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HomeMy WebLinkAbout1993 02-08 CCP Regular Session CITY COUNCIL AGENDA CITY OF BROOKLYN CENTER FEBRUARY 8, 1993 7 p.m. 1. Call to Order 2. Roll Call 3. Opening Ceremonies 4. Open Forum 5. Council Report 6. Approval of Agenda and Consent Agenda -All items listed with an asterisk are considered to be routine by the City Council and will be enacted by one motion. There will be no separate discussion of these items unless a Councilmember so requests, in which event the item will be removed from the consent agenda and considered in its normal sequence on the agenda. 7. Approval of Minutes: a. January 25, 1993 - Regular Session 8. Ordinance: a. An Ordinance Vacating a Portion of An Easement on Lot 31, Block 6, Pearson's Northport 3rd Addition -This ordinance is offered for a first reading, in accordance with the City's agreement with owner Paul Benson as approved by the City Council on 1/25/93. 9. Discussion Items: a. Proposed Ethics Board b. Legislative Report c. Request to Attend the National League of Cities Congressional City Conference d. Performance Review and Team Building Session 10. Resolutions: *a. Amending the 1993 General Fund Budget to Provide for Wage and Salary Adjustments *b. Amending the 1992 General Fund Budget to Carry Forward Certain Appropriations to the 1993 Budget *c. Amending the 1993 General Fund Budget to Transfer Funds to Increase the Appropriation for Police Department Object No. 4551, Office Furnishings & Equipment CITY COUNCIL AGENDA -2- February 8, 1993 d. Amending the 1993 Budget and Authorizing the Transferring of Funds from Domestic Intervention, 4428, to Activating a Canine Program e. Amending the 1993 Pay Plan to Implement Restructuring of the Police Department Management *f. Acknowledging Gift from the Brooklyn Center Lions Club *g. To Approve Sale of Certain Tax Forfeited Land Parcels at Public Auction (Eight Townhome Lots in Earle Brown Farm Addition, Southwest Corner of Shingle Creek Parkway and 69th Avenue North) h. Approving Amendments to the Project P.E.A.C.E. Joint Powers Agreement, Its Proposed Budget, and Its Contract for Domestic Intervention Services *11. Licenses 12. Adjournment /5 TOWN MEETINGS ON CRIME AND SAFETY IN BROOKLYN CENTER Thursday, February 18th 7:00 -9:30 pm And Saturday, February 27th 1:00 -4:00 pm Brooklyn Center High School 6500 Humboldt Avenue North The City of Brooklyn Center needs your help in establishing it's priorities on this important subject. The first town meeting will focus on identifying the crime and safety concerns of its citizens. The second meeting will address possible solutions to the problems that were identified in the first. The town meetings are sponsored by the Brooklyn Center Police Department and city service organizations. Representatives from city, county, and state government will be invited to attend. We need your input - please attend! ��pKLYN THE BROOKLYN CENTER POLICE DEPARTMENT POLICE TOWN MEETINGS ON CRIME AND SAFETY THURSDAY, FEBRUARY 18, 1993; 7:00 -9:30 PM Identify Concerns 7:00 - Opening Comments ! • Chief Hampton i • Introduction of elected officials by Mayor Paulson • Introduce facilitator 7:15 - Lucy Gerold • Overview • Format for evening • Introduction of all present 7:30 • Break into small groups to identify safety concerns in Brooklyn Center • In small groups create two lists: 1. Safety Issues: Fill in the statement, "I don't feel safe when to 2. What is being done well: Fill in the statement, "I see being done to impact crime /safety. " 8:15 Break 8:30 • Reconvene large group. Each small group reports its lists: 9:15 Next steps 9:30 Adjourn Prior to February 18, 1993, the Brooklyn Center Police Department will work with existing community groups to co- sponsor the two sessions which will be held at Brooklyn Center High School. Publicity will give people a minimum of two weeks notice. The overall objective of the town meetings is to identify from the perspective of residents what problems need to be addressed most urgently. Also to be identified are those solutions that can be implemented by city government and what solutions need to be addressed by other governmental bodies such as the county and state. The technique being utilized to facilitate this process is grass roots citizen participation in problem identification and problem solving in our community. Elected and appointed officials at the city, county, and state level will participate as resource persons to work with small group efforts during each of the sessions to facilitate this citizen driven process. Following the February 18th session, the Brooklyn Center Police Department will compile all the lists from the small groups, print them and have them available for distribution on Saturday, February 27. Follow -up publicity will remind people of the February 27th session. SATURDAY, FEBRUARY 27; 1 :00 -4:00 PM Identify Solutions 1:00 - Chief Hampton • Opening 1:15 - Lucy Gerold • Overview of results from February 18 1:30 • What is being done to address safety issues identified? (Presentations by appropriate resources, i.e. police, criminal justice courts, schools, county, etc.) 2:15 Break 2:30 Small groups identify what needs to be done. Three lists will be made: 1. What can I as an individual do? 2. What can the community do? 3. What can local government do? 3:15 • Report to large groups 3:45 • Next steps A summary report of the two meetings identifying problems and potential solutions will be provided by the facilitator to the city council and the police department. The report's aim will be to provide some direction and support to elected and appointed officials. LUCY. M. GEROLD 2532 Bryant Avenue South Minneapolis, MN 55405 612 -673 -3555 (Work) 612 - 377 -9146 (Home) PROFESSIONAL EXPERIENCE: 1/1/91- Present: Director, Community Services Bureau, Minneapolis Police Department Administer Bureau of 60 staff, sworn and civilian; responsible for planning and Implementing strategies for Community Oriented Policing, reducing the number of calls for police service, long -term problem solving with the comnLuuity, bridge - building between police and the community, and crime prevention. 1986 - Present: Consultantll rWher, National Crime Prevention Council Conduct small and large group training sessions nationally for planning, managing, and implementing crime prevention and community policing. Conduct week -long Training of Trainers sessions for law enforcement throughout the country to enhance group facilitation and presentation skills. 1983 - 1990: Director, Minneapolis Community Crime Prevention Administer $1.6 million budget with a 37+ staff of police officers and civilians responsible for non - traditional police responses for problem solving and crime prevention. Developed extremely effective strategies for partnerships of sworn and non -sworn personnel working with the community. 1979 - 1983: Field Staff Supervisor /Crime Prevention Specialist Supervise staff of 8 responsible for city -wide crime prevention programs and volunteer leadership development. Developed and implemented loss prevention measures for small businesses. 1977 - 1979: Neighborhood Coordinator, Crime Prevention Demonstration Project Developed and strategies implemented successful new crime P 8 revention es to test effectiveness for reducing uczrt g crime and fear of crime. 197S - 1977: Assistant Supervisor, Target Projects Program, Minneapolis Housing Authority Planned' and implemented social and physical improvement programs in public housing including crime reduction measures, employment programs, recreation opportunities and home improvement. /7 u ITI•1 T/l /t 1T� +Tr•. rr -.rr. nT -T �� + + ��-. .• -••••. • • •♦ - •rr•rrr1 •!9 •r.11 EDUCATION: 1973: B.S. Degree: Housing and Community Development, University of Minnesota 1979: Certificate: Basic Crime Prevention Course, Texas Crime Prevention Institute 1984 -85: Leadership Minneapolis Program 1986, 1987, 1988: 'Training for Trainers and Consultants ", National Crime Prevention Council PROFESSIONAL ORGANIZATIONS: International Association of Chiefs of Police International Society of Crime Prevention Practitioners Minnesota Crime Prevention Officers Association: President, 1983 Vice President, 1982 Board Member at Large, 1984 Member, 1985 VOLUNTEER RESPONSIBILITIES: Harriet Tubman Women's Shelter, Board Member REFERENCES: Available upon request LGO94 /nik CITY OF BROOKLYN CENTER Council Meeting Date Februar 8 1993 Agenda Item Number / REQUEST FOR COUNCIL CONSIDERATION ITEM DESCRIPTION: CITY COUNCIL M[NUTES OF JANUARY 25, 1992 - REGULAR SESSION DEPT. APPROV - Sharon Knutson, Deputy City Clerk s MANAGER'S REVIEW/RECOnE�NDATION: ' - No comments to supplement this report Comments below /attached SUMMARY EXPLANATION: (supplemental sheets attached _) RECOMMENDED CITY COUNCIL ACTION MINUTES OF THE PROCEEDINGS OF THE CITY COUNCIL OF THE CITY OF BROOKLYN C LNi'ER IN THE COUNTY OF HENNEPIN AND THE STATE OF MINNESOTA REGULAR SESSION JANUARY 25, 1993 CITY HALL CALL TO ORDER The Brooklyn Center City Council met in regular session and was called to order by Mayor Todd Paulson at 7 p.m. ROLL CALL Mayor Todd Paulson, Councilmembers Celia Scott, Barb Kalligher, and Kristen Mann. Also present were City Manager Gerald Splinter, Director of Public Works Sy Knapp, Finance Director Paul Hoimlund, City Attornev Charlie LeFevere, Personnel Coordinator Geralvn Barone, Public Works Coordinator Diane Spector, and Council Secretary Nancy Berg. OPENING CEREMONIES Helen Jacob ioii offered the invocation, PEN FORUM Mayor Paulson noted the Council had received no requests to use the open forum session this evening. He inquired if there was anyone present who wished to address the Council. There being none, he continued with the regular agenda items. UNCIL REPORT There were no council reports, APPROVAL OF AGENDA AND CONSENT AGENDA Mayor Paulson inquired if any C;ouncilmembers requested any items be removed from the consent agenda. Mayor Paulson asked that items 10a and 10b be removed from the consent agenda. APPROVAL OF MINUTES JANUARY 11. 1993 - RGUL.AR SESSION There was a rnotinn by C ouncilmember Scott and seconded by aiuncilmenibcr Kalligher to approve the minutes of January 11, 1993, regular session as printed. The motion passed unanimously. 1/25/93 - 1 - $ESOLUTIONS R L TI N NO 9 -05 Member Celia Scott introduced the following resolution and rnovcd its ddt?ptit)n; RESOLUTION AUTHORIZING THE PURCHASE OF FOUR (4) POLICE SEDANS The motion for the adoption of the foregoing resolution was duly seconded by member Barb Kalligher, and the motion passed unanimously. RESOLUTION NO, 93 -06 Member Celia Scott introduced the following resolution and 11luved its aduptiult; RESOLUTION DECLARING COMMITMENT TO THE BROOKLYN CENTER CITY CHARTER, PLEDGING FAIR TREATMENT OF EMPLOYEES, DECLARING AGAINST CONFLICTS OF INTEREST AND MISUSE OF POSITION The motion for the adoption of the foregoing resolution was duly seconded by member Barb Kalligher, and the motion passed unanimously. RESOLUTION NO. 93 -07 Member Celia Scott introduced tho following resolution and inuvod its adoption: RESOLUTION AMENDING THE 1993 GENERAL FUND BUDGET AND* APPROVING THE PURCHASE OF A LOCAL AREA NETWORK HUB AND A LASERJET IV PRINTER The motion for the adoption of the foregoing resolution was duly seconded by member Barb Kallighcr, and the motion passed unanimously. RESOLUTION NO, 93 -08 Mcmbtr Celia Scott introduced the following resolution and moved its adoption: RESOLUTION APPROVING SPECIFICATIONS AND AUTHORIZING ADVERTISEMENT FOR BIDS FOR DELIVERY OF TWO (2) ROTARY MOWERS The motion for the adoption of the foregoing resolution was duly seconded by member Barb Kalligher, and the motion passed unanimously. RESOLUTION NO, 93 -09 Member Celia Scott introduced the following resolution and moved its adoption: 1/25/93 -2- RESOLUTION APPROVING SPECIFICATIONS AND AUTHORIZING ADVERTISEMENT FOR BIDS FOR DELIVERY OF ONE (1)' 9 FOOT ONE STAGE SNOW BLOWER The motion for the adoption of the foregoing resolution was duly seconded by member Barb Kalligher and the motion passed unanimously. LICENSES There was a motion by Councilmember Scott and seconded by Councilmember Kalligher to approve the following list f li n PP g o ce ses: ASOLINE SERVICE STATION Northern States Power 4501 68th Ave. N. Osseo Brooklyn Bus Co. 4435 68th Ave. N. U.S. West 6540 Shingle Ck. Pkwy, POOL AND BILLIARDS TABLES American Amusement Arcades 850 Decatur Ave. N, Lynbrook Bowl 6357 North Lilac Dr. RENTAL DWELLINGS Initial: Lee Ketelboeter 4207 Lakeside Ave. #338 Renewal: Earle Brown Commons 6100 Summit Dr. N. Village Properties Evergreen Park Manor Gary Brummer River Glen Mr./Mrs. Joseph Maddy 5540 Aldrich Dr. N. Boyer Palmer 6101 Beard Ave. N. Curtis /Audrey Cady 6915 Brooklyn 131vd. Ralph T. Guimont 5903 Halifax Pl. N. Julia Paulson 5315 Knox Ave. N. Gary Scherber 4708 Lakeview Ave. N. Roland Scherber 4714 Lakeview Ave. N. Richard Bergstrom 5400 Russell Ave. N. Henry R, Johnson 6736 Scott Ave. N. ROI Properties, Inc. 6908 Unity Ave. N. Swanson Investments 7230 Wcst River Road Swanson Investments 7250 West River Road Howard/Harriet Oien 3606 58th Ave. N. Eugene W. Hess 3218 63rd Ave. N. 1/25193 -3- Leo J. Vogel 2841 67th Lane Gcorgc T. Hanson 1510 69th Avc. N: Ruth Kalanquin 5348 70th Circle TAXICAB Town Taxi, #53 2500 Washington Ave. N. TOBACCO RELATED PROP tC American Amusement Arcades 850 Decatur Ave. N. Lynbrook Bowl 6357 North Lilac Dr. Jerry's NewMarket 5801 Xerxes Ave. N, The motion passed unanimously. RESOLUTIONS (CONTINUED) Mayor Paulson introduced Donald Gilbert and Dennis Snook and presented each with a plaque expressing the City's recognition of and appreciation for their dedicated public service and especially for their service can the Brooklyn Center Charter Commission. RESOLUTION NO 9�3 -10. Member Celia Scott introduced the following resolution and moved its adoption; RESOLUTION EXPRESSING RECOGNITION OF AND APPRECIATION FOR THE DEDICATED PUBLIC SERVICE OF DONALD GILBERT The motion for the adoption of the foregoing resolution was duly seconded by member Barb Kalligher, and the motion passed unanimously. RESOLUTION NO, 93 -11 Member Celia Scott introduced the following resolution and moved its adoption; RESOLUTION EXPRESSING RECOGNITION OF AND APPRECIATION FOR THE DEDICATED PUBLIC SERVICE OF DENNIS SNOOK The motion for the adoption of the foregoing resolution was duly seconded by member Barb Kalligher, and the motion passed unanimously, PRESENTATIONS ADA A CE_ SSII I TY STUDY RESULTS The City Manager presented the Americans with Disabilities Act (ADA) report by Julee Quarve- Peterson. He explained the City of Brooklyn Center had contracted services with Ms. Quarvc- Peterson of juice quarve peterson, inc. (jqp) to conduct an accessibility evaluation of City of Brooklyn Center properties and facilities in order to determine the 1/25/93 - 4 - City's compliance with the Americans with Disabilities Act. He further explained an employee committee would be using the information from the jqp evaluation to develop a plan with priorities, cost estimates, and funding sources. Ms. Quarve- Peterson, jqp, presented the ADA accessibility study results to the Council. Ms. Quarve- Peterson briefly explained the City of Brooklyn Center requested the study to evaluate its buildings and sites for compliance with applicable laws, codes, and design guidelines pertaining to access. She further stated the City of Brooklyn Center is required to comply with specific state and federal laws which mandate all barriers to discrimination be removed to provide persons with disabilities equal opportunity. Ms. Quarve - Peterson pointed out the report classifies the suggested improvements as proactive, short term, and long term. She explained the proactive shows areas which can be addressed now at little or no cast to the City; the Short term addresses areas which might need more planning but often times can be accomplished by staff without outside consultants or contracts; and the long term items should be factored in when making future design changes or when preparing new budgets. She further stated the City's total cost should be less then those quoted for other suburban communities because of the City's past efforts in this area. Councilmember Scott thanked Ms. Quarve- Peterson for the detailed summary. She also thanked Ms. Quarve- Peterson for visiting each facility personally and for facilitating the meeting with the community. Mayor Paulson asked Ms. Quarve - Peterson for an estimate of the proactive items. Ms. Quarve - Peterson answered she did not have an estimate, but the employee committee will provide an estimate after their review of the study. Mayor Paulson thanked Ms. Quarve - Peterson for the report. The City Manager presented a Resolution Amending the General Fund Budget to Provide Professional Services to Develop a Transition Plan for Compliance with the Americans with Disabilities Act. He explained the resolution would authorize appropriation of $5,000 to develop and implement a Transition Plan. He asked that jqp be asked to critique the plan once it was developed, The City Manager stated the re- striping of the parking lots would be accomplished at no further cost to the City, but the suggestion of limestone paths in the parks could be a problem. He explained limestone tends to wear away, and the improvements to the park paths may have to be blacktopped and such an improvement would require an engineer's study. The Director of Public Works explained staff would need to identify the items the employees would be able to implement and the items which would have to be placed in the budget. 1/25/93 -5 - Ms. Quarve- Peterson complimented the City on its past efforts over the years to address accessibility and making a conscious effort to make facilities accessible. .RESOLUTION NO, 93 -12 Member Kristen Mann introduced the following resolutiun and moved its adoption: RESOLUTION AMENDING THE GENERAL FUND BUDGET TO PROVIDE PRQFESSIONAL SERVICES TO DEVELOP A TRANSITION PLAN FOR COMPLIANCE WITH THE AMERICANS WITH DISABILITIES ACT The i mot on for the adoption of the foregoing resolution was duly seconded by member Celia Scott, and the motion passed unanimously. DISCUSSION ITEMS COMMITTEE OF T E WHOLE MEETING SCHEDULE Mayor Paulson asked this matter be tabled until the end of the meeting as Counciimember Rosene was not present at the meeting due to teacher /parent conferences, APPOINTMENT OF COUNCIL MEMBER TO TRI CITY AIRPORT COMMISSION The City Manager presented the appointment of Council member to Tri City Airport Commission, He explained that Mayor Paulson had received a letter from the Tri City Airport, Commission informing Council of the need to appoint a new council representative. Councilmember Mann stated her home is located under the flight pattern of the Cr Air and she g rY would be h appy ppy to serve on the Tri City Airport Commission, There was motion by Councilmember Knlligher and seconded by Councilmember Scott to approve the appointment of Councilmember Mann to the Tri City Airport Commission by Mayor Paulson, The motion passed unanimously. ADMINISTRATIVE POLICY AN I� PROCEDURE FOR WATER SHUT OF The City Manager Presented the administrative policy and procedure for water shut offs. He explained City Ordinance 4 -202 provides that water service to any Brooklyn Center water utility customer may upon reasonable notice be discontinued for nonpayment of individual accounts, He further explained the administrative hearing process was new and provides residents with the right to demand an administrative hearing before the Council to show cause as to why their water should not be, shut off. The Public Works Coordinator introduced the four steps involved in the administrative hearing process: 1/25/93 -6 r 1. The customer has eleven days from the date of the blue notice to demand a hearing, If no such demand is received by the Monday before a regularly scheduled meeting, then it is assumed the customer waives rights to this hearing. The customer will be "red tagged" for shut off. 2. - If a written, signed demand for a hearing is received by the due date, then an administrative bearing will be added to the agenda. 3. Staff will prepare a "Request for Council Consideration" which will detail the facts of the case. This report will be made available to the customer prior to the hearing. 4, At the hearing the burden is on the customer to show cause as to why water should not be shut off, If after the hearing the Council determines otherwise, or desires additional information to be discussed at a continued hearing, then that customer's property will be removed from the list scheduled for shut off. Councilmember Scott was amazed to learn there were over $30,000 in delinquent utility charges and almost $19,000 of unpaid final bills. She stated the Council needed to do something like this a long time ago. Councilmember Mann asked why there are two different shut -off policies -- one for rental property, and one for private property, The Public Works Coordinator answered it was really only different in the final billing as the City cannot shut off the water if the responsible party has moved from the rental property. Mayor Paulson asked if other cities use such a policy. The Public Works Coordinator answered yes, many cities have similar policies. Mayor Paulson asked if the other cities experienced a large demand for administrative hearings, The Director of Public Works answered the other cities reported very few requests for administrative hearings. Councilmember Kalligher asked if it was normal to have $30,000 in delinquent utility charges, The Finance Director answered yes it was normal, and further explained if residents request a payment plan, the City works with them to set up a plan. He also explained "delinquent" meant only that the accounts remained unpaid 30 days after billing and will be collected. The City Manager presented a Resolution Adopting an Administrative Policy and Procedure for Water Shut Otfs. RESOLUTION NO. 92 -13 Meitlber Celia Scott introduced the following resolution and moved its adoption: 1/25/93 -7- RESOLUTION ADOPTING AN ADMINISTRATIVE POLICY AND PROCEDUREO FOR WATER SHUT OFFS The motion for the adoption of the foregoing resolution was duly seconded by member Barb Kalligher, and the motion passed unan imously, CORRECTION OF SPFC TAT� ASSESSMENTS COLLECTION ERROR 1988 LEVY NUMBERS 11071 AND 11072 The City Manager presented a correction of special assessments collection error, 1988 levy numbers 11071 and 11072. The Director of Public Works explained in 1988 the Council certified two special assessment levies for improvement project 1988 -H. These levies were certified for collection over ten years. He further explained Hennepin County had recently discovered, due to a clerical error on the City's part, it had been collecting these levies using a 20 year payment schedule. Councilmember Scott asked if the affected residents had been notified of the error. The Director of Public Works answered no, the residents would be notified after the Council takes action. Councilmember Scott reminded Council the improvements were initiated by the City Manager not by a majority of the residents. She further stated many of these residents are senior citizens who may be unable to pay a higher amount. Councilmember Scott felt the error was made by the City and recommended the Council approve Option 2 which would continue the assessments on the 20 -year payment schedule and collect the principle over the next 16 years, Councilmember Scott asked staff to notify residents of the situation and explain if they wanted to prepay, they would have that option, The City Manager agreed the prepayment Policy would be explained to the residents. RESOLUTION NO. 92 -14 Mcmbcr Cclia Scott introduced the following resolution, Option 2, and movcd its adoption: RESOLUTION DIRECTING THE HENNEPIN COUNTY AUDITOR TO CORRECT THE COLLECTION OF SPECIAL ASSESSMENT LEVY NUMBERS 11071 AND 11072 The motion for the adoption of the foregoing resolution, Option 2, was duly seconded by member Kristen Mann, and the motion passed unanimously. PAUL BENSON EASEMENT ENCROACHMENT PROBLEM The City Manager presented the Paul Benson Easement Encroachment Problem. He explained the City Attorney had been working with Mr. Benson and his bank to resolve the easement encroachment problem so Mr. Benson would be able to obtain financing for his home, 1/25/93 .8- The City Attorney explained he had prepared an agreement under which Mr. Benson would agree to indemnify the City for damages arising out of work on the sewer pipe by the City. He stated this obligation would run with the land and would bind future owners of the property so the City would continue to be protected in the future. He explained the obligation would be excused under this agreement if the mortgagee forecloses on the mortgage.- Therefore, the City would lose this protection in the event of foreclosure of Mr. Benson's mortgage. Paul Benson, 5817 Pearson Drive, stated the agreement was a compromise which would allow him to obtain a mortgage on the property. He asked the Council to accept liability as he believed the encroachment problem was the result of an error by the City. The City Manager recommended the Council approve the agreement as prepared by the City Attorney. The City Attorney explained a vacation proceeding would have to follow the execution of the agreement. The City Manager recommended the Council waive the fee for the vacation proceeding. There was a motion by Councilmember Scott and seconded by Councilmember Mann to approve the Covenant of Release, Waiver and Indemnification agreement as prepared by the City Attorney, to waive the fee for the vacation proceeding, and to prepare the ordinance for first reading. The motion passed unanimously. LEQISLATIVE UPDATE The City Manager presentcd the legislative update for the Council's review and discussion. RESOLUTIONS (CONTINUED) The City Manager presented a resolution supporting enabling legislation allowing municipalities to establish transportation utilities. The Director of Public Works explained the transportation utility was essentially looking at ways to provide funding for city street improvements through "user fees." He quoted the November 1992 Minnesota Cities newsletter: The use of user fees for utilities and infrastructure is a basis for cities to be given authority to implement a transportation utility fee• Councilmember Scott asked which Legislator would be introducing this bill. The Director of Public Works answered he did not know, however a number of legislators were interested in this bill. Councilmember Scott asked if the AMA had adopted the transportation utilities as part of their policy platform, The Director of Public Works answered yes, and also the League of Minnesota Cities and the Minnesota Transportation Alliance had adopted such a resolution. 1/25193 - 9- Mayor Paulson recommended the resolution be changed to include item No. 3 under the Now, Therefore, in Resolution No. 92 -87 as item No. 4, Item No. 4 of the Now, Therefore would read: 4. This City recommends that legislation which would authorize cities to establish Transportation Utilities include authorization to utilize funds from that source for improvements to the mass transit system which are of direct benefit to city residents. Mayor Paulson also asked the resolution be changed by deleting the word "facilities" in No. 2 of the Now, Therefore, and replacing with the word "improvements." RESOLUTION Na 92 -15 Member Cclia Scott introduced the following resolution with the recommended changes and moved its adoption: RESOLUTION SUPPORTING ENABLING LEGISLATION ALLOWING MUNICIPALITIES TO ESTABLISH TRANSPQRTATiUN UTll. ITIE.$ The motion for the adoption of the foregoing resolution with the recommended changes was duly seconded by member Barb ISalligher, and the motion passed unanimously. ]DISCUSSION ITEMS ,CONTINUED) COMMITTEE OF THE WHOLE MEETING SCHEDULE The City Manager presented the Committee of the Whole meeting schedule. He explained from a staff perspective, the major problem with a Committee of the Whole meeting preceding the regular City Council meetings would be the lass of the work session meetings which would allow the Council to discuss items which were not agenda orientated and more long term in nature. He pointed out there would be additional staff work involved to take informal minutes of these meetings and to prepare for the meetings. Councilmember Scott stated she was concerned about losing the work sessions. She also informed Council she had received calls from residents requesting these meetings be cable cast. She suggested moving the regular Council meetings to Tuesday nights which would give Councilmembers an additional day to review the agenda or ask staff to deliver the agenda packets on Thursday evenings rather than Friday evenings which would give Counciimembers the opportunity to contact staff with questions on both Friday and Monday before the meeting. Mayor Paulson did not believe it was Councilmember Rosene's intent to replace the work sessions. Mayor Paulson wanted to retain the work sessions, and suggested the Council schedule a work session right away to discuss the idea of a Committee of the Whole meeting 1/25/93 - 10 - schedule. He recommended scheduling a work session for Monday, February 1, 1993, to set up Council priorities and schedule. Councilmember Kalligher stated she had also received phone calls from concerned residents who were afraid the Council would discuss everything at the Committee of the Whole meetings, which would not be cable cast, and then pass everything on the consent agenda without any discussion during the regular Council meetings. She agreed there was a need to set a work session to discuss this matter further. There was a motion by Councilmember Mann and seconded by Councilmember Kalligher to set a work session of the City Council at the Earle Brown Heritage Center vii Monday, February 1, 1993, at 7 p.m. The motion passed unanimously. AD OURNMENT There was a motion by Councilmember Mann and secnnded by Councilmember Scott to adjourn the meeting. The motion passed unanimously. The Brooklyn Center City Council adjourned at 8:45 p.m. Deputy City Clerk Todd Paulson, Mayor Recorded and transcribed by: Nancy Berg TimeSaver Off Site Secretarial 1/25/93 CITY OF BROOKLYN CENTER Council Meeting Date 2/08/93 Agenda Item Number REQUEST FOR COUNCIL CONSIDERATION ITEM DESCRIPTION: AN ORDINANCE VACATING A PORTION OF AN EASEMENT ON LOT 31, BLOCK 6, PEARSON'S NORTHPORT 3RD ADDITION (FIRST READING) DEPT. APPROVAL: Sy app, D' for of Public Works MANAGER'S REVIEW/RECOMMENDATION. ' No comments to supplement this report Comments below /attached ************************************************** * * * * * * * * * * * * * * * * * * * * * * * * * * * * * ** SUMMARY EXPLANATION: (supplemental sheets attached Yes At its regular meeting of January 25, 1993, the City Council directed staff to prepare an ordinance for the vacation of a portion of a utility easement in PEARSON'S NORTHPORT 3RD ADDITION. This easement vacation was requested by Mr. Paul Benson, who is the resident of the property affected by the existing easement. The proposed action is to vacate only that portion of the City's easement which is currently encroached upon by Mr. Benson's garage. Mr. Benson has agreed to enter into an agreement with the City which provides for, among other things, indemnification of the City in the event of property damage due to emergency repair to the City's existing sanitary sewer. This agreement was approved by the Council at its last meeting. The private utility companies serving the area will be contacted and asked to review this proposed vacation. RECOMMENDED CITY COUNCIL ACTION This ordinance is offered this evening for a first reading. Note: Mr. Benson has agreed to sign the agreement. If, however, he does not do so prior to the second reading of the ordinance, we will recommend that the Council table adoption of the ordinance until after the agreement is signed. V \ CITY OF BROOKLYN CENTER Notice is hereby given that a public hearing will be held on the day of , at P.M. at the City Hall, 6301 Shingle Creek Parkway, to consider An Ordinance Vacating A Utility Easement in PEARSON'S NORTHPORT 3RD ADDITION. Auxiliary aids for handicapped persons are available upon request at least 96 hours in advance. Please contact the Personnel Coordinator at 569 -3350 to make arrangements. ORDINANCE NO. AN ORDINANCE VACATING A PORTION OF A UTILITY EASEMENT IN PEARSON'S NORTHPORT 3RD ADDITION THE CITY COUNCIL OF THE CITY OF BROOKLYN CENTER DOES ORDAIN AS FOLLOWS: Section 1. The following described portion of that easement over Lot 3.1, Block 6, PEARSON'S NORTHPORT 3RD ADDITION Hennepin County Minnesota established by Document No. 613060 Hennepin County Registrar of Title is hereby vacated. Commencing at the northwest corner of said Lot 31• thence southwesterly along the westerly line of said lot assumed bearing of South 30 degrees OO minutes 00 seconds West for 34.00 feet: thence South 60 degrees 00 minutes 00 seconds East for 5.00 feet to the actual point of beginning of the land to be described: thence South 60 degrees 00 minutes 00 seconds East for 5.00 feet: thence South 30 degrees 00 minutes 00 seconds West for 25,00 feet: thence North 60 degrees 00 minutes 00 seconds West for 5.00 feet: thence North 30 degrees 00 minutes 00 seconds East for 25.00 feet to the point of beginning Section 2. This ordinance shall be effective after adoption and thirty (30) days following its legal publication or upon fee title of Lot 31, Block 6, PEARSON'S NORTHPORT 3RD ADDITION being conveyed to Paul Benson, whichever occurs later. Adopted this day of , Mayor, Todd Paulson ATTEST: Deputy Clerk Date of Publication Effective Date PO P�- 2 u� y z a PEARSON DRIVE -� J a a COUNTY ROAD 10 LOT 31 BLOCK 6 PEARSON S NORTHPORT 3RD ADDITION GENERAL LOCATION . AFq � D SO F N.W. CORNER 0 � 0 0 i PORTION OF EASEMENT TO BE VACATED o GPRP J LOT 31, BLOCK 6, PEARSON'S NORTHPORT 3RD ADDITION /p. CITY OF BROOKLYN CENTER council Meeting Date 2/8/93 Agenda Item Number l Fa- ,- REQUEST FOR COUNCIL CONSIDERATION ITEM DESCRIPTION: PROPOSED ETHICS BOARD DEPT. APPROVAL: Gerald G. Splinter, City Manag MANAGER'S REVIEW/RECOMAMNDATION: No comments to supplement this report Comments below /attached SUMMARY EXPLANATION: (supplemental sheets attached X ) . The city council asked the staff to research the subject of ethics boards. We researched a number of sources, among them the following: State of Minnesota; editor of the Board and Administrator publication; League of Minnesota Cities; and St. Paul Mayor's office. Attached are various documents from these sources, one of them, Chapter 10A, Ethics in Government, indicates how the state board of ethical practices is structured, appointed, and set up. There are four examples of forms and policies from the Board and Administrator publication relating to conflicts of interest and ethics and business practices of boards and commissions from Texas, Wisconsin, and Indiana. In talking to the editor of this publication, he was not able to find anything in his files of a local board of ethics. He was aware of a number of state boards. We've also enclosed the research memorandum for city officials from the League of Minnesota Cities on Official Conflict of Interest and Brooklyn Center's current policy. We did find that the City of St. Paul had a local ethical practices board. We have attached copies of the St. Paul Ordinances and description of powers and duties from the St. Paul ethical practices board. In our discussion with St. Paul officials, we found the board had a rather "difficult" history and is currently not operational. We have also included a copy of a proposed Senate File No. 24 relating to a committee on ethics and campaign reform. This bill was introduced by Senators Marty, Piper, and Betzold, and it may have some relevancy in this matter as it appears to expand the current Chapter 10A to include "creating a code of ethical conduct for local officials and public officials' employees." It appears there are very few local ethics boards. The only example we could find is the one in St. Paul. As the Brooklyn Center city council deliberates this question, we believe a number of questions should be considered: I. Who would decide what situations or subjects the board would consider? 2. Who would be able to bring issues before the board (city council, citizens, and /or board self initiated)? 3. Should the subjects of board review be only legal conflicts of interest or issues which have the "appearance of conflict of interest "? 4. Who would appoint board members? 5. Who would be eligible to serve on the board? 6. How would our current policy by affected? RECOMMENDED CITY COUNCIL ACTION Review and discuss attached materials. f ii t $ i 1 10A.01 ETHICS IN GOVERNMENT 200 Ethics, Fund Investments, Emergency Management mt g ent An CHAPTER 10A Wt ETHICS IN GOVERNMENT f or} al's IOA.01 Definitions. CIP 10A.02 Board of ethical practices. lOA.27 Additional limitations. Y 10A.03 Lobbyist registration. IOA.275 Multicandidate political party I OA.04 Lobbyist reports . expenditures. a 10A.05 Lobbyist report. 10A.28 Penalty for exceeding limits. ! I OA.06 Contingent fees prohibited. IOA.29 Circumvention prohibited. ' 10A.065 Contributions and solicitations IOA.30 State elections campaign fund. (, during legislative session. IOA.31 Designation of income tax 10A.07 Conflicts of interest.` P disclosure Representation payments. .,..,,��''•• 10A.09 Statements of economic interest. OA-315 Special election subsidy. ?)Wx±t I OA.321 Estimates of minimum OA-10 Penalty for false amounts x I statements. to be received. 1 OA.11 Organization of political 10A.322 Public subsidy bsi agreements. g ts. committees ts. ! s mrttees. 10A.323 Matching IOA.12 Political fu g requirements.,,: f funds. 10 i I OA. 13 A.324 Return of public subsid Y. 1 Account Y -,: Accounts which must be kept. 10A.325 Political or tb Political party not having certain } IOA.14 Registration of lii DG>ot t candidates. ? committees and political funds. IOA.335 Legislative monitoring of tax 10A.15 Contributions. checkoff. 10A.16 Earmarking 10A.34 ' I OA. 17 Expenditures. Remedies. ydw CONGRESSIONAL I OA. 18 Bills when rendered and paid. CAMPAIGN REFORM ' I OA.19 Principal campaign committee. 10A.40 Legislative findings of fact; comn 10A.20 Campaign reports . legislative intent. 3 ; .S ` 10A.21 Reports to county auditor, 10A.41 Definitions. + 10A.22 Reports and statements. 10A.42 Limitation on application. U n f 10A.23 Changes and corrections. ° i IOA.24 Dissolution or termination. 1 OA.43 Expenditure limit agreement. 10A.44 Congressional campaign spending I [' IOA.241 Transfer of debts. limits. `� O I OA.242 Dissolution of inactive 10A.45 Contribution and loan limits. committees and funds. 10A.46 Multicandidate political party M�L j IOA.25 Limits on campaign expenditures. expenditures. f { 10A.255 Adjustment by consumer price 10A.47 Penalty for exceeding limits. 4 : fu index. 10A.48 Matching requirements. 10A.265 Freedom to associate and 10A.49 Certification and distribution, kj communicate. I OA.50 Return of financial incentive. " I OA. 51 Campaign reports. 10A.01 DEFINITIONS. tt4 1 � Subdivision 1. For the purposes of sections 10A.01 to 10A.34, the terms defin :. in this section have the meanings given them unless the context clearly indicates othetL i wise. Subd. 2. "Administrative action" means an action by any official, board, commit+ tide a N Sion or agency of the executive branch to adopt, amend, or repeal a rule pursuant date chapter 14. "Administrative action" does not include the application or administrad Y D!R of an adopted rule, except in cases of rate settin g � 1J granting of certificates of need under chapter 11�6J. Po wer plant and powerline siting rr Subd. 3. "Association" means business, corporation firm �lF �a tee, labor organization, club, or any other group of two or more p er persons, w hi t in 4 more than an immediate family, acting in concert, p sons, which cl Subd: 4. "Associated business" means any association in connection with ' h y . the individual is compensated in excess of $50 except for actual and reaso expenses in any month as a director, officer, owner, member, t employee, or is a holder of securities worth $2,500 or more at fair partner fair market Subd. 5. Candidate. "Candidate" means an individual who seeks nomination election to any statewide or legislative office for which reporting is not required u federal laws. The term candidate shall also include an individual who seeks nomin! or election to supreme court, court of appeals, or district court judgeships of the >4 201 ETHICS IN GOVERNMENT 10A.01 t' An individual shall be deemed to seek nomination or election if the individual has taken the action necessary under the law of the state of Minnesota to qualify for nomi- nation or election, has received contributions or made expenditures in excess of $100, or has given implicit or explicit consent for any other person to receive contributions or make expenditures in excess of $100, for the purpose of bringing about the individu- al's nomination or election. A candidate remains a candidate until the candidate's prin- cipal campaign committee is dissolved as provided in section I OA.24. , s w i . Subd. 6. "Board" means the state ethical practices board. ' F W "Subd. 7. "Contribution" means a transfer of funds or a donation in kind. g ` Contribution includes any loan or advance of credit to a political committee, polit- cal fund, or principal campaign committee, which loan or advance of credit is (a) for- t ' given, or (b) paid by an individual or an association other than the political committee, # i political fund, or principal campaign committee to which the loan or advance of credit # is made. If an advance of credit or a loan is forgiven or paid as provided in this subdivi- s Sion, it is a contribution in the year in which the loan or advance of credit is made. ' "A contribution made for the purpose of defeating a candidate is considered made If rt for the purpose of influencing the nomination or election of that candidate or any oppo- Y " neat of that candidate. ! Contribution does not include services provided without compensation by an indi- vidual volunteering personal time on behalf of a candidate, ballot question, political 1 , 4 . 4 � or political fund, or the publishing or broadcasting of news items or editorial E; ` mments by the news media. ti *Wj Subd. 7a. "Transfer of funds" or "transfer" means money or negotiable instru- rents given by an individual or association to a political committee, political fund, or ' = campaign committee for the purpose of influencing the nomination or elec- uon Qf.a candidate or for the purpose of promoting or defeating a ballot question. ',,.Subd. 7b. "Donation in kind" means anything of value other than money or nego- tiable instruments given by an individual or association to a political committee, politi- fund, or principal campaign committee for the purpose of influencing the nomination or election of a candidate or for the purpose of promoting or defeating a pf question. Donation in kind includes an approved expenditure. „! ' R Subd. 8. "Depository" means any bank, savings and loan association or credit on organized under federal or state law and transacting business within Minnesota. "'Subd. 9. "Election" means a primary, special primary, general or special election. `Subd. 10. Campaign expenditure. "Campaign expenditure" or "expenditure" j. a purchase or payment of money or anything of value, or an advance of credit, ! ' v = .1, 0r incurred for the purpose of influencing the nomination or election of a candi- { or for the purpose of promoting or defeating a ballot question. expenditure is considered to be made in the year in which the candidate made ` purchase of goods or services or incurred an obligation to pay for goods or services. }k�►n,expenditure made for the purpose of defeating a candidate is considered made the purpose of influencing the nomination or election of that candidate or any oppo- £ candidate. XOept as provided in clause (a), expenditure includes the dollar value of a dona- d. Eipetiditure does not include: t) disbursements as defined in subdivision 10c; Transfers as defined in subdivision 7a; + e Services provided without compensation by an individual volunteering per- 'on behalf of a candidate, ballot question, political committee, or political 7 d'The publishing or broadcasting of news items or editorial comments by the media. { r 10A.01 ETHICS IN GOVERNMENT 202 Subd. 10a. "Approved exp6nditure" means an expenditure made on behalf of a candidate by an entity other than the principal campaign committee of that candidate, an official capa. which expenditure is made withAhe authorization or expressed or implied consent of, spends more th or in cooperation or in concert With, or at the request or suggestion of that candidate, ; ',Arative action, ( the candidate's principal camp4lgn committee or the candidate's agent. An approved political subdil expenditure is a contribution to`that candidate. ` others to comn legislative or ac Subd. l Ob. "Independent expenditure" means an expenditure expressly adv ocat_ tal unit, and rel ing the election or defeat of a clearly identified candidate, which expenditure is made Zion relating to without the express or implied "consent, authorization, or cooperation of, and not in etropolitan g concert with or at the request oAuggestion of, any candidate or any candidate's princi (5) a part} �. pal campaign committee or agent. An independent expenditure is not a contribution board. commis: to that candidate. e agency is talon Subd. 10c. Noncampaign disbursement. "Noncampaign disbursement" means a # (6) an indi purchase or payment of moneylbr anything of value made, or an advance of credit Funds; incurred, by a political committee, political fund, or principal campaign committee for (7) a news any purpose other than to influence the nomination or election of a candidate or to pro- !` broadcasting of mote or defeat a ballot question 'br indirectly ui Noncampaign disbursement includes: r .($) a paid (a) Payment for accounting and legal services; `the witness is z (b) Return of a contribution to the source; `(9) a stock (c) Repayment of a loan made to the political committee, political fund, or prince yisioa 2, who pal campaign committee by that committee or fund; ¢penses, in an (d) Return of money from the state elections campaign fund; (10) a part (e) Payment for food, beverages, entertainment, and facility rental for a fundrais- and comm ing event; documents anc' (f) Services for a constituent by a member of the legislature or a constitutional offs= a Subd. 12. Zion 200.02, su cer in the executive branch, performed from the beginning of the term of office to 60 Subd. 13. days after adjournment sine die of the legislature in the election year for the office held; h (g) A donation in kind iy n to the political committee political fund or g e P , p Principal ir;(a) U nder :. U campaign committee for purposes listed in clauses (e) and (f). The board shall deter- kgisla office mine whether an activity involves a noncampaign disbursement within the meaning of for statewide o this subdivision; and (h) Payment for food and;beverages provided to campaign volunteers while they ' �sbm(b) Which di are engaged in campaign activities. viduals reg " - � party be el , Subd. 11. (a) "Lobbyist" means an individual: a manner € (1) engaged for pay or other consideration, or authorized to spend money by For the pu another individual, association, political subdivision, or public higher education sys- , there is tem, who spends more than five hours in any month or more than $250, not - including the individual's own travel expenses and membership dues, in any year, for the purpose %�` Subd. 14. of attempting to influence legislative or administrative action, or the official action of Subd. 15. a metropolitan governmental > >gnit, by communicating or urging others to communicate Whose major with public or local officials; or r�r, ote or del (2) who spends more than $250, not including the individual's own traveling apolitical c expenses and membership dues, in any year for the purpose of attempting to influence' or politic legislative or administrative action, or the official action of a metropolitan governmelp formed 1; tal unit, by communicating or; urging others to communicate with public or local offi cials. . Subd.:16.. (b) "Lobbyist" does not(include: _by an ass jj (1) a public official; Ar exp �" � t�idate or f (2) an employee of the state, including an employee of any of the public higher education systems; "' �;.• , (3) an elected local official; r' 6 ubd. 18. (4) a nonelected local official or an employee of a political subdivision acting in S)'inemb �i N'2U3 ETHICS IN GOVERNMENT 10A.01 } ; 4 an official capacity, unless the nonelected official or employee of a political subdivision Spends more than 50 hours in any month attempting to influence legislative or adminis- trative action, or the official action of a metropolitan governmental unit other than the 5 political subdivision employing the official or employee, by communicating or urging t; Others to communicate with public or local officials, including time spent monitoring legislative or administrative action, or the official action of a metropolitan governmen- tal unit, and related research, analysis, and compilation and dissemination of informa- ` Lion relating to legislative or administrative policy in this state, or to the policies of ' ,Metropolitan governmental units; 1 s:.(5) a party or the party's representative appearing in a proceeding before a state $j0ard, commission or agency of the executive branch unless the board, commission or agency is taking administrative action; vs(6) an individual while engaged in selling goods or services to be paid for by public x ds; k4 (7) a news medium or its employees or agents while engaged in the publishing or : broadcasting of news items, editorial comments or paid advertisements which directly or indirectly urge official action; Uti(8) a paid expert witness whose testimony is requested by the body before which the witness is appearing, but only to the extent of preparing or delivering testimony; far: {(9) a stockholder of a family farm corporation as defined in section 500.24, subdi- 1sion .2, who does not spend over $250, excluding the stockholder's own travel ' F penses, in any year in communicating with public officials; or (10) a party or the party's representative appearing to present a claim to the legisla- IJte; and communicating to legislators only by the filing of a claim form and supporting .; dOCUments and by appearing at public hearings on the claim. �Subd. 12. "Major political party" means a major political party as defined in sec- n.200.02, subdivision 7. `tSubd:.13. "Minor political party" means any party other than a major political aY Under whose name in the last applicable general election a candidate filed for lative office and received not less than ten ercent of the vote for that office or filed P _ G }tatewide office; or Y ro) Which files a petition with the secretary of state containing the names of 2,000 duals registered to vote in Minnesota and declaring that the signers desire that Al party be eligible to receive money from the state elections campaign fund in the manner as a major political party. " For the purposes of this chapter, all individuals who are eligible to vote in areas Cre there is no permanent system of registration shall be considered registered vot- Subd. 14. [Repealed, 1976 c 307 s 35] s ubd. 15. "Political committee" means any association as defined in subdivision ose major purpose is to influence the nomination or election of a candidate or to UDSe or_defeat a ballot question. Olitical committee" includes a major political party as defined in subdivision 12, QF political party as defined in subdivision 13, and any principal campaign com- . paned pursuant to section l OA. 19. 16. "P.olitical fund" means any accumulation of dues or voluntary contribu- b , )m association other than a political committee, which accumulation is col- ;expended for the purpose of influencing the nomination or election of a } date or for the purpose of promoting or defeating a ballot question. j ulid "Political party" means either.a major political party or a minor political ubd,. 18. "Public official" means any: k { t )?W ember of the legislature; 1 r w 10A.01 ETHICS IN GOVERNMENT 204 I (b) constitutional officer in the executive branch and the officer's chief administra- I } live deputy; 1 ` (c) member, chief administrative officer or deputy chief administrative officer of I a state board or commission which has at least one of the following powers: (i) the power to adopt, amend or repeal rules, or (ii) the power to adjudicate contested cases or appeals; (d) commissioner, deputy commissioner, or assistant commissioner of any state }+ i department as designated pursuant to section 15.01; i (e) individual employed in the executive branch who is authorized to adopt, I amend or repeal rules or adjudicate contested cases; (f) executive director of the state board of investment; ! (g) executive director of the Indian affairs intertribal board; (h) commissioner of the iron range resources and rehabilitation board; i commissioner of mediation services; i 1 6) deputy of any official fi t0 listed 1n clauses (e) O; (k) judge of the workers' compensation court of appeals; (1) administrative law judge or compensation judge in the state office of adminis- trative hearings or referee in the department of jobs and training; (m) solicitor general or deputy, assistant or special assistant attorney general; (n) individual employed by the legislature as secretary of the senate, legislative auditor, chief clerk of the house, revisor of statutes, or researcher, legislative analyst, or attorney in the office of senate counsel and research or house research; (o) member or chief administrative officer of the metropolitan council, regional ; 10 transit board, metropolitan transit commission, metropolitan waste control commis- sion, metropolitan parks and open spaces commission, metropolitan airports commis- sion or metropolitan sports facilities commission; (p) the commissioner of gaming and director of each division in the department of gaming and the deputy director of the state lottery board; (q) director of the division of gambling enforcement in the department of public safety; t< Y; (r) member or executive director of the higher education facilities authority; or (s) member of the board of directors or president of the Minnesota world trade center corporation. ; �. Subd. 19. Office holder. "Office holder" means an individual who holds any state- 1 wide or legislative office, except a federal office for which candidates are required to report under federal laws, state supreme court justice, and judges of the court of ff appeals, district court, county court, probate court, or county municipal court. f ' f credit" means an mon owed for g oods Subd. 20. Advance o c y y provided or ser- g p vices rendered. An advance of credit is an expenditure or a noncampaign disbursement in the year in which the goods or services are used or consumed. Advance of credit does not mean loan as defined in subdivision 21. ? Subd. 21. "Loan" means an advance of money or anything of value made to a .I? political committee, political fund, or principal campaign committee. t Subd. 22. "Financial institution" means a lending institution chartered by an h. agency of the federal government or regulated by the commissioner'of commerce. Subd. 23. "Ballot question" means a question or proposition which is placed on the ballot and which may be voted on by all voters of the state. "Promoting or defeating !� a ballot question" includes activities related to qualifying the question for placement on the ballot. r' Subd. 24. State committee. "State committee" means the organization which, by virtue of the bylaws of a political party, is responsible for the day -to -day operation of the political party at the state level. Subd. 25. Local official. "Local official" means a person who holds elective office i 205 ETHICS IN GOVERNMENT 10A.02 in a political subdivision or who is appointed to or employed in a public position in a political subdivision in which the person has authority to make, to recommend, or f, I to vote on as a member of the governing body, major decisions regarding the expendi- ture or investment of public money. { Subd. 26. Metropolitan governmental unit. "Metropolitan governmental unit" means any of the seven counties in the metropolitan area as defined in section 473.121, f subdivision 2, a regional railroad authority established by one or more of those counties j under section 398A.03, a city with a population of over 50,000 located in the seven - county metropolitan area, the metropolitan council, a metropolitan agency as defined in section 473.121, subdivision 5a, the Minnesota state high school league, and the Greater Minnesota Corporation. Subd. 27. Political subdivision. "Political subdivision" means the metropolitan council, a metropolitan agency as defined in section 473.121, subdivision 5a, a munici- pality as defined in section 471.345, subdivision 1, the Minnesota state high school league, and the Greater Minnesota Corporation. Subd. 28. Principal. "Principal" means an individual or association that: (1) spends more than $500 in the aggregate in any calendar year to engage a lobby- ist, compensate a lobbyist or authorize the expenditure of money by a lobbyist; or (2) is not included in clause (1) and spends a total of at least $ 50,000 in any calen- dar year on efforts to influence legislative action, administrative action, or the official action of metropolitan governmental units, as described in section 10A.04, subdivision 6.. History: 1974 c 470 s 1; 1975 c 271 s 6; 1976 c 307 s 1 -4; 1978 c 463 s 1 -18; 1979 c 59 s 1 -3; 1980 c 509 s 1; 1980 c 587 art 2 s 1 -7,• 1980 c 607 art 14 s 45 Subd 1; art 17 s 1 -8, 1980 c 614 s 40; 1980 c 615 s 60, 1981 c 29 art 7 s 1; 1981 c 346 s 1; 1981 c 356 s 248; 1982 c 424 s 130; 1983 c 247 s 5,6; 1983 c 258 s 10; 1983 c 289 s 114 Subd 1; 1984 ! c 619 s 11; 1984 c 640 s 32; 1984 c 654 art 3 s 13; 1984 c 655 art 1 s 92; ISp1985 c 14 art 9 s 75; 1986 c 444; 1 Sp1986 c 3 art I s 2; 1987 c 186 s 15; 1988 c 686 art 1 s 40; 1989 c 209 art 1 s 1,2; 1989 c 334 art 6 s 1; 1990 c 562 art 8 s 2; 1990 c 608 art I s 1 -5; art 3 s 1 -3; 1991 c 233 s 109; 1991 c 349 s 1,2 1 10A.02 BOARD OF ETHICAL PRACTICES. Subdivision 1. There is hereby created a state ethical practices board composed of six'members. The members shall be appointed by the governor with the advice and con- sent of three -fifths of both the senate and the house of representatives acting separately. If either house fails to confirm the appointment of a board member within 45 legislative days after appointment or by adjournment sine die, whichever occurs first, the appoint - dent shall terminate on the day following the 45th legislative day or on adjournment ¢ine die, whichever occurs first. If either house votes not to confirm an appointment, is the appointment terminates on the day following the vote not to confirm. One member shall be a former member of the legislature from a major political party different from that of the governor; one member shall be a former member of the legislature from the same political party as the governor; two members shall be persons who have not been Pliblic officials, held any political party office other than precinct delegate, or been ;?? elected to public office for which party designation is required by statute in the three r s preceding the date of their appointment; and the other two members shall notf' support the same political party. No more than three of the members of the board shall support the same political party. No member of the board may currently serve as a lob- d. 2. Any appointment to fill a vacancy shall be made only for the unexpired of a member who is being replaced and the appointee shall meet the same stated cations as the member being replaced. The membership terms, compensation, tl emoval of members on the board shall be as provided in section 15.0575, except tZ►atthe extension of terms and the filling of vacancies shall be subject to the advice and J t of the legislature in the same manner as provided in subdivision 1. i) 10A.02 ETHICS IN GOVERNMENT 206 Subd. 3. The concurring vote of four members of the board shall be required to decide any matter before the board. i Subd. 4. The board shall elect from among its members a chair, a vice -chair and a secretary. The secretary shall keep a record of all proceedings and actions by the j board. Meetings of the board shall be at the call of the chair or at the call of any four members of the board acting together. Subd. 5. The board shall appoint an executive director who shall be in the unclassi- fied service. The board may also employ and prescribe the duties of other permanent b4 ; or temporary employees in the unclassified service as may be necessary to administer f this chapter, subject to appropriation. The executive director and all other employees 1 shall serve at the pleasure of the board. Expenses of the board shall be approved by the chair or such other member as the rules of the board may provide and the expenses shall } then be paid in the same manner as other state expenses are paid. , i Subd. 6, [Repealed, 1976 c 134 s 79] Subd. 7. All members and employees of the board shall be subject to any provi- sions of law regulating political activity by state employees. In addition, no member or employee of the board shall be a candidate for, or holder of, (a) a national, state, con- ; gressional district, legislative district, county or precinct office in a political party, or i (b) an elected public office for which party designation is required by statute. Subd. 8. The board shall: J (a) Report at the close of each fiscal year to the legislature, the governor, and the i public concerning the action it has taken, the names, salaries, and duties of all individu- als in its employ, and the money it has disbursed. The board shall include and identify in its report any other reports it has made during the fiscal year. It may indicate appar- ent abuses and offer legislative recommendations; t (b) Prescribe forms for statements and reports required to be filed under this chap - ter and make the forms available to individuals required to file them; +, ; (c) Make available to the individuals required to file the reports and statements k a manual setting forth the recommended uniform methods of bookkeeping and report- ing; (d) Develop a filing, coding, and cross - indexing system consistent with the pur- poses of this chapter; t (e) Make the reports and statements filed with it available for public inspection t and copying by the end of the second day following the day on which they were received. Any individual may copy a report or statement by hand or by duplicating machine and the board shall provide duplicating services at cost for this purpose. No 4 information copied from reports and statements shall be sold or utilized by any individ- ual or association for any commercial purpose. "Commercial purpose" does not include ` {.; purposes related to elections, political activities, or law enforcement. Any individual or association violating the provisions of this clause may be subject to a civil penalty of up to $1,000. An individual who knowingly violates this subdivision is guilty of a �( misdemeanor; 3 (f) Notwithstanding the provisions of section 138.163, preserve reports and state, x ments for a period of five years from the date of receipt; (g) Compile and maintain a current list and summary of all statements or parts of �f statements pertaining to each candidate; and 2 (h) Prepare and publish reports as it , may deem appropriate. Subd. 9. Documents; information. The executive director of the board or the direo- { tor's staff shall inspect all material filed with the board as promptly as is necessary to comply with the provisions of this chapter, and other provisions of law requiring the ; filing of a document with the board. The executive director shall immediately notify r the individual required to file a document with the board if a written complaint is filed j with the board by any registered voter alleging, or it otherwise appears, that a document,,; i filed with the board is inaccurate or does not comply with the provisions of this chapter ' i 207 ETHICS IN GOVERNMENT 10A.02 or that the individual has failed to file a document required by this chapter. The execu- tive director and staff may provide an individual required to file a document under this f chapter with factual information concerning the limitations on corporate campaign' contributions imposed by section 211 B.15. F Subd. 10. The board may make audits and investigations with respect to state -' j ments and reports which are filed or which should have been filed under the provisions s F of this chapter. In all matters relating to its official duties, the board shall have the power to issue subpoenas and cause them to be served. If a person does not comply with a subpoena, the board may apply to the district court of Ramsey county for issuance ry of an order compelling obedience to the subpoena. A person failing to obey the order J: is punishable by the court as for contempt. Subd. 11. The board may investigate any alleged violation of this chapter. The board shall investigate any violation which is alleged in a written complaint filed with t' the board and, except for alleged violations of section 10A.25 or 10A.27, shall within C F 30 days after the filing of the complaint make a public finding of whether or not there [ is probable cause to believe a violation has occurred. In the case of a written complaint alleging a violation of section 10A.25 or 10A.27, the board shall either enter a concilia- tion agreement or make a public finding of whether or not there is probable cause, within 60 days of the filing of the complaint. The deadline for action on any written complaint may be extended by majority vote of the board. Within a reasonable time ' after beginning an investigation of an individual or association, the board shall notify I that individual or association of the fact of the investigation. The board shall make no finding of whether or not there is probable cause to believe a violation has occurred without notifying the individual or association of the nature of the allegations and affording an opportunity to answer those allegations. Any hearing or action of the board concerning any complaint or investigation other than a finding concerning probable cause or a conciliation agreement shall be confidential. Until the board makes a public finding concerning probable cause or enters a conciliation agreement: (a) No member, employee, or agent of the board shall disclose to any individual any information obtained by that member, employee, or agent concerning any com- plaint or investigation except as required to carry out the investigation or take action , in the matter as authorized by this chapter; and l (b) Any individual who discloses information contrary to the provisions of this subdivision shall be guilty of a misdemeanor. Except as provided in section 10A.28, after the board makes a public finding of probable cause the board shall report that find- ing to the appropriate law enforcement authorities. Subd. l la. If, after making a public finding concerning probable cause or entering a conciliation agreement, the board determines that the record of the investigation con- twins statements, documents or other matter which if disclosed would unfairly injure the reputation of an innocent individual, the board may: ! 1 (a) Retain any such statement, document or other matter as a private record, as "private" is defined in section 13.02, subdivision 12, for a period of one year after which it shall be destroyed; or �1,:-(b) Return any such statement, document or other matter to the individual who supplied it to the board. 4p Subd. 12. The board may issue and publish advisory opinions on the requirements this chapter based upon real or hypothetical situations. An application r v' I I' Yp pp on fo an ad - 1 opinion may be made only by an individual or association who wishes to use the opinion to guide the individual's or the association's own conduct. The board shall it►e written opinions on all such questions submitted to it within 30 days after receipt �uu' mitten application, unless a majority of the board agrees to extend the time limit. G advisory opinion shall lapse the day the regular session of the legislature adjourns I he second year following the date of the opinion. ' Subd. 13. The provisions of chapter 14 apply to the board. The board may adopt to;carry out the purposes of this chapter. 10A.02 ETHICS IN GOVERNMENT 208 Subd. 14. Notwithstanding the provisions of section 8.15, the board must not be ' assessed the cost of legal services rendered to it by the attorney general's office. History: 1974 c 470 s 2; 1975 c 271 s 6; 1976 c 134 s 5; 1976 c 307 s 5 -8; 1978 c 463 l; s 19 -27; 1978 c 793 s 36; 1981 c 311 s 39; 1982 c 424 s 130; 1982 c 545 s 24; 1986 c 444; 1987 c 214 s 1; 1989 c 291 art I s 1; 1990 c 608 art I s 6, 1991 c 233 s 36; 1991 C 349 s3-8 10A.03 LOBBYIST REGISTRATION. Subdivision 1. Each lobbyist shall file a registration form with the board within five days after becoming a lobbyist. Subd. 2. The registration form shall be prescribed by the board and shall include (a) the name and address of the lobbyist, (b) the principal place of business of the lobby- 4 ist, (c) the name and address of each person, if any, by whom the lobbyist is retained -' or employed or on whose behalf the lobbyist appears, and (d) a general description of F ` ' the subject or subjects on which the lobbyist expects to lobby. If the lobbyist lobbies • on behalf of an association the registration form shall include the name and address of the officers and directors of the association. Subd. 3. The board shall notify by certified mail or personal service any lobbyist who fails to file a registration form within five days after becoming a lobbyist. If a lobb g� Y g Y y- ist fails to file a form within seven days after receiving this notice, the board may impose a late filing fee at $ 5 per day, not to exceed $100, commencing with the eighth day after receiving notice. The board shall further notify by certified mail or personal s service any lobbyist who fails to file a form within 21 days of receiving a first notice that the lobbyist may be subject to a criminal penalty for failure to file the form. A lob- byist who knowingly fails to file a form within seven days after receiving a second notice ;.' from the board is guilty of a misdemeanor. History: 1974 c 470 s 3; 1975 c 271 s 6; 1978 c 463 s 28,29; 1986 c 444 r 10A.04 LOBBYIST REPORTS. Subdivision 1. Each lobbyist shall file reports of the lobbyist's activities with the board as long as the lobbyist continues to lobby. A lobbyist may file a termination state - s ment at any time after ceasing to lobby. Subd. 2. Each report shall cover the time from the last day of the period covered by the last report to 15 days prior to the current filing date. The reports shall be filed with the board by the following dates: (a) January 15; (b) April 15; and rt (c) July 15. { ijl ; Subd. 3. Each person or association about whose activities a lobbyist is required j to report shall provide the information required by sections 10A.03 to 10A.05 to the i lobbyist no later than five days before the prescribed filing date. Subd. 4. (a) The report shall include such information as the board may require from the registration form and the information required by this subdivision for the reporting period. 'r (b) Each lobbyist shall report the lobbyist's total disbursements on lobbying, sepa- ratel listing lobbying to influence legislative action lobbying I��f Y g Y� g g � Y g to influence administra- tive action, and lobbying to influence the official actions of a metropolitan governmental unit, and a breakdown of disbursements for each of those kinds of lobby- ing into categories specified by the board, including but not limited to the cost of publl- cation and distribution of each publication used in lobbying; other printing; media, including the cost of production; postage; travel; fees, including allowances; entertain ment; telephone and telegraph; and other expenses:' " (c) Each lobbyist shall report the amount and nature of each honorarium, giflo loan, item or benefit, excluding contributions to a candidate, equal in value to $50 or ; 209 ETHICS IN GOVERNMENT 10A.04 more, given or paid to any public or local official by the lobbyist or any employer or any employee of the lobbyist. The list shall include the name and address of each public r or local official to whom the honorarium, gift, loan, item or benefit was given or paid {' and the date it was given or paid. (d) Each lobbyist shall report each original source of funds in excess of $ 500 in any ( ` year used for the purpose of lobbying to influence legislative action, each such source of funds used to influence administrative action, and each such source of funds used to influence the official action of metropolitan governmental units. The list shall include . the name, address and employer, or, if self - employed, the occupation and principal place of business, of each payer of funds in excess of $500. Subd. 4a. If in any reporting period the lobbyist's reportable disbursements total not over $100 and no honorarium, gift, loan, item or benefit equal in value to $50 or , more was given or paid to any public official, a statement to that effect in lieu of the } report may be filed for that period. The unreported disbursements shall be included in the report for the following period, unless the total for that period, including the car- ryover, is not over $100. The January 15 report shall include all previously unreported disbursements, even though the total for the year is not over $100. Subd. 5. The board shall notify by certified mail or personal service any lobbyist who fails after seven days after a filing date imposed by this section to file a report or statement required by this section. If a lobbyist fails to file a report within seven days after receiving this notice, the board may impose a late filing fee of $5 per day, not to exceed $100, commencing with the eighth day after receiving notice. The board shall further notify by certified mail or personal service any lobbyist who fails to file a report 1 within 21 days after receiving a first notice that the lobbyist may be subject to a criminal ! penalty for failure to file the report. A lobbyist who knowingly fails to file such a report or statement within seven days after receiving a second notice from the board is guilty of a misdemeanor. s, Subd. 6. Lobbyist and principal reports. (a) Each principal shall report to the board as required in this subdivision by March 15 for the preceding calendar year. (b) Each principal shall report which of the following categories includes the total amount, rounded to the nearest dollar, spent by the principal during the preceding cal- endar year to influence legislative action, administrative action, and the official action of metropolitan governmental units: (1) $501 to $50,000; (2) $50,001 to $150,000; or (3) $150,001 to $250,000. s (c) Beyond $250,000, each additional $250,000 constitutes an additional category, ind each principal shall report which of the categories includes the total amount spent r by the principal for the purposes provided in this subdivision. (d) The principal shall report under this subdivision a total amount that includes: (1) all direct payments by the principal to lobbyists in Minnesota; (2) all expenditures for advertising, mailing, research, analysis, compilation and dissemination of information, and public relations campaigns related to legislative W c tion, administrative action, or the official action of metropolitan governmental units l 'Minnesota; and ° �` 3 l ��() all salaries and d administrative expenses enses attributable to activities of the rinci- ! �rw p p :p9'relating to efforts to influence legislative action, administrative action, or the offi- `vial action of metropolitan governmental units in Minnesota. Subd. 7. Financial records. The board may randomly audit the financial records '• lobbyists and principals required to report under this section. Histor 1974 c 470 s 4; 1975 c 271 s 6; 1976 c 307 s 9,10; 1978 c 463 s 30- 32; 1984 are•` } .654 art 2 s 37; 1986 c 444; 1Sp1986 c 3 art I s 3; 1990 c 608 art 1 s 7 -11 1 i } 10A.05 ETHICS IN GOVERNMENT 210 1 ' 10A.05 LOBBYIST REPORT. ~ Within 30 days after each lobbyist filing date set by section 10A.04, the executive director of the board shall report to the governor, and the presiding officer of each house I !. of the legislature, the names of the lobbyists registered who were not previously reported, the names of the persons or associations whom they represent as lobbyists, the subject or subjects on which they are lobbying, and whether in each case they lobby I ! to influence legislative or administrative action or both. At the same times, the execu- t tive director of the board shall report to the governing body of each metropolitan gov- '> ernmental unit, the names of the registered lobbyists who attempt to influence the official action of metropolitan governmental units, the names of the persons or associa- tions whom they represent as lobbyists, and the subject or subjects on which they are j lobbying. ,i History: 1974 c 470 s 5 1975 c 271 s 6; 1990 c 608 art 1 s 12 . 10A.06 CONTINGENT FEES PROHIBITED. 4 ! No person may act as or employ a lobbyist for compensation that is dependent upon the result or outcome of any legislative or administrative action, or of the official action of a metropolitan governmental unit. A person who violates the provisions of E this section is guilty of a gross misdemeanor. History: 1974 c 470 s 6, 1990 c 608 art 1 s 13 4 1 , 10A.065 CONTRIBUTIONS AND SOLICITATIONS DURING LEGISLATIVE SESSION. i kk Subdivision 1. Registered lobbyist contributions; legislative session. A candidate for the legislature or for constitutional office, a candidate's principal campaign commit tee, any other political committee with the candidate's name or title, or any committee t authorized by the candidate, shall not solicit or accept a contribution on behalf of the candidate's principal campaign committee, any other political committee with the can - didate's name or title, or any committee authorized by the candidate, from a registered l lobbyist, political committee, or political fund during a regular session of the legisla- ture. Subd. 2. Definition. For purposes of this section, "regular session" does not include a special session or the interim between the two annual sessions of a biennium. ► Subd. 3. Civil penalty. A candidate or political committee that violates this section f s is subject to a civil fine of up to $500. If the board makes a public finding that there is probable cause to believe a violation of this section has occurred, the board shall bring an action, or transmit the finding to a county attorney who shall bring an action, in the district court of Ramsey county, to impose a civil fine as prescribed by the board. Fines paid under this section must be deposited in the general fund in the state treasury. Subd. 4. Special election. This section does not apply to a candidate or a candi- date's principal campaign committee in a legislative special election during the period beginning when the person becomes a candidate in the special election and ending on ' '! the day of the special election. 4 Subd. 5. Political committee. This section does not apply to a political committee f established by a state political party; by the party organization within a congressional U district, county, legislative district, municipality, or precinct; by all or part of the party organization within each house of the legislature, except for individual members; by a candidate for judicial � office; or to a member of such political committee actin 1 J c a po tical Comm t g solely on behalf of the committee. History: Oc608art3s4• 9 1 91 4 rY c 3 9 s 9 10 10A.07 CONFLICTS OF INTEREST. i i; Subdivision 1. Disclosure of potential conflicts. A public official or a 1a1 local offic P j elected to or appointed by a metropolitan governmental unit who in the discharge of official cal duties would be required u ed to take an action ould su b- i 4 on or make a decision that � 'I >' 211 ETHICS IN GOVERNMENT 10A.09 ° stantially affect the official's financial interests or those of an associated business, unless � the effect on the official is no greater than on other members of the official's business A classification, profession, or occupation, shall take the following actions: (1) prepare a written statement describing the matter requiring action or decision conflict of interest; lure of the p otential t , i and the na ture su perior, erior if an • deliver copies of the statement to the official's immediat p and y, 2 metropolitan i 3 if a member of the legislature or o f the go vernin g body of a ov- e g �:. ''clime ntal unit, deliver a copy of the statement to the presiding officer of the body of service. ' <" If a potential conflict of interest presents itself and there is insufficient time to com- ' es 1 to 3 the public or local official shall orally inform the superior k ,ply with Claus O O, P Y � or the official body of service or committee of the body of the potential conflict. , i 2 Subd. 2. If the official is not a member of the legislature or of the governing body E of a metropolitan governmental unit, the superior shall assign the matter, if possible,: to another employee who does not have a potential conflict of interest. If there is no ; Immediate superior, the official shall abstain, if possible, in a manner prescribed by the board from influence over the action or decision in question. If the official is a member r of the legislature, the house of service may, at the member's request, excuse the member Y from taking part in the action or decision in question. If the official is not permitted �.. or is otherwise unable to abstain from action in connection with the matter, the official shall file a statement describing the potential conflict and the action taken. A public offi -. vial shall file the statement with the board and a local official shall file the statement with the governing body of the official's political subdivision. The statement must be s' w filed within a week of the action taken. r Subd. 3. Interest in contract; local officials. This section does not apply to a local official with respect to a matter governed by sections 471.87 and 471.88. History: 1974 c 470 s 7,• 1975_ c 271 s 6, 1978 c 463 s 33; 1986 c 444; 1990 c 608 art 2 s 1 j 10A.08 REPRESENTATION DISCLOSURE. Any public official who represents a client for a fee before any individual, board, & commission or agency that has rule making authority in a hearing conducted under chapter 14, shall disclose the official's participation in the action to the board within p 14 days after the appearance. The board shall notify by certified mail or personal service r &, any public official who fails to disclose the participation within 14 days after the appear - ance. If the public official fails to disclose the participation within seven days of this notice, the board may impose a late filing fee of $5 per day, not to exceed $100, com- mencing on the eighth day after receiving notice. I u History: 1974 c 470 s 8; 1975 c 271 s 6; 1978 c 463 s 34; 1982 c 424 s 130; 1986 c 444 10A.09 STATEMENTS OF ECONOMIC INTEREST. Subdivision 1. Time for filing. Except for a candidate for elective office in the judi- r' vial branch, an individual shall file a statement of economic interest with the board: (1) within 60 days of accepting employment as a public official or a local official ; r Rl� �- , r in a metropolitan governmental unit; 1-•. (2) within 14 days after filing an affidavit of candidacy or petition to appear on the ballot for an elective public office or an elective local office in a metropolitan govern- mental unit; y (3) in the case of a public official requiring the advice and consent of the senate, 1 within 14 days after undertaking the duties of office; or ' (4) in the case of members of the Minnesota racing commission, the director of the Minnesota racing commission, chief of security, medical officer, inspector of pari- mutuels and stewards employed or approved by the commission or persons who fulfill those duties under contract, within 60 days of accepting or assuming duties. ` 10A.09 ETHICS IN GOVERNMENT 212 Subd. 2. Notification. The secretary of state or the appropriate county auditor upon receiving an affidavit of candidacy or petition to appear on the ballot from an individual required by this section to file a statement of economic interest an t d any offi cial who nominates or employs a public or local official required by this section to file a statement of economic interest, shall notify the board of the name of the individual required to file a statement and the date of the affidavit, petition, or nomination. E Subd. 3. The board shall notify the secretary of state or the appropriate county auditor and, when necessary in the case of appointive office, the presiding officer of the house that will approve or disapprove the nomination, of the name of the individual 3 who has filed a statement of economic interest with the board, a copy of the statement, 4° and the date on which the statement was filed. l= ; Subd. 4. [Repealed, 1978 c 463 s 109] i Subd. 5. Form. A statement of economic interest required by this section shall be } on a form prescribed by the board. The individual filing shall provide the following information: (a) Name, address, occupation and principal place of business; r ' ( b) The name of each associated business and the nature of that association; ` s. (c) A listing of all real property within the state, excluding homestead property, <'. in which the individual holds: (i) a fee simple interest, a mortgage, a contract for deed as buyer or seller, or an option to buy, whether direct or indirect, and which interest is valued in excess of $2,500; or (ii) an option to buy, which property has a fair market value of $50,000 or more; I (d) A listing of all real property within the state in which a partnership of which 1 the individual is a member holds: (i) a fee simple interest, a mortgage, a contract for k deed as buyer or seller, or an option to buy, whether direct or indirect, if the individu- al's share of the partnership interest is valued in excess of $2,500 or (ii) an option to buy, which property has a fair market value of $50,000 or more. Any listing under clause (c) or (d) shall indicate the street address and the municipality or the section, township, range and approximate acreage, whichever applies, and the county wherein the property is located; and (e) A listing of any investments, ownership, or interests in property connected with pari- mutuel horse racing in the United States and Canada, including a race horse, in ,., which the individual directly or indirectly holds a partial or full interest or an immedi- ate family member holds a partial or full interest. Subd. 6. Each individual who is required to file a statement of economic interest shall file a supplementary statement on April 15 of each year that the individual a-- remains in office. The statement shall include a space for each category of information " in which the individual may indicate that no change in information has occurred since 1 the previous statement. The supplementary statement shall include the amount of each l honorarium in excess of $50 received since the previous statement, together with the name and address of the source of the honorarium. A statement of economic interest submitted by an officeholder shall be filed with the statement submitted as a candidate. Subd. 6a. Local officials. A local official required to file a statement under this sec- t h r tion shall file it with the governing body of the official's political subdivision. The gov- erning body shall maintain statements filed with it under this subdivision as public data. Subd. 7. The board shall notify by certified mail or personal service any individual who fails within the prescribed time to file a statement of economic interest required by this section. If an individual fails to file a statement within seven days after receiving 4 this notice, the board may impose a late filing fee of $5 per day, not to exceed $100, commencing on the eighth day after receiving notice. The board shall further notify by certified mail or personal service any individual who fails to file a statement within 21 days after receiving a first notice that the individual may be subject to a criminal pen- alty for failure to file a statement. An individual who fails to file a statement within x seven days after a second notice is guilty of a misdemeanor. I 13 ETHICS IN GOVERNMENT 10A.12 F Subd. 8. Any public official, except a member of the legislature or a constitutional p statement of economic interest and fails to do so by the g who is required to file a Prescribed deadline shall be suspended without pay by the board in the manner pre- } a scribed in the contested case procedures in chapter 14. `. History: 1974 c 470 s 9; 1975 c 271 s 6; 1976 c 307 s 11; 1978 c 463 s 35 -37, 0424 s 130; 1983 c 214 s 30,31; 1983 c 305 s 3,4; 1986 c 444; 1989 c 334 art 6 s 2; 1990 ;608 art 2 s 2 -4; 1991 c 233 s 109 10A.10 PENALTY FOR FALSE STATEMENTS. A report or statement required to be filed by sections 10A.02 to 10A.09 shall be ' signed and certified as true by the individual required to file the report. Any individual who signs and certifies to be true a report or statement knowing it contains false infor- ' ation or who knowingly omits required information is guilty of a gross misdemeanor. _ f History : 1974 c 470 s 10; 1978 c 463 s 38, 1986 c 444 ��10A.11 ORGANIZATION OF POLITICAL COMMITTEES. 'Subdivision 1. Every political committee shall have a chair and a treasurer. Noth- ing in this chapter shall prohibit them from being the same individual. `Subd. 2. No contribution shall be accepted and no expenditure shall be made by 'a1 . or on behalf of a political committee at a time when there is a vacancy in the office of treasurer. . Subd. 3. The treasurer of a political committee may appoint as many deputy trea- surers as necessary and shall be responsible for their accounts. Subd. 4. The treasurer of a political committee may designate not more than two depositories in each county in which a campaign is conducted. Subd. 5. No funds of a political committee shall be commingled with any personal funds of officers, members or associates of the committee. } Subd. 6. [Repealed, 1978 c 463 s 1091 .'' Subd. 7. Any person who knowingly violates the provisions of this section is guilty of a misdemeanor. History: 1974 c 470 s 11; 1978 c 463 s 39; 1986 c 444 10A.12 POLITICAL FUNDS. Subdivision 1. No association other than a political committee shall transfer more than $100 in aggregate in any one year to candidates or political committees or make t ` any approved or independent expenditure or expenditure to promote or defeat a ballot 1 question unless the transfer or expenditure is made from a political fund. ...,. , Subd. 2. The contents of a political fund shall not be commingled with any other funds or with the personal funds of any officer or member of the fund. ' Subd. 3. Each association which has a political fund shall elect or appoint a trea- Surer of the political fund. 1 ' Subd. 4. No contributions to the political fund shall be accepted and no expendi- - es or, transfers from the political fund shall be made while the office of treasurer of ,the : jj) political fund is vacant. = ,Subd. 5. Notwithstanding subdivision 1, any association may, if not prohibited by other law, deposit in its political fund money derived from dues or membership fees. ursuant to section 10A.20, the treasurer of the fund shall disclose the name of any ' 'Member whose dues, membership fees and contributions deposited in the political fund together exceed $100 in any one year. ,i �aro,;Subd. 6. Any person who knowingly violates the provisions of this section is guilty `of a misdemeanor. f y MHistory: 1974 c 470 s 12; 1978 c 463 s 40 42; 1980 c 587 art 2 s 8; 1980 c 607 art � >. 3T 17s9.1987c214s2 4 i 5 10A.13 ETHICS IN GOVERNMENT 214 ' 10A.13 ACCOUNTS WHICH MUST BE KEPT. Subdivision 1. The treasurer of a political committee or political fund shall keep I an account of: (a) The sum of all contributions except any donation in kind valued at $20 or less, j made to the political committee or political fund; (b) The name and address of each source of a transfer made to the political coin- mittee or political fund in excess of $20, together with the date and amount of each; (c) The name and address of each source of a donation in kind valued in excess of $20, together with the date and amount; (d) Each expenditure made by the committee or fund, together with the date and amount; { e Each approved pproved expenditure made on behalf of the committee or fund, together with the date and amount; and (f) The name and address of each political committee or political fund to which transfers in excess of $20 have been made, together with the date and amount. Any individual who knowingly violates any provision of this subdivision is guilty of a misdemeanor. Subd. 2. The treasurer shall + obtain a recelpted b111, stating the particulars, for every expenditure in excess of $100 made by, or approved expenditure in excess of $100 made on behalf of, a political committee or political fund, and for any expenditure or approved expenditure in a lesser amount if the aggregate amount of lesser expendi- tures and approved expenditures made to the same individual or association during any # year exceeds $100. The treasurer shall preserve all receipted bills and accounts required 4 to be kept by this section for four years. History: 1974 c 470 s 13; 1978 c 463 s 43 10A.14 REGISTRATION OF POLITICAL COMMITTEES AND POLITICAL 4 2, FUNDS. Subdivision 1. The treasurer of a political committee or political fund shall register with the board by filing a statement of organization no later than 14 days after the date upon which the committee or fund has made a contribution, received contributions or 1 made expenditures in excess of $100. Subd. 2. The statement of organization shall include: (a) The name and address of the political committee or political fund; (b) The name and address of any supporting association of a political fund; (c) The name and address of the chair, the treasurer, and any deputy treasurers; (d) A listing of all depositories or safety deposit boxes used; + (e) A statement as to whether the committee is a principal campaign committee; and (f) For political parties only, a list of categories of substate units as defined in sec- tion 10A.27, subdivision 4. 1 Subd. 3. [Repealed, 1976 c 307 s 35] Subd. 4. The board shall notify by certified mail or personal service any individual � who fails to file a statement required by this section. If an individual fails to file a state- ment within seven days after receiving a notice, the board may impose a late filing fee x of $ 5 per day, not to exceed $100, commencing with the eighth day after receiving +(' notice. The board shall further notify by certified mail or personal service any individ- ual who fails to file a statement within 21 days after receiving a first notice that such individual may be subject to a criminal penalty for failure to file the report. An individ- ual who knowingly fails to file the statement within seven days after receiving a second notice from the board is guilty of a misdemeanor. "i History: 1974 c 470 s 14; 1975 c 271 s 6, 1976 c 307 s 12, 1978 c 463 s 44-46:1979 c 59 s 4, 1986 c 444 !I Sts ETHICS IN GOVERNMENT 10A.16 JOA.15 CONTRIBUTIONS. A . Subdivision 1. No anonymous contribution in excess of $20 shall be retained by an y political committee or political fund, but shall be forwarded to the board and z deposlted in the general account of the state elections campaign fund. f Subd. 2. Every individual who receives a contribution in excess of $20 for a politi- Cal committee or political fund shall, on demand of the treasurer, inform the treasurer {.. of "the name and, if known, the address of the source of the contribution, together with x the amount of the contribution and the date it was received. Subd. 3. All transfers received by or on behalf of any candidate, political commit - _fee'or political fund shall be deposited in an account designated "Campaign Fund of F (name of candidate, committee or fund)." All transfers shall be deposited promptly N upon receipt and, except for transfers received during the last three days of any report- i ` 3n$ period as described in section 10A.20, shall be deposited during the reporting period in which they were received. Any transfer received during the last three days of a,reporting period shall be deposited within 72 hours of receipt and shall be reported as received during the reporting period whether or not deposited within that period. t kny deposited transfer may be returned to the contributor within 60 days of deposit. 1; "transfer deposited and not returned within 60 days of that deposit shall be deemed }: for the purposes of this chapter, to be accepted by the candidate, political committee or political fund. -;,."Subd. 3a. No treasurer of a principal campaign committee of a candidate shall, deposit any transfer which on its face exceeds the limit on contributions to that candi- date prescribed by section 10A.27 unless, at the time of deposit, the treasurer issues a ; Check to the source for the amount of the excess. !. Subd. 3b. Attributable contributions. Contributions made to a candidate or princi- pal campaign committee that are directed to that candidate or principal campaign com- r mittee by a political fund or committee must be reported as attributable to the political Fund or committee and count toward the contribution limits of that fund or committee specified in section 1 OA.27, if the political fund or committee was organized or is oper- 8ted primarily to direct contributions other than from its own funds to one or more can - didates or principal campaign committees. The treasurer of the political fund or committee shall advise the candidate or the candidate's principal campaign committee if the contribution or contributions are not from the funds of the political fund or the political committee and the original source of the funds. As used in this subdivision, f the term "direct" includes, but is not limited to, order, command, control, or instruct. A violation of this subdivision is a violation of section 10A.29. +f , Subd. 4. Any individual violating the provisions of this section is guilty of a misde- ineanor. History: 1974 c 470 s 15; 1975 c 271 s 6; 1978 c 463 s 47; 1988 c 707 s 1; 1990 c 603 s'1 10A.16 EARMARKING. } Any individual, political committee or political fund which receives a contribution from any source with the express or implied condition that the contribution or any part of it be directed to a particular candidate shall disclose to the ultimate recipient, and in the reports required by section 10A.20, the original source of the contribution, the ! ; fact that the contribution is earmarked and the candidate to whom it is directed. The P tlmate recipient of any contribution so earmarked shall also disclose the original Source and the individual, political committee, or political fund through which it is directed. This section applies only to contributions required to be disclosed by section 10A.20, subdivision 3, clause (b). Any individual, political committee, or political fund = who knowingly accepts any earmarked contribution and fails to make the required dis- i Closure is guilty of a gross misdemeanor. )o ' History: 1974 c 470 s 16; 1975 c 271 s 6; 1978 c 463 s 48 ;i ( 10A.17 ETHICS IN GOVERNMENT { 216 II �' 10A.17 EXPENDITURES. Subdivision 1. No expenditure shall be made by a political committee, political fund, or principal campaign committee unless it is authorized by the treasurer or dep- uty treasurer of that committee or fund. Subd. 2. No individual or association may make an approved expenditure of more than $20 without receiving written authorization as to the amount that may be spent and the purpose of the expenditure from the treasurer of the principal campaign com- mittee of the candidate who approved the expenditure. t Subd. 3. The treasurer or deputy treasurer of a political committee may sign vouchers for petty cash of not more than $100 per week for statewide elections or $20 per week for legislative elections to be used for miscellaneous expenditures. Subd. 4. Any individual, political committee, or political fund who independently solicits or accepts contributions or makes independent expenditures on behalf of any candidate shall publicly disclose that the candidate has not approved the expenditure. All written communications with those from whom contributions are independently solicited or accepted or to whom independent expenditures are made on behalf of a can - ! didate, shall contain a statement in conspicuous type that the activity is not approved by the candidate nor is the candidate responsible for it. Similar language shall be i included in all oral communications, in conspicuous type on the front page of all litera- ture and advertisements published or posted, and at the end of all broadcast advertise - ments made by that individual, political committee or political fund on the candidate's � behalf. Subd. 5. Any person who knowingly violates the provisions of subdivision 2 or 4, or who falsely claims that the candidate has not approved the expenditure or activity i is guilty of a misdemeanor. n History: 1974 c 470 s 17; 1978 c 463 s 49; 1986 c 444 10A.18 BILLS WHEN RENDERED AND PAID. e 1 ` 1 Every person who has a bill charge or claim against an g g y political committee or political fund for any expenditure shall render in writing to the treasurer of the commit- tee or fund the bill, charge or claim within 60 days after the material or service is pro- i vided. Failure to so present the bill, charge or claim is a misdemeanor. t. x History: 1974 c 470 s 18 10A19 PRINCIPAL CAMPAIGN COMMITTEE. { N� Subdivision 1. No candidate shall accept contributions from any source, other than ' self, in aggregate in excess of $100 or any money from the state elections campaign fund i I unless the candidate designates and causes to be formed a single principal campaign committee. i I Subd. 2. A candidate may at any time without cause remove and replace the chair, treasurer, deputy treasurer or any other officer of the candidate's principal campaign committee. History: 1974 c 470 s 19; 1976 c 307 s 13; 1978 c 463 s 50; 1986 c 444 .'' 10A.20 CAMPAIGN REPORTS. Subdivision 1. The treasurer of every political committee and political fund shall a ( begin to file the reports required by this section in the first year it receives contributions or makes expenditures in excess of $100 and shall continue to file until the committee or fund is terminated. Subd. 2. The reports shall be filed with the board on or before January 31 of each l year and additional reports shall be filed as required and in accordance with clauses (a) I and (b). (a) In each year in which the name of the candidate is on the ballot, the report of the principal campaign committee shall be filed ten days before a primary and a general .t '217 ETHICS IN GOVERNMENT 10A.20 n - r election, seven days before a special primary and a special election, and 30 days after a special election. The report due after a special election may be filed on January 31 following the special election if the special election is held not more than 60 days before that date. *` (b) In each general election year political committees and political funds other than principal campaign committees shall file reports ten days before a primary and general election. If a scheduled filing date falls on a Saturday, Sunday or legal holiday, the filing date t lhall be the next regular business day. tT� Subd. 3. Contents of report. Each report under this section shall disclose: `:' ' (a) The amount of liquid assets on hand at the beginning of the reporting period; F (b) The name, address and employer, or occupation if self - employed, of each indi- .yldual, political committee or political fund who within the year has made one or more transfers or donations in kind to the political committee or political fund, including the purchase of tickets for all fund raising efforts, which in aggregate exceed $100 for legis- lative or statewide candidates or ballot questions, together with the amount and date } of each transfer or donation in kind, and the aggregate amount of transfers and dona- lions in kind within the year from each source so disclosed. A donation in kind shall be disclosed at its fair market value. An approved expenditure is listed as a donation in kind. A donation in kind is considered consumed in the reporting period in which r it is received. The names of contributors shall be listed in alphabetical order; (c) The sum of contributions to the political committee or political fund during -;- the reporting period; ` (d) Each loan made or received by the political committee or political fund within the year in aggregate in excess of $100, continuously reported until repaid or forgiven, together with the name, address, occupation and the principal place of business, if any, ' of the lender and any endorser and the date and amount of the .loan. If any loan made i ., to the principal campaign committee of a candidate is forgiven at any time or repaid by any entity other than that principal campaign committee, it shall be reported as a contribution for the year in which the loan was made; �x= (e) Each receipt in excess of $100 not otherwise listed under clauses (b) to (d); The sum of all receipts of the political committee or political fund during 4 (� P P P g the reporting period; ' (g) The name and address of each individual or association to whom aggregate h ' expenditures, including approved expenditures, have been made by or on behalf of the } political committee or political fund within the year in excess of $100, together with the amount, date and purpose of each expenditure and the name and address of, and r4 office sought by, each candidate on whose behalf the expenditure was made, identifica- tion of the ballot question which the expenditure is intended to promote or defeat, and In the case of independent expenditures made in opposition to a candidate, the name, address and office sought for each such candidate; (h) The sum of all expenditures made by or on behalf of the political committee or political fund during the reporting period; - w (1) The amount and nature of any advance of credit incurred by the political com- t.^F ifiittee or'political fund, continuously reported until paid or forgiven.If any advance ! i Of `credit incurred by the principal campaign committee of a candidate is forgiven at any time by the creditor or paid by any entity other than that principal campaign com- J ; blittee,' it shall be reported as a donation in kind for the year in which the advance of 1 } � Wit was incurred; W U) The name and address of each political committee, political fund, or principal g campaign committee to which aggregate transfers in excess of $100 have been made + within the year, together with the amount and date of each transfer; (k) The sum of all transfers made by the political committee, political fund, or principal campaign committee during the reporting period; i 'I 10A.20 ETHICS IN GOVERNMENT 218 (1) Except for contributions to a candidate or committee for a candidate for office in a municipality as defined in section 471.345, subdivision 1, the name and address of each individual or association to whom aggregate noncampaign disbursements in excess of $100 have been made within the year by or on behalf cf a principal campaign committee, political committee, or political fund, together with the amount, date, and purpose of each noncampaign disbursement; and (m) The sum of all noncampaign disbursements made within the year by or on behalf of a principal campaign committee, political committee, or political fund. Subd. 3a. The reports of a principal campaign committee of a legislative candidate required by this section shall. list in a prominent place on the first page of every report each county in which the legislative district lies. Subd. 4. A report shall cover the period from the last day covered by the previous report to seven days prior to the filing date, except that the report due on January 31 ? shall cover the period from the last day covered by the previous report to December # t 31. i' Subd. 5. Preelection reports. In any statewide election any loan, contribution, or contributions from any one source totaling $2,000 or more, or in any legislative election F totaling more than $400, received between the last day covered in the last report prior to an election and the election shall be reported to the board in one of the following ways: (1) in person within 48 hours after its receipt; (2) by telegram or mailgram within 48 hours after its receipt; or f, (3) by certified mail sent within 48 hours after its receipt. These loans and contributions must also be reported in the next required report. The 48 -hour notice requirement does not apply with respect to a primary if the k statewide or legislative candidate is unopposed in that primary. f Subd. 6. Every candidate who does not designate and cause to be formed a princi- pal campaign committee, and any individual who makes independent expenditures or expenditures expressly advocating the approval or defeat of a ballot question in aggre- gate in excess of $100 in any year, shall file with the board a report containing the infor- Reports required b this subdivision shall be file d mation required b subdivision 3. e :i q P q Y Y on the dates on which reports by committees and funds are filed. 1 Subd. 6a. Any individual, political committee or political fund filing a report or r statement disclosing any independent expenditure pursuant to subdivision 3 or 6 shall file with that report a sworn statement that the expenditures so disclosed were not made with the authorization or expressed or implied consent of, or in cooperation or in con - k cert with, or at the request or suggestion of any candidate, an, y candidate's principal campaign committee or agent. Subd. 7. If no contribution is received or expenditure made by or on behalf of a :f candidate, political fund or political committee during a reporting period, the treasurer i of the committee or fund shall file with the board at the time required by this section a statement to that effect. Subd. 8. The board shall exempt any member of or contributor to any association, political committee or political fund or any other individual from the provisions of this If section if the member, contributor or other individual demonstrates by clear and con- vincing evidence that disclosure would expose the member or contributor to economic reprisals, loss of employment or threat of physical coercion. y An association, political committee or political fund may seek an exemption for ] all of its members or contributors if it demonstrates by clear and convincing evidence that a substantial number of its members or contributors would suffer a restrictive effect on their freedom of association if members were required to seek exemptions individually. f I Subd. 9. [Repealed, 1978 c 463 s 109] i Subd. 10. Any individual, association, political committee: or political fund seek - f E pt9 ETHICS IN GOVERNMENT 10A.21 F' .x'ing an exemption pursuant to subdivision 8 shall submit a written application for exemption to the board. The board, without hearing, shall grant or deny the exemption within 30 days after receiving an application, and shall issue a written order stating the reasons for its action. The board shall publish its order in the State Register and give otice to all parties known to the board to have an interest in the matter. If the board `a ! written ob to its action from an art within 20 days after publication e a J Y party of its ives order and notification of interested parties, the board shall hold a contested case s_ hearing on the matter. Upon the filing of a timely objection from the applicant, an order denying an exemption shall be suspended pending the outcome of the contested case. F If no timely objection is received the exemption shall continue to be in effect until a G �*ritten objection is filed with the board in a succeeding election year. The board by rule shall establish a procedure so that any individual seeking an exemption may proceed 'anonymously if the individual would be exposed to the reprisals listed in subdivision '�, 8 if-the individual's identity were to be revealed for the purposes of a hearing. Subd. 11. No person or association shall engage in economic reprisals or threaten doss of employment or physical coercion against any person or association because of ,that person's or association's political contributions or political activity. This subdivi- Sion shall not apply to compensation for employment or loss of employment when the political affiliation or viewpoint of the employee is a bona fide occupational qualifica- tton of the employment. Any person or association which violates this subdivision is guilty'of a gross misdemeanor. Subd. 12. The board shall notify by certified mail or personal service any individ- �. ' Viral who fails to file a statement required by this section. If an individual fails to file a statement due January 31 within seven days after receiving a notice, the board may impose a late filing fee of $5 per day, not to exceed $100, commencing on the eighth *' day after receiving notice. If an individual fails to file a statement due before any pri- mary or election within three days of the date due, regardless of whether the individual. has received any notice, the board may impose a late filing fee of $50 per day, not to 1 exceed $500, commencing on the fourth day after the date the statement was due. The board shall further notify by certified mail or personal service any individual who fails to. file any statement within 14 days after receiving a first notice from the board that the individual may be subject to a criminal penalty for failure to file a statement. An r individual who knowingly fails to file the statement within seven days after receiving .'; a second notice from the board is guilty of a misdemeanor. " Subd. 13. Third party reimbursement. An individual, political committee, or polit- ical fund filing a report disclosing an expenditure or noncampaign disbursement that must be reported and itemized under subdivision 3, paragraph (g) or (1), that is a reim- bursement to a third party is required to report the purpose of each expenditure or dis- bursement for which the third party is being reimbursed. An expenditure or Y' s . disbursement is a reimbursement to a third party if it is for goods or services that were not directly provided by the individual or association to whom the expenditure or dis- bursement is made. Third party reimbursements include payments to credit card com- 'panes and reimbursement of individuals for expenses they have incurred. History: 1974 c 470 s 20; 1975 c 271 s 6; 1976 c 307 s 14 -18; 1977 c 346 s 1; 1978 r 463 s 51 -59; 1978 c 793 s 37, 1979 c 59 s 5; 1980 c 587 art 2 s 9,10; 1980 c 607 art 17 10,11; 1985 c 40 s 1; 1986 c 444; 1987 c 214 s 3,4; 1990 c 608 art 3 s 5 -7, 1991 c 349 j y 1111,12 i 1(OA.21 REPORTS TO COUNTY AUDITOR. Subdivision 1. All reports or statements that must be filed with the board by the : nncipal campaign committee of legislative candidates and statements of economic interest filed by candidates for and members of the legislature shall be duplicated and h .'filed by the board with the auditor of each county in which the legislative district lies ' within 72 hours of the date the report or statement is required to be filed or, if the report or statement is delinquent, within 72 hours of the time the report is actually filed. j ah4 Subd. 2. The copies of reports filed with the county auditor need not be certified Copies. -' 10A.21 ETHICS IN GOVERNMENT 220 F Subd. 3. Statements and reports filed with county auditor shall be'available to the public in the manner prescribed by section IOA.02, subdivision 8, clause (e). State- t ' ments and reports of principal campaign committees shall be retained until four year !` after the election to which they pertain. Economic interest statements shall be retained f, I until the subject of the statement is no longer a candidate or officeholder. History: 1974 c 470 s 21; 1975 c 271 s 6; 1976 c 307 s 19; 1978 c 463 s 60,61 e: 10A.22 REPORTS AND STATEMENTS. Subdivision 1. A report or statement required by sections I OA.I I to 10A.34 to be filed by a treasurer of a political committee or political fund, or by any other individual, shall be signed and certified as true by the individual required to file the report. Any individual who signs and certifies to be true a report or statement knowing it contains false information or who knowingly omits required information is guilty of a gross mi demeanor. Subd. 2. (Repealed, 1976 c 307 s 35) " + Subd. 3. [Repealed, 1978 c 463 s 109] Subd. 4. The treasurer shall list contributions from the same source under the T. same name. When a contribution received from any sou in a re o ' rtin is added to previously reported unitemized contributions from the same source and d the aggregate exceeds the disclosure threshold of section IOA.20, the name, address and employer, or occupation if self - employed, of that source shall then be listed on the pre- t scribed schedule. A candidate may refuse to accept any contribution. !' Subd. 5. A political committee or political fund making an expend of more than one candidate for state or legislative office shall allocate he expenditure among the candidates on a reasonable cost basis and report the allocation for each can- didate. ' Subd 6. Each er • person required to file q an y report ort or statement + record p tement shall maintain r s on the matters required to be reported, including vouchers, canceled checks, bills, invoices, worksheets, and receipts, which will provide in sufficient detail the nec- essary information from which the filed reports and statements may be verified, explained, clarified and checked for accuracy and completeness. The person shall keep F the records available for audit, inspection, or examination by the board or its autho- rized representatives for four years from the date of filing of the reports or statements 1 or of changes or corrections thereto. Any person who knowingly violates any provisions of this subdivision is guilty of a misdemeanor. ! Subd. 7. Statement required; penalty. 4 P ty. (a) The treasurer of a political committee or Political fund shall not accept a contribution of more than $100 from an association not registered in this state unless the contribution is accompanied by a written state- ment which meets the disclosure and rep th period requirements imposed by section " I OA.20. This statement shall be certified as true and correct by an officer of the contrib- uting association. The political committee or political fund which accepts the contribu- ti on shall include a co py of the statement with the report which discloses the contribution to the board. The provisions of this subdivision shall not apply when a 4 national political party transfers money to its affiliate in this state. y (b) An unregistered association may provide the written statement required by �! a� this subdivision to no more than three political committees or political funds in any i calendar year. Each statement must cover at least the 30 days immediately y preceding ( i and including the date on which the contribution was made. An unregistered associa- tion or an officer of it is subject to a civil penalty up to $1,000 if the association or its �( officer: (1) fails to provide a written statement as required by this subdivision; or (2) fails to register after giving written n ... g statement required uir q ed by this subdivision to more than three political committees or political funds in any calendar year. h An officer of an association who violates this paragraph is guilty of a misdemeanor. i ( � f I, 221 ETHICS IN GOVERNMENT 10A.242 Subd. 8. [Repealed, 1976 c 307 s 351 f t History: 1974 c 470 s 22; 1975 c 271 s 6; 1978 c 463 s 62 -65; 1986 c 444; 1990 c 608 yt'3 s 8 ,lbw s 10A.23 CHANGES AND CORRECTIONS. t . Any material changes in information previously submitted and any corrections to re port or statement shall be reported in writing to the board within ten days following the date of the event prompting the change or the date upon which the person filing u< ;became aware of the inaccuracy. The change or correction shall identify the form and the paragraph containing the information to be changed or corrected. Any person who willfully fails to report a material change or correction is guilty of a gross.misdemeanor. X History: 1974 c 470 s 23; 1975 c 271 s 6, 1976 c 307 s 20 ?> r x'10A.2 DISSOLUTION OR TERMINATION. t " Subdivision 1. Termination report. No political committee or political fund shall dissolve until it has settled all of its debts and disposed of all its assets in excess of $100 and filed a termination report. The termination report may be made at any time and shall include all information required in periodic reports. ?' Subd. 2. Termination allowed. Notwithstanding subdivision 1, after mailing notice to any remaining creditors by certified mail, a political committee or political fund that �as debts incurred more than six years previously, has disposed of all its assets, and has E met the requirements of section 10A.20, subdivision 7, may file a termination report. History: 1974 c 470 s 24; 1978 c 463 s 66; 1990 c 608 art 3 s 9 TRANSFER OF DEBTS. Notwithstanding any provisions of this chapter to the contrary except as provided in this section, a candidate may terminate the candidate's principal campaign commit - tee for one state office by transferring any debts of that committee to the candidate's principal campaign committee for another state office, provided that any outstanding ltnpaid bills or loans from the committee being terminated are assumed and continu- Ously reported by the committee to which the transfer is being made until paid or for- given. A loan that is forgiven is covered by section 10A.20 and, for purposes of section QA.324, is a contribution to the principal campaign committee from which the debt p transferred under this section. History: 1986 c 475 s 1; 1991 c 199 art 2 s 1 u OA.242 DISSOLUTION OF INACTIVE COMMITTEES AND FUNDS. h'c ;Subdivision 1. Dissolution required. A political committee or political fund must be dissolved within 60 days after receiving notice from the board that the committee has become inactive. The assets of the committee or fund must be spent for the pur- poses authorized by section 211 B.12 and other applicable law or liquidated and depos- itCd in the general account of the state elections campaign fund within 60 days after { # e board notifies the committee or fund that it has become inactive. ', Subd. 2. Inactivity defined. (a) A principal campaign committee becomes inactive J AA,The later of the following dates: when six years have elapsed since the last election in which the person was a Candidate for the office sought or held at the time the principal campaign committee j T fe$istered with the board; or (2) when six years have elapsed since the last day on which the individual for E4110nl it exists served in an elective office subject to this chapter. A committee or fund other than a principal campaign committee becomes P active when two years have elapsed since the end of a reporting period during which 'the committee or fund made an expenditure or disbursement requiring disclosure :under this chapter. 10A.242 ETHICS IN GOVERNMENT 222 1. Subd. 3. Remaining debts. If a committee or fund becomes inactive when it still has unpaid debts, the committee or fund shall liquidate available assets to pay the debts. If insufficient assets exist to pay the debts, the board may set up a payment sched- ule and allow the committee or fund to defer dissolution until all debts are paid. This section does not extinguish debts incurred by the committee or fund. History: 1990 c 608 art 3 s 10 10A.25 LIMITS ON CAMPAIGN EXPENDITURES. { Subdivision 1. For the purposes of sections 10A.11 to 10A.34 a candidate for gov . ernor and a candidate for lieutenant governor, running together, shall be deemed to be a single candidate. Except as provided in subdivision 3 all expenditures es m f;l P made b P P and nd all approved expenditures made on behalf of the candidate for lieutenant governor shall be considered to be expenditures by and approved expenditures on behalf of the candi- date for governor. Subd. 2. In a year in which an election is held for an office sought by a candidate, no expenditures shall be made by the principal campaign committee of that candidate, 4 1 ` nor any approved expenditures made on behalf of that candidate which expenditures T, and approved expenditures result in an aggregate amount in excess of the following: (a) For governor and lieutenant governor, running together, $1,626,691; ! (b) For attorney general, $271,116; (c) For secretary of state, state treasurer, and state auditor, separately, $135,559; (d) For state senator, $40,669; j (e) For state representative, $20,335. r Subd. 2a. Aggregated expenditures. If a candidate makes expenditures from more than one principal campaign committee for nomination or election to statewide office ' in the same election year, the amount of expenditures from all of the candidate's princi- pal campaign committees for statewide office for that election year must be aggregated for purposes of the application of the limits on campaign expenditures under subdivi- sion 2, clauses (a) to (c). Subd. 3. Notwithstanding subdivision 2, clause (a), a candidate for endorsement for the office of lieutenant governor at the convention of a political party may make expenditures and approved expenditures of $30,000 or five percent of the amount in subdivision 2, clause (a), whichever is greater, to seek endorsement. This amount shall be in addition to the amount which may be expended pursuant to subdivision 2, clause ( Subd. 4. The limits prescribed in this section shall not apply to any expenditure or approved expenditure made or advance of credit incurred before February 28, 1978 unless the goods or services for which they were made or incurred are consumed or used after February 28, 1978. Subd. 5. Primary races. Notwithstanding the limits imposed by subdivision 2, the winning candidate in a contested race in a primary who received fewer than twice as many votes as any one of the candidate's opponents in that primary may make aggre- gate expenditures and approved expenditures equal to 120 percent of the applicable r; amount as set forth in subdivision 2, as adjusted by section 10A.255. A candidate in a contested primary race may not, under this subdivision, make aggregate expenditures and approved expenditures of more than 100 percent of the expenditure limits imposed by subdivision 2 until after the primary. t Subd. 6. In any year following an election year for the office held or sought, the h, aggregate amount of expenditures by and approved expenditures on behalf of a candi- date for or holder of that office shall not exceed one -fourth of the expenditure limit set forth in subdivision 2. 1 Subd. 7. On or before December 31 of each nonelection year the board shall deter- mine and publish in the State Register the expenditure limits for each office for the next calendar year as prescribed by subdivision 2. i f �i 1 ETHICS IN GOVERNMENT 10A.255 i Subd. 8. [Repealed, 1978 c 463 s 109] , 1 Subd. 9. [Repealed, 1978 c 463 s 109] �, Subd. 10. Effect of opponent's agreement. (a) The expenditure limits imposed by - section apply only to candidates whose major political party opponents agree to j t be bound by the limits and who themselves agree to be bound by the limits as a condi- i tion of receiving a public subsidy for their campaigns in the form of an allocation of `Money from the state elections campaign fund. 8 �.. (b) A candidate of a major political party who agrees to be bound by the limits and X eelves a public subsidy, has an e ' y, opponent who: (1) is a candidate of a major politi- , cal party; and (2) does not agree to be bound by the limits but is otherwise eligible to } Ive a public subsidy: " (1) is no longer bound by the limits, including those in section l OA.324, subdivi- Sion 1, paragraph (c); and p., , (u) is eligible to receive a public subsidy. r- ` r . For purposes of this subdivision, "otherwise eligible to receive a public subsidy" r ` , moans that a candidate meets the requirements of sections 10A.31, 10A.315, 10A.321, C g�and IOA.322, but does not mean that the candidate has filed an affidavit of matching under section 10A.323. History: 1974 c 470 s 25; 1975 c 271 s 6; 1976 c 307 s 21 -23; 1978 c 463 s 67 -74; X1986 c 444; 1987 c 214 s 5,6; 1988 c 686 art I s 41; 1988 c 707 s 2; 1990 c 608 art 3 s k 11 -15; 1991 c 349 s 13 -15 + 10A.255 ADJUSTMENT BY CONSUMER PRICE INDEX. -` V Subdivision 1. Method of calculation. The dollar amounts provided in section h e 10A.25, subdivision 2, must be adjusted for general election years as provided in this Section. By June 1 of the general election year, the executive director of the board shall" ?''determine the percentage increase in the consumer price index from December of the r. r; year preceding the last general election year to December of the year preceding the year px in which the determination is made. The dollar amounts used for the preceding general , . ` election year must be multiplied by that percentage. The product of the calculation i Jnust be added to each dollar amount to produce the dollar limitations to be in effect for the next general election. The product must be rounded up to the next highest whole dollar. The index used must be the revised consumer price index for all urban consum- ; 'rs for the St. Paul- Minneapolis metropolitan area prepared by the United States Department of Labor with 1982 as a base year. ;p- Subd. 2. Transitional period. (a) The dollar amounts provided in section 10A.25, "subdivision 2, must be adjusted for 1988 in the manner provided in subdivision 1, zcept that the percentage increase in the consumer price index must be determined from April of 1986 to December of 1987 and the adjustment must be calculated by the * �exeeutive director by June 1, 1988. (b) Except for the office of state representative in the legislature, the dollar } amounts provided in section 10A.25, subdivision 2, must be adjusted for 1990 in the ' manner provided in subdivision 1, except that the percentage increase in the consumer 4 "price index must be determined from April of 1986 to December of 1989 and the Fadjustment must be calculated by the executive director by June 1, 1990. 'Subd. 3. Publication of expenditure limit. By June 15 of each election year the and shall publish in the State Register the expenditure limit for each office for that _ 6ridar year under.section 10A.25 as adjusted b ad this section. 1 y a, History: 1980 c 587 art 3 s 3; 1987 c 214 s 7,• 1988 c 707 s 3; 1990 c 608 art 3 s 16; 91 c349s16 1� .�OA.26 [Repealed, 1978 c 463 s 109] i 10A.265 ETHICS IN GOVERNMENT 224 } 10A.265 FREEDOM TO ASSOCIATE AND COMMUNICATE. Nothing in this chapter shall be construed as abridging the right of an association to communicate with its members. History: 1978 c 463 s 75 10A.27 ADDITIONAL LIMITATIONS. Subdivision 1. Contribution limits. Except as provided in subdivisions 2 and 6, no } candidate shall permit the candidate's principal campaign committee to accept contri- butions from any individual, political committee, or political fund in excess of the fol- lowing: j (a) To candidates for governor and lieutenant governor running together, $20,000 in an election year for the office sought and $3,000 in other years; (b) To a candidate for attorney general, $10,000 in an election year for the office j , f sought and $2,000 in other years; f (c) To a candidate for the office of secretary of state, state treasurer or state audi- t tor, $5,000 in an election year for the office sought and $1,000 in other years; £- (d) To a candidate for state senator, $1,500 in an election year for the office sought and one -third of that amount in other years; and t 4 ' (e) To a candidate for state representative, $750 in an election year for the office f sought and one -third of that amount in the other year. Subd. 2. No candidate shall permit the candidate's principal campaign committee to accept contributions from any political party in excess of five times the amount that 7 may be contributed to that candidate by a political committee as set forth in subdivi- sion 1. Subd. 3. [Repealed, 1978 c 463 s 109] Subd. 4. For the purposes of this section, a political party means the aggregate of the party organization within each house of the legislature, the state party organization, w and the party organization within congressional districts, counties, legislative districts, 1.' municipalities, and precincts. Subd. 5. Nothing in this section shall be construed as limiting independent expen- ditures on behalf of a candidate. 1 Subd. 6. Nothing in this section shall be construed as limiting the amount which x ! may be contributed by a candidate for the purpose of influencing; the candidate's own nomination or election. Subd. 7. Contributions and approved expenditures made prior to February 28, ( 1978 which are in excess of the limits imposed by this section shall not be in violation of this section but shall be disclosed as required by this chapter. j Subd. 8. No candidate shall permit the candidate's principal campaign committee + to accept a loan from other than a financial institution for an amount in excess of the contribution limits imposed by this section. No candidate shall permit the candidate's principal campaign committee to accept any loan from a financial. institution for which t , that financial institution may hold any endorser of that loan liable to pay any amount in excess of the amount that the endorser may contribute to that candidate. Subd. 9. A candidate's principal campaign committee shall :not accept in any cal- I' endar year aggregate contributions in an amount greater than the maximum.amount allowed under subdivision 1 from another candidate's principal campaign committee z' I or any other committee bearing the contributing candidate's name or title or otherwise authorized by the contributing candidate. History: 1974 c 470 s 27,• 1976 c 307 s 24; 1978 c 463 s 76 -82; 1978 c 793 s 38; 1986 c 444, 1990 c 608 art 3 s 17,18; 1991 c 349 s 17 s 10A.275 MULTICANDIDATE POLITICAL PARTY EXPENDITURES. Subdivision 1. Exceptions. Notwithstanding any other provisions of this chapter, i� <� f ETHICS IN GOVERNMENT 10A.28 _ I the following expenditures by a state political party, a party unit, or two or more party e>iitits acting together, with at least one party unit being either: the state party organiza- tion or the party organization within a congressional district, county, or legislative dis- trict, shall not be considered contributions to or expenditures on behalf of any candidate for the purposes of section 10A.25 or 10A.27, and shall not be allocated to any candidates pursuant to section 10A.22, subdivision 5: r ^. (a) expenditures on behalf of candidates of that party generally without referring e t any of them specifically in any advertisement published, posted or broadcast; a expenditures for the preparation, display, mailing -� ` (b) P P P P Y� g or other distribution of an epicial party sample ballot listing the names of three or more individuals whose names are to appear on the ballot; (c) expenditures for any telephone conversation including the names of three or more individuals whose names are to appear on the ballot; (d) expenditures for any political party fundraising effort on behalf of three or %:more candidates; or (e) expenditures for party committee staff member services that benefit three or more candidates. "v .% 2. Application. This section applies to a political committee of a political as defined in section l 0A.27, subdivision 4. i Subd. 3. Party unit. For purposes of this section, "party unit" means the party «'organization within each house of the legislature; the state party organization; or the party organization within a congressional-district, county, legislative district, munici- pality, or precinct. History: 1978 c 463 s 83; 1983 c 216 art 1 s 1; 1990 c 608 art 3 s 19 : k no r, 3 10A.28 PENALTY FOR EXCEEDING LIMITS. 4 Subdivision 1. Candidate exceeding expenditure limits. A candidate subject to the expenditure limits in section 10A.25 who permits the candidate's principal campaign committee to make expenditures or permits approved expenditures to be made on the ' Candidate's behalf in excess of the limits imposed by section 10A.25, as adjusted by sec- tion IOA.255, is subject to a civil fine up to four times the amount which the expendi- tures exceeded the limit. Subd. 2. A candidate who permits the candidate's principal campaign committee ..to.accept contributions in excess of the limits imposed by section 10A.27 shall be sub- }} jest to a civil fine of up to four times the amount by which the contribution exceeded I t<he limits. >t c� . + Subd. 3. If the board finds that there is reason to believe that excess expenditures j have been made or excess contributions accepted contrary to the provisions of subdivi- ! Sion 1 or 2 the board shall make every effort for a period of not less than 14 days after j }ts finding to correct the matter by informal methods of conference and conciliation and J to enter a conciliation agreement with the person involved. A conciliation agreement made pursuant to this subdivision shall be a matter of public record. Unless violated, z .a`Conciliation agreement shall be a bar to any civil proceeding under subdivision 4. i Subd. 4. If the board is unable after a reasonable time to correct by informal meth- r bids any matter which constitutes probable cause to believe that excess expenditures Save been made or excess contributions accepted contrary to subdivision 1 or 2, the 3 board shall make a public finding of probable cause in the matter. After making a public priding, the board shall bring an action, or transmit the finding to a county attorney who R Aall bring an action, in the district court of Ramsey county or, in the case of a legisla- ive candidate, the district court of a county within the legislative district, to impose It civil fine as prescribed by the board pursuant to subdivision 1 or 2. All money recov- EI 1d, pursuant to this section shall be deposited in the general fund of the state. t1" History: 1974 c 470 s 28; 1975 c 271 s 6; 1978 c 463 s 84; 1986 c 444; 1990 c 608 `3 s 20 �l u, 10A.29 ETHICS IN GOVERNMENT 226 } ` 10A.29 CIRCUMVENTION PROHIBITED. Any attempt by an individual or association to circumvent the provisions of this chapter by redirecting funds through, or contributing funds on behalf of, another indi- 1,< vidual or association is a gross misdemeanor. History: 1974 c 470 s 29; 1978 c 463 s 85 10A.30 STATE ELECTIONS CAMPAIGN FUND. 1 Subdivision 1. There is hereby established an account within the special revenue s n fund." fund of the state to be known as the "state elections campaign � P g Subd. 2. Separate account. Within the state elections campaign fund account there shall be maintained a separate political party account for the state committee and the ' candidates of each political party and a general account. k History: 1974 c 470 s 30; 1976 c 307 s 25; 1978 c 463 s 86, 1990 c 608 art 3 s 21; f . 1991 c 349 s 18 10A.31 DESIGNATION OF INCOME TAX PAYMENTS. { ; Subdivision 1. Every individual resident of Minnesota who files an income tax return or a renter and homeowner property tax refund return with the commissioner of revenue may designate on their original return that $5 shall be paid from the general 1 fund of the state into the state elections campaign fund. If a husband and wife file a joint return, each spouse may designate that $5 shall be paid. No individual shall be allowed t to designate $5 more than once in any year. Subd. 2. The taxpayer may designate that the amount designated be paid into the' account of a political party or into the general account. Subd. 3. Form. The commissioner of the department of revenue shall provide on fv the first page of the income tax form and the renter and homeowner property tax refund return a space for the individual to indicate a wish to allocate $5 ($10 if filing a joint r return) from the general fund of the state to finance election campaigns. The form shall also contain language prepared by the commissioner which permits the in to direct the state to allocate the $5 (or $10 if filing a joint return) to: (i) one of the major political parties; (ii) any minor political party as defined in section I OA.01, subdivision 13, which qualifies under the provisions of subdivision 3a; or (iii) all qualifying candi- dates as provided by subdivision 7. The renter and homeowner property tax refund 1 return shall include instructions that the individual filing the return may designate $5 ? on the return only if the individual has not designated $5 on the income tax return. Subd. 3a. A minor political party as defined in section 10A.01, subdivision 13 a,f qualifies for inclusion on the income tax form and property tax refund return as pro- r '`, vided in subdivision 3, provided that if (1) (a) if a petition is filed, it is filed by June 1 of the taxable year; or (b) if the party ran a candidate for statewide office, that office must have been the office of governor and lieutenant governor, secretary of state, state auditor, state trea- surer, or attorney general; and (2) the secretary of state certifies to the commissioner of revenue by July 1, 1984, and by July 1 of every odd - numbered year thereafter the parties which qualify as minor political parties under this subdivision. A minor party shall be certified only if the secretary of state determines that the party satisfies the following conditions: a (a) the party meets the requirements of section 10A.01, subdivision 13, and in the � Ii I last applicable election ran a candidate for the statewide offices listed in clause (1)(b) of this subdivision; (b) it is a political party, not a principal campaign committee; 1 (c) it has held a state convention in the last two years, adopted a state constitution, l i and elected state officers; and (d) an officer of the party has filed with the secretary of state a certification that I,' T ETHICS IN GOVERNMENT 10A.31 i - A ` the party held a state convention in the last two years, adopted a state constitution, and t elected state officers. Subd. 4. The amounts designated by individuals for the state elections campaign t ;. ;,. mod, less three percent, are appropriated from the general fund and shall be credited ,. to the appropriate account in the state elections campaign fund and annually appropri- steel for distribution as set forth in subdivisions 5, 6 and 7. An amount equal to three percent shall be retained in the general fund for administrative costs. 7' } ,.i " Subd. 5. In each calendar year the money in the general account shall be allocated to candidates as follows: a' t{ .1W `(1) 21 percent for the offices of governor and lieutenant governor together; (2) 3.6 percent for the office of attorney general; .s 1.8 percent each for the offices of secretary of state, state auditor, and state trea- surer, In each calendar year during the period in which state senators serve a four- _` } year term, 23 -1/3 percent for the office of state senator, and 46 -2/3 percent for the office of state representative; f In each calendar year during the period in which state senators serve a two -year 1' term, 35 percent each for the offices of state senator and state representative. In each calendar year the money in each party account shall be allocated as follows: (1) 14 percent for the offices of governor and lieutenant governor together; (2) 2.4 percent for the office of attorney general; (3) 1.2 percent each for the offices of secretary of state, state auditor, and state trea- surer, (4) In each calendar year during the period in which state senators serve a four- year term, 23 -1/3 percent for the office of state senator, and 46 -2/3 percent for the office l . of state representative; J O ,`(5) In each calendar year during the period in which state senators serve a two -year term, 35 percent each for the offices of state senator and state representative; .'(6) ten percent for the state committee of a political party; money allocated to each # state committee under this clause must be deposited in a separate account and must be spent for only those items enumerated in section 10A.275; money allocated to a state dommittee under this clause must be paid to the committee by the state treasurer as *" notified by the state ethical practices board as it is received in the account on a monthly t axis, with payment on the 15th day of the calendar month following the month in 3 which the returns were processed by the department of revenue, provided that these r'distributions would be equal to 90 percent of the amount of money indicated in the i department of revenue's weekly unedited reports of income tax returns and property fax'refund returns processed in the month, as notified by the department of revenue ' t0 the state ethical practices board. The amounts paid to each state committee are sub- `ject to biennial adjustment and settlement at the time of each certification required of 'the commissioner of revenue under subdivisions 7 and 10. If the total amount of pay- ' ments received by a state committee for the period reflected on a certification by the ' r department of revenue is different from the amount that should have been received 'during the period according to the certification, each subsequent monthly payment r ust be increased or decreased to the fullest extent possible until the amount of the t O�!erpayment is recovered or the underpayment is distributed. 11.70 assure that moneys will be returned to the counties from which they were col - lected, and to assure that the distribution of those moneys rationally relates to the sup - eQft; for particular parties or for particular candidates within legislative districts, >ittbiiey from the party accounts for legislative candidates shall be distributed as follows: Each candidate for the state senate and state house of representatives whose name �Etto appear on the ballot in the general election shall receive money from the candi- j date's party account set aside for candidates of the state senate or state house of repre- ktttatives, whichever applies, according to the following formula; j i '�1 x� } 10A.31 ETHICS IN GOVERNMENT 228 For each county within the candidate's district the candidate's share of the dollars allocated in that county to the candidate's party account and set aside for that office ! shall be: (a) The sum of the votes cast in the last general election in that part of the county � in the candidate's district for all candidates of that candidate's party (i) whose names i appeared on the ballot in each voting precinct of the state and (ii) for the state senate ' I and state house of representatives, divided by (b) The sum of the votes cast in that county in the last general election for all candi- dates of that candidate's party (i) whose names appeared on the ballot in each voting z ., precinct in the state and (ii) for the state senate and state house of representatives, mul- tiplied by (c) The amount in the candidate's party account allocated in that county and set aside for the candidates for the office for which the candidate is running. The sum of all the county shares calculated in the formula above is the candidate's share of the candidate's party account. In a year in which an election for the state senate occurs, with respect to votes for candidates for the state senate only, "last general election" means the last general elec- tion in which an election for the state senate occurred. For any party under whose name no candidate's name appeared on the ballot in each voting precinct. in the state in the last general election, amounts in the party's account shall be allocated based on (a) the number of eo le voting i n P P the last g general election in that part of the county in the candidate's district, divided by (b) the number of the people voting in that county in the last general election, multiplied by (c) the amount in the candidate's party account allocated in that county and set aside for the candidates for the office for which the candidate is running. In a year in which the first election after a legislative reapportionment is held, "the candidate's district" means the newly drawn district, and voting data from the last gen- eral election will be applied to the area encompassing the newly drawn district notwith- standing that the area was in a different district in the last general election. ' If in a district there was no candidate of a party for the state senate or state house of representatives in the last general election, or if a candidate for the state senate or state house of representatives was unopposed, the vote for that office for that party shall A be the average vote of all the remaining candidates of that party in each county of that district whose votes are included in the sums in clauses (a) and (b). The average vote shall be added to the sums in clauses (a) and (b) before the calculation is made for all i; districts in the county. r Money from a party account not distributed to candidates for state senator and representative in any election year shall be returned to the general fund of the state. i Money from a party account not distributed to candidates for other offices in an elec.; tion year shall be returned to the party account for reallocation to candidates as pro- vided in clauses (1) to (6) in the following year. Money from the general account refused by any candidate shall be distributed to all other qualifying candidates in proportion to their shares as provided in this subdivision. Subd. 6. Within two weeks after certification by the state canvassing board of the F results of the primary, the state treasurer shall distribute the available funds in each I party account, as certified by the commissioner of revenue on September 15, to the can - ' didates of that party who have signed the agreement as provided in section 10A.322, and whose names are to appear on the ballot in the general election, according to the allocations set forth in subdivision 5. + Subd. 7. Within two weeks after certification by the state canvassing board of the results of the general election, the state treasurer shall distribute the available funds in j, the general account, as certified by the commissioner of revenue on November 15 and according to allocations set forth in subdivision 5, in equal amounts to all candidates for each statewide office who received at least five percent of the votes cast in the general election for that office, and to all candidates for legislative office who received at least `. l t•,. F 9 ETHICS IN GOVERNMENT 10A.315 ten percent of the votes cast in the general election for the specific office for which they were candidates. The board shall not use the information contained in the report of the ' principal campaign committee of any candidate due ten days before the general election for the purpose of reducing the amount due that candidate from the general account. Subd. 8. Within one week after certification by the state canvassing board of the results of the primary, the board shall certify to the state treasurer the name of each .:'candidate who has signed the agreement as provided in section 10A.32, subdivision 3, I -pnd the amount the candidate is to receive from the available funds in the candidate's ! account. '$ubd. 9. Within one week after certification by the state canvassing board of the �ults.of the general election, the board shall certify to the state treasurer the name of cti candidate who is qualified to receive funds from the general account, together with ,1 1 " lount the candidate is to receive from the available funds in the general account. uSubd. 10. Distribution. In the event that on the date of either certification by the lnmissioner of revenue as provided in subdivisions 6 and 7, less than 98 percent of e.fax returns have been processed, the commissioner of revenue shall certify to the board on December 7 the amount accumulated in each account since the previous certi- fi cation. Within one week thereafter, the board shall certify to the state treasurer the amount to be distributed to each candidate according to the allocations as provided in ^subdivision 5. As soon as practicable thereafter, the state treasurer shall distribute the ?' ain6unts to the candidates in the form of checks made "payable to the campaign fund Of .....(name of candidate)......." Any money accumulated after the final certification { &ll be maintained in the respective accounts for distribution in the next general elec- } tton' year. !`t. ' Subd. 11. For the purposes of this section, a write -in candidate is a candidate only u complying with the provisions of section 10A.32, subdivision 3. 112x7: History: 1974 c 470 s 31; 1975 c 271 s 6; 1976 c 307 s 26 -33; 1978 c 463 s 87 -95; 100 c 587 art 3 s 4 -6; 1981 c 343 s 1; 1982 c 523 art 5 s 1; 1983 c 216 art I s 2; 1984 Yt "J02 art 2 s 1,2; 1984 c 514 art 2 s 1; 1985 c 248 s 3; 1Sp1985 c 14 art 1 s 1,2; 1986 c `444 1987 c 268 art 1 s 1 -3; 1988 c 686 art 1 s 42; 1Sp1989 c 1 art 10 s 1; 1990 c 480 art S 1; 1991 c 199 art 2 s 1; 1991 c 349 s 19,20,• 1992 c 513 art 3 s 20 10A.315 SPECIAL ELECTION SUBSIDY. (a) Each eligible candidate for a legislative office in a special election must be paid jyublic subsidy equal to the sum of- the party account money at the last general election for the candidate's party .: `for the office the candidate is seeking; and 4 1 1f r.(2) the general account money paid to candidates for the same office at the last gen- election. i gltil.(b) If the filing period for the special election does not coincide with the filing period for the general election, a candidate who wishes to receive this public subsidy must submit a signed agreement under section 10A.322 to the board not later than the i day after the candidate files the affidavit of candidacy or nominating petition for the [ 'olfice.To receive a subsidy, the candidate must meet the matching requirements of see- 'on 10A.323, except that the dates in that section do not apply to a special election in Mich the filing period does not coincide with the filing period for the general election. .,the extent feasible, the special election subsidy must be distributed in the same man- r money in the party and general accounts is distributed to legislative candidates pia general election. 'h(c) The amount necessary to make the payments required by this subdivision is #ppropriated from the general fund to the state treasurer. j ( 'History: 1990 c 608 art 3 s 22 { o: 1 0A.316 [Never effective] lOA:32 q Subdivision 1. MS 1988 [Repealed, 1990 c 608 art 3 s 32 ] e p s k t_ 10A.321 ETHICS IN GOVERNMENT 230 Subd. 2. MS 1988 [Repealed, 1990 c 608 art 3 s 32] Subd. 3. MS 1988 [Repealed, 1990 c 608 art 3 s 32] Subd. 3a. MS 1989 Supp [Repealed, 1990 c 608 art 3 s 32] Subd. 3b. MS 1986 [Repealed, 1988 c 686 art 1 s 83; 1988 c 707 s 5] Subd. 4. MS 1988 [Repealed, 1990 c 608 art 3 s 32] t 10A.321 ESTIMATES OF MINIMUM AMOUNTS TO BE RECEIVED. Subdivision 1. Calculation and certification of estimates. The commissioner of rev- enue shall calculate and certify to the board before July I in an election year an estimate ` of the total amount in the state general account of the state elections campaign fund and the amount of money each candidate who qualifies, as provided in section I OA:31, subdivisions 6 and 7, may receive from the candidate's party account in the state elec- tions campaign fund. This estimate must be based upon the allocations and formulas ¢ in section 1 OA. 31, subdivision 5, any necessary vote totals provided by the secretary of state to apply the formulas in section IOA.31, subdivision 5, and the amount of f ,! money expected to be available after 100 percent of the tax returns have been pro- cessed. Subd. 2. Publication, certification, and notification procedures. Before the first day of filing for office, the board shall publish and forward to all filing officers the estimates calculated and certified under subdivision 1 along with a copy of section I OA.25, subdi- vision 10. Within seven days after the last day for filing for office, the secretary of state shall certify to the board the name, address, office sought, and party affiliation of each candidate who has filed with that office an affidavit of candidacy or petition to appear on the ballot. The auditor of each county shall certify to the board the same information ri for each candidate who has filed with that county an affidavit of candidacy or petition to appear on the ballot. Within seven days afterward, the board shall estimate the mini - mum amount to be received by each candidate who qualifies, as provided in section 1 OA. 31, subdivisions 6 and 7. By August 15 the board shall notify all candidates of their minimum amount. The board shall include with the notice a form for the agreement provided in section 10A.322 along with a copy of section 10A.25, subdivision 10. History: 1990 c 608 art 3 s 23 } P 10A.322 PUBLIC SUBSIDY AGREEMENTS. l: Subdivision 1. Agreement by candidate. (a) As a condition of receiving a public. sub- r sidy from the state elections campaign fund, a candidate shall sign and file with the �? board a written agreement in which the candidate agrees that the candidate will comply ' with sections 10A.25 and 10A.324. (b) Before the first day of filing for office, the board shall forward agreement forms to all filing officers. The board shall also provide agreement forms to candidates on request at any time. The candidate may sign an agreement and submit it to the filing I; 14 officer on the day of filing an affidavit of candidacy or petition to appear on the ballot, in which case the filing officer shall without delay forward signed agreements to the board. Alternatively, the candidate may submit the agreement directly to the board at s any time before September 1 preceding the general election. An agreement may not be ` -, signed or rescinded after that date. (c) The board shall forward a copy of any agreement signed under this subdivision j to the commissioner of revenue. (d) Notwithstanding any provisions of this section, when a vacancy occurs that will be filled by means of a special election and the filing period does not coincide with the filing period for the general election, a candidate may sign and submit a spending E limit agreement at any time before the deadline for submission of a signed agreement f I! under section 10A.315. 7 I k li� Subd. 2. How long agreement is effective. The agreement, insofar as it relates to the � expenditure limits in section 10A.25, as adjusted by section 10A.255, remains effective P for candidates until the dissolution of the principal campaign committee of the candi- a l ETHICS IN GOVERNMENT 10A.324 date or the day filings open for the next succeeding election to the office held or sought the agreement, whichever occurs first. at the time of V ' i — Subd. 3. Estimate; actual amount. For the purposes of subdivisions 1 to 3 only, the �ota1 amount to be distributed to each candidate is calculated to be the candidate's sure of the total estimated funds in the candidate's party account as provided in sec- tion 10A.321, subdivision 1, plus the total amount estimated as provided in section 10A.321, subdivision 1, to be in the general account of the state elections campaign ftind and set aside for that office divided by the number of candidates whose names are to appear on the general election ballot for that office. If for any reason the amount actu- 11y received by the candidate is greater than the candidate's share of the estimate, and e'contributions thereby exceed the difference, the agreement must not be considered Ziolated. - fr Subd. 4. Refund receipt forms; penalty. The board shall make available to a politi- party on request and to any candidate for whom an agreement under this section F effective, a supply of official refund receipt forms that state in boldface type that (1) A contributor who is given a receipt form is eligible to claim a refund as provided in r Section 290.06, subdivision 23, and (2) if the contribution is to a candidate, that the candidate has signed an agreement to limit campaign expenditures as provided in this section. The forms must provide duplicate copies of the receipt to be attached to the Contributor's claim. A candidate who does not sign an agreement under this section and wh'o willfully issues an official refund receipt form or a facsimile of one to any of the candidate's contributors is guilty of a misdemeanor. can e , History: 1990 c 608 art 3 s 24; 1991 c 291 art 6 s 1,2 10A.323 MATCHING REQUIREMENTS. 1 ' In addition to the requirements of section 10A.322, to be eligible to receive a pub- lic subsidy from the state elections campaign fund a candidate shall file an affidavit with f the board stating that during that calendar year the candidate has accumulated contri- butions, including unexpended balances from the year before, equal to 20 percent or - more of the minimum amount that the board estimates, on August 15 of the general election year, would be received by the candidate from the state elections campaign fund. The candidate or the candidate's treasurer shall submit the affidavit required by this subdivision to the board in writing by October 1 of the general election year. 7 -History: 1990 c 608 art 3 s 25 10A.324 RETURN OF PUBLIC SUBSIDY. ci. Subdivision 1. When return required. A candidate shall return all or a portion of ',fhe public subsidy received from the state elections campaign fund under the circum- " stances in paragraph (a), (b), or (c). (a) To the extent that the amount of public subsidy received by the candidate exceeds the expenditure limits for the office held or sought, as provided in section 1 {'IOA.25 and as adjusted by section 10A.255, the treasurer of the candidate's principal 'campaign committee shall return the excess to the board. d r °(b) To the extent that the amount of public subsidy received exceeds the aggregate actual expenditures made by the principal campaign committee of the candidate; i 8fld (2) approved expenditures made on behalf of the candidate, the treasurer of the ' Candidate's principal campaign committee shall return an amount equal to the differ- j enCe to the board. ! i (c) Except for an amount equal to 25 percent of the expenditure limits set forth 1ri'Section 10A.25, but not exceeding $15,000, any amount by which the aggregate con- e ttibutions and a pproved expenditures agreed to exceed the difference between: (1) the Nnount which legally may be expended by or for the candidate; and (2) the amount the, ►didate,receives from the state elections campaign fund must be returned to the state �easprer,.deposited in the state treasury, and credited to the general fund. V 2. Calculation. Money in the account of the principal campaign committee 3 T I 10A.324 ETHICS IN GOVERNMENT 232 of a candidate on January 1 of the election year for the office held or sought must b considered contributions accepted by that candidate in that year for the purposes of this subdivision. The portion of contributions accepted by a candidate in an election year that equals the amount of noncampaign disbursements and contributions and expenditures to promote or defeat a ballot question that are made by that candidate in that year does not count toward the aggregate contributions and approved expendi- ture limit imposed by this section. Subd. 3. How return determined. Whether or not a candidate is required under sub. division 1 to return all or a portion of the public subsidy received from the state elec- tions campaign fund must be determined from the report required to be filed with the r $ board by that candidate by January 31 of the year following an election. For purposes of this section, a transfer from one principal campaign committee to another principal campaign committee or to a political party is considered to be a noncampaign disburse - ment. Any amount required to be returned must be submitted in the form of a check or money order and must accompany the report filed with the board. The board shall forward the check or money order to the state treasurer for deposit in the general fund. The amount returned must not exceed the amount of public subsidy received by the j candidate from the state elections campaign fund. `+ s, Subd. 4. Return not required. A candidate whose campaign spending is unlimited under conditions imposed by section 10A.25, subdivision 10, and who certifies that the candidate made campaign expenditures equal to the full amount of the public financing received is not required to return any portion of the money received from the state elec- tions campaign fund under the aggregate contribution limit provisions of this section. History: 1990 c 608 art 3 s 26; 1991 c 349 s 21 ` 10A.325 POLITICAL PARTY NOT HAVING CERTAIN CANDIDATES. If money has been accumulated in the state elections campaign fund for the candi- dates of a political party, and the party does not have a candidate in a general election for the office of state senator or state representative, the party account money allocated f ; for the office for which there is no candidate must be returned to the general fund of the state. If that party does not have a candidate in a general election for any state con - -- stitutional office, the party account money allocated for that office must be transferred ?i to the state general account of the state elections campaign fund for reallocation to all of the candidate offices as provided in section I OA. 31, subdivision 5, and for distribu- tion in that election year to candidates as provided in section 10A.31, subdivision 7. History: 1990 c 608 art 3 s 27 10A.33 [Repealed, 1990 c 608 art 3 s 32] 3 10A.335 LEGISLATIVE MONITORING OF TAX CHECKOFF. For the purpose of determining whether the distribution formula provided in sec- tion I OA. 31, subdivision 5, (a) assures that money will be returned to the counties from „i which they were collected, and (b) continues to have a rational relation to the support for particular parties or particular candidates within legislative districts, it is the inten- tion of this section that future legislatures monitor, using statistical data provided by I R the department of revenue, income tax returns and renter and homeowner property tax j. r ill refund returns on which $2, or in the case of a joint return, $4, is designated for a politi- cal party. z History: 1978 c 463 s 103; 1983 c 216 art 1 s 3 ! 'J 10A.34 REMEDIES. Subdivision 1. A person charged with a duty under sections l OA.02 to 10A.34 shall be personally liable for the penalty for failing to discharge it. W Subd. 1a. The board may bring an action in the district court in Ramsey county to recover any late filing fee imposed pursuant to any provision of this chapter. All ' money recovered shall be deposited in the general fund of the state. ETHICS IN GOVERNMENT 10A.40 t •,�; Subd. 2. The board or a county attorney may seek an injunction in the district court to enforce the provisions of sections 10A.02 to 10A.34. xi�k: Subd. 3. Unless otherwise provided, a violation of sections I OA.02 to 10A.34 is F E ;jot a crime. :`' History: 1974 c 470 s 34; 1975 c 271 s 6; 1978 c 463 s 104 i t , r. CONGRESSIONAL CAMPAIGN REFORM jT- 10A.40 LEGISLATIVE FINDINGS OF FACT; LEGISLATIVE INTENT. 1 xySubdivision 1. Campaign financing; findings of fact. The legislature finds that: the spending on campaigns for congressional office has increased to a disgrace - p� ; ful level and continues to rise;: 4'''' (2) the need to raise campaign contributions has caused Minnesota congressional candidates to aggressively solicit contributions from special interest groups and out -of- state sources, which diverts them from meeting Minnesota voters and publicly debating ., the pressing issues of the day; 1 (3) the current practice of congressional campaign contributions and spending, k t along with ethical scandals in Washington, D.C., have created a public perception of "political corruption and undue influence by wealthy special interests; (4) the United States Congress has debated necessary reforms for years but has failed to act, and the Federal Elections Campaign Act does not provide a means to encourage congressional candidates to voluntarily limit the amount of money they spend in campaigns; and G. (5) as a consequence, Minnesota's representation in Congress is jeopardized and the public's confidence in our elected congressional representatives is weakened. Subd. 2. Purpose. (a) In order to redress the problems described in subdivision 1, it is necessary to encourage congressional candidates to voluntarily limit the amount of money they spend on campaigns. A further purpose is to achieve the same successful results in congressional campaigns that have made Minnesota's state campaign spend- l Mg system a model for the nation in the 15 years since its adoption. (b) Laws 1990, chapter 608, article 4, is intended to address the problems =" described in subdivision I as follows: (1) by establishing voluntary limitations on campaign spending, candidates are discouraged from escalating campaign spending through the current means of financing campaigns, and campaign spending will likely be curtailed; (2) by providing an alternate source of financing, congressional candidates will be less susceptible to political corruption and less dependent on special interests, which will enhance the public's confidence in their congressional representatives; '1 (3) by allowing candidates to focus on public issues rather than fundraising, the public will be better served in its representation and its opportunity to select the better candidate; i li ,(4) by reducing the influence of special interest groups and out -of -state contribu- t0ns,,the integrity of the process and the confidence of the public in their public ser- ;wants will be enhanced; and It " (5) as a consequence, Minnesota will build on the success of its system of voluntary k expenditure limits. w V `:, Subd. 3. Legislative intent. In enacting sections IOA.40 to l OA. 51, the legislature f . t— concert ends to provide a system to encourage voluntary campaign expenditure limits that, with the existing federal law and rules, will provide a comprehensive system Of.Campaign and election regulation. The legislature does not intend to enact legislation t�iat is in conflict with existing federal law, and does not intend to regulate where spe- Ciific federal laws have already been enacted. *; s�'History: 1990 c 608 art 4 s 1 10A.41 ETHICS IN GOVERNMENT 234 t 10A.41 DEFINITIONS. i Subdivision 1. Application. The definitions in this section apply to sections 10A.40 to I OA. 51. Where consistent with federal law, the definitions in section IOA.01 also apply to sections I OA. 40 to I OA. 51. Subd. 2. Authorized committee. "Authorized committee" means the principal campaign committee or another political committee designated and authorized by a congressional candidate under United States Code, title 2, section 432, subsection I (e)(1), to receive contributions or make expenditures on behalf of that congressional candidate. Subd. 3. Campaign expenditure; expenditure. "Campaign expenditure" or "ex- penditure" means "expenditure" as that term is defined under United States Code, title '< 2, section 431, paragraph (9). Subd. 4. Congressional candidate. "Congressional candidate" means an individual who seeks nomination or election to the United States Senate or United States House of Representatives from this state and who is a "candidate" as that term is defined under United States Code, title 2, section 431, paragraph (2). A congressional candidate is not a "candidate" as defined in section 10A.01, subdivision 5. Subd. 5. Contribution. "Contribution" means a "contribution" as that term is defined under United States Code, title 2, section 431, paragraph (8). t- Subd. 6. Independent candidate. "Independent candidate" means a congressional candidate who is not the candidate of a major political party, minor political party, or new political party. Subd. 7. Minor political party. "Minor political party" means any political party under whose name in the last state general election a candidate filed for statewide or congressional office and received less than five percent but more than three percent of + the vote for that office. Subd. 8. New political party. "New political party" means a political party that is t neither a major political party nor a minor political party. Subd. 9. Political committee. "Political committee" means a "political committee" as that term is defined under United States Code, title 2, section 431, paragraph (4). "Political committee" includes a major political party, a minor political party, a princi- ' pal campaign committee, and an authorized committee. Subd. 10. Principal campaign committee. "Principal campaign committee" means a political committee designated and authorized by a congressional candidate under a ` United States Code, title 2, section 432, subsection (e)(1). f. " ! History: 1990 c 608 art 4 s 2 (, 10A.42 LIMITATION ON APPLICATION. y The provisions of sections I OA. I I to I OA.24 relating to the organization, registra- tion, and administration of and reporting and disclosure by political funds and political committees, including principal campaign committees, do not apply to congressional candidates and authorized committees of congressional candidates. The organization, r� registration, and administration of and reporting and disclosure by authorized commit- tees of congressional candidates are governed by United States Code, title 2, chapter 14. History: 1990 c 608 art 4 s 3 10A.43 EXPENDITURE LIMIT AGREEMENT. Subdivision I. Financial incentive. (a) The state treasurer shall pay a financial i I incentive to each congressional candidate of a major political party or minor political} ; party whose name will appear on the ballot in a general or special election, who has signed an agreement to limit campaign expenditures as provided in this section, and who is abiding by the agreement. In the case of an independent or new political party' candidate, the congressional candidate must in addition receive more than three per- i � ,I �i ETHICS IN GOVERNMENT 10A.43 T i Cent of the vote cast at the general election for the office sought. An incentive is not pay - able to a congressional candidate whose name appears only on the ballot in a primary , but an incentive paid to a candidate in a general or special election may be f , used to pay expenses or retire debt incurred in the primary campaign. The state trea- surer shall distribute the financial incentive in the form of a check made "payable to the campaign fund of ....(name of candidate)....." :. (b) The amount of the incentive is up to 25 percent of the expenditure limit for a congressional candidate for the office of United States senator and up to 25 percent ` 'pf the expenditure limit for a congressional candidate for the office of representative in Congress. t Subd. 2. Agreement. As a condition of receiving an incentive, a congressional can- E "date shall sign and file with the board an agreement that the aggregate of expenditures made by the authorized committees of the congressional candidate will not exceed the expenditure limits in section 10A.44. The expenditure limits apply only to congressio- nal candidates who have agreed to be bound by the limits as a condition of receiving an incentive for their campaigns. Subd. 3. Submission of agreement. (a) Before the first day of filing for office, the board shall forward agreement forms to all filing officers. The board shall also make agreement forms available to congressional candidates on request at any time. 1 (b) The congressional candidate may sign an agreement and submit it, along with a copy of the candidate's federal designation of a principal campaign committee, to the wj filing officer on the day of filing an affidavit of candidacy or etition to appear on h P to PP ballot, in which case the filing officer shall without delay forward signed agreements to the board. Alternatively, for a general election the congressional candidate may obtain ' an agreement form from the board and submit the agreement, along with a copy of the t Candidate's federal designation of a principal campaign committee, directly to the {' board at any time before September 1 preceding the general election. " (c) An agreement may not be signed or rescinded after September 1 preceding the general election. ns: - (d) The board shall forward a copy of any agreement signed under this subdivision to the commissioner of revenue. t ` (e) Notwithstanding any provisions of this section, when a vacancy in a congres- sional office occurs that will be filled by means of a special election, and the filing period y! does not coincide with the filing period for the general election, a congressional candi- date may sign and submit a spending limit agreement at any time before one day after + the, candidate files an affidavit of candidacy or nominating petition for the office. sl, ., Subd. 4. How long agreement is effective. The agreement, insofar as it relates to the expenditure limits in section 10A.44, remains effective for congressional candidates "I , until the termination of the authorized committees of the congressional candidate, as 9 Provided under United States Code, title 2, section 433(d), the day filings open for the next succeeding election to the office held or sought at the time of agreement, or the t 8greement is rescinded by the candidate within the time limits provided by law, which- i Over occurs first. - ii "1n; Subd. 5. Credit receipt forms; penalty. The board shall make available to a political y on request and to any congressional candidate signing an agreement under this section a supply of official credit receipt forms that state in boldface type that (1) a con - butor who is given a receipt form is eligible to claim a credit as provided in section 0.06, subdivision 23, and (2) if the contribution is to a congressional candidate, that Candidate has signed an agreement to limit campaign expenditures as provided in this �tIon. A congressional candidate who does not sign an agreement under this section P d.who willfully issues an official credit receipt form or a facsimile of one to any of candidate's contributors is guilty of a misdemeanor. HIsto li:.: stor 1990 c 608 art 4 s 4; 1991 c 291 art 6 s 3,4; 1991 c 349 s 22 -24 d" 1 i lil��� 10A.44 ETHICS IN GOVERNMENT 236 10A.44 CONGRESSIONAL CAMPAIGN SPENDING LIMITS. Subdivision 1. Limits. During the calendar year in which an election is held for an office sought by a congressional candidate, no expenditures may be made by the autho- ? rized committees of that congressional candidate that result in an aggregate amount in {{ excess of the following: k (1) for United States senator, $3,400,000; and (2) for representative in Congress, $425,000. { A congressional candidate whose name will appear on the ballot in more than one general or special election in a year is subject to a separate spending limit for each elec- tion. For a candidate for representative in Congress in a special election, the expendi- ture limits`apply during the ten months before and the two months after the special election: For purposes of calculating aggregate expenditure amounts under this section, an expenditure by an authorized committee of a congressional candidate does not § i include an expenditure from an authorized committee of a congressional candidate to (` a state political party. EE Subd. 2. Adjustment by consumer price index. (a) The dollar amounts provided in r i subdivision .1 must be adjusted for general election years as provided in this subdivi- sion. By June 1 of the general election year, the executive director of the board shall i increase in the consumer determine the percentage rice index from December of the dete P P g f he year p receding the year 1 ction year to December o t year preceding the last e y y P g Y Y P g general e g in which the determination is made. The dollar amounts used for th e last general el ec - tion Y ear must be multiplied percentage. lied b that ercenta e. The product of the calculation must be added to each dollar amount to produce the dollar limitations to be in effect for the 1: next general election and any special elections for which filings open before a new limit is set. The product must be rounded up to the next highest whole dollar. The index used must be' the revised consumer price index for all urban consumers for the St. Paul- I� Minneapolis metropolitan area prepared by the United States Department of Labor f f with; 1982 as a base year. ' (b) The dollar amounts in subdivision 1 must be adjusted for races in years subse- quent. to 1990 in the manner provided in paragraph (a), and the last general election ?` year must be considered to be 1990 and the dollar amounts used for the last general election year for the offices of United States senator and representative in Congress € in be $3,400,000 and $425,000 respectively. E" (c) By June 15 of each year, the board shall publish in the State Register the expen- F diture limit for each office for that calendar year as adjusted under this subdivision. I . Subd. 3. Contested primary races. Notwithstanding the limits imposed by subdivi- sions 1 and 2, the winning congressional candidate in a contested race in a primary who receives less than twice as many votes as any one of the candidate's opponents in that primary may make aggregate expenditures equal to 120 percent of the applicable amount under subdivisions 1 and 2. s i4 Subd. 4. Postelection year expenditures. In any year preceding or following an elec- tion year for the office held or sought, the aggregate amount of expenditures on behalf !' of a congressional candidate for or holder of that office must not exceed 20 percent of I the expenditure limit in subdivisions I and 2. Subd. 5. Limitation conditional. (a) The expenditure limits imposed by this section apply as provided by this subdivision. (li) If all the congressional candidates seeking an office agree to be bound by the limits, no candidate may receive an incentive, but all candidates are bound by the lim- I' its. (c) If all major political party congressional candidates seeking an office agree to be bound by the limits, no such candidate of a major political party may receive an incentive, but all such candidates are bound by the limits. Ti � 11 (d) If a candidate of a major political party, minor political party or new political party, or an independent candidate, (i) agrees to be bound by the limits, and (ii) has f E an opponent who is a candidate of a major political party and who declines to be bound � � it i Y" i ETHICS IN GOVERNMENT 10A.48 y, limits, the candidate who agrees to limits is eligible to receive an incentive and js not bound by the limits. A Subd. 6. Certain postelection costs. After the election, a congressional candidate 06 is not a congressional incumbent and has been elected to Congress may spend an atount up to ten percent of the limits under subdivision 1 or 2 to defray transition q `Cpits; unless restricted by federal law. This money may be spent only for the costs of ti{tie transition that are incurred between the election and the date on which the elected G jgndidate begins congressional service and cannot be used to retire debts remaining from the primary or general election campaign. 1•i History: 1990 c 608 art 4 s 5; 1991 c 291 art 6 s 5; 1991 c 349 s 25 -27 ra {l: 16 0 A .45 CONTRIBUTION AND LOAN LIMITS. ; u 1::.;i i Contributions by or to a congressional candidate and loans to a congressional can- i date are governed by United States Code, title 2, chapter 14. V , History: 1990 c 608 art 4 s 6' 10A.46 MULTICANDIDATE POLITICAL PARTY EXPENDITURES. t ' Multicandidate political party expenditures with respect to congressional candi - 4 dates are governed by United States Code, title 2, section 431, paragraph (9). bl � History: 1990 c 608 art 4 s 7 10A:47 PENALTY FOR EXCEEDING LIMITS... h Subdivision 1. Expenditure limits. A congressional candidate subject to the expen- W dlture limits in section 10A.44 who permits the candidate's authorized committees to .; make aggregate expenditures on the candidate's behalf in excess of the limits imposed by section 10A.44 is subject to a civil fine of up to four times the amount by which the expenditures exceed the limit. Subd. 2. Contribution limits. A congressional candidate who permits the candi - date's authorized committees to accept contributions in excess of the limits imposed under United States Code, title 2, chapter 14, is subject to the penalties imposed by United States Code, title 2, section 437g. !, Subd. 3. Conciliation agreements. If the board finds that there is reason to believe that excess expenditures have been made contrary to subdivision 1, the board shall" Make every effort for not less than 14 days after its finding to correct the matter by infor- mal methods of conference and conciliation and to enter a conciliation agreement with f the person involved. A conciliation agreement made under this subdivision is a matter K- of public record. Unless violated, a conciliation agreement bars any civil proceeding under subdivision 4. x Subd. 4. Civil action. If the board is unable after a reasonable time to correct by F Informal methods any matter that constitutes probable cause to believe that excess _- expenditures have been made contrary to subdivision 1, the board shall make a public t nding of probable cause in the matter. After making a public finding, the board shall bring an action or transmit the finding to a county attorney who shall bring an action o impose a civil fine as prescribed by the board under subdivision 1. An action filed a$alnst a congressional candidate for United States senator must be brought in the dis- rict court of Ramsey county. An action filed against a congressional candidate for rep- 1 iMntative in Congress.may be brought in the district court of a county within the Ongressional candidate's congressional district or in the district court in Ramsey 4o4nty. All money recovered under this section must be deposited in the state treasury �tnd credited to the general fund. 1 i History: 1990 c 608 art 4 s 8 10A.48 MATCHING REQUIREMENTS. j In order to be eligible to receive a financial incentive, a congressional candidate ,L i 10A.48 ETHICS IN GOVERNMENT 238 must provide evidence to the board of contributions equal to the financial incentive. Except as otherwise provided by section 1 OA. 49, when a candidate submits an affidavit to the board showing contributions equal to at least one -fourth of the incentive amount, 1 # that amount will be paid to the candidate. A candidate may receive the incentive at any t time during the calendar year in which the election is held, after the certification of pri- mary results, and may receive it in quarters, or in larger portions if the candidate sub- 11.01 mits an affidavit showing that a larger amount of contributions has been made. 11.01_' History: 1990 c 608 art 4 s 9 11.02 10A.49 CERTIFICATION AND DISTRIBUTION.' 11.03 Subdivision 1. Certification of eligible candidates. Within one week after certifica- >tiri 11.04 tion by the state canvassing board of the results of the primary, the ethical practices 11.05 i board shall certify to the state treasurer the name of each major political party or minor �; 11.06 political party congressional candidate who is eligible to receive a financial incentive. 11.07 f' Subd. 2. Distribution of money after primary. Within two weeks after certification 11.08 by the state canvassing board of the results of the primary, the state treasurer shall pay 11.09 an incentive to each major political party or minor political party congressional candi- 11.10 date who has signed an agreement as required under section 10A.44 and is eligible to receive an incentive. SL Subd. 3. Independent and new party candidates. Within two weeks after certifica- Si tion by the state canvassing board of the results of the state general election, the state 11.11 treasurer shall pay an incentive to each independent or new political party congressio- 11.115 nal candidate who has signed an agreement as required under section 10A.44 and is 11.117 eligible to receive an incentive. To be eligible to receive an incentive, an independent or new party congressional candidate must receive at least three percent of the vote cast } SL at the general election for the office sought. Su Y. Subd. 4. Appropriation. The amount necessary to pay the incentives under this sec- Su tion is appropriated from the general fund to the state treasurer. Su History: 1990 c 608 art 4 s 10 Su f Su f 10A.50 RETURN OF FINANCIAL INCENTIVE. 11.118 Subdivision 1. When required. A congressional candidate shall return all or a por- 11.12 tion of the financial incentive received under the circumstances in this subdivision. To 11.13 the extent that the incentive received exceeds the aggregate of actual expenditures made by the authorized committees of the congressional candidate, the treasurer of the con- 11.14 gressional candidate's principal campaign committee shall return an amount equal to 11.145 the difference to the board. 11.15 Subd. 2. How return determined. Whether a congressional candidate is required 11.16 under subdivision 1 to return all or a portion of the incentive received must be deter- 11.17 mined from the report required to be filed with the secretary of state by that congressio- 11.18 nal candidate by January 31 of the year following an election. Any amount required to be returned must be submitted in the form of a check or money order and must 11.19 ' ! accompany the report filed under section l 0A.51. The secretary of state shall forward 6 11.20 the check or money order to the state treasurer for deposit in the general fund. The 11.21 amount returned must not exceed the amount of incentive received by the congressio- 11.22 nal candidate. 11.23 j History: 1990 c 608 art 4 s 11 11.24 g' 10A.51 CAMPAIGN REPORTS. 11.25 A congressional candidate who agrees to be bound by the expenditure limits in sec- 11.26 tion 10A.44, as a condition of receiving an incentive for the candidate's campaign, shall 11.27 file with the secretary of state all reports that the candidate or the candidate's principal 11.28 campaign committee treasurer acting for the candidate is required to file under United States Code, title 2, chapter 14. The secretary of state shall forward copies of the reports, within 30 days after they are received, to the board. History: 1990 c 608 art 4 s 12 1 I 3 BOARD AND ADMINISTRATOR Agency Name Address City, State DISCLOSURE OF POTENTIAL CONFLICTS OF INTEREST AND /OR DUALITY NOW THEREFORE BE IT RESOLVED: That the following policy of duality of interest is hereby adopted: 1. Any duality of interest or posssible conflict of interest on the part of any trustee should be disclosed to the other trustees and made a matter of record, either through an annual procedure or when the interest becomes a matter of trustee action. 2. Any trustee having a duality of interest or possible conflict of interest on any matter should not vote or use his/her personal influence on the matter, and he /she should not be counted in determing the quorum for the meeting, even where permitted by law. The minutes of the meeting should reflect that a dis- closure was made, the abstention from voting, and the quorum situation. 3. The foregoing requirements should not be construed as preventing the trustee g g q P g from briefly stating his/her position in the matter, nor from answering pertinent questions of other trustees since his/her knowledge may be of great assistance. BE IT FURTHER RESOLVED: That this policy be reviewed annually for the infor- mation and guidance of trustees, and that any new trustee be advised of the policy upon entering on the duties of his/her office. The Chairman and the Secretary are authorized and directed to see that the foregoing policy is effectuated. Center for Board and Administrator Relations, Box 208, Sioux City, IA 51102. Phone (712)568 -2433. 1 BOARD AND ADMINISTRATOR CONFLICT OF INTEREST STATEMENT L I have read and am familiar with (organization's name) Policy concerning Conflicts of Interest, and I have initialed the box opposite the appropriate paragraph below. 2. During the year ( ), neither I nor, to the best of my knowledge, any member of my family has had an interest or taken any action which would contravene the policy. 3. During the year ( ), niether I nor, to the best of my knowledge, any member of my family has had any interest or taken any action which would contravene the policy, except such interest or action which is fully dis- closed below: Date Signature Position Center for Board and Administrator Relations, Box 208, Sioux City, IA 51102. Phone (712)568 -2433. SABINE VALLEY CENTER Board Policy Adopted: Number 1.57 May 1991 Page 1 of 14 ETHICS AND BUSINESS PRACTICES It is the policy of the Board of Trustees to conduct all the affairs of the Sabine Valley Center by the highest standards of ethical, moral, business practices. All decisions of the Board will be guided by what is in the best interest of the Sabine Valley Center's clients and the citizens of the counties it serves. Board members are prohibited from the following violation of laws related to his /her office: • conflicting interests; • conflicting professional practices; • personal benefit by virtue of Board membership; nepotism; • violation of client rights or confidentiality; • conflicting Board responsibility. I. Introduction The following guidelines are intended to prevent actual or potential conflicts of interest or possible illegal or unethical activity on the part of Board members. where suggested policies have been developed from State law, TDMHMRS Commissioner's Rule, or Attorney General's Opinion, the source is cited. II. Declaration of Policy The Sabine Valley Center Board members hold positions of public trust and are responsible to the communities they serve. They must be willing not only to conduct Sabine Valley Center's business conscientiously and openly, but also to subject their own activities to public scrutiny. As visible representatives whose conduct directly affects the public's perception of Sabine Valley Center, they must adhere to high moral, ethical, and legal standards. As stewards of public funds, they must strive to obtain the highest quality services at the lowest possible cost. Foremost in the Board's decision making criteria must be the best interest of the Sabine Valley Center's clients. All decisions made by the Board of Trustees and all resulting actions taken by Sabine Valley Center must be fair and without bias. No Board member shall have any financial or other Interests that conflicts with the interests of Sabine Valley - 42 - Sabine Valley Center Board Policy Adopted: Number 1.57 May 1991 Page 2 of 14 Center in violation of this policy. Board members must be attentive to potential conflicts and recognize and treat all concerns objectively. They are required to comply with all pertinent statutes and must understand that civil and /or criminal penalties may apply for violation of those provisions of this policy that are based on State law. Board members must also be aware that administrative sanctions, up to and including recommendation for removal from office, may apply for violation of these policies. III. Definitions For the purpose of this Code of Ethics the following words and phrases shall have the meanings respectively ascribed to them by this section: Board of Trustees: The individuals who are appointed to serve on the Board of Trustees of Sabine Valley Center by the County Commissioners Courts in conformance with provisions of Article 5547 -203 of Vernon's Annotated Texas Civil Statute. The Board of Trustees serves as the legislative or policy making body responsible for the operation of Sabine Valley Center. Under the provisions of Article 5547 -203 Board members are local public officials and public servants pursuant to applicable Texas State Law. Business Entity: A sole proprietorship, partnership, firm, corporation, holding company, joint stock company, receivership, trust, or any other entity recognized by law whether established for profit or non - profit purposes. Direc or Indire Financial Interest An officer or employee of Sabine Valley Center has a financial interest in a contract with Sabine Valley Center if he /she, or a group or business entity in which he /she has a substantial interest, directly or indirectly: A. Engages in the exchange, purchase or sale of any land, goods, materials, supplies, services or other thing of value with Sabine Valley Center, 43 - Sabine valley Center Board Policy Adopted: Number 1.57 May 1991 Page 3 of 14 except on behalf of Sabine Valley Center as an officer; or B. Receives any commission, royalty, premium or other payment from the exchange, purchase or sale of any land, goods, materials, supplies, services or other thing of value from Sabine Valley Center, except on behalf of Sabine Valley Center as an officer; or C. Enters into any contract with Sabine Valley Center, except: 1. Rendering services to Sabine Valley Center as an officer; 2. Paying taxes to the county or paying Sabine Valley Center for any services received from Sabine Valley Center to include those for professional services or administrative acts such as copying or record reproduction; Employee: Any person employed by Sabine Valley Center, including those individuals on a part -time basis, but such term shall not be extended to apply to any independent contractor. Intent o r Intentionally: The person acts intentionally or with intent, with respect to the nature of his conduct or to a result of his conduct when it is his /her conscious objective or desire to engage in the conduct or cause the result. Knowingly A person acts knowingly or with knowledge, with respect to the nature of his /her conduct or to circumstances surrounding his /her conduct when he /she is aware of the nature of his /her conduct or that the circumstances exist. A person acts knowingly, or with knowledge, with respect to a result of his /her conduct when he /she is aware that his /her conduct is reasonably certain to cause the result. - 44 - Sabine valley Center Board Policy Adopted: Number 1.57 May 1991 Page 4 of 14 Officer: Shall mean any member of the Board of Trustees of Sabine Valley Center. Substantial Interest A. A person has a substantial interest in a business entity if: 1. The interest is ownership of ten percent (10 %) or more of the voting stock or shares of the business entity, or ownership of either ten percent (10 %) or more, or $5,000.00 or more, of the fair market value of the business entity (see Section 171.002, Texas Local Government Code); or 2. Funds received by the person from the business entity exceed ten percent (10 %) of the persons gross income for the previous year (see Section 171.002, Texas Local Government Code); or 3. The person holds a position of member of the Board of Directors or other governing body of the business entity; or 4. The person serves as elected officer of the business entity; or 5. The person is an employee of the business entity; or 6. The person is a creditor, debtor, or guarantor of any person, group or business entity in the amount of Five Thousand Dollars ($5,000.00) or more; or 7. The property of the person has been pledged to a person, group or business entity or is subject to a lien in favor of the person, group or business entity in the amount of Five Thousand Dollars ($5,000.00) or more. B. A person does not have a substantial interest in a business entity as envisioned by this policy if: 1. The person holds a position as a member of the Hoard of Directors or other governing Board of a business entity; and - 45 - Sabine Valley Center Board Policy Adopted: Number 1.57 May 1991 Page 5 of 14 2. The person has been designated by Sabine Valley Center Board of Trustees to serve on such additional Board; and 3. The person receives no remuneration, either directly or indirectly, for his /her service on such Board; and 4. The primary nature of the business entity is either charitable, non - profit or governmental. . C. A person has a substantial interest in real property if the interest is an equitable or legal ownership interest with a fair market value of Two Thousand Five Hundred Dollars ($2,500.00) or more (see Section 171.002, Texas Local Government Code). D. A person has a substantial interest under this article if the person's spouse or a person related to the officer or employee in the first degree by consanguinity or affinity has a substantial interest under this article (see Section 171.002, Texas Local Government Code). A person is related in the first degree by consanguinity to his or her father, mother, brother, sister, son or daughter. A person is related in the first degree by affinity to his or her father -in -law, mother -in -law, brother's spouse, sister's spouse, son -in -law or daughter -in -law. Benefit: Anything reasonably regarded as economic gain or economic advantage, including benefit to any other person in whose welfare the beneficiary is interested, but does not include a contribution or expenditure made and reported in accordance with law. Off Information: Information to which a public servant has access in his /her official capacity and which has not been made public. IV. Standards of Conduct l Section 36.01, Texas Penal Code 2 Section 39.03, Texas Penal Code - 46 - Sabine Valley Center Board Policy Adopted: Number 1.57 May 1991 Page 6 of 14 A. General Conduct No officer of Sabine Valley Center or their spouses, shall knowingly: 1. Accept or 'Solicit any gift, favor, service or thing of value from any person, group or business entity that might reasonably tend to influence him or her in the discharge of his or her official duties; 2. Grant in the discharge of his or her official duties any improper favor, service or thing of value to any person, group or business entity; 3. Accept or solicit any gift, favor, service or thing of value including a promise of future employment, of sufficient economic value that it might reasonably tend to influence him /her, in the discharge or his /her official duties, from any person, group or business entity: a. Who is engaged in any contractual or ongoing business relationship with Sabine Valley Center; or b. Who has a personal, financial interest in any proposed action or decision upon which the officer must act or make a recommendation. 4. Disclose any confidential information gained by reason of the position of the officer concerning the property, operntionsa, pollcies or affairs of the agency, or use such confidential information to advance any personal interest, financial or otherwise, of such officer, or others. This sub- paragraph shall not preclude disclosure of such - 47 - Sabine Valley Center Board Policy Adopted: Number 1.57 May 1991 Page 7 of 14 confidential information in connection with any investigation or proceeding regarding whether there has been a violation of the standards of conduct set forth in this article. S. Use ones position or office or agency facilities, personnel, equipment or supplies for the private gain of the officer or for the private gain of his or her spouse. 6. Engage in an exchange, purchase u hase or sale of Y g p property, goods or services with Sabine Valley Center except: a. Rendering services to Sabine Valley Center as an officer; b. Obtain appropriate taxes to the county which is the senior governmental entity under whose general authority Sabine Valley Center exist and paying for routine administrative services such as copying and document reproduction costs from the center. 7. Act as surety for a business entity that has work, business or a contract with Sabine Valley Center. 8. Act as surety on any official bond required of an officer of Sabine Valley Center. 9. Utilize official information to acquire or assist another person in acquiring a financial interest in a transaction that may be affected by the information. 10. Speculate or assist another person in speculating on the basis of official information. 11. Hold any position outside Sabine Valley Center that could tend to impair his /her independence of judgment in the performance of his /her official duties with Sabine Valley Center. 12. Receive any benefit for referral of clients to Sabine Valley Center or to any. other service providers. - 48 - Sabine Valley Center Board Policy Adopted: Number 1.57 May 1991 Page 8 of 14 B. It shall be specifically against the policy of. Sabine Valley Center to permit officers, or their relatives to receive preferential services or consideration from Sabine Valley Center in the provision of its services. C. Pr o h ibi t ed Activit A Board member shall not violate any law relating to his or her office. V. Conflicting Interests A. A Board member shall not hold any position 'outside of Sabine Valley Center that could -tend to impair his /her independence of judgment as a member of the Board. B. A Board member shall not knowingly serve on the Board for any for profit entity that contracts with Sabine Valley Center. C. Sabine Valley Center shall not knowingly contract with any for profit entity in which a Board member or any person related in the first degree of consanguinity or affinity to a Board member owns a substantial interest. D. A Board member shall not act as surety for a business entity that has work, business, or a contract with Sabine Valley Center. E. A Board member shall not act as surety on any official bond required of an officer of Sabine Valley Center. F. A Board member shall not rely on official information to acquire or assist another person in acquiring a financial interest in a transaction that may be affected by the information; a Board member shall not speculate or assist another person in speculating on the basis of official information. 3 Section 39.01, Texas Penal Code. 4 Section 171.003, Texas Local Government Code. 5 Section 171.003, Texas Local Government Code. 6 Section 39.03, Texas Penal Code. - 49 Sabine Valley Center Board Policy Adopted: Number 1.57 May 1991 Page 9 of 14 VI. Conflicting Professional Practices A. No officer shall be reimbursed for services to patients or clients referred to his / /her private practice by Sabine Valley Center. B. No officer shall be allowed use of Sabine Valley Center's facilities free or charge for the purposes of conducting a private practice. Any agreement whereby an officer leases property from Sabine Valley Center shall be discussed and voted on by the Board in an open meeting subject to all open meetings act and public• disclosure requirements. C. No officer shall use his /her unique access to Sabine Valley Center to recruit or build private practice clientele during the course and tenure of their relationship with Sabine Valley Center. VII. Disclosure of Interest A. If any officer of Sabine Valley Center has a substantial interest in any person, group or business entity or real property involved in any decision pending before such officer, such officer shall disclose such interest as provided in Sub - Section C below and shall not, except as provided in Sub - Section B below, vote or otherwise participate in the consideration of the matter. B. If any of the following interests are involved in any decision pending before any officer of Sabine Valley Center the officer must disclose such interest as provided in C below, but he shall be permitted to vote on and participate in the consideration of such matter. This provision shall not apply unless the officer in question shall have a substantial interest as heretofore defined. I. A decision concerning a bank or other financial institution from which the officer has a home mortgage, automobile loan, or other installment loan, is the loan if not currently in default, and was originally for a term of more than two years and cannot be accelerated except for failure to make payments according to the terms thereof; - 50 - Sabine valley Center Board Policy Adopted: Number 1.57 May 1991 Page 10 of 14 2. A decision concerning a bank or other financial institution in which the officer holds a savings account, checking account or certificate of deposit and which is fully insured by the U.S. Government or an agency thereof; 3. A decision concerning a business entity with which the officer has a retail or credit card account. C. An officer shall disclose the existence of any substantial interest in any person, business entity or real property involved in any decision pending before such officer or employee. To comply with this para an officer shall, prior to any discussion or determination of the matter, either file an Affidavit of the disclosure as required by Section 171.004 of the Texas Local Government Code or, if not so required, shall publicly disclose in the official records of the body or its official secretary the nature of the interest. VIII. Nepotism A. Sabine Valley Center is fully aware and recognizes the dangers which can be created by failing to fully honor the State law relative to nepotism in public employment and office. It is the intent of Sabine Valley Center to fully comply with the provisions of Article 5996a of Vernon's Texas Civil Statutes. No Board member shall appoint or vote for or confirm the appointment of any person related to himself /herself or to any other Board member, by affinity within the second degree, or by consanguinity within the third degree, to any office or position of employment with the center paid for directly or indirectly from public funds. B. An employee of the agency who is related to a Board member in the prohibited manner described above may continue to be employed if he /she was employed by the Sabine valley Center at least thirty days prior to the appointment of the Board member. If the individual has been employed by Sabine valley Center for less than thirty (30) days when his /her relative is appointed to the Board, either the employee or the Board member must resign. - 51 - Sabine Valley Center Board Policy Adopted: Number 1.57 May 1991 Page 11 of 14 C. when a relative of a Board member is allowed to continue employment within the provisions outlined above, the Board member must not participate in deliberation or voting on any issues specific to that employee unless such issues affect an entire class or category of employees. IX. Rights of Clients A. Officers of Sabine Valley Center shall seek to ensure that all human and legal rights of clients, including those outlined in the Texas Mental Health Code and the Mentally Retarded Persons Act, are upheld by Sabine Valley Center and its employees. B. Sabine Valley Center shall maintain a policy of absolute confidentiality in the handling and management of all client records treating all such instruments as documents held in public trust pursuant to the provisions of Section 403.4 of the Texas Administrative Code. X. Board Procedure In order to ensure that the operation of the Board of Trustees of Sabine Valley Center is undertaken in such a manner as to ensure not only full compliance with all ethical requirements of responsible local government but further to ensure that even the appearance of impropriety is avoided the following specific procedures shall be utilized by the Board. A. All meetings of the Board of Sabine Valley Center shall be held in full conformance with the Texas Open Meetings Act (Article 6252 -17). Meetings of the Board shall be open to the public, agendas shall be posted and a regular meeting schedule shall be established in conformance with the provisions of the Open Meetings Act. Executive Sessions closed to public attendance shall be held only in strict conformance with the provisions of Article 6252 -17. B. A record of all Board proceedings shall be kept, and all Board records shall be open to public inspection as provided by the provisions of the Texas Open Records Act (Article 6252 -17a). C. A Board member who is also an officer or director of a banking institution shall file a conflict of interest affidavit and shall abstain discussion or voting on - 52 - Sabine Valley Center Board Policy Adopted: Number 1.57 May 1991 Page 12 of 14 issues concerning the selection of a depository of funds for Sabine Valley Center. D. All real estate purchases of the center shall be made in conformance with the dictates of reasonable business judgment. The Sabine Valley Center shall not purchase real estate until an independent appraisal by a certified M.A.I. appraisal firm has been completed on the subject property. In the event that Sabine Valley Center decides to purchase the property for an amount greater than the appraised value, the Board shall render a statement of findings explaining the reason for exceeding the appraisal amount in the records of the Board's decision on the real estate item. All real estate leases involving a term of greater than five ( 5 ) years and /or an aggregate expenditure of Twenty Thousand Dollars ($20,000.00) shall comply with the same procedures utilized in the purchase of real estate. E. Sabine Valley Center shall fully comply with State requirements for purchasing by governmental agencies. (Section 251 of the Texas Local Government Code). The Board of Trustees shall establish a competitive bid policy setting forth the expenditure level above which all purchases must be made on the basis of written competitive bids. The minimum level shall be at or below the level established by the State legislature under the provisions of Section 251 of the Local Government Code. F. Any Board member or employee who believes that there has been a violation of the policies in this document shall report the violation or violations to the Board. If appropriate, this report may be handled in closed, executive session. The person accused of the violation of this code shall be given all appropriate substantive and procedural due process including, but not limited to, the opportunity to explain his /her position on the issue. The Board shall investigate the complaint and take any action it deems necessary and appropriate to protect the interests of Sabine Valley Center, its clients and the people of counties it serves. G. The Board shall report all violations of this policy w e which involve c criminal 1 civil or min 1 penalties to the appropriate, le al au hor ties. 4 authorities. - 53 - is Sabine valley Center Board Policy Adopted: Number 1.57 May 1991 Page 13 of 14 XI. Compliance With State And Federal Law It is the official policy of Sabine Valley Center that all officers and employees shall conduct the business of Sabine Valley Center in full conformance with all State and federal law. No individual officer or employee of Sabine valley Center may be permitted to engage in any action in violation of state or federal law. Any suspected violations of law or any questions concerning the legal appropriateness of conduct within Sabine Valley Center should be directed to the general counsel of Sabine Valley Center for written opinion. XII. Confidentiality A. Sabine Valley Center shall maintain confidentiality of client records (See Board Policy #1.19). B. No Board member shall accept employment or engage in any business or professional activity that might reasonably be expected to induce him /her to disclose confidential information acquired by reason of official position on the Board. XIII. Personal Benefit by Board Staff Members A. A Board member shall not solicit, accept, nor agree to accept from another person: 1. Any benefit in return for the Board member's decision, opinion, recommendation, vote, or other exercise of discretion as a public servant; or 2. Any benefit in return for a violation of a duty imposed by law. B. A Board member shall not solicit, accept, nor agree to accept any benefit from a person the Board member knows is interested or is likely to become interested in any contract, purchase, payment, claim, or transaction involving the exercise of the Board member's discretion. 9 7 25 Texas Administrative Code, Section 403.4. 8 Section 36.02, Texas Penal Code. 9 Section 36.0£3, .Texas Penal Code. 54 - Sabine Valley Center Board Policy Adopted: Number 1.57 May 1991 Page 14 of 14 C. A Board member shall not knowingly receive any for referral of clients to Sabine Valley Center or to other service providers. D. Neither Board members or their relatives shall knowingly receive any preferential services or considerations from Sabine Valley Center. E. A Board member shall not misapply anything of value belonging to the government that has come into his or her possession by virtue of his /her office. XIV. Conflicting Board Responsibilities A Board member shall not hold multiple Board offices where one is subordinate or accountable to another, where the independence of the positions would be jeopardized, or where responsibilities of the offices conflict. Board of Trustees Date Chairman ' O Section 39.01, Texas Penal Code. - 55 - I `( l<�O t-AC)"SEP `VC)(I1 COY "� r '-, , 11.10 School Board Code of Ethics �C)6 vS7 .11 Board members are required to uphold the laws and constitution of the United States and the State of Wisconsin and support and operate under board policy, bylaws and rules, including the highest ethical standards. .12 School Board members should: a. Recognize that school board members should act in what is, in their opinion, to be in the best interests of the students and the entire community. b. Recognize that the function of the board is legislative and judicial, i.e. policy makers and not administrative. c. Work with other board members to crystallize the educational ideals, values and goals of the community into concepts of policy and see to it that these are translated into actual practice by the district administrator and staff. d. Act on matters only after seeking and receiving all pertinent information and after full discussion by the board and the district administrator. e. Refrain from making remarks in public about g P school personnel or other board members. f. Recognize that authority to act rests with the entire board and that business shall be transacted only in official meetings. g. Refrain from making commitments to individuals or organizations in behalf, or representing the opinion of the entire board. h. Recognize that the administration of the school system is vested to the administration and no board member shall interfere with the school administration as an individual or undermine the administrative, teaching, secretarial or custodial staff by using his /her elective office to force ideas on the personnel of the school district. i. Recognize that board actions remain in effect until modified 'r not have individuall even though a board member may y board members should support supported a motion; all b the action of the majority. j. Recognize that meetings of the board are to be conducted on the basis of a planned agenda prepared by the district administrator. (Items to be placed on the agenda should be submitted in ample time so information concerning the subject may be compiled.) k. Keep the district administrator and fellow board members advised of community reaction to the school program and to school policies in a positive manner - avoiding public discussion of confidential (unverified) contacts. 1. Listen courteously to questions and complaints from community and refer these comments to the district administrator or building principals for follow up. Refer personal requests and criticisms by employees directly to the district administrator in accordance with board policies. m. Act on the selection, assignment, transfer, promotion, demotion or dismissal of school personnel only after submission of a recommendation by the district administrator. n. Participate in school board inservice programs to become familiar with issues to best represent the district. o. Encourage open and frank discussions of all board members with the district administrator in closed sessions and keep confidential all information discussed in those sessions, as per statutes. p. Not engage in conflict of interest in business, employment or membership that may influence official votes, official actions or judgements - or gain unlawful benefits, advantages or privileges for themselves or others. q. Not solicit or receive anything of value that would influence official votes, official actions or judgments. r. Not use or attempt to use their positions to influence or gain unlawful benefits, advantages or privileges for themselves or others. s. Seek and verify adequate information for the community concerning the school program to promote positive PR for existing school programs - and improvements. .13 The School District waives any legal liability or litigation expense incurred by any individual Board member violating this Code of Conduct (i.e. acting individually, rather than as a coLective Board) . By Laws Committee Meeting April 15, 1988 Present Reading Progosed Reading SECTION V. CONFLICT OF INTEREST A. A conflict of interest exists A. A conflict of interest exists when a member of the Board: when a member of the Board: 1. Has a financial interest or per- 1. Has a financial interest or sonal financial gain in a matter personal financial gain in a under consideration by the Board matter under consideration or one of its committees. A by the Board or one of its "financial interest" is defined as committees. A "financial an interest held by a member or interest is defined as an inter- family member which involves: est held by a member or family member which involves: (a) employment by or member- (a) employment by or mem- ship in an organization which can bership in an organization enter into a financial contract for which can enter into a finan- services; cial contract for services; (b) an employment or prospective (b) an employment or pros - employment for which negotiations pective employment for which have begun; negotiations have begun; (c) a directorship or officership in (c) a directorship or officer - an organization. ship in an organization. 2. Represents a party having a 2. Represents a party having financial interest in matters a financial interest in matters under consideration by the Board under consideration by the or one of its committees. Board or one of its committees 3. Is a member of an organization 3. Is a member of an organi- which is the subject matter of an zation which is the subject Agency decision which will change matter of a Board decision or affect the format or direction of which will change or affect that organization or for which an the format or direction of allocation of funds or programs will that organization or for which be made by the Agency which will an allocation of funds or pro - affect that organization. grams will be made by the Board which will affect that organization. B. Before consideration of any B. Before consideration of any matter, the member shall matter, the member shall announce that he /she is dis- announce that he /she is dis- qualified, and the disqualifica- qualified to vote, and the dis- By Laws Committee Report April 15, 1988 Page 2 tion shall be entered into the qualification to vote shall be minutes of the meeting. entered into the minutes of the meeting. C. Thereafter, the member shall not participate in the meeting dur- ing consideration of the matter and shall not participate in Board dis- cussions or voting. D. If a contract is awarded to an agency employing a member of the Board, such member shall resign from the Board immediately upon notice of award. E. The presiding officer may deter- mine that a member has a conflict of interest and may disqualify such member from participating in the discussion or the voting. Such de- cision may be over -ruled by the majority of voting members present. It is further recommended by the By Laws Committee that an Agency policy, in addition to the By Laws, be developed and adopted which will take into consideration the issued previously identified under C., D., and E. YuUNG MIEN'S CHRISTIAN ASSOCIATION 55 Chicago Street Valparaiso, IN 46383 Voice (219) 462 -4185 Fax 477 -4720 BOARD POLICY CONCERNING CONFLICT OF INTEREST Each board member comes to board service for the purpose of returning to the community some of the things that have made their residency in our area so attractive. They also state they are interested in contributing to the betterment of the citizen's of our community. Board members also bring with them skills and services as a result of their profession, employment or trainin Most board members bring these skills, etc. as part of their contribution to the success of the board and the YMCA. From time to time the YMCA is in need of the professional skills or the products and services provided by the board member or the board member's company or employer. It is the purpose of this policy to make sure that no board member or their employer benefits financially from their association with the YMCA or the YMCA Board without clear understanding of this conflict and that the interests of the community, the YMCA and the YMCA membership will take precedent over those of the individual board member. To this end the following conditions will exist concerning the use of services provided by board members, their company or employer: ^L /^L .:.,may jp � 1 no P� y _ LL L 1 a rp 140a.3 f Revised: August 1990. s �r Official Conflict of Interest .. .... ..... r x Ufa O Contents 3c Page Part -- Ethics ............................................. ............................... 3 :g Part II-- Economic disclosure and political activities 6 Part III -- Contracts ..................................... ............................... 8 B Part IV -- Conflict of interest in non - contract situations .............. 17 a �r b � Part V-- Incompatible offices �4 of S Leag - t g . �:��- �� 183 University Ave. E. � 7- 5530 i ©1992 League of Minnesota Cities All rights reserved Printed in the United States of America Part I— Ethics Introduction and bad policy. The implications are that the councilmem- bers are privileged class and that they are not bound by the Most citizens want honest and ethical government, but same rules as other people. There is an overall feeling of fa- they worry that their particular governments are not honest voritism and abuse of power, even though the councilmem- or ethical. Most city officials are well - intentioned and want hers eventually do genuinely earn their prepaid salaries. to fulfill citizens' desires for honest and ethical govern- ment. Unfortunately it is easy to let standards slip. Officials The above practice is exactly the kind of legal, expedi- can become frustrated with inefficient rules or cumbersome tious, but ethically questionable behavior that city officials procedures; then they discover a back -door method that is need to avoid. Obviously, this is a minor abuse of power, expeditious and convenient and legal. Under pressure, they but it gives the flavor of the kinds of mistakes and misjudg- use that method even though it has an unethical flavor to it ments city officials make. and is poor public policy. City officials need to consider appearances A common saying is "eternal vigilence is the price of freedom." Government officials need to consider whether There has in the last few years been a great emphasis or not eternal vigilance is also the price of ethical and on the "image" of a political candidate. An "image" is the honest government. The points discussed below are offered overall impression built up in the public's mind by the facts, as a help to the many well - intentioned city officials who large and small, relevant and seemingly irrelevant, that the wish to discern what is truly the best for their cities. public learns about the candidate. A candidate's image is very important because voters base their voting choices on City officials should have high that image. ethical standards City governments also have images. Large and small All city government officials have very strong incen- facts, relevant and seemingly irrelevant facts, are all tives to act legally; if they do not, they are subject to civil building blocks. A city's image is also important because and/or criminal penalties. Officials who have the best that is what ordinary citizens believe it to be and the interests of their cities at heart realize that their responsi- citizens will respond accordingly. bilities go considerably beyond merely fulfilling minimum A continuing criticism of image -based voting is that legal requirements. They know that they also have an images often do not genuinely reflect reality. Thus, a obligation to act ethically. superior candidate with a poor image will lose every time to Where city officials obviously have high moral an inferior candidate with a good image. In the same way, standards and act ethically, public cynicism and mistrust of an honestly and ethically run government will suffer if its city government is minimized and a high ethical standard is public image does not match reality. implicitly set for the entire city. People respect their government and are consequently more willing to obey its The fairly obvious conclusion is that city officers and dictates. Where city officials do not act ethically, they are employees need to consider the impression that their actions seen as self - seeking hypocrites by the general population; will make. Where there is a choice, city officials should the government's moral authority is eroded and public avoid actions which may appear tainted with impropriety, cynicism grows. even though they are legal. Officials should choose methods that make the most honorable impression and that signal in Most city officials are well - intentioned, but too often all kinds of ways that city government is open and honest they wind up paying more attention to what is legally and above board. permissible or what is most expeditious rather than to what For example, state law bars most kinds of business is the best ethical or public policy choice. Here is a minor example: in one Minnesota city, almost all city employees transactions between a councihnember and the city. There are a few exceptions. Under certain conditions it is legal for are paid for their week's work only after they have corn- plated it. This is an almost universal practice in cities. the city to make small purchases from a councihnember. However, the city pays the council each month before they Nevertheless, the council as a whole may decide to refrain do any work at all. This practice of advance payment to from such purchases in order to avoid the appearance of councilmembers breaks no laws, but, it sets a bad example impropriety. League of Minnesota Cities Page 3 Government efficiency Honesty. Honest people are truthful, sincere, forthright, straightforward, frank, candid; they do not cheat, steal, lie, An oft -heard complaint about government is that it is deceive, or act deviously. slow and inefficient. Given this perception, it is understand- able that city officials would want to "cut corners" or to Integrity. People with integrity are principled, honor - "cut through the red tape" wherever they can. Sometimes able and upright; they are courageous and act on convic- this "cutting" can be done legitimately; sometimes it tions. They will fight for their beliefs and will not adopt an cannot. In such situations, how a government accomplishes ends justifies the means philosophy that ignores principle, a task can be as important as the task itself. nor will they be expedient at the expense of principle, be two- faced, or unscrupulous. An extreme example: Even though a prosecutor is absolutely certain that a particular person committed a Promise- keeping. People worthy of trust keep prom - crime, that person cannot be tortured until he finally ises, fulfill commitments, and abide by the spirit as well as confesses to the crime. The means are not held to justify the the letter of an agreement. They do not interpret agreements end. Although a desirable end (conviction of a criminal) in an unreasonably technical or legalistic manner in order to would be accomplished, the means (torture) are so contrary rationalize noncompliance or create justifications for to good, humane government that the negative long -term escaping their commitments. effects totally overwhelm the short-term good. Fidelity. People worthy of trust demonstrate fidelity A much milder example of this same principle occurs and loyalty to people and institutions by friendship in where a city official learns that the city can get a much- adversity, support, and devotion to duty. They do not use or desired backhoe at a terrific price, but only if the city skips disclose information learned in confidence for personal or the bidding process and purchases the backhoe immedi- political advantage. They safeguard the ability to make ately. In the short term, the city is a winner if it skips the independent professional judgments by scrupulously bidding process. But, in the long run (even if nobody sues) avoiding undue influences and conflicts of interest. the city will have lost more than it gained. The city is the guardian and enforcer of the law, and it has violated its Fairness. Fair people manifest a commitment to trust. The city must set an example of obeying laws. If the justice, the equal treatment of individuals, tolerance for and city itself does not follow the law, it has little moral justifi- acceptance of diversity, and they are openminded. They are cation for requiring others to follow the law. willing to admit they are wrong and, where appropriate, change their positions and beliefs. They do not overreach or Regarding the red tape, cumbersome government take undue advantage of another's mistakes or difficulties. procedures are often about as efficient as they can be, given the competing interests that the city must balance. Cer- Caring. Concern for the well - being of others manifests tainly, the bidding process is time- consuming, cumbersome, itself in compassion, giving, kindness and serving. It and expensive, and cities inevitably miss opportunities as a requires one to attempt to help those in need and to avoid result. But, the bidding process helps to assure citizens that harming others. the city's purchasing process is not corrupt. So, unlike the private sector, government has to not only procure its Respect. Ethical people demonstrate respect for human goods, but procure them in a convincingly honest fashion. dignity, privacy, and the right to self determination of all This second requirement costs extra time and money. The competent adults. They are courteous, and decent. They government pays a premium because it values honesty and provide others with the information they need to make wishes to foster citizens' respect for government. informed decisions about their own lives. (Note: This is not to suggest that cities should give up Citizenship. In a democracy, responsible citizenship is efforts to persuade the Legislature to streamline the cities' an ethical obligation; it involves lawfulness (abiding by bidding process.) laws and rules of society), participation (by voting and expressing informed views), social consciousness and Ethical values and principles public service. Public sector professionals have the addi- tional responsibility of encouraging participation of others The following list of principles incorporates the charac- and a special obligation to respect and honor democratic teristics and values that most people associate with ethical processes of decision making and avoiding unnecessary behavior. An ethical decision considers these principles. secrecy or concealment of information, and assuring that the citizenry has all the information needed to exercise responsible citizenship. Page 4 Official Conflict of Interest Excellence. Ethical people are concerned with the The error in this approach is that laws and rules quality of their work. They pursue excellence, they are establish only minimal standards of impropriety. They tell diligent, reliable, industrious, and committed. A public us what we will be punished for doing; they do not describe sector professional must be well informed and well pre- what an ethical person ought to do. pared to exercise public authority. One can be dishonest, unprincipled, untrustworthy, Accountability. Ethical people accept responsibility unfair, and uncaring without breaking the law. Ethical for decisions, for the foreseeable consequences of their people measure their conduct by basic ethical principles actions and inactions, and for setting an example for others. rather than by laws and rules. They do not walk the line of People in the public sector have special obligations to lead propriety. They do more than they have to and less than by example, to safeguard and advance the integrity and they are allowed to. reputation of the legislative P rocess, to avoid even the appearance of impropriety, and to take whatever actions are The public expects exemplary conduct from govem- necessary to correct or prevent inappropriate conduct of ment officials. Citizens become disillusioned when politi- others. cians violate the spirit of campaigning and honoraria laws. Avoidance of the appearance of impropriety. Thus, political professionals don't always see ethical Because of the unique importance of credibility and public issues that are likely to trouble outsiders. They don't seem trust, government employees must avoid even the appear- to recognize that perfectly legal conduct often appears to be ance of impropriety. improper or inappropriate to those who expect public "If it's legal, it's ethical" fallacy servants to avoid even the appearance of impropriety. For example, many see no ethical conflict in soliciting A common source of ethical insensitivity is the notion contributions from special interests in return for "access," in that if it is legal it is proper. The prevalence of this notion seeking or granting special favors for family or friends, in explains why those accused of wrongdoing commonly accepting honoraria or gifts from people who want to invoke the law by pointing out that the conduct in question influence official decisions, in using campaign funds to is not clearly illegal. They believe that technical compli- support other candidates or to pay personal expenses, or in ance with disclosure and other laws fully satisfies moral ob- using public facilities and staff for personal political ligations as well as legal ones. purposes. But, citizens find these practices unethical. I League of Minnesota Cities Page 5 Part II— Economic disclosure and political activities In 1990, the Legislature enacted new duties of eco- taken he or she took. The city official must file this state - nomic interest reporting and conflict of interest disclosure ment with the city council within a week of the action. requirements for local officials, amending Minn. Stat. Chap. 10A and Minn. Stat. 38313.053. These provisions Statements of economic interest apply only to metropolitan area cities over 50,000 popula- tion and take effect January 1, 1991. City fficials in cities with y populations over 50,000 located in the seven - county metro area must report informa- The law affects elected or appointed city officials or tion on: any city employee with authority to make or recommend major decisions on the expenditure or investment of public Their name, address, occupation, and principal place of funds or final power to recommend such a decision. The business; law takes effect if the official or employee must make a decision or to take an action that substantially affects his/ 0 The name of each associated business (and the nature her financial interests or those of a business with which he/ of that association); she is associated (unless the effect is no greater than on others in that business, occupation, or position). The official . Option - based, direct, or indirect interests in all real or employee must do the following. property within the state (except homestead property); 1) The official must prepare a written statement describ- and ing the matter requiring action or decision and the Interests in horse race track property or race horses in nature of the potential conflict of interest. or out of the state. The Ethical Practices Board has a form for the disclosure of economic interests, and city 2) If the official is an employee, he/she must deliver a officials can get a copy from the board. Officials must copy of the statement to his/her immediate superior. If then file annual supplementary statements by April 15 the official is directly responsible only to the city of each year and a final statement upon leaving office. council, then to the city council. See Minn. Stat. 10A.09, Subd. 6 and Minnesota Rules If the city official is appointed, written notice should go 4515.0900, Subpart 4. to the chair of the unit, or if the potential conflict Time for filing. An individual shall file a statement of involves the chair, the written notice should go to the economic interest with the Ethical Practices Board: appointing authority (in most cases, the city council). If the official is an elected official, the written state- 1) Within 60 days of accepting employment as a local official; or ment should go to the presiding officer (the mayor in most instances.; 2) Within 14 days after filing an affidavit of candidacy or If the potential conflict involves the mayor, the written petition to appear on the ballot for an elective office. notice should go to the acting presiding officer. Notification. When the county auditor or city clerk receives an affidavit of candidacy or petition to appear on If a potential conflict of interest arises and there's no the ballot from an individual who must file a statement of time to comply with the above directives, the city official economic interest, he or she must notify the Ethical must orally inform his/her superior or the council. Practices Board of the name of the individual required to file a statement and the date of the affidavit, petition, or In the case of a city employee, the employee's superior nomination. The same requirement applies to any official .must assign the matter, if possible, to another employee who nominates or employs a city official who must file this who does not have a potential conflict of interest. If there is statement. no immediate superior, the city official must abstain, if possible, in a manner prescribed by the Ethical Practices The city official must file the statement with the city Board (Minn. Rules 4515.0500) from influence over the council, which must maintain these statements as public action or decision in question. data If, for some reason, the city official is not permitted to Hennepin County abstain or cannot abstain from action in connection with the matter causing the potential conflict, he or she must file a statement describing the potential conflict and the action Minn. Stat. 38313.053 also addresses economic interest reporting requirements for local officials in Hennepin Page 6 Official Conflict of Interest County who are not covered by Minn. Stat. 10A.09. Elected metropolitan or state level must also file spending reports officials and other officials appointed or employed in indicating levels of total spending for local as well as state Minneapolis and Bloomington will continue to file eco- lobbying activities. Lobbyist reporting requirements take ef- nomic interest reports with Hennepin County, which will feet January 1, 1991. continue to administer and enforce reporting requirements. For more detailed information on these requirements, The State Ethical Practices Board has not decided how contact the League at (612)227 -5600. to handle officials in cities in Hennepin County with populations of 50,000 to 75,000, who are required to Leave during political candidacy comply with economic interest reporting requirements. It would appear that the new law requires them to file such A local goverment can require an employee to take an statements with the city rather than to comply with Minn. unpaid leave during a political candidacy. In Martin v Stat. 383B.053. Itasca County, 448 N.W.2d 368, Minn. 1989 the Minnesota Metropolitan area cities not in Hennepin County Supreme Court said that 1) A tenured county employee who could not be dis- Only the city of Burnsville is currently expected to be charged without just cause had a "property interest" in required to comply with the new conflict of interest and continued employment and this property interest is pro- economic interest reporting requirements under Minn. Stat. tected by the Fourteenth amendment due process clause; 10A.07 and 10A.09, as amended in 1990. 2) A county personnel policy which required any Future developments county employee seeking county elective office to take an unpaid leave of absence during his campaign, with loss of In the future, additional cities will have to comply with wages, seniority rights, and fringe benefits, subjected the these provisions and also with lobbyist expenditure report- employee to financial loss of a magnitude sufficient to con- ing requirements under Minn. Stat. 10A.01. The State stitute "deprivation" of a property interest in his job; but Ethical Practices Board has proposed regulations (printed in the State Register on September 4, 1990) that require all 3) The employee had no due process right to a preac- cities in the seven - county metropolitan area with popula- Lion hearing before he was placed on unpaid leave of tions over 50,000 as determined by the latest Metropolitan absence. Council estimates or the latest U.S. Census (whichever is the most recent figure) to comply after January 1, 1991. The Court found that the local government had an interest in prohibiting government employees from certain For more information contact Mary Ann McCoy, political activity. A legislative body may prohibit a govern- Executive Director, Ethical Practices Board, (612) 296- ment employee from becoming a candidate for elective 1720. office not only to prevent potential conflict in the workplace between the employee and the supervisor-incum- Lobbyist regulations bent during the campaign, but also to prevent any coercion of fellow employees and subordinates to assist in a political Provisions in Chapter 608 (Minn. Laws 1990) broaden campaign. This policy, the Court said, promotes efficiency and expand lobbyist reporting requirements. The law and integrity in goverment ranks. requires lobbyists who attempt to influence the actions of metropolitan governmental units (including cities over For these reasons the Court stated that under the 50,000 population in the metro area) to report expenditures Constitution a local government can suspend or even dis- for these activities, in addition to state legislative and charge a goverment employee who seeks elective office. administrative lobbying activities. This means the county government has the right to de- City employees, and non - elected city officials who termine that an employee cannot both be employed by it spend more than 50 hours in any month on lobbying and run for county elective office. In fact, the court has activities must register and submit reports of lobbying barred goverment employees from running for elective expenses to the Ethical Practices Board on January, March, office in that same government at every level of govem- and July 15. These reports must include honoraria, gifts, ment. Such a situation will very likely generate ethical and loans valued at $50 or more lobbyists pay to local dilemmas for the both the employee and the employee's officials, state lawmakers, or other public officeholders. supervisor. Associations that spend $500 for lobbying or that expend $50,000 or more to influence public policy decisions at the A similar case at the city level of government would likely — have a similar outcome. League of Minnesota Cities Page 7 Part III -- Contracts General rule elected if that occurs later. The disclosure serves as notice of the interest and is necessary only once. With certain exceptions described below, Minnesota Statutes forbid any public official who is authorized to take 2. The designation of an official newspaper or the part in the making of a sale, lease, or contract to voluntarily Publication of official matters in the newspaper. This have a personal financial interest in the transaction or to applies only when the newspaper in which the official is personally benefit financially from it. (Minn. Stat. 471.87- interested is the only one complying with statutory or 471.89.) Violation of the provision is a gross misdemeanor charter requirements for designating the official newspaper. (Minn. Stat. 471.87) subjecting the official on conviction u All official matters, such as ordinances the city financial P Y to a fine of $3,000 or imprisonment for not more than one statement, council proceedings, and election notices may be year or both. (Minn. Stat. 609.0341, Subd. 1.) published in that newspaper just as if no councilmember has a financial interest in the newspaper. Even though a The statutory city code provides that no member of a qualified newspaper published elsewhere in the county statutory city council may be directly or indirectly inter- circulates generally in the city, the only newspaper pub - ested in any contract the council makes (Minn. Stat. lished in the city must be designated even if it is owned by 412.311) except as provided in Minn. Stat. 471.87. The city a councilmember. (Minn. Stat. 331A.04; A.G. Op. 90a -1, code section may apply in some situations in which Minn. LMC 130d, Feb. 21, 1967.) However, the councilmemberl Stat. 471.87 is not applicable. We will discuss that later in newspaper owner may only do job printing, such as printing this memo. city stationery, if the printing falls within exceptions 4 or 7 below. (A.G. Op. 90a -1, LMC 130d, Feb. 21, 1967.) Many home rule charters have provisions on conflict of interest in contracts. Some of these go beyond the statute to 3. A contract with a cooperative association of which include any city official even though the official has no the official is a shareholder or stockholder but not an part in making the contract. These charter provisions officer or manager. There is no similar exception in the generally apply to situations where the statute does not case of contracts with private corporations. apply. However, the exceptions in Minn. Stat. 471.88 (see the next section) apply to all cities, despite any other statute 4. A contract for which competitive bids are not or city charter. (Minn. Stat. 471.881.) Because charter pro- required by law and where the amount does not exceed visions vary from city to city, we do not cover them in this $5,000. The condition limiting this exception to contracts memo except where specifically indicated. for which competitive bids are not required doesn't apply because the uniform municipal contracting law never Exceptions requires bids on contracts of less than $5,000. Therefore the exception applies to any contract not exceeding $5,000 and There are important exceptions to the statutory provi- is much broader than its predecessor, which only allowed sion on conflict of interest. The governing body of any city the exception if the commodity or service contracted for (or of any port authority, county, town, or school district) could not otherwise be obtained in the city. may by unanimous vote contract for goods or services with one of its interested officials in any of the following cases:. As long as the city meets the conditions of the statute and follows statutory procedure, there is no limit on the 1. The designation of a bank or savings association number of transactions of the same type that may occur in a as an authorized depository for public funds and as a Year. The $5,000 limit applies to each separate transaction, source of borrowing. No restriction applies to the design- not to the total annual purchases from each official. tion of the depository or the deposit of public funds in the (Compare exception 7, below.) depository as long as the funds are protected in accordance with Minn. Stat. Chapter 118. The attorney general has ruled that under this exception a town board (or city council) may contract with one of its The only condition is that the official who has an members to serve as weed inspector and receive compensa- interest in the bank or savings association must disclose that tion for those services in addition to the compensation the he or she is a director or employee, and the disclosure must Person receives as a member of the governing body as long be entered in the minutes of the governing body. The as the total annual payment for the services does not exceed official must make this disclosure when the bank or savings $5,000. (A.G. Op. 322a -2, LMC 130d, Oct. 4, 1968.) association is rust designated, or when the official is first Page 8 Official Conflict of Interest However, the law is not settled on these types of governing body has power to control the way the fire questions. Therefore, it is advisable to get a legal opinion chief's functions are discharged, acceptance of the office of before a governing body member attempts to fill any other councilmember automatically vacates the office of fire position of municipal employment. chief. (A.G. Op. 358 -e -9, LMC 417e7, April 5, 1971). The opinion cites as authority Kenney v. Goergen, 36 Minn. An individual or governing body considering employ- 190, 31 N.W. 210 (1886). ment of a governing body member should consider two other factors. First, the public may be critical of an elected It would appear that the test for incompatibility applied official also serving the city in a paid capacity. To avoid to the Madelia situation (subordination to the city council any possible appearance of impropriety, officials should and power to control discharging the functions of the office) avoid this situation. Second, a violation of Minn. Stat. would apply usually to every person on the fire department. 471.87 is a gross misdemeanor. Thus, entering an employ- However, it could be argued that the fire chief is directly ment contract in the mistaken belief that it falls within the responsible to the city council while the individual firefight- exceptions of Minn. Stat. 471.88 could have serious conse- ers are responsible indirectly through the fire chief, and quences. since Minn. Stat. 471.88, Subd. 6 refers only to members of the department and not to officers or those having direct A city may not circumvent the $5,000 limit by dividing supervisory functions, the exception to the interest in a contract into separate units when they are properly part of contracts prohibition and incompatibility doctrines should a single contract, just as a city may not avoid bidding re- not be widened beyond the point which the Legislature quirements by splitting what is properly a single contract clearly intended by the language used. into several contracts. On the other hand, the statute provides no restriction on how a city may divide its con- Since the relationship of volunteer fire departments to tracts, and the council may contract with a councilmember cities in the state varies so greatly from one city to the next, for a portion of a road improvement project if the contract any general statement about the compatibility of a council comes within the statutory exception and procedural position with any position in a volunteer fire department is requirements are met. (A.G. Op. 90a -1, LMC 1304, April likely not to take account of all the potential circumstances. 22, 1971.) In some cases (for example, services by a court However, it seems clear that the attorney general, and reporter who is a member of a governing body), each therefore the state auditor, will not present any legal individual performance of services may constitute a objections to the simultaneous holding of the offices of separate contract to which the $5,000 limit applies. (A.G. councilmember and volunteer firefighter in a nonsupervi- Op. LMC P Od, Aug. 8, 1969. > g ) sory position. 5. A contract with a volunteer fire department for On the other hand, if a member of a volunteer fie the payment of compensation to its members or for the department performing supervisory functions in that payment of retirement benefits to members. There is no department should decide to seek a seat on the city council, similar exception for the payment of or benefits to members it is advisable to first request an attorney general's opinion of paid fire departments. The wording of this exception to avoid the possibility that the acceptance of the council seems to apply only to independent nonprofit firefighting position would automatically vacate the individual's corporations or associations which contract with cities to position on the volunteer fire department or involve a furnish fire protection, and not to municipal volunteer fire prohibited interest in contracts if pay is involved. departments. However, the attorney general has ruled that a member of a municipal volunteer fire department may serve 6. A contract with a municipal band for the payment on the city council. Also, Minn. Stat. 471.88, Subd. 6 of compensation to its members. overcomes common law incompatibility problems, as well as statutory prohibitions, against interest in contracts for 7. Contracts for goods or services when the consid- volunteer firefighters. (A.G. Op. 358 -e -4, LMC 415e7, Jan. eration does not exceed $5,000 in any year and the 18, 1965.) contracting governmental unit has a population of less than 5,000. In a later opinion to the Madelia city attorney, the attorney general ruled that the chief of a volunteer fire If exception 4 applies, there is no need to look to department could not simultaneously serve as a council- exception 7 even though the city has fewer than 5,000 member in a statutory city. (A.G. Op. 358 -e -9, LMC 415e7, people. April 5, 1971.) This opinion does not mention the 1965 opinion and does not refer to Minn. Stat. 471.88, Subd. 6. Other limited P exceptions apply Y to port authorities and The reasoning of the opinion P g op mon is that since the fire chief is housing and redevelopment authorities. Since they are not unquestionably subordinate to the governing body and the of general interest, they are not discussed here. Those exceptions can be found in Minn. Stat. 471.88, Subds. 9 -11. League of Minnesota Cities Page 9 Kinds of contracts charter cities have comparable provisions in their charters. Because other home rule cities are subject only to Minn. The unlawful interest statutes apply to all kinds of Stat. 471.87, the two provisions are discussed separately in contracts, formal or informal, for goods or for services. A this section. Presumably all types of interest in contracts franchise is included within its prohibitions. (Singewald v. affected by the general statute are included in the official Minneapolis Gas Co., 274 Minn. 556,142 N.W.2d 739, interest section of the statutory code, but the latter is 1966.) Contracts involving real estate come within the broader. scope of the statutory prohibition (A.G. Op. 90A -1, LMC 130d, Sept. 28, 1955), although such contracts are ordinar- When the statutory exceptions (such as contracts for ily regarded as inherently different from those involving under $5,000 in one year) do not apply, paid employment of goods which can be secured substantially in duplicate, in councihnembers as employees of the municipal liquor store, kind, quality and price from several sources on the open superintendent of the waterworks system, laborer, street market. The statute applies not only where the city acts as commissioner, city marshal, city hall caretaker, or in similar purchaser or payor but also where the city is the seller or positions clearly involves a prohibited interest and is payee. (A.G. 90a -2, LMC 130d, April 14,1960; A.G. Op. banned by the unlawful interest statutes. There are numer- 90E-5, LMC 130d, Aug. 30,1949; A.G. Op. 416 -B, LMC ous rulings of the attorney general to this effect. Holding 130d, June 30, 1954.) stock in a corporation which enters into a contract with the city involves an an unlawful interest. (A.G. Op. 90E -1, Because it is sometimes considered unreasonable to LMC 130d, May 12,1976; A.G. Op. 90A -3, Nov. 20, deprive a city of a desirable piece of property when the 1963.) A councilmember who is a subcontractor has an owner is a councilmember, a third party transfer occasion- unlawful interest. (A.G. Op. 90A -1, LMC 130d, May 16, ally has been used to transfer land. In general, the procedure 1952.) A member of a governing body has a voluntary is to transfer the land to a third person who records it in his personal financial interest in a governmental contract with a or her name and conveys it to the city. Such conveyances court reporting firm when the member receives a percent- essentially are circumventions of the statutes and are invalid age of the money received by associates in the firm for each on this ground except in those instances where there has reporting job done under the agreement. (A.G. Op. 90b, been a good faith transfer and it can honestly be said that LMC 130d, Aug. 8, 1969.) the councilmember is not in any way financially interested in the sale of property to the city. On the other hand, the attorney general has ruled that if a councilmember is an employee of the contracting firm Where the third party device is used to capitalize on and his or her salary or any other financial interest is not knowledge gained as a public official, the city may rescind affected by the contract, the council may determine that no the transaction or may keep the property and require the personal financial interest under Minn. Stat. 471.87 exists official to pay the city any profits from the transaction. It is and that the contract may be made and enforced in a home immaterial that the official may not have affirmatively used rule charter city without a charter provision prohibiting his or her influence in favor of the decision to buy the direct or indirect interest. (A.G. Op. 90 -E -5, LMC 130d, property or that the purchase price paid by the city was not Nov. 13, 1969.) excessive. (City of Minneapolis v. Canterbury, 122 Minn. 301, 142 N.W. 812, 1913.) It is clear that Minn. Stat. 412.311 and similar charter provisions are broader than Minn. Stat. 471.87 regarding The preferable approach to this problem is to use the type of interest prohibited. Specifically, the court has eminent domain proceedings. Under eminent domain, the held that mere employment by a company with which the value of the property is established by commissioners city contracts may give the councilmember an indirect appointed by the court. interest in the contract. In Singewald v. Minneapolis Gas Co., 274 Minn. 556,142 N.W.2d 739,1966, the court Prohibited interest remanded the matter back to the trial court for findings on this point. The general statute applying to all municipalities (Minn. Stat. 471.87) applies whenever the official has a However, a 1976 attorney general opinion concluded personal financial interest in the transaction or personally that, since the court remanded Singewald back to the trial benefits financially from it. The statutory city code prohib- court, it is unclear that the court meant that mere employ - its a councilmember from being directly or indirectly ment always gives rise to a conflict of interest. (A.G. Op. interested in a contract made by the council. (Minn. Stat. 90a -1, LMC 130D, Oct. 7, 1976.) The attorney general said 412.311.) Statutory provisions similar to the statutory code that the disposition of Singewald suggests that factors other provision apply to counties and towns and some home rule than employment per se may have to be taken into account in determining whether a prohibited interest is present. Because of uncertainty about the intended effect of Singe - Page 10 Official Conflict of Interest wald, the attorney general said, prior opinions that non- term of the contract, assume office as a councilmember and participating, non - supervisory salaried employees have no continue to serve as long as no new negotiations are conflict of interest may continue to be followed. The required. In case new negotiations are entered into, a new attorney general concluded that a council may contract with agreement may not be consummated as long as the inter - a councilmember's employer where the member. 1) has no ested councilmember continues in office. (A.G. Op., LMC ownership interest in the firm; 2) is neither an officer nor a 130d, Apr. 1, 1975.) director; 3) is compensated on a salary or hourly wage basis and receives no commissions, bonus or other remuneration; In a later 1975 opinion, the attorney general ruled that and 4) is not involved is supervising the performance of the when a school board member purchases a laundry which contract for the employer and has no other interest in the has significant business with the school district under an contract. existing contract, the board member may have a prohibited interest in the contract since questions of contract interpre- Presumably, other types of interest may also be such tation or performance may arise. However, this is a fact prohibited indirect interest and yet not constitute personal question which must be answered by the governing body. financial interest under Minn. Stat. 471.87, but there have (A.G. Op., LMC 130d, May 16, 1952.) See also A. G. Op. been no further cases on the subject. The attorney general 9013-1, LMC 130d, Dec. 6, 1955, holding that an alderman has ruled that where a housing authority commissioner is who had resigned was not eligible to become a subcontrac- subject to statutory language regarding direct or indirect for on a municipal hospital where he was a member of the interest (Minn. Stat. 462.431) similar to but somewhat council when the prime contract was awarded. The statute stronger than that found in the statutory city code, a should be interpreted as precluding a contract with any commission member is covered by the statutory language person who, as a public official, has had the opportunity to where he or she is a foreman for a contractor who will aid influence the terms of the contract or the decision of the the contractor in making a bid to the housing authority. governing body before the contract is approved. (A.G. Op. (A.G. Op. 430, LMC 130d, Apr. 28, 1967.) 9013-1, LMC 130d, May 12, 1976.) When the interest of the official exists at the time the However, the attorney general has ruled that a council - contract is entered into, it is clear that the contract is member was eligible for city office even though he was prohibited when the contract is within the statutory prohibi- entitled to commissions on insurance premiums payable by tion. The attorney general has even ruled that a council- the city under a contract entered into before he became a member may not contract with a statutory city where he or councilmember. (A.G. Op. 90 -a -1, LMC 1430d, Mar. 30, she is on the council when bids are opened, even if he or 1961.) See also Beaudry v. Valdez, 32 Cal. 269 (1967) she resigns before the contract is actually awarded. (A.G. holding that the validity of a street improvement contract Op. 90A, LMC 130d, Nov. 20, 1963.) was not affected by the fact that the mayor, before his election, had been assigned the contract as security for a More difficult questions are sometimes presented when debt due him by the contractor, nor did that fact prevent the councilmember takes office after the city enters into a him from counter - signing warrants to collect the assess - contract. If no conflict of interest between the councilmem- ment. ber's public duty and his or her private interest in the contract can develop during the effective period of the A review of the cases and attorney general's opinions contract after the member assumes office, the statutes are on this subject makes it apparent that the assumption of probably not violated and the councilmember may serve. If office by someone who has a personal financial interest in a that is not the case, it is possible that the interested member city contract previously entered into often poses borderline may not serve on the council if the interest is retained. The questions about possible violation of conflict of interest attorney general has ruled that the principal stockholder and statutes during performance of the contract. In doubtful president of a company holding a city franchise which calls cases of this kind, the person faced with a possible conflict for extensive council regulation of the company during the of interest situation may find it advisable to obtain legal term of the franchise may not serve on the council during advice before assuming a city office or continuing to hold that period without fast divesting direct or indirect interest office if questions arise later. in the company. (A.G. Op. 90a -1, LMC 130d, July 12, 1973.) Officials affected by conflict of interest On the other hand, when a city has entered into a 20- The general unlawful interest statute, Minn. Stat. year contract with a malting company allowing the com- 471.87, has no application to officers who are not author - pany to use the city's sewage disposal plant and fixing rates ized to take part in the making of contracts with the city. for service subject to negotiation of new rates under certain Therefore, it does not prevent the treasurer, assessor, the circumstances, a director and stockholder may, during the clerk in a Plan A statutory city, and other similar officials League of Minnesota Cities Page 11 from entering into contracts with the city. The law prohibits husband -wife relationship alone does not make the contract a member of an independent utilities commission from invalid. In at least two cases, state supreme courts have held being interested in contracts entered into by the commis- that a school board is not precluded from appointing the sion; it does not prevent the commission member from wife of one of its members to teach school as long as under having an interest in a contract entered into by the council. state law (as in Minn. Stat. 519.02), the wife's earnings are Similarly, a councilmember may have an interest in a her own property. (Thompson v. District Board, 252 Mich. contract with the utilities commission but not in one made 629, 233 N.W. 439, 74 A.L.R. 790,1930; Board ofEduca- by the council. tion v. Boat, 104 Ohio 482, 135 N.E. 540, 1922.) The clerk in a standard plan statutory city or in a home The Minnesota law forbidding officials from having a rule charter city having a similar plan of government is a personal financial interest in contracts is similar to those member of the council but occupies a peculiar position. He construed in the two cases cited. See, however, the contrary or she is subject to the official interest statutes and may not cases of Haislip v. White, 124 W. Va. 633, 22 S.E.2d 361 be interested in a contract with the council (A.G. Op. 470, (1942); Beakley v. City of Bremerton, 5 Wash. 2d 670, 105 LMC 130d, June 9, 1967.) However, the council is allowed P.2d 40 (1940). The situation is different in states where the to impose duties on the clerk in addition to those assigned husband and wife's earnings are community property, and by statute and the council may fix the clerk's compensation the interest of each in the contracts of the other is disquali- for those duties. fying, but these cases are not relevant in Minnesota. See Niekols v. Lyle, 8 Idaho 589, 70 P. 401 (1902); School Since fixing elective officers' compensation is not a District v. Libby, 135 Wash. 233, 237 P. 505 (1925). matter of contract, that subject is discussed in Part II. Circumstances may, however, make a contract of this Many home rule charters contain provisions preventing kind invalid. In Woodward v. Wakefield, 236 Mich. 417, any officer or employee from being interested in a contract 210 N.W. 322 (1926), a contract was held void where the with the city. Such a provision evidently applies to every mayor acted as his wife's agent in selling her real estate to municipal officer or employee whether or not he or she has the city. He prepared the contract, participated in the a part in the making of contract. required vote, and endorsed the note securing the mortgage. Likewise, in Sturr v. Borough of Elmer, 75 N.J.L. 443, 67 Validity of contracts with relatives of city officials A. 1059 (1907), a contract to sell property to the borough was held void where the councilmember paid taxes on the The official interest laws do not specifically mention property from his own money, conducted the negotiation for relationship as constituting financial interest. The courts of sale, and fixed the price even though the property was in his other states generally have held that family relationship wife's name. In Drake v. City of Elizabeth, 69 N.J.L. 90, 54 itself has no disqualifying effect on the making of a A. 248 (1903), it was held that the fact that the council - contract. (See annotation 74 A.L.R. 792.) In Panozzo v. City member's wife is a stockholder is sufficient to invalidate a of Rockford, 306 Ill. App. 443, 28 N.E.2d 748 (1940), the contract with a company. This is probably a more extreme fact that relatives of an alderman were employed by the view than courts would generally take today. successful bidder was held insufficient by itself to disqual- ify him from voting on the contract. There must be proof, Since the interest of the councilmember under the the court said, that the councilmember had a financial statutory code section on conflict of interest may be either interest. Similarly in Lewick v. Glazier, 116 Mich. 493, 74 direct or indirect, a contract with a councilmember's spouse N.W. 716 (1898), it was held that the fact that a village may involve a violation of the law. The attorney general in trustee was the father of the contractor of village water- such circumstances has construed the law broadly and works system would not disqualify him from acting on the tended to hold such contracts invalid. If the money earned proposed contract. under the contract is used to support the family so that the councilmember derives some benefit from it, the attorney Cases dealing with non - contract situations and men- general has unifomily held that there is an indirect interest tioned in Part 11 of this memorandum are to the same effect. on the part of the councilmember in the contract; therefore In none of them has the mere fact of family relationship the contract is void. See A.G. Op., LMC 130d, June 28, other than that of husband and wife resulted in disqualifying 1928; A.G. Op., LMC 130d, July 14,1939; A.G. Op., LMC interest. 130d, July 13, 1940. While it is easier to find that a councihnember has a The law gives the husband or wife various contingent personal financial interest in a contract with the council- interests in the spouse's estate. The attorney general once member's spouse, it has sometimes been held that the held that these interests alone would be sufficient to bring a Page 12 Official Conflict of Interest contract with the wife of a city official who takes part in the proceedings or that the councilmember's vote was not making of the contract within the prohibition of a statute essential to the council's approval of the contract. See Stone like the present statutory city code section. (A.G. Op. 579, v. Bevans, 88 Minn 127,92 N.W. 520 (1902); City of 1910). In more recent opinions, however, the attorney Minneapolis v. Canturbury, 122 Minn. 301, 142 N.W. 812 general has taken the position that each case turns on its (1913). It is the existence of the interest and not its actual individual facts; the mere fact of the relationship does not exercise which is decisive. McQuillan, Municipal Corpora - affect the validity of the contract. See, for example, A.G. tions, Sec. 29.97 (3rd ed., 1966 & Supp. 1988). Even if the Op. 90 -B, LMC 130d, April 5, 1955. councilmember acted in good faith and the contract was fair and reasonable, that does not affect the contract's legality. Most of the cases and the attorney general's opinions See Currie v. School No. 26, 35 Minn. 163, 27 N.W. 933 on this subject have concerned contracts with a municipal (1886); Singewald v. Minneapolis Gas. Co., 274 Minn. 556, official's wife. However, when the municipal official is a 142 N.W.2d 739 (1966). woman whose husband is interested in the contract, the results probably will be similar. Under existing law, spouses In a long line of rulings on the subject, the attorney are liable for each other's support for necessities. (Minn. general has emphasized that under Minn. Stat. 471.87, the Stat. 519.05). proscription applies to any counciltnember "who is author- ized to take part" in any manner in the making of the If it can be shown that the spouse contracting with the contract. The attorney general reasons that if the Legislature city uses the earnings from the contract individually and not intended to exclude from the prohibition the situation where to support the family, it appears from the cases in other the officer abstains from voting, it would have stated a states that a contract with the city probably would not be public officer "who takes part" in any manner in making the invalidated simply because the spouse is a councilmember. contract. See, for example, A.G. Op. 90 -E -5, LMC 130d, If facts tend to show otherwise, the contract will be of Nov. 13, 1969. doubtful legality. The attorney general has repeatedly advised local governing bodies to avoid the suspicion and The safest course of action is to assume that a contract criticism that may result from such a contract. prohibited under the conflict of interest statutes is void in - Minnesota regardless of the extent of the interested council - In a 1976 opinion, the attorney general held that a member's participation in the transaction. Where a contract prohibited interest in contracts does not necessarily arise with an interested councilmember calls for the performance when the spouse of a city employee is elected mayor (a of personal services, and some or all of the services are per - member of the council). The opinion carefully avoids any formed, the councilmember may neither recover on the con - statement about future action of the council on the existing tract nor recover the reasonable value on the basis of an employment relationship. (A.G. Op., LMC 130d, Dec. 9, implied contract. If the councilmember has already received 1976.) payment, restitution to the city can be compelled. Effect of contracts made in violation of statutes For example, if under council authorization the mayor is compensated for services to the city independent of Where a city enters into a contract with a councilmem- mayoral duties, a taypayer may bring suit to recover the ber which has subject matter beyond the city's corporate money for the city without regard to the merit of the powers, there will be no city liability for the contract no services the mayor performed. It is irrelevant that the mayor matter what the form of lawsuit or action for enforcement was not present at the meeting at which the agreement for may be. See City of Chaska v. Hedman, 53 Minn. 525, 55 compensation was adopted. (Stone v Bevans, 88 Minn. 127, N.W. 737 (1893). Even where the contract is otherwise 92 N.W. 520,1902.) within the city's corporate powers, any contract made in violation of the unlawful interest statutes is void as a If a councilmember has made an unlawful sale of goods contract and as such the contract itself cannot be the basis to the city and the goods sold can be returned, a court of a cause of action or defense. See Currie v. School probably will order restitution and prohibit any payment for District No. 26, 35 Minn. 163, 27 N.W. 933 (1886); the goods. See Frisch v City of St. Charles, 167 Minn. 171, Bjelland v. City of Mankato, 112 Minn. 24,127 127 N.W. 208 N.W. 650 (1926). Such disposition might be ordered, 397 (1910). The municipality may be enjoined from for example, when a lot has been purchased from a council - performing the illegal contract. See Sinclair v. Winona member and no building has been erected on it, or supplies, County, 23 Minn. 404 (1877); Williams v. National Con- such as lumber, have been bought and not yet used. How - tracting Co., 160 Minn. 293,199 N.W. 919 (1924). ever, if the goods cannot be returned and if the contract was not in itself beyond the powers of the city and there was no The validity of the contract is not affected by the fact fraud or collusion in the transaction, the court will deter - that the interested councilmember did not participate in the mine the reasonable value of the property and permit League of Minnesota Cities Page 13 payment on the basis of value received. See First National Forms for use under Minn. Stat. 471.89 Bank of Goodhue v. Village of Goodhue, 120 Minn. 362, 139 N.W. 599 (1913); Mares v. Janutka, 196 Minn. 87, 264 FORM I. RESOLUTION N.W. 222 (1936); Kotschevar v. North Fork Township, 229 Minn. 234, 39 N.W.2d 107 (1949). Whereas, the city of desires to purchase the Minn. Stat. 471.87 rovides that eve following goods: (1), P every public officer who violates the restriction against official interest is guilty And Whereas, of a gross misdemeanor. This criminal prohibition focuses (2) is the (3) of the city and on the officer having will be financially interested in the contract. g personal interest in a contract. Therefore, others who participate in making the contract Now be it resolved by the city of ,Minnesota: cannot be convicted of an offense under that statute. However, Minn. Stat. 609.43 provides a public officer who, 1) The city clerk is directed to make the above - acting in official capacity, does an act knowing it is in mentioned purchase on behalf of the city from (2) excess of lawful authority or knowing it is forbidden by law for a price of $ (4). to be done in that capacity, may be sentenced to imprison- ment for not more than one year or fined not more than 2) It is determined that the contract price of $ $3,000, or both. Thus, public officers who knowingly is as low as, or lower than, the price at which the goods can authorize a contract even though they do not receive a be obtained elsewhere at this time. personal benefit from it may be subject to the criminal provisions of Minn. Stat. 609.43. (A.G. Op. 90 -a -1, LMC 3) This resolution is passed to comply with the provi- 1304, Apr. 22, 1971.) sions of Minn. Stat. 471.87-.89. Despite the relaxation of strict rules found in the Passed by the city council on , 19_. statutory exceptions to statutory and charter conflict of interest provisions, the prohibition of interest by council- members often poses difficult practical problems. However, the general attitude of the courts is that the rule is on Mayor a principle salutary one and therefore despite p the occa- sional hardships involved, contracts will not be tolerated Clerk when there is unlawful interest, regardless of their fairness. See Currie v. School District No. 26, 35 Minn. 737, 55 Footnotes N.W. 737 (1893). Consequently, a contract should not be made with any member of the council which is outside (1) Itemize the goods to be purchased. Instead of statutory authority and payment should not be made under "goods ", the words "merchandise," "equipment," or such a contract. similar appropriate language may be used. If the contract involves services, the clause might read: In case of doubt, it is advisable to assume that the "Whereas, the city of desires to have the authority does not exist. If the public interest seems to following services performed require making the contract, a supporting legal opinion or court ruling should be secured before proceeding. (2) Insert the name of the interested official. Permissible interest procedure (3) Insert the name of the office held in the city. Minn. Stat. 471.89 states the procedure to be followed (4) The amount may not be more than $5,000. when a councilmember has an interest in a contract for goods or services where the amount does not exceed Comment $5,000. Such a contract is permissible under the exception Unanimous vote of the council is required to pass this in Minn. Stat. 471.88, Subd. 5. The statute requires that the resolution. The resolution need not be published unless council pass a resolution authorizing the contract. A required by city charter. resolution similar to Form 1 can be used. If there is an emergency which does not allow the council to authorize The city should use form 2 in an emergency where it is the contract in advance, Form 2 should be used instead of impracticable to adopt this resolution in advance of the Form 1. Before a claim can be paid, the interested officer contract performance. must file an affidavit with the city clerk giving the informa- tion indicated in Form 3. Page 14 Official Conflict of Interest FORM 2. RESOLUTION RATIFYING FORM 3. AFFIDAVIT OF OFFICIAL CONTRACT IN EMERGENCY INTEREST IN CLAIM Whereas, on , 19_, the city of STATE OF MINNESOTA ) purchased the following goods: (1) from ) (2) COUNTY OF ) And Whereas, (3) was the (4) on , being duly sworn states the following: this date and was personally interested financially in the contract, 1) He/she is (1) of the city of And Whereas, the purchase could not be authorized in Minnesota. advance because of the following emergency: (5), 2) On , 19_, the following goods (2) were furnished by (3) to the city of Now be it resolved by the city of , Minnesota: (4) 1) The above - mentioned purchase by the city and the 3) The contract price for such goods(2) was claim of the vendor based on it are confirmed and the and their reasonable value was $ mayor and clerk are directed to issue an order -check to pay the claim on filing the affidavit of official interest required 4) Affiant was at the time such goods(2) were furnished under M.S. 471.89. to the city the (5) of (3), the vendor. 2) It is determined that the contract price of $ Affiant states further that to the best of his (her) (6) paid for such goods is as low as, or lower than, knowledge and belief the contract price is as low as, or the price at which they could have been obtained elsewhere lower than, the price at which the goods(2) could be at the time the purchase was made. obtained from other sources. i 3) This resolution is passed to comply with the provi- Affiant further states that this affidavit constitutes a sions of Minn. Stat. 471.87 -.89. claim against the city for the contract price, that the claim is Passed by the city council on ' 19— just and correct, and that no part of the claim has been paid. - Mayor Subscribed and sworn to before me this day of , 19_. Clerk Footnotes Footnotes (1) Insert the name of the office held in the city. (1) Substitute the words "services," "merchandise," "equipment," or similar language where more appropri- (2) Substitute "goods and services," "merchandise," ate. "equipment," or similar language where more appropri- ate. (2) Insert the name of company or person with whom the contract was made. (3) Insert the name of the company or firm with whom the contract was made. If the official made the sale or (3) Insert the name of the interested official. provided the services in his or her own name, "the affiant" may be used instead. (4) Insert the name of the office held in the city. (4) Itemize the goods or materials furnished. If the contract (5) State the nature of the emergency which did not involved services, the following clause might be used: permit authorizing the contract in advance. On , 19_ performed the following services for the city of (6) The amount may not be more than $5,000. (5) Insert "a stockholder," "president," "partner," or other description of the nature of the official's personal fi- nancial interest in the contract. League of Minnesota Cities Page 15 Public employees cannot purchase is sold by a sealed bid process and the employee is the merchandise from the government highest responsible bidder. The employee who buys the property must not be directly involved in the auction or the Minn. Stat. 15.054 bars any officer or employee of the sealed bid process. state or its subdivisions from selling or facilitating the sale officer A state employee can purchase no more than one motor of government -owned personal property to another o or employee of the state or its subdivisions. Violation of this vehicle from the state in any 12 -month period. statute is a misdemeanor. The law does not apply to the sale of property or There are a few exceptions. Personal property that is materials acquired or produced by the state or subdivision owned by the state or its subdivisions but is no longer for sale to the general public in the ordinary course of needed for public purposes can be sold to an employee or business. And, the law allows an employee or officer of a officer, but only if 1) there has been reasonable public state or subdivision to sell public property if the sale is in notice and the property is sold at a public auction; or 2) if it the normal course of the employee's duties. Page 16 Official Conflict of Interest Part IV-- Conflict of interest in non - contract situations General rule 1. The nature of the decision being made. While the statutory rules discussed previously relate 2. The nature of the financial interest. only to contracts with interested officials, courts throughout the country, including the Minnesota Supreme Court, have 3. The number of interested officials. followed a similar principle in non - contract situations even in the absence of statutes. 4. The need, if any, for the interested officials to make the decision. Any official who has a personal financial interest that may conflict with the public interest in considering an 5. Other means available, if any, such as an opportunity official action generally is disqualified from participating in for review of the decision. the action. This is especially true where the question to be voted on concerns the member's own character, conduct, or Lenz v. Coon Creek Watershed District, 278 Minn 1, right to hold office, or where the member's own personal 153 N.W.2d 209, (1967). financial interest is so particular and distinct from the public interest that the member cannot be expected to There is far from complete agreement among the represent the public interest fairly in deciding the matter. various courts on the kinds of interest and the situations that (62 C.J.S. Municipal Corporations, Sec. 402; 56 Am. Jur. prevent an interested official from taking part in particular 2d, Municipal Corporations, Sec. 142.) official actions. A review of some of these may indicate judicial attitudes in particular factual situations. In applying the disqualification rules in non - contract situations, the courts have sometimes made a distinction Specific situations between judicial and quasi-judicial acts on the one hand and legislative and administrative acts on the other. However, Determination of official's right to office. On the this distinction has not been consistently applied in particu- theory that no person should be the judge of his or her own lar cases. case, courts have generally held that an officer may not participate in proceedings involving his or her own status. In general, when an act of a council is judicial, no Thus, members of a city commission trying themselves or member who has a personal financial interest may take part, other members for an offense in which a majority of the and some courts would hold that the member's participation commission illegally participated are within a constitutional makes the decision voidable even if his or her vote was not prohibition that judges may not sit in cases in which they necessary to make up the majority necessary for decision. are interested and their judgment is void. (State ex rel. See 133 A.L.R. 1257, 1260. Some of the cases included in LaCrosse v. Averill, 110 S.W.2d 1173, Tex. Civ. App., the next section indicate how this distinction has been 1937.) This principle is so well established regarding applied in practice. judicial and quasi - judicial acts that the court would doubt- less have reached the same conclusion if there were no When there is such a disqualifying personal interest, constitutional or statutory provision on the subject. the action is not necessarily void, however. In contrast to the rules regarding conflict of interest in contract situations, Similarly, in Rollins v. Connor, 74 N.H. 456, 169 A. the official action may still be taken validly if the disquali- 777 (1918), where a councilmember's election was chal- fied official does not participate and the required number of lenged, the challenged member was held disqualified to non - interested councilmembers approve the action. participate in a council decision on the election contest. A Wisconsin court held that county board members who were Many difficult questions of fact arise in these cases, sureties on an official bond could not vote on a resolution particularly on the nature of a disqualifying interest. It is relieving the sureties of liability. (Oconto County Board of impossible to make a generalization that covers all cases. Supervisors, 47 Wis. 208, 2 N.W. 291, 1879.) In Hager v. State ex rel. Te Vault, 446 S.W.2d 43 (1969), the court held Disqualifying interest factors that when a councilmember is the subject of a petition for a recall election, the member may not vote on a council The Minnesota Supreme Court has listed five factors resolution to appeal a court decision to force calling the which should be considered in determining if there is a election. disqualifying interest in these situations: League of Minnesota Cities Page 17 Self- appointment. When a city official is in a position of a bank where a zoning applicant did 90 percent of its to appoint him or herself, or participate in making the ap- business. However, financing for the applicant's project pointment to a public office or position, the official has a would be through another bank. The court held that the self - interest and he or she is disqualified from participating councilmember's interest was too remote and speculative to in the decision. (7ivp. Committee of Township of Hazlet v. disqualify the member. Morales, 119 N.J. Super. 29, 289 A.2d 563, 1972.) Family Connections. The attorney general has held Fixing official's own compensation. State law that a councilmember is not disqualified from voting on a authorizes a council of any second, third, or fourth class rezoning by the fact that his father owns legal title to the City in Minnesota to fix its own salary and that of the tract in question. (A.G. Op., LMC 130D, Apr. 14, 1975.) mayor. (Minn. Stat.415.11). Since every councilmember has The councilmember's father had sold part of the property to a personal interest in determining the compensation, the the rezoning applicant on a contract for deed. The attorney statute can be given effect only by recognizing that the general said that the councilmember did not have an interest Legislature has specifically determined by adopting it that sufficient to prohibit him from voting on the matter. the principles of disqualifying interest are not to be applied in this situation. The fourth factor mentioned in the Lenz In Stokes v. Mishawaka, 441 N.E.2d 24 (Ind. 1982), a decision, the need for interested officials to make the councilmember's son represented a rezoning applicant. The decision, is determinative in this situation. court held that the member was not disqualified, because four other councilmembers also voted for the rezoning and A special situation is involved in setting the clerk's it had been recommended by the planning commission. salary in a statutory city operating under the standard plan in which the clerk is a member of the council. The other A family relationship was held to disqualify a council - four councilmembers may vote on the clerk's compensation member in 77iorne v. Zoning Commission of Town of Old without any disqualifying self - interest. The clerk should not Saybrook, 178 Conn. 198, 423 A.2d 861 (1979). A council - vote. See Reckner v. School District of German Township, member's parents and sister owned land adjacent to 34 Pa. 375, 19 A.2d 402, 133 A.L.R. 1254 (1941), holding property which was the subject of a rezoning application. that under a statute permitting a school board to fix the The relatives' land would be affected by the rezoning and salary of a member who serves as secretary, the secretary the court held that this fact disqualified the councilmember. may not cast the deciding vote. In Van Italle v. Borough of Franklin Lakes, 28 N.J. 143, In the related area of pensions, a special situation may 146 A.2d 111 (1960), the court held that a councilman was occur where there is a conflict of interest. A number of not disqualified from voting on a zoning ordinance change Minnesota cities have local police or fire pension plans in because his brother was employed by a corporation inter - which the amount of the pension is fixed at a percentage of ested in the change. See also Low v Town of Madison, 135 the current salaries for police or firefighters. Under such an Conn. 1, 60 A.2d 744, (1948) holding that a zoning com- escalator clause, the pension is increased whenever salaries mission member was disqualified from voting on his wife's are increased; therefore, a councilmember who is receiving application for change of an area from residential to such a pension as a retired member of the police or fire business zoning. department has a personal financial interest when a change in salaries for the department is before the council. See Gifts and Contributions. In a Hawaii case, council - A.G. Op., LMC 130d, Mar. 27, 1975. members were held not to be disqualified, even though they had received campaign contributions from a zoning Business connections. In a Washington case, a council- applicant. The court held that the contributions were lawful member's cabinet building business did work for a general and were reported as required by law. (Life of the Land v. contractor who had informally discussed with a zoning City Council of Honolulu, 61 Haw. 390,606 P.2d 866, applicant the possibility of building apartments on the 1980.) applicant's property. The general contractor chose subcon- tractors on the basis of competitive pricing. In West Slope In LaRue v. Township of East Brunswick, 68 NJ. Super. Community Council v City of Tacoma, 569 P.2d 1183 435,172 A.2d 691 (1961), the court held that zoning (Wash. App. 1977), the court held that the councilmember officials were not disqualified even though they attended a was not disqualified because his interest was too remote and dinner given by a rezoning applicant before voting on the dependent on the occurrence of several contingencies. application. The court said it would not inquire into motives, absent fraud, personal interest, or corruption. In Furtney v. Simsbury Zoning Commission, 159 Conn. However, the court characterized the officials' attendance at 585, 271 A.2d 319 (1970), a councilmember was an officer the dinner as a "display of extremely poor judgment." Page 18 Official Conflict of Interest A number of cities have ethics ordinances or policies on establishing a county road after he asked a landowner to which cover elected and appointed officials and often circulate a petition for the road. The court refused to employees as well. The wording usually is similar to the disqualify the supervisor. By its very nature, the court following: No person covered by this code of ethics shall said, the decision to establish a town road will be of directly or indirectly solicit any gift or accept or receive any interest to all local citizens, including members of the town gift of substance whether in the form of money, services, board. Town board members are often in the best loan, travel, entertainment, tickets, hospitality, meals, position to be aware of the need for a road. The availability. promise or any other form, under circumstances under of appeal to the district court will adequately protect which it could reasonably be expected to influence him or occupants of affected land from any possible prejudice, her in the performance of his or her official duties or was the court said. The opinion does not specifically say that a intended as a reward for any official action on his or her supervisor who owns land affected by a proposed road is p er. disqualified. Slightly different wording is suggested by the National Local improvement and assessment proceedings. A Institute of Municipal Law Officers' Model Ordinance on councilmember owning land which will be benefited by a Code of Ethics. Section 1- 703(b) of the model code states: local improvement probably is not precluded by personal "Interest in contract or transaction. No public officer or interest from petitioning for the improvement, voting to employee having the power or duty to perform an official undertake it, or voting to adopt the resulting special act or action, related to a contract or transaction which is or assessment. One Minnesota decision, Petition of Jacobson, may be the subject of an official act or action of the city, 234 Minn. 296, 48 N.W.2d 441 (1951), took a different shall... (4) have solicited, accepted or granted a present or view on county ditch proceedings. But Jacobson seems to future gift, favor, service or thing of value from or to a have been sharply limited as a precedent by Lenz v. Coon person involved in such contract or transaction, except as Creek Watershed District, 278 Minn. 1, 153 N.W.2d 209 provided in Section 1- 703(c).... (c) The prohibition against (1967), though Jacobson was not cited and the cases can be gifts or favors in Section 1- 703(b)(4) shall not apply to: (1) distinguished on their facts. an occasional non - pecuniary gift, insignificant in value, or (2) an award publicly presented in recognition of public The Jacobson case concerned a proposed county ditch service, or (3) any gift which would have been offered to which bypassed a county board member's property although given to him or her if he or she were not an official or the existing ditch cut through a substantial area of his employee." property. The board member participated in preliminary proceedings before the board regarding the feasibility of the Even if the city does not have an official ethics code or improvement and the need for a preliminary survey, though ordinance, city officials should recognize that accepting he did not attend the final hearing. In using these facts as special favors such as trips, tickets and meals, or the use of additional support for sustaining the trial court order an official position to obtain special privileges, may give vacating the county board's order, the court said that since rise to the appearance of impropriety, if not actual impropri- the preliminary proceedings may have a substantial effect ety. To avoid problems, it is advisable for city officials and on later actions taken at the final hearing, "it would seem employees to follow the practice of not accepting any gifts clear that under well - established principles, he should not or favors of significant value. have participated in any of the proceedings regarding this project." Establishing street or highway. The Minnesota Supreme Court has held that a county board member who The Lenz court specifically held that there is no owns land adjoining a proposed county highway does not disqualifying conflict of interest where four of the five have a disqualifying interest preventing him from voting on managers of a watershed district own land which will be the establishment of the highway. (Webster v Board of benefited by the proposed district. The court drew a parallel County Commissioners of County of Washington, 26 Minn. between the facts in the Lenz case and the situation where 220, 2 N.W. 697, 1897.) Here the benefit was like that of members of a city council assess lands owned by them for the public using the road and differed only in degree. If municipal improvements. This potential conflict of interest, possible damages were involved, as would have been the the court said, does not itself disqualify the district board case if the highway had gone through any of the commis- members from participating in the improvement proceed - sioner's land, a different result might have been reached. ings. In Township Board of Lake Valley Township v. Lewis, This view is in accord with most of the cases elsewhere 305 Minn. 488, 234 N.W.2d 815 (1975), disqualification in the country, though there are some decisions to the of a town board supervisor was alleged when he voted contrary. Lewis v. Forest City Special Improvement District, League of Minnesota Cities Page 19 156 Ark. 356, 246 S.W.2d 867 (1923} —did not disqualify have been held not to have a disqualifying interest. How - councilmember because as a property owner he signed ever, in view of the cases cited above as well as the attorney petition for improvement; Jeffrey v. Salinas, 232 Cal. App. general's ruling based on Jacobson, it is advisable for a 2d 29, 42 Cal. Rptr. 486 (1965)-- fommation of improvement councilmember who owns property abutting a street district; Corliss v. Highland Park, 132 Mich. 152, 93 N.W. proposed to be vacated to refrain from participating in 254, 95 N.W. 416 (1903) -- formation of improvement vacation proceedings before the council. district; City of Topeka v. Huntoon, 46 Kan. 634, 26 P. 488 (1891) -- establishment of sewer district; Pursiful v. Harlan, Property ownership. Whether or not property owner - 222 Ky. 658, 1 S.W.2d 1043 (1928)— change in street ship disqualifies a council or board member from participat- grade; Hamrick v. Town of Albertville, 21 Ala. 465, 122 So. ing in council action will depend, to some extent, on the 448 (1929} —street improvement; Goff v. Nolan, 62 How. amount of that interest compared to all land affected by the Pr. N.Y. 323 (1881)- -street widening. decision. At one extreme is adoption of a new zoning or a comprehensive revision of an existing ordinance which may It is conceivable that a councilmember's property have an impact on all property in the city. There the interest ownership might result in more favorable treatment of that is not personal and the councilmember should be able to property in the assessment. If that happened, the assessment participate. Otherwise, since almost all councilmembers might be challenged for arbitrariness and set aside, whether may be property owners, no such ordinance could ever be or not the councilmember participated in the assessment adopted. proceedings. At the other extreme is the application for a zoning Land Condemnation. There should be little doubt that variance or special use permit applying only to a council - a councilmember's ownership of land or a substantial member's property. Clearly there is such a special interest interest in land is so direct and significant as to preclude the that it will disqualify the member from participating in the councilmember's participation in a resolution to condemn proceedings, except to submit the required application to the land. (Sways v. Reading Park Authority, 385 Pa. 592. the city. 124 A.2d 1956.) The Minnesota Supreme Court has not ruled directly on this question. However, in holding that Between these extremes will be many proceedings ownership of land adjoining a proposed highway did not affecting a few lots or parcels, only one of which a council disqualify a county board member from participating in member will own. In such cases, questions of fact will be proceedings to establish the highway, the court hinted that presented on the councilmember's possible disqualification. its answer might have been different if the owner had been If the councilmember chooses to vote, the council must entitled to damages because the highway went through his decide whether the member should be disqualified, subject property. (Webster v. Board of County Commissioners of to review in the courts if challenged. There will be many County of Washington, 26 Minn. 220, 2 N.W. 697, 1897.) situations where the right to vote is so doubtful that the Street vacation. The Minnesota Supreme Court has not member should refrain from participating. ruled on this question, but the attorney general has ruled Zoning. The attorney general has held that a council is that under the reasoning of Petition of Jacobson, 234 Minn. not prevented from rezoning property owned by a council - 296, 48 N.W. 2d 441 (1951), a councilmember who has an member or his client. However, the councilmember may not interest in property abutting a street proposed to be vacated participate in the council proceedings involving the zoning. may not participate in the street vacation proceedings. (A.G. Op. 59a -32, LMC 600A8, Sept. 11, 1978.) The (A.G. Op. 396g -16, LMC 130d, Oct. 15, 1957). The attorney general said that Minn. Stat. 471.87 does not attorney general also relied on Pyatt v. Mayor and Council prohibit enactment or amendment of a zoning ordinance of Borough ofDunellen, 9 N.J. 548, 89 A.2d 1 (1952). The which affects a councilmember's property. However, court held that two councilmembers who were employees of substantial self - interest may disqualify the member from the company whose plant abutted the street to be vacated participating in council action on the matter. were infected with the taint of self - interest." The court said that a street vacation proceeding before the council was In a prior opinion, the attorney general concluded that judicial in character. The ordinance vacating the street was it was a question of fact whether a town board member who therefore voidable because of the ancient principle that "no had sold on a contract for deed land which was the subject man shall be a judge in his own cause." See also Smith v. of rezoning had a disqualifying interest. (A.G. Op. 471 -f, City of Centralia, 55 Wash. 573, 104 P. 797 (1909). LMC 130d, Sept. 13, 1963.) The attorney general appeared to assume, however, that if the board member had a It is arguable that a street vacation is not essentially sufficient interest in the land, the member would be different from establishing the street, where abutting owners disqualified from voting on the rezoning. Page 20 Official Conflict of Interest In a Nebraska case, a councilmember voted to adopt a license to be granted by the council, there is such a personal comprehensive plan designating his property as a regional financial interest that the member may not take part in the multiuse center. In Copple v. City of Lincoln, 202 Neb. decision on the application. (Van Hovenberg v. Holman, 201 152, 274 N.W.2d 520 (1979), the court held that the Ark. 370,144 S.W. 2d 718,1940; Clark v. Alcoholic member was not disqualified. His interest in the land Beverage Commission, 51 R.I. 126, 170 A. 79, (1934). development at the time was remote and speculative because the comprehensive plan was merely a policy Even if a general licensing ordinance is the subject of statement. The court said that subsequent zoning and the action, a councilmember who holds a license may have subdivision actions would really control the development. a sufficient possibility of a conflict of interest to disqualify the member from voting. The attorney general has ruled In r C awford v. Brewster, 225 Ga. 404,169 S.E.2d 317, that a councilmember who is a part-tune employee of a it was held that under a statute prohibiting a vote by a coup- liquor licensee should not vote on the question of reducing cihnember on a matter in which the member is personally the liquor license fee if the councilmember can be shown to interested, a councilman who, with his wife, is employed by be personally interested, for example, if the fee reduction a private school affected by a proposed rezoning is not will affect the member's compensation or continued precluded from voting on the rezoning. However, in employment. (A.G. Op. 218 -R, LMC 140b, Apr. 29, 1952.) Josephson v Planning Board of City of Stamford, 151 This would be a fact question in a particular situation. Conn. 489,199 A.2d 691 (1964), a zoning board member who for 12 years had received free desk space and tele- In a related case, E.T.O., Inc., v. Town of Marion, 375 phone service from a realtor who was involved in an N.W.2d 815 (Minn. 1985), the Minnesota Supreme Court application for a zoning change was held disqualified. held that a town board member's ownership of property across from a bar which was the subject of a liquor license Urban renewal decisions. An interest in property renewal decision disqualified him from voting on the which is the subject of an urban renewal decision may be a license renewal. The town board member stated his prop - ground for disqualification. But when the property is within erty had been devalued by $100,000 since the bar opened, the area of a larger urban renewal program but not in the and he was elected to the board based largely on his project area which is the subject of the decision, this opposition to the bar. The court stated, "A more direct, probably is not a disqualification. See Anderson v. City of admitted financial interest is hard to imagine." Parsons, 209 Kan. 337, 496 P.2d 1333 (1972). Similarly the ownership of nearby property does not disqualify a planning Need for interested officials to make the decision board member from participating in a decision to redevelop blighted property. (Wilson v. City of Long Branch, 27 N.J. One of the five relevant factors which the court in Lenz 360, 142 A.2d 837, 1958.) v. Coon Creek Watershed District, 278 Minn. 1, 153 N.W.2d 209'(f967) said should be considered in detemlin- Employment by the owner of property in an area which ing whether there is a disqualifying interest in a particular . . is the subject of an urban renewal decision is a sufficient case is "the need for interested officials to make the interest to disqualify a councilmember from voting. (Wilson decision." This idea is expressed in a number of cases v. Iowa City, 165 N.W.2d 813, 1969; Griggs v. Borough of elsewhere. For example, in Gonzales v. Dairy Valley, 265 Princeton, 33 N.J. 207, 162 A.2d 862, (1960). Cal. App. 446, 71 Cal. Rptr. 255 (1968) it was held that when an administrative body has a duty to act on a matter Church affiliation. In Rowell v. Board of Adjustment which is before it and it is the only entity capable of acting of the City of Moorhead, 466 N.W. 2d 917 (Minn. App. on the matter, the fact that members may have a personal 1989), the court, held that a member of a zoning board of interest in the result does not disqualify them from perform- adjustment who was a financially contributing member of a ing their duty. In that case councilmembers owned stock in church is not disqualified from voting on a zoning variance a corporation seeking a special use permit. requested by that church. The court said that the nature of the pecuniary interest was such that it could not reasonably Other means available have influenced the voting board member. The board member's membership in the church, without evidence of a Another relevant factor actor li sled in Lenz i whether ether or not closer connection, is not a sufficient) direct interest in the Y outcome of the matter to justify setting aside the board's other means are available, such as an opportunity for action, the court said. review. In that case the court took into account that the statutes permitted anyone aggrieved by a decision of the License issuance and regulation. Though there have board of managers to appeal to the state water resources been no Minnesota cases directly on the subject, it would board. The court referred to the same factor in a subsequent seem clear that when a councilmember is an applicant for a decision made in an appeal from a town board decision to League of Minnesota Cities Page 21 establish a town road. (Township Board of Lake Valley v. bers who are not disqualified from voting constitute a Lewis, 305 Minn. 488, 234 N.W.2d 815, 1975.) In uphold- p quorum. Any two members are a majority of the quorum ing the town board decision against an alleged conflict of and can adopt the resolution or motion. (A.G. Op. 396g -16, interest, the court said that the availability of appeal to the LMC 130d, Oct. 15, 1957.) When the law requires a district court will adequately protect owners of the affected majority of all members to adopt ordinances in statutory land from any possible prejudice. cities (M.S. 412.191, Subd. 4), three members who are not disqualified must approve. Four non - interested members of Effect of disqualifying interest on action a five- member council must approve a zoning ordinance since Minnesota law requires a 415 vote of all the members Unlike the situation involving a contract, the fact that in such cases. one member of the governing body which must take a non- contract action has a disqualifying interest does not affect Official conflict of interest checklist the result if the requisite majority without the interested official takes action. The weight of judicial authority is 1) Confer with city attorney. clearly to this effect though there are a few cases to the contrary. In Nodes v. City of Hastings, 284 Minn. 552,170 2) Disclose interest. N.W.2d 92, the court held that although it would have been "better practice" for the interested member of the three- a) Make disclosure at the earliest stage. Don't partici- member civil service commission to disqualify himself, his pate in discussions leading up to the decision. participation in a unanimous decision does not invalidate the commission's decision to temiinate an employee. b) Make oral disclosure to the governing body or board. However, any ordinance, resolution, motion, contract, or other action for which a disqualified member votes is c) Also make written disclosure. void where the vote of the member is necessary to make up the number of votes required to take the action. (C.J.S., 3) Don't vote or take any other official action, unless the Municipal Corporations, Sec.402.) city attorney gives an opinion that there is no prohib- ited conflict of interest. Councilmembers who have a disqualifying interest in a matter generally are excluded in counting a quorum. 4) Don't influence others. Woodward v. City of Wakefield, 236 Mich. 417, 210 N.W. 322 (1926); State (Winans) v. Crane, 36 N.J.L. 394 (1873); a) Make sure disclosure precedes discussion on the Coles v. Williamsburgh, 10 Wend. (N.Y.) 659 (1833); matter. Oconto County Supervisors v. Hall, 47 Wis. 208, 2 N.W. 291 (1879); see also Jones v. Morrison, 31 Minn. 140, 16 b) Don't participate in discussion, either at the time N.W. 854 (1893), applying the same quorum rule to private of the vote or earlier. corporations. Thus in any five- member council of a statutory or charter city in which a majority of all members c) Leave the room when the governing body is dis- is not required to pass motions or resolutions, three mem- cussing the matter. Page 22 Official Conflict of Interest Part V— Incompatible offices State laws usually o not prevent a Y P person from holding 3. If one of the positions: two or more governmental positions. However, government officials cannot hold more than one position if the functions a. Is in the federal service (except for postal employ - are incompatible or if their jobs may give rise to conflicts ees), between personal interests and official duties. (See 15B Dunnell's Minnesota Digest 2d Public Officers Sec. 3.03; b. Exists because of a contract made by the group or State v. Sword, 157 Minn. 263, 196 N.W. 497 (1923); State board of which the holder is a member, v. Hayes, 105 Minn. 399,117 N.W. 615 (1908); Kenney v. Goergen, 36 Minn. 190,31 N.W. 210 (1886). c. Is in a governmental unit which has interests and purposes conflicting with those of the group to Positions are incompatible when one or more of the which the other belongs, or following conditions exist. d. Has duties which conflict or are antagonistic to 1) If the holder of one position (or the group or board of those of the other. which the person is a member): A waiver of salary or serving without pay does not a. Hires or appoints the other, change the incompatibility of any two positions because it does not affect their basic character. b. Sets the salary for the other, When an official qualifies for a second and incompat- c. Performs functions which are inconsistent with the ible position (by taking an oath and filing a bond if neces- other, sary) he or she automatically resigns from the first, which then becomes vacant. (A.G. Op. 471 -M, Dec. 11, 1957.) d. Makes contracts with the other, or An individual can, however, run for election to a position which is incompatible with the one the person already e. Approves the official or fidelity bond of the other; holds, without resigning from the first position. (A.G. Op. or 471 -M, Sept. 21, 1953.) 2) If a specific statute: State laws do not prevent federal and state employees from holding city offices so long as the'positions are not in- a. States that one person may not hold two or more compatible. Federal civil service rules generally require that certain positions, a person covered by the rules must resign before seeking local elected office. State civil service employees can hold b. Requires that the holder may not take another posi- any local elected office so long as it does not conflict with tion, or their regular state employment. The state department of employee relations will determine whether a conflict exists. c. Requires that the holder devote full time to the po- (Minn. Stat. 43.28.) sition; or Incompatibility depends on the character of the offices and their relationship to one another. It is advisable for an official who is considering seeking an additional office to obtain legal advice on the compatibility of the two offices. Rev. AEH:glb 11/89 Rev. PR:glb 8/90 League of Minnesota Cities Page 23 CITY OF BROOKLYN CENTER BUSINESS ETHICS POLICY 1. The City of Brooklyn Center shall operate its business in accordance with the highest ethical standards and with the applicable laws of the United States and the State of Minnesota and the Charter and ordinances of the City of Brooklyn Center. Specific matters or types of transactions not covered by such specific provisions shall be conducted in accordance with the following general policy. 2. For purposes of this statement of business ethics policy, the term "public official" shall include all elected officials, all members of boards or commissions, and the city manager and all employees of the City. The term "employee" shall include those personnel defined as employees in the City's personnel ordinance. OFFERING OR ACCEPTING GIFTS AND GRATUITIES. 1. No public official shall misuse his or her position to secure special privileges or exemptions for such person or any other person. 2. No public official shall directly or indirectly receive, or agree to receive, any compensation, gift, reward, or gratuity in payment for the performance of his or her official duties except as may be provided by law. 3. Whenever a public official deals with a City supplier or customer, he or she has an obligation to act solely in the best interest of the City. This obligation includes not only those acts formalized by written contracts but also covers everyday business relationships with vendors or customers. 4. No public official shall ask for or accept (directly or indirectly) payment, favors, or any other thing of significant value from a current or potential City supplier or customer, or any other person in consideration for assistance or influence, or upon the representation' that such assistance or influence has been or will be rendered, in connection with a purchase or any other transaction or proceeding affecting the City. This policy does not bar the acceptance of unsolicited entertainment or advertising favors which are of negligible value and are legally permissible, when no assistance is given for or any obligation to render assistance is assumed by such acceptance. No public official may accept free meals or purchase meals, goods, or services at reduced prices from businesses in the City of Brooklyn Center or from vendors which sell or offer to sell goods or services to the City, unless such free meals or discounted meals, goods, or services are available on the same terms to the public at large or to all government employees. This policy does not apply to unsolicited acceptance of a meal which is incidental to a specifically scheduled business meeting relating to City business. 5. No public official shall offer or give (directly or indirectly) payments, favors, or any other thing of significant value to an employee or agent of a current or potential supplier, customer, or union in consideration for assistance or influence, or upon the representation that such assistance or influence has been 7/8/91 -1- or will be rendered, in connection with a sale or any other transaction proceeding affecting his or her employer or principal and the City. This p generally does not apply to meals, entertainment, or advertising favors which are of insignificant value and are legally permissible and are given or offered without condition that it obligate the recipient. 6. Acceptance or giving of gifts must be limited to incidentals which are obviously of an advertising nature as items of insignificant value, or which in no way would cause the City to be embarrassed or obligated, and no gifts or entertainment may be accepted which, due to value, circumstances, disposition of the gift, frequency or repetition of donation could cause the City to be embarrassed or obligated. Gifts which do not fit in these categories must be returned. 7. Any questions concerning the application of this policy regarding specific transactions by City employees should be referred to an employee's immediate supervisor or department head, or the city manager. Any questions concerning the application of this policy regarding specific transactions by all other public officials should be referred to the city attorney. 8. The provisions of this policy do not supersede any provision of an employment agreement with the City which is more restrictive than this policy. CONFLICTS OF INTEREST 1. Prohibited Conduct. a. A public official may not engage in any activity or become involved in anno arrangement (directly or indirectly) through a family member or any other person acting on his or her behalf which will conflict, or may reasonably be viewed as conflicting, with his or her obligations and responsibilities to the City or involve the use of City information or goodwill for personal gain or for the gain of others. b. A City employee must make prior disclosure of any contemplated consulting, representation, or secondary employment arrangement. If the city manager determines that the proposed activity would violate this policy, the employee may not engage in it and continue City employment. 2. Action to be taken by public official: a. Whenever any public official, in the discharge of official duties, would be required red to take a Q n action or make a decision which would substantially affect the individual's financial interests or those of an associated business, (unless the effect on the individual is no greater than on other members of the official's business classification, profession, or occupation), they shall: i. Prepare a written statement describing the matter requiring action or decision and the nature of the potential conflict of interest; 7/8/91 -2- 0 ii. Deliver copies of the statement to the city council, the city manager, and the employee's immediate superior, if any; iii. If a potential conflict of interest presents itself and there is insufficient time to comply with the provisions of clauses (i) and (ii), the public official shall orally inform the city council or superior of the potential conflict. b. If the public official is not a member of the city council, the city manager shall make a determination in the matter. If there is no immediate superior, the public official shall abstain in a manner prescribed b the city council from Y y influence over the action or decision in question. If the public official is a member of the city council, at the member's request, the city council shall excuse the member from taking part in the action or decision in question. SAFEGUARDING CITY ASSETS 1. The department head or assigned manager /supervisor at each location is responsible for the safeguarding of all City assets and the correctness of data submitted to the finance department and contained in the financial reports. 2. Special protection should be afforded assets which are readily saleable because of high intrinsic value or common usage. Attention should also be given to machinery, equipment, and records which, if damaged, would stop or drastically reduce operations for an extended period. Examples of assets or documents which could provide access to assets and which need protection are: Cash Marketable securities Readily marketable products, parts and subassemblies Precious metals (raw or in any high content form) Check blanks - Stamps /postage meters Common tools and equipment High value, portable equipment Data processing and other office equipment, including programs Vital records 3. Although the preparation of the financial reports is the duty of the finance department, department heads are responsible for the accuracy and reliability of the financial data. Consequently, the department heads should be concerned about all those factors which are involved in the propriety of recordkee in P y p g and in the care taken as to the procurement, handling, upkeep, and disposal of assets of all kinds. 4. The objective should be to safeguard City assets and maintain reliable financial records at a level of acceptable business risk. No false, misleading, or artificial entries shall be made on the books and records of the City. No funds 7 / 8 / 9 1 -3- i or assets shall be maintained by the City for any illegal or improper purpos All transactions must be fully and completely documented and recorded in t City's accounting records. All City payments, except from authorized petty cash funds, must be approved by the department head or the acting department head in the department head's absence. POLITICAL ACTIVITIES 1 The rights of employees to ex express the' P it personal views on matters of public policy p and to participate i Y P p n partisan political activities on personal time shall be protected. An employee shall neither gain favor nor incur disadvantages within the City because of any decision or activity regarding the employee's personal political participation. 2. The personnel ordinance governs the political activity as applicable to City employees and is to be consulted for guidance. 3. Any questions concerning the application of this policy regarding specific transactions should be discussed with an employee's immediate supervisor, department head, or city manager. 7/8/91 -4- 612 298 4144 JAN- 1- -1 Gy 14:54 FROM SAINT PAUL f`1i i`r'OR' S OFFICE TO 9 P . 012/ 3 09 -28 -90 COMMITTEE. REPORT City of Saint Paul Name : City of Saint Paul Ethical Practices Board Appointing Authority Mayor Confirming Authority City Council T RB Review Board Reports to Mayor and Council Established by : Ordinance 88-621 Powers and Duties : The board shall., with the approval of the city council, adopt, promulgate, amend, and rescind suitable administrative rules and regulations to carry out the policies and purposes of this chapter. The board may require that forms be developed and prepared for complaints. in cooperation with the City Cleric's office, the board shall compile and maintain a current list of all reports and statements filed pursuant to Chapter 28 of the legislative Code and Chapter 24 of the Administrative Code. Investigate whether statements and reports have been filed within the tines required by Chapter 28 of the legislative Code and Chapter 24 of the Administrative Code. Review reports for completeness and internal consistency and independency and verify entries on campaign disclosure reports and other forms on an arithmetically randomly selected basis. Make on -going reviews of and, where appropriate, recommend to the City Council, amendments to ordinances relating to election regulations and may make recommendations regarding the eity's.code of ethics. Pursuant to Legislative Code Section 28.03, Subd. 4 (7), the board shall have the authority to exempt an individual, political parties, political committees, and personal campaign committees from the filing requirements of the legislative Code Section 28.03, Subd.4. The board shall provide reports to the City Council and the Mayor upon completion of the board's findings relating to (3), (4), and (S) of this section. Size : five members. Terra : Initially, T members shall be appointed for a term of three years, two members for a two -year term and one member for a term of one year. Thereafter, terms shall run for three years. Compensation : none Meetings Monthly 612 298,1 4144 JAN-25-1993 14' CC FROM 5A I NT PAUL MAYOR" SJ OFF I CE TO 95693494 P. 0: s CO AND COMWSSIONS the board's recommended plans and programs shall contain adequate procedures for revie«ng and be on file in the office of the city clerk. Within handling complaints against most city employees. thirty (30) days of the board's presentation of its However, the council also finds that there are not plans and programs, the council shall hold a pub- adequate rocedures for reviewing and handling lic hearing on the same. Within ninety (90) days complaints against elected officials and some ap- of the hoard's presentation, the council shall act pointed employees. Finally, the council finds that ou the recommended plans and programs. elected and appointed officials are held to a higher (c} Upon request by the council or its own ini- standard of conduct and responsibility due to the nature of their duties and responsibilities. tiative the board may provide supplemental re- (Ord. No_ 1.7638, § 1, $•23.89) ports to the mayor and the city council. These reports may include requests for emergency ac Sec. 111.01.2. Ethical, practices board created. tion by the council. (Ord. No. 17292, § 4, 9- 17 -85) (a) There is hereby created a Saint Paul Ethi- cal Practices Board. The board shall consist of Sec. 110.05. Terra. five (5) members, who shall serve without com- pensation, appointed by the mayor with the con - Of the members first appointed, three (3) shall Sent of the city council. Initially, two (2) members be appointed for a term of one year, four (4) shall shall be appointed for a term of three (3) years be appointed for a term of two (2) years, and four each, two (2) members shall be appointed for a (4) shall be appointed for a term of three (3) years_ term of two (2) years each and one (1) member Thereafter, the term of each member shall be for Shall be appointed for a terra of one (1) year. three (3) years until a successor is appointed and 'Thereafter, members' terms shall be for three (3) qualifies, years until their successors are appointed and (Ord. No. 17292, § 5, 9- 17 -85) qualify. Sec. 110.06. Rules and meetings. (b) No member of the board during his or her terra shall: The board shall select its own chair and shall adopt its own governing rules. The board shall (1) hold or campaign for elective office; meet as often as is necessary to accomplish its (2) Be an officer of any political panty, politi- purpose, but shall meet at least once a mouth, for cal committee or personal campaign com• theirst six (6) months- mittee; (Or No. 17292, § 6, 9- 17 -85) (3) Permit his or her name to be used to or &- c. 110.07. Administrative staff. mare contributions in support of or opposi tion to any city candidate or proposition; The mayor shall provide the board with ade- quate staff' from such city departments as he may (4) Participat6 iri any election campaign. direct to enable it to perform its duties under this (Ord. No. 17500, § 1, 10- 13-87; Ord. No, 17638, § chapter. ,1, 3- 23 -89) (Ord. No. 17292, § 7, 9- 17-85) Sec, 111.01.3. Limitation on jurisdiction. Chapter 111. Ethical Practices Board The board's jurisdiction over complaints alleg- ing violations of Saint Paul Legislative Code, Chap - Scc. 111.01.1. Council :rindings. ter 29 and/or Saint Paul Administrative Code, Chapter 24 by city officials or employees shall be The council of the City of Saint Paul finds that limited to complaints against public ofl icials as the civil Service rules for the City of Saint Paul defined by Saint Paul Administrative Code, Sec - and the city's collective bargaining agreements tion 24.03($XIM. with organized and represented city employees (Ord. No. 17638, § 1, 3- 23 -89) supp. No. 7 2689 c t 01/06/93 (REVISOR j XX /KS 93 -0579 Senators Marty, Piper and Betzold introduced- - S. F. No. 24 Referred to the Committee on Ethics and Campaign Reform 1 A bill for an act 2 relating to ethics in government; providing that an 3 advisory opinion of the ethical practices board is a 4 defense in a criminal proceeding and is binding on the 5 board in enforcement proceedings; creating a code of 6 ethical conduct for local officials and public 7 officials and employees; providing for enforcement of 8 the code of conduct by the ethical practices board; 9 amending Minnesota Statutes 1992, section 10A.02, 10 subdivision 12; proposing coding for new law in 11 Minnesota Statutes,.ciiapter 10A; repealing Minnesota 12 Statutes 1992, section 10A.02, subdivisions 11 and Ila. 13 BE IT ENACTED BY THE LEGISLATURE OF THE STATE OF MINNESOTA: 14 Section I. Minnesota Statutes 1992, section 10A.02, 15 subdivision 12, is amended to read: 16 Subd. 12. (ADVISORY OPINIONS.) (a) The board may issue and 17 publish advisory opinions on the requirements of this chapter 18 based upon real or hypothetical situations. An application for 19 an advisory opinion may be made only by an individual or 20 association who wishes to use the opinion to guide the 21 individual's or the association's own conduct. The board shall 22 issue written opinions on all such qucsLlon, s!ibcnitted to it 23 within 30 days after receipt of written application, unless a 24 majority of the board agrees to extend the time limit. An 25 (b) A written advisory opinion shell- }apse -the -dap -the 26 r eg a iar- �ese=on -ef- the- }egieieture ed�e�r -in- the- ieeort@ -peer 27 following- the - date -of- the - opinion.- issued by the board is 28 binding on the board in any subsequent board procee 29 concerning the person making or covered by the request and is a 1 .e= 01/06/93 (REVISOR ) XX /KS 93 -0579 1 defense in a judicial proceeding that invol the subject 2 _ matter of the opinion and is brought against th person making 3 or covered by the request unless: 4 (1) the board has amended or revoked the op inion before the 5 initiation of the board or judicial proceeding, has notified the 6 person making or covered by the request of i ts act ion, and has 7 allowed at least 30 days for the person to d anything that 8 might be necessary to comply with the ame nded or revoked 9 opinion; _ 10 (2) the request has omitted or misstated m facts; or 11 (3) the person making or covered by the reque has not 12 acted in good faith in reliance on the opinion. 13 (c) A request for an opinion and the opin itself are 14 nonpublic data The board, however, may publi an opinion or _a 15 summary of an opinion, but may not include in the publicat 16 the name of the requester, the name of a pe rson covered by a 17 req uest from an agency or political subdivis or any oth 18 information that might identify the perso or unit unless the 19 person consents to the inclusion. 20 Sec. 2. (10A.071] (STANDARDS OF CONDUCT.] 21 Subdivision 1. (USE OF PUBLIC POSITION FOR PRIVATE 22 ADVANTAGE.] ( a) No public or local official or p ublic emplo 23 may use the official's or employee's pub positio title, or 24 prestige of office to obtain a preferent advantage, benefit, 25 or privilege not available to others on an equal b asis, either 26 fo the official or employee or for an other person or 27 association. 28 (b) No public or local official or publ employee may use 29 publi money, time, personnel, facilitie or equipment for 30 private gain or olitical campaign acti vities unless the use is p 31 aut horized or required by law or results in no sign ificant cost 32 to the public. 33 Subd. 2. (GIFTS TO INFLUENCE PUBLIC ACTIONS.) (a ) No 34 publ or local official or public empl may sol icit or 35 accept, and no person may offer or g ive to an o fficial or 36 employee, a gift, whether for the officia or emp loyee's own 2 ' [REVISOR] XX /KS 93 -0579 01/06/93 1 use or for any other person, if_ 2 (1) the recipient knows or shou know that a major pu rpose 3 of the donor is to influence the reci ient in the performance of 4 official duties; or 5 (2) receipt of the gift could reasona be expected to 6 influence the recipient in the performance of official duties. 7 (b) No public or local official or pub employee may 8 solicit or accept_ a gift from a registere lobbyist, or from an 9 association with a direct financial interest in a matter before 10 the governmental unit to which the official is elected or 11 appointed or by which the official or emp loyee is employed, 12 u nless the gift is given because of the re cipient's membership 13 in a group, a majority of whose members a re not pub lic or local 14 officia or public employees, and an equ ivalent gift is ig ven 15 to the other members of the g roup. 16 ( c) No registered lobbyist or repr esentative of an 17 association with a direct financial interest in a matter before 18 a g overnmental unit may solicit or req uest othe to offer or 19 give a g ift to a public or local offici elected or ap pointed 20 to that governmental unit. 21 (d) Fo purposes of this subdivision, "gift" means money, 22 real or personal pr02erty, a benefit, a favor, a service, a 23 loan, a forbearance or forgiveness of i ndebtedness, or a_ rya 24 of future employment, that is iven and received without the 25 fi ver receivin consideration of a ual or res ter va lu g q e in q 9 26 return A gift does not include: 27 (1 ) a contribution as defined in section 10A.01, 28 subdivision 7; 29 (2) a plaque or similar mement reco4nizing individu 30 services in a field of specialty or to a charitable cause; or 31 (3) compensation and expenses paid to a public or local 32 official or em to ee for performance of the official's or 33 employee's public duties ba governmental unit to which the 34 official is elected or appointed or by which the employee is 35 employed. 36 Subd. 3. [PRIVATE COMPENSATION FOR PUBLIC DUTIES.] No 3 s •C O1 06/93 [REVISOR ] XX /KS 93 -0579 1 public or local official or public empl may solicit or 2 accept, and no person may offer or pay to an official_, 3 c ompensation for the performance of the off icial's or_emplo ey e's 4 pu blic duties other than the compensation paid to the official 5 or employee by the qovernmental unit to which the official is 6 elected or appointed or by which the offic or em ployee is 7 employed. This subdivision does not p rohibit an official or 8 employe from receiving compensation for ou tside emp loyment, if 9 the outside employment does not interfere with, influence, or 10 compromise the official's or employee's publi position. 11 Subd. 4. [USE OF INFORMATION.] (a) No public or local 12 official or public employee may intentiona use or disclose 13 infor mation gained by reason of the offici or emp loyee's 14 public position in a way that could result in the rece of 15 a of value by the official or emp loyee or an other 16 p erson known to the official or employee if t he information is 17 not public data or has not otherwise been communicated to the 18 public. 19 (b) No former elected or appointed pu blic official_ 20 serve as a re istered lobbyist to lobby the governmental unit to 21 which th official was elected or appo inted, until two years 22 have passed since the former official left the elective or 23 appo inted position No former publ employe other than an 24 elected o r appointed public official, may serv as a registered 25 lob byist to lobby the governmental u nit by which the former 26 emplo was employed, until one yea has pass since the 27 former employee left the publ position. 28 Subd. 5. (STRICTER STANDARDS AUTHORIZED.] Nothing in this 29 section rohibts a state a enc or a political subdivision from 30 imposing stricter standards of conduct for officials or 31 employees under its jurisd iction._ 32 Sec. 3. (10A.072] (ENFORCEMENT.] 33 Subdivision 1. (INITIATION OF ACTION.] The board shall 34 initiate an action to enforce this chapter upon complaint of a 35 alleged vio lation from an individual, organization, a gency, or 36 political subdivision or upon becomi aware of an apparent or 4 01/06/93 [REVISOR j XX/ RS 93 -0579 1 potential violation. 2 Subd. 2. [PRELIMINARY INQUIRY.) (a) Uoon rece iving a 3 complaint or becoming aware of a apparent or potential 4 viol ation, the executive director shall m ake a preliminar 5 inquiry to determine whether sufficient facts ha ve been alleged 6 in the complaint or have otherwise become known to the board to 7 indicate a reasonable cause for belief that a violation has 8 occu rred The executive director shall notify th board, the 9 su bject of the inquiry, and the attorney gener of the alleged 10 or pot ential violation and of the start of the preliminary 11 inquiry but may not reveal to the subjec the identi of the 12 complainant. If the executive director finds no reasonable 13 cause for belief that a violation has occurred, the executive 14 directo shall notify the board, the subj of the in quiry, the 15 attorney g eneral, and the complainant, i any, of that f inding. 16 (b) Any action taken or evidence rece ived by the board up 17 to this point in a proceeding is nonpub data, ex cept that the 18 executive director ma issue the notifications re quired by this 19 subdivision and: 20 (1) the finding of no reasonable cause is p ublic data; 21 (2) th board may report informati as requir by this 22 chapter, so long as the report does not contain the name of the 23 subject of a preliminary in uiz or an other information that 24 might identify the subje and 25 (3) th board may turn informat received through a 26 preliminary inquiry over to the attorney general, the United 27 States attorney, or a county atto rney, who may use it in a 28 proceeding related to the violation. 29 Subd. 3. [FINDING OF REASONABLE CAUSF.] If at the 30 conclusion of a preliminary in uir the executive director finds 3.1 reasonable cause for belief that a violation has occurred, the 32 executive director may negotiate a settlement of the violation 33 in accordance with subdivision 4. I£ the director chooses not 34 to negotiate a settlement or cannot do so, the director shall 35 notify the board, the subject of the inquiry, t attorney 36 general, and the complainant, if any, of the finding of 5 01/06/93 [REVISOR ] XX /KS 93 -0579 f 1 reasonable cause. 2 Subd. 4. [SETTLEMENT.] (a) A settlement of a v iolation 3 must include the violator's acknowledgment o th violation and 4 agreement not to repeat the violation. A settlement must be 5 appro by the board before it takes effe The board may 6 instruct the director to try to ne otiate a different settlement 7 and to r eport any new settlement at a subseq board me eting. 8 The board may proceed to an adjudicatory he aring u nde r 9 subdi vision 5 A settlement and its terms are nonpubl data, 10 except that: 11 ( 1) the board shall notify the attorney general of the 12 settlement and its terms; 13 (2) the board shall make the settlement public at the 14 request of the violator; and 15 (3 ) the board shall publish a settlement of a violation it 16 considers to be major and del iberate. 17 (b) When a matter is settled under this su bdivision and th 18 board has not ublished the settlement, the board s hall notify 19 the complainant, if any, and may respond to public i nquiries, 20 that the matter has been settled but that the violation was not 21 major and deliberate. The board may n ot dis close the terms of � y 22 the settlement. 23 Subd. 5. [ADJUDICATORY HEARINGS.] Upon receiving the 24 executive director's findin of reasonable cause to believe that 25 a violation has occurred, or upon receiving the director's 26 report o f a settlement under subdi vision 4 and fa iling to 27 approve it, the board may refer the matter to an administrative 28 law judge fo an adjudicatory hearing An adjudicato hearing 29 is a contested case governed by chapter 14. 30 Subd: 6. [DECISIONS AND ORDERS.] The board's decision and 31 order a t the conclusion of an adjudic hearin shall include 32 a requi rement that the violator obey the law and may include: 33 (1) a re quirement that the violator forfeit a civi penalty 34 of no more than $10,000 for each violation; 35 2 in the case of . a violator who is a p ublic or loca I 36 official or publi c em to ee in the classified or unclassified 6 01/06/93 (REVISOR ] XX /KS 93 -0579 1 service, a recommendation to the violator's appointing authority 2 tha the violator be disciplined or d ischarged i n accordance 3 wit any applicable law, collective ba rgaining ag reement, or 4 polio ; 5 (3) in the case of a violator who is a public or local 6 official subject to impeachment or removal from office, a 7 recommendation to the appropriate bo that i t initiate 8 _proceedings to remove the violator; 9 (4) in the case of a violator who is a legislat a 10 recommendation to the appropriate house o the le gislature that 11 the violator be censured or removed from office; 12 (5) a requirement that the violator file a report, 13 statement, or other information with the board; or 14 ( 6) any other necessary or appropri recommendation or 15 requirement consistent with th chapter. 16 Subd. 7. [REPRISALS PROHIBITED.] (a) The state or a 17 political subdivision may not: 18 (1) discharge, discipline, threaten, or_ot 19 discriminate against a public official, local official, or 20 public employee regarding the official's or employee's terms, 21 cond itions, location, or privileges of employmen or 22 (2 ) threaten, discriminate against, or otherwise retaliate 23 against a person who is not a public or local offici or public 24 employee 25 because the official or employee`or other person, in good faith, 26 repo rted to the board, another state agency, or a political 27 subdivision information the reporting erson reasonably believed 28 to be rel ated to a violation of this c hapter. For p urposes of 29 this subdivision an official or employee h as ba.en subjected to 30 discha discipline, or other reprisal for reporti . a 31 violation if the report was a factor that contributed to the 32 reprisal. 33 (b) A public or local official or public em ployee who 34 violates this subdivision is guilty of a misdemeanor. Upon 35 receiving a report of a violation of this subdivision, the board 36 shall repo the matter to the appropriate pros authority 7 01/06/93 (REVISOR ] XX /KS 93 -0579 1 for the initiation of a criminal proceeding. 2 Subd. 8. (FALSE COMPLAINTS PROHIBITED.] A person who 3 knowingly makes a false or bad faith complaint or report of an 4 alleged violation of this chapter is guilty of a misdemeanor. 5 Sec. 4. (REPEALER.] 6 Minnesota Statutes 1992, section 10A.02, subdivisions 11 7 and Ila are repealed. 8 CITY OF BROOKLYN CENTER council Meeting Date 2/8/93 Agenda Item Numbe REQUEST FOR COUNCIL CONSIDERATION ITEM DESCRIPTION: LEGISLATIVE REPORT DEPT. APPROVAL: Gerald G. Splinter, City Manager MANAGER'S REVIEW/RECOAEMENDATION: No comments to supplement this report Comments below /attached SUMMARY EXPLANATION: (supplemental sheets attached ) COMMENDED CITY COUNCIL ACTION Discuss League of Minnesota Cities January 29, 1993, Cities Bulletin. } League of Minnesota Cities Cities Bulletin o • • Number 4 January 29, 1993 Governor proposes some aid cuts, but no major property tax reform Gary Carlson adjustments. These recalculations Over the next two years, reductions in would reduce 1993 non - school HACA LGA and HACA, along with other On Tuesday, January 26, Governor payments by approximately $9 million. LGTF program savings are projected Carlson released a general outline of HACA payments for 1994 would also to create a $51.7 million positive his proposed budget for the 1994 -95 eliminate the household growth balance that would be transferred to biennium. The proposal does not adjustment but would increase to balance the general fund. This include any major restructuring of the reflect the cost of additional class rate basically nullifies the concept of the property tax system or state aid reductions. Because these cuts would LGTF as a fund separate from the programs. However, it does include occur after 1993 levies have been general fund. some cuts in local government aid certified, city budgets would have to (LGA) and homestead and agricultural absorb the reductions through a Local services credit aid (HACA), and a major combination of service reductions, change in the local government trust short-term borrowing, or fund balance cooperation program mod• reductions. The governor would establish a Although precise details of the grant program to facilitate cooperation budget proposal have not been re- Local government and consolidation of services among leased, many provisions will impact local units of government. The cities throughout the state. This is a trust fund proposal would appropriate $1 million preliminary description of the Although the governor's proposal annually from the local government property tax and state aid elements retains the local government trust fund trust fund -- $500,000 to an expanded of the proposal. A more thorough (LGTF), its purpose and structure Advisory Commission on Intergovern- analysis will be possible when actual would significantly change. Any mental Relations for Greater Minne - legislation is introduced. future surpluses in the LGTF would no sota and $500,000 to the Metropolitan longer go to local governments for Council for metropolitan area commu- -a State aid programs property tax relief, but would be The governor's budget would transferred to the state's general fund. See Aid cuts, page 4 reduce 1993 LGA and equalization aid payments to cities by nearly $10 million to the 1992 base level (1992 City lobbying report instructions amounts before the distribution of the December surplus). The proposal The 1992 Local Government Lohhying Expenditure Reporting form would freeze LGA and equalization from the Office of the State Auditor has now been distributed to all cities, aid in 1994 at the 1992 level. counties, townships, and school districts. The report is due by February 1. In addition, 1993 HACA payments The instructions are very clear this year -- cities should not report dues to cities, counties, and townships paid to local government associations such as the League. LMC will instead would be recalculated to eliminate be reporting a total for lobbying expenditures of the association. SH household growth and miscellaneous The Cities Bulletin is a publication of the League of Minnesota Cities and includes an update of state legislative, administrative, and congressional actions that affect cities. It also includes reviews of metropolitan area C ontents issues by the Association of Metro- politan Municipalities. 1 / Governor proposes some aid cuts, but no major League legislative staff members are property tax reform available to answer your questions 1 / City lobbying report instructions concerning legislation relating to 3 / The Big Chill 11— Carlson proposes salary freeze cities. 4 / More on the governor's budget The Cities Bulletin lists authors of bill 4 / New contact person for local records management summaries and some articles by their activities initials. 4 / ICMA offers composting report 5 / League responds to governor's proposal 6 / Fire service initiatives 6 / Phased -in compliance with community rating Don Diddams DD requirements enacted Sarah Hackett —SH 6 / Waste management mandates continue Ann Higgins —AH , 7 / Public employee buyouts are again an issue Joel Jamnik —JJ 7 / League staff testify at Legislature - 8 / ACTION ALERT— Annexation: Townships unveil two- pronged attack 8 / AFSCME proposes change on confidential employee definition 8 / Legislative schedules 9 / Bill summaries 14 / Petrofund needs $34 million 14 / LMC sponsors ADA teleconference 15 / Municipal ads 15 / LMC budget committee appointments Legislative mission statement The League of Minnesota Cities will ' vigorously represent the policy positions and interests of its members before the Minnesota State Legislature in a positive • and effective manner; characterized by timely, quality information provision and policy advocacy. This representation will be based on greater LMC membership participation in the Lcague's legislative program, which is to be facilitated by the Printed on recycled paper League board and staff. League of Minnesota Cities, 3490Lexin ton Avenue North St. Paul MN55126 Lexington , (612) 490 -5600. Page 2 LMC Cities Bulletin The Big Chill II Carlson proposes salar Y freeze Joel Jamnik than those stable or slow growing the same problem might occur if the One of the better movie trivia communities. The situation would class outside the freeze is female questions is the identity of the actor likely be similarly harsh for those local dominated or balanced. ,> who played the suicide victim in The governments which are reliant on state It is unclear how the freeze would - Big Chill. All of his scenes, except the property tax relief payments for a apply to essential employees who win opening scene which showed his body, substantial portion of their budget. an arbitration award. And, would the but not his face, ended up on the The governor intends the money effect be different if the award occurs cutting room floor. saved by each local government before or after one of the deadlines? The same result could befall effecting a freeze to cumulatively Additionally, there have been Governor Carlson's politically savvy offset the proposed reduction in state rumors that the governor is looking at proposal to freeze the salaries of most property tax relief payments. Alter- pension or retirement increases to public employees. We say most public nately, he intends any increase to come soften the blow to public employees. employees because the budget pro- from existing local government Notwithstanding the fact that it is posal is structured in such a way as to budgets or from local property tax unlikely that any public employee will almost ensure that one large group of increases. forgive or forget a freeze if given a public employees escapes the freeze— Since the governor does not promise for a few bucks more in 15 or teachers. address pay equity issues in his budget, 20 years, the long term costs to the Under the proposal, cities, those jurisdictions not yet in compli- state taxpayers probably would far counties, and other local governments, ance will only achieve in- compliance exceed the one -year estimated savings including school districts, which status by robbing other employees or of the freeze ($500 to $600 million). propose to increase their property tax non - compensation budget revenues, or Finally, what may be most galling levy and increase compensation for alternately by holding a successful to the Legislature, public employees, current employees for 1994 would voter approval election, and the public in general, is the fact have to submit the issue to local voters One problem with the proposal is that the proposal only temporarily for ratification on September 14, any collective bargaining agreements addresses the continuing state budget 1993. The referendum would be or contracts with public employees problem. Next biennium, the expected required only if both tax levies and will have to be fully adhered to even if savings must be rolled back into the compensation were proposed to they extend through 1994 or into 1995. budget, and given the pressure likely to increase. There would be no referen- Consequently, some local governments be exerted by public employees to dum requirement for 1994, but may not be able to freeze some - catch up, state and local taxpayer compensation information would be employees' wages. If these employees could continue to pay for this quick fix part of the local government truth in belong to male- dominated employee for years to come. taxation or budget hearing process. classes, compliance with the pay Oh, by the way. The actor in the Although the governor proposes to equity law may be impossible. In fact, movie? Kevin Costner. freeze the wages of state employees, the state would not have to abide by a Salary freeze timetable similar referendum requirement. However, the governor does propose a August 1,1993: Deadline for local governments to certify to county auditors public information program regarding that they will be exempt from the voter ratification requirement by virtue of a the compensation of state, university, decision not to increase the payable 1994 property tax levy or not to increase and other non -local government employee compensation for 1994. August 30,1993: Deadline by which each local government required to have a personnel for taxes payable in 1994, referendum by virtue of a tax levy increase and compensation increase would have to New positions, such as in fast- publish a newspaper notice comparing total employee compensation costs in the growing school districts, would not be current and next budget years. included in the calculation of total September 14,1993: Voter approval election. A majority of voters must agree compensation levels. Also, it appears with the decision to increase the property tax levy for taxes payable in 1994 and to that as long as the tax levy would not increase employee compensation. increase, local governments would be September 15,1993: Local governments certify proposed payable 1994 levies free to adjust salaries as needed. to the county auditor. Consequently, jurisdictions that have November 10- 24,1993: Parcel specific truth in taxation notices are sent out. November 29- December 20, 1993: Truth in taxation hearings. growth in market value /tax capacity December 27,1993: Local governments certify final payable 1994 levies. would be a ffected substantially less January 29, 1993 Page 3 Aid cuts, More on h t e governor' s budget pities. Grants under this program would be used by local governments to John Ain ley "Because of the degree of in- study and undertake cooperative creased funding to school districts," efforts. Many government officials and stated Joel Jamnik, LMC legislative political observers are attempting to counsel, "it will be easier for teacher Tax relief for commercial ascertain how a budget can start out groups to avoid the wage freeze $769 million in the red, raise no new requests the governor is asking other and industrial r0 er taxes increasespending, and still ' P P ty public employee groups to abide by. The governor's budget would come out balanced in the end. That's His plan will give K -12 programs an continue the phased -in class rate essentially how League of Minnesota additional $650 million which can be reductions for commercial and Cities officials see Governor Arne used for salaries." industrial property. The classification Carlson's budget proposal which he The governor also announced rate for these properties would be presented Tuesday, January 26. plans for the creation of a new Council reduced from the 1993 rate of 4.7 The governor repeated his promise on Government Innovation. The percent to 4.6 percent for taxes of "no new taxes" several times council is expected to make recom- payable in 1994. throughout the message citing innova- mendations on how cities, counties, In addition, the proposal would tive spending, a five percent across the school districts, and higher education create a "Workstead" property tax board cut in state agency expenditures, can spend wiser and provide better refund that would reduce property and public employee wage freezes as service. It is patterned after the taxes for manufacturing businesses the solutions to Minnesota's three- council that recommends changes in with less than 100 employees. The quarters of billion dollar spending vs. Minnesota's health care industry. refund would pay up to 70 percent of a revenue dilemma. Carlson suggested a plan by which firm's property tax in excess of 3.8 The big winner in his proposal, K- cities will share in grants of $1 million percent of market value with a 12 education, was no surprise, however which will go to the Met Council and maximum of $3,000 per firm. This the extent of a 15 percent increase in the ACIR. The ACIR will deliver the program would be funded through the funding appeared excessive to some. funding to Greater Minnesota cities. general fund and limited to a total cost of $10 million per year. New contact erson for The governor's budget will also A propose legislation that would create a local records management activities local option tax abatement program. Under this program, local officials Responsibility for providing and other laws affecting governmental could opt to reduce their share of assistance to local governments as they and non - governmental information. annual property taxes paid by small work with records management IPO's data practices and records manufacturing businesses. requirements was transferred to the management activities and services are Public Information Policy Analysis so closely related they combined them. Mandates Division (PIPA) on Ibesday, January For more information contact The Governor's budget proposes to 19, 1993. Dick Manthey, (612) 296 -6879, the review all state - imposed mandates PIPA is a new division of the new PIPA contact person for records with the objective of eliminating or information policy office (IPO) that management questions and services; converting the regulations into more provides informational, educational, Don Gemberling, (612) 296 -6733, flexible outcome standards that allow and other services to local govern- PIPA director; or Brooke Manley, local government discretion in strate- ments and assists in working with (612) 297 -5888, PIPA data practices gies used to meet the intended objec- records management, data practices, and records management specialist. tives. However, given the state's budget situation, it appears unlikely • that an revenue will be available to ICMA offers composting report fund existing or new mandate costs. The budget proposal relies heavily The International City Managers The report provides models of on a public employee salary freeze to Association (ICMA) has available a four composting programs -- backyard, close the $769 million budget gap. report called Composting: Solutions municipal yard waste, municipal solid (See page 3.) Other components of the fiw Wavle Management, for communi- waste, and co-composting. proposal that may also affect cities. ties that want to reduce the volume of For more information contact the These will be the subject of future materials sent to their landfill by ICMA Distribution Center at (800) articles. starting a composting program. 745 -8780, FAX (301) 206 -9789. Page 4 LMC Cities Bulletin League responds to governor's proposal The League of Minnesota Cities staff sent the following information to legislators concerning the League's response to the governor's budget proposal. Legislative staff send out City Yews to explain how proposals affect cities. League of Minnesota Cities Ci Volume 93 -1 for Minnesota Legislators Jwwwy28, 1993 Preliminary Response to the Governor's Budget Proposal Even though the Governor's budget proposal for the next biennium acknowledges the need for continued funding of LGA, HACA and other property tax relief programs, the League of Minnesota Cities is disappointed with many aspects of the proposal. , • The proposal destroys the Local Government Trust Fund G and the trust between the state and To — cal governments. For the third year in a row the Governor is proposing cuts in aid to cities, and again the cuts would be made after cities have set their budgets and levies. The Governor would also transfer nearly $52 million from the LGTF to the general fund. This is a poor start toward a more cooperative relationship between the state and local governments. • This proposal does not address the underlying structural imbalance between state revenue growth and state spending growth. The proposal is it short term solution. The state must address the underlying structural problems in its budget before cities will be able to depend on property tax relief and other state aid as a reliable and stable source of revenue for local budgets. • The proposal does not provide adequate fund in for LGA. Freezing LGA at last year's level violates promises already made, and violates the principle that funding for LGA should grow at the same rate as revenues into the LGTF. • The cuts in aid to local governments will result in further property tax increases and es rvice uo y ts. Reasonable increases in LGA and other property tax relief programs are essential to prevent property taxes from escalating. This proposal cuts LGA and HACA by nearly $50 million for the biennium compared to the amounts anticipated last November. • Public employees are expected to shoulder most of the burden of balancing the state's budget It is unclear how public employee wage restraint can solve the state's budget problem, without being unfair to many and causing layoffs for others. The proposal to save over $600 million through public employee wage restraint is unrealistic. Don't Bust the Trust' I-or iwic iidormllion, contact Don Diddvns al 490 -56(X) January 29,1993 Page 5 Waste mana F ire service g mana gement mandates continue Joel Jumnik curriculum is full of challenges, not A draft bill proposing amend- the least of which is the general ments to the state's waste management League staff have met with shortage of revenues. One of the laws was released this week. "I\vo various other groups which are biggest advantages the state has in proposals in the bill will significantly interested in fire and building safety meeting this need, however, is that impact cities. issues. We meet formally with these Minnesota's fire and safety services First, the bill would extend the groups through the Governor's Council are chock full of competent and caring current requirement that cities and on Fire Prevention and Control. The volunteers who are committed to their towns over 5,000 population ensure council is ably assisted by staff of the communities. that all residents within their jurisdic- State Fire Marshall's Division of the tion have solid waste collection service Department of Public Safety. b organizing collection licensing, Smoke detectors Y � g � g, o r While the title of the council Since Si 1980, the state building franchising service, or passing ordi- indicates its goal is to prevent and nances with enforcement provisions. control fires, the primary goal is to code has required all new homes to have smoke detectors. Existing homes The bill would extend the requirement study and make recommendations which save lives. Managing fires to are not currently required to have to all cities and towns over 1,000. The detectors. Leased properties must draft version apparently would make protect property is a secondary goal. this requirement effective January 1, The council plans to suggest to the have smoke detectors under state law, regardless of when built. 1993. '93 Legislature several means by Second, the bill has an interesting which life saving/fire prevention can The proposed legislation would require all homes to have smoke proposal for solving the problems be furthered, including: posed by fluorescent and high intensity • Providing for more coordinated and detectors installed and kept operable. Various enforcement measures are discharge lamps which contain effective fire safety education mercury. Last year's Legislature efforts being explored. . , prohibited businesses and P g 9 Requiring all existing residences to from disposing of the lamps in have operable smoke detectors Sprinkler systems municipal solid waste. The bill • Providing additional incentives for The council is also considering proposes extending the ban to resi- automatic fire sprinklers /fire proposals to promote retrofitting dences this year, even though there are suppression systems existing buildings which are over 75 only two recycling or processing feet in height with sprinklers and other facilities in the state which take the Fire safety education fire suppression systems. Tax and lamps. The governor's council is consid- insurance- related incentives are being The solution? Each public utility, ering recommending a fire safety - discussed. cooperative electric association and curriculum for public schools begin- If you have any reaction to or municipality that provides electric ning in preschool. Establishing and suggestions about these matters, please service to retail customers would have promoting a multi - agency safety contact Joel Jamnik at the League. to include as part of its conservation improvement activities a collection system for spent lamps from house- Phased—in compliance with community holds and small businesses and delivery to a recycling or reclamation rating requirements enacted facility. The system must include , The first law enacted by the seven- county metro area and outside establishing reasonably convenient 1993 Legislature allows health Chisago County to phase in compli- locations for collecting spent lamps care insurance providers to phase ance by 50 percent with adjustments from households and financial in compliance with last year's for community rating on March 1, incentives sufficient to encourage legislative requirement for 1993, and full compliance by January spent lamp generators to take the community rating. Community 1, 1994. lamps to the collection locations. rating for health care eliminates Health plans that have already The bill has not yet been intro- separate premium determination implemented community rating may duced in either the House or Senate. based on factors such as the age or not now avail themselves of the The Legislative Commission on Waste gender of the insured. phased -in process. The law was made Management was scheduled to hold a The law, Ch. I (H.F.22), retroactive effective to July 30, 1992. Public hearing on the bill Thursday allows health plans outside the JJ evening, following this Bulletin's deadline JJ Page 6 LMC Cities Bulletin Public employee buyouts are again an issue Joel Jamnik the employees and risked a six - figure tence are able to keep their jobs, The recent settlement agreements lawsuit? obtain settlements, or win large with two top - ranked administrators of For that matter, have the taxpayers judgments against public employers, the Minneapolis public schools of Minnesota been better served by the but state policy makers bear substan- 1 involved in the districts well - publi- litigation currently on appeal to the tial responsibility for supporting and cited financial problems will no doubt Supreme Court involving an employee passing laws and regulations such as generate support for legislation in the State Auditor's Office who was civil service, veterans preference, addressing buyouts or severance fired for falsifying expense reimburse- human rights, whistleblower, collective packages. State Auditor Mark Dayton ment forms? To date, the state's bargaining, discharge protection acts, has publicly said he will propose an taxpayers have paid for legal defense etc .... all of which contribute to a amendment to the severance pay cep, which have involved at least two justifiable perception by public statutes which would limit payments to or three attorneys out of the State employers that the deck is stacked higher -paid public executives such as Attorney General's Office, in a large, against them in any personnel matter. school and county administrators and but unspecified, amount for an For instance, let's again look at the city managers. administrative hearing, an appeal to state auditor's case. The state lost at Though we do not yet know the district court, and an appeal to the arbitration, won at district court, and details of Dayton's proposal, the most Court of Appeals, which ordered the lost at the court of appeals. Would likely option is to reduce the current reinstatement of the employee. We all anybody like to place a bet on how the limit that severance pay for an em- will now be paying for an appeal to the Supreme Court will rule? ployee leaving employment may not Supreme Court. Rather than rail against local exceed an amount equivalent to one When this matter is finally government actions, wouldn't it be year of pay (Minn. Stat. 465.72). resolved will an accounting demon- more constructive to reform our state There are several alternatives to strate that the state's taxpayers would laws which govern discipline and dealing with this issue. One would b have saved money if Dayton's office discharge procedures for public 0 to lower the maximum severance pay had gained the auditor's resignation by employees? Instead of a plethora of = amount to six months of pay for entering into a severance pay or appeals processes and claims, why not employees earning more that a certain settlement agreement? streamline the process and make it amount, such as $50,000, or apply the Certainly, the public is justifiably easier for all parties involved in the more restrictive cap only to the chief concerned when public employees process? Let's consider this a chal- executive officers of public employers. accused of wrongdoing or incompe- lenge, to others as well as ourselves. The latter alternative would of course result in many definitional problems. One of the obvious problems with League staff testify at Legislature simply amending the severance pay g y g statute is that it does not govern the settlement of legal claims. In the Joel Jamnik the association, current services, school situation currently under the As the legislature concludes its and legislative initiatives for 1993. microscope, one of the employees will fourth week of the '93 session, most Also on Thursday, Don Diddams apparently receive approximately committees have spent their hearing made a detailed presentation to the $40,000 in severance pay and almost time receiving orientation presenta- (louse Property Max Subcommittee $70,000 to settle tort claims. It makes tions from legislative staff, state regarding the League's LGA little sense to pursue an alternative agencies, representatives of local proposal. On Monday, January 25, which could be so easily evaded. government associations, including Joel Jamnik and Sarah Hackett It also is questionable public the League, and others who deal made an orientation presentation to policy to so limit the ability of a with issues of interest to the legisla- the Senate Metropolitan and Local governmental body to make settle- ture. Government Committee. ments, that a full blown litigation is Jim Miller, LMC Executive League staff is also spending unavoidable. One thing almost all Director to be (February S), and time getting acquainted with the people involved in the legal system other League staff, made a short large number of new legislators and agree upon is that civil litigation is presentation to the House Local staff, as well as renewing relation - very expensive. Would the taxpayers Government Committee on Thurs- ships with those who have returned. of the Minneapolis School District be day, January 21, about the history of better served if the district simply fired January 29, 1993 Page 7 Annexation: Townships two-pronged unveil two pronged attack Joel Jumnik charged for that utility service subject of the area and effect the annexation to mandatory binding arbitration. by passage of an ordinance. In presentations last week to the Both proposals are strongly While details of the sewer and House and Senate Local Government opposed by the League. Annexations water extension proposal are not yet 1 Committees, the township association are difficult to achieve under Minne- known, the general proposal of having indicated that they intend to propose sota law, since townships which one jurisdiction unilaterally decide to two pieces of legislation which would receive tax revenues from developing avail itself of another jurisdiction's affect annexation and other boundary or developed properties far in excess service and then to have a third party adjustment/service delivery issues. of the cost of town services delivered decide what payment should be made The first proposal is to repeal all to that property, are generally opposed for the privilege serves to disenfran- or part of those sections of Ch. 556 to losing that property. In many chile every city resident and encour- passed last year which broadened the situations a town, by passage of a age sprawl and fiscal and environmen- authority of cities to annex property by simple resolution, can dramatically tat problems of severe magnitudes, at a ordinance upon the petition of the obstruct the process and increase the time when the state is attempting to property owner when certain condi- cost of the annexation process. encourage cooperative efforts which tions exist. Chapter 556 was sound legislation save money and preserve our re- The second is a proposal which in which streamlines the annexation sources. general terms would force cities to process to allow a property owner Please contact your legislators extend sewer and water lines outside which seeks city services to petition immediately regarding LMC opposi- their boundaries to serve developing the city. The city can then determine tion. JJ properties, and also have the rates if the annexation is in the best interests AFSCME proposes change on Legislative Schedules (subject to modification confidential employee definition and special exceptions) Jan. S-- Session convened Responding to proposals by bargaining. See Minn. Stat. 179A.03, Feb. 4 -8-- Break - -no session Hennepin County and the Metropolitan subd. 4. April 2 —First committee deadline Waste Control Commission to reorga- The bill would delete the first part (bills must be heard by either the nize their personnel departments into of the definition so that merely Senate or the House by this date or broader human resources departments, working in the personnel office of the are "dead" for the year) AFSCME representatives have public employer would not be enough: April 16-- Second committee deadline indicated their intent to introduce access or use of bargaining informa- (date by which bills from other legislation modifying the definition of tion would be the only determinant. respective body must be heard) confidential employee in the Minne- The bill would make the defini- April 23 - -All appropriations bills must sota public employment labor relations tion more difficult to meet, but most be out of committee act (PELRA). cities probably would not be signifi- April 29 -- Omnibus appropriations Under the existing definition, an cantly impacted because our personnel bills to the floor employee is deemed "confidential" if departments are small operations. May 13 -- Conference reports on he or she works in the personnel Please let League staff know if your omnibus appropriations bills due department of the public employer, or city would be impacted by the pro- May 17 -- Adjournment has access to information used in posed change. JJ Historically, the Legislature has bargaining, or actively participates in also taken a long weekend around Easter (Sunday, April 11). It is not certain yet how long this year's Easter weekend will be. JJ Page 8 LMC Cities Bulletin ]dill summaries * Indicates League support or general conformance to League policies. Crime and courts that the defendant was engaged in jurisdiction for claims up to $6,000 Solicitation of mentally impaired constitutionally protected activity, with specific exclusions for claims persons to commit crimes lawful law enforcement or business involving real estate title, defamation, i H.F.78 (Blatz, Carruthers, Commers, activity, or otherwise lawful activity specific performance, class actions, Orenstein, Weaver) (Judiciary) would arising out of a bona fide labor injunctive relief, and several others. expand the crime of solicitation which dispute. The League supports enact- Rental property matters and dishon- currently applies only to juveniles who merit of legislation addressing stalking. ored checks would be within concilia- are solicited to commit crimes, to also JJ tion court jurisdiction. The jurisdic- apply to the solicitation of mentally tion amounts would increase to $7,500 impaired persons. The statute is Child seat belt law fine increase on July 1, 1994, and to $10,000 on structured so that the individual S.F.76 (Pappas, Krentz, Hanson, July 1, 1995. JJ soliciting the activity from the juvenile Murphy, Flynn) (Trasnportation and or mentally impaired person would be Public Transit) would increase the Development guilty of a crime commensurate with maximum fine for violating the state URAP funding; for FY 1994 and 1995 the level of the crime committed by requirement for children under four to S.F. 69 (Metzen, Kelly, Kroening, the surrogate. The bill defines be properly fastened in a child passen- Doug Johnson, Solon)(Jobs, Energy, mentally impaired person as someone ger restraint system from $25 to $50. Community Development) would who as a result of inadequately The bill would allow waiving or appropriate $5.904 million for both developed or impaired intelligence or a reduction of the fine amount if the 1994 and 1995 to the Department of substantial psychiatric disorder of motor vehicle operator produces Trade and Economic Development to thought or mood, lacks the judgment to evidence that within 14 days after the fund the targeted neighborhood give a reasoned consent to commit the date of the violation a child passenger revitalization program for the cities of criminal act. JJ restraint system meeting federal Minneapolis, St. Paul, and Duluth. SH standards has been purchased or DWI Limit to .08 blood alcohol obtained for the exclusive use of the concentration (BAC) operator. JJ Elections H.F.98 (Leppik, Rest, Swenson) Ethical practices - public employees, Judicial legislating; repealed public and local officials (Judiciary) would lower the DWI limit Svi from .10 to .08 BAC for persons under S.F.105 (Spear) (Crime Prevention) H.F. 75 ( gP um, Abrams, age 21 as of August 1, 1993, and for proposes to repeal last year's legisla- Holsten)(General Legislation) would tive authorization to the conference of prohibit legislative caucuses from all others as of August I , 1994. The bill also proposes increasing the chief judges to establish a schedule of requesting or receiving campaign drivers license revocation periods and misdemeanors which would be treated contributions from lobbyists, PACs, or restricting the issuance of limited as petty misdemeanors. The provision, other political funds during regular licenses such as work permits for adopted as Part of the 1992 omnibus legislative sessions. The bill would crime bill raised man concerns also require political campaign persons convicted of driving while among cities because of the potential treasurers for legislative and statewide intoxicated. JJ for municipal ordinances to be targeted candidates to maintain records of all Stalking crimes by the conference of chief judges as political contributions regardless of the H.F.100 (Blatz, Weaver, Murphy) misdemeanors which could be treated amount, including name and address (Judiciary) is the latest version of as petty misdemeanors. The bill of all contributors. In addition, such many bills introduced to date that proposes an effective date of June 1, campaign treasurers would also be create the crimes of stalking and 1993, and applies to violations responsible for having receipts for all aggravated stalking. This bill is occurring on or after that date. JJ campaign expenses rather than only noteworthy in that it addresses many of those which exceed $100. the problems with making this type of Recodification of conciliation court Provisions would disallow any activity a crime and specifically statutes and increased jurisdiction anonymous contribution, regardless of indicates that it is an affirmative S.F.107 (Kelly, Belanger, Cohen) size. All contributions to political defense to the stalking; or aggravated (Judiciary) would create a uniform action committees (PACs) would have stalking crimes if a defendant proves statute governing conciliation courts. to be recorded as well. No PAC by a preponderance of the evidence The bill would set general civil contributions would be permitted to January 29, 1993 _'- Page 9 Bill summaries continued candidates seeking political party the envelopes. These initiatives would waste and fully agrees with the bill's nomination. make envelopes and other correspon- statement that the state and local The bill would restrict candidates to dence more e eas I recyclable. government units Y Y are no longer g ge able to a single political campaign committee The bill would require pesticide absorb the continually increasing costs and require campaign finance reports containers used after January 1, 1996, related to managing discardable to include the name, address, and to be reusable at least five times; packaging as solid waste. JJ employer of all contributors (rather establishes a schedule which requires than only those contributing more than ever increasing percentages of re- Changing the composition of the $100 for candidates or ballot ques- cycled materials in glass packaging, MPCA technical advisory committee tions) as well as all expenses incurred newsprint, paper, paper packaging, and S.R96 (Riveness, Chandler, Murphy, on behalf of the campaign. Campaign plastic packaging. It would prohibit, D. Benson, Hottinger) (Environment finance reports would have to include beginning January 1, 1997, the and Natural Resources) would reduce complete information on all campaign placement of transport packaging such the current nine -member technical fund transfers from any political as crates, barrels, boxes, pallets, and advisory committee which reviews and campaign committee or fund. other packing materials in mixed provides input on any rule or technical The bill proposes to expand report- municipal solid waste, resource requirements governing the wastewater ing of independent campaign expendi- recovery facilities other than recycling treatment grant or loan program for tures made in statewide election facilities, or any incinerator, or on or the Minnesota Pollution Control campaigns. Such reports (to the State under land. Agency to be a seven - member com- Ethical Practices Board) would be due The bill would attempt to reduce the mittee. within 48 hours of such expenditures amount of discardable packaging and The rationale for the change is that which occur just prior to statewide or imposes a fee on sellers of products historically it has been difficult to get legislative elections. Additional packed in discardable packages. The a quorum of this technical advisory provisions would make unopposed fee is proposed to be four cents for committee together. The League of candidates ineligible for public each discardable package, with the fee Minnesota Cities currently appoints financing and require that candidates being reduced if the package meets two members to the nine -member raise at least 50 percent of their funds certain requirements such as being committee. The bill proposes that the from residents of their district in order separable for recycling or if it is League would only appoint one to receive public financing. AH comprised of recycled materials. member to the seven -member commit - The bill would set percentage targets tee. Additionally, the Association of Environment for beverage distributors who distrib- Metropolitan Municipalities appointee * SCOPE /packaging reducation ute beverages to retailers for sale to on the committee would be eliminated. initiatives consumers in reusable beverage The bill proposes technical revisions H.F.65 (Munger, Trimble, Ozment, containers. The targets move from in the rule adoption process, and Kahn, Pauly) (Environment and five percent by January 1, 1995, proposes the repeal of the published Natural Resources) proposes the increasing by five percent increments notice in the counties where waters are adoption of various initiatives aimed at every two years until a 50 percent located for changes in water standards. regulating and reducing packaging and requirement is achieved by January 1, Instead of published notice, the bill other elements of mixed municipal 2010. The bill proposes a container would require a mailed notice proce- solid waste. Many of these suggestions deposit requirement of 10 cents for dure 30 days before any administrative were first recommended by the non - reusable beverage containers hearing to the governing body of each Governor's Select Committee on under one quart and 30 cents for non- city or town bordering or through Packaging and the Environment reusable containers having a volume of which the waters for which standards several years ago but lacked sufficient more than a quart. are sought to be adopted. Notice and support to pass. As indicated the bill has various posting would be also made to public Some of the proposals would impact effective dates, for instance, the libraries in the affected area. on local units of government. For envelope and label provision would be Given the history of the technical instance, a public entity could not effective August 1, 1993, and the waste advisory committee's actions and role, purchase or use envelopes that have management fee, with some excep- League staff does not plan to recom- windows that are covered with a non- tions, would be effective January 1, mend opposition to this proposal. JJ recyclable, transparent material or that 1994. are made using glues that are not water The League had representatives on Finance and taxation soluble. Further, a public entity could the SCOPE commission and supported Limit on repurchase price for tax the earlier legislation. not use labels The Lea on envelopes that would strongly supports � e forfeited land not be easily emoved b the recipients g Y pports initiatives to reduce y y p creation of mixed municipal solid H.F. 108 (Jacobs) would require a of the envelopes prior to recycling of the p minimum repurchase price equal to the Page 10 LMC Cities Bulletin Bill summaries continued sum of all delinquent taxes, assess- proposed to be modified prohibiting Johnson) (Gaming Regulation) would ments, penalties, interest, and other license issuance to any person or authorize the use of machines which costs for purchasers of tax forfeited corporation which has been deter- dispense pull -tabs. The authorization property who were the owners at the mined to be a person whose prior would be affected by rule adoption of time of the forfeiture. There is an activities, criminal record, if any, or the gaming control board. JJ exception for repurchase of conserva- reputation, habits, and associations tion or forest land. DD pose a threat to the public interest or to General government the effective regulation and control of Regional public library districts Sales tax exemption for certain local gambling, or create or enhance the H.R99 (Lasley, I. Anderson, Rest, government purchases dangers of unsuitable, unfair, or illegal Bauerly, Koppendrayer) (Local S.F. 71 (Finn, Samuelson) would practices, methods, and activities in Government and Metropolitan Affairs) make homemaking and chore services the conduct of gambling or the authorizes the creation of new regional for the elderly or disabled exempt from carrying on of the business and library districts. These districts would the sales tax when those services are financial arrangements incidental to replace the existing regional library purchased by a local government. DD the conduct of gambling. system. The bill would modify the leasing Regional public library districts League LGA proposal requirements for 6 P P q is o gambling b activities. could be formed by the approval of a 7 H ttin r Flynn, S.F . 8 o e D. J. It wool r d ., ( g Yn Pe al the current requirement Johnson, Mondale, Finn). This is the that leases must be for a period of at majority of the city councils and county boards of the cities and LGA proposal agreed to by the city least one year and would specify that counties that finance regional public groups and put forward by the the term of any lease may not begin library systems services currently if League of Minnesota Cities. This bill before the effective date of the is the companion to H. R 48 (Ostrom). premises permit and must expire on they represent a majority of the ulation to be served orb a DD the same day that the remises Y Y � P Pe rmit population majority of those voting on the issue in expires. The intent f this ti on P o s sec Gamin seems to be to limit the ability of an an entire area to be served by the Gaming district in a public referendum. Charitable gaming control board owner of property to charge again- The referendums could be initiated legislative proposals blin licensee or rmittee for ace it _ g Pe space a petition of five percent of the is not actively using. N other 0 o er S.F.103 (Berg, Janezich, D.E. y g number of people who voted in the last Johnson (Gaining g Regulation) Re is restriction on property leases is proposed. One final change of interest general election in each city and comprised of recommendations to the county that is part of the system legislature from the gambling control to cities may be the proposed increase g g g contract or agreement. Cities that are a not board. The bill has 64 separate in cumulative prizes in any calendar p year for bingo games conducted by Participating in a regional public sections; most relate to bingo games. library system could join the district The bill would authorize expendi- organizations limit to $36 to $36, 000. from the current $12,000 by majority vote of the city council or tures of gambling proceeds for social Finall by public referendum. recreational community and athletic y, the bill proposes an amend- A regional public library system facilities and activities for persons over ment to the local regulation authority could be terminated any time after the section to specify that the city ordi- age 61. Other bills already introduced district has been in operation for three be recommend a similar amendment but nance which requires 10 percent of net years. The bill provides for governing specify as the threshold persons over Profits to expended can only affect the beard composition, levy authority profits generated from lawful age 54. replacing any existent public library Another significant proposal is the gambling conducted at premises within system levies, grant eligibility, the city's jurisdiction. The trade area attempted definition of tip boards and borrowing authorization, and various tip board tickets. These games have designation requirement for expendi- transition provisions from the existing been difficult to regulate because of turfs must similarly limited to regional public library systems. JJ the imprecision or lack of clarity in the lawful purpose expend itures of gross current definition. profits derived from lawful gambling public r R egional ub c Libra district conducted at premises within the city's � P y The bill also proposes a technical authority amendment to the section which jurisdiction, rather than all premises H.F. 99 (Lasley, Iry Anderson, Rest, authorizes a local investigation fee to operated by the licensed or permitted entity. J gauerly, Koppendrayer)(Local Govern - be charged by cities or counties y. ment) would create authority for the reviewing premises permit or bingo operation of multi- county public hall license applications. Authorizing the use of pull -lab library services as approved by the The section dealing with qualifica- dispensing devices state board of education. S11 tion for gaming licenses is also S.F.104 (Berg, Janezich, D.E. January 29, 1993 Page 11 Bill summaries continued Township association technical bill coverage for drugs, to cover drugs providing state services by reducing S.F99 (Janezich, Adkins, Lessar, which have not received FDA approval waste or performing a function more Pariseau, Frederickson) (Metropolitan for a particular indication, such as efficiently. A one -time bonus would and Local government) clarifies AIDS, if the drug is recognized for be paid to the employee whose certain provisions for the term of town such treatment in one of the standard suggestion results in a cost saving to supervisor specifying that the town references, in the medical literature, or the state. The bonus would be the supervisor serves until a successor is by the commissioner of health. lesser of 10 percent of the saving in elected and qualified. Additionally, The bill also provides for a seven the first year achieved by the sugges- the bill proposes clarifying the member- health expert panel to review tion or $2,000. JJ E authority of the town board to set the and advise on off -label use and compensation and expense reimburse- clarifies that health plans do not Imposing a child labor curfew ment for mileage for all employees include coverage for disability or other S.R73 (Price, many, Luther, Ranum, including deputy treasurers. JJ coverages. JJ Novak) (Jobs, Energy, and Community Development) would prohibit employ - Personnel Two -year statute of limitations for ers from allowing a high school Workers' compensation benefits and human rights act violations student under the age of 18 to work elimination of the workers' compen- S.F.57 (Marty, Adkins) (Judiciary) after 11 p.m. on an evening before a sation court of appeals proposes a bill previously vetoed by school day or before 5 a.m. on a H.R53 (Bettermann, Erhardt, Governor Carlson to lengthen the school day and proposes a $50 per Goodno) (Labor- Management Rela- statute of limitations for human rights employee per violation fine, and tions) would end temporary total act violations from one year to two possible misdemeanor conviction for compensation benefits when an years. The bill would make the change violations on more than one occasion. employer provides an injured worker effective August 1, 1993, and apply to JJ with a suitable job. unfair discriminatory practices that A suitable job is defined as a job occurred on or after August 1, 1992. Definition of confidential employee that restores the injured employee to JJ S.E93 (Flynn, Sans, Hottinger, an employment position that pays no Wiener, Metzen (Governmental less than 70 percent of the employee's Peace officer defense costs reim- Operations and Reform) and its wage at the time of the injury, and that bursement for civilian review boards companion H.F.97 (Rukavina, Beard, the employee is reasonably able to S.F.58 (Pogemiller) (Crime Preven- Farrell, R. Johnson, Bergson) (Labor perform in the employee's physical tion) would require home rule charter Management- Relations) would modify condition. No other factors could be or statutory cities, towns, or counties, the definition of confidential em- considered in determining whether a that establish a peace officer civilian ployee in the public employment labor job is suitable. The re mainin g amount review authority to pay the reasonable relations act (PELRA) to not treat as of wage loss would be compensable costs of legal counsel, and other confidential employees all employees under existing impairment compensa- reasonable fees, incurred by the officer in the personnel offices of public tion provisions. in defending against a complaint if the employers. Under the proposal in The bill would also limit eligibility complaint is not upheld at a hearing order to consider an employee as for permanent, partial disability for before the civilian review authority. If confidential, the employer would have those employees suffering injuries that the complaint against a peace officer to demonstrate that the employee has result in disability ratings of at least 20 is sustained, the bill would not autho- access to information subject to use by percent of the whole body. The bill rize Payment, at least under this the public employer in meeting and would eliminate the workers' compen- particular subdivision. The bill does negotiating or actively participates in sation court of appeals and transfer not seem to preclude payment of costs the meeting and negotiating on behalf jurisdiction and personnel to the state and fees if required under another of the public employer. Merely court of appeals. 1J statute or agreement. JJ working in the personnel or human resources offices of the public em- Off -label drug coverage for accident State employee suggestion plan ployer would not be enough, but rather and health insurance plans S.F.60 (Chandler, Pogemiller, Morse, access to sensitive information would H.F.90 (Hausman, Reding, Asch, Hottinger) (Governmental Operations be the prime determinant. JJ Gruenes) (Financial Institutions and and Reform) would require the state Insurance) would require health plans, commissioner of administration to Public safety including he state employee covera a establish and publicize a program g g Firearm forfeiture and pistol plan, local government plans, and the soliciting suggestions from state permits state public employee insurance tan employees for ways to reduce the cost P of operating state government or H•R62 (Bauerly, Pugh, Pawlenty, opera (PEIP), as well as others which provide Opatz, C. Brown) (Judiciary) would Page 12 LMC Cities Bulletin Bill summaries continued amend the current unauthorized Proof of age requirement for liquor existing state law prohibitions on practice of law enforcement section in consumption residency requirements to allow the state statutes to allow hazardous S.F.83 (Metzen, Bertram, City of Minneapolis, the Minneapolis materials specialists employed by the Samuelson, Vickerman, D.E.Johnson) school district, the City of Minneapolis Department of Transportation to stop (Crime Prevention) would authorize library board, and the City of vehicles if they are acting in the course the use of a valid military identifica- Minneapollis park and recreation of responding to an emergency. tion card issued by the United States board to impose as a condition of Presently, only licensed peace officers Department of Defense as proof of age employment residency within the would be able to stop vehicles. for purchase or consumption of territorial limits of the City of Minne - The bill would add to the list of alcoholic beverages. JJ apolis. The bill requires local approval materials presumed to be subject to of the governing bodies affected. JJ administrative forfeiture all firearms, Contractor licensing exemption for ammunition, and firearm accessories manufactured home dealers and Appropriation to Inver Grove found in vehicles or on or near persons installers Heights for Erstad investigation who are involved in felony offenses S.F.91 (Sams, Solon, Moe, Belanger, S.F.72 (Metzen, Wiener, Pariseau, involving controlled substances. The Hanson) (Commerce and Consumer Knutson, Murphy) (Crime Prevention) bill would modify the list of eligible Protection) would clarify that the would appropriate $158,000 from the persons for pistol permits and specifi- exemption from state contractor general fund for a grant to Dakota cally facilitates transfers of pistols to licensing applies to manufactured County and the City of Inver Grove licensed peace officers. JJ home dealers, distributors, and Heights for the Erstad kidnapping installers. JJ investigation. This bill is consistent State fire marshal arson bill with the precedent set by an earlier S.R65 (Novak, Beckman, Kelly, Tobacco use in schools and by legislature with regard to the Jacob Merriam, McGowan) (Crime Preven - minors allowed for native Americans Wetterling investigation. JJ tion) proposes several modifications S.E97 (Finn, Pogemiller, Moe, regarding state arson laws including Spear, Ranum) (Health Care) would Special legislation requiring any officer making an allow the sale to and use of tobacco by Stillwater: Exemption from lodging investigation of a fire which has an American Indian or a member of tax for downtown commercial resulted in the death of a person to another cultural group that uses immediately notify the state fire tobacco products for artistic, spiritual, property jurisdiction to or cultural S.F. , y resolution, to would allow marshal who then has J purposes even though there the city, by resolution, to exempt conduct an investigation to establish is a general prohibition against the use downtown commercial district real the cause of the fire and death. The by persons under the age of 18, and in estate from the city's lodging tax if the bill would require notification of the public schools. JJ city determined that the tax, in appropriate coroner or medical addition to the burden of taxes, special examiner and would make an autopsy Sp ecial laws mandatory. p assessments, and capital improve - Eveleth police and fire ments, would be "unjust and inequi- The bill would increase the authorit retirement benefit increase table." SH of arson investigation units in Minne- H.F.55 apolis, St. Paul, and Duluth to summon ( � at Johnson) (Governmental Operations and Transp witnesses and produce documentary Gaming) would allow, in addition to p evidence. The bill would make it a Bonding for bridge construction and current pensions and other retirement crime to possess an explosive or reconstruction incendiary device without a license benefits, a $100 a month increase in H.F. 5 (Lieder, Ostoff, Kalis, Kelso, Police and fire trust fu and would remove the intent require- the benefits payable u the Eveleth nd, retroactive V. Johnson) would make an unspeci- ment currently in the explosive device fied appropriation for the annual and molotov cocktail statutes. Under to January 1, 1993, following local issuance of state transportation bonds the bill, whoever gives a false alarm or approval. JJ beginning in Jul 1993. A g� y, portion of tampers or interferes with fire alarm Residency requirement these bonds would be available for systems when that person knows or has for Minneapolis cities to use to match federal grants, reason to know that the report or pay for the costs of abandoning an tampering creates the potential for ageniu (Jefferson, (Local Govvee na, Clark, existing bridge, and associated Metropolitan bodily harm is guilty of a felony. JJ M rnment and engineering and environmental studies. Metropollitit an Affairs) would override SFl January 29, 1993 Page 13 Bill summaries continued LMC sponsors ADA Funding for town bridge Gas tax increase, transit funding, teleconference replacement MSA changes H.F. 43 (Kinkel)(Transportation) S.F. 51 (Langseth)(Transportation) The League of Minnesota Cities would allow townships to receive full would increase the gas tax by five with planning and management funding of up to $20,000 for replace - cents on June 1, 1993. Before April 1, services from the Government Train - ment culverts for their town bridges if 1994, and each year after, the tax ing Service (GTS) is sponsoring a the town board agrees to pay all other would be annually adjusted based on teleconference called Understanding costs (structural removal, installation, the consumer price index (CPI) and the Program Access Requirements How permits, etc.). Previously, the funding volume of gasoline sales. The bill to Comply with the American with was limited to 90 r Y nt of the costs would also statutorily redefine "road Disabilities Act (ADA) on March 16, 1� in excess of $10,000. SH or highway" as a "corridor designed 1993 from 1:00 to 5:00 p.m. at primarily for the efficient transporta- Craguns Conference Center in Bloomington Fe Bridge funding tion of Brainerd, Minnesota. g �'y g g people and goods." S.F. 7 (Vickerman)(Transportation) A general fund appropriation would The teleconference is for Minne- cities with a special Brainerd site would require Hennepin and Scott annually be made to a newly created sota counties to provide the local match to transit assistance fund. Changes to the selected to coincide with the annual qualify for federal funding and would municipal state aid (MSA) include: city clerks conference. specify that no additional state funds annual population updates, increasing The program has been designed by would be appropriated for this pur- the maximum system mileage to 3,000 a planning committee of city officials pose. Sll miles, and reestablishing two metro- and content experts to deal with the politan representatives on the screen- immediate and practical issues and ing committee. SH challenges related to program and physical access. Topics include an overview of Petrofund needs $34 million ADA and its implications, basic definitions related to the ADA, sharing l Joel Jamnik program also has had a significant of cost - affordable compliance ap- proaches, case studies of how cities indirect benefit to cities by reducing have dealt with typical implementation According to a report by the the number of number of "orphan" legislative auditor, the primary source issues, and an opportunity to fax your g � P � Y sites which might otherwise only be of funding for cleaning up sites cleaned up at city taxpayer expense. most pressing questions to a resources contaminated by leaking petroleum panel. P g Pe The $34 million estimate consists , - Of any federal legislation passed tanks is $34 million short. The report of $23 million in unprocessed claims in recent years ADA may have the also estimates a total cost in excess of and $11 million in approved claims. most impact s, program cities. This pr $800 million to clean up the appioxi- The implication is that the petrofund offers a chance c learn how r mately 11,500 sites in the state. needs both more money to make The petrofund is currently reimbursements and more staff, or prioritize your city's efforts so to you - financed by a one cent per gallon fee more efficiency, in order to process won't be overwhelmed. All cities have which is imposed on gasoline ur- ADA responsibilities. We urge cities to Po 6 P claims faster. Some tank owners will chases at the wholesale or distributor likely have to wait a year between send a representative to this teleconfer- c level. This charge is separate from nce. om submission of costs and reimburse- The presenters will include both other federal and state gas taxes and ment. amounts to about $5 r year for each content experts and city practitioners. car owner. � y Given the current level of funding, A special early bird fee of $55 is it would take 24 more years to finish available for those registering by Petrofund reimburses 90 percent all anticipated cleanups. Under of the cleanup costs up to $1 million. federal law, new leak- resistant tanks March 1, 1993. After March 1, the The League insurance trust and other regular fee is $65. are to replace existing substandard insurers have moved to adopt wrap- tanks by 1998. The primary recom- For more information or to around coverages in response to the register call Government Training g Po mendation of the report, which is petrofund to promote cleanups. The supported by the League, is to double Service (GTS) at (612) 222 -7409 or toll free (800) 652 -9719. petrofund program has significantly the one cent fee. The League also benefitted cities by financing city supports measures to streamline the tank cleanups. Due primarily to th 90 cleanup and reimbursement process. percent reimbursement level, the JJ Page 14 LMC Cities Bulletin Municipal ads and that the City of Robbinsdale will not make Municipal ads are prlated at no charge to member clttes.Ads run In one Issue only unless notice and guarantees. For more information, forbid 1s received to rua a second time. The Cities Bulletin Is published weekly during the legislative forms, and to inspect the truck and equipment session and once a month during the Interim, the time between sessions. Municipal ads will contact Thomas Sipe, Fire Chief at (612) 537 - appear Is the next available Cities Bulletin. Cities have the right to reject any or all bids on 4534. equipment or proposals, and to waive any laformalitles ther+eia. Minnesota cities are equal opportunit emplo � Wanted DUMP TRUCK. The City of Grove City is Positions more detailed information call Bryan Read at looking for a used single We dump truck. Must (507) 789 -6415. Bids must be received by 12:00 be equipped with five -yard box, one -way snow AIRPORT MANAGEMENT SERVICES. noon on Monday, February 8, 1993 at the Kenyon plow, and sander. Would prefer a truck in the 'rho City of Worthington is seeking proposals city hall. Please address bids to City of Kenyon, 1984 -1990 year range. Mud be MnDOT from interested individuals or firms to provide 51 l 2nd St., Kenyon, MN 55946. The City of codified. Call (612) 857 -2322, Monday through airport consulting and management on a contract Kenyon reserves the tight to reject any and all Thursday. basis. The firm or individual selected must have bids. the capability to provide timely and quality FIRE TRUCK. The City of New Hope has services to the municipal airport on a priority for sale a 1961 Ford C -850 fire truck. It has five LMC budget basis. For more information or a request for speed V -8, 750 GPM Waterous two stage pump, proposals form contact Greg Sparks, City high pressure pump 650 PSI at 30 GPM, and 500 Administrator, City of Worthington, P.O. Box gal, tank on a general safety body. Other committee 279, Worthington, MN 56187 or call (507) 372- equipment include 20' soft suction, two 10' hard 8600. Proposals must be received by February suction, 40' ext., 28' ext., 14' roof, 10' folding appointments 25, 1993. ladders, and 12' pike poles. No minimum bid. POLICE PATROL OFFICER. The City of The city reserves the right to reject any or all bids Six vacancies presently exist Chisago City is accepting applications for a and offers. All bids must be in writing and police patrol officer. All those licensed or eligible on the League of Minnesota Cities submitted in sealed envelopes marked "fire to be licensed as police officers in Minnesota are truck" to City Clerk, City of New Hope, 440 1 budget committee. Larry Bakken, encouraged to apply. It is a full -time position, Xylon Ave. No., New Hope, MN 55428 by LMC president will fill them by works with another full -time licensed officer, and Friday, February 26, 1993. For more information appointment. Bakken has asked is directly supervised by the chief of police. or to inspect call Chief Smith at (612) 531 -5120. city fficials to send nominations Salary range is 519,760 to 523,100 DOQ/DOE. FIRE UNIT. The City of Granite Falls is y Application deadline s Friday, Febru 12, League office as soon as � ddli i �' taking bids for the sale of a John Bean pumper to the Lea g 1993. All applications must be accompanied by a 1969 Ford cab over with 534 cu. in. gas engine, possible. completed city application form an a copy of approximately 300 h.p., transmission 5/2. Th budget committee is POST license number or certificate of eligibility mileage 8768, 750 gal. gpm volume /pressure comprised of two members from to be licensed. For more information or to get an pump -- 2 stage, high pressure--two reel squids, application form call (612) 257 -6578. 5(10 gal. on Ward, and accessory equipment. A each of the state's eight con gres- � PUBLIC WORKS Sl1PERIN'1'FNDENT complete lid is available by contacting the city sional districts each serving three - 'lhe City of Wadena is accepting applications for clerk's office &( (612) 564 Minimum bid is year staggered terms. The com- the position of public works superintendent. 510,000. Successful bidder mud agree to accept mittee reviews LMC services, the Responsibilities include planning, budgeting, delivery to coincide with delivery of new fire fleet management, operations and supervision of truck which is scheduled to be delivered no dues struct and recommends the city's streets, parks and sewer system. earlier than March 1, 1993. Inspection of this unit the budget for the fiscal year to the Qualifications include obtaining a Class C sewer ma be coordinated through Mike Ohliger at board of directors. Mayor Leland license and Class B drivers license within three (612) 5642230. Send bids to Office of the City Swanson of Morris is the commit - years from the date of employment; three to five Clerk, 885 Prentice St., Granite Falls, MN 56241, years of progressively responsible experience in until 2300 p.m., Monday, March 1. Bids will be tee Chair' street, parks, and wastewater treatment and opened at the city council meeting on March 1 at Members whose terms have possess strong supervision and public relations 8 : 00 p.m. Qualified bidders will be allowed to expired are: First district, Dick abilities. Applications available from city raise their bids at the time of the bid o Abraham city administrator Lake administrator. Send application and resume to Send bids in a sealed enveloped and in the lower y Bradley A. Swenson, City administrator, P.O. Box left-hand corner of the envelope mark it "Bid for City; third district, Virginia 30, Wadena, MN 56482 or call 218/631 -2383. Used Fire Unit." The city council reserves the Sterling, Councilmember, Apple Applications due by 4:30 p.m. Feb. 19, 1993. right to reject any and all bids and to waive any Valley; fourth district, David WATER PLANT OPERATOR The City of informalities or irregularities in the bidding Childs, Mana ger, New Brighton; Forest Lake is seeking a full -time employee with p a Class "C" water plant operator's license. Wage PUMPER. The City of Robbinsdale is sixth district Sharon Leintz, clerk scale is from $11.44 to $13.69 per hour. Call city taking sealed bids until 10:00 a. m., Monday Maple Lake; seventh district hall at (612) 4643550. February 15, 1993 for a 1957 Pirsch 1250 g.p.m. Elaine Niehoff, councilmember, custom pumper. The apparatus is equipped with a Melrose. lWo vacancies exist from For sale 779 CID Waukesha gasoline engine, five speed AMBULANCE. "Ihe City of Kenyon has for Sp icer manual transmission and a Waterous P'f) the eighth district; one for retired booster pump. The pumper has a 300 gallon board member Frank Salerno, sale a + Chevrolet t 35 booster tank, a 2500 watt I van ambulance mayor of Ely, and an additional equipped with a rebuilt 350 VS engine wit watt onan generator, awl 00 some other equipment included. The purchase of 10,000 miles, emergency lighting, and siren. For position never filled. the truck and equipment is in an "as is" condition January 29, 1993 Page 15 FIRST CLASS U.S. POSTAGE PAID St. Paul, MN PERMIT NO 322 League of Minnesota Cities 3490 Lexington Avenue North St. Paul, MN 55126 Ik j V FEB 0 31993 Phone: 612 - 490 -5600 The League of Minnesota Cities publishes M - the Legislative Bulletin weekly during the � + Ugislative session and monthly during the rc r..r tntaim, the time between sessions. r. -r +,+ +:,; +P <:.L °: i r !,•;, =(.; I; r -P• (,,�,� ._,..,..�.;( „i Subscriptions: members -530: non-members - $45. Contact: Publications Department, league of Minnesota Cities. League of Minnesota Cities Board of Directors PRESIDENT Larry EWA= Mayor o°klen Valley Where to get legislative information at the Capitol* FIR r VICE PRESIDENT Leland Swanson Mayor Copies of bills Morris ° House Chief Clerk's Office - 296 -2314, Rm. 211, State Capitol O �B Bo obb Long ESIDEIVT Lon Secretary of Senate's Office - 296 -2343, Rm. 231, State Capitol councilmember St. Paul Bill status, authors, companion, committee referral (by bill number, DmECTORS author, or topic) Jerry Dulgar JOB' Robb House Index - 296-6646, Rm. 211, State Capitol C� er Mayor Senate Index - 296 -2887, Rm. 231 State Capitol Lyle Hanks Betty sitdt Mayor Cn,mcimxmber Weekly committee schedules, bill introductions, and summaries of SL t,owr Park Lakeville committee and floor action L'*xyI Peterson Fric Sorensen house Information Office - 296 -2146, 175 State Office Building City Anorney Man"Cr Senate Information Office - 296 -0504, Rm. 231, S ta te Capitol MinoetotAx Winona Patricia PWock Greg spats Recording of the following day's committee schedule and agenda, Comcimxmber Cit Adatioi "or (after 4:30 p.m.) Eden P111e wortbmston "House Call” (House committee schedule) - 296 -9283 Tom Prake Chuck winkemnan Senate Hotline (Senate committee schedule) - 296 -8088 City Administrator Mayor Bricelyn, Delavan, se Clad Easton, Minnesota To reach a member on the House or Senate floor Lake robe Youn& J r. House Sergeant at Arms - 2964860 Yvonne Pretner Cormeihnember � Senate Page Desk - 296 -4159 Camcimoember Dumb To notify the governor's office of your concerns Ex OMCtO Governor Arne Carlson - 296 -3391, Rm. 130, State Capitol Domld Frailer M;�polie *All addresses are St. Paul, MN 55155, all area codes 612 Karen Anderson CamcimDember Miwrrwolu CITY OF BROOKLYN CENTER coca Meeting Date 2/8/93 Agenda Item Number 6/ c REQUEST FOR COUNCIL CONSIDERATION ITEM DESCRIPTION: REQUEST TO ATTEND THE NATIONAL LEAGUE OF CITIES CONGRESSIONAL CITY CONFERENCE DEPT. APPR erald plinter, City Manager MANAGER'S REVIEW/RECOMMENDATION: No comments to supplement this report Comments below /attached SUMMARY EXPLANATION: (supplemental sheets attached ) Councilmember Kristen Mann has requested to attend the Congressional City Conference in Washington, D.C. March 5 -9, 1993. A cost estimate for registration, airfare, lodging, and meals is • as follows: REGISTRATION Leadership Training Institute Seminar March 5 $125 Direct Member Fee March 6 -9 $275 Celebrate Diversity Breakfast March 7 $15 AIRFARE Round trip on Northwest Airlines $330 Tickets mailed UPS $5 Depart Minneapolis: March 4 6:05 p.m. Flight 376 Arrive Washington: 9:22 p.m. Depart Washington: March 9 7:40 p.m. Flight 311 Arrive Minneapolis: 9:22 p.m. LODGING Five (5) nights at Hilton Hotel at $104 -$148 per night March 4 -8 $520 -$740 MEALS Allotted $31 per day $155 TOTAL $1,425- $1,645 There is $3,000 in the 1993 budget for City Council Training and Conferences. RECOMMENDED CITY COUNCIL ACTION Discuss request to attend the National League of Cities Congressional City Conference. CITY OF BROOKLYN CENTER Council Meeting Date C� 2/8/93 Agenda Item Number REQUEST FOR COUNCIL CONSIDERATION ITEM DESCRIPTION: PERFORMANCE REVIEW AND TEAM BUILDING SESSION DEPT. APPROVAL: Gerald G. Splinter, City Manager MANAGER'S REVIEW /RECOMMENDATION: No comments to supplement this report Comments below /attached SUMMARY EXPLANATION: (supplemental sheets attached ) RECOMMENDED CITY COUNCIL ACTION Mayor Paulson has requested the Council discuss this item. CITY OF BROOKLYN CENTER council Meeting Date a � " Agenda Rem Number /0 It ,- REQUEST FOR COUNCIL CONSIDERATION ITEM DESCRIPTION: RESOLUTION AMENDING THE 1993 GENERAL FUND BUDGET TO PROVIDE FOR WAGE AND SALARY ADJUSTMENTS DEPT. APPROVAL: ��'l W. PAUL HOLMLUND, FINANCE DIRECTOR MANAGER'S REVIEW /RECOMMENDATION: No comments to supplement this report Comments below /attached SUMMARY EXPLANATION: (supplemental sheets attached ) When the City Council adopted the 1993 Annual City Budget on December 10, 1992, salaries and wages for 1993 had not been determined. Therefore, the Council appropriated funds in the Unallocated Personal Services Budget to be reappropriated to specific departmental budgets when all of the 1993 salaries and wages had been determined for all City employees. The amount of $234,974 was appropriated in the Unallocated Personal Services Budget. Only $205,485 was needed to satisfy the 1993 salary and wage adjustments. STAFF RECOMMENDATION Staff recommends that the Unallocated Personal Services accounts be distributed to departments as shown in the attached resolution. SPECIFIC ACTION REQUIRED BY THE CITY COUNCIL Pass the attached resolution amending the 1993 General Fund Budget to provide for wage and salary adjustments. Member introduced the following resolution and moved its adoption: (HRAJ) RESOLUTION NO. RESOLUTION AMENDING THE 1993 GENERAL FUND BUDGET TO PROVIDE FOR WAGE AND SALARY ADJUSTMENTS - ------------------------------------------------------------------------ WHEREAS, Section 7.08 of the City Charter of the City of Brooklyn Center does provide that the City Council may, by majority vote of its members, transfer unencumbered appropriation balances from one office, department, or agency to another within the same fund; and WHEREAS, on December 10, 1992, the City Council of the City of Brooklyn Center adopted a budget for the calendar year 1993; and WHEREAS, when said budget was adopted, 1993 salaries and wages for City employees had not been set; and WHEREAS, the City Council did appropriate funds for departmental labor and fringe benefits in the amount of $234,974 to Unallocated Personal Services (Department No. 181) to provide funds for 1993 salary and wage settlements; and WHEREAS, all wages and salaries for the calendar year 1993 have now been set by the Council. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Brooklyn Center to transfer $205,485 from the following Unallocated Personal Services (Department No. 181) appropriations: 001 -4100 Salaries, Regular Employees $ 132,218 001 -4112 Salaries, Overtime, Regular Employees 4,832 001 -4130 Salaries, Part -time Employees 15,155 001 -4141 PERA- Regular 480 001 -4142 PERA- Combined 4,052 001 -4143 PERA- Police 6,355 001 -4146 Social Security 6,661 001 -4147 Medicare 210 001 -4151 Hospitalization Insurance 15,413 001 -4152 Life Insurance (19) 001 -4153 Dental Insurance 14,518 001 -4154 Workers' Compensation Insurance 5,610 $ 205,485 and Increase the departmental or divisional appropriations in the total amount of $205,485 as indicated on the following page: ATTEST: Date Todd Paulson, Mayor Deputy Clerk The motion for the adoption of the foregoing resolution was duly seconded by member , and upon vote being taken thereon, the following voted in favor thereof: and the following voted against the same: whereupon said resolution was declared duly passed and adopted. RESOLUTION NO. (HRAJ1) Salaries Salaries Salaries PERA PERA PERA Medi- Health Life Dental llorkers'Deferred Regular Overtime Temporary Regular Combined Police FICA Care Insurance Insurance Insuran Comp Comp 4100 4112 4130 4141 4142 4143 4146 4147 4151 4152 4153 4157 4157 TOTAL -- ---- -- -- - -- - -- -- -- -- -- -- - - -- -- ---- - - -- - ---- --- -- - ----- -- - - ---- -- -- -- -- --- -- - -- -- ------ -- - --- -- -- ---- -- -- - ----- City Council 0 0 0 0 0 0 0 0 0 0 0 0 0 0 City Manager's Office 3,158 0 631 0 163 0 290 0 1,433 (20) 520 18 0 6,193 Elections 1,947 0 0 0 87 0 149 0 60 1 78 9 0 2,331 Assessing Department 3,135 0 0 0 140 0 240 0 480 0 480 40 0 4,515 Finance Department 10,138 0 0 277 339 0 579 0 960 0 960 47 0 13,300 Government Buildings 1,526 585 1,091 0 143 0 245 0 180 0 180 297 0 4,247 Data Processing 1,296 0 0 0 58 0 99 0 120 0 120 26 0 1,719 Police Protection 65,980 3,370 3,029 0 927 6,169 1,604 210 6 0 6,480 3,034 0 97,283 Fire Protection 781 0 3,906 0 0 93 42 0 60 0 60 77 0 5,019 Community Development 3,799 0 2,950 0 302 0 516 0 600 0 600 80 0 8,847 Emergency Preparedness 781 0 0 0 0 93 0 0 60 0 60 60 0 1,054 Animal Control 0 0 389 0 18 0 30 0 0 0 0 26 0 463 Engineering 11,462 0 697 108 500 0 522 0 1,080 0 1,080 225 0 15,674 Streets Maintenance 10,343 0 700 104 452 0 771 0 1,548 0 1,548 633 0 16,099 Vehicle Maintenance 3,258 0 0 (23) 156 0 265 0 504 0 504 165 0 4,829 Recreation /Parks Admin 7,538 0 0 0 338 0 576 0 720 0 720 275 0 10,167 Community Center 1,932 877 562 0 151 0 258 0 300 0 300 296 0 4,676 Parks Maintenance 5,144 0 1,200 14 278 0 475 0 828 0 828 302 0 9,069 - --- - - -- - -- - - - -- -- -- - - -- -- - - ---- -- - - - - -- -- - - - --- ----- - -- -- ------ -- - ----- -- - - - - -- -- ------ -- - - - - -- - --- - - -- - ------- TOTAL 132,218 4,832 15,155 480 4,052 6,355 6,661 210 15,413 (19) 14,518 5,610 0 205,485 CITY OF BROOKLYN CENTER council Meeting Date9_ Agenda Item Number �� b REQUEST FOR COUNCIL CONSIDERATION ITEM DESCRIPTION: RESOLUTION AMENDING THE 1992 GENERAL FUND BUDGET TO CARRY FORWARD CERTAIN APPROPRIATIONS TO THE 1993 BUDGET DEPT. APPROVAL: AR� BARA A. GALLO, MIS COORDINATOR /PAUL HOLMLUNV FINANCED EC OR * �•* �c• �• �t* �••> E* �• �*•> E��••> F�t�••> E�• �•** ic• �c•• � * * *�• *�t * * * * * *�•ac••�•���•�• *� * . } - ir ±�• * *� - * + ** MANAGER'S REVIEW /RECOMMENDATION: No comments to supplement this report Comments below /attached SUMMARY EXPLANATION: (supplemental sheets attached ) • In October 1992 five LOGIS member cities began evaluating appointment scheduling and e -mail packages for their local area networks. Since the evaluation process has to be coordinated with the various cities, the evaluation could not be completed by the end of 1992. The evaluation should be completed by the end of the first quarter of 1993. When it is completed, the MIS coordinator will be ready to purchase an appointment scheduling /e -mail package for the City offices. $2,625 was appropriated in the 1992 Capital Outlay Budget for this purpose. In addition, a business license database ro ram was developed for the Deputy it P g P P C Y Y Clerk/Administrative Assistant. This item was also included in the 1992 Capital Outlay Budget. The cost of the program is $2,100. However payment has not been made because the program is still in testing. Completion of the project was delayed because of the general election which took up the majority of the Deputy City Clerk's time. Therefore, a total of $4,725 needs to be carried forward to the 1993 budget, $2,625 for the appointment scheduling /e -mail packages and $2,100 for the business license database. Action Required A resolution is provided for Council consideration. (RESEMAIL) Member introduced the following resolution and moved its adoption: RESOLUTION NO. RESOLUTION AMENDING THE 1992 GENERAL FUND BUDGET TO CARRY FORWARD CERTAIN APPROPRIATIONS TO THE 1993 BUDGET ------------------------------------------------------------- WHEREAS, Section 7.08 of the City Charter does provide the City Council with the authority to appropriate funds from accumulated surplus in an amount equal to a previous appropriation in the General Fund Budget, if not in fact expended or encumbered for that purpose in the previous fiscal year; and WHEREAS, some expenditures approved in the 1992 budget couldn't be completed due to technical difficulties and the Data Processing department is requesting the appropriations be carried forward to the 1993 budget. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Brooklyn Center as follows: 1. To amend the 1992 General Fund Budget for amounts to be carried forward to 1993 as follows: Reduce the estimated revenues of the Transfers from Fund Balance Account by $4,725. Reduce the appropriations of the Data Processing department by $4,725. 2. To amend the 1993 General Fund Budget for amounts to be carried forward from 1992 as follows: Increase the estimated revenues of the Transfers from Fund Balance Account by $4,725. Increase the appropriations of the Data Processing department by $4,725. Date Todd Paulson, Mayor ATTEST: Deputy Clerk The motion for the adoption of the foregoing resolution was duly seconded by member , and upon vote being taken thereon, the following voted in favor thereof: and the following voted against the same: whereupon said resolution was declared duly passed and adopted. CITY OF BROOKLYN CENTER council Meeting Date 2/8/93 Agenda Item Number REQUEST FOR COUNCIL CONSIDERATION ITEM DESCRIPTION: RESOLUTION AMENDING THE 1993 GENERAL FUND BUDGET TO TRANSFER FUNDS TO INCREASE THE APPROPRIATION FOR POLICE DEPARTMENT OBJECT NO. 4551, OFFICE FURNISHINGS & EQUIPMENT DEPT. APPR eral plinter, City Manager MANAGER'S REVIEW/RECOMIVIENDATION: No comments to supplement this report Comments below /attached ******************************************************** * * * * * * * * * * * * * * * * * * * * * * * * * * * * * ** SUMMARY EXPLANATION: (supplemental sheets attached ) The Administrative Analyst in the Police Department has been experiencing lower back problems due to an inadequate chair which she is using. The chair is a conference room chair which is generally used for sitting for short periods of time. The Administrative Analyst spends the majority of her time at the computer and needs a chair that properly supports her back. This problem was not identified until it was too late to include the purchase of the chair in the 1993 budget. This is the type of problem which meets our criteria for use of the Contingency Fund. The MIS Coordinator has also reviewed this situation and recommends this chair be purchased in fulfillment of our ergonomic criteria. RECOMMENDED CITY COUNCIL ACTION PASS A RESOLUTION AMENDING THE 1993 GENERAL FUND BUDGET TO TRANSFER FUNDS TO INCREASE THE APPROPRIATION FOR POLICE DEPARTMENT OBJECT NO. 4551, OFFICE FURNISHINGS & EQUIPMENT M1, Member introduced the following resolution and moved its adoption: RESOLUTION NO. RESOLUTION AMENDING THE 1993 GENERAL FUND BUDGET TO TRANSFER FUNDS TO INCREASE THE APPROPRIATION FOR POLICE DEPARTMENT OBJECT NO. 4551, OFFICE FURNISHINGS & EQUIPMENT WHEREAS, the Administrative Analyst in the Police Department is in need of a chair that meets ergonomic criteria for use at a computer workstation; and WHEREAS, funding in the amount of $500 is not appropriated for in the 1993 General Fund budget; and WHEREAS, the City would like to purchase this chair for the Administrative Analyst; and WHEREAS, Section 7.09 of the City Charter of the City of Brooklyn Center does provide for a contingency appropriation as a part of the General Fund Budget, and further provides that the contingency appropriation may be transferred to any other appropriation by the City Council. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Brooklyn Center that the 1993 General Fund Budget is hereby amended as follows: Increase the appropriation for the following line item Department 131, Unallocated Departmental Expense Object No. 4551, Office Furnishings & Equipment $500 Decrease the appropriation for the following line item Department 180, Unallocated Department Expense Object No. 4995, Contingency $500 Date Todd Paulson, Mayor ATTEST: Deputy Clerk The motion for the adoption of the foregoing resolution was duly seconded by member , and upon vote being taken thereon, the following voted in favor thereof: and the following voted against the same: whereupon said resolution was declared duly passed and adopted. CITY OF BROOKLYN CENTER Council Meeting Date February 8 1993 Agenda Item Number �Q Q REQUEST FOR COUNCIL CONSIDERATION ITEM DESCRIPTION: RESOLUTION AMENDING THE 1993 BUDGET AND AUTHORIZING THE TRANSFERRING OF FUNDS FROM DOMESTIC INTERVENTION, 4428, TO ACTIVATING A CANINE PROGRAM ******************************************************** * * * * * * * * * * * * * * * * * * * * * * * * * * * * * ** DEPT. APPROVAL: Trevor A. Hampton, Chief of olice MANAGER'S REVIEW /RECOMMENDATION: No comments to supplement this report Comments below /attached SUMMARY EXPLANATION: (supplemental sheets attached yes) The proposed joint powers organization, Project P.E.A.C.E. (Protect, Educate, Advocate, Comfort, Empower), includes the cities of Brooklyn Center, Champlin, Maple Grove, and Robbinsdale. Project P.E.A.C.E. intends to contract with Brooklyn Peacemaker Center for the administration of domestic intervention services. Brooklyn Center City Council has allocated $30,000 for domestic intervention in the 1993 budget. The City of Maple Grove expressed interest after the 1993 budget was prepared by the police department lowering significantly Brooklyn Center's share of the cost. Based on the proposed joint powers organization the 1993 cost for domestic intervention is $17,000. The Brooklyn Center Police Department requests that $8,705 of the remaining $13,000 be allocated to a Canine Program. A Canine Program would provide a very valuable service to the citizens of Brooklyn Center. The canine would sniff for drugs, track suspects after commission of crimes, search open areas and buildings for evidence or suspects therefore improving officer safety, speed, and efficiency. The Canine Program would also enhance community relations through crime prevention programs, civic organizations, and recreation centers. The program would also allow • Brooklyn Center to participate with other communities in an effort to provide canine services to include other suburban municipalities (ie. Brooklyn Park, Maple Grove). • Transferring funds to initiate a Canine Program would result in the following; Purchase of Canine (4552) $7,250 Includes; • Training in tracking, foreign object detection, circle and bark, and drug detection • Equipment, including leashes, collars bowls, brushes, and all necessary training equipment for the handler • 120 -hour training session for the canine and handler • Room and board during training • Remedial and advanced training at a later date Flight Arrangements (4411) $540 Transportation at Training (4411) $100 Dog Food (4220) $315 Vet Fees (4310) $500 • Total Recommended 1993 Transfer to Canine Program; $8,705 RECOMMENDED CITY COUNCIL ACTION Authorize amending the 1993 budget transferring funds from domestic intervention, 4428, to activating a Canine Program. Member introduced the following resolution and moved its adoption: RESOLUTION NO. RESOLUTION AMENDING THE 1993 BUDGET AND AUTHORIZING THE TRANSFERRING OF FUNDS FROM DOMESTIC INTERVENTION, 4428, TO ACTIVATING A CANINE PROGRAM WHEREAS, the Brooklyn Center Police Department has entered into a joint powers organization, Project P.E.A.C.E. (Protect, Educate, Advocate, Comfort, Empower), including the cities of Champlin, Maple Grove, and Robbinsdale for domestic intervention services; and WHEREAS, the cost of domestic intervention services for 1993 through Project P.E.A.C.E. is $17,000; and WHEREAS, the City Council in the 1993 budget has appropriated $30,000 for domestic intervention; and WHEREAS, the City of Maple Grove expressed interest after the 1993 budget was prepared by the police department lowering significantly Brooklyn Center's share of the cost; and WHEREAS, the Brooklyn Center Police Department finds it desirable to initiate a Canine Program. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Brooklyn Center that Brooklyn Center Police Department activate a Canine Program and that the 1993 budget be amended transferring appropriations of $8,705 from domestic intervention, 4428, into the following accounts; Purchase of Canine (4552) $7,250 Flight Arrangements (4411) $540 Transportation at Training (4411) $100 Dog Food (4220) $315 Vet Fees (4310) $500 Date Todd Paulson, Mayor ATTEST: Deputy Clerk The motion for the adoption of the foregoing resolution was duly seconded by member , and upon vote being taken thereon, the following voted in favor thereof: and the following voted against the same: whereupon said resolution was declared duly passed and adopted. Brooklyn Center Police Department Impact Statement Summary Approved Recommended Anticipated 1993 1993 1994 Personnel Changes $121,597 $122,006 $130,976* Domestic Intervention $30,000 $17,000 $25,000 ** Purchase of Canine $7,890 Canine Maintenance $815 $2,447*** Total $151,597 $147,711 $158,423 Difference $6,826 * Based on 3% total compensation increase "Based on proposed joint powers organization. Formula for dividing costs in 1994 has not been determined by the proposed joint powers or- ganization * **Maintenance includes recertification Brooklyn Center Police Department Recommended/Anticipated Impact Statement Detail Recommended Anticipated 1993 1994* Administrative Sergeant $47,930 $65,488 Community Service Sergeant $47,930 $65,488 Investigative Trainee Position $2,626 Patrol Position $11,021 Patrol Position $12,499 $122,006 $130,976 1993 1994 Domestic Intervention $17,000 $25,000 ** Purchase of Canine $7,250 Flight Arrangements $540 $650 Transportation at Training/Certification $100 $100 Dog Food $315 $462 Equipment $200 Vet Fees $500 $735 Certification $300 $25,705 $27,447 * Based on 3% total compensation increase *Based on proposed joint powers organization. Formula for dividing costs in 1994 has not been determined by the proposed joint powers organization CITY OF BROOKLYN CENTER Council Meeting Date February 8, 1993 Agenda Item Number to 1 REQUEST FOR COUNCIL CONSIDERATION ITEM DESCRIPTION: RESOLUTION AMENDING THE 1993 BUDGET AND AUTHORIZING THE RESTRUCTURING OF THE POLICE DEPARTMENT MANAGEMENT DEPT. APPROVAL: C-7N Trevor A. Hampton, Chief of P-6lice MANAGER'S REVIEW /RECOMMENDATION: No comments to supplement this report Comments below /attached ******************************************************** * * * * * * * * * * * * * * * * * * * * * * * * * * * * * ** SUMMARY EXPLANATION: (supplemental sheets attached yes) In December, 1991 the City Council considered restructuring the police department by looking at middle management positions and compressing duties downward. With Chief James Lindsay retiring in September, 1992 the Council decided to delay this consideration until a new chief was appointed. However, when Captain Paul Monteen announced his resignation in July, 1992 Chief Lindsay decided to look at implementing structure change at that time. On July 27, 1992 the City Council approved a resolution amending the 1992 pay plan to implement the elimination of one (1) Captain's position and add one (1) Lieutenant's position. The approved 1993 budget reflects this change. At that same time it was the City Manager's recommendation and the City Council concurred that since the change would result in the reorganization of the police department that the final decision be made by the incoming Chief of Police. After several months of familiarizing himself with the police department it is Chief Trevor Hampton's recommendation to eliminate the one (1) Lieutenant position and one (1) Police Officer (Investigative) position and add two (2) Sergeant positions. A review of the utilization of the five (5) current Sergeants was conducted. Three (3) Sergeants are assigned to supervise each of the patrol shifts and two (2) served as relief Sergeants. The Sergeants also have additional duties including; firearms training, C.O.P., D.A.R.E., Twin Lake Water Patrol, Cadet Program, Explorer Scouts, etc. Because of time -off and additional duties, from January to September, 1992 51% of the time dog watch (night shift) had no Sergeant on duty. 29% of the time, the middle shift (evening) had no Sergeant on duty. 20% of the time day shift had no Patrol Sergeant on duty. These numbers reflects a need to have more front -line supervision. Adding two (2) Sergeants would allow the police department to have five (5) Sergeants to effectively supervise the patrol division around the clock. The additional Sergeants would serve as an Administrative Sergeant and Community Services Sergeant to assure the appropriate level of supervision and performance of duties assigned. Having an Administrative Sergeant would allow the Investigative Captain to focus on supervision and operation of the investigative function. The Administrative Sergeant would also take the administrative duties from the vacant Captain's position. The Community Services Sergeant position would assist in the delivery of services to the Community of Brooklyn Center. Designating one (1) supervisor for all community programs would enhance the quality of service the police department can provide to citizens in its programs. Making this restructuring change effective April 1, 1993 would result in the following; Actual 1993 Salary Allocations Based on Total Compensation One (1) Lieutenant Position January- December 31, 1993 $64,059 (260 days /2,080 hours) One (1) Police Officer Position January 1- December 31, 1993 $57,538 (260 days /2,080 hours) (Investigative) Total Actual 1993 Salary Allocations; $121,597 Recommended 1993 Salary Allocations Based on Total Compensation One (1) Police Officer Position January 1 -18, 1993 $2,626 (12 days /96 hours) (Investigative) One (1) Police Officer Position January 19 -March 31, 1993 $11,021 (52 days /416 hours) One (1) Police Officer Position* January 1 -March 31, 1993 $12,499 (64 days /512 hours) One (1) Administrative Sgt. April 1- December 31, 1993 $47,930 (196 days /1,568 hours) One (1) Community Services Sgt. April 1- December 31, 1993 $47,930 (196 days /1,568 hours) Total Recommended 1993 Salary Allocations; $122,006 * Patrol position designated vacant Lieutenant position RECOMMENDED CITY COUNCIL ACTION Authorize the restructuring of the police department management and approve the resolution amending the 1993 budget dropping the one (1) Lieutenant position and one (1) Police Officer (Investigative) position and adding one (1) Administrative Sergeant and one (1) Community Services Sergeant. i 0 Member introduced the following resolution and moved its adoption: RESOLUTION NO. RESOLUTION AMENDING THE 1993 PAY PLAN TO IMPLEMENT RESTRUCTURING OF THE POLICE DEPARTMENT MANAGEMENT WHEREAS, the City of Brooklyn Center City Council adopted resolution number 92 -182 on July 27, 1992 amending the 1992 Pay Plan to implement changes in the organization of the police department; and WHEREAS, the City Council also resolved that the incoming Chief of Police would be given the opportunity to review this amendment and veto its implementation; and WHEREAS, the Chief of Police has reviewed the organization of the police department and does veto the implementation of the Police Lieutenant position; and WHEREAS, after review of the organization of the police department it has been determined that the citizens of Brooklyn Center best be served with the elimination of the one (1) Police Lieutenant and one (1) Police Officer (Investigative) positions and the addition of one (1) Police Administrative Sergeant and one 1 ( ) g ( ) Police Community Services Sergeant positions. NOW THEREFORE, BE IT RESOLVED by the City Council of the City of Brooklyn Center that the 1993 Pay Plan is hereby amended as follows: 1. The police department section of Schedule A, 1993 positions authorized, is amended to reduce one (1) Police Lieutenant position and one (1) Police Officer position. 2. The police department section of Schedule A, 1993 positions authorized, is amended to add one (1) Police Administrative Sergeant and one (1) Police Community Services Sergeant. 3. Schedule C is amended to reduce one (1) Police Lieutenant position with a grade range of E29A to E33C and a monthly salary of $3,516 to $4,279. 4. All Sergeant positions are under Schedule E according to L.E.L.S. Local #82 contract. Date Todd Paulson Mayor ATTEST: Deputy Clerk The motion for the adoption of the foregoing resolution was duly seconded by member , and upon vote being taken thereon, the following voted in favor thereof: and the following voted against the same: whereupon said resolution was declared duly passed and adopted. Brooklyn Center Police Department Restructuring 1993 Current (02193) Administrative Chief of Analyst Police Support Services Patrol Captain Captain Sergeants Investigators Dispatchers Property Room Admin. Services Supervisor Manager Code Patrol Cadets Enforcement Officers Clcrical TAP Brooklyn Center Police Department Restructuring 1993 Recommended Administrative Chief of Analyst Police Investigative Patrol Captain Captain I i i Admin. Services Staff Services Sergeants Community Sergeant Supervisor Services Sergeant Investigators Patrol COP / CP / DARE Officers Oflicers Code Cadets Dispatchers Clerital Property Room Enforcement Supervisor TAP CITY OF BROOKLYN CENTER POSITION DESCRIPTION POSITION IDENTIFICATION TITLE: Police Administrative Sergeant DEPARTMENT: Police STATUS: Nonexempt SALARY SCHEDULE: Police Officer - Schedule E DATE WRITTEN /REVISED: 02/93 POSITION SUMMARY This position is responsible for planning, organizing, coordinating and directing the daily administrative functions of the police department. This includes coordinating the maintenance and repair of department vehicles and other equipment. Supervises dispatchers, code enforcement officers, and cadets. Reports to the Chief of Police. I. ESSENTIAL DUTIES AND RESPONSIBILITIES 1. Supervises dispatchers, code enforcement officers, and cadets. a. Schedules personnel to meet department needs. b. Grants time -off requests and schedules overtime as necessary. C. Trains, evaluates, rewards and disciplines subordinate employees. 2. Coordinates court appearances by all officers through the dissemination of court notices. 3. Assures that all forms and reports used by the police department are in operative and sufficient supply. 4. Maintains first aid supplies. 5. Responsible for uniform purchase, vehicle and equipment maintenance and repair. 6. Responsible for speedometer and radar calibrations and related log sheets. 7. Records squad car mileage and tacograph detail. 8. Responsible for the quarterly report of assist to other agencies. 9. 9 -1 -1 coordinator. 10. Perform related law enforcement and service tasks as apparent or specifically assigned. 11. Participates in planning and research as directed. II. OTHER DUTIES AND RESPONSIBILITIES 1. Answers public inquiries received by telephone, letter and in person. 2. Responsible for the upkeep of the department library. 3. Performs other duties as assigned. KNOWLEDGE SKILLS AND ABILITIES 1. Ability to communicate ideas and explanations clearly both orally and in writing. 2. Knowledge of the principles and techniques of supervision. 3. Working knowledge of city ordinances and related state and federal laws including rules of evidence. 4. Technical knowledge and ability to perform standard operating procedures required in daily law enforcement operations. S. Ability to instruct in the use of law enforcement equipment and techniques. 6. Resourcefulness to size up situations, innovate, improvise as necessary and to adapt to situations in a timely fashion. 7. Ability to make fair, timely and effective decisions in an emergency and nonemergency environment. 8. Self- confidence and ability to adapt to reasonable change and changing circumstances. 9. Ability to work congenially with other employees and to deal with the public in a friendly, tactful manner. 10. Possess and reflect overall leadership characteristics including willingness to accept responsibility, emotional maturity, reliability, ability to inspire respect from others, decisive decision making, initiative taking and a sense of humor. 11. Ability to conduct independent research and report findings to the Chief of Police as directed. 12. Knowledge of administrative concepts and practices. EDUCATION AND EXPERIENCE REQUIRED Three years experience as a police officer with the Brooklyn Center Police Department at the time of appointment. POSITION DESCRIPTION APPROVED By Chief of Police Date Approved By City Manager Date Approved CITY OF BROOKLYN CENTER POSITION DESCRIPTION POSITION IDENTIFICATION TITLE: Police Community Services Sergeant DEPARTMENT: Police STATUS: Nonexempt SALARY SCHEDULE: Police Officer - Schedule E DATE WRITTEN /REVISED: 02/93 POSITION SUMMARY This position is responsible for planning, organizing, coordinating and directing the community services of the police department. Supervises community oriented policing officers, crime prevention officer, and D.A.R.E. officers. Responsible for the planning and implementation of special events. Reports to the patrol captain. I. ESSENTIAL DUTIES AND RESPONSIBILITIES 1. Supervises community oriented policing officers, crime prevention officer, and D.A.R.E. officers. a. Schedules personnel to meet department needs. b. Grants time -off requests and schedules overtime as necessary. C. Trains, evaluates, rewards, and disciplines subordinate employees. 2. Coordinates and records department tours and speaking engagements. a. Represents the department at various civic functions as assigned by the patrol captain. 3. Responsible for administering the D.A.R.E. Program. 4. Acts as the department's liaison with the domestic intervention program. 5. Plans and coordinates the department's special events, including but not limited to, parade security, National Night -Out, police /citizen awards night and department open house. 6. Researches plans and effectively recommends new programs and revisions in existing programs. 7. Performs related law enforcement and service tasks as apparent or specifically assigned. IL OTHER DUTIES AND RESPONSIBILITIES 1. Performs other duties as assigned. KNOWLEDGE, SKILLS AND ABILITIES 1. Ability to communicate ideas and explanations clearly both orally and in writing. 2. Knowledge of the principles and techniques of supervision. 3. Working knowledge of city ordinances and related state and federal laws including rules of evidence. 4. Technical knowledge and ability to perform standard operating procedures required in daily law enforcement operations. 5. Ability to instruct in the use of law enforcement equipment and techniques. 6. Resourcefulness to size up situations, innovate, improvise as necessary and to adapt to situations in a timely fashion. 7. Ability to make fair, timely, and effective decisions in an emergency and nonemergency environment. 8. Self- confidence and ability to adapt to reasonable change and changing circumstances. 9. Ability to work congenially with other employees and to deal with the public in a friendly, tactful manner. 10. Posses and reflect overall leadership characteristics including willingness to accept responsibility, emotional maturity, reliability, ability to inspire respect from others, decisive decision making, initiative taking and a sense of humor. 11. Ability to coordinate the efforts and resources of the police department with that of citizens' groups and civic organizations. 12. Ability to make public presentations on behalf of the police department. EDUCATION AND EXPERIENCE REQUIRED Three years of experience as a police officer with the Brooklyn Center Police Department at the time of appointment. POSITION DESCRIPTION APPROVED By Chief of Police Date Approved By City Manager Date Approved Brooklyn Center Police Department Impact Statement Summary Approved Recommended Anticipated 1993 1993 1994 Personnel Changes $121,597 $122,006 $130,976* Domestic Intervention $30,000 $17,000 $25,000 ** Purchase of Canine $7,890 Canine Maintenance $815 $2,447 * ** Total $151,597 $147,711 $158,423 Difference $6,826 • Based on 3% total compensation increase **Based on proposed joint powers organization. Formula for dividing costs in 1994 has not been determined by the proposed joint powers or- ganization ** *Maintenance includes recertification Brooklyn Center Police Department Recommended/Anticipated Impact Statement Detail Recommended Anticipated 1993 1994* Administrative Sergeant $47,930 $65,488 Community Service Sergeant $47,930 $65,488 Investigative Trainee Position $2,626 Patrol Position $11,021 Patrol Position $12,499 06 30 $122,0 $1 , 976 1993 1994 Domestic Intervention $17,000 $25,000 ** Purchase of Canine $7,250 Flight Arrangements $540 $650 Transportation at Training/Certification $100 $100 Dog Food $315 $462 Equipment $200 Vet Fees $500 $735 Certification $300 $25,705 $27,447 * Based on 3% total compensation increase "Based on proposed joint powers organization. Formula for dividing costs in 1994 has not been determined by the proposed joint powers organization CITY OF BROOKLYN CENTER cameil Meeting Date February s. 1993 Agenda Item Numb., io � REQUEST FOR COUNCIL CONSIDERATION ITEM DESCRIPTION: RESOLUTION ACKNOWLEDGING GIFT FROM THE BROOKLYN CENTER LIONS CLUB DEPT. APPROVAL: Paul Holmlund, Finance Director MANAGER'S RE VIEW/REC 0MVIEENDATION. No comments to supplement this report Comments below /attached SUMMARY EXPLANATION: (supplemental sheets attached ) • /D z:: (ARTAG) Member introduced the following resolution and moved.its adoption: RESOLUTION NO. .RESOLUTION ACKNOWLEDGING GIFT FROM THE BROOKLYN CENTER LIONS CLUB WHEREAS, THE BROOKLYN CENTER LIONS CLUB has presented the City a gift of $500 and has designated that it be used to assist children who need financial assistance to register for after school recreation classes; and WHEREAS, the City Council is appreciative of the gift and commends the Brooklyn Center Lions Club for its civic efforts: NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Brooklyn Center to acknowledge the gift with gratitude; and BE IT FURTHER RESOLVED that the gift be appropriated to the Recreation Department Children's Programs budget. Date Todd Paulson, Mayor i ATTEST: Deputy Clerk The motion for the adoption of the foregoing resolution was duly seconded by member , and upon vote being taken thereon, the following voted in favor thereof: and the following voted against the same: whereupon said resolution was declared duly passed and adopted. CITY OF BROOKLYN CENTER A.n.a..m U REQUEST FOR COUNCIL CONSIDERATION ITEM DESCRIPTION: RESOLUTION APPROVING THE SALE OF TAX FORFEITED PARCELS THROUGH PUBLIC AUCTION *********************************************************** * * * * * * * * * * * * * * * * * * * * * * * * * * * * * ** DEPT. APPROVAL: Mark P. Parish, City Assessor MANAGER'S REVIEW/RECOMMENDATION: No comments to supplement this report Co ents below /attached *********************************************************** * * * * * * * * * * * * * * * * * * * * * * * * * * * * * ** SUM1VIARY EXPLANATION: (supplemental sheets attached Requested Action: Approve and authorize the sale by Public Auction of eight parcels (map, parcel listing, and proposed resolution attached) which are in tax forfeiture. Background: As Hennepin County processes parcels which are in tax forfeiture, the City is asked to consider the disposition of the parcels (1) by sale at public auction, (2) by sale to adjacent property owners, or (3) by requesting a conveyance to the City for public use. If the City does not take action, Hennepin County assumes the sale at public auction is approved pursuant to M.S. 282.01, Subd. 1. The proposed resolution lists eight (8) townhome lots that have been forfeited due to property tax delinquencies. These lots are located in the Earle Brown Farm addition at the southwest corner of the intersection of Shingle Creek Parkway and 69th Avenue North. These lots are buildable, subject to the covenants and restrictions of the Townhome Owners Association. All City departments have been surveyed relative to the disposition of these lots. There was no public use identified and no apparent reason to recommend sale to adjacent property owners. R_ ECOMMENDED CITY COUNCIL ACTION: • Therefore, it is recommended that the Council approve and authorize the sale of these parcels at public auction by giving favorable consideration to the proposed resolution. /0 Member introduced the following resolution and moved its adoption: RESOLUTION NO. RESOLUTION TO APPROVE SALE OF CERTAIN TAX FORFEITED LAND PARCELS AT PUBLIC AUCTION WHEREAS, the City Council of the City of Brooklyn Center has received from the County of Hennepin a list of lands in Brooklyn Center which became the property of the State of Minnesota, for nonpayment of real estate taxes; and WHEREAS, each parcel of land described in said list has heretofore been classified by the Board of Commissioners of Hennepin County, Minnesota, as Non - Conservation land and the sale thereof has heretofore been authorized by said Board of Commissioners. NOW, THEREFORE, BE IT RESOLVED BY THE City Council of the City of Brooklyn Center, Minnesota, acting pursuant to Minnesota Statute 282.01, affirms the listing of said parcels as Non- Conservation land and approves the sale of the same at public auction and has no knowledge of wells on said parcels, approves and certifies same with respect to the following parcels: Property Identification No Description 34- 119 -21 -11 -0023 Lot 21, Block 1, Earle Brown Farm Townhouses 34- 119 -21 -11 -0024 Lot 22, Block 1, Earle Brown Farm Townhouses 34- 119 -21 -11 -0025 Lot 23, Block 1, Earle Brown Farm Townhouses 34- 119 -21 -11 -0026 Lot 24, Block 1, Earle Brown Farm Townhouses 34- 119 -21 -11 -0027 Lot 25, Block 1, Earle Brown Farm Townhouses 34- 119 -21 -11 -0028 Lot 26, Block 1, Earle Brown Farm Townhouses 34- 119 -21 -11 -0029 Lot 27, Block 1, Earle Brown Farm Townhouses 34- 119 -21 -11 -0030 Lot 28, Block 1, Earle Brown Farm Townhouses Date Todd Paulson, Mayor ATTEST: Deputy Clerk The motion for the adoption of the foregoing resolution was duly seconded by member , and upon vote being taken thereon, the following voted in favor thereof: and the following voted against the same: whereupon said resolution was declared duly passed and adopted. ma. kvrn < ' it z pa `y. ±yia .5= �:..`• �; J _. • ' ' 9', r � ,•'Y .:•95 see s� .! . W �'^ j . ee•u µ i �C � Z lit � "Y'�� � ��• t e S g r ♦ L� ti j ; .�� • t '7 k f t ��n?S , s `wa is a;�.' � • :� Ik: + '� ••� Subject •e 1, Subject Loc • • CITY OF BROOKLYN CENTER Council Meeting Date February 8, 1993 Agenda Item Number /O REQUEST FOR COUNCIL CONSIDERATION ITEM DESCRIPTION: RESOLUTION APPROVING AMENDMENTS TO THE PROJECT P.E.A.C.E. JOINT POWERS AGREEMENT, ITS PROPOSED BUDGET, AND ITS CONTRACT FOR DOMESTIC INTERVENTION SERVICES DEPT. APPROVAL- GAG• 0107 Trevor A. Hampton, Chief of Police MANAGER'S REVIEW /RECOMMENDATION: No comments to supplement this report Comments below /at ached SUMMARY EXPLANATION: (supplemental sheets attached yes) We request that the City Council consider and approve the formation of a joint powers organization, Project P.E.A.C.E. (Protect, Educate, Advocate, Comfort, Empower), with the cities of Champlin, Maple Grove, and Robbinsdale, in order to provide services to victims of domestic abuse. The communities interested in combining efforts with Brooklyn Center did not have an intervention program prior to late 1992. The program coordinator has recruited and trained volunteer advocates in each of the participating communities. The joint powers organization was proposed at the Brooklyn Center City Council meeting of May 26, 1992. At that time, we expected the joint powers organization to include Brooklyn Center, Champlin and Robbinsdale. Maple Grove expressed an interest in joining the joint powers organization in June of 1992. The budget for Project P.E.A.C.E. for 1993 is set at $60,000. The cost to each community for 1993 was based on population. Brooklyn Center's share for 1993 is . $17,000. . The joint powers organization proposes that Peacemaker Center continue to administer the program, with the joint powers organization as the governing body. RECOMMENDED CITY COUNCIL ACTION Authorize the joint and cooperative agreement for the formation of the Project P.E.A.C.E. joint powers organization to provide domestic intervention services for the calendar year 1993. • Member introduced the following resolution and moved its adoption: RESOLUTION NO. RESOLUTION APPROVING AMENDMENTS TO THE PROJECT P.E.A.C.E. JOINT POWERS AGREEMENT, ITS PROPOSED BUDGET, AND ITS CONTRACT FOR DOMESTIC INTERVENTION SERVICES WHEREAS, the City of Brooklyn Center has had a domestic intervention program since 1981; and WHEREAS, the general purpose of the intervention program is to intervene in domestic assault cases, by providing information and advocacy for victims of domestic assault, and by advocating appropriate responses to assailants within the criminal justice and mental health systems; and WHEREAS, the police and city administration recommend continuance of the program and the City Council agrees with this recommendation; and WHEREAS, the city has determined the most cost effective means of providing this service is by entering a joint powers organization and contracting with a non - profit agency; and • WHEREAS, this resolution is passed contingent on the joint powers organization contracting services through North Hennepin Mediation Service, Inc. for Project P.E.A.C.E. through the remainder of the 1993 calendar Y ear; and WHEREAS, the City of Brooklyn Center's cost to participate in Project P.E.A.C.E. for the calendar year 1993 is $17,000. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Brooklyn Center that the Mayor and City Manager are hereby authorized to enter into a joint powers organization known as Project P.E.A.C.E. in order to provide services relating to domestic intervention. BE IT FURTHER RESOLVED that this resolution is contingent upon the joint powers organization contracting Project P.E.A.C.E. through North Hennepin Mediation Project for the remainder of the 1993 calendar year. Date Todd Paulson, Mayor • ATTEST: Deputy Clerk P Y The motion for the adoption of the foregoing resolution was duly seconded by member , and upon vote being taken thereon, the following voted in favor thereof: and the following voted against the same: whereupon said resolution was declared duly passed and adopted. PROPOSED 1993 BUDGET FOR PROJECT P.E.A.C.E. BROOKLYN CENTER, CHAMPLIN, MAPLE GROVE, ROBBINSDALE 2nd DRAFT 11/12/92 ITEM COST Coordinator's Salary 25,500.00 Coordinator's Health Insurance 1,200.00 Full -time Legal Advocate ($8 /hr, 40hr /wk) 15,360.00 FT Legal Advocate's Health Insurance 1,200.00 Parking & Mileage Reimbursements 3,000.00 Pagers (26 @ $108.50 /yr) 2,821.00 Memberships /Publications 1,000.00 Miscellaneous Office Supplies 1,000.00 Printing/Business Cards 1,000.00 Volunteer Appreciation 400.00 Risk Insurance 11800.00 SUBTOTAL 54,281.00 10% Contingency 5,428.10 TOTAL 59,709.10 [The City of Brooklyn Center provides the office space, utilities, phone usage, copying services, and postage for Project P.E.A.C.E. outside of their contribution to the above budget for 1993. The exact figures were not available at the time of this draft, but will be available by the end of November.] Page Two BREAKDOWN OF 1993 PROPOSED BUDGET PARKING AND MILEAGE $3,000.00 Mileage: Use of personal automobile by coordinator and legal advocates at a rate of $0.24 /mile. Parking: Costs for coordinator and legal advocates for parking in downtown Minneapolis when filing Orders For Protr,ction or attending civil and criminal court hearings. These costs range from $1.50 - $6.50, depending on available ramps. PAGERS $2,821.00 The pagers are used by the coordinator, legal advocates, and volunteer on -call advocates to be contacted by dispatchers. The number of pagers listed is an estimate which depends on the number of volunteer advocates we recruit. The price for each pager is $108.50 per year, including the insurance for lost or stolen pagers. PRINTING $1,000.00 Project brochures (3,000) to be given to interested parties by the coordinator, legal advocates, and on -call advocates. Resource cards which list victims' rights, crisis phone numbers, and other information as required by law (1,000). Business cards for the coordinator and advocates (2,000) Project letterhead (2,500 sheets) Second page for the letterhead (2,500 sheets) Project envelopes (2,500) MEMBERSHIPS AND PUBLICATIONS $1,000.00 We hold memberships in the few organizations which focus their work on domestic violence. They include the Minnesota Coalition for Battered Women, National Coalition Against Domestic Violence, and the National Battered Women's Law Project. Page Three The project also subscribes to magazines or periodicals which focus on issues pertaining to women and domesti.. violence. We gather the latest information and national /international statistics for distribution to the women and communitie_3 we serve. They include MS. Foundation News (grant information for non - profit organizations), COLORS and The Advocate Project P.E.A.C.E. also tries to provide resources for advocates to increase their knowledge of battered women's issues, new trends in advocacy, and general information on domestic violence. We attempt this in a number of ways, two of which are publications and conferences. There are always new publications coming out regarding domestic violence. While we don't buy every new publication, I do read through reviews and decriptions of all new materials and decide which ones would be of most help to our advocates and staff. Conferences are another way for staff and advocates to, not only receive new information, but also to network with other programs and advocates and compare problems and solutions. Not all of the staff and advocates go to all of the conferences. Once again, I receive announcements of conferences or trainings, see which ones would interest some of the advocates or staff, and, then, ask if anyone is interested in attending. Some conferences and trainings are mandatory. For example, the volunteer training put on by the state coalition for battered women's programs is mandatory for all of our new volunteer advocates and paid staff. Another_ example is that of the state coalition's annual meeting. I have made it mandatory that at least one person from our program attend, so that we can keep abreast of new issues, and, also, since we are a voting member of the coalition, to cast that vote. This year's annual meeting was held in St. Cloud and attended by Daneen, our full time legal advocate. Miscellaneous Office supplies $1000.00 Miscellaneous office supplies include copy or printing paper, pens, pencils, hanging folders, manila folders, envelopes, calendars, notebooks, batteries for pagers, etc. Volunteer Appreciation $ 400.00 This is an annual event in which the volunteers are recognized for their contribution to the operations and success of our program. The exact design of this event is decided by the volunteers themselves. Last year, the Crime Prevention Fund provided the funds for this item. Page Four Risk Insurance $1800.00 This is Project P.E.A.C.E.Is portion of the liability coverage held by Brooklyn Peacemaker Center, Inc. CITIESI, PERCENTAGE OF 1993 BUDGET Brooklyn Center 28.3% $16,897.68 Champlin 16.7% $ 9,971.42 Maple Grove 40.7% $24,301.60 Robbinsdale 14.3% $ 8,538.40 TOTAL FOR 1993 BUDGET $59,709.10 JOINT AND COOPERATIVE AGREEMENT FOR THE FORMATION OF THE PROJECT PEACE JOINT POWERS ORGANIZATION The parties to this agreement are governmental units of the State of Minnesota. This agreement is made and entered into pursuant to Minnesota Statutes 1990, Section 471.59. ARTICLE I. GENERAL PURPOSE The parties hereto have determined that it is in the best interest of their citizens to establish and maintain a joint and cooperative program to assist and counsel victims of domestic abuse, to which purpose they hereby enter this agreement. ARTICLE II. DEFINITIONS Section 1. For purposes of this agreement the terms defined in this Article have the meanings given them. Section 2. "Agreement" means this agreement. Section 3. "Board" means the board of directors created by Article IV. Section 4. "Director" means a director or alternate director appointed under Article IV of this Agreement. Section 5. "Governing body" means the city council of a member. Section 6. "Member" means a governmental unit which is a party to this Agreement and is in compliance with and in good standing under this Agreement. Section 7. "Project PEACE" or "Project PEACE Joint Powers Organization" means the organization established by this Agreement. CLL38255 BR291 -104 1 ARTICLE III. MEMBERSHIP Section 1. The members of Project PEACE are the cities of Brooklyn Center, Champlin, Maple Grove and Robbinsdale. ARTICLE IV. BOARD OF DIRECTORS Section 1. The governing body of Project PEACE is its board of directors. A member must appoint one director to the Board. A director has one vote. A member may appoint one alternate director. The alternate director may attend meetings of the Board and may vote in the absence of that member's director. Section 2. Directors are appointed by resolution of the governing body of a member. The appointing resolution must be filed with the secretary. The resolution must be accompanied by the director's address for purposes of notice. In the absence of specific action by a city council, that city's director will be its chief of police, and the alternate director will be the chief's designee. Section 3. The term of a director is one year. The terms of directors initially appointed expire on December 31, 1993. Directors serve until their respective successors are appointed and qualify. Section 4. A director may be removed from the Board at any time, with or without cause, by resolution of the governing body making the appointment. The resolution removing the Director must be filed with the secretary. Section 5. A vacancy on the Board is filled in the same manner that an appointment of a director is made. Section 6. Directors may not vote by proxy. Section 7. A director may not vote if the Board determines that the member represented by the Director is not in compliance with this Agreement or if the Director has been removed from the Board. CLL38255 BR291 -104 2 ARTICLE V. MEETINGS Section 1. The directors of the initial members must conduct an organizational meeting no later than 30 days after January 1, 1993, which is the effective date of this agreement. At the organizational meeting, or as soon thereafter as is reasonably possible, the Board must elect its officers and adopt such by -laws and other procedures governing the conduct of its meetings and its business as it deems appropriate. Section 2. The Board must conduct an annual meeting at a date and place specified in its by -laws to elect officers and to undertake such other business as may properly come before it. The Board may provide for a schedule of regular meetings. A regular meeting must be held once in each calendar quarter in the year 1993 and thereafter as provided by the by-laws. Section 3. A special meeting of the Board may be called by the chair or by the secretary upon written request of such number of Directors as is specified by the by-laws. Notice of a special meeting must be mailed to Directors at least five days prior to the special meeting and in accordance with law. Business at special meetings is limited to matters contained in the notice of the special meeting. ARTICLE VI. OFFICERS: COMMITTEES Section 1. The officers of the Board are a chair, vice chair and secretary elected for a term of one year by the directors at the organizational meeting and at the annual meeting. The Board may designate directors to act as officers in the absence of an officer. Section 2. The chair presides at meetings of the Board. The secretary is responsible for records of proceedings of the Board and such other matters as may be delegated to the secretary by the Board. CLL38255 BR291 -104 3 Section 3. The Board may in its by -laws provide for and define the duties of such other officers as it determines necessary from time -to -time. Section 4. The Board may in its by -laws provide for such committees as it determines necessary from time -to -time. A by -law providing for an executive committee and defining the powers and duties of an executive committee may be adopted only by a favorable vote of all members of the Board. ARTICLE VII. POWERS AND DUTIES Section 1. The Board may take such actions as it deems necessary and convenient to accomplish the general purposes of this Agreement. Section 2. The Board may: a. provide for the prosecution, defense, or other participation in proceedings at law or in equity in which it may have an interest; b. purchase, hold or dispose of real or personal property; C. contract for personal or professional services with a member or group of members or private parties provided such contracts are approved by the councils of all members. ARTICLE VIII. FINANCIAL MATTERS Section 1. The fiscal year of Project PEACE is the calendar year. Section 2. The Board must adopt an annual budget prior to July 1 of each year. The Board must give each member a reasonable opportunity to comment or object to the proposed budget before adoption. Notice of the adopted budget must be mailed promptly thereafter to the chief administrative officer of each member. The budget is deemed approved by each member unless, prior to August 1 of that year a member gives written notice to the secretary that the member is withdrawing at the end of the year as provided in this Agreement. In the event of withdrawal of CLL38255 BR291 -104 4 a party the Board shall adopt an amended budget, including allocation of costs among the remaining parties, by September 1. Any remaining party may withdraw by giving notice to the secretary by September 15. Section 3. Operational and capital costs are to be shared according to methods agreed upon by unanimous vote of the Board. Costs for calendar year 1993 shall be shared in the following percentages: Brooklyn Center 28.30, Champlin 16.7 %, Maple Grove 40.7%, and Robbinsdale 14.3%. Allocation of costs shall be determined and agreed upon each year thereafter at the time of, and in conjunction with, approval of the budget. Section 4. Billings to members are due and payable no later than 30 days after mailing. In the event of a dispute as to the amount of a billing, a member must nevertheless make payment as billed to preserve membership status. The member may make payment subject to its right to dispute the bill and exercise any remedies available to it. Failure to pay a billing within 60 days results in suspension of voting privileges of the member's director. Failure to pay a billing within 120 days is ground for termination of membership but Project PEACE rights to the obligation represented by the billing are not affected by termination of membership. Section 5. Purchases and contracts within the budget on behalf of Project PEACE may be made by any of the parties upon the unanimous authorization of the Board. Section 6. Members shall provide additional support such as space, equipment, administration or secretarial support, utilities and supplies as determined by unanimous vote of the Board. ARTICLE IX. WITHDRAWAL Section 1. A member may withdraw from Project PEACE by giving notice of withdrawal within the time specified in Article VII, Section 2, by giving written CLL38255 BR291 -104 5 notice to the secretary. The notice shall be accompanied by a certified copy of a resolution adopted by the governing body of that member authorizing its withdrawal from membership. The withdrawal is effective at the end of the calendar year in which notice is given. Section 2. The withdrawal of a member does not affect that member's obligation to pay fees, charges or contractual charges for which it is obligated under this Agreement. ARTICLE X. DISSOLUTION Section 1. Project PEACE shall be dissolved only upon the adoption of resolutions calling for dissolution by all remaining members or the effective date of withdrawal leaving fewer than two remaining members . Section 2. In the event of a dissolution, the Board must determine the measures necessary to effect the dissolution and must provide for the taking of such measures as promptly as circumstances permit, subject to the provisions of this Agreement and law. Section 3. In the event of dissolution and following the payment of all outstanding obligations, assets of Project PEACE will be distributed among the then existing members in pro -rata shares. If those obligations exceed the assets of Project PEACE, the net deficit will be charged to and paid by the members in proportion to its contributions during the year in which dissolution occurs. Property loaned or made available to Project PEACE by one of the parties on the condition that that party has a right to recall such property, shall be returned to such party. CLL38255 ER291 -104 6 ARTICLE XI. EFFECTIVE DATE; DURATION This Agreement continues in effect indefinitely unless terminated in accordance with its terms. This Agreement is effective on the day that executed copies of this Agreement accompanied by the member resolution authorizing its execution is filed by the members with the City Clerk of the City of Brooklyn Center. IN WITNESS WHEREOF, the undersigned governmental unit has caused this Agreement to be executed by its duly authorized officers and delivered on its behalf . CITY OF BROOKLYN CENTER By Its Mayor By Its Manager CITY OF CHAMPLIN By Its Mayor By Its City Administrator CITY OF MAPLE GROVE By Its Mayor By Its City Administrator CLL38255 BR291 -104 7 CITY OF ROBBINSDALE By Its Mayor By Its Manager Received and filed by the City of Brooklyn Center this day of 199_. CLL38255 BB291 -104 8 4rome Free 3405 East Medicine Lake Blvd. Business Telephone Crisis Telephone Plymouth, Minnesota 55441 (612) 559 -9008 (612) 559 -4945 TDD February 3, 1993 Todd Paulson, Mayor & Councilmembers City of Brooklyn Center 6301 Shingle Creek Parkway Brooklyn Center, Minnesota 55430 Dear Mayor Paulson and Councilmembers: We appreciate this opportunity to respond to your request for information on Home Free's Domestic Assault Intervention Project. Working with common purpose, city councils, police departments, prosecutors, advocates and concerned citizens can and do make a significant difference in addressing violence in their community. Essential to the the development of a domestic assault intervention project is the involvement and cooperation of the community. Since the timeline provided to us does not allow for discussion with those agencies and individuals critical to the successful development of an intervention project, we would simply like to provide you with information by which you might compare the proposal before you and Home Free's Domestic Assault Intervention Project. Our primary focus is the provision of services to battered women and their families in the northwestern suburbs of Hennepin Coarity. Since 1980 Home Free has provided shelter, advocacy and other support services to thousands of battered women and their families including intervention project services in several municipalities beginning in 1984. Home Free's Domestic Assault Intervention Project is modeled after the nationally acclaimed Domestic Assault Intervention Project initiated in Duluth, as are other intervention projects in Minnesota including the Brooklyn Center project at its inception. Consequently, the services sought by Brooklyn Center and enumerated in the document provided to us, "Domestic Abuse Intervention Project -March 1992," are fully provided by Home Free's Intervention Project. By virtue of its base as a shelter of A Shelter For Battered Women And Their Children Brooklyn Center February 3, 1993 Intervention Project Page Two for battered women, Home Free is also able to provide other important services, City including priority emergency housing for battered women and their children who are served by the Intervention Project and a crisis intervention telephone service staffed twenty -four hours a day by trained advocates. Home Free's Intervention Project is funded equally by each of the four participating municipalities of Plymouth, Crystal, New Hope and Golden Valley at a cost of $23,600 to each city. In addition, to sustain the level of service required, Home Free has independently raised an additional $30,000 in ongoing funding for the Project. Recently Horne Free has initiated meetings with city m.u and police chiefs from each Of the four communities to review current funding and determine if any other funding distribution is more desirable. Intervention Project costs have remained constant for participating cities, with increases of less than normal inflation over the course of the past eight years. However, the significant difference between Home Free's DAIP and the Peacemaker /Joint Powers Agreement proposal currently before you lies in the organizational structure of the projects. This distinction is not only a management issue, but also impacts the nature and quality of the services provided by the project. The organizational structure of the Peacemaker /Joint Powers Agreement proposal is unique to intervention projects in Minnesota, in that it proposes management by a nonprofit provider without experience in battered women's programming and invests primary oversight of the project in police department representatives from the participating municipalities. Our experience in nine years of working cooperatively with law enforcement and criminal justice systems has demonstrated the necessity for program autonomy. A primary component of the Intervention Project model is the function of monitoring the response of systems to domestic assault, including monitoring of the criminal justice system, from arrest to post- sentencing, and advocating for changes in policy and /or practice as warranted. We believe the proposed structure inhibits the free flow of discussion and negotiation between an advocacy program and the criminal justice system, which is needed to City of Brooklyn Center February 3, 1993 Intervention Project Page Three effectively deal with the natural differences in viewpoint and the conflicts that arise in this work. The Peacemaker /Joint Powers Agreement proposed organizational structure reflects neither the organizational experience nor the program autonomy so important to the success of this service model. The Home Free Intervention Project and Project Peace have established a good working relationship and we support and applaud the hard work and dedication of the women providing services in Brooklyn Center. We feel compelled, however, to point out the significant structural differences and the inevitable impact of that structure on services for battered women and their families, not only in Brooklyn Center, but in the other cities participating in the proposed Joint Powers Agreement. If you have any questions or would like to discuss this further, we would welcome the opportunity to meet with you. Sincerely, T Imo( Patricia J. Murphy Executive Director o r i aY N CF�y BROOKLYN - CENTER POLICE POLICE DEPARTMENT MEMORANDUM TO: Trevor Hampton, Chief of Police FROM: Joel Downer, Captain DATE: February 3, 1993 SUBJECT:, Domestic Abuse Intervention Project I contacted Hennepin and Home Free to determine the type of services offered to victims of domestic abuse. Hennepin County: I contacted Jennifer in the domestic abuse unit at 348 -5073. The services offered are volunteers who staff the office Monday through Friday, 8 :00 to 4:30, and assist victims in obtaining orders for protection. They also act as a referral service in obtaining further assistance for victims of domestic abuse. Hennepin County does not directly provide support groups, advocacy, home visits, transportation, nor any other direct assistance. Hennepin County refers those in need of those services to local programs such as Project P.E.A.C.E. or Home Free. Home Free: I contacted Nancy Senn of Home Free on January 20, 1993, and asked that Home Free submit a proposal for the delivery of domestic abuse intervention services for the calendar year 1993. I faxed specific information to Nancy Senn at the conclusion of our phone call. I sent a letter dated January 25, 1993, to Ms. Pat Murphy of Home Free. Enclosed with the letter was a packet of statistical information to assist Home Free in the formulation of their proposal. I requested that the proposal be delivered to the Brooklyn Center Police Department prior to 4 p.m. February 3, 1993, so that it may be considered at the February 8, 1993, council meeting. I also met with Pat Murphy, Nancy Senn and other representatives of Home Free on February 1, 1993, to discuss the specifics of a proposal. Pat Murphy stated that they would need much more time to develop a proposal in order to accurately assess costs to the city of Brooklyn Center. No proposal has been submitted by Home Free. Memorandum to Trevor Chief of Police Page 2 February 3, 1993 There are no other viable domestic abuse intervention programs that are interested in providing service to Brooklyn Center. The joint powers organization (Project P.E.A.C.E.) is set to begin operation upon approval of the Brooklyn Center City Council. CITY OF BROOKLYN CENTER council Meeting Date 2/8/93 Agenda Item Number // REQUEST FOR COUNCIL CONSIDERATION ITEM DESCRIPTION: LICENSES DEPT. APPROVAL: Sharon Knutson, Deputy City Clerk MANAGER'S REVIEW/RECOMMENDATION: ; No comments to supplement this report Comments below /attached SUMMARY EXPLANATION: (supplemental sheets attached ) . Attached is the list of licenses to be approved by the city council. RECOMMENDED CITY COUNCIL ACTION Approve licenses. Licenses to be approved b the City Council on February 8, 1993: / Y tY rY BOWLING ALLEY Qa Lynbrook Bowl 6357 N. Lilac Drive �J City Clerk WC GASOLINE SERVICE STATION Brooklyn Center Municipal Garage 6844 Shingle Ck. Pkwy. The Howe Company 4821 Xerxes Ave. N. Metropolitan Transit Commission 6845 Shingle Ck. Pkwy. United States Post Office 6848 Lee Ave. N. Wes' Amoco 6044 Brooklyn Blvd. Bill West's Service Center 2000 57th Ave. N. City Clerk RENTAL DWELLINGS Renewal: Willow Lane Realty Willow Lane Apts. LuAnn Polve 6000 Abbott Ave. N. Earl J. Backer 7018 Brooklyn Blvd. Terry Hartmann 6804 Fremont Pl. N. Terry Hartmann 6809 Fremont Pl. N. Rickey Hartmann 6831 Fremont Pl. N. Richard Olson 5818 Humboldt Ave. N. Joe Sandino 3834 Oak Street Joseph Veidel 7104 Unity Ave. N. Fred Beier 5300 -04 Vincent Ave. N. Raymond /Betty Anderson 7113 Willow Lane N Robert /Patricia Bobleter 4807 Wingard Place Larry Pederson 5401 63rd Ave. N. Terry Hartmann 1323 67th Lane N. Curtis /Audrey Cady 1312 72nd Ave. N. _.._ Community Devel pment- Director TAXICAB Town Taxi 2500 Washington Ave. N. a # 122, # 144 _ �'✓ Chief of Police )0),.( TOBACCO RELATED PRODUCT Centerbrook Golf Course 5500 N. Lilac Drive Wes' Amoco 6044 Brooklyn Blvd. City Clerk GENERAL APPROVAL: Sharon Knutson, Deputy City Clerk