SR-8-A (83)
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CA:JL:moxstaff/pc/ct
city council Meeting 2-16-93
Santa Monica,
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STAFF REPORT
TO:
Mayor and city Council
FROM:
City Attorney
Ordinance for Introduction and First Reading
Amending Chapter 2.08 of Article 2 of the
Santa Monica Municipal Code Relating to
Disqualification of Former city Officials and
Employees
SUBJECT:
Introduction
In July 1992, following public discussion on ethics reform
proposals, the city Council directed staff to draft an ordinance
which would broaden the restrictions and prohibitions as to
representation and lobbying activities of certain City employees
and officials following termination of their employment or
holding of public office. Such restrictions and prohibitions are
set forth in Chapter 2.08 of Article 2 of the Santa Monica
Municipal Code, commonly known as the "Revolving Door Ordinance."
The Council's request included an extension of the time
period during which city officials are prohibited from certain
employment activities.
Additionally, a new prohibition was
requested which would impose a time bar on acceptance of
employment with organizations which either receive more than 50%
of their funding from the City or have 50% or more of their board
members, officers or directors appointed by or through action of
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Yll
FES 16 1993
the city Council.
This report transmits the attached ordinance amending
Chapter 2.08 of Article 2 of the Santa Monica Municipal Code for
introduction and first reading.
History
In 1985, Chapter L 5 entitled IIDisqualification of Former
City Officers and Employees" was added by ordinance to the Santa
Monica Municipal Code. Such Chapter (re-numbered Chapter 2.08 of
Article 2) is named the "Revolving Door Ordinancetl and is
intended to restrict or prohibit activities of specified City
employees and officials in connection with :
(1) Representation (whether compensated or not) of any
party before the City council, its boards and commissions, or
where applicable, the Rent Control Board, in any matter in which
the former City employee or official participated personally and
substantially during his or her term of employment or office; and
(2) Compensated lobbying or advocacy activities before
specified bodies and for specified time periods following
termination of employment or office.
Discussion
The attached ordinance amends various sections of the
Revol ving Door Ordinance to provide stronger restrictions and
impose longer time periods on the applicability of such
restrictions. It also expands the reach of the ordinance to
prohibit former City officials from accepting employment or
acting as a director or officer of any organization or entity
which receives fifty percent (50%) or more of its funding from
the city or has fifty percent (50%) or more of its board members,
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officers or directors appointed through action of the City
Council.
Proposed revisions
are
underlined
in
the
attached
ordinance. The most significant revision is the amendment of the
applicable
restriction
periods
prohibiting
the
described
activities by former City officials.
Such periods would be
increased from six (6) months to two (2) years for former City
officials. Former City employees were already subject to a two
(2) year restriction period, and will continue to be so.
The other significant revision is the addition of
subsection (d) to Section 2.08.040 to prohibit former City
officials from accepting positions of employment or management,
or acting as a director of officer of any organization or entity
which either (1) receives more than fifty percent (50%) of its
funding from the city or (2) has fifty percent (50%) or more of
its board members, officers, or directors appointed through
action of the City Council.
BUdget/Financial Impact
No financial or budgetary action is required.
RECOMMENDATION
It is respectfully recommended that the accompanying
ordinance be introduced for first reading.
PREPARED BY: Joseph Lawrence, Acting city Attorney
Linda A. Moxon, Deputy City Attorney
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CA:JL:moxord/hpca1/pc
city council Meeting 2-16-93
Santa Monica, California
ORDINANCE NUMBER
(City Council Series)
AN ORDINANCE OF THE CITY COUNCIL OF THE
CITY OF SANTA MONICA AMENDING CHAPTER 2.08 OF ARTICLE 2
OF THE SANTA MONICA MUNICIPAL
CODE RELATING TO DISQUALIFICATION OF FORMER CITY
OFFICIALS AND EMPLOYEES
THE CITY COUNCIL OF THE CITY OF SANTA MONICA DOES ORDAIN AS
FOLLOWS:
SECTION 1. Chapter 2.08 of Article ~ of the Santa Monica
Municipal Code is amended to read as follows:
CHAPTER 2.08 - DISQUALIFICATION OF
FORMER CITY OFFICIALS AND EMPLOYEES
SECTION 2.08.010.
Name, Purpose
and scope.
This Chapter shall be called the
"Revolving
Door
Ordinance."
It
is
intended
to
impose
restrictions
on
activities of specified City employees
and officials after their term of
employment or office has ceased.
This
ordinance is designed to prohibit or
limit
the
designated
former
city
employees or officials from representing
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any party or engaging in lobbying
activities on behalf of any party before
the city council, its boards and
commissions, or where applicable, the
Rent Control Board, in any matter in
which the former City employee or
official participated personally and
substantially during his or her term of
employment or office. Certain former
City employees and designated City
officials would be barred from such
representation or lobbying activities
whether compensated or not, for a period
of two (2) years following termination of
employment or office.
In addition, this ordinance would
prohibit the designated former City
employees and officials from engaging in
any compensated lobbying or advocacy
activities before specified bodies for a
period of two (2) years following
termination of employment or office.
Finally, this ordinance would also
prohibit or restrict specified City
officials from accepting employment with
any organization or entity which either
receives more than fifty percent (50%) of
its funding from the City of Santa Monica
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or is governed by a board of directors
fifty percent (50%) or more of whose
members are appointed by action of the
City Council.
SECTION
2.08.020.
Definitions.
The following words and phrases as used
in this Chapter shall have the following
meanings for purposes of this Chapter:
(a) City Administrative Agency.
The city Council, the Rent Control Board,
and every City or Rent Control Board
office, department, division, board and
commission.
(b) City Employee. City Attorney;
Assistant City Attorney; Deputy City
Attorney; city Clerk; Assistant City
Clerk; city Engineer; City Librarian;
City Manager; Assistant City Manager;
City Treasurer; Budget Coordinator; each
Senior Management Analyst in the City
Manager's off ice; Director of Civic
Auditorium; Director of Cultural &
Recreation Services; Cultural Arts
Administrator; Director of Finance;
Director of General Services; Director of
Land Use and Transportation Management;
Director of Personnel; Director of
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Resource Management; Director of
Transportation; Fire Chief; Chief of
Police; Information Systems Director;
purchasing Agent; and the Administrator,
Information Systems Manager, Hearings
Department Manager, General Counsel and
Staff Attorneys of the Rent Control
Board.
Any change~ in titles of the
designated employee positions subject to
this Chapter shall automatically be
incorporated herein.
(c) City Official. Each member of
the City Council, Planning Commission,
Architectural Review Board, and the Rent
Control Board.
(d) Judicial, Quasi-Judicial, or
other proceeding.
(1) For former employees and
officials of the City of Santa Monica,
except the Rent Control Board, any
proceeding, application, request for
ruling or other determination, contract,
claim, controversy, investigation,
charge, accusation, arrest, or other
particular matter involving a specific
party or parties in which the City of
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Santa Monica is a party or has a direct
and substantial interest.
(2) For former employees and
officials of the Rent Control Board only,
any proceeding, application, request for
ruling, or other determination, contract,
claim, controversy, investigation,
charge, accusation, arrest, or other
particular matter involving a specific
party or parties in which the Rent
Control Board is a party or has a direct
and substantial interest.
(e) Participated. To have taken
part personally and substantially through
decision, approval, disapproval, formal
written recommendation, rendering advice
on a substantial basis, investigation, or
otherwise during the city official's or
employee's term of office or employment.
A City official's recusal from voting on
a matter on the basis of a conflict of
interest shall not constitute
participation hereunder.
SECTION 2.08.030. Restrictions on
Activities of Former City Employees.
(a) No former City employee,
within two (2) years after his or her
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employment has ceased, shall, whether
compensated or not, act as agent,
representative, or attorney for or
otherwise represent any other person
(except the City of Santa Monica or the
Rent Control Board) before any City
Administrative Agency, or officers or
employees thereof by making any formal or
informal appearance, or by making any
oral or written communication, with the
intent to influence, in connection with
any judicial, quasi-judicial, or other
proceeding if:
(1) The City of Santa Monica
or, where applicable, the Rent Control
Board, is a party or has a direct and
substantial interest; and
(2) The proceeding is one in
which the former city employee
participated.
(b) No former City employee,
wi thin two (2) years after his or her
employment has ceased, shall, whether
compensated or not, aid, advise, counsel,
consult, or assist in representing any
other person ( except the City of Santa
Monica or the Rent Control Board) in any
proceeding in which the employee would be
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prohibited from appearing under
subsection (a) of this section 2.08.030.
(c) No former City employee,
within two (2) years after his or her
employment has ceased, shall for
compensation act as an agent,
representative, or attorney for, or
otherwise represent, any other person
(except the City of Santa Monica or the
Rent Control Board) before any city
Administrative Agency, or officers and
employees thereof, by making any formal
or informal appearance or by making any
oral or written communication, with the
intent to influence, in connection with
any jUdicial, quasi-judicial, or other
proceeding if the city of Santa Monica
or, where applicable, the Rent Control
Board is a party or has a direct and
substantial interest.
SECTION 2.08.040. Restrictions on
Activities of Former City Officials.
(a) No former City official,
wi thin two (2) years after his or her
office holding has ceased, shall for
compensation, act as agent, representa-
ti ve, or attorney for or otherwise
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represent any other person (except the
City of Santa Monica or the Rent Control
Board) before any City Administrative
Agency, or officers, or employees, or
where applicable, the Rent Control Board,
departments, officers or employees, by
making any formal or informal appearance,
or by making any oral or written
communication, with the intent to
influence, in connection with any
judicial, quasi-judicial, or other
proceeding if:
(1) The City of Santa Monica
or, where applicable, the Rent Control
Board, is a party or has a direct and
substantial interest; and
(2) The proceeding is one in
former City official
which the
participated.
(b) No
former City official,
years after his or her
has ceased, shall, for
within two (2)
office holding
compensation, aid, advise, counsel,
consult, or assist in representing any
other person (except the City of Santa
Monica or the Rent Control Board) in any
proceeding in which the official would be
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prohibited from appearing under
subsection (a) of this section 2.08.040.
(c) No former City official,
wi thin two (2) years after his or her
office holding has ceased, shall for
compensation act as an agent,
representative, or attorney for, or
otherwise represent, any other person
(except the City of Santa Monica or the
Rent Control Board) before the body on
which such official served by making any
formal or informal appearance or by
making any oral or written communication,
with the intent to influence such body.
(~) No former city official,
wi thin two (2) years after his or her
office holding has ceased, shall accept
any position of employment or management,
or act as a director or off icer of any
organization or entity which:
(1) Receives more than fifty
percent (50%) of its funding from the
ci ty of Santa Monica, as determined by
the City; or
(2) Has 50% or more of its
board members, officers or directors
appointed by the City Council.
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SECTION 2.08.050. Exemptions.
The prohibitions contained in
Sections 2.08.030 and 2.08.040 shall not
apply to:
(a) To appearances or
communications by former City employees
or officials concerning matters of a
personal or individual nature, such as
obtaining a business license.
(b) To prevent a former City
employee or official from making or
providing a statement based upon the
former city employee's or official's own
special knowledge in the particular area
that is the subj ect of the statement,
provided that no compensation is thereby
received other than that regularly
provided for by law or regulation for
witnesses.
(c) To prevent a former City
employee or official from giving
testimony under oath, or from making
statements required to be made under
penalty of perjury.
Cd) To prevent former Deputy City
Attorneys in the Criminal or Civil
Divisions of the city Attorney's office,
Staff Attorneys or Hearing Examiners of
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the Rent Control Board, or city officials
who are attorneys, from serving as
representatives of defendants in criminal
proceedings, where the offense(s) for
which such representation is made
occurred at least three (3) months
following termination of the former
employee's employment or expiration of
the former city official's term of office
with the city.
SECTION 2.08.060. Application of
Requirements.
(a) The requirements imposed by
this Chapter shall not apply to any
person whose employment or term of office
terminates prior to the effective date of
this Chapter, except that any such person
who returns to employment or office with
the City on or after the original
effective date of this chapter shall
thereafter be covered thereby.
(b) Nothing in this Chapter is
intended to prevent former employees or
officials of the City of santa Monica
from acting as an agent, representative,
or attorney or from giving aid, advice,
counsel, consultation, or assistance in
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any proceeding before the Rent Control
Board, or any of its departments, if the
former employee was not employed by the
Rent Control Board within two (2) years
of leaving city employment or, if an
official, within six (6) months of
leaving office, and if the former
employee or official did not participate
in the proceeding while employed by the
City of Santa Monica.
(c) Nothing in this Chapter ~s
intended to prevent former employees or
officials of the Rent Control Board from
acting as an agent, representative, or
attorney, or from giving aid, advice,
counsel, consultation, or assistance in
any proceeding before any department,
board, commission, or official body of
the City of Santa Monica, if the former
employee was not employed by the City of
Santa Monica within two (2) years of
leaving Ci ty employment, or, if an
official, within six (6) months of
leaving office, and if the former
employee did not participate in the
proceeding while employed by the Rent
Control Board.
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SECTION 2.08.070.
Transactions.
If a former City employee or
official violates any provision of this
Chapter, such violation or violations
shall be adequate grounds for the City to
disapprove any contract, approval,
permit, funding, appointment, or other
transaction which was related to any such
violation.
Disapproval of
SECTION 2.08.080.
Criminal and
civil Penalties.
Each violation of the provisions of
this Chapter shall constitute a
misdemeanor. A civil action may also be
brought by the ci ty or any interested
party before any court of competent
jurisdiction. In addition to all other
remedies authorized by law, the court may
impose a civil penalty of up to five
hundred dollars ($500.00) for each
violation of this Chapter.
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 repealed or modified to that extent necessary
to affect the provisions of this Ordinance.
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, ~.
SECTION 3.
If any section, subsection, sentence, clause,
or phrase of this Ordinance is for any reason held to be invalid
or unconstitutional by a decision of any court of any competent
jurisdiction, such decision shall not affect the validity of the
remaining portions of this Ordinance.
The city Council hereby
declares that it would have passed this Ordinance, and each and
every section, subsection, sentence, clause, or phrase not
declared invalid or unconstitutional without regard to whether
any portion of the Ordinance would be subsequently declared
invalid or unconstitutional.
SECTION 4. The Mayor shall sign and the City Clerk shall
attest to the passage of this Ordinance. The City Clerk shall
cause the same to be published once in the official newspaper
within 15 days after its adoption. This Ordinance shall become
effective after 30 days from its adoption.
APPROVED AS TO FORM:
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..' JO}rEP(CLAwRENCE
~~ting City Attorney
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