HomeMy WebLinkAbout1983-11-01; City Council; 7553; NCTD Draft of Board Policy and GuidelinesCI1 OF CARLSBAD - AGEND- SILL
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TITLE: NORTH COUNTY TRANSIT DISTRICT
DEPT. HD.
MTG. 11/1/83 -
DRAFT OF BOARD POLICY AND
CITY ATTYvr/8
DEPT. CC
GUIDELINES
CITY MGR
RECOMMENDED ACTION.
o
Council Member Kulchin requested that this item be
placed on
the agenda for information and discussion.
a
EXHIBITS:
1.- Board Policy and Guidelines drafted by General
Counsel,
NCTD dated October 20, 1983.
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NORTH COUNTY TRANSIT DISTRICT idi
NORTH SAN DIEGO COUNTY TRANSIT DEVELOPMENT BOARD
CONSENT CALENDAR
AGENDA ITEM F
October 20, 1983
TO: North San Diego County Transit Development Board Members
FROM: General Counsel
SUBJECT: BOARD POLICY AND GUIDELINES - DRAFT
STAFF'S RECOMMENDED ACTION: That the Board review the draft
rules, guidelines and resolutions
and provide General Counsel with
further direction, if necessary
BACKGROUND DATA:
The Board had requested General Counsel to draft guidelines concerning
appointments to the NCTD Board of Directors and avoiding incompatible
and inconsistent outside activities'by members of the Board.
Also attached are draft rules regulating inconsistent and incompatible
outside activities of officers and employees of the NCTD.
eQ
LAW OFFICES
D. DWIGHT WORDEN
A PROFESSIONAL CORPORATION
O. DWIGHT WOROEN 740 LOMAS SANTA FE DRIVE
TRACY R. RICHMOND SUITE 102
W. SCOTT WILLIAMS
JAMES H. ELLIS III SOLANA BEACH, CALIFORNIA 92075
MEMORANDUM
TO: BOARD OF DIRECTORS
FROM: D. WORDEN, DISTRICT COUNSEL
DATE: OCTOBER 14, 1983
AREA CODE 819
TELEPHONE 755-9604 . 459.7979
SUBJECT: POLICIES ON INCOMPATIBLE OUTSIDE ACTIVITIES OF OFFICERS,
EMPLOYEES AND BOARD MEMBERS, APPOINTMENTS TO THE BOARD
AND RELATED MATTERS
Pursuant to the request of the Board, my office has been
developing draft policies for consideration by your Board relating
to incompatible outside activities of Board members, officers of
the District, and District employees as well as policies on Board
appointments. Attached hereto are DRAFTS of the following
documents for your consideration:
1. RESOLUT:,',� OF THE BOARD OF DIRECTORS OF THE NORTH
COUNTY TRANSIT PIa1R::. DEVELOPMENT BOARD ESTABLISHING POLICY
GUIDELINES FOR APPOINTkE .'S,TO THE NCTD BOARD OF DIRECTORS AND FOR
OUTSIDE ACTIVITIES OF BOARD MEMBERS;
2. GUIDELINES FOR APPOINTMENTS TO THE NORTH COUNTY
TRANSIT DISTRICT DEVELOPMENT BOARD;
3. GUIDELINES FOR AVOIDING INCOMPATIBLE OR INCONSISTENT
OUTSIDE ACTIVITIES BY MEMBERS OF THE BOARD OF DIRECTORS OF THE
NORTH COUNTY TRANSIT DISTRICT;
4. RESOLUTION OF THE BOARD OF DIRECTORS OF THE NORTH
COUNTY TRANSIT DISTRICT ADOPTING RULES REGULATING INCONSISTENT AND
INCOMPATIBLE OUTSIDE ACTIVITIES AND ENTERPRISES OF OFFICERS AND
EMPLOYEES OF NCTD;
5. RULES REGULATING INCONSISTENT AND INCOMPATIBLE
OUTSIDE ACTIVITIES AND ENTERPRISES OF OFFICERS AND EMPLOYEES OF
NCTD.
The following is a brief summary of each document,
explaining its purpose and identifying some of the policy
considerations which your Board should consider in reviewing the
document. It should be emphasized that these documents are drafts
�l
MEMO TO NCTD BOARD OF DIRECTORS
Page 2
October 14, 1983
only, subject to review and revision by your Board as you deem
appropriate. They are intended to form the basis for discussion
only.
Documents 1 and 2
RESOLUTION OF THE BOARD OF DIRECTORS OF THE NORTH COUNTY
TRANSIT DISTRICT DEVELOPMENT BOARD ESTABLISHING POLICY GUIDELINES
FOR APPOINTMENTS TO THE NCTD BOARD OF DIRECTORS AND FOR OUTSIDE
ACTIVITIES OF BOARD MEMBERS;
GUIDELINES FOR APPOINTMENTS TO THE NORTH COUNTY TRANSIT
DISTRICT DEVELOPMENT BOARD;
a) Purpose. The purpose of this resolution and the
attached Guidelines is to deal with the Board's expressed concern
that there be some uniformity in the appointment procedure used by
the seven agencies appointing members to the Board. The draft
resolution and guidelines recognize that by law each respective
appointing agency has ultimate discretion in selecting its
representative and that any guidelines adopted by the Board are
advisory only. The thrust of the proposed advisory guidelines is
to establish basic criteria to provide guidance to the appointing
agencies and to their representatives for avoiding conflicts of
interest.
b) Major PolicX Questions. The following are some of
the policy questions which the Board should consider in reviewing
the draft resolution and accompanying guidelines.
i. Should the Board undertake to adopt such
advisory guidelines at all, or leave these matters to the
discretion of each appointing agency?
ii. Should the Board circulate any draft guidelines
to the seven appointing agencies for their review and comment
prior to adoption?
iii. The guidelines attempt to preclude certain
activities by Board members sitting as Board members and for six
months after they leave office. Is the six month restriction too
long or too short?
iv. Under the guidelines, Items 2(a) through (d),
are there substantive areas which have not been covered, or areas
which should be eliminated?
J1 1
MEMO TO NCTD BOARD OF DIRECTORS
Page 3
October 14, 1983
Document 3
GUIDELINES FOR OUTSIDE ACTIVITIES OF BOARD MEMBERS
a) Purpose. In contrast to the guidelines regulating
outside activities of district officers (i.e. management
personnel) and employees (Document 5) which have the force of law,
the District cannot adopt legally binding guidelines for Board
members. Therefore, a separate draft set of advisory guidelines
has been prepared for outside activities of Board members. The
purpose is to provide guidance to appointing agencies and to
individual members of the Board as to what outside activities
should be avoided.
b) Major Policy Questions. The following are some of
the major policy issues raised by these guidelines.
i. Should the Board attempt to adopt guidelines
regulating outside activities of Board members at all, or should
the matter be left to the discretion of the individual Board
member and his or her appointing authority?
ii. In the guidelines, No. 2(a) through (d), are
there substantive areas which have not been covered, or areas
which should be eliminated?
Documents 4 and 5 Resolution and Rules
a) Purpose. The purpose of this Resolution and the
attached rules is to provide guidance, in advance, to District
Officers (management personnel) and employees of those outside
activities in which they may not engage. Government Code §1126
specifically authorizes the District Board to adopt such rules and
regulations, and in contrast to regulations for Board members,
these regulations do have the force and effect of law. The
overall purpose is to insure that District Officers and employes
devote undivided loyalty and attention to District business and do
not engage in outside employment or other activity which
interferes with their District work or which conflict with their
duties.
b) Major Policy Questions. The following are some of
the major policy issues raised by these guidelines.
i. Section - of the rules establishes a general
rule applicable to all covered District Officers and employees
prohibiting certain outsir?e activities. The criteria specified
are very similar to the language used in Government Code §1126.
Is the Board comfortable with the provision of this general rule?
r-�
MEMO TO rICTD BOARD OF DIRECTORS
Page 4
October 14, 1983
ii. Section 4 is designed to establish a procedure
so that officers and employees may determine in advance whether or
not a particular outside activity complies with the general rule.
The draft of Section 4 requiresV that a Request for Determination
be submitted to and ruled upon by the Department Manager with a
right of appeal to the General Manager. Does the Board feel this
is an appropriate process? Should all determinations be made by
the General Manager? Should they come directly to the Board?
NOTE: An existing policy on this topic was adopted by Resolution
of the Board in 1978.
iii. The proposed rules do not provide any specific
penalty for violation. Should there be a penalty provided, and if
so, what should it be?
iv. Section 7 of the draft rules places the
responsibility on each individual employee or officer to insure
compliance with the rules. Should some person in management also
be assigned the responsibility for enforcing the rules?
V. A Comment: Since these rules do have the force
of law and could result in disciplinary action for violation, I
would strongly recommend that they be reviewed by the District's
Labor Counsel. And, the drafts should be provided to the
District's Officers, employees and employee organizations for
their review and comment prior to any final action.
RECOMMENDED ACTION
It is recommended that Board members review each of the
attached documents and give direction to staff for further action
as the Board may deem appropriate. None of the items is proposed
for specific action at your meeting of October 20, 1983.
Res submitted, Z
0 -
" D'.
D. Dwight Worden
District Counsel
DDW/dth
Attachments
ORRESOLUTION NO. AFT
A RESOLUTION OF THE BOARD OF DIRECTORS OF THE
NORTH COUNTY TRANSIT DISTRICT DEVELOPMENT
BOARD ESTABLISHING POLICY GUIDELINES FOR
APPOINTMENTS TO THE NCTD BOARD OF DIRECTORS
AND FOR OUTSIDE ACTIVITIES OF BOARD MEMBERS
WHEREAS, the membership of the Board of Directors of the
North County Transit District Development Board is by statute
comprised of a representative of each of the cities of Oceanside,
Carslbad, San Marcos, Escondido, Vista, Del Mar, and the County of
San Diego; and
WHEREAS, the selection by each of said seven agencies of
its representative to the Board of NCTD is a matter delegated by
statute to the discretion of the respective agency; and
WHEREAS, it is important to the maintenance of public
confidence in the District and to efficiency and cost effective
operations that incompatible outside activities of Board members
and the appearance of conflict of interest be avoided whenever
possible; and
WHEREAS, it is the intent of the NCTD Board of Directors
in adopting this policy to provide guidelines to each of the seven
appointing agencies for use in selecting their appointee to the
Board, and to provide guidelines to members of the Board regarding
incompatible outside activities.
NOW, THEREFORE, the Board of Directors of the North
County Transit District does hereby resolve as follows:
1. The attached GUIDELIN—S FOR APPOINTMENT TO THE NORTH
COUNTY TRANSIT DISTRICT DEVELOPMENT BOARD are hereby adopted.
2. The attached GUIDELINES FOR AVOIDING INCOMPATIBLE OR
INCONSISTENT OUTSIDE ACTIVITIES BY MEMBERS OF THE BOARD OF
DIRECTORS OF THE NORTH COUNTY TRANSIT DISTRICT are hereby adopted.
3., The District secretary is directed to send copies of
each of the above to each of the seven appointing agencies and to
each member of the Board of Directors.
PASSED AND ADOPTED this day of ,
1983, by the following vote:
AYES:
NOES: 1)RA.&T
ABSENT:
ABSTAIN:
ATTEST:
Secretary
- 2
GUIDELINES FOR APPOINTMENTS �
TO THE NORTH COUNTY TRANSIT DISTRICT DEVELOPMENT BOARD
1. Purpose. It is the purpose of these Guidelines to
promote a uniform appointment procedure for each of the seven
agencies which, by law, are entitled to representation on the
North County Transit District Development Board so as to avoid
appointments which might result in a conflict or interest, or the
appearance of conflict of interest.
2.. Guidelines for Appointment. It is recommended that
each appointing agency adhere to the following Guidelines in
selecting its representative to the NCTD Board:
a) No person shall be appointed who is, or has been
within the immediately preceding year, an officer or employee of
NCTD.
b) No person shall be appointed who is, or has been
within the immediately preceding year, an officer or employee of
any public or private transit agency doing business in the San
Diego region at the time of appointment or at any time within the
immediately preceding one year.
c) No person shall be appointed who is, or has been
within the immediately preceding one year, a contractor for or
consultant to NCTD on other than an occasional basis.
d) No person shall be appointed who is, or has been
within the immediately preceding one year, an employee receiving
his or her primary support from a member of the Board of Directors
or an officer or employee of NCTD.
-1-
F-7
3. Effect of Guidelines. These Guidelines are advisory
only. The ultimate decision on selection of any given appointee
to the NCTD Board is committed by statute to the sound discretion
of the appointing agency. These Guidelines have been adopted by
the NCTD Board, however, and the Board believes that compliance
with the Guidelines is important as a matter of policy to
promotion of public confidence in the District.
4. Amendment. These Guidelines may be amended at any
time by majority vote of the Board of NCTD.
_ 2_
F,
i
R444p*f
GUIDELINES FOR AVOIDING
INCOMPATIBLE OR INCONSISTENT OUTSIDE ACTIVITIES
BY MEMBERS OF THE BOARD OF DIRECTORS
OF THE NORTH COUNTY TRANSIT DISTRICT
1. Purpose. It is the purpose of these guidelines to
identify certain outside activities of Board members which might
result in conflict of interest, or the appearance of conflict, and
thereby to assist members of the Board in avoiding such conflicts
wherever possible.
2. Guidelines for Outside Activities.
a) Members of the Board of Directors should not apply
for employment with the District while sitting as members of the
Board or within six (6) months of leaving office.
b) No Board member should in his or her private
capacity seek to hire any District Officer o~, employee while
sitting as a Board member or within one year of leaving office.
c) Board members should not accept employment in the
private sector which would conflict or be inconsistent with the
duties and responsibilities of Board members while sitting :as
Board members or within six months of leaving office.
d) Board members should not engage iri activities or
enterprises outside of NCTD which are inconsistent or in conflict
with their duties and responsibilities as Board members while
sitting as Board members or within six months of leaving office.
3. Effect of Guidelines. These Guidelines are advisory
only. They do not have the force of law. However, they have been
adop'-.=�d by the Board of Directors of the North County Transit
District and approved by each of the appointing agencies. They
serve as the policy guidelines for the activities covered. They
are not intended to, and do not, serve as substitutes or
modifications to the conflict of interest rules of the Political
Reform Act, the District's conflict of interest code, or the
general law on conflicts of interest and incompatible activities.
4. Amendment. These Guidelines may be amended at any
time by majority vote of the Board of NCTD.
,. 4
-2-
�'-J 0
RESOLUTION NO.
A RESOLUTION F BOARD D UT O THE OF IRECTORS OF TEE
NORTH COUNTY TRANSIT DISTRICT DEVELOPMENT
BOARD ADOPTING RULES REGULATING INCONSISTENT
AND INCOMPATIBLE OUTSIDE ACTIVITIES AND
ENTERPRISES OF OFFICERS AND EMPLOYEES OF NCTD
WHEREAS, it is important to the integrity of the NORTH
COUNTY TRANSIT DISTRICT that the public have confidence that
officers and employees of the District will not engage in
activities inconsistent with their position with the District; and
WHEREAS, efficient and cost effective operation of the
District to the benefit of the public requires that no District
employee or officer engage in inconsistent or incompatible outside
activities which might interfere with his or her duties at the
District; and
WHEREAS, Government Code §1126 prohibits certain
officers and employees of the District from engaging in
inconsistent or incompatible outside activities and further
authorizes the District Board to adopt rules governing the
application of said provision of the Government Code; and
WHEREAS, it is the intent of the District Board in
adopting this Resolution to establish rules pursuant to Government
Code §1126 designating those outside activities in which 'Is-rict
officers and employees may not engage;
NOW, THEREFORE, the Board of Directors of the NORTH
COUNTY TRANSIT DISTRICT does hereby resolve as follows:
1. The attached RULES REGULATING INCONSISTENT AND
INCOMPATIBLE OUTSIDE ACTIVITIES AND ENTERPRISES OF OFFICERS AND
-1-
EMPLOYEES OF NCTD is hereby adopted pursuant to Government Code
91126.
PASSED AND ADOPTED THIS day of ,
1983, by the following vote:
AYES:
NOES:
ABSENT:
a
ABSTAIN:
ATTEST:
Secretary
-2- / i
—/c9—
RULES REGULATING, INCONSISTENT AND ` Yed,''"
INCOMPATIBLE OUTSIDE ACTIVITIES
AND ENTERPRISES OF OFFICERS AND EMPLOYEES OF NCTD
Section 1. Purpose. The purpose of these rules is to
promote the integrity and efficiency of NCTD operations by
precluding specified officers and employees from engaging in
incompatirle or inconsistent outside activities which conflict
with their job duties at NCTD. It is further the purpose of these
rules to define the types of outside activities which are
precluded and to establish an administrative procedure for
determining compliance with these rules in specific cases before a
potentially inconsistent or incompatible outside activity is
undertaken.
Section 2. Definitions. For purposes of these Rules,
the following words and phrases shall have the following meaning:
a) "District Officer" shall mean any individual
employed by the District on a permanent full time salaried basis
whether management or otherwise, who is vested with the authority
to exercise any of the sovereign power of the District, "District
Officer" shall include the positions of General Manager, Staff
Director and Department Manager, but shall not include members of
the Board of Directors or independent contractors and consultants
to the District, including, but not limited to, the District's
General Counsel, the District's Labor Counsel and the District
Auditor.
b) "District Employee" shall mean any permanent full
time salaried employee of the District who does not qualify as a
District Officer. "District Employee" shall not include part-time
or temporary employees.
Section_3. Desi,gnation_of_Prohibited _outside
Activities.
a) General Rule. No District Officer or District
Employee shall engage in any outside employment, activity, or
enterprise if it:
(i) involves the use for private gain or advantage of
District time, facilities, equipment and supplies, or the badge,
uniform, prestige or influence of the District;
(ii) involves receipt or acceptance by the officer or
employee of any money or any consideration from any person or
entity other than the District for the performance of an act which
the officer or employee, if not performing such act, would be
required or expected to render in the regular course or hours of
his or her employment by the District or as a part of his or her
duties as a District officer or employee;
(iii) involves the performance of an act in other than
his or her capacity as a District officer or employee which act
may later be subject directly or indirectly to the control,
inspection, review, audit, or enforcement of any other officer or
employee or the NCTD Board of Directors; or
(iv) involves such time demands as would render
performance of his or her duties at the District less efficient.
Section 4. Procedure for Advance Determination of
Compliance with these Rules in specific Cases.
-2
F-%i
a) Request for Determination. Any District employee
wishing to engage in an outside employment, activity or enterprise
may request that a determination be made as to whether or not said
employment, activity or enterprise is consistent with the terms of
these rules. Such a request shall be submitted, in writing, on
the form provided by the District to the appropriate Department
Manager prior to undertaking the outside activity. Within twenty
(20) days of receipt of such a request, the Department Manager
shall determine, in writing, whether or not the proposed outside
employment, activity or enterprise is consistent or inconsistent
with the terms of these Rules and shall so notify the employee of
the determination. If the requesting employee is dissatisfied
with the determination of the Department Manager, he or she may
appeal, in writing, to the General Manager within ten (10) days of
receipt of the determination of the Department manager. The
determination of the General Manager shall be final.
r
In the case of District offices other than the General
Manager, the same procedure and time limits shall apply, except
that a request of the District Officer shall be submitted in the
first instance to the General Manager and there shall be no right
of appeal. In the case of the General Manager, the request for
determination shall be submitted directly to the Board of
,irectors, whose decision shall be final.
Section 5. Amendment. These Rules may be amended at
any time by majority vote of the Board of Directors of NCTD.
'Section 6. Effective Date. These Rules shall take
effect immediately upon their adoption by the Board of Directors
-3-
and shall remain in effect until amended or repealed by action of
the Board.
Section 7. Responsibility for Compliance. It shall be
the responsibility of each District officer and District Employee
engaging in any outside activity to ensure that these Rules are
complied with fully.
IMIC
F, /(,:,
NORTH COUNTY TRANSIT DISTRICT Ala( J�
NORTH SAN DIEGO COUNTY TRANSIT DEVELOPMENT BOARD
October 20 1983
TO: North San Diego County Transit Development Board Members
FROM: General Counsel
Agenda Item F, page F-4, makes note of an existing policy adopted by
Board Resolution concerning outside employment by District employees.
The existing policy reads as follows:
"Other Employment: No District employee shall be permitted to have outside
employment which is inconsistent with or incompatible with his/her District
employment. An employee who desired to have outside employment shall first
obtain written approval from his/her department manager and the Executive
Director."
NO I
I
FIGURE 10
LONG RANGE
TRANSIT ELEMENT
PHASING OPTION 1
as**& EXISTING LRT
1995 LRT
sees• 1995 HOV LANE*
2005 LRT 7
s ULTIMATE SYSTEM
CONVERTED TO LRT BY 2005
PRIORITY
® Feet
0 20,000 40,000
� 1 1
0 2 4 8
Miles
This map was produced by the
Jail I)tCgO
AS,OCt cHON Or
CiOVERXINIEN'TS
, N
FIGURE 11
LONG RANGE
TRANSIT ELEMENT
PHASING OPTION 2
40000 EXISTING LRT
- 1995 LRT
..... 1995 HOV LANE
2005 LRT
2005 HOV LANE
mama ULTIMATE SYSTEM
PRIORITY
Feet
9 20,1000 40,1000
0 2 4
Wes
,This map was produced by the
San Diego
A:SOCLATION OF
r SONTIMNIENTS
FIGURE 15
2005
FREEWAY AND
EXPRESSWAY
TRAFFIC VOLUMES
(Year 2005 Recommended Freeway and Expressway
System Average Daily Traffic in Thousands)
NETWORK CONGESTION.
MODERATE ( 1.1 - 1.3 V/C )
® HEAVY (1.3 + V/C )
*REFER TO VOLUME OVERCAPACITY I A LEVEL OF SERVICE
RELATIONSHIP USED TO MEASURE TRAFFIC CONGESTION I
/IM,
n Z 4 8
Mdes
This map was produced by the
Saar Ihec;o
ASSOCIATIO OF
GOVERNMENTS
TABLE 16
ALTERNATIVE 2: CONTINUATION OF EXISTING PROGRAMS
PROJECTED TRANSIT COSTS AND REVENUES
FY84-2005
(In Millions of 1983 Constant Dollars)
Operating Costs
Trolley
Bus/DAR
Total:
Operating Revenue
Fares
TDA
STA
UMTA Section 9
Local/Other
Total:
Operating Surplus (Deficit):
Capital Costs
Trolley Construction
Bus Replacement
Other Facilities
Total:
Capital Revenues
1
STA
TCI
UMTA Section 9
UMTA Section 3
Other
Private Sector
Total:
Capital Surplus (Deficit):
Total Surplus (Deficit):
1/4¢ Sales Tax Revenues:
Surplus (Deficit) with
1 - Sales Tax Revenues:
Total
FY84-88
FY89-95
FY96-2005
FY84-2005
36
159
460
655
312
506
766
2,584
348
665
1,226
2,239
130
265
511
906
153
276
489
918
15
38
54
107
40
53
75 '
168
5
7
10
22
343
639
1,139
2,121
(5)
(26)
(87)
(118)
136
296
321
753
35
38
65
138
52
25
40
117
223
359
42T
1,008
26
30
45
A ' 1
17
—
—
1'7
22
347
53
112
51
81128
260
11
—
—
11
25
4
5
34.
18
17
20
55
170
169
251
590
(53)
(190)
(175)
(418)
(58)
(216)
(262)
(536)
82
332
580
994
24
116
318
458
89 r, t
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