SF City Attorney - Good Government Guide - 2010

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GoodGovernmentGuideAn Overview of the Laws Governing

the Conduct of Public Officials

201011 Edition

Dennis J. HerreraCity Attorney of San Francisco


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SummaryofContents i

SummaryofContents

This Summary of Contents intends to serve as a more general, highlevel reference for the

201011 edition of the Good Government Guide. The following section, Table ofContents, offers more detailed topical references together with page numbers.

SUMMARYOFCONTENTS..................................................................................................................... I

TABLEOFCONTENTS......................................................................................................................... III

INTRODUCTION..................................................................................................................................... 1

201011EDITIONHIGHLIGHTS....................................................................................................... 3

PARTONE:SERVINGONABOARDORCOMMISSION................................................................. 5

I. Creationofboardsandcommissions.........................................................................................................5

II. Becomingacommissioner.........................................................................................................................6

III. Compensationandbenefits.................................................................................................................10

IV. Ethicalobligationsofcommissionersuponappointment......................................................................11

V. Leavingoffice...........................................................................................................................................13

VI. Therolesofcommissions,theirmembers,andtheirstaff.....................................................................15

VII. Operationsofboardsandcommissions................................................................................................23

VIII. Role of the Board of Supervisors: Charter section 2.114, the prohibition against interference in

administration..................................................................................................................................................25

PARTTWO: CONFLICTSOF INTEREST, FINANCIALDISCLOSURE&GOVERNMENTALETHICSLAWS........................................................................................................................................ 31

I. Publicofficeisapublictrust...................................................................................................................31

II. Conflictsofinterestandfinancialdisclosure.............................................................................................32

III. Otherprohibitions...............................................................................................................................50

IV. Restrictionsongifts,honoraria,travel&loans.....................................................................................60

V. Obligationsofcityofficersandemployees................................................................................................70


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VI. Protectionofwhistleblowers...............................................................................................................71

VII. Massmailingsatpublicexpense..........................................................................................................72

VIII. Penaltiesforviolationsofethicslaws...................................................................................................74

PARTTHREE:

PUBLIC

RECORDS

&

MEETINGS

LAWS

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

77

I. Introduction.............................................................................................................................................77

II. Legaloverview.........................................................................................................................................78

III. Recordsretentionanddestructionlaws.............................................................................................103

IV. Publicmeetinglaws...........................................................................................................................107

V. RemediesandpenaltiesforviolationsoftheBrownAct,PublicRecordsAct,andSunshineOrdinance....146

VI.

Othercity

requirements

for

hearings

and

notice

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

149

VII. Theapplicationofopengovernmentlawstoprivateentities.............................................................152

REFERENCES....................................................................................................................................... 159

APPENDIX............................................................................................................................................ 161

I. BoardofSupervisorsresolutiononattendanceformembersofboardsandcommissions.......................161

II. Mayorspolicyoncommissionerattendance..........................................................................................162

III. Mayorspolicyondiscriminatoryorharassingremarksmadeatpublicmeetings................................163

SELF-ASSESSMENTTOOL............................................................................................................... 165

I. Sunshine&ethics201011selfassessmenttool.....................................................................................165

PUBLICRECORDSREQUESTFORM............................................................................................. 177

DONORDISCLOSURE/GIFTACKNOWLEDGMENTFORM..................................................... 179


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TableofContents iii

TableofContents

This Table of Contents intends to serve as more detailed, granular reference for the

201011 edition of the Good Government Guide. The previous section, Summary ofContents, offers more general topic areas together with page numbers.

SUMMARYOFCONTENTS..................................................................................................................... I

TABLEOFCONTENTS......................................................................................................................... III

INTRODUCTION..................................................................................................................................... 1

201011EDITIONHIGHLIGHTS....................................................................................................... 3

PARTONE:SERVINGONABOARDORCOMMISSION................................................................. 5

I. Creationofboardsandcommissions.........................................................................................................5

II. Becomingacommissioner.........................................................................................................................6

A. Theappointmentprocess................................................................................................................................6

B. Residencyandotherrequirements.................................................................................................................8

C. Oathofoffice...................................................................................................................................................9

D. Termandtenure.............................................................................................................................................9

III. Compensationandbenefits.................................................................................................................10

A. Compensation...............................................................................................................................................10

B. Reimbursementofexpenses.........................................................................................................................10

C. Healthservicesbenefits................................................................................................................................10

IV. Ethicalobligationsofcommissionersuponappointment......................................................................11

A. Commissionersareofficersofthecity..........................................................................................................11

B. Attendance....................................................................................................................................................11

C. Conductofcommissioners............................................................................................................................12

D. Rolesofcommissioners.................................................................................................................................12

E. Financialdisclosureform...............................................................................................................................12

F. AnnualSunshineandethicstraining.............................................................................................................13

G. Competitivebiddinglaws..............................................................................................................................13

V. Leavingoffice...........................................................................................................................................13


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A. Removal.........................................................................................................................................................13

B. Recall.............................................................................................................................................................14

C. Resignation....................................................................................................................................................14

D. Resignationbyoperationoflaw....................................................................................................................15

E.

Postseparation

processes

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

15

VI. Therolesofcommissions,theirmembers,andtheirstaff.....................................................................15

A. Powers,duties,andrestrictionsrelatingtocommissions.............................................................................15

1. Powersandduties....................................................................................................................................15

2. Restrictionsoncommissions....................................................................................................................17

B. Theroleofandrestrictionsonindividualcommissioners............................................................................17

C. Theroleofcommissionofficers....................................................................................................................18

D. Theroleofadepartmenthead.....................................................................................................................18

E.

Therole

of

commission

secretary

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

19

F. TheroleoftheCityAttorney.........................................................................................................................19

1. TheCityistheclientoftheCityAttorneysOffice....................................................................................20

2. Attorneyclientprivilege...........................................................................................................................21

3. Dueprocessscreens.................................................................................................................................22

4. TheCityAttorneysroleinprovidingethicsandopengovernmentadvice.............................................22

VII. Operationsofboardsandcommissions................................................................................................23

A. Governinglaw...............................................................................................................................................23

B.

Rules

and

regulations

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

23

C. Quorum.........................................................................................................................................................24

D. Voting............................................................................................................................................................24

E. Electionofofficers.........................................................................................................................................25

VIII. Role of the Board of Supervisors: Charter section 2.114, the prohibition against interference in

administration..................................................................................................................................................25

A. Communicationsbetweentheboardofsupervisorsandadepartment......................................................26

1. Generalrule..............................................................................................................................................26

2. Exception:exercisingthepowerofinquiry..............................................................................................26

B. Noninterferencewithadministrativematters.............................................................................................27

1. Generalrule..............................................................................................................................................27

2. Exceptions.................................................................................................................................................27

a. Resolutions..........................................................................................................................................27

b. AdoptingtheCitysbudget..................................................................................................................28

c. Testifyingatpublicmeetings...............................................................................................................28


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TableofContents v

d. Adoptinglegislation.............................................................................................................................28

PARTTWO: CONFLICTSOF INTEREST, FINANCIALDISCLOSURE&GOVERNMENTALETHICSLAWS........................................................................................................................................ 31

I.

Public

office

is

a

public

trust

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

31

A. TheSanFranciscoEthicsCommission...........................................................................................................31

II. Conflictsofinterestandfinancialdisclosure.............................................................................................32

A. Conflictsofinterest:thePoliticalReformAct...............................................................................................32

1. Istheindividualapublicofficial?.............................................................................................................33

2. Isagovernmentdecisioninvolved?.........................................................................................................33

3. Isaneconomicinterestinvolved?............................................................................................................34

4. Doesthedecisiondirectlyorindirectlyinvolvethepublicofficialseconomicinterest?.........................35

5. Whatmaterialitystandardapplies?.........................................................................................................36

a. Decisionsinvolvinganeconomicinterestinabusinessentity............................................................36

i. Directlyinvolved.............................................................................................................................36

ii. Indirectlyinvolved...........................................................................................................................36

b. Decisionsinvolvinganeconomicinterestinrealproperty..................................................................37


ii. Indirectlyinvolved...........................................................................................................................38

c. Decisionsinvolvingthosewhoaresourcesofincomeorgifts............................................................38


ii.

Indirectlyinvolved...........................................................................................................................38

d. Decisionsinvolvingpersonalfinancialeffect.......................................................................................40

6. Isitreasonablyforeseeablethatthedecisionwillhaveamaterialfinancialeffect?...............................40

7. Istheeffectofthedecisionontheofficialseconomic interestdistinguishablefromtheeffectonthe

publicgenerally?................................................................................................................................................41

8. Isthepublicofficialsparticipationlegallyrequired?...............................................................................41

B. FinancialdisclosureundertheCaliforniaPoliticalReformAct......................................................................41

1. WhoisrequiredtofileStatementsofEconomicInterests?.....................................................................41

2. Whatmustbedisclosedonstatementsofeconomicinterests?..............................................................42

3. Whenmuststatementsofeconomicinterestsbefiled?..........................................................................42

4. Wherearestatementsofeconomicinterestsfiled?................................................................................43

5. WhataretheconsequencesofnotfilingtheStatementofEconomicInterestsornotdisclosingrequired

information?......................................................................................................................................................43

6. MayIamendmyStatementofEconomicInterests?...............................................................................43

7. WhohasaccesstoStatementsofEconomicInterests?...........................................................................43


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8. SunshineaffidavitrequiredforofficialswhofileSEIswiththeEthicsCommission.................................43

C. Conflicts of interest under the Political Reform Act based on solicitation and receipt of campaign

contributionsbydepartmentheadsandmembersofappointedboardsandcommissions..................................44

1. WhoIscovered?.......................................................................................................................................44

2. Whatdoessection84308prohibit?.........................................................................................................44

a. Banonsolicitingcontributionsgreaterthan$250..............................................................................44

b. Disqualification....................................................................................................................................45

3. Whatisaproceeding?..............................................................................................................................45

4. Whenisaproceedingpendingbeforeanagency?..................................................................................45

5. Whoisaparty,participantoragent?.......................................................................................................46

D. ConflictsofinterestunderGovernmentCodesection1090.........................................................................46

1. WhoissubjecttoGovernmentCodesection1090?................................................................................46

2. Whatisafinancialinterest?.....................................................................................................................46

3.

Whatconstitutes

making

acontract?

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

47

4. Remoteinterests......................................................................................................................................47

5. Noninterests.............................................................................................................................................47

E. Conflictsofinterestunderthecommonlaw.................................................................................................47

F. ConflictsofinterestundertheCampaignandGovernmentalConductCode...............................................48

1. Incorporationofstatelaw........................................................................................................................48

2. Appointmentsandnominations...............................................................................................................48

3. Prohibitiononvotingonowncharacterorconduct................................................................................48

4.

Decisions

involving

family

members

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

48

5. Disclosureofpersonal,professionalandbusinessrelationships.............................................................49

6. Receiptofbenefitsforreferralsandcoercionincontracting...................................................................50

III. Otherprohibitions...............................................................................................................................50

A. Prohibition on representing private parties before other city officers and employees: compensated

advocacy.................................................................................................................................................................50

B. Restrictionsonfutureemployment..............................................................................................................51

1. Allofficersandemployees.......................................................................................................................51

a. Permanentban....................................................................................................................................52

b. Oneyearban........................................................................................................................................52

c. Waiver..................................................................................................................................................52

d. Futureemployment.............................................................................................................................53

i. Oneyearbanonemploymentwithcertaincitycontractors..........................................................53

ii. Makingdecisionsaffectingapersonwithwhomyouarenegotiatingfutureemployment...........53

2. FuturecityemploymentforformerMayorsandmembersoftheBoardofSupervisors.........................53


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TableofContents vii

C. Prohibitiononincompatibleactivities..........................................................................................................54

1. Statementsofincompatibleactivities......................................................................................................54

2. CommonprovisionsofSIAs......................................................................................................................54

3. Noticetoofficersandemployees.............................................................................................................55

4.

Advancewritten

determinations

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

55

5. Amendmentofincompatibleactivitiesstatement...................................................................................56

D. Holdingmorethanoneoffice.......................................................................................................................56

1. Dualofficeholdingforcompensation......................................................................................................56

2. Incompatibleoffices.................................................................................................................................56

E. Prohibitiononcontractingwiththecity.......................................................................................................56

F. Prohibitionondisclosingorusingconfidentialinformation.........................................................................57

G. Restrictionsonuseofcityresourcesandpoliticalactivity............................................................................57

1. Useofcityresources................................................................................................................................57

2. Restrictionsonpoliticalactivity................................................................................................................57

H. Contractorcontributionban.........................................................................................................................58

1. Banoncontributionsfromcontractorstoelectedofficialsorcandidates...............................................58

2. Banonsolicitationandreceiptofcontributionsfromcontractors..........................................................59

IV. Restrictionsongifts,honoraria,travel&loans.....................................................................................60

A. Giftstoindividuals.........................................................................................................................................60

1. General.....................................................................................................................................................60

a. GiftlimitsundertheCaliforniaPoliticalReformAct............................................................................60

b. Whatisagift?......................................................................................................................................61

c. Exceptions............................................................................................................................................61

d. Giftsthatarereportablebutnotsubjecttothegiftlimit....................................................................63

e. Disqualification....................................................................................................................................63

2. Localgiftrestrictions................................................................................................................................63

a. Prohibitionofbribery..........................................................................................................................63

b. Limitsongiftsfromarestrictedsource...............................................................................................63

c. Giftsfromsubordinates.......................................................................................................................64

d.

Giftsfrom

lobbyists

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

64

e. Giftsforreferrals.................................................................................................................................64

3. Honoraria..................................................................................................................................................64

a. Generallyprohibited............................................................................................................................64

b. Exceptions............................................................................................................................................65

4. Travel........................................................................................................................................................65


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viii GoodGovernmentGuide:201011Edition

a. ThePoliticalReformAct......................................................................................................................65

b. Constitutionalprohibitionontraveldiscountsforofficers..................................................................66

5. Loans.........................................................................................................................................................66

a. Limitsonloansfromagencyofficials,consultantsandcontractors....................................................66

b.

Restrictionon

loan

terms

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

66

i. Exceptions.......................................................................................................................................67

c. Loansasgifts........................................................................................................................................67

i. Loanwithdefinedrepaymentdate.................................................................................................67

ii. Loanwithoutadefinedrepaymentdate........................................................................................67

iii. Exceptions.......................................................................................................................................67

B. Giftstothecity..............................................................................................................................................68

1. Departmentsmayacceptgiftsofupto$10,000......................................................................................68

2. Giftsover$100mustbereported............................................................................................................68

3. Statelawregulationsongiftstogovernmentagencies...........................................................................68

C. Giftsdistributedbythecity...........................................................................................................................69

1. Giftsofticketsandpasses........................................................................................................................69

a. Ceremonialfunction............................................................................................................................69

b. Ticketsorpassestreatedasincome....................................................................................................69

c. Distributionofticketsorpassesforapublicpurpose.........................................................................69

2. Raffles.......................................................................................................................................................70

V. Obligationsofcityofficersandemployees................................................................................................70

A. Cooperatingandassistinginenforcementinvestigations............................................................................71

B. Prohibitiononfilingfalsecharges.................................................................................................................71

C. Prohibitiononaidingandabetting................................................................................................................71

VI. Protectionofwhistleblowers...............................................................................................................71

A. Allpersonsmayfileacomplaint...................................................................................................................71

B. Cityofficersandemployeesprotectedagainstretaliation...........................................................................72

VII. Massmailingsatpublicexpense..........................................................................................................72

A. Whatmassmailingsareprohibited?.............................................................................................................72

1. Transmission.............................................................................................................................................72

2. Referencetoelectedofficer.....................................................................................................................73

3. Paidforwithpublicfunds.........................................................................................................................73

4. Morethan200piecessent.......................................................................................................................73

VIII. Penaltiesforviolationsofethicslaws...................................................................................................74


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TableofContents ix

A. ThePoliticalReformAct................................................................................................................................74

B. GovernmentCodesection1090....................................................................................................................75

C. SanFranciscoethicslaws..............................................................................................................................75

PARTTHREE:PUBLICRECORDS&MEETINGSLAWS.............................................................. 77

I. Introduction.............................................................................................................................................77

II. Legaloverview.........................................................................................................................................78

A. Opengovernmentlawsatthestateandlocallevels....................................................................................79

B. Proposition59...............................................................................................................................................79

C. Underlyingprinciplesofopengovernmentlaws..........................................................................................80

D. Definitionofapublicrecord..........................................................................................................................80

E. Thepublicrecordsrequest............................................................................................................................81

1.

Formof

request

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

81

2. Contentofrequest...................................................................................................................................81

3. Typesofaccesstorecords........................................................................................................................82

F. Respondingtoapublicrecordsrequest........................................................................................................82

1. Providingassistancetorequesters...........................................................................................................82

2. Providingadescriptionofrecords............................................................................................................83

3. Timelyresponse........................................................................................................................................83

a. Standardrequests:10calendardays...................................................................................................83

b. Immediatedisclosurerequests: nextbusinessday............................................................................84

c. Descriptionrequests: 7calendardays................................................................................................85

d. Calculatingtime...................................................................................................................................85

e. Dutytoproducerecordsincrementally...............................................................................................85

f. Theruleofreason................................................................................................................................85

4. Properresponse.......................................................................................................................................86

a. Thedutytorespond............................................................................................................................86

b. Typesofresponses..............................................................................................................................86

c. Noprivilegelogrequired.....................................................................................................................86

d.

Informationin

electronic

form

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

87

i. PortableDocumentFormat,orPDF................................................................................................87

ii. Metadata.........................................................................................................................................87

iii. Feeforduplicatingelectronicrecords............................................................................................88

iv. Backupfiles....................................................................................................................................89

v. Informationonpersonalcommunications devices.........................................................................89


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5. Fees...........................................................................................................................................................89

a. Nofeesforrecordssearch...................................................................................................................89

b. Nofeesforredactingexemptinformation..........................................................................................90

c. Nofeesforinspectingrecords.............................................................................................................90

d.

Feesfor

copies

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

90

e. Feesforotherservices.........................................................................................................................90

G. Exemptionsfromdisclosure..........................................................................................................................90

1. Exemptionunderstateorfederallaw......................................................................................................91

2. Privacy......................................................................................................................................................92

a. Privacyinterestsofcityemployeesandofficials.................................................................................92

b. Privacyinterestsofmembersofthepublic.........................................................................................93

3. Pendinglitigation......................................................................................................................................94

4. Attorneyclientcommunication...............................................................................................................94

5. Attorneyworkproduct.............................................................................................................................95

6. Informants,complainants,andwhistleblowers.......................................................................................95

7. Tradesecrets............................................................................................................................................96

8. Investigativeandsecurityrecords............................................................................................................96

9. Otherexemptions.....................................................................................................................................96

H. Contractsandrelatedrecords.......................................................................................................................97

1. Generalrules............................................................................................................................................97

a. Mandatorypostawarddisclosure.......................................................................................................97

b.

Noticeof

disclosure

requirements

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

97

c. Financialdata.......................................................................................................................................97

d. Recordsrelatingtonegotiationstrategy.............................................................................................98

e. Scoresheetsandotherevaluationmaterialsforproposals................................................................98

f. Draftcontracts.....................................................................................................................................98

g. Otherexemptions................................................................................................................................98

2. Solesourceservicecontracts,certainleasesandpermits,andfranchiseagreements...........................99

I. EnhancedaccesstopublicrecordsundertheSunshineOrdinance..............................................................99

1.

General

balancing

prohibited

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

99

2. Deliberativeprocessprivilegeunavailable...............................................................................................99

3. Budgetandfinancialrecordsarepublic.................................................................................................100

4. Confidentiallitigationsettlementprovisionsareprohibited.................................................................100

J. Additionalpublicinformationrequirements...............................................................................................100

1. Oralpublicinformation..........................................................................................................................100


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2. Publicreviewfile.....................................................................................................................................101

3. Annualreports........................................................................................................................................101

4. Annuallistsofsolesourcecontracts......................................................................................................102

5. Departmentheadcalendars...................................................................................................................102

6.

Maintainingawebsite

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

102

III. Recordsretentionanddestructionlaws.............................................................................................103

A. Recordsdefined.........................................................................................................................................103

B. Classificationofrecords..............................................................................................................................104

C. Retentionanddestructionofrecords.........................................................................................................104

1. Therecordsretentionschedule..............................................................................................................104

2. Otherprinciplespertainingtoretentionofrecords...............................................................................105

D. SunshineOrdinanceprovisions...................................................................................................................105

1.

Thegeneral

duty

to

maintain

and

preserve

records

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

105

2. Designationofcertainofficialsrecordsascitypropertythatremainswiththecity.............................106

3. DutytocooperatewithCityAdministratorincompilingcityindex.......................................................106

4. Specificretentionrequirements.............................................................................................................106

IV. Publicmeetinglaws...........................................................................................................................107

A. Entitiessubjecttopublicmeetinglaws.......................................................................................................107

1. Legislativeorpolicybodies.....................................................................................................................107

2. Passivemeetingbodies..........................................................................................................................107

3.

Private

entities

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

108

4. Individuals...............................................................................................................................................108

B. Meetingdefined........................................................................................................................................108

1. Theconceptofameeting.....................................................................................................................108

2. Examplesofmeetings.............................................................................................................................109

a. Retreats..............................................................................................................................................109

b. Sitevisits............................................................................................................................................109

c. Mealgatherings.................................................................................................................................109

3. Nonmeetings.........................................................................................................................................109

a. Individualcontactsbetweenanotherpersonandamajorityofmembers.....................................110

b. Attendanceatsocial,ceremonial,orrecreationalgatherings...........................................................111

c. Attendanceatconferences................................................................................................................111

d. Attendanceatlocalcommunitymeetings.........................................................................................111

e. Attendanceatmeetingsofastandingcommitteeofthepolicybody..............................................111

f. Attendanceatmeetingsofanotherpolicybody...............................................................................111


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4. Unlawfulmeetings..................................................................................................................................112

a. Seriatimmeetings..............................................................................................................................112

b. Premeetingsandpostmeetings...................................................................................................113

C. Time,place,andnoticerequirementsformeetings...................................................................................113

1.

Typesof

meetings

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

113

2. Timeandplaceofmeetings....................................................................................................................113

a. Regularmeetings...............................................................................................................................113

b. Specialmeetings................................................................................................................................114

c. Meetingsheldwithincitylimits.........................................................................................................114

3. Noticeofmeetings: postingagendas....................................................................................................114

a. Regularmeetings...............................................................................................................................114

b. Specialmeetings................................................................................................................................115

c. Meetingsofpolicybodiesthatdonothavearegularmeetingschedule..........................................115

4. Mailingagendastointerestedpersons..................................................................................................115

5. Alternativeformatofagendafordisabledpersons...............................................................................116

6. Cancellationofmeetings........................................................................................................................116

D. Meetingagendas.........................................................................................................................................116

1. Descriptionofagendaitems...................................................................................................................116

2. Materialsaccompanyingagendaitems..................................................................................................117

3. Discussingoractingonitemsnotontheagenda...................................................................................117

4. Mandatorynoticesandinformationonagendas...................................................................................118

a.

Date,time,

and

place

of

meeting

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

119

b. Opportunityforgeneralpubliccomment..........................................................................................119

c. Opportunityforpubliccommentonagendaitems...........................................................................119

d. Sunshinerights...................................................................................................................................119

e. Ringinganduseofcellphones..........................................................................................................120

f. Sensitivitytochemicalbasedproducts.............................................................................................120

g. Disabilityaccommodation.................................................................................................................120

h. Materialsaccompanyingagendaitems.............................................................................................120

i.

Agenda

materials

distributed

less

than

72

hours

before

meeting

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

120

j. Lobbyingactivity................................................................................................................................121

k. Otherinformationpertainingtothemeetingorpolicybody............................................................121

E. Conductofmeetings...................................................................................................................................121

1. Timingandsequencingissues................................................................................................................121

2. Quorumrequirements............................................................................................................................122


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3. Votingrequirements...............................................................................................................................123

4. Meetingsbyteleconference...................................................................................................................123

5. Textmessagingduringmeetings............................................................................................................124

6. Disruptionofmeetings...........................................................................................................................125

7.

Adjourningor

continuing

meetings

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

125

F. Rightsofthepublicatmeetings..................................................................................................................126

1. Therighttoattendmeetings..................................................................................................................126

2. Therighttorecord,film,photograph,andbroadcastmeetings............................................................127

3. Therightofpubliccommentatmeetings..............................................................................................127

a. Typesofpubliccomment...................................................................................................................127

b. Timingofpubliccomment.................................................................................................................127

c. Timelimitsforspeakers.....................................................................................................................128

d. Contentofpubliccomment...............................................................................................................129

e. Proceduresrelatingtopubliccomment............................................................................................129

f. Therighttocommentanonymously.................................................................................................130

g. Respondingtopubliccomment.........................................................................................................130

h. Publiccommentandcommittees......................................................................................................130

i. Publiccommentbymembersofapolicybody..................................................................................131

4. Therighttoobtainmaterialsdistributedtothepolicybodyatorbeforethemeeting.........................131

5. Therightofdisabledpersonstoreasonableaccommodation ...............................................................132

G. Recordsofmeetings....................................................................................................................................133

1.

Audiorecordings.....................................................................................................................................

133

2. Minutes...................................................................................................................................................133

a. Appointiveboards,commissions,andotherunitsofgovernmentintheexecutivebranch.............133

b. Charterboardsandcommissions......................................................................................................133

c. Otherpolicybodies............................................................................................................................135

H. Closedsessions............................................................................................................................................135

1. Generalprinciples...................................................................................................................................135

a. Noticeandagendarequirements......................................................................................................135

b.

Public

comment

requirements

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

136

c. Decidingtogointoclosedsession.....................................................................................................136

d. Attendanceatclosedsessions...........................................................................................................136

e. Confidentialityofclosedsessions......................................................................................................136

f. Reportingonclosedsessions.............................................................................................................137

g. Votingondisclosureofclosedsessiondiscussion.............................................................................137


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xiv GoodGovernmentGuide:201011Edition

h. Taperecordingsofclosedsessions....................................................................................................138

i. Minutesofclosedsessions................................................................................................................138

2. Commontypesofclosedsessions..........................................................................................................138

a. Thepersonnelexception...................................................................................................................138

b.

Thepending

litigation

exception

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

140

c. Therealestatenegotiationsexception.............................................................................................142

d. Thelabornegotiationsexception......................................................................................................143

e. Thesecurityexception.......................................................................................................................143

f. Miscellaneousexceptions..................................................................................................................144

I. Passivemeetingbodies...............................................................................................................................144

1. Typesofpassivemeetingbodies............................................................................................................144

2. Rulesforpassivemeetingbodygatherings............................................................................................145

V.

Remediesand

penalties

for

violations

of

the

Brown

Act,

Public

Records

Act,

and

Sunshine

Ordinance

....

146

A. ViolationsoftheBrownAct........................................................................................................................146

1. Criminalpenaltyforwillfulviolations.....................................................................................................146

2. Invalidationofcertainactions................................................................................................................146

3. Injunctiveanddeclaratoryrelief............................................................................................................147

4. Sanctionsfordisclosingconfidentialclosedsessioninformation..........................................................147

B. Violationsofthepublicrecordsact.............................................................................................................147

C. RemediesandpenaltiesundertheSunshineOrdinance............................................................................148

1. Willfulviolationisofficialmisconduct....................................................................................................148

2. Administrativeappealofpublicrecordsdenials....................................................................................148

3. Administrativeappealofopenmeetingviolations................................................................................148

4. Courtenforcementoftheordinance.....................................................................................................148

VI. Othercityrequirementsforhearingsandnotice................................................................................149

A. Chartersection16.112:requirednoticeandhearingsforcertaincityactions...........................................149

B. TheCitizensRightToKnowActof1998:preapprovalnoticeforcertaincityprojects............................150

1. Scopeofordinance.................................................................................................................................150

2. Timingofrequirednotice.......................................................................................................................151

3. Natureofrequirednotice.......................................................................................................................151

C. SunshineOrdinance:noticetoresidentsofcityactivitiesaffectingtheirpropertyorneighborhood........151

VII. Theapplicationofopengovernmentlawstoprivateentities.............................................................152

A. Disclosureofcitysreceiptofoutsidefunding............................................................................................152

1. Triggeringthedisclosurerequirements..................................................................................................152


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TableofContents xv

2. Thedisclosurerequirements..................................................................................................................153

B. Disclosureoftransactionalrecordsofentitiesthatcollectfeesforcityfunctions.....................................153

C. Disclosureoffinancialrecordsofentitiesreceivingcitysubsidies.............................................................154

D. Accesstomeetingsandrecordsofnonprofitentitiesreceivingcityfunding.............................................154

1.

Scopeof

ordinance

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

154

2. Openboardmeetings.............................................................................................................................154

3. Publicaccesstofinancialrecords...........................................................................................................155

4. Communityrepresentationontheboard..............................................................................................156

5. Enforcementoftheordinance...............................................................................................................156

E. Applicationofpassivemeetingbodyrulestocertainprivateentities........................................................156

F. ApplicationoftheBrownActandPublicRecordsActtocertainprivateentities.......................................157

REFERENCES....................................................................................................................................... 159

APPENDIX............................................................................................................................................ 161

I. BoardofSupervisorsresolutiononattendanceformembersofboardsandcommissions.......................161

II. Mayorspolicyoncommissionerattendance..........................................................................................162

III. Mayorspolicyondiscriminatoryorharassingremarksmadeatpublicmeetings................................163

SELF-ASSESSMENTTOOL............................................................................................................... 165

I. Sunshine&ethics201011selfassessmenttool.....................................................................................165

PUBLICRECORDSREQUESTFORM............................................................................................. 177

DONORDISCLOSURE/GIFTACKNOWLEDGMENTFORM..................................................... 179


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Introduction 1

IntroductionNo man should have a political office because he wants a job.

A public office is not a job. It is an opportunity to do something forthe public. And once in office, it remains for him to prove

that the opportunity was not wasted.

Franklin Knight Lane,City Attorney of San Francisco, 18991900

Notwithstanding

the

archaic

gender

specificity

characteristic

of

Franklin

Knight

Lanes

time,

the

quote

above by one ofmymore notable predecessors elegantly captures the abiding aspirations of public

service,andtheprinciplesthatunderscoregoodgovernment.

Mindfulof thesevalues, Iampleased tooffer thisGoodGovernmentGuide for201011. Myoffice

wrote this guide to provide employees and officials of the City and County of San Franciscowith a

usable,accessibleoverviewofthemajor lawsgoverningtheirconductaspublicservantsfrompublic

meetings and public records responsibilities to conflictofinterest and personal financial reporting

requirements. Thispublicationupdates and replaces earliereditions, and is availableonmyoffices

website. Iencourageemployeesandofficialstodownloadandmaintainapersonalcopy.

While I hope this publication will serve as a helpful general reference for department personnel,

commissioners, commission staff members, and other public servants, it cannot anticipate every

situationor

question

that

may

arise.

Neither

can

it

foresee

the

inevitable

changes

that

policymakers,

courts,andvotersmake to local, state,and federal laws. Sopleasebeprudent:understand thatno

publicationcansubstitute for thecarefulconsiderationof theapplicationof laws to specificconduct.

Forquestionsregardingaparticularcourseofactionyoumaypursueasapublicofficial,Iencourageyou

tocontacttheDeputyCityAttorneyassignedtoyourdepartmentorcommission, inadvanceoftaking

suchaction. YoumayalsocontacttheOfficeoftheCityAttorneydirectlyat(415)5544700.

Remember:apublicofficeisapublictrust. AspublicofficialsfortheCityandCountyofSanFrancisco,it

isourhighestresponsibilitytoconductthefunctionsofgovernment inawaythatishonest,open,and

responsivetothecitizensweserve. Iamproudtooffermyofficesunwaveringcommitmenttoassistin

thatendeavor. AndIhopeyoufindthisGoodGovernmentGuidehelpstowardthatend.

Sincerely,

DENNISJ.HERRERA

CityAttorneyofSanFrancisco


20/202


21/202

201011EditionHighlights 3

201011EditionHighlights

The 201011 Edition of the Good Government Guide contains extensive revisions and

updates. Many of these edits condense, reorganize, or simplify existing information. TheGood Government Guide has also been updated to reflect changes in conflict of interest,ethics, public records, and public meetings laws. The edits and updates include thefollowing:

New restrictions on holdover appointments to Charter boards and commissions. A new section on the Charters prohibition on the Board of Supervisors interference

in specific administrative matters.

Further discussion of conflicts of interest arising from the solicitation and receipt ofcampaign contributions by department heads and appointed members of boardsand commissions.

Recent modifications to local postemployment restrictions. The Citywide adoption of Statements of Incompatible Activities, department

specific guidelines and rules concerning compensated activities that conflict with anemployees or officers official duties.

The local prohibition on elected officials acceptance or solicitation of campaigncontributions from City contractors.

Several refinements to gifts rules, including the following types of gifts:o gifts of hospitality;o tickets to political and nonprofit fundraisers;o gifts given to members of an officials family;o gifts from lobbyists;o gifts of travel;o gifts to City agencies, including gifts to fund the travel of City employees and

officers; and

o gifts distributed by City agencies, such as tickets and passes and prizesawarded through raffles.

More extensive discussion of legal principles governing public access to electronicrecords and information.

Clearer, more comprehensive delineation of notices and information that mustappear on meeting agendas.

More extensive discussion of rules governing public comment at meetings of policybodies.


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4 GoodGovernmentGuide:201011Edition

In addition, the Good Government Guide no longer includes a separate supplementcompiling relevant laws, regulations, and policies. The laws and regulations concerningconflicts of interests, ethics, public records, and public meetings are constantly changing.Due to those ongoing changes, a separate supplement becomes quickly outdated. If youwish to consult the statutes, ordinances, and regulations cited throughout the Good

Government Guide, please refer to the list of references attached to the end of the guide.


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Partone:Servingonaboardorcommission 5

PartOne:Servingonaboardorcommission

In this part of the Good Government Guide, we provide general information about the role

and duties of City boards and commissions and the interplay of those bodies withdepartments, the City Attorneys Office, and the Board of Supervisors. We also addresslaws governing appointments to boards and commissions, tenure in office, leaving office,and related topics. Specific provisions in the Charter relating to certain boards andcommissions may differ from this general description. For more information on specificboards and commissions, see City Attorney Opinion No. 201001, available online athttp://www.sfcityattorney.org/. In addition, the City Attorneys Office is always availableto answer questions regarding the rules governing boards and commissions.

I.

Creation

of

boards

and

commissions

The Charter establishes most City boards and commissions. The Board of Supervisors hasalso created a few boards and commissions by ordinance. San Francisco voters, byinitiative ordinance, have done likewise.

The Board of Supervisors has created many advisory committees, task forces, workinggroups, and other entities, by both ordinance and resolution. As described more fully inParts Two and Three of this Guide, these advisory bodies are subject to the open meetinglaws, the public records laws, and many of the ethics and conflict of interest laws. Weprimarily direct our discussion of boards and commissions in Part One toward Charterboards and commissions, and to a lesser extent boards and commissions created by

ordinance. Part One provides less information about service on and the functioning ofadvisory bodies.

State and federal law create legally separate entities governed by a board or commission,such as the San Francisco Unified School District, San Francisco Community CollegeDistrict, San Francisco Health Authority, San Francisco Housing Authority, San FranciscoRedevelopment Agency, and Workforce Investment Board. These governmental entitiesare not part of the municipal corporation the City and County of San Francisco (theCity). But they operate entirely within the boundaries of San Francisco and in many caseshave intrinsic ties to the City. These entities carry out various state and federal functions atthe local level.

The City also participates in certain multicounty agencies created by State law or byagreement between public entities. These agencies include, for example, the Golden GateBridge Transit District, Transbay Joint Powers Agency, and Bay Conservation andDevelopment Commission.


24/202


II. BecomingacommissionerA. Theappointmentprocess

The Charter prescribes four main methods of appointment to boards and commissions,which we describe below. These are:

Exclusively mayoral appointments to the board or commission, underCharter 3.100(17).

Other systems for exclusively mayoral appointments, not governed byCharter 3.100(17).

Mixed systems of appointments, divided between the Mayor and the Board ofSupervisors.

Other mixed systems of appointments, divided among other appointing authorities.In some cases, the appointment process is complicated, and not all of the details arespecified here. When considering the rules governing appointments to a particular boardor commission, one should review the specific Charter or code provision(s) applicable, andconsult the City Attorneys Office as appropriate.

Exclusively mayoral appointments under Charter3.100(17). Charter 3.100(17)prescribes the most common method of appointment. The Mayor appoints all members ofthe board or commission. The appointments are effective upon transmittal of a Notice ofAppointment to the Clerk of the Board of Supervisors. The Notice of Appointment mustinclude the persons qualifications to serve and a statement as to how the individualrepresents the communities of interest, neighborhoods, and diverse populations of the City.

The appointment remains in effect unless the Board of Supervisors rejects it by a twothirds vote (eight members) within 30 days following the transmittal of the Notice ofAppointment. For more information on the appointment process, see City AttorneyOpinion No. 200305, available online at the City Attorneys website.

Charter bodies to which this appointment process applies include (references are toCharter sections):

Airport Commission ( 4.115) Arts Commission ( 5.103) Civil Service Commission ( 10.100) Commission on Aging ( 4.120) Commission on the Environment ( 4.118) Commission on the Status of Women ( 4.119) Fire Commission ( 4.108) Health Commission ( 4.110)


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Human Rights Commission ( 4.107) Human Services Commission ( 4.111) Juvenile Probation Commission ( 7.102) Library Commission ( 8.102) Recreation and Park Commission ( 4.113) War Memorial Board of Trustees ( 5.106)

Boards and commissions created by ordinance that wield executive power must beappointed under Charter 3.100(17).

ExclusivelymayoralappointmentsnotgovernedbyCharter3.100(17). This secondtype of appointment process is a variant of the first. Again, the Mayor makes allappointments to the board or commission, but different rules govern when and whetherthe appointments are effective. In some cases, appointments are not effective until theBoard of Supervisors approves them. In other cases, appointments are not effective

immediately but become effective after a specified number of days if the Board does notdisapprove them. Charter bodies to which this second type of appointment process appliesinclude:

Historic Preservation Commission ( 4.135) Municipal Transportation Agency ( 8A.102) Port Commission ( 4.114) Public Utilities Commission ( 4.112)

Mixed system of appointments, divided between the Mayor and the Board of

Supervisors. The Charter provides a third type of appointment process, where the Mayormakes some appointments to the board or commission, and the Board of Supervisors (orBoard President) makes the remaining appointments. There are variations among thesebodies as to whether appointments not made by the Board of Supervisors are subject to theBoards review and/or are dependent on the Boards approval. Charter bodies to whichsome variation of this mixed system of appointments applies include:

Board of Appeals ( 4.106) Building Inspection Commission ( 4.121) Entertainment Commission ( 4.117)

Planning Commission ( 4.105) Police Commission ( 4.109) Small Business Commission ( 4.134) Youth Commission ( 4.122)

Mixed system of appointments, divided among other appointing authorities. Thisfourth type of appointment process is a variant of the third. Multiple authorities, but not


26/202


limited to the Mayor and the Board of Supervisors, exercise the appointment power.Charter bodies to which some variation of this mixed system of appointments appliesinclude:

Elections Commission ( 13.103.5) Ethics Commission ( 15.100) Health Service Board ( 12.200) Retirement Board ( 12.100).

For the Elections Commission, the Mayor, Board of Education, Board of Supervisors, CityAttorney, District Attorney, Public Defender, and Treasurer each appoint one member. Forthe Ethics Commission, the Mayor, Assessor, Board of Supervisors, City Attorney, andDistrict Attorney each appoint one member. The Health Service Board and RetirementBoard are comprised of mayoral appointees, a member of the Board of Supervisorsappointed by the Board President, and several members elected by participants in thosesystems.

Appointments to a few Charter boards and commissions do not conform to any of the fourprocesses described above. One example is the Fine Arts Museums Board of Trustees (5.105). Incumbent trustees elect new trustees. Appointments to citizen advisory panelsthe Charter prescribes, and appointments to the many advisory bodies created by theBoard of Supervisors, often do not conform to these processes, either.

If the appointed official is required to file a Statement of Economic Interest (see SectionV.E.), the appointing authority must provide written notice to the Ethics Commission of thename of the appointee within 15 days of the appointees assuming office. San FranciscoCampaign and Government Conduct Code 3.1105 (hereafter C&GC Code).

B. Residencyand

other

requirements

In general, Charter section 4.101 governs residency and other requirements for appointeesto City boards and commissions. The general rule is that members of Chartercreatedboards and commissions must be, and remain during their tenure, electors.Charter 4.101(a)(2). An elector is a person registered to vote in the City. Charter Art.XVII. The voter registration requirement subsumes other requirements: that members be(1) of legal voting age, (2) residents of the City, and (3) United States citizens. In a fewcases, the Charter specifies that members of a board or commission need not be electors,e.g., the Youth Commission ( 4.123); Asian Art Commission ( 5.102); and Fine ArtsMuseums Board of Trustees ( 5.103).

For ordinancecreated boards and commissions, the appointing officer or entity may waivethe residency requirement if a qualified local elector cannot be located. In addition, theordinance may specify that members need not be residents or of legal voting age, but maynot dispense with the citizenship requirement. Charter 4.101(a)(2).

Some boards and commissions must include members who are selected from a specifiedprofession, trade, union, or business. The Ethics Commission may grant such appointees a


27/202


waiver from certain conflict of interest laws (see Part Two, Section III(B)(1)(c)). TheCalifornia Political Reform Act provides limited exceptions from its conflict of interestprovisions for such appointees where the legislation creating the body contains certainfindings. 2 C.C.R. 18707.4.

If a commissioner fails to meet the requirements of the office after assuming office (for

example, the commissioner ceases to be an elector), the commissioner is deemed to haveresigned by operation of law. A commissioner should notify the appointing authorityimmediately if any change in circumstances renders the commissioner ineligible to serve.

C. OathofofficeTo exercise the powers of the office, an appointed commissioner must take the oath ofoffice prescribed by state law. Cal. Const. Art. 20, 3. Thus, a member of a Charter boardor commission or other policy body that exercises sovereign power must be sworn inbefore that person may act as a member of the body. Conversely, a member of a policybody that is purely advisory does not have to take an oath of office to serve on the body.

D. TermandtenureUnder the Charter and applicable ordinances, the term of office for most members ofappointive boards and commissions is four years. When a new board or commission iscreated in the Charter, or when new members are added to an existing Charter board orcommission, the members must be appointed to staggered terms. Charter 18.114. But anew Charter provision could expressly provide otherwise.

Once a term expires, the incumbent, if not replaced, may retain the office as a holdovermember until a successor takes office, unless a specific provision of law states otherwise. A

holdover member has the same powers and duties as other members of the body.

There are two important restrictions on the ability of a person to serve as a holdovermember:

The Charter may specifically prohibit a board or commission from having anyholdover members. For example, the tenure of members of the Police Commissionterminates at the end of their terms. Charter 4.109.

The Charter may limit the holdov

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