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SR-601-002 (5) .. ; CA:RMM: Ims008b CIty Cou~cll MeetIng 12-10-8'5 Santa f1o~lca, f~A nEt 1 o1gsf DEe 1 7 1985 CalIfornIa . 6tJ/---poz . STAFF REPORT TO: Ma~or a~d Clt~ CouncIl FROM: CIty Attorney SUBJECT: OrdInance ror IntroductIon AddIng ChaDter 1.? to ArtIcle II of the Santa MonIca MunlCIoal Code RelatIng to RevolvIng Door POlICY ThIS StafF Peoort transmIts the accompanYIng ordInance for IntroductIon and fIrst readIng adrlIng Chapter 1.'7 to ArtIcle I I of the Santa MO~lca MunICIpal Code relatI~g to revolv1ng door POlICY. BACKGROUND ThIS proposed ord1nance would regulate ~ertaIn conduct and act1vItIes of speCIfIed CItv emoloyees and off1cIals upon term1natIon of theIr employment or term of offIce WIth the CI t y. The Intent of thlS ordInance 15 to prevent such former C I tv emolovees and offICIals from actIng as agents or representatIves on behalf of any person (other th~n the CIty) 1n connectIon WIth any proceedIng 1n WhICh the CIty 15 a party or has a dIrect and substa~t1al Interest for a spec1fIed DBrIod of t1me. Transactlons InvolVIng vlolat1ons of the proposed ordInance would be sublect to 1nval1datIon by the CI ty. 1 ?-A DEe 1 O'l~ DEe 1 7 1985 . . On Janua ry 8. 1985! the CIty Council dIrected the City A t tor n e ~) to prepare an ordlnance prohibiting persons le~vIng C It)-' emolGyment from attemptIng to do business WIth the CIty. ThIS request arose In connection with recent amendments to the CltV'S ConflIct of Interest Code. On November 12. 1Q85. a draft RevolVIng Door Ordinance was presented to the CIty CounCIl for Introduction and fIrst readIng. After CIty CounCil diSCUSSion, the City Attorney's offIce was Instructed to revise the ordInance In view of the comments and concerns raIsed. Sp e C 1 fIe all ~) . a dIstInction between restrICTIons ImDosed on former CIty employ~es (who receive full tIme salaries from the nubllc) and members of the CI ty CounCIl and boards and commiSSIons (who either serVe for nomInal payor volunteer theIr time) was reauested. The proposed reVIsed "RevolVIng Door OrdI....ance" would Imoose restrIctIons on former CIty employees' and offICIals' lobbYlng al'ld advocacy actiVIties before the City where the matter 15 one In l",h Ich such CI h) employee or off IClal partlcloated personally and substantially durIng the term of hI5 or her employment or term of offIce. An absolute prohibition on representation or aS5lstance would be Imposed on former City employees regardless of whether compensatIon refrain from Former such [1 hJ offICials would be reqUired to was receIved. reoresentatlon and adVice only If comoensated for such actIVitIes. Ad d 1 t Ion all y , thIS ordinance would Impose speCIfiC tIme perIod restrictions orohlbltlng reoresentatlon fo r 2 . . comoensatIon before Clt~) admInn5tratl'i'3 bodIes, on any 5ub)ect whatsoe......er) ....1 he the r or not such matter was one In whIch the CItv employee or offILIal oartIcIoated. The proposed tIme restrIctIons would be two (2) years for CIty employees and SIX (6 ) months for CIty offICIals. measured from the termInatIon of emoloyment or term of offIce. The Intent of the ordInance IS to orevenl: former CIty emolovees and offICIals trom USIng confIdentIal InformatIon or ~nowledge gaIned durIng theIr tenure WIth the CIty In order to Influence a oroceedIng to theIr advantage. Clearly. Included restrIctIons on CIty employees and offICIals are WI tl, In the category ot "munICIpal affaIrs" 5ub]ect to CItv control. The ordInance IS patterned after I a....)5 regulatIng actIVItIes of former the federal and state aovernment employees. (See 18 UnIted States Code SectIon 207~ CalIfornIa Government Code SectIon 87400 et sea.) SECTION BY SECTION ANALYSIS The ordInance adds Chapter Code. ].5 of ArtIcle II of the Santa MonIca t'1u n 1 C 1 P a I entitled "Revolvlna Door OrdInance." Sect Ion 2150. Name~ Purpose, and SGope. The ordInance 15 entItled the "Re~'oluIrf? Door OrdInance." I t IS Intended to orevent conflicts of Interest by prOhIbItIng soecIfled former CItv emplovee:s and offICIals from engagIng In lobbYIng and advocacy actIvItI@S before an~) "City adminI&tratlve agency" '3 . . (the City Coune 1 1 and every CItv department " offII::e~ dl~'1510n,. board and commISSIon. or offIcers or employees a ma t t e r 1 n thereofJ IncludIrg any act IVI tIes that Invo Ive l.oJh 1ch the former CIty officIal partIcIpated personally and substantIally durIng the term of hIS offIce or employment. SectIon 21~1. DefInItIons. ThIS sectIon defInes the fo1101"IIng Emoloyee~" k e~) terms: "C1t~) AdminIstratIve Agency," "el ty "CIt~) OffICIal," "JudIcIal, QuasI-JudIcIal, or Other ProceedIng." and "PartICIpated." Tt-Ie term "CIty Employee." has been defIned narrowly so as to apply only to C 1 t ') De par t me n t Heads and profeSSIonal employees In the offIces of the CIty Manager and elt',) Attorney. The term "CIty OffICIal" Includes all members of the CIty CounCIl. PlannIng CommISSIon. and ArchItectural ReVIew Board. Members ReVIew Board of the PlannIna CommISSIon and ArchItectural have been sose 1 fIca I 1 Y Included WIthin the purVIew of thIS ordInance upon requests by CounCllmembers due to concern WIth the quasI-ludIclal nature of these two bodIes and the communIt~ Importance of matters which ere reVIewed bv them. thIS Other CIty boards and commISSions have been excluded at t I me. These de.fInItIons may be furth~r expanded If deSIred. SectIon 21"52. Restrictions on ActIVIties of Former City Emp 1 o~(ees Subsection (aJ of this Section prohIbits a former Cl ty employee from ever representIng any other per50n (exceDt the CIty) before anv CIty admInIstrative agencv. or offIcers 4 . . and emoloyees thf"reOt~ In anv DroceedIng where the CIty of Santa MonIca IS eIther a party or has a dIrect and substantIal Interest. where SIJch oroceedIng IS one Cltl.} emoloyee partICIpated. A~, appl1ed~ In whIch the former thIS sectIon would Impose a comalete ban on a for me r CIty employee's reprBs~ntatlon of others (whether compensated or not) wher~ the matter 15 one In whIch the former CIty emoloyee had dIrect Involvement durIng the term of hIS or her employment SubsectIon (b ) of thIS SectIon prohIbIts former CIty emplo~ees aSSIstance from renderIng adVIce, counsel. consultatIon, or In representIng an~ other person (except the CIty) In any proceeding In WhICh such offICIal would be prohIbIted from appearIng under SectIon 21?2(a) above. SubsectIon lc) of thIS SectIon would prevent former CIty employees for a t WQ ye a r "c 0 0 1 1 n 9 off" oerIod from actIng as compensated represent~tlves for persons other than the City before any CIt~) admlnu;trat Ive agency} or offIcers and emolov~es thereof on anv matter whatSoever. where the CIty 15 a party or has a dIrect and substantIal Interest. SectIon 21153. OffICIals. RestrIctIons on ActIVItIes of Former CIty SubsectIon (a) of thIS SectIon prohIbIts ~ Former CIty offICIal from ever actIng as a comoensated representatIve of an;) pe r!'Son (except the CItV) before any CIty admInIstratIve agencv. or offIcers and emDloyee~ thereof~ In any proceedIng where the CIty of Santa MonIca I~ eIther a party or has a ? . . dIrect and substantIal Interest. where such proceedIng 15 one In WhICh the former CItv offIcIal partICIpated. ThIS SectIon would Imoose a p~rt]al ban on a former CIty offIcIai's repres""ntatlon of others (c0mpensated activitIes)} where the matter 15 one In WhICh the former CIty offICial had dIrect Involvement durIng hIS or her term of offIce. Sube.ec t Ion I b ) r)f thIS SectIon would lInpose a prohIbItIon on the former CIty offICIal '5 renderIng of adVIce, counse 1 . consultatIon: or aSSIstance In representIng others for comoensatlon In any proceedIng In whIch such former CIty offICial would be barred from appearIng under subsectIon (a) above. SubsectIon l c) oft hIS 5e c t Ion would prevent a former CI tv term offICIal for a perIod of SI~ (6) months after hIS or her of office ceased from actIng 095 a compensated. r e pre 5 e n tat I ~<Je for oersons other than CI tv before any Clt~ admInIstratIve agency or offIcers and employees thereof on any matter whatsoever: where the CIty IS a part~ or has a direct and substantIal Interest. SectIon 21'74. Exemotlons. ThIS sectIon sets forth speCIfIC exemotlons to the orohIbltlons set forth In sectlons 2152 and 2153. The exemptions Include: appearance5 or communIcatlon5 concernIng matters of a oersonal or IndIVIdual nature: statements by former City emplo~ees or offICIals WhICh contaIn the Clty employee's or offiCIal's OINn speCial knolN 1 edae s tat e me n t : In a Pi';Irtlcular area that 15 the subject of the t est 1 mo n y gIven under cath b~ the former CIty 6 . . emp lo'v'p-e or offiCial or statements requIred to be made under penalty of per Jurv; and representation of criminal defendants b". formp.r criminal or CIVIl t1eput~J Clt>, attorne~s and former CIty offlClal'S condltlons. ldho are attornevs under certain speCified SectIon 21?5. Application or ReqUIrements. ThIS "grandfather provIsIon" exempting CIty sectIon contains a emplovees or offlCI~15 who leave offIce or employment prior to the eFfectIve date of the ordInance from the purvIew of such ordInance. Howeve r . a former Clty employee or offiCial who returns to CIty office or employment after the effective date. would be 'Sub)ect to thiS ordinance thereafter. Section 21?6. Disapproval of Transactlqns. ThIS section 1...I0U I d pe rm It the C 1 t~-' to disapprove a contract, approval, permit. or other transaction when vlolatlon(s) of thiS Chapter were related to such contract~ approval, permit, or other transaction. SectIon 21157. Cr:lmlnal and C 1'.)1 I Pen~ it I es . ThiS section prOVides that each Violation of the Revolvln9 Door Ordinance 15 a misdemeanor. AddItionally, the City or any Interested part~ ma~ brIng a CIVIl actIon before any court of comoetent JurIsdIctIon. A CIVIl penaltv of up to $'500 for each VIolation may be Iffioosed by the court. 7 I t . . RECQt1MENDAT i ON IS respectfully recommended that ordInance be Introduced for fIrst readIng. PREPARED BY: the accomoarlY Ing Robert M. Myers, Clty Attorney LInda A. t1oxol'1,. Deputy CIty Attorney 8 . . CA:RMM: Imol)09a Cltv Council M~etlno 12-10-85 J _ Santa Monica: California OPDINANCE NUMBER (City Council Series) AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA MONICA ADDING CH8PTER 1.5 TO ARTICLE II OF THE SANTA MONICA MUNICfPAL CODE CONCERNING DISQUALIFICATION OF FORMER CITY OFFICERS AND EMPLOYEES THE CITY COUNCIL OF THE CITY OF SANTA MONICA DOES ORDAIN AS FOLLOI,JS: SECTION 1. Chapter I.? of Article II of the Santa Monica MunIcIoal Code 15 enacted to read as folIol.oJs: Chapter 1.5. DISOUALIFICATION OF FORMER CITY OFFICERS AND ~MPLOYEES. Section 21:;;0. Name~ Puroose and Scope. ThIS Chapter shall be called the "RevolvIno Door OrdInance." It 15 Intended to lmoose restrIctions on activIties of specIFIed City employees and offiCIals after theIr term of emplo~ment or office has ceased. ThiS ordinance 15 desloned to prohibit Dr lImit the deslonated former CIty employees and offiCIals from representing any party before the City 1 . . CouncIl, or It :5 boards and commISSIons. In any matter I n wh I c h the former Cltv employee or offICIal oartIclpated De rsona 11 y and 5ubstantIallv durIng hIr or her term of emplo~ment or offIce. Fonner CI ty emDlovees , , would be completely barred From such represent03tlon, whe t he r compensated or not. CIt~) offICIal:=:. 1...IOlJ 1 d be prohIbIted from such reprE'SentatIon only I f done for cornpensa t Ion. In addItIon, thIS ordInance would prohibIt the deSIgnated former CIty employees and offICIals from engagIng In anv comoensated 1 obb~) 1 ng or advocacy actIVItIes before the C 1 t).J Co U n C 1 1 " Its boards and commISSIons, or any other CIty offIcer or emoloyee for soecIfIsd tIme perIods follOWIng termInatIon of emoloyment or offIce. Former CIty employees would be subJect to a two (2 ) year restrIctIon and former Cl ty offICials (...IOU Id be restrIcted from such actIVItIes for a perIod af SIX (6) months. 2 . . SectIon 21151. DefInItIons. The followIna word5 and phrases as used In thIS Chapter shail have the follOWIng meanInas: (a) CIt~ AdmInIstratIve Agenc~. The C It Y Co u n C I I . and eve rye I t Y offIce; department dIVISIon. board. and commISSIon. (b) CI tv Emolovee. AIrport DIrecto~: Cultural Arts AdmInIstrator; City Attorney: ASSIstant CI ty Attorney: Deputy CIty Attorney~ CIty Clerk: CIty LIbrarIan: CItV Manager: ASSIstant CIty Manager: Budget DIrector; each SenIor Manaaement Analvst In thp- CIty Manager's OffIce; DIrector of CIVIC AudItorIum: DIrector of CommunIty and EconomIC Development; DIrector of PlannIng; FIr e Ch let : DIrector of of of FInance; DIrector General SerVIces~ DIrector Pe rsonne 1 : Ch I e f 0 f PolIce: DIrector of Parks and RecreatIon: InformatIon Systems DIrector DIrector of TransportatIon; PurchasIng Aaent Cl t Y EngIneer; and CIty Treasurer. 3 . . ( C; ) the CIty OffIcIal. Each member of CI t Y and Coune 11 . Plannln9 CommISSIon: ArchItectural ReVIew Board. (d) JudICIal, Qu a 5 1 - 1 U d 1 CIa I . Any proceedIng, or other ProceedIng. aop llcat Ion, request for ru 11 ng or other determInatIon. contract. claIm, arrest, charge, other controversy; aCCUs.atIon, InvestIgatIon; or partIcular matter InvolVIng a speCIfIC partv Santa or partIes I~ whIch the CIty of MonIca 15 8 partv or has. a dIrect and substantial Interest. (e) PartIcIoated. To have and taken pa r-t person1311y substantIally through deCISIon. app rova 1, dIsapproval. formal wrItten recommendatIon, renderIng adVIce on a substantIal baSIS, InvestIgatIon, or otherWIse durIng the CIty offIcIal's or erne I o~)ee ' 5 term r:lf offIce or e-mployment abstentIon H CI ty offIcIal's from 'v'o tIn g on a matter shall not constItute partICIpatIon he-reunde r. 4 . . SectIon 21?L. RestrIctIons on ActIvItIes of Former CIty Employees. (~d No fo rm/? I" CI t Y emp 1 ayee , after hIS or her employment has cl9'3sed. shall, whether compensated or not, act as agent) reoresentatIve. or attorney for, or otherWIse represent dny other person (except the Cl ty of Santa MonIca) before any C 1 tv admInistrative agency, or offIcers or emplouees thereof by makIng any formal or Informal aopearance, or b:.J mak Ing eny I.<.IIth oral or IAlr"ltten communIcatIon, the lntent WIt h to Influence, In connectIon any ludICIal, quaSI-JudICIal or other proceedIng If: ( 1 ) The City of Santa MonIca 15 a carty or has a dIrect and substant Ial Interest: and (2) The proceedIng 15 one In bJh 1 ch the former CI ty employee partIclpated. (b) No for me r City employee, after hIS or her employment has ceased.. shall, whether compensated or not, SId, adVIse} counsel. consult or aSSIst In representIng an...) other 7 . . person (except the C1h) of Santa Mon1ca) 1n any proceedIng 1n whIch the employee would be prohIb1ted from appear1n9 under subsect10n (a) of thIS SectIon 21i?2. (c ) Ho former C1 ty emp loyee, w1thIn two (2) vears after hIS or her emplo~ment has ceased, shall for compens<:ttlon reoresentat1ve, act as agent} for, or Or attorney otherW1se represent: any other person (except the C1t'-J of Santa Man 1 ca ) before any Clty admlnIstratIve agency, or off1cers and employees thereof by makIng an~) formal or lnformal appearance or bv maklng any ora 1 or wrItten communIcatIon, w1th the 1ntent to Influence} In connect1on wlth ~ny Judlclal, quasl-Jud1C1al, or other proceedIng 1f the C1ty of Santa MonIca 15 a party or has a dIrect and substantIal Interest. Sect10n 2153. Restr1ctlons on ActIvItles of Former Clt'-J OffICIals. after ( a ) h1S No for me r Clty offlclal or her term of off1ce has 6 . . ceased. shall for compensatIon. act as agent. representatIve, or attorney for, or otherWIse represent, anv other pel"'son (except the CIty of Santa MonIca) before any CIty admlnlstratlve agency, thereof Informal or offIcers or Brnployees by makIng any formal or appearance, or by making any oral or wrItten communIcatIon WIth the Intent to Influence, In connection WI t h any JUdICIal, quaSI-JudICIal, Dr other oroceedlng If: (1) The Clty of Santa r10n I ca IS a party or has a dIrect and substantIal Interest; and (2) The proceeding IS one In ""lh Ich the former Cdy offICIal oartlcIpated. (b ) No for me r CIty offICIal, after hIS or her term of office has ceased. shall. for compensation; ald. adVIse. counsel, consult, or aSSIst In representIng any other person (except the CIty of Santa M0l'"1IC8J 11'"1 any proceedIng In whIch the offICIal would be prohIbIted from appearIng under subsection (a) of thIS SectIon 2153. 7 . . ( c ) No former City off IClal: WithIn SIX (6 ) months after his or her term of office has ceased, sha II for compensatIon, agen t . for. or act as representatIve. Or attorney otherWise represent, any other person (except Santa Mo n I c a ) the City of before any CIty admInIstratIve agency, or offIcers and employees thereof, by makIng or I n for ma I formal an\) aopearance by mal-<Ing any oral or or wrItten communIcation. With the Intent to Influence. In connectIon ~Ith any ludICIal: qua~d- 'udlclal, or other proceedIng If the CIty of Santa MonIca 15 a part~-, has dIrect and or a substantIal Interest. Section 21f?4 ExemDtIons. The orohIbItlons contaIned In Se C t Ion 5 2152 and 2153 shall not apply: ( a) To appearances or communIcations by former C I t Y employees offiCIals concerning or mat ters a personal or Ind IVldua 1 ot nature. c;;uch as obtaining a bUSIness license. 8 . . (b! To prevent a farmer CIty emp i ayes: provIdIng or offICial from making or a statement based uoon the former City employee's or official's own special knowledge In the partIcular area that IS the subject of the statement, prOVided that no compensatIon 15 thereby received other than that regularl~ prOVided fa I' by law or regulation for WItnesses. (e) To prevent a former City f I' C m 9 1 ~) I n 9 emp loyee t est I mo n ~} or offiCIal under oath, or from makIng statements reaUlrerl to be made under oenalty of perjury. ( d ) To prevent forme r deputy C 1 t~) at torne~)s In tt,e crIminal or CIVil diVISIons of the CIty Attorney's offIce or Cltv offiCIals who are attorneys from reoresentatlves of serVIng as defendants In crimInal proceedings} where for whIch the offense(s) such representatIon 15 made occurt'ed at least three (3- ) months follOWing termination of the former deouty city attorney's employment or eXpIration of 9 . . the former CItv offIcIal's term 0 f offIce wIth the CIty. SectIon RequIrements. 211515. AD P 1 I cat Ion of The re~uIrements Imposed by thIS Chapter sha 11 not apply to any person whose emoloyment or term of offIce terminates prIor to the effectIve date of th15 Chapter except that anv such person IAlha the C I tv DO or after or offIce 1..,IJth the effE'ctI~'e returns to employment date of th15 ordInance 5ha II thereafter be covered therebv. SectIon TransactIons. 2156. If OIsdooroval of a for me r CIt~) emp loyee or offICIal VIolates an ~) provIsIon of thIS Chapter. such VIolatIon nr VIolatIons sha II be adequate grounds for the CI ty to dIsapprove any contract, app rova I , permIt, or other transactIon whIch was related to any such VIolatIon. '3e c t Ion 2157. CrImInal and CIVIl PenaltIes. Each VIolatIon of 10 . . the prOVISIons of thIS Chapter shall constItute a mIsdemeanor. A CIVIl actIon mav also be brought by the CIty or any Interested party before JurtSdIctIon. any court of competent In addItIon to all other remedIes authorIzed by law, the court may Iffioose a CIVIl penalty of up to $500 for each ~nolat Ion of thIS Ch apt e r . SECTION 2. Any provIsIon of the Santa MonIca MunIcIpal Code or appendIces thereto inconsIstent wIth the prOVISions of thIS ordInance. to the extent of such InconsIstencIes and no further. are hereby necessary to affect the reoealed or modIfIed to that extent pr-ov15lons of thIS ordInance. SECTION 3. I f any sectIon, 'SubsectIon, sentence} clause, or phrase of thIS ordlna~ce IS for a~y reason held to be Inval'd or unconstItutIonal by a declson of any court of any competent JurIsdIctIon, such decIsIon shall not affect the valldltv of the remaInIng oortlons of the ordInance. The CIty Counc I 1 hereby declares that I t would h a ~}e passed thIS ordInance and each and everv 5ectJOn~ subsectIon] sentence~ clause or phrase not declared InvalId or unconstItutional wlthOIJt regard to whether anv Dortlon of the ordInance would be 5ub5equentl~ declar-ed InvalId or unconstltutlon8l. 11 . . SECTION 4. The Ma~}o r 5ha 11 5Ign and the [I ty Clerk shall attest to the passcH2e of thIS OrdIn'3nce. The [1 t Y C 1 e rk shall C'3use the same to be publIshed once In the offICIal newspaper WIthIn 15 days after Its adoptIon. The ordInance shall become effectIve 30 days after the date of Its '3doptlon. APPROVED AS TO FORM: ~~.~ ROBERT M. M'r'ERS 0 CIty Attorne~) 1<") _L.