and/or a mailing of the public hearing notice to all prope rty owners of record within 300 feet of the project site. Some cities also have three regular locations where postings are made.

Public hearings must be conducted to cons ider adopting or amending general plans, zoning ordinances, to consider granting use permits and for tentative tract map review.

The role of the Community Development Department
The Community Development Staff guides a nd advises the City Council, Planning Commission and other City Departments with regard to the physical development of the City. The Planning Staff provides the labor an d expertise to maintain the City’s General Plan, Zoning Map and Ordinance. The staff also provides for the day-to-day

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide implementation of the City’s land use policies.

The Community Development Staff provides the liaison with the business community, simplifying permitting, working to streamline the development process and providing communications between the re al estate profession, devel opers, merchants, property owners and residents.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide The Police Department3
The police department has the primary responsi bility of providing for the maintenance of social order within carefully prescribed ethica l, legal, and constitutional restrictions. Its objective is the prevention of cr ime, detection and investigation of criminal conduct, and the apprehension of violators.

As a general matter, in the city council-ci ty manager form of government, the chief of police is appointed and supervised by the city manager. This is used to establish a single executive officer to implement and administer the city council’s policies. This varies, however, and some city councils appoint all department heads, including the chief of police. Under this form of government, the ch ief of police reports directly to the city council, however, many of the routine da y-to-day police department issues are coordinated by the city administ rator. In this way, more routine matters are handled by an administrator and the city council has a more direct relationship with the chief of police.

In a charter city the relationship of the poli ce department to the c ouncil is determined by the charter.

Primary Functions of the Police Department
The police department’s responsibilities can be grouped under the following general categories:
• The prevention of crime
• Apprehension of offenders and recovery of property
• Performing miscellaneous services
The Prevention of Crime
Crime prevention is a top priority for all city officials, and this task makes up a good portion of what city police departments do. In most instances, crime prevention comes in the form of patrol cars, but increasingly, po lice departments are utilizing prevention and outreach programs to target specific groups, such as youth.

For example, a recently emerging trend has be en the establishment of counseling units within municipal police agencies designed to handle juvenile offenders. The rationale behind funding such units is to reduce recidivism at an early age, and thus reduce the future need for expensive police and criminal justice services. Other programs are aimed at educating youth about gang and drug activity to deter such behavior.

Emerging as a philosophy of po licing are the concepts of Community Oriented Policing (COP) and Problem Oriented Policing (POP). Community Oriented Policing is a 3 Revised by Richard M. Tefank, Chief of Police, Buena Park.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide philosophy of a police department being accessibl e to the public and working together in a partnership to identify and implement cr ime prevention strategies. Problem Oriented Policing is the philosophy of utilizing the community to identify problems and then working in conjunction with the police department to develop strategies to eliminate or solve the issue confronting the community and quality of life.

Crime prevention is one of the more visibl e aspects of what pol ice departments do.

However, the success of such programs should not be the only indicator of department performance. Public perception and citizen sa tisfaction with other police services should also be considered.

Apprehension of Offenders and Recovery of Property
An essential component of the duties of a police department is the apprehension of offenders and recovery of property. Included in these functions are responses to calls, the investigation of crimes, and assistance to victims and witnesses and filing criminal cases to a prosecutorial agency. These tasks can be an indicator of th e police department’s performance, response time to calls, number of cases cleared by arrests, and number of criminal cases filed. These components can also be used to evaluate performance.

Performing Miscellaneous Services
Some additional, but typical police respons ibilities include parking control, animal control, applicant fingerprinting, commercial and residential security inspections, delivery of city mail to council and commi ssions, public speaking programs, and school crossing guard responsibilities. In some cities public safety departments have been formed combining police and fire services in an effort to increase personnel utilization.

Police departments are often called upon, in c onjunction with other departments, to enforce such things as code violations. In addition, police departments prepare various reports and other materials which describe thei r functions and inform elected officials of their actions.

The police department has the responsibility of preparing a variety of documents. The most significant document, and by far the most important respect to a city council, that a police agency prepares is its own local budget. The budg et contains the department’s priorities for the coming year, and the divisi on and allocation of resources to accomplish those objectives. Through council action the budget becomes the primary policy statement from the council to the agency.

California requires the submissi on of monthly reports tallyi ng the reported significant crimes and successful clearances, amount of loss and recovered property by category, and a register of all arrestees by name, offense, and ultimate disposition of each individual by the reporting agency. There ar e other reports called for th roughout the year relating to narcotics seized, length of duration of juvenile arrestees in local jails, and other miscellaneous reports for the California Department of Justice.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide A police activity report to the council should be considered another significant document.

Since there is no mandate for such a report, lo cal variations occur as to form, content and frequency of issuance. Some departments may never issue su ch reports, or issue them only in response to a specific council request.

Most departments, however, issu e reports on a monthly, quarterl y or yearly basis. They may vary in form from informal written briefi ngs to complex statistical analysis replete with minute charts and graphs pertaining to ev ery function of the agen cy. The point that should be emphasized, however, is that this report should be understandable by, and a benefit to, the council, the community, and the administration of the de partment. If it is too complex or too detailed, they become nice fillers on bookshelves , but are of little benefit to the council for prioritizing the expenditure of department time and resources.

Council and Police Department Relations
A municipal police agency is only part of the overall service program of a city and should complement, support, and assist in the service delivery of the other city departments. It is not an independent, isolated, essential serv ice with no interplay with the other city departments.

In the planning process, it ha s expertise in social impacts, environmental security, and traffic patterns and circulati on. In its relationship to pub lic works and engineering, it will have input on traffic e ngineering, signing and marking, and can assist in the causative factors of local traffic accidents. Officers on patrol will be able to report road deterioration, traffic obstructions, and general hazards with resultant liability exposure to the municipality. In the development of park s, the police department can assist in plan development with an eye towards eliminating vandalism, areas prone for criminal behavior, and instilling a sense of security in the park. In short, a police agency is an integral part of city government -- not apart from it. Representatives from the police department should be involved in all aspects of the planning process.

The internal policies and procedures of the department are determined by the police chief and need to be consistent with the law and policies of the city manager or city administrator and the council. Since the pol ice function is primarily concerned with a broad range of order maintenance activities and with the provision of services to the community, these matters are clearly local co ncerns requiring responsiveness to the public and accountability to community priorities. Coordination of services, development of priorities, and maintenance of a balance be tween the services offered and the financial resources of the community require that the agencies delivering the services be responsible to the public. The determinati on of what services a police agency will provide, what priorities will exist, and what police responses will be sanctioned are proper decisions for the city c ouncil. A police department exists within a pol itical arena, and a city council can be asked to answer to the electorate based on the actions of the police department. It is th erefore, important that a po lice department understand its connection and relationship within this political arena.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide Budget Issues
The police budget will contain the proposed goals and objectives of the agency for the coming fiscal year. Depending on the local budget format, each police budget will generally show the allocation of resource s distributed among three major divisions:
administration, patrol, and i nvestigative services. The budget accounts will reflect requested expenditures necessary to accomp lish the goals and objectives of the department.

With the tremendous amount of discretion entrus ted to police, oftentimes the most cost- effective expenditure of pub lic funds is allocated with in the training account.

Expenditure in technical courses, firearms, self-defense, and crisis intervention, not to mention supervision and management, contribute to greater public acceptance of the police and lessen the exposure of the municipality to civil liability. The police budget will also show the percentage of general funds allocated to public safety in comparison to the total city budget. Local jurisdictions w ill vary based on comm unity need and public demand as to the percentage given to poli ce services through the allocation of general fund revenues.

When allocating resources, evaluation of pol ice productivity is too often measured in terms of arrests, case closure, and property recovery. These measurements are as suspect as the criteria on which they are based, namely uniform crime reports. Although these numbers should not be overlooked, more importa nt criteria for evaluation can very well be community satisfaction which is the co mmunity perception as to the quality of delivered police services. Questionnaires and surveys can be designed and input solicited on a random basis if desired by a city council.

The elected official may be best able to evaluate the effectiveness of the police department by soliciting input from his/her re spective constituency. The perception of the police by minority communities, by the business community, by the residents, and by other individuals involved in the criminal justice system is subjective at best, but in the long run might form the better basis for evaluati on. For instance, just the presence of the “patrol” division on the streets may be percei ved differently by different segments of the community; for some it may suggest security, and others may view it as hostile. In contrast, different statistical measurem ents may suggest varying degrees of “productivity” but these can be counter to the community’s perception.

The department’s ability to achieve its goals and objectives as st ated in the budget, stability of its personnel, time lag in responding to calls for service, and effective written disseminated policies and procedures are addi tional objective criteria which can be used in forming an accurate evaluation of the agen cy. No evaluation should be based on one or two selective areas, but an accurate analysis of several crit ical areas will lend to an accurate overall evaluation of the agency.

One peculiarity typical of all police agencies which a city council must keep in mind is the need for higher total staffing -- in cont rast to the number of persons on duty at any given time -- caused by operating on a seven-day week, twenty-four hour basis.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide Typically, police departments must staff twen ty-one shifts each week. Each officer works five shifts, and therefore it requires 4.2 officers to field one patrol car on a weekly basis. When vacation time, compensatory time off, sick leave, mandatory training, and court time are computed, the 4.2 figure approa ches 5.2 officers to maintain one patrol vehicle in the field on a weekly basis. This formula applies to the five-day work week.

Alternative work schedules include the “four-t en” plan, a work week consisting of four ten hour work days, and the “three-twelve” plan, a work week consisting of three twelve- hour shifts.

Overtime costs are often of great concern to a city council. Over time on a day-to-day basis is unscheduled and although management exercises what controls it can, an officer cannot be relieved in the middle of a major cr iminal investigation or a serious traffic accident. Two-thirds of the patrol force ge nerally work swing and midnight shifts, and are also required for court appearances dur ing the day, which leads to increase overtime costs.

Limited resources along with rising insurance premiums, retirement, and employee benefits are creating fiscal dilemmas which the elected official must deal with while preserving the community’s perception of proper security. Increased civil litigation arising out of police action is broadening the municipality’s exposure to civil liability.

Tax reducing initiatives are lowering the general fund revenues and it is primarily the general fund from which every department derives its funding source.

Budget constraints, however, provide an opportunity to improve service and efficiency in the future. Consolidation or centralization of records, warrants, and dispatching, together with the formation of multi-jurisdictional investigative units will become more commonplace. The actual consolidation of municipal police depa rtments while still preserving local control should be cons idered and experimented with. The “civilianization” of support pers onnel and the increased use of civilians in performing routine calls for service will free up more sworn officers for criminal apprehensions.

The function and purpose of investigative un its should be re-eva luated and critical decisions made in regard to their caseloa d, accountability, and solvability of cases assigned with the view that patrol can share more responsibility for criminal investigation. A reserve force can also be utilized, however, recent training requirements, and other state laws have discouraged the use of reserve officers.

Labor Issues
An issue facing local municipalities today is the actions of the rank and file police associations or unions. Du ring difficult labor negotiations there may be a “job action,” which may include work slow-downs, the “Blue Flu,” or an inordinate decrease in traffic enforcement. Votes of no confidence in th e police chief are comm on, and coupled with the police “job action,” may cause community unrest and consume local officials’ time to the detriment of all municipal services.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide Public Awareness
An active public education program soliciti ng community support in crime prevention, instilling public awareness of the limitations of police authority, and re-evaluating or redirecting the public’s expectation of having a police officer responding to every call for service should be attempted and supported.

Some cities are involving thei r residents more closely with the police department, either through a community police academy or a volunt eer program. Besides helping to stretch the resources of a police department, these programs provide the public with a greater awareness of the role and responsibility of the police department.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide The Public Works Department
The purpose of the public works function is to be the stewards of a city’s infrastructure.

Municipal infrastructure traditionally incl udes streets and highw ays, median island landscaping, flood control and storm water quality, public buildings, water supply, sewage treatment, street lights, transportation and traffic control, solid waste management and recycling, parks, open space, municipal util ities, street trees, airports and cemeteries.

For all of these municipal services, the public works function is responsible for design, construction, operation and maintenance of municipal facilities.

Every city in the United States organizes thei r public works functions in different ways.

The traditional approach is to have a Public Works Department that is responsible for all these services. Many cities have developed with special districts that handle some of the public works functions and thus these functions would not be under the purview of the City Council. Also, many cities assign vari ous public works functions to other City departments.

A new council member is encouraged to revi ew the City’s table of organization to see what functions each of the City departments is responsible for. It can be embarrassing for a council member to ask a department head about a municipal service when that function is handled by another department, especially during a City Council meeting.

In many ways one can look at public works as providing the basi c foundation on which cities and their subsequent functions are bu ilt. Public works is rarely noticed until something goes wrong or until major construction is underway. Excellent public works in a community can have a significant impact on property values and the quality of life that citizens enjoy.

The Development of a Capital Improvements Plan (CIP)
One of the most vital documents to implem ent a cities general plan is the capital improvement program (CIP). Most cities de velop long-range (generally five years) capital improvement programs, which are upda ted annually. This document reflects the plans to construct certain public facilities in accordance with the goals and objectives of the city. The CIP should describe proposed f acilities adequately so citizens understand what facilities are planned, what they will co st, and where the money will come from to finance them. .

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide Funding Sources
The most reliable sources of funds for pub lic works com e from gas tax revenues and
local sales tax initiatives fo r transportation. These sour ces generally distribute funds based on formulas such as number of lane miles, number of licensed vehicles, or population. Other reliable sources are local ente rprises, (such as water, sewer or refuse, etc.) or the local agency’s general fund.

Policies guiding the construction, operation and maintenance of many public works facilities are frequently deve loped at the state and federa l level and as such, weigh heavily on the policy direction of local agencies. Federal grant funds administered by the Federal Highway Administration or the Envi ronmental Protection Agency for example are generally loaded with regulations governing their use. As a resu lt, use of such funds can require a great deal of s ophistication and time to administer. This, of course, results in increased administrative costs and de lays, and as a consequence many smaller organizations with limited staff resources are unable to utilize these types of funds.

To a large extent, public works budgeting is c ontrolled by the availability of state and federal funds. Categories a nd levels of funding, particularly for federal grants, fluctuate widely from year to year. For example, the decision to cut federal taxes could likely cause significant public works fund reductions n ecessitating changes in levels of service or increased use of local general funds.

State and local bond measures also fund public works budgets and are a frequent revenue source for major projects. When a public work s facility benefits only a small portion of the community it is often financed by the developers of the property by “benefit assessments” levied against the owners of property in the nei ghborhood or by service charges and fees. These devices do not i nvolve the use of general tax funds. These funding sources complicate public works budgeti ng and reduce the city’s flexibility to prioritize its expenditures and to plan for the fu ture. These factors must be considered in selecting and evaluating public works programs.

Performance Feedback and Measurement
One means of measuring any service is by evaluating citizen feedback. If the feedback is favorable, it is a good indication that the le vel of service is co mmensurate with the expectations of the community. However, a seemingly popular service may also be an extremely expensive service. If the public is aware of the expense involved and is willing to keep the level of service, this confid ence is then reflected in the annual budget allocations.

It is extremely helpful if performance levels can be measured in terms of efficiency and quality. Departments must establish means to measure how well they are performing and meeting the mission, goals and objectives of the city council.

ATTACHMENT A
Understanding Your Cit
y’s Departments
League of California Cities Mayors and Council Members Resource Guide Continuous improvement evaluations of all operations are a common expectation within local communities. Comparisons with how se rvices are provided elsewhere and in the public sector are useful tools. Sometimes cont racting out to the private sector is the most successful way to provide a particular service, and sometimes we may simply need to get out of certain businesses or services that stray too far from our core mission or are simply unaffordable.

The most common measuremen t used by most public works departments is asset management, an assessment of the condition of the cities infrastructure. This assessment inventories the condition of citi es capitol assets. The public works department can then determines what deferred maintenance may exist, calculates how much should be spent annually to eliminate it within specified periods of time as well as what should be spent on preventative maintenance to maximize the life expectancy of these assets. Eliminating deferred maintenance is the major public works i ssue at all levels of government. It is terribly important that po licy makers understand what they should be spending to maintain and preserve what they have before they decide to spend available funds on new projects or services.

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide The Recreation, Parks and Community Services Department

Community Services is not a new municipa l function. Community services refer to parks, recreation, libraries, arts and culture , museums and theaters, senior’s leisure and human services. Village greens were found in most every New England town from early in our country's history. Central Park in New York City provided the first large scale city park in the United States when it was ac quired in 1856 at a cost of $5,069,693 -- and not without some large scale political disagreem ent! Neighborhood park development began to become commonplace in American cities during the first decade of the twentieth century, and the birth of the American recr eation movement occurre d with the dumping of large heaps of sand in the yards of a chapel and a nursery in Boston in 1885.

In California, community services activities are authorized in state statutes differently for charter and general law cities. Charter cities are permitted to act subject to limitations in their charters unless overruled by state law on matters of statewide concern; general law cities are given permission by a wide variety of code statements to conduct activities such as parks, arts, recreation, etc.

Primary Functions of the Community Services Department

Municipal or local community services are offered in several forms in California.

Although most cities provide community services through regular city departments, some communities are served by countie s, some by special park and/or recreation districts, some by community service districts (CSDs) and some by combinations of the above.

In recent years, many difference organizationa l patterns have been developed to meet local conditions and local needs. The organizational title "parks and recreation" generally implies single department responsibility for both park maintenance and recreation programming. Some cities have chosen to separate the two functi ons, typically placing park maintenance responsibility with the public works department.

Cities vary widely in the arrangement of de partments. Often, these activities are placed under the administration umbrella "commun ity services," though each area generally retains its own identity. The common administrative denominator can assist in creating an atmosphere conducive to cooperation and sh ared resources, or th ey may be separate departments.

Community services departments have traditionally been asked to provide services which do not seem to fit neatly into other departme nts or disciplines. Often these changes in roles have been difficult to assimilate within the departments as well as within the city, but the departments have learned to become tremendously adaptive. It would seem logical to assume that changes in local gove rnment funding as well as in grant and other assistance programs will continue to mandate changes in organizational structure within the cities. However, the city government 's commitment to community services department will continue to be recognized as a barometer of the "quality of life" in that community.

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide Several significant city documents are prepar ed by the community services departments, including department budgets, th e recreation and arts elements to the general plan, park standards and plans, and community services program information material. Community services department staff members and comm issions are also regul arly called upon for input into general plans, zoning and redevelopment matters.

Often elected officials and city managers overlook the positive im portance of the many public relations materials published by community services departments. This multitude of regular and special publications annually provides most of the written contact between many citizens and their city government that is not of the utility bill or statistical report variety. As shrinking financial resources demand better utilization of resources the community services publications to reside nts can also provide information of other important city activities and programs.

Council and Community Services Department Relations

Since community services departments have su ch varied responsibilities, each elected official must consider carefully the interre lation of department activities with other services provided by the cit y. Any discussion of polic e programs must necessarily consider youth recreation and ar ts activities. Considerations of community appearance and real estate property values must note th e impact of street tree programs, public building maintenance and park design and maintenance.

Reviews of sales, amusement, or hotel/motel tax revenues naturally relate to community theaters, zoos, special community events, athle tic contests, etc. No analysis of local employment should exclude the millions of dollars earned annually (much of it by young people) from work in local California commu nity services depart ments -- additionally, much of the earnings are probably spent with in the community. The economic impact of a downtown theater, for example, may have a multiplier effect of three times and sometimes much more. That intangible call ed "community spirit" is often highly influenced by community services departme nts’ support of the multitude of community volunteer organizations and community special events found in every city.

Department Policies

City councils should insure that department policies are being set and implemented in a manner consistent with the desires of th eir community. Many cities use advisory commissions (parks and recreati on, libraries, senior citizens, arts, human services, street trees, youth, etc.) to review and comment on important policy decisions prior to city council action.

• Does the city council wish to get involved in all fee settin g or special interest group subsidy requests?

• Should the city follow the "co-sponsorship" plan which suggests not starting a city program if a local group can be stimulated to fill the need?

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide • Policy issue determination involving citizen participation invariably provides more satisfactory and comprehensive solutions to everyone involved.

City council members should insure that a clear understanding ex ists by all parties regarding which type of policy decisions should be made by the city council, the advisory commissions, the city manager's office, or the department.

Unfortunately, community services are not always easily quantified as are fires, burglaries, investments earned, building permits issued or miles of streets repaired. Some communities do invest time and money into co mmunity services planning, user surveys, and performance standard strategy. However, most community serv ices departments do not have the resources to be thorough in ev aluating their services nor in making elected officials and the public aware of their contributions.

Elected officials should set priorities for park maintenance and then provide the resources to ensure modern managerial and performan ce standards are used to measure results.

Elected officials should demand that adviso ry commissions not be "rubber-stamped" and devote time and energy to reviewing program s, program quality and citizen concerns.

Elected officials should ask whether or not demonstration and innovation are the exception or the rule in the community serv ices department; and whether or not their city's parks and programs serve the needs of the users of the services offered.

There are numerous traits of successful co mmunity services departments which bear upon its ability to serve the public. Some include:

• Innovation. Are the community services departments flexible and open to change? Ten years ago, who envisioned roller blading or midnight basketball, senior day care, a technologically advanced library or public arts throughout the city? More important, who is thinking about the possible impact s of these items on the community services experience: an aging society, the homeless, child day care, surplus schools, the drug culture, gangs, st rategic planning, growth management, an international recession, a sustained energy cris is, drastically reduced federal spending and year-round schooling?

• Part-Time Help. Community services departments are probably unique in the large number of part-time employ ees they hire. As menti oned above, most cities are probably a major employer of youth in thei r community. While this may give the personnel and finance department problems, it also gives the city a live and direct connection to its citizenr y, in addition to being a tremendous augmentation to community services permanent staff. For many city residents the park maintenance helper, librarian or lifeguard may be the only living and br eathing city representative they speak to throughout the year. Evaluati on and training of these employees is the key to an effective service delivery of community services.

• Volunteers. Community services departments must utilize volunteers and special interest groups in ways that distress risk managers and other c ity officials but tap a great community resource. In 1987, voluntee rism was determined to have grown in

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide cities by almost 50 percent over the previous five years, while full-time staff had grown only 10.3 percent during the same period. Such an approach gives city government another direct method of ensuring community involvement.

• Sponsorships and Fundraising. As general fund budgets become less available to community services departments, these agencies have become more dependent on funding through corporate and private sponsorsh ips, grants and fundraising efforts.

Increased staff time is being devoted to maximizing these resources, and it is not uncommon that special events, regular pr ograms, brochures and publications, etc., include references to a sponsor.

The time for traditional responses to public serv ice demands in this time of untraditional funding has ended. Elected officials are asking questions about so me of the following concepts and practices:

• “Contracting-out” for services
• New capital outlays for equipment facility or redesign that will increase productivity and service levels while reducing energy consumption
• Voter-approved park maintenance fees
• Nonprofit foundations to augment programs (For example, Friends of the Libraries, Arts, Parks); paid advertisements in local publications • More effective use of volunteers and community groups • Partnerships and collaborations
• Higher fees and charges
• Scholarship programs for the poor and the handicapped who may be hurt the most by the higher fees and charges
• Use of parks and recreation departments to generate ancillary revenues that benefit department revenues while providing useful services to the community • Enterprise funds in recreation to parallel water and sewer enterprise fund operations • Conversion of parks and grounds areas to low-maintenance landscaping • Department, division and program reorganization to reduce middle management • Design of new parks that can be easily maintained
• Systems that facilitate professional management
• Involvement of community or neighborhood groups or the private sector in maintenance operations

Community services has proven itself to be one of life's necessiti es in a highly urban society with rapidly growing cities, quality of life issues becoming an important way to reach the public and create a sense of commun ity. The public will continue to expect public officials to provide for qua lity services in the cultural arts, human services, leisure

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide services, library services and in park deve lopment and maintenance in spite of reduced resources to do so.

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide The Library Department4

Library functions usually fall under the Re creation, Parks, and Community Services Department. It is listed separately here for greater visibility. The purpose of the public library is to provide informational, educationa l, and recreational materials in a variety of formats to meet the needs of the community. These needs are as varied as the persons who use the library—young and old, poor and affl uent, from the most practical needs to the most technical, from recreational to li fe influencing. Since the first "community library" was opened in Philadelphia in 1731, the public library has been the one source of information and assistance available to all citizens.

Primary Functions of the Library Department

In general, the library’s functions can be placed into three broad categories:
• The source for information and mate rials of all kinds for residents —traditionally the
public library has been regarded as a preserver of culture and democracy, a repository of information in many formats, and an extension of the formal educational system.

These basic responsibilities are but part of the modern dynamic library program. • The provision of public services—including the more traditional interlibrary loan and children’s programs, as well as such more innovative services as literacy tutoring, computer and Internet access, and materials for those with special needs. • The provision of information to City administration and management.

The Source for Information and Materials of All Kinds

In addition to books on almost every subject, the library ’s collections may include newspapers and magazines, audio and vi deo cassettes, compact discs and DVDs, computer software, microforms, pamphlets, maps, pictures, toys, games, films, tools, and equipment for loan and for use on-site. An increasing number of information sources are available to the public at the library on computer databases and through the Internet.

Many local libraries collect and preserve hi storical documents, papers, photographs, and other memorabilia which are the only research resource for lo cal historians. The public library is sometimes called upon to gather information or to obtain documents needed by other city departments. And the library, along with the city clerk’s office, may act as the collector and retain er of city and regional governmental documents. In some communities, the public library is a source of cable television programming, and the library may house the cable TV studio. And in every library, the staff gives tours of the library and gives instruction on how to use the many resources available to customers of all ages.

The public library also serves the information needs of elected officials and city management. Do not hesitate to call upon them for books, magazine articles, management videos, and other resources needed to administer city government.

4 Revised by Laura Mitchell, City Librarian, Escondido.

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide The Provision of Public Service

The public library is often called upon to provi de information and materials that are not available within its facilities. To meet the mo re specialized needs of residents, the public library can borrow books and other materials th rough the interlibrary loan program from other libraries, including colleges, universities, hospitals, and private corporations. Most public libraries now belong to the new “Library of California”, a consortium of libraries of all types with the purpose of facilitating the sharing of print a nd electronic resources throughout the state.

Many libraries offer programs for people of all ages, including classes on how to use the Internet. For young people, the library may give pre-school story hours, after-school entertainment, and motivational reading programs for elementary age children, and special interest clubs for preteens and teens. For adults, the library may offer great book discussion groups, travelogues, music programs, inoculati on clinics, lectures, and assistance at income tax time. Community gr oups may meet at th e library on a regular basis.

More than 100 public libraries are participa ting in the California Literacy Campaign, a grant program established by the California State Library in 1984. Local libraries match volunteer tutors with adults who have poor reading skills. These residents are then taught to improve their reading levels so that they can function better in their daily lives. In fiscal year 2000-01, more than 25,000 learners and 13,500 tutors pa rticipated in the campaign.

Contemporary Library Issues

Some current library issues include grow ing numbers of “latchkey children”, the declining condition of school libraries in many California communities, increasing numbers of homeless and mentally disturbed users, library fa cilities which are deteriorating or just becoming too small for the increasing use, the need to provide expensive computer equipment, and the need to resist individual and/or group attempts to limit access to library materials.

City Council and Library Relationship/Structure

In California, library services may be delivered to a city by one of several methods:
• The city may establish its own library.
• The city may contract with the county library for library services, or the two bodies may form a joint city-county library.
• The city may be included in a special library district. • The city may be included in a unified school district library di strict or a union high school district library district.
• The city may contract with a commercial firm to operate the library.

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide The method of service delivery also determin es the nature of the library’s governing body. The library may be governed by the city c ouncil or the board of supervisors, or by an elected or appointed board of library trus tees. Regardless of the method of service delivery, the local public library is an integral part of the community and is responsive to community needs.

The City Council and Library Department—Relations and Expectations

Assessment of Services. The public library is generally perceived as a public good that is worth supporting, even by those who rarely use it. Hard times for library budgets have sometimes motivated a neighborhood or community to mobilize in support of their library. And the governing body’s commitment to providing quality library service is certainly one measure of the "quality of life" in the community.

Like other “human services,” the quality of library services is not easily measured or evaluated. The state requires public libraries to keep statistics on their activities, and these can help in the evaluation of the libra ry, especially circulation trends and the increase or decrease in the number of regist ered borrowers. However, statistics do not give the total picture.

The opinions of library users and community members are very helpful in evaluating the library. If the staff is friendly, well trained, and helpful to all clients and the library atmosphere is inviting, people will enjoy usi ng its services. If the library management and the governing body receive few complaints, a nd users praise the library, it is fairly safe to assume that the libra ry is doing a good job. Electe d officials who do not use the library and rarely visit it are missing th eir best opportunities for observing staff performance and evaluating library use.

Questions that may be asked in the evaluation process include:
• Is the library used by all segments of the community? • Is the staff well trained and knowledgeable about resources and collections? • Can user questions be answered quick ly and thoroughly, or can sources for answers be identified for the user?
• Does the library demonstrate that it is a part of the community by displaying items of local interest, by collecting lo cal history, and by encouraging staff members to become involved in local organizations?

Automation and Capital Needs
. In some communities, local officials have been reluctant to commit the large initial capital outlay that is required to automate the library, and to maintain and upgrade its computer system in a timely manner, although they have automated many other routine functions in other departments. Experience has shown that the automation of library routines relieves staff of record keeping and enables them to expand services to meet the ever-increasing expectations and dema nds of the public.

Automation also enables staff to perform other tasks that may not be getting done.

One of these tasks is that of fulfilling the responsibility to account for the library’s collections. Taking inventory of thousands or millions of items by hand is an almost

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide impossible task with existing staff. With a da tabase, the library has an efficient means of tracking and accounting for most of its inventory. This in turn enables the staff to know which items are so much in demand that mo re copies are needed, or which important items are missing and need replacement. And this is much better service to the public.

Facility Needs
. Another very effective way of improving service is to build new libraries that are energy efficient, ha ndicap accessible, easily maintained, and prepared for the installation of the newest co mputer technology. Too many public libraries are housed in antiquated facilities that lack handicapped access, fire suppression systems, adequate seating, decent restrooms, and staff work space. Some public libraries are so badly out of compliance with fire, building, and electrical codes that they would be closed if they were operating in the private sector.

The safety and security of the public, the staff, and the city’s enormous investment in its library collections are at constant risk in such buildings. Unfortunately the mitigation of these problems requires a large capital outlay that local officials hesitate to commit as long as they can "get by" with the current s ituation. It is sometimes the case that the library staff provides efficient, quality library service in spite of all these handicaps; the improvement in service would be even more dramatic were such an excellent staff moved into an improved facility.

Contemporary Library Issues

All city services face a never-ending demand for more and better services, and the library is no exception.
o Growing communities with young fam ilies make many demands upon the local schools and the public library.
o More and more residents have personal computers at home, and they expect to be able to access library resources from home.
o Library users also expect to find the same up-to-date equipment and resources at the library that they have at home.
o Communities with more elderly persons on fixed incomes are experiencing more demand for services specifically for the senior citizen, and this is one of the groups often targeted by public libraries for special service programs, such as large print books, talking books, and information and referral services. o New businesses and industries bring in more people to use city services and new demands on the library’s business collections.

Of major concern to library staff members is the increasing number of "latchkey children" frequenting the library. Many working parents, unable or unwilling to provide after-school care, instru ct their children to go to the li brary after school and to remain there until they are picked up hours later. They assume that their children will be safe and supervised at the library, not realizing that because it is a public facility, it is open to all elements of society, and the busy staff cannot take re sponsibility for watching the youngsters.

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide Bored, restless children sometimes behave in appropriately, demanding constant attention from the staff, who are then unable to help other library users. The American Library Association has prepared guidelines for libraries dealing with this nationwide problem, and libraries are working with their local pol ice and other agencies to establish methods for handling problem and neglected youngsters.

Another youth-related c oncern of public librarians is the continuing decline of school libraries, especially in elementary schools. The lack of funding for school libraries throughout the state has resulted in outdated collections and poor staffing; often a school library is run by an untrained aide or a parent volunteer. This has created an enormous demand on public libraries for materials th at support homework assignments, and for homework assistance after school hours. Publ ic librarians try to balance the needs of local children against the needs of the rest of the community but find it increasingly difficult.

Another significant problem is that the public library, because it is a public facility, has become "home" to an ever-growing number of the homeless, mentally disturbed, and transient members of the population. These people find the library a comfortable and non-threatening place to spend the day, but their appearance and behaviors are sometimes upsetting and intimidating to other library users. Unless they commit a misdemeanor, such as disturbing the peace, there is no legal ground for ejecting them from the library.

Like unattended children, the homeless and transient people frequenting the public library are more than a library problem; they are a community problem. Solutions may be found in the provision of more day care programs and facilities for both groups. Libraries cannot solve these problems, but they can contribute to community-wide efforts to do so.

There is and will always be a demand for basic library service, for no other institution provides the materials and services that are the responsibility of the public library. It has been said that the continuance of our democratic way of life depends in part on the public library’s continuing ability to provide materials on all topics and from all points of view without interference or censorship by any part icular group, sect, or creed. Groups that seek to limit or prescribe the services of th e public library seek to interfere with our citizens’ most basic rights. Library mana gement needs the support of its governing bodies in resisting such interference.

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide The Human Resources Department

A city’s human resources department has re sponsibility for personnel matters affecting all city departments. Human resources serves as an internal consultant helping other city departments recruit and retain the best pos sible workforce, training and motivating employees once they are hired, ensuring a fair and equitable system of personnel management and resolving employee relations problems.

Human Resources professionals have four major roles within their cities, the traditional role of providing technical expertise, and three emerging roles: “business partner”, working with management to devise effective solutions to an organizational or performance problem; “change agent”, helpin g others understand the need for change, planning and training for change; and, “lead er”, influencing others, and balancing concerns for employees with organizational requirements and goals.

Cities in California vary as to how their human resources functions are organized. Many cities have changed the na me of this function from “Personnel Department” to “Human Resources Department.” Medium- to large-si ze cities are likely to have a full-service Human Resources Department with the respon sibilities of the director ranging from recruitment and selection to risk manageme nt. Smaller cities may have a personnel officer or personnel manager reporting to a depa rtment head or to the city manager. In other cities, the assistant city manager ma y be designated to handle human resources responsibilities.

Many cities include risk management func tions (workers’ compensation, liability, insurance and safety) as part of the Human Resources Department.

Primary Functions of the Human Resources Department

• Labor and employee relations, including negotiating the ci ty’s labor contracts and resolving employee grievances
• Recruitment and selection for vacancies and promotional opportunities in city departments, and compliance with non-discrimination law • Classification and compensation to ensure that employee job descriptions and pay are consistent with the actual duties being performed
• Employee recognition programs
• Training and development so that empl oyees grow professionally and provide improved services to citizens
• Administration of retirement, health, dental, and other employee benefits • Risk management, involving workers’ compensation, liability, insurance and safety • Maintaining personnel records

The Human Resources Department and the City Council

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide Elected city council members set public servic e policy for the city. In that capacity, elected officials can assist in effectiv e management by getting to know how their decisions affect the city’s largest resour ce: its employees. The human resource department functions and responsibilitie s are key to successful organizational effectiveness. Moreover, elected officials can expect to be kept apprised of ever- changing employee relations law, and the costs and values of the city’s workforce.

Following is a summary of the key organizational responsibilities of the human resources department.

Labor and Employee Relations

Employer-Employee Relations Resolutions

Every city should have a re solution or ordinance that provides procedures for administering employer-employee relations be tween city management and the city’s employee organizations and for resolving di sputes regarding wages, hours and other terms and conditions of employment. This document is ofte n described as the Employer- Employee Relations Resolution (EERR) or Employee Relations Ordinance (ERO).

The EERR or ERO defines the process for recognizing employee organizations (or “bargaining units”) as prescribed by Government Code Section 3500 et seq, the “Meyers- Milias-Brown Act” or MMBA, original ly adopted in 1969. In 2001, MMBA was modified to include resolutio n of disputes regarding unit determination through the Public Employment Relations Board (PERB). The number of bargaining units depends in part upon the services and functions provided by the city. In a full-service city with its own police and fire departments, a city is lik ely to have bargaining units representing the following employee groups:

• Police safety employees
• Fire safety employees
• General unit employees (rank and file employees, such as clerical and maintenance) • Management unit employees (may have separate groups for police management, fire management and general management). This is very different from the private sector.

The EERR or ERO outlines a process for meeting and conferring in good faith under MMBA in order to reach agreement on a labor contract, or Memorandum of Understanding (or Agreement) (MOU or MO A). The city’s “municipal employee relations officer” is designate d in the EERR or ERO. This individual is typically the director of human resources or employee relations manager.

The city may utilize the director of huma n resources or a consultant as its chief negotiator.

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide

Providing Labor Relations Information to the City Council, Manager and Other City Officials

The municipal employee relations officer reque sts guidance and provides labor relations information through the city manager to the c ity council. Such contacts, normally during closed session, include:

• Discussion of parameters for negotiating with specific employee groups • Data on employee groups (wage and benef it data and comparisons with similar positions in other public agencies)
• Proposals made to the city’s bargaining team by employee groups along with the cost of implementing the proposals
• Proposals made by the city’s bargaining team, along with cost data

The city council approves final labor contracts, or MOU/MOA’s, in open session.

In the event the management and labor representatives are unable to reach agreement on an MOU/MOA, the city’s resolution provides for impasse procedures that may include a hearing by the council, mediation, fact-finding or arbitration. Under current State law, impasse with public safety employee units ma y result in mandatory binding arbitration, during which a neutral arbitrator ultimately determines how the impasse is resolved.

Recruitment and Selection

Recruitment: The Human Resources Department works with the hiring department through all phases of the recruitment and selection process, from advertising a vacancy to final appointment of an employee. A goal is to target a pool of we ll-qualified applicants so staff may advertise with professional associations and newsletters, in addition to media sources. Many cities use the Internet to advertise for city job openings.

Selection: Staff evaluate job applications according to established qualifications for education, training and experience. They al so test applicants via written exams, performance tests and oral interviews. Interv iew panels may consist of representatives in the field from other agencies, in addition to managers from the hiring department.

Human resources staff are responsible fo r compliance with state and federal non- discrimination laws in the hiring proce ss, including Equal Employment Opportunity (EEO), the American’s with Disabilities Act (ADA), and similar California statutes.

Human resources staff may assist hiring de partments with background checks on top candidates, and coordinate pre-employment medical exams and fingerprinting of new hires. Other responsibilities include new employee orientation, so that new hires learn about the city, its services, and its overall va lues and mission, as those factors relate to the employee’s specific assignments.

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide Classification and Compensation

Compensation Surveys: Comparing salaries and benefits with other public agencies for similar positions is an ongoing function of human resources staff. Th e data is used in collective bargaining with la bor groups and for city departments in the process of establishing new or revised positions. Some c ities compare their pay to the private sector as well. The factors involved in comparison, and the selection of comparison employers, are matters of policy (determined by City Council) and collective bargaining (determined with employee organizations).

Pay and Classification Studies: As functions of city departments change in response to public needs, human resources staff anal yze job duties and recommend changes in current jobs or creation of new positions. Compensation changes may be recommended commensurate with changes in job duties. Pay or classification studies may be conducted for an entire city department, a division of a department, a specific bargaining unit or a job family (for example, clerical positions).

Employee Recognition Programs

Many cities have introduced employee rec ognition programs with support from Human Resources Department staff. Components of employ ee recognition programs may include:

• Employee commendations
• Service year awards
• New employee ceremony for employees and families

Employee commendation programs may involve nominations by co-workers or supervisors for exceptional performance by indi viduals or teams of employees. The city council may recognize employees publicly at council meetings as a way to inform the community of outstanding city employees.

Service awards are presented to employees who have worked for the city for a certain number of years, e.g., at five-year intervals.

New employee ceremonies may be held regularly (monthly or quarterly) to provide a welcome by council members, the city manager or department heads to newly hired city employees and their families.

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide

Training and Development

Through its training function, Human Resources has an important role in helping employees provide quality serv ices to the public, and in developing the successors for future promotional positions within the city. Staff may conduct a needs assessment survey citywide or for one department or division. Training may be handled internally by city staff or may be contracted externally to another firm. While training costs money it is an investment in reducing the city’s liability, increasing employee productivity and improving services. Typical training programs may include:

Supervisory Training Programs: When new supervisors are hired into the city from another agency or a non-supervisory employee is promoted to a supervisor, it is important to train supervisors in procedures such as grievance handling and disciplinary procedures.

Professional Development Training: New federal or state regulations affecting programs operated by city staff require regular, ongoing tr aining so that staff remain in compliance with appropriate regulations, as well as pr oviding knowledge and skills that will be important for the employee as he/she seeks career growth within the city.

Skills Training: As new technology is introduced citywide, or job skills change, staff must be trained in efficiently applying the t echnology and skills to their jobs. In recent years, there has been considerable emphasis on “customer service” training.

Risk Management

Administration of Employee Benefits

Cities provide a wide range of benefits to their employees including health, dental, vision, short- or long-term disability, and life insu rance, employee assistance programs, deferred compensation programs, and retirement. Many of these benefits are subject to complex federal and state regulations. Cities should have staff who are knowledgeable in the benefits area to administer these programs and assist employees. Most cities also utilize the services of an insurance broker to assi st with negotiating contracts, making plan changes, and resolving insurance problems.

A city’s contribution toward the costs of these benefits and the scope of the plans is generally subject to negotiation with the employee bargaining units . These negotiations can at times become quite contentious due to the significant costs of these programs and the frequency and severity of cost increases.

Many cities contract with the California Public Employees’ Retirement System (CalPERS) to provide a retirement plan. Ca lPERS also offers medical insurance and other benefit plans.

Workers’ Compensation Administration

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide Employees who become ill or are injured in the course and scope of their jobs are entitled to workers’ compensation benefits. The Calif ornia Labor Code explicitly defines these benefits. Staff must be well educated on the provisions of the Labor Code, must be able to communicate effectively with supervisors and employees about th e responsibilities of the city and the rights of the employees, and must have a general understanding of medical and legal terminology.

Workers’ Compensation functions may be organized differently from city to city. Cities may self-administer claims by hiring staff to process claims. However, many cities choose to contract with a th ird-party administrator for th is function. Risk Management staff responsibilities, outside of claims administration, include analyzing claims frequency and severity, predicting future losses, developing loss control programs, working with departments to create appropriate workplace safety policies, and working with departments and employees to effectively return injured employees to work.

Liabilities Claims Administration

As provided by the California Government Code, persons wishing to recover money from cities for damages or injuries must file a cl aim against the city. Frequently such claims arise from minor property dama ge incidents, trip-and-fall a ccidents, vehicle accidents, allegations of police misconduct or civil rights violations, or contract disputes. As with workers’ compensation administration, cities may self-administer these claims or may choose to contract with a third-party admini strator. Liability staff generally works in conjunction with the city attorney. Staff responsibilities, outside of claims administration, include consulting with departments, analyzing loss patterns, and predicting future losses.

In addition, liability staff is usually called upon to review contracts into which cities enter to ensure that the language appropriately addresses liability and insurance concerns.

The Government Code allows city councils to delegate their authorit y to deny or settle claims to city staff. Typically, city councils will delegate such au thority up to a certain dollar amount. Settlements above the dele gated amount are decided during closed sessions, after presentations and recommendations by the city attorney or other staff.

Insurance

Cities purchase commercial insurance to cover many exposures including general liability, workers’ compensation, property, automobile, earthquake, flood, and various employee benefit insurances. These coverages may be purchased directly from carriers or through Joint Powers Authorities (JPAs). JP As typically offer increased negotiating power and lower premiums than standalone programs. They may offer other incentives as well, such as risk management support, dividends for loss reduction, etc.

Frequently, cities will choose to retain a certain portion of their losses for many of the above-mentioned exposures. The dollar amount for which no insurance is purchased is known as the self-insured retention. Cities must set aside funds to pay for these retained losses and must recognize the liabilities as prescribed by the Governmental Accounting

ATTACHMENT A

Understanding Your City’s Departments

League of California Cities Mayors and Council Members Resource Guide Standards Board (GASB). Insurance purchased for losses above the retention is known as excess insurance.

JPAs may similarly choose to retain a certai n portion of losses. Member cities will then pool resources to cover the retained losses. City councils are generally required to appoint a council member or staff person to serve on the JPA board of directors. The JPA board is responsible for making decisions about gene ral administration, claims administration, insurance programs, and investments.

ATTACHMENT A
Torch Program

ATTACHMENT A
Mayors and Council Members
7RUFK 3URJUDP
Earn Recognition for Your Service and Continued Education M
A
Y
O
R
S
&
C
O
U
N
C
I
L
M
E
M
B
E
R
S
D
E
P
A
R
T
M
E
N
T
The League of California Cities Mayors and Council Members Department honors the hard work and dedication of its peers through the Ma
yors and Council Members Torch Program.

Each year, elected officials from throughout California earn recognition as they progress upward through three sequential levels of achievement:
• Level I – Leadership;
• Level II – Advanced Leadership; and
• Level III – Leadership in Action.

WHAT IS THE 352*5$0?
The Torch Program is an educational program for mayors & council members who are seeking continuing education to enhance their own knowledge and skills in order to better serve the public. The Torch Program is voluntary and achievements are self-reportable.

BE RECOGNIZED FOR YOUR ACHIEVEMENTS
Mayors and Council Members who reach Advanced Leadership and Leadership in Action levels of the Leadership Academy are honored at the Cal Cities Annual Conference with a certificate and torch lapel pin. Cal Cities can also arrange for recognition at your own city council meeting and/or via a news release.

If you are interested in learning more about this program, or would like to receive an application and a full list of graduation requirements, please contact 0HJKDQ0F.HOYH\, 0DQDJHU'HSDUWPHQW 0HPEHUVKLS6HUYLFHV at PPFNHOYH\@calciWLes.org.

ATTACHMENT A
Mayors and Council Members/HDGHUVKLS$FDGHP\_ Torch Program Earn Recognition for Your Service and Continued Education Applicant Information
Name: Date:

Title: City:

League Regional Division: Phone:

Email Address:

Check All
That Apply
Level I: Leadership

1. Attendance and completion of the New Mayors and
Council Members Academy in January; OR
Year(s):

2. At least three (3) years as an elected official AND has attended at least one (1) League conference AND one (1) League Regional Division meeting.

Elected Years: (i.e. 2012-2016)
Conference Name and Year:

Attended Regional Division Meeting: Yes
Must
Check All
Level II: Advanced Leadership

1. Completion of the MCMLA Leadership Level I.

2. Completing of at least three (3) years as an elected city official.

Elected Years: (i.e. 2012-2016)

3. Completion of one of the following:
• League of California Cities Mayors and Council
Members Advanced Leadership Workshop;
• National League of Cities Workshop;
• University-level program that is relevant to local
government; or
• Participation in at least five League hosted webinars.

List your qualification(s):

4. Attendance and completion of three additional League conferences. Duplication of conferences is acceptable
because content changes from year to year.

Conference Name and Year:

5. Participation in at least two (2) Leadership Activities, one (1) of which MUST be a League activity.

Please see list of Leadership Activities on next page to select your qualifications and complete the application.

Must
Check All
Level III: Leadership in Action

1. Completion of the MCMLA Advanced Leadership Level II.

2. Completion of at least five (5) years as an elected city official.

Elected Years: (i.e. 2012-2016)

3. Attendance and completion of two more League
conferences. Duplication of conferences is acceptable
because content changes from year to year.

Conference Name and Year:

4. Participation in five (5) Leadership Activities, two (2) of which MUST be League activities.

Please see list of Leadership Activities on next page to select your qualifications and complete the application.

APPLICATION
*Please e-mail completed application to Meghan McKelvey, [email protected].

ATTACHMENT A

LEADERSHIP ACTIVITIES

The following Leadership Activities must be completed while in office or within five (5) years prior to becoming an elected city official in order to qualify as a graduation requirement.

Check All
That Apply
League Activities
Active League Policy Committee
member for at least two years

Committee(s):

Years:

Having served as a moderator,
facilitator, or speaker at a League
conference

Conference(s):

Year(s):

Served as a member of the League’s
Board of Directors

Year(s):

Served as a League Department
executive officer

Department:

Year(s):

Office held:

Served as a League Regional Division
executive officer

Division:

Year(s):

Office held:

Chair or vice-chair for a League
Policy Committee

Committee:

Year(s):

Served as officer for a League
Diversity Caucus
Caucus:

Year(s):

Office held:

Member of a League task force or
ad hoc committee

Name of task force/ad hoc committee:

Participated in the California Civic
Leadership Institute® (CCLI)

Year(s):

Check All
That Apply Community Activities
Service on a COG, LAFCO board,
CalCOG or its subgroups

Describe your involvement:

Member of a public sector
association as an officer or on the
board of directors

Association:

Office held:

Service as an officer of a local or
statewide not-for-profit organization
or professional organization

Organization:

Office held:

Instructor in relevant educational
programs for city officials

Describe your experience:

Member of a county, regional, state,
or national commission, agency, or
board.

Describe your involvement:

APPLICATION

*Please e-mail completed application to Meghan McKelvey, [email protected].

ATTACHMENT A
Acronyms in Local Government

ATTACHMENT A

Glossary of Acronyms in Local Government
Acronyms in Local Government

501 (c) (3) – Charitable
organization/foundations (federal)
A-95 – Grant review clearinghouse
AB – Assembly Bill
ABX1 4 – i.e. Assembly Extraordinary Session
1, Bill 4
ACA – Assembly Constitutional Amendment
ACR – Assembly Concurrent Resolution
ACWA – Assn of California Water Agencies
ADA – Americans with Disabilities Act (1990)
ADU – Accessory Dwelling Unit
AFSCME – American Federal, State, County,
and Municipal Employees
AG – Attorney General
AIA – American Institute of Architects
AICP – American Institute of Certified Planners
AJR – Assembly Joint Resolution
APA – American Planning Association
APN – Assessor’s Parcel Number
APWA – American Public Works Association
AQMD – Air Quality Management District
ARB – Air Resources Board
ARMA – Assn of Records Managers &
Administrators
ASCE – American Society of Civil Engineers
ASPA – American Society for Public
Administration
BAN - Bond Anticipation Notes
BID – Business Improvement District
BOCA – Bldg Officials & Code Administrators
BLM – Bureau of Land Management
BMR – Below-Market Rate Dwelling Unit
BOE – Board of Equalization
BRAC - Base Realignment and Closure
CAD – Computer Aided Design
CAFR – Comprehensive Annual Financial
Report
CALAFCO – CA Local Agency Formation
Commission
CALBO – CA Building Officials
CALCOG – CA Association of Councils of
Governments
CALED – CA Association for Local Economic
Development
CalEPA – CA Environmental Protection Agency
CALFED – CA Bay Delta Authority
CAL-ICMA – CA Chapter of ICMA
CALPELRA – CA Public Employer Labor
Relations Association
CALPERS – CA Personnel Retirement System
CALTRANS – CA Dept. of Transportation
CAO – Chief Administrative Officer or Citizens
Assistance Officer
CAPIO – CA Association of Public Information
Officers
CAPPO – CA Association of Public Purchasing
Officers
CATV – Cable access television
CBD – Central Business District
CBMA – City Ballot Measure Academy
CBO – Community based organization
CC&R – Covenants, Conditions & Restrictions
CCAC – City Clerks Association of CA
CCLI – CA Civic Leadership Institute
CCMF – CA City Management Foundation
CCMP – CA Coastal Management Program
CCR – CA Code of Regulations
CCS Partnership – Cities, Counties & Schools
Partnership
CD – Certificate of Deposit
CDBG – Community Development Block Grant
CDF – CA Dept. of Forestry & Fire Protection
CEPO – Continuing Education for Public
Officials
CEQA – CA Environmental Quality Act
CFD – Community Facilities District
CHFA – CA Housing Finance Agency
CIP – Capital Improvement Program
CITIPAC – League of CA Cities Political Action
Committee (PAC)
CIWMB – CA Integrated Waste Management
Board
CLCA – CA Land Conservation Act (Williamson
Act)
CLETS – CA Law Enforcement
Telecommunication Systems
CMP – Congestion Management Plan
CMTA – CA Municipal Treasurers Assn
CNEL – Community Noise Equivalent Level
COBRA – Consolidated Omnibus Budget
Reconciliation Act
COG – Council of Government
COLA – Cost of living adjustment
COP - Certificates of Participation
COPS – Citizens Options for Public Safety
COSM – Commission on State Mandates
CPI – Consumer Price Index
CRA – Community Redevelopment Agency
CSAC – CA State Association of Counties
CSBA – CA School Boards Assn
CSD – Community Service District
CSDA – CA Special Districts Assn.

League of California Cities
New Mayors and Council Members Academy

ATTACHMENT A

Glossary of Acronyms in Local Government
CSMFO – CA Society of Municipal Finance
Officers
CTA – CA Teachers Association
CUP – Conditional Use Permit
CVC – CA Vehicle Code
DHS – Dept. of Homeland Security
DOE – Dept. of Energy (federal)
DOT – Dept. of Transportation (federal)
DTSC – Dept. of Toxic Substances Control
DWR – Dept. of Water Resources
E.C. – Elections Code
EEOC – Equal Employment Opportunity
Commission (federal)
EIR – Environmental Impact Report (California)
EJ – Environmental Justice
EMF – Electromagnetic Field
EPA – Environmental Protection Agency
ERAF – Education Revenue Augmentation
Fund
ERP – Emergency Response Plan
ERS – Employee Relations Seminar (LCC
meeting)
ESA – Endangered Species Act
ESHA – Environmentally Sensitive Habitat Area
FAA – Federal Aviation Administration
FAR – Floor area ratio
FCC – Federal Communications Commission
FEMA – Federal Emergency Management
Agency
FERC – Federal Energy Regulatory
Commission
FHA – Federal Housing Administration
FHWA – Federal Highway Administration
FIA – Fiscal Impact Analysis
FIRM – Flood Insurance Rate Map
FLSA – Fair Labor Standards Act
FmHA – Farmers Home Administration
FPPC – Fair Political Practices Commission
FTB – Franchise Tax Board
FTE – Full-time Equivalent Position
FY – Fiscal year
GAN – Grant Anticipation Notes
GASB – Governmental Accounting Standards
Board
G.C. - Government Code
GIS – Geographic Information Systems
GLA – Gross Leasable Floor Area
GO – General Obligations
GP – General Plan
GPS – Global Positioning System
HCD – Dept. of Housing & Community
Development (state)
HCED – Housing, community & economic
development (LCC policy committee)
HCP – Habitat Conservation Plan
HHS – Dept. of Health & Human Services
(federal)
HOV – High-Occupancy Vehicle
HUD – Dept. of Housing & Urban Development
(federal)
ICA – Independent Cities Association
IDB – Industrial Development Bond
IIMC – Int’l Institute of Municipal Clerks
ILG – Institute for Local Government
ICMA – Int’l City/County Management Assn
IMLA – Int’l Municipal Lawyers Association
INET – Institutional or fiber network
INS – Immigration & Naturalization Service
IPO – Initial Public Offering
ISTEA – Intermodal Surface Transportation
Efficiency Act of 1991
ISO – Insurance Service Office
JPA – Joint Powers Authority
LAO – Legislative Analyst Office
LCC – League of California Cities
LCP – Local Coastal Program
LHA – Local Housing Authority
LOS – Level of Service
LRT – Light-duty Rail Transit
MBE – Minority Business Enterprise
MF – Multifamily
MH – Manufactured Housing
MISAC - Municipal Information Systems
Association of California
MMANC – Municipal Management Assistants of
Northern California
MMASC – Municipal Management Assistants of
Southern California
MMB – Meyers Milias Brown
MOU – Memorandum of Understanding
MPD – Master Planned Community
MPO – Metropolitan planning organization
MXD – Mixed Use Development
NAHRO – Nat’l Association of Housing &
Redevelopment Officials
Neg Dec – Negative Declaration
NEPA – Nat’l Environmental Policy Act
NFIP – Nat’l Flood Insurance Program
NHL – National Historic Landmark
NHPA – Nat’l Historic Preservation Act
NIMBY – “Not in my backyard”
NLC – Nat’l League of Cities
NOA – Notice of Availability
NOC – Notice of Completion (CEQA)
NOD – Notice of Determination (CEQA)
NPDES – Nat’l Pollution Discharge Elimination
System
NPRM – Notice of Proposed Rulemaking
OMB – Office of Mgmt & Budget (federal)
OPEB – Obligations for Post Employment
Benefits
League of California Cities
New Mayors and Council Members Academy

ATTACHMENT A

Glossary of Acronyms in Local Government
OPER – Other Post Employment Retirement
Benefits
OPM – Office of Personnel Management
OPR – Governor’s Office of Planning &
Research (California)
PAC – Political Action Committee
PC – Planning Commission
PDA – Hand held device
PEG – Public education & government
PIC – Private Industry Council
PIO – Public Information Officer
POST – Commission on Peace Officers
Standards & Training
PSAP – Public Safety Answering Points (i.e.
local dispatch centers)
PTAP – Property Tax Administration Program
PUD – Planned unit development
PWOI – Public Works Officers Institute (LCC
meeting)
QOL – Quality of Life
RDA – Redevelopment Agency
RFP/RFQ – Request for Proposal/Qualifications
RHNA – Regional Housing Needs Assessment
RLUIPA – Religious Land Use &
Institutionalized Persons Act
ROW – Right-of-Way
RPA – Regional Planning Agency
RTPA – Regional Transportation Planning
Agency
SAFETEA-LU – Safe, Accountable, Flexible,
Efficient Transportation Equity Act: a Legacy for
Users
SB – Senate Bill
SBA – Small Business Administration (federal)
SBX1 4 – i.e. Senate Extraordinary Session 1,
Bill 4
SCA – Senate Constitutional Amendment
SCR – Senate Concurrent Resolution
SEC – Securities & Exchange Commission
Section 8 – Low income housing (federal)
SFD – Single-Family Dwelling
SGP – Strategic Growth Plan
SHSP – Strategic Highway Safety Plan
SJR – Senate Joint Resolution
SLAPP – Strategic Lawsuits Against Public
Participation
SMSA – Standard Metropolitan Statistical Area
SRO – Single-Room Occupancy
SSA – Social Security Administration
SSI – Supplemental Security Income
STIP/TIP – State Transportation Improvement
Plan/Transportation Improvement Plan
SWRCB – State Water Resources Control
Board
TAC – Technical Advisory Committee
TAN – Tax anticipation Notes
TCPW – Transportation Communication &
Public Works (LCC policy committee)
TDM – Transpiration Demand Management
TDR – Transfer of Development Rights
TEA -21 – Federal Transportation Equity Act for
the 21
st Century
TEFRA – Tax Equity & Fiscal Responsibility Act
TIF – Tax Increment Financing
TIN – Taxpayers Identifying Number
TOD – Transit-Oriented Development
TOT – Transient Occupancy Tax
TRAN – Tax & Revenue Anticipation Notes
TSM – Transportation Systems Management
UA – Underwriting Agreement
UBC – Uniform Building Code
UEC – Uniform Electrical Code
UFC – Uniform Fire Code
UAGB – Urban Growth Boundary
UHC – Uniform Housing Code
UMTA – Urban Mass Transportation
Administration
UPC – Uniform Plumbing Code
USCM – U.S. Conference of Mayors
USDA – U.S. Dept. of Agriculture
UUT – Utility Users Tax
VA – Veterans Administration
VLF – Motor Vehicle License Fee
VMT – Vehicle-Miles Traveled
W-2 – Earnings statement
W-4 – Withholding Statement
WDR – Waste discharge requirements
WIC – Women, Infants, Children Nutrition
Program
WiFi – Wireless fidelity
ZLL – Zero Lot Line

League of California Cities
New Mayors and Council Members Academy

ATTACHMENT A
Additional Resources

ATTACHMENT A
What practices can a local agency put in place to promote public trust and confidence? What practices can minimize the risk of missteps that could undermine or damage this trust and confidence? The Institute for Local Government (ILG) has created a checklist to help elected officials, county administrative officers, city managers, agency counsel, local agency staff and the community-at-large answer these fundamental questions. Some of the “good practices” are those necessary to comply with California law. Others set the agency’s sights higher and take good practices to a level of “better practices.” Whenever possible, the checklist offers references for further information on a topic.

The checklist is divided into the following areas:
1 Stewardship of Public Resources
(Financial Practices, Use of Public Resources, Procurement and Contracting) 2 Transparency
(Open Government Practices, Meetings, Decision-Making)
3 Education, Training and Personnel
4 Campaigns
This checklist can be used by elected officials and staff to evaluate the current practices of an agency, identify deficiencies in policy and procedures, set goals and foster communication within the agency about its practices.

The checklist combines legal requirements included in California law as well as practices suggested by the following resources:
•
Government Finance Officers Associa
tion’s best practices, available at www.gfoa.org/best-practices • Institute for Local Go
vernment’s “Ethics Law Compliance Best Practices,” available at www.ca-ilg.org/ethicsbestpractices
• League of California Cities City Managers Department, “ Transparency and Your City
Self-Assessment Checklist,” draft version available at www.cacities.org/Resources-Documents/ Member-Engagement/Professional-Departments/City-Managers/Transparency-Subcommittee/ Transparency-and-Your-City-checklist
•
California Special District Leadership Founda
tion, “District Transparency
Certificate of Excellence Checklist,” available at www.sdlf.org/transparency.htm • Sunshine Review, “2013 T
ransparency Report Card,” available at
http://ballotpedia.org/Transparency_report_card_%282013%29 In addition, the League of California Cities helped develop an extensive fiscal assessment tool designed to probe more extensively into local agency fiscal conditions. This tool is available at www.californiacityfinance.com/Diagnostic1405.pdf.

Good Governance Checklist:

Good and Better Practices

ATTACHMENT A
2 ABOUT THE INSTITUTE FOR LOCAL GOVERNMENT
The Institute for Local Government is the nonprofit 501(c)(3) research and education affiliate of the League of California Cities and the California State Association of Counties. For more information and to access the Institute’s resources on ethics visit www.ca-ilg.org/trust. If you would like to access this resource directly, go to www.ca-ilg.org/goodgovernance.

The Institute welcomes feedback on this resource:
•
Email: ethicsmailbox@c
a-ilg.org Subject: Good Governance Checklist: Good and Better Practices • Mail: 1400 K Street, Suit
e 205 ▪ Sacramento, CA ▪ 95814

THANKS TO OUR SUPPORTERS
The Institute for Local Government would like to thank the following partners for their support:

ACKNOWLEDGMENTS
The Institute appreciates the contributions of the following individuals whose time and effort contributed to this publication: Rebecca Burleson, City of Signal Hill; Hal Conklin; Shelley Desautels, City of Claremont; Susan Garcia, City of Lemon Grove; Rod Gould, City of Santa Monica; Brenda Haggard, City of Elk Grove; Maricela Hernandez, City of Calabasas; Randi Johl-Olson, Legislative Director, California City Clerks Association; Michael Kasperzak, City of Mountain View; Debra McNay, City of Rancho Cucamonga; Dave Millican; Beth Minor, City of Palo Alto; Jeanine Plute and Jerryl Soriano, City of Desert Hot Springs; JoAnne Speers; William C. Statler; and Jeff Vincent, Center for Cities + Schools.

HOW TO USE THIS INFORMATION
Although the Institute endeavors to help local officials understand technical and legal concepts that apply to their public service, these materials are not technical or legal advice. Officials are encouraged to consult technical experts, attorneys and/or relevant regulatory authorities for up-to-date information and advice on specific situations.

Aleshire & Wynder, LLP
Best Best & Krieger, LLP
Burke Williams & Sorensen, LLP
Hanson Bridgett
Kronick Moskovitz Tiedemann & Girard
Liebert Cassidy Whitmore
Meyers Nave
Renne Sloan Holtzman Sakai, LLP
Richards Watson & Gershon
The Institute for Local Government receives funding from a variety of sources. Its public service ethics program relies on support from private donations like the ones acknowledged above, as well as publications sales and training fees to produce resources to assist local officials in their service to their communities.

ATTACHMENT A
3 FINANCIAL PRACTICES | GENERAL
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Consistent with generally accepted accounting
principles, agency fully and accurately discloses
both positive and negative financial information
to the public and financial institutions including:
•
Summaries of all municipal funds, fund
balances and changes
•
Summaries of all municipal rev
enues and
expenditures
• Five year financial f
orecast
• General st
atus of reserves and any un-
funded obligations (for example, pension
obligations)
□ Agency creates and documents accounting
policies and procedures
Resource:
•
www
.gfoa.org/documenting-
accounting-policies-and-procedures
□ Agency discloses budget and financial
documents on agency website. See Government
Finance Officers Association’s (GFOA) Best
Practice: Using Websites to Improve Access
to Budget Documents and Financial Reports,
available at www.gfoa.org/sites/default/files/
CCIUsingWebsites.pdf
□ Agency prepares five year financial forecasts for
both general and other funds, examining issues
such as overall economic trends, environmental
and regulatory risks, unfunded liabilities,
adequacy of fee levels, fund balances, cost
deferrals and infrastructure condition
□ Agency officials discuss forecasts, comparing
actual results to forecasts, accompanied by a
broader discussion of risks that could affect core
agency service levels and facilities during public
meetings
□ Agency officials and the public they serve are
clear on the financial implications (short and
long term) of the policy and other decisions
being made; management and decision-makers
support a culture of transparency regarding the
agency’s financial situation
□ Agency engages in energy efficiency and
conservation measures to save money and
natural resources
Resource:
•
www
.ca-ilg.org/energy-efficiency-conser-
vation

STEWARDSHIP OF PUBLIC RESOURCES

ATTACHMENT A
4 FINANCIAL PRACTICES | INTERNAL AGENCY CONTROLS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency segregates duties among staff to
minimize risk of error or misconduct
□ Agency has created a system of authorizations,
approval and verification for transactions
□ Diligent reconciliation process requirements are
in place and followed to compare various sets of
data to one another; discrepancies are identified
and investigated and corrective action is taken
when necessary
Resource:
•
www
.osc.state.ny.us/agencies/ictf/docs/
intcontrol_stds.pdf
□ Managers are given information and training to
take responsibility for internal controls
□ Manager involvement follows GFOA’s best
practices including:
•
Trainings f
or all employees
• Documenta
tion of internal controls
• Practical means f
or employees to report
management override of internal controls
that could indicate fraud
•
Periodic ev
aluation of internal controls
Resource:
• www
.gfoa.org/getting-management-
involved-internal-control
FINANCIAL PRACTICES | PERIODIC FINANCIAL REPORTS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ A certified public accountant prepares agency
annual financial reports in accordance with
generally accepted accounting principles
□ Agency officials receive periodic financial
reports (mid-year at a minimum)
□ Reports provide a clear and complete picture of
the agency’s assets and liabilities
□ Periodic financial investment reporting occurs in
open meetings
□ Agency complies with the Government Finance
Officers Association, financial reporting best
practices. For more information see www.gfoa.
org/conforming-governmental-accounting-
auditing-and-financial-reporting-standards
□ Agency posts and archives periodic reports on
the agency website
□ Reviewing officials receive training/information
on how to evaluate reports
Resources:
•
www
.ca-ilg.org/FinancialReportingand
Accounting

STEWARDSHIP OF PUBLIC RESOURCES

ATTACHMENT A
5 FINANCIAL PRACTICES | BUDGET
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency makes complete current fiscal year
budget available on agency website
□ Agency has a clear capital financing and debt
management policy that addresses how it
selects external consultants such as bond
counsel, financial advisors, trustees, engineering
consultants and underwriters
□ Capital financing and debt management policies
address disclosure and relations with rating
service agencies
□ Agency complies with Government Finance
Officers Association’s, “Best Practices in Public
Budgeting” available at www.gfoa.org/services/
nacslb/
□ Agency makes budgets for the past three years
available on agency website
□ Agency officials receive training and information
of how to review and/or comment on a budget
and questions to ask
Resource:
•
www
.ca-ilg.org/budget-creation-and-
monitoring (materials and informational
video)
□ Agency provides information on the budget to
the public through a variety of channels, with an
emphasis on presenting the information in plain
and understandable terms
Resource:
•
www
.ca-ilg.org/engaging-public-budgeting
□ Agency holds public budget workshops to get
community input on perceived needs
FINANCIAL PRACTICES | EXPENSE REIMBURSEMENT POLICY
See Use of Public Resources section below

STEWARDSHIP OF PUBLIC RESOURCES

ATTACHMENT A
6 FINANCIAL PRACTICES | AUDITS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency auditing practices meet California State
Controller’s requirements
Resource:
• www.sc
o.ca.gov/ard_local_info_
resources.html
□ Agency secures independent audits of financial
reports no later than 180 days after year end
□ Agency fully cooperates with state and federal
audits
□ Agency posts most recent audit, including
opinions on internal controls and other matters,
on agency website as well as making such
reports available at libraries
□ Agency periodically changes auditors to provide
a fresh view of agency finances (no less than
every six years)
1 □ Agency governing body meets with auditor to
review results of audit in a full and frank manner
during a public meeting; officials treat any issues
identified as opportunities to improve agency
practices and not as opportunities to blame staff
□ Agency auditing practices exceed State
Controller’s requirements
Resource:
•
www.sc
o.ca.gov/ard_local_info_
resources.html
□ Auditors review agency procedures for handling
potential conflicts of interests among agency
staff
□ Agency posts the past three years’ audits on
agency website
□ Agency officials receive information and training
on how to review and comment on an audit
Resource:
•
www.c
a-ilg.org/audits

STEWARDSHIP OF PUBLIC RESOURCES

ATTACHMENT A
7 USE OF PUBLIC RESOURCES * | EXPENSE REIMBURSEMENT
*AGENCY FUNDS AND ANYTHING PURCHASED WITH THOSE FUNDS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency has required travel and expense
reimbursement policies for elected and
appointed officials,
2 as well as for staff
Resource:
• www
.ca-ilg.org/SampleReimbursement
Policies
□ Agency provides the expense reimbursement
policy to all new employees and officials
□ Staff carefully and consistently reviews
compliance with expense reimbursement policy
and receives support from top management and
governing body in doing so
□ Compliance with expense reimbursement policy
is subjected to independent verification
□ Legislative body members make required brief
report of meeting attendance at the agency’s
expense at the next meeting of the body
3 □ Policy and organizational culture emphasizes the
value of being conservative about using public
resources
Resources:
•
www
.ca-ilg.org/reimbursementpolicy
• “Buying Meals for Others on the Public’
s
Dime” available at www.ca-ilg.org/dime
□ Agency posts the expense reimbursement policy
on agency website
□ Staff and elected officials receive periodic
reminders on the provisions of the policy that
most likely apply to them
□ Members make a brief report on meetings
and conferences attended at agency expense,
underscoring the value received
USE OF PUBLIC RESOURCES * | ALLOWANCES
*AGENCY FUNDS AND ANYTHING PURCHASED WITH THOSE FUNDS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Any allowance (for example, a telephone
or technology allowance) is backed up by
documentation explaining the factual basis for
the allowance
□ Officials decline overly generous or duplicative
allowances/benefits that could create public
perception issues or present ethical concerns

STEWARDSHIP OF PUBLIC RESOURCES

ATTACHMENT A
8 USE OF PUBLIC RESOURCES * | AGENCY RESOURCES AND EQUIPMENT *AGENCY FUNDS AND ANYTHING PURCHASED WITH THOSE FUNDS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency adopts policy which takes into account
proscriptions against:
• Gifts of public resources
• Personal use of public r
esources
• Political use of public r
esources (see Cam-
paign section below)
□ Agency policy is consistently applied
□ Staff and elected officials understand and
comply with mass mailing prohibitions
4 Resource:
• www
.ca-ilg.org/massmailing
□ Those with special access to agency equipment
receive training and periodic reminders on
prohibitions of use of agency resources for
personal or political purposes
□ Orientation of newly elected officials, newly
appointed officials and newly hired staff address
the issue of permissible and impermissible uses
of public resources
□ Agency periodically reminds team members of
policies and proscriptions at relevant time points
(for example, before election season)
□ Agency explores opportunities to share limited
resources among a network of local agencies
(cities, schools, special districts, counties, etc.)
to leverage capital and staff resources through
joint training programs, sharing services, and
joint use of facilities and equipment
Resource:
•
www
.ca-ilg.org/shared-services-
and-joint-use

STEWARDSHIP OF PUBLIC RESOURCES

ATTACHMENT A
9 PROCUREMENT AND CONTRACTING | RULES AND POLICIES
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency has a transparent and fair process for
selecting with whom it will do business
□ Agency complies with state competitive bidding
requirements for public works projects
5 □ Agency has clear organization-wide standards
and guidelines regarding procurement and
contracting
□ Agency has policy for advertising contracts open
for bidding
□ Agency has policies in place for the proper
disposal of surplus property – policies are
communicated to staff
□ Local officials involved in contracting decisions
receive information and/or training on the laws
prohibiting self-dealing in agency contracts
6 □ Officials involved in contracting and purchasing
decisions must be included in an agency’s
conflict of interest code and regularly file a
Statement of Economic Interests (Form 700)
7 • Form 700 is av
ailable at: www.fppc.ca.gov
□ Agency completes Agency Report of Consultants
(Form 805)
8 and ensures that all consultants
in designated positions complete and file a
Statement of Economic Interests (Form 700)
•
Form 805 is av
ailable at: www.fppc.ca.gov/
forms/805.pdf
□ Agency complies with both the letter and the
spirit of procurement laws and policies, that all
interested parties are given the opportunity to
do business with the agency on an equal basis
□ Agency website explains processes for doing
business with the agency
□ Agency website includes information about
contract opportunities and Requests for
Proposals (RFPs)
□ Vendors receive information about ethics
standards for doing business with the agency
□ Agency conducts periodic training and outreach
to educate prospective and current vendors on
the agency contracting process
□ Agency engages in climate friendly purchasing
practices
Resource:
•
www
.ca-ilg.org/climate-friendly-purchasing
□ Agency engages in regional or shared bidding
processes among local agencies in a geographic
area to reduce costs.

STEWARDSHIP OF PUBLIC RESOURCES

ATTACHMENT A
10 OPEN GOVERNMENT PRACTICES | PROMOTING TRANSPARENCY
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency anticipates information the public needs
concerning the agency’s activities and makes
the information available through a variety of
channels including the agency website
□ Local officials and designated staff are current
in making their Statement of Economic Interests
(Form 700) disclosures
•
Form 700 is av
ailable at: www.fppc.ca.gov
□ Agency institutes a policy for receipt of free
tickets/event admissions for officials and ensures
reporting compliance on the FPPC Agency
Report of Ceremonial Role Events and Ticket/
Admission Distributions (Form 802)
9 • Form 802 is av
ailable at: www.fppc.ca.gov/
forms/802.pdf
□ Agency creates a “transparency portal” on its
website that provides anticipated information
the public needs from all agency departments in
one easy to find location
□ Agency makes Statement of Economic Interests
(Form 700) disclosures available on the agency
website
□ Agency makes Ticket/Admission Distribution
Report (Form 802) available on the agency
website
□ Agency makes Payment to Agency Report (Form
801) available on the agency website
•
Form 801 is av
ailable at: www.fppc.ca.gov/
forms/801.pdf
□ Agency uses an electronic filing system to
make posting and completion of the required
disclosures easier
OPEN GOVERNMENT PRACTICES | PUBLIC RECORDS ACT REQUESTS Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency adopts policy for handling Public
Records Act requests and makes the policy
available on website and through other channels
□ A designated staff member handles all records
requests in order to ensure prompt compliance
with records requests
□ (Alternative for Larger Agencies) Designated
staff members within each department receive
training on Public Records Act compliance to
enable the department to properly respond to
such requests.
□ Agency accepts online records requests
□ Agency anticipates commonly requested records
and posts them on the agency website, including
all Fair Political Practices Commission forms
□ Agencies participating in joint use or shared
services provide online access to documents and
materials about cross-agency relationships

TRANSPARENCY

ATTACHMENT A
11 OPEN GOVERNMENT PRACTICES | PUBLIC ENGAGEMENT
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency has an easy to use website that makes
public information readily available
□ Agency website uses plain language and
minimizes the use of acronyms to ease
understanding
□ Agency provides information explaining how the
decision-making process works and how people
can provide input
Resource:
•
www
.ca-ilg.org/PEOrientations
□ Agency engages in regular communications
through a variety of channels to keep the public
up-to-date on agency activities
Resource:
•
www
.ca-ilg.org/PEstrategiccommunications
□ Communications are translated as needed and
distributed to appropriate community groups
Resource:
• www
.ca-ilg.org/EthnicMediaInfographic
□ Agency officials maintain regular office hours
□ Department heads maintain an “open door
policy” for the public
□ Residents can subscribe to an e-notification system
for meetings, summaries of actions taken at
meetings, workshops or other events/information
□ Agency uses social media and other digital tools
to engage and communicate with the public
Resource:
•
www
.ca-ilg.org/online-engagement-guide
□ Agency uses mobile app for community
members to report issues
Resource:
• www
.ca-ilg.org/technology-and-public-input
□ Agency develops relationships with community
based organizations, neighborhood groups,
ethnic media and clergy/congregations to
distribute information and solicit input on issues
of potential interest to those groups
Resource:
•
www
.ca-ilg.org/partnering-communi-
ty-based-organizations
□ For potentially controversial and/or complex
issues, the agency creates additional
opportunities for individuals to learn about and
have input into decisions on those issues
Resource:
•
www
.ca-ilg.org/DeeplyHeldConcerns
□ Agency has or creates youth commissions
as an opportunity to connect with younger
generations about public services and needs
Resource:
•
www
.ca-ilg.org/engaging-youth
□ Agency collaborates and partners with other
local agencies to engage shared constituencies,
through activities such as joint meetings and
newsletters

TRANSPARENCY

ATTACHMENT A
12 OPEN GOVERNMENT PRACTICES | INFORMATION ABOUT KEY ELECTED

AND APPOINTED OFFICIALS AND STAFF
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Contact information, including telephone
numbers, mailing addresses, office locations and
email addresses are available on agency website
and kept current
□ Terms of office/appointment and next election
date are disclosed
□ Agency Report of Appointments (Form 806) is
posted on agency website
10 • Form 806 is av
ailable at: www.fppc.ca.gov/
forms/806.pdf
□ Website and other communications explain
terms of office and next election/appointment
date for elected and appointed officials
□ Materials and information on how to seek
election and appointment are available on
agency website
□ Agency website contains a dedicated page for
links to other local, state and federal agencies,
clarifying the functions and services of each
agency and makes referrals to other agencies
where appropriate
OPEN GOVERNMENT PRACTICES | BOARDS AND COMMISSIONS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency complies with California law relating to
creation of a Local Appointments List (Maddy
Act), which is a list of all appointed positions that
expire within the next calendar year. The list
is made available to members of the public by
various means and provided to the local library
with the largest service population
11 □ Agency posts unexpected vacancies in the
agency’s clerk’s office, the local library with the
largest service population and other locations as
directed by the legislative body
12 □ Agency posts the Local Appointments List on
the agency website on or before January 2 of
each year
□ Agency supports leadership program(s) to
familiarize potential applicants who are thinking
of applying to boards and commissions with
relevant roles and responsibilities
□ Agency distributes the Local Appointments List
broadly through social and print media, ethnic
media, community-based organizations, and
clergy and congregations
□ Agency publicizes unexpected vacancies broadly
through press releases, social and print media,
ethnic media, community-based organizations,
and clergy and congregations
□ Agency encourages local officials to engage in
widespread outreach through their networks
to inform all segments of the community
about opportunities to serve on boards and
commissions

TRANSPARENCY

ATTACHMENT A
13 MEETINGS | POLICIES AND PROCEDURES
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ All elected and appointed officials have received
information/training related to California’s open
meeting laws
13 Resources:
• www
.ca-ilg.org/abc
□ Chairperson receives training/information about
the role of the chairperson
Resources:
•
www
.ca-ilg.org/chairmeeting
□ All members of the decision-making body
receive training/information about roles,
responsibilities and purpose
□ Agency has adopted rules of procedure to
govern meetings that meet the needs of the
agency and the public
Resources:
•
www
.ca-ilg.org/parliamentarysimplified
□ Agency promotes civility in public meetings
Resources:
•
www
.ca-ilg.org/PromotingCivility
□ A statement of basic rules and protocol related
to public participation is included on meeting
agendas and orally stated at the beginning of
public comment period
□ Agency engages in processes to enable the
public to understand how to most effectively
communicate concerns about issues before the
agency
Resources:
•
www
.ca-ilg.org/publicmeetings
MEETINGS | WEBSITE CONTENT
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency posts regular meeting agendas 72 hours
in advance and special meeting agendas 24
hours in advance on agency website
14 □ Current year meeting minutes and agendas are
available on agency website
□ Community members can sign up for email
notices/reminders of public meetings
□ Calendar of date, time, location of meetings is
available on the agency website
□ Agency posts meeting agendas for regular
meetings earlier than required to enable the
public to understand upcoming issues before
the agency
□ Agency makes archives of meeting minutes and
agendas for three years or longer
□ Agency makes available live audio/video streams
and archived recordings of meetings available
on the agency website
□ Agency posts video recordings of meetings with
relevant accompanying materials
□ Agency emails meeting agendas to subscribers
with information on how to view related
materials on the website

TRANSPARENCY

ATTACHMENT A
14 DECISION-MAKING | DECISION-MAKERS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ California Fair Political Practices Commission’s
Form 700 (Statement of Economic Interests) is
distributed and collected in a timely manner on
an annual basis (required by law
15)
□ Decision-makers know where the 500-foot
boundaries are with respect to their various
property interests
16 □ Officials are advised of prohibitions against self- dealing in addition to the Political Reform Act
17 □ Agency staff creates a map of the 500-foot
boundaries for each decision-maker to help him
or her determine if there is a potential conflict of
interest in a decision
DECISION-MAKING | PROCESSES
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency has adopted a conflict of interest code
as required by the Political Reform Act
18 □ Decision-makers receive training on due
process rules applicable to quasi-adjudicatory
(administrative) hearings.

Resources:
•
www
.ca-ilg.org/bias
□ Decision-makers know the agency’s policies for
disclosure of information they receive outside of
adjudicatory hearings
□ Agency policies are applied consistently to those
seeking agency approvals, regardless of personal
connections
□ Decision-makers listen attentively at public
hearings, particularly adjudicatory hearings
□ Decision-makers consider potential impacts to
the resources of other local, state, federal or
tribal agencies when making decisions
□ Decision-makers voluntarily abstain when their
ability to make decisions in the public interest (as
opposed to personal or political interests) might
be reasonably questioned
Resource:
•
www
.ca-ilg.org/abstentions

TRANSPARENCY

ATTACHMENT A
15 EDUCATION/TRAINING | ONBOARDING
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency provides materials on duties and
responsibilities for all newly elected and
appointed officials and staff
Resources:
•
www.c
a-ilg.org/new-local-public-service
□ Agency provides information on policies,
including ethics policy, upon onboarding
□ Orientation on duties and responsibilities is
available to all newly elected and appointed
officials and staff
Resources:
•
www.c
a-ilg.org/OrientationMaterials
□ When appropriate agency shares training
services and costs among neighboring local
agencies
EDUCATION/TRAINING | ONGOING EDUCATION
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency supports continuing education activities
for staff, appointed and elected officials
(including those that are required by law for
certain professional license-holders)
□ Agency requires attendance at sexual
harassment prevention training for elected
officials and those in supervisory positions (two
hours every two years required for those in
supervisory positions)
19 □ Agency publicizes and makes available resources
to help local officials understand ethics laws
□ Agency encourages regular attendance at local
and/or statewide continuing education activities
□ Agency plans regular training sessions and
budgets for attendance at trainings
□ Agency provides information and guidance on
handling ethical dilemmas in the workplace
□ Agency conducts joint education and
information sessions among city, county, school
and special district elected officials about
roles, responsibilities and purpose of each
local government agency to clarify and raise
awareness among decision-makers
□ When appropriate agency shares training
services and costs among neighboring local
agencies (e.g. computer classes for fundamental
software programs)

EDUCATION, TRAINING & PERSONNEL

ATTACHMENT A
16 EDUCATION/TRAINING | PROMOTING ORGANIZATIONAL ETHICS Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Ethics values are included in the agency’s
mission statement
□ Agency has adopted a value-based code of
ethics
Resources:
•
www.c
a-ilg.org/ethicscodes
□ Ethics are part of agency’s hiring practices and
interview process
□ Agency values collaboration and partnerships
with other local agencies and community-based
organizations
□ Agency’s leadership leads by example by
consistently demonstrating agency’s values
through actions
□ When collaborating with other agencies, staff
and leadership show respect and decorum for
the formal and informal processes of partners
and the community, developing and formalizing
agreements when necessary
EDUCATION/TRAINING | ETHICS TRAINING (AB 1234) 20
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Elected and appointed officials receive two
hours of ethics training every two years (and
basic overview training within one year of
assuming position)
21 • Online training available a
t:
www.fppc.ca.gov
□ All local officials who must receive AB 1234
training are current on their training
□ Top level staff voluntarily receives training on
ethics laws and principles as relevant to their
duties within the agency
□ Elected and appointed officials receive basic
overview training within two months of
assuming position
□ Agency takes steps to make AB 1234 training
meaningful, understandable and helpful
□ AB 1234 training is in-person (as opposed to
online) to enable discussion and questions
□ Certificates of compliance are easily accessible
to the public and media (for example posted on
the agency website)
□ Agency requires top level staff to participate in
training on ethics laws and principles as relevant
to their duties within the agency
□ Compliance is a condition of continuing
appointment (for appointed officials) and
reimbursement (elected officials)
□ Subsequent trainings are more in depth
examinations of required topics
22 □ Agency coordinates with other local agencies
to provide AB 1234 training to all local officials
and designated staff, including cities, counties,
schools and special districts

EDUCATION, TRAINING & PERSONNEL

ATTACHMENT A
17 PERSONNEL | PRACTICES AND POLICIES
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency has fair and merit based processes in
place for hiring and advancing employees
□ Agency consistently makes a concerted effort to
advertise widely for open positions
□ Elected officials generally play a role in selection
of chief executive, department heads, agency
counsel, and non-elected or appointed staff and
provide regular guidance and feedback to those
employees
Resources:
•
www.ca-ilg.or
g/Board-Chief-Executive-
Relations
□ Officials understand and abide by agency’s
adopted policies relating to who makes hiring
and other personnel decisions relating to
subordinate staff
□ Agency has a non-discrimination policy and
abides by its terms
□ Agency has adopted and follows an anti-
nepotism policy
□ Agency has adopted a whistleblower protection
policy and posted it on the agency website
23 (see
Speaking Truth to Power section below)
□ Agency has adopted policies regarding second
jobs and other potentially incompatible
activities
24 □ Agency posts compensation and benefits
information for all officials and employees on
the agency website
□ Agency completes salary comparison/
benchmarking for staff positions using a
reputable salary survey every five years - agency
posts summary of results on agency website

EDUCATION, TRAINING & PERSONNEL

ATTACHMENT A
18 PERSONNEL | INCENTIVES FOR SPEAKING TRUTH TO POWER 25 Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency has an adopted policy clearly explaining
procedures for reporting and investigating
allegations of misconduct and protection of
those that report misconduct
□ Unlawful conduct is dealt with swiftly, firmly and
consistently within the agency
□ Agency supervisors and staff are familiar with
legal protections related to whistle-blowing
activities and receive ongoing training
Resource:
•
www.c
a-ilg.org/whistle
□ Agency supports employees who bring forward
truthful, but potentially unwelcome, unsolicited,
unpopular or difficult information to the
attention of relevant decision- makers
□ Governing bodies encourage chief executive
and financial staff to regularly analyze financial
trends for areas of potential concern/risks so the
body can discuss and address them
□ Staff participates in professional associations
that provide guidance on ethics as it relates
to their role in the organization - for a list
of local agency professional associations
with ethics codes see www.ca-ilg.org/
associationsethicscodes
PERSONNEL | CHIEF EXECUTIVE
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency chief executive has a college degree in
relevant field and a minimum of five years of
broad-based management experience
□ Chief executive is or is willing to become a
member of the International City/County
Management Association (ICMA) in good
standing and adheres to ICMA’s declaration of
ideals. For more information see www.icma.org
□ The hiring process includes ethics questions in
interviews
Resource:
•
“Promoting Personal and Or
ganizational
Ethics” available at www.ca-ilg.org/ppoe
PERSONNEL | AGENCY COUNSEL
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency counsel is an active member of the
California State Bar in good standing with at
least five years’ experience in municipal law. See
www.calbar.ca.gov
□ Agency counsel is familiar with and adheres to
the California State Bar’s Rules of Professional
Conduct. See www.calbar.ca.gov/ethics
□ The hiring process includes ethics questions in
interviews
□ Agency counsel acts in accordance with the
ethical principles and values set forth by the
agency and other relevant organizations. For
example, “Ethical Principles for City Attorneys”
available at www.cacities.org/attorneys

EDUCATION, TRAINING & PERSONNEL

ATTACHMENT A
19 PERSONNEL | AGENCY CLERK
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Agency clerk is or is willing to become a member
of the International Institute of Municipal Clerks
(IIMC) in good standing and adheres to IIMC’s
code of ethics. For more information see
www.iimc.com
□ Agency encourages clerks to engage in
education, mentorship and professional
development activities through the California
Clerk of the Board of Supervisors Association
and the California City Clerks Association
Resources:
•
www.ccb
sa.net
• www.c
aliforniacityclerks.org

EDUCATION, TRAINING & PERSONNEL

ATTACHMENT A
20 CANDIDATES
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Candidates for the governing board receive
information on how to comply with campaign
laws
26, including local requirements and
restrictions27
□ Agency distributes California’s Code of Fair
Campaign Practices to all candidates
28 □ Agency provides candidates with information
about ethics laws, including conflicts of interest,
incompatible offices and governmental
transparency requirements that will be relevant
to their service if elected
Resource:
•
www
.ca-ilg.org/CandidatePamphlet
□ A pledge of fair campaign practices is distributed
to and signed by all candidates. Available at
www.ca-ilg.org/campaigncodes
□ Agency supports one or more leadership
programs to familiarize potential candidates
who are thinking of running for office with local
issues and decision-making practices

OFFICIALS AND EMPLOYEES
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □ Officials and employees are advised of
prohibitions relating to campaign fundraising
directed at agency staff
29 □ Officials and employees are advised of
restrictions relating to political activities of
public employees
30 □ Officials and employees are reminded of the
proscriptions against political use of public
resources including the use of equipment,
photocopying, or mailing of campaign related
materials at the public’s expense
31 Resources:
• www
.ca-ilg.org/massmailing
• The Fair Politic
al Practices Commission fact
sheet on prohibited mass mailings available
at www.fppc.ca.gov
□ Agency provides trainings to officials and
employees on prohibitions and restrictions on
the political activities of public employees

CAMPAIGNS

ATTACHMENT A
21 References and Resources
Note: Sections in the California Code are accessible at http://leginfo.legislature.ca.gov/.

Fair Political Practices Commission regulations are accessible at www.fppc.ca.gov/index.php?id=52. A source for case law information is www.findlaw.com/cacases/ (requires registration). 1 See Cal. Gov’t. Code § 12410.6 (“a loc
al agency shall not employ a public accounting firm to provide audit services to a local agency if the lead audit partner or coordinating audit partner having primary responsibility for the audit, or the audit partner responsible for reviewing the audit, has performed audit services for that local agency for six consecutive fiscal years.”). 2 Cal. Gov’t Code § 53232.2.
3 Cal. Gov’t Code § 53232.3.
4 Cal. Gov’t Code § 89001; 2 Cal. Code Regs §§ 18901-18901.1. 5 See Cal. Pub. Cont. Code §§ 20121-20123, 20162-20163. 6 See Cal. Gov’t Code § 1090.
7 See 2 Cal. Code Regs. § 18730.
8 Available at w
ww.fppc.ca.gov/forms/805.pdf.
9 See 2 Cal. Code Regs. § 18944.1.
10 See 2 Cal. Code Regs. § 18705.5.
11 Cal. Gov’t Code §§ 54970-54973.
12 Cal Gov’t Code § 54974.
13 Cal. Gov’t Code § 54950 and follo
wing.
14 Cal. Gov’t Code § 54954.2.
15 2 Cal. Code Regs. § 18723.
16 See 2 Cal. Code Regs. § 18705.2(a)(11), (A financial effect in which an official has a financial in terest,
other than a leasehold interest, is material whenever the governmental decision would consider any decision affecting real property value located within 500 feet of the property line of the official’s real property unless the FPPC provides written advice of the determination that there will be no reasonably foreseeable measurable impact on the official’s property). 17 See Cal. Gov’t Code § 1090.
18 See Cal. Gov’t Code §§ 87300-14.
19 Cal. Gov’t Code § 12950.1.
20 Cal. Gov’t Code § 53235 requir
es ethics training for specified local government officials. For more information see www.ca-ilg.org/ab1234compliance.
21 See Cal. Gov’t Code § 53235(a), (b).
22 See California Attorne
y General’s Guidelines, available at http://oag.ca.gov/ethics. 23 See Cal. Lab. Code § 1101-06.
24 See Cal. Gov’t Code §1126.
25 Aaron Wildavsky
, Speaking Truth to Power: The Art and Craft of Policy Analysis (Boston: Little, Brown, 1979).
26 See generally Cal. Gov
’t Code §§ 84100 – 84511.
27 See Cal. Gov’t Code § 81009.5 (Local g
overnment agencies that have adopted campaign finance
ordinances must submit a copy to the FPPC). Copies or links to these ordinances are posted on the FPPC website at www.fppc.ca.gov/index.php?id=9.
28 Cal. Elect. Code §§ 20440-20444.
29 See Cal. Gov’t Code § 3205.
30 See Cal. Penal Code § 424; Cal. Gov’t Code § 8314. 31 Cal. Penal Code § 424; Cal. Gov’t Code §§ 8314, 89001; 2 Cal. Code R egs. § 18901.1.

ATTACHMENT A

How Local Agencies Make Things Happen December 2015 | www.ca-ilg.org | 1 Other Kinds of Action:

Quasi-Judicial

Local agency officials also, from time to time,
act in a quasi-judicial capacity. This is when
decision-makers apply existing policies to
specific situation (much as a judge applies
legal standards in court cases).

Some of the procedural standards that apply in
quasi-judicial decision-making are explored in
www.ca-ilg.org/bias.

Local agency governing bodies make policy and
spending (fiscal) decisions. This is a collective decision- making process in which a majority of decision-makers
concur on a given course of action.

The policy tools local agencies have to take collective action include:
 Ordinances,
 Resolutions, and
 Motions and Minute orders.

In addition, the voters can play a role in decision-making through the referendum and initiative process.

The concepts and processes to understand on the fiscal side of local agencies’ responsibilities include budget, expenditures and warrants.

Ordinances

Local agencies make local laws through ordinances. Ordinances typically require or prohibit certain actions under certain circumstances. A local agency’s ordinances are frequently indexed and recorded into a “code.” These codes become part of the city or county’s legislative history and may prove useful even many years after adopted. As access to technology improves, many local agencies publish and/or make their codes available online.

Drafting. Typically, an agency’s staff, along with the help or oversight of the agency’s attor ney, will prepare a preliminary ordinance for review by the decision-making body and the public. This also enables staff to be aware of and help the agency comply with any special notice requirements that may apply to that particular kind of ordinance.

Timing Issues. There is usually a waiting period between the time the ordinance is first considered by that body (known as the “introduction” of the ordinance) and second or final presentation of the ordinance

How Local Agencies
Make Things Happen

ATTACHMENT A
How Local Agencies Make Things Happen December 2015 | www.ca-ilg.org | 2 during which it is considered by the governing body for adoption. This introduction process is also known as the first “reading” of the proposed ordinance, because it is the first opportunity decision-makers have to consider the merits of the proposed ordinance. In some limited circumstances, urgency and certain other types of ordinances can be adopted at the time of their introduction without going through a later waiting period.

Making Revisions during the Adoption Process. Sometimes decision-makers will ask staff to revise the proposed ordinance. Such changes may respond to ideas or concerns expressed by decision-makers or the public; changes may also result in language that a majority of the decision-making body can support. If substantive changes are made to a proposed ordinance after it is first introduced, it generally will need to be re-introduced and another waiting period must pass before the modified ordinance can be adopted. These steps ensure that laws are drafted as carefully as possible and to ensure that a full and open review of the ordinance occurs that permits the public to review and comment on the proposed law prior to its approval.

Adoption. After the initial “reading” and waiting period have occurred, the ordinance is then presented at a subsequent meeting for second reading. A member of the decision-making body moves for approval of the ordinance. If the motion receives a second, the body votes on whether to adopt the ordinance.

Effective Date. Most ordinances are effective 30 days after the date of adoption. Staff will typically take care of any requirements for publicizing the ordinance’s adoption during this period (for example, by publishing the ordinance in a newspaper and adding the ordinance to the agency’s code).

Resolutions

A resolution is a legal action by a decision-making body, such as setting fees and adopting policies. It can also be a vehicle through which the body expresses its opinion on a matter.

Resolutions are formal actions by the decision-making body and are retained as part of the agency’s record. Compared to ordinances, though, resolutions involve fewer procedural requirements. For example, they do not have to be “introduced” and “adopted” over the space of two meetings but may be adopted at one meeting. Furthermore, with limited exceptions (for example, setting tax rates), resolutions do not have to be published in a newspaper.1

Motions and Minute Orders

Local agencies do not always have to adopt an ordinance or resolution to take action. For less important actions, local agencies also may act by motion, which may be summarized in a minute order . Typically, the agenda materials will describe the action that is proposed to be taken.

These actions, along with others at the meeting, are memorialized in the record of the meeting (the minutes). Once approved by the body, the minutes become the official record of the meeting. The agency’s secretary or clerk maintains the official records of the agency, including the minutes.

ATTACHMENT A
How Local Agencies Make Things Happen December 2015 | www.ca-ilg.org | 3 Initiative and Referendum

In California, the public also plays a role in the decision-making process by voting on ballot measures .

The rules relating to placing matters on the ballot are both complex and technical. Ballot measure proponents are well advised to seek advice from experienced attorneys and political consultants on these matters to avoid missteps.

Referendum. If members of the community disagree with a legislative act approved by elected officials , then they can circulate a petition to put the matter on the ballot for the voters to decide whether the law should be repealed. This is called a “referendum” because the petition requires the matter to be referred to the voters for approval. The petition process must occur within a short window of time before the law goes into effect.

When a successful referendum petition occurs, a governing body has two choices. It can repeal the law that is the subject of the referendum petition. If the repeal occurs, it becomes unnecessary for the matter to go to a community vote. Otherwise the body must put the matter on a ballot for a vote.

Initiative. The public may also propose a new law (or an amendment to an existing law). To do that, they circulate petitions that must include a copy of the proposed law. If enough people sign the petition, then the governing body must either adopt the proposed law without change or put the matter on the ballot for a community vote. This process is known as the “initiative” process, because members of the community are initiating the legislative proposal.

Decisions to Spend Money

Perhaps one of the most important roles elected officials play is deciding how to allocate public funds to pay for necessary services and facilities. There are a number of steps in this process.

Budget. A budget is a device that enables decision-makers to project what revenues will be available to fund services and facilities and how those revenues should be allocated and spent. The decision to spend money for particular purposes is an “appropriation,” which is an authorization to spend money consistent with the budget.

Typically the budgeting process involves:
 The administrative head of the agency (county executive officer, city mana ger or general manager of a special district) prepares and transmits a set of instructions to department heads for submitting budget information and requests;
 Department heads prepare and submit their budget information and requests;  The administrative head reviews the requests and assembles them into a comprehensive budget document;
 The decision-making body holds budget hearings at which elected officials and the public receive information about the proposed budget;
 Elected officials receive public input/reactions to the proposed budget;

ATTACHMENT A
How Local Agencies Make Things Happen December 2015 | www.ca-ilg.org | 4 About the Institute for Local Government
 Elected officials evaluate all the information received and revise (as necessary) and adopt the final budget; and
 The administrative head of the agency (typically the city manager, county executive officer , general manager) is responsible for implementing and executing the budget. (Note that the budget includes decisions about money that don’t involve “spending “ per se, such as saving for capital projects, and allocated and unallocated reserves.)

Expenditures. The agency then spends money throughout the year in a manner consistent with the adopted budget, which may include expenditures to satisfy contractual obligations (for example, labor agreements, and contracts for goods or services). Some expenditures, such as election costs related to an initiative, referendum or recall may not be budgeted for, but may be a required expenditure directed by the public through the signature gathering process.

Warrants. These are specific authorizations to spend money from a local agency’s bank account. To avoid having to take every minor payment to the decision-making body for approval, some agencies have policies delegating authority to staff to authorize payment for budgeted expenditures up to certain amounts.

References

1 The rates of taxes to be levied or the amount of revenue required to be raised by taxation must be fixed either by ordinance or resolution. Government Code Sections 36936.1, 53724. If such tax rate or amount of revenue is fixed by resolution, the resolution must be published in the same manner and within the same time as ordinances are required to be published. Government Code Section 36936.1. Tax levies are subject to voter approval. Government Code Sections 53722, 53723. Some taxes (for example a documentary transfer tax) must be approved by ordinance. See Revenue and Taxation Code Section 11911.

This tip sheet is a service of the Institute for Local Government (ILG) whose mission is to promote good government at the local level with practical, impartial and easy-to-use resources for California communities. ILG is the nonprofit 501(c)(3) research and education affiliate of the League of California Cities, the California State Association of Counties and the California Special Districts Association.

ATTACHMENT A

Sources of Law December 2015 | www.ca-ilg.org | 1
About the Institute for Local Government
This tip sheet is a service of the Institute for Local Government (ILG) whose mission is to promote good government at the local level with practical, impartial and easy-to-use resources for California communities.

ILG is the nonprofit 501(c)(3) research and education affiliate of the League of California Cities, the California State Association of Counties and the California Special Districts Association.

The “law” affecting California local agencies can be found in a number of places:
 California’s Constitution specifies the relationship among the various levels and branches of government, as well as establishes a number of individual rights. Changing the Constitution requires a vote of the people. Proposals to change the Constitution may be placed on the ballot by either the Legislature or by initiative petition.

Charters, in those counties and cities whose residents have elected to have charters, determine how an agency is organized and gives the agency certain prerogatives even in the face of conflicting state statutes under some circumstances. For more information on the special powers of charter cities, see www.cacities.org/Resources/Charter-Cities. For more information about charter counties, see www.csac.counties.org/general-information/county-structure-0.  State Statutes are typically enacted by the Legislature in a series of “codes.” The California Government Code, for example, contains a number of provisions relating to the organization of local agencies, as well as land use, planning and employee relations matters. Note that voters can amend state statutes through the initiative process. 
Local Ordinances represent local agencies’ exercise of law-making powers within their respective jurisdictional boundaries.
 Federal Constitution and Statutes apply nationwide and typically act as restrictions on the exercise of power by state and local government.
 Judicial Decisions interpret all of the above, frequently resolving the conflicts among them.

Sources of Law for Local
Agencies

ATTACHMENT A

Understanding the Role of Chair December 2015 | www.ca-ilg.org | 1

Meetings are central to the local agency decision-making process. Through public meetings, elected and appointed officials come together to receive public input, discuss, deliberate and decide issues on behalf of the public. Such decisions typically require support of a majority of the decision-making body.

All members of the decision-making body usually have the same voting power. The meeting chair, however, plays a special role in helping the group reach wise decisions. The following tip sheet offers suggestions for performing that role well.

Goal of Meeting Discussions
The usual goal of any discussion at a public agency meeting is for decision-makers to:

Receive and share information, so everyone can make informed choices;  Share thoughts and perspectives on what decision best serves the public’s inter ests and other community values; and
 Reach a decision on what the best option is.

Another goal is for the group to reach decisions in a way that builds and maintains relationships as well as promotes trust in both decision-makers and the decision-making process.

Everyone’s Role

All participants in the decision-making process are responsible for working towards achieving these meeting goals. Moreover, everyone has a shared stake in having an opportunity to be heard and being treated fairly. Thus, all officials have an interest in supporting the chair’s efforts to conduct the meeting effectively and fairly
The Chair’s Role

The chair’s role includes:

Helping the group determine whether it has all the information necessary and available to make a decision;
Understanding the Role
of Chair

ATTACHMENT A
Understanding the Role of Chair December 2015 | www.ca-ilg.org | 2  Encouraging decision-makers to share multiple points of view;  Actively listening to determine potential points of agreement and testing those points for actual agreement;
 Managing any conflicts that may arise during the discussions;  Keeping the discussion on topic;
 Ensuring that clear decisions are made;
 Sticking to the agenda; and
 Getting through the agenda items in a timely manner.

As a result, the role of the chair can be understood as:
 A team captain who leads by example and helps the group function as a team;  A coach who encourages participants to perform at their best, including as it relates to principles of fair play and sportsmanship; and
 A referee who has authority to stop the action and apply the rules of play. 1 For the chair to play the role of referee effectively, the chair needs the group’s trust and respect. To earn this trust and respect, the chair needs to conduct the meeting fairly. This means applying the group’s agreed upon standards in an impartial manner. If one’s colleagues’ understand that the chair’s goal is to be an impartial facilitator to help the group achieve consensus, the group will be more inclined to act in ways that support the chair’s efforts and achieve the meeting’s goals.

To achieve both the perception and the reality of impartiality, it can be helpful for the chair to hold off expressing his or her views on a matter and not engage in debate.

Strategies for Success

At the Beginning of the Meeting

Welcome and Introductions. It can be helpful for the public (particularly first-timers) to know who is sitting at the dais, what opportunities there will be to provide input, and how they can understand what is going on (for example, if translation equipment/service is available, where people can pick up the equipment). This can communicate decision-makers’ earnest desire to both receive public input and have the public understand what is going on.  Agenda Overview. A brief statement of the major sections of the agenda can remind both decision-makers and the public of the scope of what needs to be accomplished during the meeting.

Aspirational Statement on Decorum. If the body has adopted a guidelines and goals for civility, a brief reminder to that effect can help set the tone for both decision-makers’ interactions and encouragement for other meeting participants’ conduct.

ATTACHMENT A
Understanding the Role of Chair December 2015 | www.ca-ilg.org | 3 When Consensus is not Immediately
Forthcoming

If the conversation does not seem to be
coalescing into a consensus or even a majority
position, one technique for non-time sensitive
matters is to refer the matter back to staff for
further work. Staff will then have time to craft a
decision that endeavors to take into account
as many of the concerns expressed as
possible.

As the Body Moves to New Agenda Sections/Items
 Agenda Sections. Different agenda sections are sometimes subject to different procedures. For example, a consent agenda usually is a group of items that are routine and non-controversial and are taken up as a group.

Conversely, other items are taken up one by one. Sometimes certain items are subject to special procedures (for example, public hearings). It can be helpful for the chair to briefly note these differences, as a reminder to new decision-makers and first time attenders at the meeting.

Example: Chair: “Now we are at the public hearing portion of the agenda. To be respectful of the rights and interests of all involved, there will be three stages to our consideration of each item:

1. Facts and Evidence:
a. First staff will summarize their analysis of the issue before us. b. Then, the applicant will be given a chance to explain, based on facts and evidence, how the applicant has met standards necessary for us to approve the application.
c. Next the public will be given an opportunity to offer their thoughts and evidence on the merits of the application. This can include any suggestions or questions that the public thinks we should ask of the applicant. d. We will then ask any questions of the applicant.

2. Law and Analysis:
a. After listening to and considering both the applicant’s and the public’s information, it becomes our turn to discuss among ourselves what we have learned based on what has been presented.
b. Once it appears that a consensus is developing, we may ask questions of staff on what kinds of findings need to be made to explain our decision based on the information we have received.

3. Decision:
a. The chair will entertain a motion to make a decision and adopt findings consistent with that decision.
b. If the motion receives a second, we’ll vote to see if a majority of us can agree.”


Being Clear on the Issue to Be Resolved.

In addition to calling the agenda item, it can
be helpful to identify the issue to be
resolved.

Example: Chair: “The issue before us is
whether the application to engage in X
enterprise meets the standards in our
zoning code for such activities.”

ATTACHMENT A
Understanding the Role of Chair December 2015 | www.ca-ilg.org | 4 Staff can be a Resource

Depending on the nature of the topic under
discussion, agency staff and legal counsel can
sometimes assist the chair in listening for
consensus or clarifying misunderstandings that
are impeding the effort to reach consensus.

Where staff sits can determine how helpful
they can be in this role. Being able to signal or
make eye contact with the chair is one issue.

Many agencies have key staff (attorney and
chief administrative official) sit at the dais with
the body.

This reminds staff, decision-makers, the applicant and the public the standard which needs to be focused on. In addition, for complex or divisive items, sometimes participants can lose sight of the issue to be decided. A helpful role the chair can play in getting the discussion to a point of resolution is to remind participants of the issue to be resolved (or ask staff to state the issue to be resolved).

 Note about Technical Language. Public agency decisions sometimes involve special terminology, jargon and acronyms. This can lead to confusion and misunderstanding, which in turn, can take the discussion in unproductive directions. Another important role of the chair is to make sure the conversation occurs at a level that everyone can understand. The chair can ask speakers to define unfamiliar terms and explain unfamiliar concepts.

Fostering Discussion and Decision
 Opening up the Issue for Discussion.

Having stated the issue and heard staff and
the public’s information on it, ask for
decision-makers’ thoughts. To enable the
chair to be a fair guider of the discussion,
the chair will typically refrain from offering
their thoughts at the beginning.
 Who Speaks When and to Whom. At this
point in the meeting, the discussion is
among decision-makers and therefore
decision-makers should be speaking to
each other in an effort to come to a decision,
not the public.

An important role of the chair is to make sure only one person speaks at a time, so both the public and decision-makers can understand and follow the discussion. A typical approach is for each decision-maker to offer their thoughts and then listen to other decision-makers’ thoughts in turn.

If it appears multiple people want to talk at once, the chair has the option of asking people to raise their hands to be recognized before speaking. The chair can keep a list of who has asked to be heard, to call on each person to speak in sequence. Everyone who wants to speak should know that they are on the list and their turn is coming.
 Keeping Discussion Participation Balanced. Some bodies have a norm that each person will take a turn in asking all their questions and sharing their thoughts. Others find that such a restriction interferes with dialogue and the deliberative process. If a person seems to be repeating him or herself or otherwise dominating the discussion to the exclusion of others, one approach is for the chair to acknowledge that the individual’s perspective has been heard.

ATTACHMENT A
Understanding the Role of Chair December 2015 | www.ca-ilg.org | 5 Example: Chair “We have heard that Supervisor Nasirian feels strongly that fixing our roads is an urgent priority. What are others’ thoughts?” or “Is there anyone who hasn’t spoken yet who would like to share their thoughts?”
The chair can also give preference to those who haven’t spoken.

Example: Chair “I see your hand up Council Member Cooke and we’ll get to you in a moment; I am going to recognize Council Member Suarez first since she hasn’t yet spoken.”  Avoiding Interrupting one Another. When people are passionate or otherwise convinced of the correctness of their position or information, they will sometimes jump in to respond to what a colleague is saying. A chair’s role is to intervene to protect the person’s ability to finish their thought. (“Let’s let Director Feliciano finish his thought; you’ll have an opportunity to share your perspectives.”)
 Dealing with Conflict. Differing perspectives is inherent in a group decision-making process and healthy. However, if the discussion gets particularly heated among two or more decision-makers, a helpful device is to have people address their remarks to the chair. Another is to summarize the points of disagreement and then move the discussion away from those who are in conflict by asking others how they see the issue. If the conversation turns personal, the chair can ask the group to keep the discussion focused on the problem at hand, not underlying motivations or personalities. If these techniques are unsuccessful, calling a recess can be helpful to enable people to step away from the conflict and reflect on how to move the discussion forward. See also Dealing with Emotional Audiences (www.ca-ilg.org/dealing-emotional-audiences ).
 Actively Listening for Signs of Consensus. The chair’s role is to listen for points of agreement and possible consensus and then test the chair’s sense of where people are leaning. Tools the chair has to help the group get to a decision point include:

o “It sounds like Supervisor Rodriguez and Supervisor Ifill are both concerned about the impact of the proposed use, even with the proposed conditions on the permit, on surrounding neighbors. Am I understanding your concerns? Would either of you like to move that the application be denied”?
o Thank you Council Member Chen for sharing that view; would you like to make a motion to that effect?”
o “It sounds that there are two views on the board: [state the two views]. Which strikes people as having more advantages for our community? “What’s the group’s pleasure? The question before us is [restate the issue before the group].”

 Motion and Second. Once a motion is made, the chair asks for a second. A second to the motion indicates that at least one other person agrees with the maker of the motion. o If no one seconds the motion, the chair can note that the motion is appearing to die for lack of a second. The chair can ask if someone else wants to make a different motion. o If the group seems ambivalent, the chair can ask if someone wants to second the motion for purposes of discussion. Through that discussion, an approach at least a majority can agree on may emerge, in which case the chair may want to ask whether there’s a f riendly amendment to the original motion or a substitute motion.

ATTACHMENT A
Understanding the Role of Chair December 2015 | www.ca-ilg.org | 6 If at First You Don’t Succeed

People can take a while to get used to the
norms associated with group decision-making.

If an approach doesn’t work perfectly the first
time, don’t give up. Think about what worked
and what didn’t and consider whether
persistence might help get the group to a
better place. Many agencies have key staff
(attorney and chief administrative official) sit at
the dais with the body.

 Vote. It’s helpful for the chair to re-state the motion on which the group is voting.

At the End of the Meeting
 End on an Upbeat Note. If at all possible,
end the meeting on a positive note and thank
everyone for their contributions to the
meeting and their participation.
 Explain Next Steps. Note that the actions
taken at the meeting are being recorded
through meeting minutes, which will be
reviewed at the next meeting. Note when the
next meeting will be.

More Resources

Dealing with Emotional Audiences
www.ca-ilg.org/EmotionalAudiences

Codes of Conduct for Elected Boards
www.ca-ilg.org/CodesOfConduct

ILG’s Meeting Resource Center
www.ca-ilg.org/meeting-resource-center

References
Note: Sections in the California Code are accessible at http://leginfo.legislature.ca.gov/. Fair Political Practices Commission regulations are accessible at www.fppc.ca.gov/index.php?id=52. A source for case law information is www.findlaw.com/cacases/ (requires registration).

1 See Vermont Institute for Government, Born to Chair: An Introduction to the Science and Art of Chairing a Board Meeting (1998), available at www.sec.state.vt.us/municipal/pubs/chair.pdf and http://crs.uvm.edu/citizens/chair.pdf.

ATTACHMENT A

Local Agency Powers and Limitations December 2015 | www.ca-ilg.org | 1

What can local agencies do to address issues that arise within their boundaries? The answer to that question turns on the division of labor between state and local government in California’s Constitution.

Federal laws can sometimes also be a limiting factor.

Regulatory (“Police”) Powers

For example, as general purpose governments, California’s counties and cities get some a spects of their authority directly from the California Constitution. That document says that cities and counties may make and enforce within their limits all local, police, sanitary and other ordinances and regulations not in conflict with general laws.
1 This is commonly known as the “police power,” and is the source of counties’ and cities’ regulatory authority to protect public health, safety and welfare.

Cities exercise this authority within their boundaries (known sometimes as “incorporated areas” re flecting the notion that residents voted to form/”incorporate” the city). Counties exercise this authority in the areas not within cities (unincorporated areas).

For purposes of comparison, special districts are creations of state law. They get their authority from the statute that authorizes the district’s creation and do not have police power. Special districts have only those powers given to them by the Legislature.
2 Preemption

As a general matter, the restriction on the exercise of a county or city’s authority depends on whether the proposed local enactment conflicts with federal or state general laws. This is a concept known as “preemption.” Federal or state law may preempt local officials’ ability to legislate in a particular area, either explicitly or by implication.

The test for preemption of local law by federal or state laws is similar. A local ordinance will be preempted by state law when it is in express conflict with state or federal law. 3 Preemption may also occur even when there is no direct conflict if the state or federal government has fully occupied the area of law in general.4 In the absence of judicial decisions determining whether a particular form of local legislation is preempted, the analytical process local agency lawyers must engage in to advise their clients that a matter on whether such legislation has been preempted can be complex.

Local Agency Powers and
Limitations

ATTACHMENT A
Local Agency Powers and Limitations December 2015 | www.ca-ilg.org | 2 Exception to Preemption: Charter City Powers

Under California’s Constitution, certain kinds of cities have an additional measure of protection from state preemption. Charter cities have an extra measure of authority over municipal affairs. 5 If a matter is a "municipal affair" (and not a “matter of statewide concern”), a charter city has power to act, even to the extent that the city’s action may be at odds with a state law. The chief restriction on local action under these circumstances is whether the action would be inconsistent with the city’s charter or the state and federal constitutions.

In a charter city, the residents adopt a charter. This charter functions as a local constitution that provides for the organization and structure of the city. It also can create limits on city powers and functions. Some charters have a great deal of detail; others are quite brief. Either way, when residents have determined that their city should be a charter city, their city then has the option deviating from state law with respect to municipal affairs.

Courts, rather than the Legislature, are the ultimate deciders of whether a subject is a municipal affair or a matter of statewide concern.6 This determination is made on a case-by-case basis, which means that it frequently takes litigation to determine the scope of charter cities’ exercise of authority.

More specific information on charter city authority can be found on the League of California Cities website at www.cacities.org/chartercities.

Charter County Powers

Another section of California’s Constitution provides special prerogatives for counti es to become charter counties. The courts have determined that the charter county provision of California’s Constitution, because it is worded differently, confers less authority on counties. 7

The authority extends to the subjects described in the constitution’s charter county langua ge, which refers to such issues as:
 How the five member board of supervisors are elected (by district, at large or at large, from a district);
 Compensation, terms and removal of supervisors;
 Elected sheriffs, district attorneys, assessors and other officers (their election or appointment, compensation, terms and removal);
 Specified personnel functions (including setting compensation). 8 Nonetheless, these charter county provisions were one reason that the California Supreme Court overturned legislation that would have imposed binding arbitration to resolve public safety employees’ salary negotiation impasses.
9 Other Restrictions on State Legislative Powers
Relating to Cities and Counties

California’s Constitution forbids the Legislature from taking certain kinds power away from county and city officials and giving it to private parties.10 More specifically, the Legislature may not delegate to private

ATTACHMENT A
Local Agency Powers and Limitations December 2015 | www.ca-ilg.org | 3 persons or entities power over municipal improvements, money (including taxes and assessments), property, or functions.11

The Legislature also may not single out a particular city or county for special legislation. 12 However, the courts have allowed the Legislature to create classes of cities and counties as long as the individualized treatment bears a rational relationship to a legitimate state purpose. 13 One way of classifying counties
and cities is by population.14

Operation of Public Works

The California Constitution provides that counties and cities may establish, purchase, and operate public works to furnish their inhabitants with light, water, power, heat, transportation, or means of communication.15 They may furnish those services outside their boundaries, except within another municipal utility’s boundaries that furnishes the same service and does not consent.

Case law suggests that special districts may fall under this section in some ways, but not all. 16

The constitution also provides that persons or corporations supplying these services may operate within cities upon conditions and under regulations that the city may prescribe. 17

Revenue Authority

California’s system for financing local government operations is a complex web of constitut ional and statutory provisions. This system is summarized in Understanding the Basics of County and City Revenues, available at www.ca-ilg.org/revenuebasics.

State and Federal Constitutional Limitations

Local officials’ actions must also comply with the United States Constitution and federal law. Areas of federal law that frequently arise for local agencies include:
 The First Amendment establishment of religion, free exercise of religion and free speech clauses.18
 The Fourth Amendment prohibition against unreasonable search or seizure. 19  The Fifth Amendment right to remain silent (for example, in police interrogations) and the requirement of just compensation for the taking of property. 20  The Fourteenth Amendment’s protections of due process, equal protection and property rights. 21

California’s Constitution also contains similar declarations of rights, as well as other provisions that may limit local actions. Some examples include provisions relating to water rights, 22 workers compensation,23 alcoholic beverage regulation,24 public housing projects25 and the non-partisan nature of municipal government.26

Local officials should also be aware of the various federal civil rights laws, which prohibit public agencies from discriminating against individuals based on a number of protected characteristics (for example, race,

ATTACHMENT A
Local Agency Powers and Limitations December 2015 | www.ca-ilg.org | 4 gender, physical disability and age). The state also has a number of laws that contain similar —but not always the same—protections.

More Resources

California’s Constitution
www.leginfo.ca.gov/const.html

California School Boards Association Handbook
www.csba.org/~/media/51E3FBB839504700825CB16B7265F3C4.ashx

California’s Department of Education: School District Governance History www.cde.ca.gov/re/lr/do/

References

1 Cal. Const., art. XI, § 7.
2 Los Angeles County Flood Control Dist. v. Southern California Edison Company, 51 Cal. 2d 331, 339,333 P.2d 1 (1958). 3 Florida Lime & Avocado Growers, Inc. v. Paul, 373 U.S. 132, 141, 10 L. Ed. 2d 248, 83 S.Ct. 1210 (1963) (federal law conflicts when it is physically impossible to comply with both federal and state/local law); Cohen v. Board of Supervisors, 40 Cal. 3d 277, 290, 219 Cal. Rptr. 467 (1985) (Local legislation that conflicts with state law is void). 4 Wisconsin Public Intervenor v. Mortier, 501 U.S. 597,604, 115 L.Ed. 2d 532, 111 S. Ct. 2476 (1991) (federal law preemption by occupying the field analysis); Candid Enterprise v. Grossmont Union High School District, 39 Cal. 3d 878, 886, 218 Cal. Rptr. 303 (1985) (state preemption by occupying the field).
5 See generally Cal. Const., art. XI, § 5.
6 The threshold inquiry is whether a conflict exists between a charter city law and state law. If no conflict exists, the charter city law stands. If a conflict exists, the court will find the matter is a municipal affair unless it qualifies as a matter of statewide concern.

Even if the subject matter is of statewide concern, the state law must be reasonably related and narrowly tailored to address that statewide concern. See Johnson v. Bradley, 4 Cal. 4th 389, 14 Cal. Rptr. 2d 470 (1992). 7 See Johnson v. Bradley, 4 Cal. 4th 389, 405, 14 Cal. Rptr. 2d 470 (1992). 8 Cal. Const., art. XI, § 4.
9 County of Riverside v. Superior Court, 30 Cal. 4th 278, 132 Cal. Rptr 713 (2003). 10 Cal. Const., art. XI, §11.
11 Cal. Const., art. XI, §11.
12 Cal. Const., art. IV, §16.
13 City of Los Angeles v State, 138 Cal. App. 3d 526, 534, 187 Cal. Rptr. 893 (1982). 14 Keenan v. San Francisco Unified School District, 34 Cal. 2d 708, 713, 214 P.2d 383 (1950). 15 Cal. Const., art. XI, § 9(a).
16 See Morrison v. Smith Brothers, 211 Cal. 36, 293 P. 53 (1930). 17 Id.
18 U.S. Const. amend. I.
19 U.S. Const. amend. IV.
20 U.S. Const. amend. V.
21 U.S. Const. amend. XIV, § 1.
22 See Cal. Const., art. X.
23 See Cal. Const., art. XIV, §4.
24 See Cal. Const., art. XX, §22.
25 See Cal. Const., art. XXXIV.
26 See Cal. Const., art. II, §6.

ATTACHMENT A

Types and Responsibilities of Local Agencies December 2015 | www.ca-ilg.org | 1

Counties

Counties play a dual role in California’s system of government. California is divided into 58 counties.  Countywide Services. Counties provide a variety of important county-wide welfare and social services that serve all residents within a county. Those include services relating to health and welfare, as well as the criminal justice system. In these respects, counties are part of a statewide system that delivers certain kinds of programs and services to Californians.

Counties’ district attorneys work with county sheriffs and city police departments to prosecute crimes.

 Municipal Services and Regulations. For those areas that are not within a city (often referred to as the “unincorporated areas” of a county), counties provide law enforcement services through the sheriff’s office. For these areas, counties may also provide such services as fire protection, animal control, parks, recreation, public works, planning and land use, water, waste water, solid waste, and library—services that are similar to those cities provide within their boundaries (known as the incorporated areas). Sometimes counties and cities provide these services collaboratively.

These services may also be provided by a private company or by a special district.

Counties also have regulatory authority within the unincorporated areas (such as land use planning authority and building code enforcement). This includes the power to adopt regulations to promote the public good within those areas.

Cities

California has nearly 500 cities. Within city boundaries, cities have responsibility for such services as police and fire, animal control, parks, public works, water, waste water, solid waste, and library.

Sometimes these services may be provided by the city itself or by the county, a special district or a private company.

Cities also have authority to adopt regulations that promote the public good within city limits. These include regulations relating to land use and building code enforcement.

Types and Responsibilities
of Local Agencies

ATTACHMENT A
Types and Responsibilities of Local Agencies December 2015 | www.ca-ilg.org | 2 Schools

School districts are responsible for educating children from kindergarten through high school. Some school districts also provide pre-school services. Unlike some other states, in California public schools and cities/counties have separately elected governing bodies.

California’s public education system also includes community college districts, the California State University system and the University of California system.

This is perhaps the most important thing to understand about California’s public education system— it is
indeed a multi-leveled, complex system. There are many state laws that determine how schools operate.

The availability of funding for schools is also largely determined by the state, through the budget process.

Locally elected school boards are a part of this system, as are county offices of education .

In 2013, California adopted legislation to change how K-12 public education is funded. The Local Control Funding Formula (LCFF), based on principles of equity, flexibility and transparency, allows educators and partners to be more responsive to the needs of students in their community. Along with this increase in flexibility and local control, local educational agencies (LEAs) are required to prepare Local Control and Accountability Plans (LCAP), which describe how agencies intend to meet annual goals for all pupils. The LCAP is a three-year plan that must be updated annually, and requires the school district to engage parents, students and community members.

“Charter” Agencies
Some public agencies are “charter” agencies. This means that they have special powers.

 Charter Cities. The residents of a city can vote to have their city become a charter city. That means, among other things, that the city’s organization and manner of operation is determined by a charter, as opposed to certain state laws, which apply to “general law cities.”

The charter is a “mini-constitution” for the city and determines how the city is organized, operated and authorized to provide for municipal functions. It also includes limitations that the residents of that city may legally choose to place on the city. Generally, charter cities have an extra measure of independence from certain kinds of state requirements, such as establishing their own election dates, rules and procedures that would otherwise apply as a general law city.

 Charter Counties. Like charter cities, charter counties operate according to a charter adopted by county voters.

Charter counties have authority relating to the election, compensation, terms, removal and salary of the governing board; for the election or appointment (except the sheriff, district attorney, and assessor who must be elected), compensation, terms and removal of all county officers; for the powers and duties of all officers; and for consolidation and segregation of county offices.

 Charter Schools. Charter schools are governed by the terms of their charters and by certain state laws, as well as the federal laws that govern public school districts. Charter schools' governance structures vary widely, with some being under the authority of the district's governing board (or the County Office of Education or the State Board of Education), and others operating autonomously. The entity that approved the charter is responsible for certain oversight functions, and has authority to revoke the charter under certain circumstances, but is otherwise not responsible for the charter school's operations.

ATTACHMENT A
Types and Responsibilities of Local Agencies December 2015 | www.ca-ilg.org | 3 Special Districts

Special districts are public agencies created to provide one or more specific services to a community, such as water service, sewer service, parks, fire protection and others. California has nearly 3,300 special districts.
 Dependent Special Districts. Sometimes the governing board of either a city or county will also serve as decision-makers for a special district. These kinds of special districts are called “dependent special districts.” About one third of special districts are dependent.

 Independent Special Districts. Other special districts operate under a locally elected, independent board of directors, which oversees district functions. These kinds of special districts are called “independent special districts.” About two thirds of special districts are independent.

Most special districts perform a single function, such as water service, parks and recreation, fire protection, pest abatement or cemetery management. Other districts have multiple functions, such as community service districts. Some special districts provide services for residents in both cities and counties, while others provide services only for residents who live outside city boundaries in the unincorporated areas.

In California, cities must be located in one county, and city boundaries may not cross county lines. On the other hand, special districts may cross city and county boundaries. For example, the Metropolitan Water District of Southern California serves residents in six different counties and most of the cities within those counties.

Special districts generate revenue from several sources including property taxes, special assessments, and fees. “Enterprise” special districts provide more specific services and are primarily fun ded by fees for those services. “Non-Enterprise” special districts provide more general governmental services and are funded primarily from property taxes.

Other Kinds of Local Agencies

Joint Powers Authorities. (JPAs) Local agencies will sometimes enter into agreements to exercise shared powers to provide more effective or efficient government services or to solve a service delivery problem. One common form of joint powers authority is one that serves as a form of insurance company for local agencies.

Through the joint powers agreement, these agencies pool their resources to promote activities to reduce risk and pool their assets to pay claims against member entities (for example, workers compensation claims).

Joint powers authorities typically have their own board of directors (typically public officials appointed by each participating public entity), their own policy development system, and their own management structure.

ATTACHMENT A
Types and Responsibilities of Local Agencies December 2015 | www.ca-ilg.org | 4  Councils of Government. A council of government is a particular form of joint powers authority created to engage in certain policy-making activities. The exact combination of duties varies from region to region.

The two most prevalent duties are:

1. Planning-related activities relating to affordable housing and

2. Transportation on a regional level.

Some councils of government cover one county; others cover multiple counties. Some councils of governments cover such a large area (as in the Southern California area) that local agencies also participate in sub-regional council of government activities as well.  Local Agency Formation Commissions (LAFCOs). A 1963 law created local agency formation commissions with three purposes:

o To encourage the orderly formation of local government agencies,

o To preserve agricultural land resources, and

o To discourage urban sprawl.

Each county has a local agency formation commission. The composition of each commission varies, but at a minimum each has two representatives from the county board of supervisors, two representatives who serve as city council member from cities within the county, and one representative from the public. Local agency formation commissions make important boundary decisions that affect resident services.

In addition, local agencies will sometimes create nonprofit corporations to perform certain functions for the community. These nonprofits are governed by a board of directors according to an adopted set of bylaws. As with public agencies, there are certain transparency requirements for nonprofit corporation s because of their special status.

ATTACHMENT A
Types and Responsibilities of Local Agencies December 2015 | www.ca-ilg.org | 5 More Resources

California State Association of Counties
www.csac.counties.org

League of California Cities
www.cacities.org

California Association of School Boards
www.csba.org

California Special Districts Association
www.csda.net

California Association of Joint Powers Authorities
www.cajpa.org

Senate Local Government Committee Publication
“A Citizen’s Guide to JPAs”

California Association of Councils of Governments
www.calcog.org

California Association of Local Agency Formation Commissions www.calafco.org

ATTACHMENT A

Council Legislation/Environmental CommitteeMarch 20, 2024

Council Legislation/Environmental Committee
March 20, 2024