08-898Amended 8/27!08 Council File # 08-898
Green Sheet # 3058206
ORDINANCE
CITY OF SAINT PAUL, MINNESOTA ��
Presented by
2 An �rdinance Creating Chapter 18 Of the Saint Paul
3 Administrative Code Which Was
� Formerly Number Chapter 11.
5
6 THE COUNCTL OF THE CITY OF SAINT PAUL DOES ORDAIN:
8 Section
io Chapter 18 of the Saint Paul Administrative Code is hereby created to read as follows:
i�
12 Sec. 18.01. Statement of purpose.
13
14 The purpose of this chapter is to preserve the inte rity and independence of city council re ulatorv
i 5 function in franchise matters and t�romote public confidence in the objectivity of the council's decisions
16 Council members and employees should maintain high standards of conduct to prevent a conflict or the
17 apnearance of a conflict between private interests and official duties This chapter must be construed to
� 8 secure these objectives in keepin�_with the quasi-iudicial regulatory function of the counci] This chapter
l9 shall onlv be appiicable to a utility re�ulatorv case proceeding as defined hereunder
20
Z i Sec. 18.02. Definitions.
r ����.+SH�Q
zz �CT � 6 ?008
23 The followin�defnitions shall apply in the interpretation and enforcement of this cha�ter•
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25 Competitor means another provider of a service in direct competition with that of a partv and shall include
26 but not be ]imited to employees of the competin� utilitv its aeents attornevs and revresentatives
z7 authorized in writin� to represent its interests
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29 Decision-making personnel or decision-maker means and includes the mayor the actin mayor when
3o actin� on behalf of the mavor and each member of fhe council of the Ci� of Saint Paul
�t
32 Ex parte communication means an oral or written off-the-record communication made to decision-makin�
33 personnel without required notice to the parties that is directed to influence or attemnt tQ influence the
34 merits or outcome of a utilit r�re ug latory case. This term daes not include procedural scheduline and status
�5 inquiries or other inquiries or requests for information that have no bearing on the merits or outcome of the
�6 proceedi�
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at
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Material issue means an issue that may have substantial bearing on the merits or outcome of a utility
regulator case
Party means a person partnership association incorporation or entity by or apainst whom a oroceeding
before the council is commenced or a�erson permitted to intervene in a proceedine before the couneil A
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a3 party includes a petitioner comnetitor com�iainant intervenor applicant or respondent and their
44 attorn�s a ents or representatives authorized in writing to represent its interests It shall not include
�5 emplovees of the Citv of Saint Paul assigned to review and r�ort on utili re ulatory cases
46
a7 Pendencv of a utilitv reeulatQrv case shall mean that period of time commencine with the filine with the
as city clerk of notice of a new or amended rate schedule or other notice of any matter which when filed with
49 the citv clerk reguires a hearing upon notice before the council of the Citv of Saint Paul and ending upon
5o the passage and publication of a resolution or ordinance which purports to resolve the matters ar issues
5 i presented by Yhe QriQinal document filed or�on the completion or termination of amZ liti ag rion
52 challenging in whole or in part anv actions by decision-makingpersonnel in regard to a utilitv re uQ latory
53 case, whichever date is later.
s�
55 Required notice means a written communication delivered to the city clerk not less than three �3� days
sb prior to a meetine with any decision-making personne] the purpose of which is to discuss a materia] issue
57 The natice shall include the followine:
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59 � 1) Names of decision-makingpersonnei who will attend
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6 i (2) Name of the party and its representatives who will attend.
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63 (3) The time, date andplace of the meerin�
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65 (4) A list of al] materia] issues which will be discussed at the meeting
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67 The city clerk shal( mail this required notice to an�partv who has filed a request to receive such notices
68 with the city clerk. In the alternative, the decision-maker who will attend tbe meeting mav ca1] all
69 interested parties by telephona not less than twentv-four (24) hours priar to the meeting and provide the
�o required information.
�i
�2 Utilitv re�ulatary case means a case or �roceedin� for the resolution or conslderation by the decision-
73 makine personnel of a new or amended rate schedule ar of any matter whicl� is required by Cha�ter 16 of
74 the Charter or anv franchise �ranted thereunder to be heard by the council of the City of Saint Paul �on
�5 notice.
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77 Sec. 18.03. Ex narte communications nrohibited.
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An ex oarte communication, either directty or indirectiv shall not be made or attempted to be made
between a decision-maker and a oarty concerning any material issue during the pendency of a uti]ity
regulatorv ease.
Sec. 18.04. Other prohibited acts.
ss It shall be unlawful for a party to do any of the followin� during a utility reaulatory case•
s6
3� (a) Make an offer of emolovment to a decision-maker.
3s
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89 b) En �e in discussions with a decision-maket concemin� past or future benefits or compensation
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el Sec. 18.05. Handling ex parte communication.
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9� {a) Written communication When possible a decision-maker who receives a written prohibited ex oarte
94 communication or other prohibited act shall forward the communication without readine it to the city
95 cierk.
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97 A decision-maker who receives and reads a prohibited written ex parte communication or other prohibited
98 act shall forward the communication to the city clerk within fo -eigY�t 48) hours of receipt along with a
99 si ned statement of the source of and circumstances under which the communication was received and
i oo read.
ioi
I o? �b) Oral communication If a party makes or attem�ts to make aprohibited oral ex parte communication or
i o3 e�age in other prohibited act with a decision-maker the decision-maker shall advise the partv who makes
t o4 or attempts to mal:e the communication that the communication is prohibited and shal] immediatelX
� 05 terminate the communication If a prohibited ex parte commnnication or other prohibited act takes place
i o6 the decision-maker who receives the communieation shall forwasd to the citv clerk u�ithin forty�ht (48)
107 hours, a siQned and dated statement that includes the followin�information•
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(1 ZThe name of the case
(Z) To the extent known the name and address of the person makin�the communication and the
relationship, if anv, to the parties to the�roceeding.
(3) 7 he date and time of the communication, its duration and means by and eircixmstances under which it
was made.
� i 7(4) A summary of the matter discussed.
lls
I i 9(5) Whether the party makin� the prohibiYed communication persisted after being advised that the
I2o communication was prohibited.
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122 �c) NoCice toparties The city clerk shal] send a copy of the statement to all parties involved in the utility
i 23 reaulatorv case The city clerk shall also forward a copy of the statement to the Saint Paul Police
t za Department for investigation and appro�riate referral to�rosecutin2 authorities
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i�6 Sec. 18.06. Sanctions.
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i 28 Subject to notice and hearin� before the city council a party who makes a prohibited ex parte
t29 communication or enea�es in other prohibited acts or who encourages or solicits others to make an ex parte
i 3a communication to a decision-maker is subiect to any or all of the following sanctions�
f3t
32 (a) A dismissal of the proceedin if the prohibited ex parte communication or other prohibited act has so
33 prejudiced the proeeedine that the council cannot consider it impartiallv
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135 �An adverse ruling on the Pending issue that is the subject of the prohibited ex parte communication or
t 36 other prohibited act when other parties arepreiudiced by the prohibited ex parte communication or other
i3� prohibited act.
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139 (c) The strikine of evidence or pleadine when the evidence or pleadin s are tainted by the prohibited ex
1 ao parte communication or other prohibited act
�at
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Section 2
i�4 This Ordinance shall take effect and be in force thirty (30) days following its passage, approval and
�4> publication.
ia6
Adoption ied
By. _—.� �iL�
Date
�
Requested by Department of.
By:
Approved by the Office of Financial Services
By:
�����s��
i r � s 1��g
Appro by City Attorney
B r,�,,,, __� ` $- �8
Approved by Mayor for Submis�l
By:
By:
Adopted by Counci}; Date �(�—� Z�Q�
� Green Sheet Green Sheet Green Sheet Green Sheet Green Sheet Green Sheet �
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fleparSmenUofficelcouncil: Dateinitiated:
ca -�A�ro� ,�.A��B Green Sheet NO: 3058206
CoMaq person $ Phone:
John Choi
2668710
mus[ se on
20-AUG-08
Doa Type: ORDINANCE
E-Document Required: Y
Document Contact: Julie Kraus
ConWd Phone: 266-8776
� ueoartmeni aear ro Person
0 ' Attorn
Assign 1 " Attorne De artmentpirutor
Number 2 Attorne
For
Routing 3 a ar's Ofiice Ma or/Assista¢t
Order 4 ouncil
5 ' Clerk Ci Clerk
Sotaf # of Signature Pages _(Ciip All Locations for Signature)
Approval of t(xe attached ordinance crearing Chapter 18 of the Saint Paul Administrarive Code which was formerly Number Chapter
11.
Planning Comrtussion
CIB Committee
Civd Service Commission
1. Has this person/firm ever worked under a conhact for this department?
Yes No
2. Has this personffrtn ever been a city employee?
Yes No
3. Does this personffittn possess a skill not normally possessed by any
current ciry employee?
Yes No
Explain aN yes answers on separete sheet and attach to green sheet
Initiating Problem, Issues, Opportunity (Who, What, When, Where, Why):
Also, before City Council is an ordinance to create a new deparlment entitled Department of Human Rights and Equal Economic
Opportunity. The main goal of this new department is to improve intemal communication and coordination of conha.ct related
acrivities and to create a siugle point of accountabiliry. Moraover, all staff with contract related responsiblities wili operata under the
same leadership and mission and can approach [he'v work in a way that will lead to outcomes that meet the policy objectives of the
City's elected officials.
AdvanWges IfApproved:
Foc contract related acrivifies, thete wi11 be impioved intemat communicafion and coordinaflon as well as a single point of contact.
Employees in the new department will have the same leadership and mission.
DisadvanWges If Approved:
None.
Disadvantages If Not Approved:
Advantates listed above will not be teaiized.
Transaction:
Funding Source:
Financial lnformation:
(E�cplain)
CosURevenue Budgeted:
AcGVity Num6er:
August 13, 2008 10:10 AM Page 9
Council Fi1e #�-� _
GreenSheet# �OS $d0�
ORDINANCE
2
0
An Ordinance Creating Chapter 18 Of the Saint Paul
Administrative Code Which Was
Formerly Number Chapter 11.
Section 1
7 Chapter 18 of the Saint Paul Administrative Code is hereby created to read as follows:
8
9 Sec. 18.01. Statement of uurpose.
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Presented by
CITY OF SAINT
It1
The purpose of this chapter is to nreserve the inteeritv and independence of city council regulatory
function in franchise matters and to promote public confidence in the objectivitv of the council's decisions.
Council members and emplovees should maintain hi�h standards of conduct to prevent a conflict or the
appearance of a conflict between private interests and official duties. This chapter must be conshued to
secure these obiectives in keepine with the quasi-judicial reaulatory function of the counciL This chapter
shall only be applicable to a utilitv re�ulatorv case proceedin� as defined hereunder.
18 Sec.18.02. Definitions.
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The followin� definitions shall apply in the interpretation and enforcement of this cha�ter
Competitor means another provider of a setvice in direct competition with that of a�artv and shall include
but not be limited to emplovees of the comnetin�utility its a�ents attornevs and representatives
authorized in writing to represent its interests.
Decision-making personnel or decision-maker means and includes the mavar the acting mavor when
acting on behalf of the mavor, and each member of the council of the City of Saint Paul.
Ex parte communication means an oral or written off-the-record communication made to decision-makine
personnel without required notice to the parties that is directed to influence or attemnt to influence the
merits or outcome of a utility regulatorv case. This term does not include procedural schedulin� and status
inquiries or other inquiries or requests for information that have no beazing on the merits or outcome of the
proceeding,
Material issue means an issue that may have substantial bearin� on the merits or outcome of a util�
re ug latorv case.
P means aperson partnership association incorporation or entit by y or a�ainst whom aproceeding
before the council is commenced or aperson_permitted to intervene in a uroceeding before the council A
partv includes a petitioner comQetitor complainant intervenor applicant or respondent and their
attornevs, aQents or representatives authorized in writine to renresent its interests It shall not include
em l�oyees of the Citv of Saint Paul assigned to review and report on utili re latory cases
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Pendency of a urilit +�re�ulatory case shall mean that period of time commencinQ with the filing with the
city clerk of notice of a new or amended rate schedule or other notice of any matter which when filed with
the city clerk requires a hearine upon notice before the council of the Citv of Saint Paul and endine upon
the passage and publication of a resolution or ordinance whichptuports to resoive the matters or issues
presented bv the original document filed, or unon the completion or ternunation of anv liti�ation
challen �ig ng in whole or in part anv actions by decision-makingpersonnel in regard to a utility regulator_y
case whichever date is later.
R�e uired notice means a written communication delivered to the city clerk not less than three � days
prior to a meetin¢ with any decision-makine nersonnel, the purpose of which is to discuss a material issue
The notice shall include the followine;
(11 Names af decision-makingpersonnel who will attend.
(2) Name of the partv and its renresentatives who will attend.
j3) The time, date and olace of the meetin�
(4) A list of all material issues which will be discussed at the meeting,
The citv clerk shall mail this reguired nQtice to anypartv who has filed a request to receive such norices
with the citv clerk. In the alternative, the decision-maker who will attend the meetine may call all
interestedparties bv telephone not less than twentv-four 241 hours prior to the meeting and provide the
required information.
Utilitv re¢ulatorv case means a case or proceeding for the resolution or consideration by the decision-
makin� personnel of a new or amended rate schedule or of anv matter which is rea uired bv Chanter 16 of
the Charter or anv franchise �ranted thereunder to be heazd bv the council of the Citv of Saint Paul upon
notice.
Sec. 18.03. Ex uarte communications prohibited.
An ex narte communication, either directly or indirectly sha11 not be made or attempted to be made
between a decision-maker and a partv concemine anv material issue during the �endency of a utili�
re�ulatorv case.
Sec. 18.04. Other prohibited acts.
IL shall be unlawful for a party to do any of the following durin�a utility reaulatorv case•
(a) Make an offer of emolovment to a decision-maker.
(b) En¢a�e in discussions with a decision-maker concerning past or future benefits ar compensation
Sec. 18.05. HandlinE ex parte communication.
fi: :� �
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(a) Written communication. When_possible, a decision-maker who receives a written,prohibited ex �arte
communication or other prohibited act shall forwazd the communication, without reading it, to the city
clerk.
A decision-maker who receives and reads a prohibited written ex parte communication or otherprohibited
act shall fonuard the communication to the citv clerk within forty-ei�ht (48) hours of receipt, alon� with a
si�ned statement of the source of and circumstances under which the communicarion was received and
read.
Lb� Oral communication If a_partv makes or attempts to make a prohibited oral ex pazte communication or
engage in other urohibited act with a decision-maker the decision-maker shall advise the partv who makes
or attempts to make the communicarion that the communication isprohibited and shall immediately
terminate the communicataon If a prohibited ex varte communication or other nrohibited act takes place
the decision-maker who receives the communication shall forward to the city clerk within fortv-eight (481
hours, a signed and dated statement that includes the followin� information:
(1) The name ofthe case.
(2) To the extent known the nanie and address of theperson making the communication and the
relationship, if anv, to the parties to the proceeding
�31 The date and time of the communication, its duration and means by and circumstances under which it
was made.
(4) A summary of the matter discussed.
(5) Whether the Uart�makinQ the prohibited communication persisted after beine advised that the
communication was prohibited.
(c) Notice to parties. The citv clerk shall send a copy of the statement to all narties involved in the utility
re latory case. The citv clerk sha11 also forward a copy of the statement to the Saint Paul Police
Department for investiQation and appronriate referral to nrosecutinp authorities
Sec.18.06. Sanctions.
Subiect to notice and hearing befare the city council �arty who makes a prohibited ex parte
communication or enpages in other prohibited acts or who encourages or solicits others to make an ex�arte
communication to a decision-maker is subject to any or al1 of the followine sanctions•
(a) A dismissal of the proceeding if the prohibited ex parte communication or other prohibited act has so
preiudiced the nroceeding that the council cannot consider it imoartiall�
(b) An adverse rulin on the pendinQ issue that is the subject of the prohibited ex parte communication or
otherprohibited act when other roarties are prejudiced bv the prohibited ex parte communicarion or other
prohibited act.
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• . .
135
136 (cl The strikin� of evidence or pleadine when the evidence or pleadin�s are tainted bv the prohibited ex
137 parte communication or other prohibited act.
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139 Section 2
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141 This Ordinance shall take effect and be in force thirty (30) days following its passage, approval and
142 publication.
143
Yeas Nays Absent
Bostrom
Carter
Harris
Helgen
Lantry
Stark
Thune
Adopted by Council: Date
Adoption Certified by Council Secretary
By:
Approved by Mayor: Date
B
Requested ep tmem of: �. � �
B� C/L' �
����s
the Office of Financial Services
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