Loading...
HomeMy WebLinkAboutPACKET Town Board Study Session 2016-04-28Thursday, April 28, 2016 TOWN BOARD 4:00 p.m. – 6:00 p.m. STUDY SESSION Rooms 202/203 Revised 4/25/16 Agenda Review Policy Governance Administrator Lancaster Organization Chart ICMA Code of Ethics (Pertains only - Administrator & Asst. Administrator) Statutory/Legal Issues Attorney White Open Meetings Requirements Open Records Requirement Deliberative Work Product from Staff E-mail/Correspondence Amendment 41 Limitations Quasi-Judicial Role and Ex-Parte Communications Conflict of Interest – Recusal Meeting Procedure Administrator Lancaster Agenda Setting - Board Meetings - Study Sessions Liability and Risk – May 10th with Tami Tanoue, CIRSA Informal discussion among Trustees concerning agenda items or other Town matters may occur before this meeting at approximately 3:45 p.m. AGENDA – Board Orientation Policy Governance BriefingBoard Study SessionApril 28th, 2016Frank LancasterTown Administrator High Performance GovernmentGoverning Body and Staff in PartnershipJohn NalbandianUniversity of Kansas www.goodlocalgovernment.orgAttributes of the High Performance Governing BodyAddresses difficult policy problemsBuilds capacity to work effectively togetherDevelops productive relationship with staff www.goodlocalgovernment.orgObstacles• Conflicting values that drive policymaking• Conditions that make public policymaking difficult• Perspectives of elected officials and staff www.goodlocalgovernment.orgGoverning Body Working ConditionsVague Task DefinitionNo HierarchyNo SpecializationLittle FeedbackOpen Meetings www.goodlocalgovernment.orgValuesRESPONSIVENESS =– Representation +– Efficiency/Professionalism +– Social Equity +– Individual Rights www.goodlocalgovernment.orgAdopted Policies for Governance Reduces uncertaintyKnow policymaking roleGoals settingProblem solving techniquesDevelop norms of behaviorTeam buildingPartnership with staff www.goodlocalgovernment.orgAdministrator’s RoleTranslatepolitics and administrationAlign– Staff priorities with governing body goals– Governing body and staff expectations and contributions– Passion and data Policy Governancebased on the work of Dr. John CarverBoards That Make a Difference(Jossey-Bass, 1990) DefinitionsBoard – Any GoverningBoard, Commission, Council or CommitteeThis does not apply to advisory boards, working boards, or quasi-judicial boards.CEO – Chief Executive Official.Executive Director, Manager, President, Administrator, Director, etc OVERVIEWPolicy Governance, created by Dr. John Carver, is a groundbreaking model of governance designed to empower boards of directors to meet their obligation of accountability for the organizations they govern. The model enables the board to focus on the larger issues, to delegate with clarity, to control management's job without meddling, to rigorously evaluate the accomplishment of the organization; to truly lead their organization.www.miriamcarver.com What Policy Governance Is Not:Strategic Planning ModelFinancial Planning ModelManagement TechniqueGoal SettingObjective SettingCriticism of Past ActionsStructural ChangeA way to take power away from the Board. Policy Governance:Empowers the BoardMakes staff more accountableImproves the use of Board time.Improves the effectiveness of the Organization. What Others Have Said about Board Functionality. “Effective governance by a board of trustees is a relatively rare and unnatural act . . . . trustees are often little more than high-powered, well-intentioned people engaged in low-level activities” (Chait, Holland, and Taylor, 1996) What Others Have Said about Board Functionality“There is one thing all boards have in common . . . . They do not function” (Peter Drucker, 1974) What Others Have Said about Board Functionality“Ninety-five percent (of boards) are not fully doing what they are legally, morally, and ethically supposed to do” (Harold Geneen CEO IT&T, 1984) What Others Have Said about Board Functionality“Boards have been largely irrelevant throughout most of the twentieth century” (James Gillies, Economist, Member of Canadian House of Commons, 1992) What Others Have Said about Board FunctionalityBoards tend to be, in fact, incompetent groups of competent individuals (John Carver) Policy Governance is a Paradigm Shift on how to look at the role of a governing board 3 Basic Assumptions1. The Governing Body “Owns” the business.*May own on behalf of others*Board is NOT there to help staff*What do the owners need from the Board*ALL authority comes from the Board 3 Basic Assumptions2. The Board only has authority when acting as a group. 3 Basic Assumptions3. The Board’s Only official link to the organization is with the CEO.* Doesn’t mean board members can’t talk to other members of staff. *Instructions, evaluation, monitoring, are done ONLY with the CEO.*CEO performance is synonymous with Organizational performance.*The board is accountable for what the CEO’s job is and that the CEO does the job well. The CEO is not accountable for what the board’s job is and that the board do its job well. 1. The Governing Body “Owns” the business.2. The Board only has authority when acting as a group.3. The Board’s Only official link to the organization is with the CEO.3 Basic Assumptions Accountability in LeadershipRequires the Board to :be definite about its performance expectationsto assign these expectations clearlyto check to see that the expectations are being met Nested Bowl ConceptThe Board of Trustee’s official link to the operation of departments and staff is the Town Administrator Nested Bowl ConceptThe Board’s job is generally confined to establishing the broadest vision and policies. Implementation and subsidiary decision making is delegated to the Town Administrator Nested Bowl ConceptWith the exception of the Town Attorney and Municipal Judge, the Town Administrator shall have line authority over all Town Departments... Nested Bowl ConceptThe Town Administrator delegates authority for the management of the Utilities Department to the Director of Utilities. Concept Discussion Policy Governance - Making it WorkFour Categories•Governance Process•Board-Staff Linkages•Staff Limitations•Ends Governance Process Governance ProcessHow does the Board do its Job?How does the Board work together? Governance Process Topics•Who does the Board represent?•How will the Board maintain contact with “owners”?•What products does the board exist to produce?•What is the role of the Chair?•Code of Conduct•How is the agenda formulated?•What is the role of board committees? GoverningCategory 1. Governance ProcessPolicy 1.0 Governance CommitmentPolicy 1.1 Governing StylePolicy 1.2 Operating Principles Policy 1.3 Board Job Description Policy 1.4 Mayor’s ResponsibilityPolicy 1.5 Board Members' Code of Conduct Policy 1.6 Board Appointed Committee PrinciplesPolicy 1.7 Board Liaison RolesPolicy 1.8 Board Committee PrinciplesPolicy 1.9 Annual Planning And Agendas Code of Conduct Code of Conduct for the Estes Park Board of TrusteesThis Policy prescribes guidelines for behaviors of Town Trustees and appointed officials in the performance of their official duties and interaction with both the Public and Town Administration. Some ethical requirements are enforced by Federal, State or local laws. Others rely on training or on an individual’s desire to do the right thing. Governance Process Board/Staff Linkages Board/Staff LinkagesDelegation to the CEOCEO Job DescriptionMonitoring of CEO Performance Board/Staff LinkagesDelegation to the CEO•Defines scope of authority of CEO•Defines scope of activity of the Board•CEO can make all decision, take all actions, as long as they are consistent with any reasonable interpretation of the policies of the Board•Defines consequences and circumstances for stepping outside of this delegation Board/Staff LinkagesDefines consequences and circumstances for stepping outside of this delegationShould the Town Administrator deem it necessary to, or inadvertently, violate a Board policy, he or she shall promptly inform the Board of Trustees. Informing is simply to guarantee no violation may be intentionally kept from the Board, not to request approval. Board response, either approving or disapproving, does not exempt the Town Administrator from subsequent Board judgment of the action. Board/Staff LinkagesMonitoring PerformanceMonitoring CEO performance is synonymous with monitoring organizational performance against Board policies and Staff Limitations. Board/Staff LinkagesMonitoring PerformanceThe purpose of monitoring is simply to determine the degree to which Board policies are being met. Information which does not do this will not be considered to be monitoring. Monitoring will be as automatic as possible, using a minimum of Board time. Board/Staff LinkagesMonitoring PerformanceInternal Report - Disclosure of info from the CEOExternal Report - Discovery of info from disinterested 3rd party reporting directly to the Board.Direct Board Inspection   Board/Staff Linkages Staff Limitations ALLmeans are justified by the ends... Use any means necessary EXCEPT those articulated by the Board as unacceptable.STAFFLIMITATIONS Nested Staff LimitationsThe Town Administrator shall not cause or allow any practice that is unlawful, imprudent or unethical. Nested Staff LimitationsWith respect to the treatment of staff, the Town Administrator may not cause or allow conditions which are unsafe, unfair or undignified. Nested Staff LimitationsThe Town Administrator shall not operate without written personnel policies that clarify personnel rules for employees Staff Limitations•Encourages creativity and flexibility•Lets the experts do their job•Reduces miscommunication between staff and board. •Can be as loose or restrictive as the Board desires.•Creates clear performance standards.•Can be changed by the Board at any time. Staff Limitations Ends Decision MakingAB•Designation of Consumer Results. What Good?•Designation of Recipient. For Whom?•Designation of Worth of the Results. At What Cost?Everything Else•Methods and Practices•Technology•Conduct•Staffing•Programs Decision MakingAB•Designation of Consumer Results. What Good?•Designation of Recipient. For Whom?•Designation of Worth of the Results. At What Cost?Everything Else•Methods and Practices•Technology•Conduct•Staffing•Programs •Designation of Consumer Results. What Good?•Designation of Recipient. For Whom?•Designation of Worth of the Results. At What Cost? Ends Pulling it all together November 10, 2015 Organizational Plan CITIZENS MAYOR AND TRUSTEES Municipal Judge Town Attorney Utilities Police Finance Community Services Light &Power Water IT Planning Building Town Clerk HR Risk Management Engineering Parks Streets Facilities Fleet Asst. Town Administrator Public Information Town Administrator Community Development Administrative Services Public Works Cultural Services Museum Senior Services Fairgrounds and Events Visitor Services COPYRIGHT © 2015 BY THE INTERNATIONAL CITY/COUNTY MANAGEMENT ASSOCIATION. ALL RIGHTS RESERVED. ICMA Code of Ethics with Guidelines The ICMA Code of Ethics was adopted by the ICMA membership in 1924, and most recently amended by the membership in April 2015. The Guidelines for the Code were adopted by the ICMA Executive Board in 1972, and most recently revised in June 2015. The mission of ICMA is to create excellence in local governance by developing and fostering professional local government management worldwide. To further this mission, certain principles, as enforced by the Rules of Procedure, shall govern the conduct of every member of ICMA, who shall: Tenet 1. Be dedicated to the concepts of effective and democratic local government by responsible elected officials and believe that professional general management is essential to the achievement of this objective. Tenet 2. Affirm the dignity and worth of the services rendered by government and maintain a constructive, creative, and practical attitude toward local government affairs and a deep sense of social responsibility as a trusted public servant. GUIDELINE Advice to Officials of Other Local Governments. When members advise and respond to inquiries from elected or appointed officials of other local governments, they should inform the administrators of those communities. Tenet 3. Be dedicated to the highest ideals of honor and integrity in all public and personal relationships in order that the member may merit the respect and confidence of the elected officials, of other officials and employees, and of the public. GUIDELINES Public Confidence. Members should conduct themselves so as to maintain public confidence in their profession, their local government, and in their performance of the public trust. Impression of Influence. Members should conduct their official and personal affairs in such a manner as to give the clear impression that they cannot be improperly influenced in the performance of their official duties. Appointment Commitment. Members who accept an appointment to a position should not fail to report for that position. This does not preclude the possibility of a member considering several offers or seeking several positions at the same time, but once a bona fide offer of a position has been accepted, that commitment should be honored. Oral acceptance of an employment offer is considered binding unless the employer makes fundamental changes in terms of employment. Credentials. An application for employment or for ICMA’s Voluntary Credentialing Program should be complete and accurate as to all pertinent details of education, experience, and personal history. Members should recognize that both omissions and inaccuracies must be avoided. COPYRIGHT © 2015 BY THE INTERNATIONAL CITY/COUNTY MANAGEMENT ASSOCIATION. ALL RIGHTS RESERVED. Professional Respect. Members seeking a management position should show professional respect for persons formerly holding the position or for others who might be applying for the same position. Professional respect does not preclude honest differences of opinion; it does preclude attacking a person’s motives or integrity in order to be appointed to a position. Reporting Ethics Violations. When becoming aware of a possible violation of the ICMA Code of Ethics, members are encouraged to report the matter to ICMA. In reporting the matter, members may choose to go on record as the complainant or report the matter on a confidential basis. Confidentiality. Members should not discuss or divulge information with anyone about pending or completed ethics cases, except as specifically authorized by the Rules of Procedure for Enforcement of the Code of Ethics. Seeking Employment. Members should not seek employment for a position having an incumbent administrator who has not resigned or been officially informed that his or her services are to be terminated. Tenet 4. Recognize that the chief function of local government at all times is to serve the best interests of all of the people. GUIDELINE Length of Service. A minimum of two years generally is considered necessary in order to render a professional service to the local government. A short tenure should be the exception rather than a recurring experience. However, under special circumstances, it may be in the best interests of the local government and the member to separate in a shorter time. Examples of such circumstances would include refusal of the appointing authority to honor commitments concerning conditions of employment, a vote of no confidence in the member, or severe personal problems. It is the responsibility of an applicant for a position to ascertain conditions of employment. Inadequately determining terms of employment prior to arrival does not justify premature termination. Tenet 5. Submit policy proposals to elected officials; provide them with facts and advice on matters of policy as a basis for making decisions and setting community goals; and uphold and implement local government policies adopted by elected officials. GUIDELINE Conflicting Roles. Members who serve multiple roles – working as both city attorney and city manager for the same community, for example – should avoid participating in matters that create the appearance of a conflict of interest. They should disclose the potential conflict to the governing body so that other opinions may be solicited. Tenet 6. Recognize that elected representatives of the people are entitled to the credit for the establishment of local government policies; responsibility for policy execution rests with the members. COPYRIGHT © 2015 BY THE INTERNATIONAL CITY/COUNTY MANAGEMENT ASSOCIATION. ALL RIGHTS RESERVED. Tenet 7. Refrain from all political activities which undermine public confidence in professional administrators. Refrain from participation in the election of the members of the employing legislative body. GUIDELINES Elections of the Governing Body. Members should maintain a reputation for serving equally and impartially all members of the governing body of the local government they serve, regardless of party. To this end, they should not participate in an election campaign on behalf of or in opposition to candidates for the governing body. Elections of Elected Executives. Members shall not participate in the election campaign of any candidate for mayor or elected county executive. Running for Office. Members shall not run for elected office or become involved in political activities related to running for elected office, or accept appointment to an elected office. They shall not seek political endorsements, financial contributions or engage in other campaign activities. Elections. Members share with their fellow citizens the right and responsibility to vote. However, in order not to impair their effectiveness on behalf of the local governments they serve, they shall not participate in political activities to support the candidacy of individuals running for any city, county, special district, school, state or federal offices. Specifically, they shall not endorse candidates, make financial contributions, sign or circulate petitions, or participate in fund-raising activities for individuals seeking or holding elected office. Elections relating to the Form of Government. Members may assist in preparing and presenting materials that explain the form of government to the public prior to a form of government election. If assistance is required by another community, members may respond. Presentation of Issues. Members may assist their governing body in the presentation of issues involved in referenda such as bond issues, annexations, and other matters that affect the government entity’s operations and/or fiscal capacity. Personal Advocacy of Issues. Members share with their fellow citizens the right and responsibility to voice their opinion on public issues. Members may advocate for issues of personal interest only when doing so does not conflict with the performance of their official duties. Tenet 8. Make it a duty continually to improve the member’s professional ability and to develop the competence of associates in the use of management techniques. GUIDELINES Self-Assessment. Each member should assess his or her professional skills and abilities on a periodic basis. Professional Development. Each member should commit at least 40 hours per year to professional development activities that are based on the practices identified by the members of ICMA. Tenet 9. Keep the community informed on local government affairs; encourage communication between the citizens and all local government officers; emphasize friendly and courteous service to the public; and seek to improve the quality and image of public service. COPYRIGHT © 2015 BY THE INTERNATIONAL CITY/COUNTY MANAGEMENT ASSOCIATION. ALL RIGHTS RESERVED. Tenet 10. Resist any encroachment on professional responsibilities, believing the member should be free to carry out official policies without interference, and handle each problem without discrimination on the basis of principle and justice. GUIDELINE Information Sharing. The member should openly share information with the governing body while diligently carrying out the member’s responsibilities as set forth in the charter or enabling legislation. Tenet 11. Handle all matters of personnel on the basis of merit so that fairness and impartiality govern a member’s decisions, pertaining to appointments, pay adjustments, promotions, and discipline. GUIDELINE Equal Opportunity. All decisions pertaining to appointments, pay adjustments, promotions, and discipline should prohibit discrimination because of race, color, religion, sex, national origin, sexual orientation, political affiliation, disability, age, or marital status. It should be the members’ personal and professional responsibility to actively recruit and hire a diverse staff throughout their organizations. Tenet 12. Public office is a public trust. A member shall not leverage his or her position for personal gain or benefit. GUIDELINES Gifts. Members shall not directly or indirectly solicit, accept or receive any gift if it could reasonably be perceived or inferred that the gift was intended to influence them in the performance of their official duties; or if the gift was intended to serve as a reward for any official action on their part. The term “Gift” includes but is not limited to services, travel, meals, gift cards, tickets, or other entertainment or hospitality. Gifts of money or loans from persons other than the local government jurisdiction pursuant to normal employment practices are not acceptable. Members should not accept any gift that could undermine public confidence. De minimus gifts may be accepted in circumstances that support the execution of the member’s official duties or serve a legitimate public purpose. In those cases, the member should determine a modest maximum dollar value based on guidance from the governing body or any applicable state or local law. The guideline is not intended to apply to normal social practices, not associated with the member’s official duties, where gifts are exchanged among friends, associates and relatives. Investments in Conflict with Official Duties. Members should refrain from any investment activity which would compromise the impartial and objective performance of their duties. Members should not invest or hold any investment, directly or indirectly, in any financial business, commercial, or other private transaction that creates a conflict of interest, in fact or appearance, with their official duties. In the case of real estate, the use of confidential information and knowledge to further a member’s personal interest is not permitted. Purchases and sales which might be interpreted as speculation for quick profit should be avoided (see the guideline on “Confidential Information”). Because personal investments may appear to influence official actions and decisions, or create the appearance of impropriety, members should disclose or dispose of such investments prior to accepting a position in a COPYRIGHT © 2015 BY THE INTERNATIONAL CITY/COUNTY MANAGEMENT ASSOCIATION. ALL RIGHTS RESERVED. local government. Should the conflict of interest arise during employment, the member should make full disclosure and/or recuse themselves prior to any official action by the governing body that may affect such investments. This guideline is not intended to prohibit a member from having or acquiring an interest in, or deriving a benefit from any investment when the interest or benefit is due to ownership by the member or the member’s family of a de minimus percentage of a corporation traded on a recognized stock exchange even though the corporation or its subsidiaries may do business with the local government. Personal Relationships. Member should disclose any personal relationship to the governing body in any instance where there could be the appearance of a conflict of interest. For example, if the manager’s spouse works for a developer doing business with the local government, that fact should be disclosed. Confidential Information. Members shall not disclose to others, or use to advance their personal interest, intellectual property, confidential information, or information that is not yet public knowledge, that has been acquired by them in the course of their official duties. Information that may be in the public domain or accessible by means of an open records request, is not confidential. Private Employment. Members should not engage in, solicit, negotiate for, or promise to accept private employment, nor should they render services for private interests or conduct a private business when such employment, service, or business creates a conflict with or impairs the proper discharge of their official duties. Teaching, lecturing, writing, or consulting are typical activities that may not involve conflict of interest, or impair the proper discharge of their official duties. Prior notification of the appointing authority is appropriate in all cases of outside employment. Representation. Members should not represent any outside interest before any agency, whether public or private, except with the authorization of or at the direction of the appointing authority they serve. Endorsements. Members should not endorse commercial products or services by agreeing to use their photograph, endorsement, or quotation in paid or other commercial advertisements, marketing materials, social media, or other documents, whether the member is compensated or not for the member’s support. Members may, however, provide verbal professional references as part of the due diligence phase of competitive process or in response to a direct inquiry. Members may agree to endorse the following, provided they do not receive any compensation: (1) books or other publications; (2) professional development or educational services provided by nonprofit membership organizations or recognized educational institutions; (3) products and/or services in which the local government has a direct economic interest. Members’ observations, opinions, and analyses of commercial products used or tested by their local governments are appropriate and useful to the profession when included as part of professional articles and reports. BOARD OF TRUSTEES  APRIL 28, 2016      OPEN MEETINGS – PUBLIC RECORDS      OPEN MEETINGS    The Colorado Supreme Court has described the Open Meetings law as “reflecting the  considered judgment of the Colorado electorate that democratic government best serves the  common welfare if its decisional processes are open to public scrutiny”.      Meetings Definition.  Any meeting of three or more members of the Town Board at which  public business is discussed is a meeting subject to the Open Meetings law.  This includes in  person, by telephone, or electronic – email.  Email between two Trustees or a Trustee and the  Staff discussing a Town Board topic is not a meeting.  A Trustee who engages in discussion of  public business with another Trustee by email and copies one or more other Trustees on the  email creates a public meeting subject to the requirements of the Open Meetings Law.  If a  Trustee wishes to communicate by email with more than one member of the Town Board, that  correspondence should be sent to the Staff for forwarding to the other Trustees.  Also, this  enables the Staff to keep a complete record of discussion of any public matter.     Notice of the Meeting.  Prior notice of all meetings, including an agenda, is required.  The notice  shall be posted no less than 24 hours prior to the holding of the meeting.    Minutes.  Minutes shall be kept of all meetings.        OPEN RECORDS    All public records of the Town and County are open for inspection by any person upon request.   Open records include all written documentation including email.    Please keep in mind that all correspondence between Trustees, the public, and/or Staff are  public records and subject to inspection by any person upon request.    BOARD OF TRUSTEES  APRIL 28, 2016        AMENDMENT 41      1. Applicability.  Amendment 41 applies to the Town of Estes Park as a Local Government.   Amendment 41 does not apply to special districts such as the Hospital District, Park &  Rec District, Fire District nor the School District.  Amendment 41 does not apply to PRPA.   Amendment 41 applies to employees of the Town of Estes Park, elected officials of the  Town of Estes Park, and appointed officials of the Town of Estes Park (members of the  Estes Valley Planning Commission, Board of Adjustment).  Volunteers of the Town of  Estes Park are not subject to the provisions of Amendment 41.    2. Senate Bill 07‐210.  In 2007, the General Assembly passed Senate Bill 07‐210 which  established the Independent Ethics Commission and clarified certain provisions of  Amendment 41.  Amendment 41 provides that those individuals covered by  Amendment 41 shall not receive any gift having a fair market value greater than $50 in  any calendar year for private or personal financial gain.  SB 07‐210 clarified that private  or personal financial gain means any money, forebearance, forgiveness of indebtedness,  gift or other thing of value given or offered by a person seeking to influence an official  act that is performed in the course and scope of public duties by a local government  official or local government employee.  Official act is defined as any vote, decision,  recommendation, approval, disapproval, or other action including inaction which  involves the use of discretionary authority.    Examples:     Conferences – Banquets – Receptions   Sporting Events   Free Passes – Local Events   Discounts   Travel Expenses  BOARD OF TRUSTEES  APRIL 28, 2016      QUASI‐JUDICIAL/LEGISLATIVE        QUASI‐JUDICIAL HEARINGS    Official action taken by the Town Board on certain matters are quasi‐judicial decisions.  As such,  the applicant and all persons concerned have a right to expect that the Town Board will make  an impartial decision based upon the information presented to the Town Board concerning the  matter at the public hearing.    Quasi‐Judicial Hearing Requirements:    1. Notice  2. Public Hearing  3. Decision is based on an established set of standards  a. Estes Valley Development Code  b. State Liquor Code    Ex‐parte Communications.  Since a Trustee’s decision on the application is to be made upon the  information presented by the applicant, the staff, site visits, and input at the public hearings,  the Trustee should not, if possible, have ex‐parte contact (discussions with applicants,  interested parties, members of the public, or other Trustees outside of the public meeting)  concerning a quasi‐judicial matter.  If an ex‐parte communication does occur, the Trustee  should disclose the essence of that communication at the time of review of the matter.  If a  citizen wishes to discuss general policy matters with a Trustee and there is no pending  application, the Trustee can discuss general policy matters with a citizen.      LEGISLATIVE MATTERS    If a matter before the Town Board is not a quasi‐judicial matter, it is a legislative matter.   Examples of legislative matters are as follows:    1. Municipal Code amendments   2. Town Policies  3. Contracts  4. Town projects  5. Town Budget    Certain legislative decisions may appear to have the same type of formality as a quasi‐judicial  decisions ‐ public notice, public hearings.  However, these are legislative decisions of the Town  Board.  The Trustees are free to have ex‐parte communications concerning legislative matters.   However, good public policy dictates that any information relied on by a Trustee in making a  decision should be made available to all Trustees, Staff, and the public.      BOARD OF TRUSTEES  APRIL 28, 2016      CONFLICT OF INTEREST    A member of the Town Board having a personal or private interest in a matter proposed or  pending before the Town Board shall disclose the interest to the Town Board and not vote on  the matter.  The term personal or private interest is not defined.    This Town Board standard of conduct for a Trustee is found in Section 24‐18‐101 et seq. C.R.S.        FINANCIAL INTEREST    1. Accept a gift of substantial value which;    a. Would improperly influence a reasonable person in making an official decision or  b. Which a reasonable person would assume is or is intended as a reward for the  Trustee’s official action on a particular item.  2. Take an official action which substantially benefits the Trustee’s business or is  substantially to the economic detriment of a competing business.  Trustee’s business  includes:    a. Ownership in a business (director or officer)  b. Employment or prospective employment – consultant, agent  c. A loan or debtor interest  d. A creditor interest in an insolvent business      3. What if the financial benefit would be to a spouse or a member of the family?    a. If a conflict of interest concerns a spouse, it is also a Trustee’s conflict of interest  because it is assumed that spouses would share financial benefits in their normal  daily living.  b. Close family members – sons, daughters.  If the children are emancipated then there  is no financial conflict of interest.    4. If a neighboring piece of property or one in the same general area of the Trustee’s  property is being reviewed, should the Trustee declare a conflict of interest?  If the  action of the Town Board will substantially benefit or reduce the value of the Trustee’s  property, a conflict of interest should be declared.    Appearance of Impropriety or Conflict of Interest.  A Trustee should consider declaring a  conflict of interest and abstaining from discussion and action on an official action, if under the  circumstances of the matter, there is an appearance of impropriety.  For example, a Trustee is a  member of the Board of Directors of local non‐profit organization.  The non‐profit organization  is asking for an official action of the Town Board.  The participation of the Trustee in the vote on  the matter would not be a violation of the State Code of Ethics since there is no substantial  financial interest involved but rather an appearance of impropriety in discussion and vote on  the matter.      Procedure Declaring a Conflict of Interest.  At the time of introduction of an individual item on  the Town Board Agenda in which the Trustee feels that he or she has a conflict of interest, the  Trustee shall state that he or she has a conflict of interest and then abstain from participating  and/or voting on the matter.  A Trustee having a conflict of interest on any matter should not in  any way influence other members of the Town Board at any time with regard to said matter.  It  has been the practice of some Trustees to leave the room during discussion and voting on an  individual item.  That is an individual Trustee’s decision.  There is no requirement to leave the  room.      Questions regarding Conflict of Interest.  If an individual Trustee is unsure as to whether or not  a conflict of interest exists, please contact the Town Administrator or Town Attorney and  discuss the matter.  The Trustee’s request will be kept confidential.    IF YOU FEEL YOU HAVE A CONFLICT OF INTEREST, YOU PROBABLY DO.  Document Title Draft 1 4/27/16 Revisions: 0 Town of Estes Park, Town Board Governance Policies Page 1 of 3 Effective Period: Review Schedule: Effective Date: References: TOWN BOARD GOVERNANCE POLICIES 105 Agendas 1. PURPOSE The Town Clerk is responsible for the preparation and publication of the agendas for any meeting of the Board of Trustees. The Town Clerk shall establish deadlines for items to be added to the agenda in order to provide adequate public notice of Board meetings and to fully meet the requirements of the Colorado Open Meetings Act. 2. REGULAR BOARD MEETINGS a. Agendas for regular board meetings shall follow the format approved by the Board in Policy 103 – Town Board Procedures b. Adding items to the Agenda i. Routine Administrative Issues – Routine administrative issues, including renewal of ongoing contracts, approval of bills, approval of minutes, issuance, renewal and transfer of liquor licenses, land use issues requiring quasi-judicial action and proclamations or other ceremonial actions may be placed on the agenda by the Town Clerk without any further approval. ii. Items requested by Town Staff – Any items, other than routine administrative items, must be approved by the Town Administrator before being placed on the agenda. The Town Administrator may place these items on the Regular Board agenda without any further approval of the Board. iii. Reports or requests from outside entities – the Town Administrator has the authority to approve any requests from outside or partner agencies wishing to present before the Town Board. This includes update reports (i.e. updates from the Superintendent of Rocky Mountain National Park) and requests requiring action (i.e. requests for letters of support, requests for board participation on community projects). iv. Legal issues – Legal issues requiring Board discussion or action may be placed on the agenda by either the Town Administrator or the Town Attorney. Document Title Draft 1 4/27/16 Revisions: 0 Town of Estes Park, Town Board Governance Policies Page 2 of 3 v. Trustee requested items – Any trustee may request that an item be added to the regular board agenda by one of the following methods: (1) Request that the item be added to the agenda of an upcoming Regular meeting during the Trustee comment period at a study session. If any other Trustee objects to the item being placed on the agenda, the request must be made at a Regular Board meeting. (2) Request that an item be added to an upcoming agenda during Trustee comment period at a regular board meeting. The Board may approve the addition of the item to a future board meeting by consensus or may call for a vote. If a vote is called for, a majority affirmative vote of the Board is required to add the item to a future agenda. (3) By an affirmative vote of a majority of the Trustees present at a meeting, additional matters may be added to the agenda of any such meeting, as long as it is allowed by statute. (4) By referral from a Board Standing Committee. (5) Emergency items – At times it may be necessary to add items to an agenda on short notice to protect the immediate health, safety and well- being of the community or the organization. The Mayor, Town Administrator or Town Attorney may add emergency items to any agenda at any time, at their sole discretion. (6) Issues raised during Public Comment – For any issue raised during public comment that requires additional Board discussion or an action, any Board member may request that the item be placed on an upcoming agenda. Taking action on any item raised during public comment but not previously listed on the agenda is discouraged in order to give adequate notice for opportunity for public participation. 3. STUDY SESSIONS a. The Town Board will review the schedule for upcoming Study Sessions. The Mayor, Trustees or staff may request or recommend any appropriate matters for Town Board consideration; however the Town Administrator will only place items on a Study Session agenda with the direction of a majority of the Board. b. By an affirmative vote of a majority of the Trustees present at a meeting, additional matters may be added to the agenda of any such meeting as long as it is allowed by statute. Document Title Draft 1 4/27/16 Revisions: 0 Town of Estes Park, Town Board Governance Policies Page 3 of 3 4. BOARD STANDING COMMITTEES (PUP, CD/CS, AUDIT) a. The Town Clerk shall prepare the agendas for the Board Standing Committees in consultation with the committee chair and appropriate staff. b. Items on the agenda should be limited to the scope of the specific committee. c. Any items requiring Board approval or further action must be referred by the Committee to the full board including a recommendation as to whether the item should be considered on the Consent Agenda or as an Action Item. d. By an affirmative vote of a majority of the Trustees present at a meeting, additional matters may be added to the agenda of any such meeting, as long as it is allowed by statute. e. All Actions of Standing Committees are to be considered recommendations and not final actions representing the Board of Trustees, unless otherwise authorized by Board policy. Approved: _____________________________ Frank Lancaster, Town Administrator _____________ Date Town Board Procedures and Tool Boxes 4/27/16 Revisions: 0 Town of Estes Park, Town Board Governance Policies Page 1 of 4 Effective Period: Until Superseded Review Schedule: Annual - January Effective Date: May 15, 2013 References: Governance Policy Manual POLICY 1.9 ANNUAL PLANNING AND AGENDAS TOWN BOARD GOVERNANCE POLICIES 103 Town Board Procedures and Tool Boxes 1. PURPOSE To establish a uniform procedures and process for how the Town Board will conduct its meeting and other Town Board official business. 2. SCOPE This Policy and Procedure applies to the Board of Trustees and other parties conducting business with the Board. 3. RESPONSIBILITY The Mayor, Mayor Pro-Tem and Town Trustees shall be responsible for the implementation of this Policy and Procedure. 4. PROCEDURES The Town Board will conduct its business in a manner consistent with the following Tool Box guidelines, adopted by the Town Board in March 2011 as amended. a. Tool Box for Meeting Procedure Options b. Town Board Meeting Order of Business c. Town Board Motions Approved: _____________________________ William C. Pinkham, Mayor _____________ Date Town Board Procedures and Tool Boxes 4/27/16 Revisions: 0 Town of Estes Park, Town Board Governance Policies Page 2 of 4 APPENDIX 1 - Tool Box for Meeting Procedure Options (Adopted March 2011) Motions: Purpose, Properties Basic Motion: Purpose: Places an action item on the floor for discussion The motion is stated in the positive. “Yes” vote supports motion. “No” vote opposes the motion. Divide complex issues into individual motions. Second is required. Amend a Motion: Purpose: To change a portion of the Basic Motion. The amendment uses the original basic motion wording with a change in wording. The motion is stated in the positive. Second is required. Substitute Motion: Purpose: To completely remove/replace the Basic Motion. The substitute motion is a new motion with new wording. The motion is stated in the positive. The Mayor determines if motion qualifies as Substitute Motion. Second is required. Table Motion: or Continue Motion: Purpose: Stops an action item discussion for more information. The Mayor generally states a new meeting date to discuss item. The Mayor may send item back to committee/staff for revising. The Mayor will recommend to Table or Continue as appropriate. Occurs when information is lacking or no decision can be made on action item. Second is required. Motion to Reconsider: Purpose: Re-open discussion on a finalized action item. Only a Board Member voting in the majority for the motion that finalized the action item may request a reconsideration motion and only at the same meeting at which the original action was taken. Second is required. Point of Order: Purpose: To correct meeting proceedings and help the Mayor. State “point of order” and what procedure was missed by the Mayor. No Second is required. Second a Motion: Purpose: To open discussion on an action item. Notes: The person providing the second does not need to agree with the motion. The originator of the motion or changed motion will need to repeat the motion for the benefit of the Town Clerk’s record and Town Board clarity of motion. Town Board Procedures and Tool Boxes 4/27/16 Revisions: 0 Town of Estes Park, Town Board Governance Policies Page 3 of 4 APPENDIX 2 - Town Board Meeting Order of Business (Adopted March 2011)  Call meeting to order  Pledge of Allegiance  Proclamations and Presentations  Public Comment  Town Board Comments  Liaison Reports  Town Administrator’s Report and Public Comment Follow-up  Consent Agenda  Action Items (repeat process for each action item) o State discussion item with topic to be discussed o Staff Report o Town Board clarification of Staff Report - questions/discussion o Public Comment  Formal Motion/Second (if Ordinance is present, Town Attorney/Town Clerk reads prior to motion)  Motion modifications/amendments if desired  Debate/Discuss motion  Motion modifications/amendments if desired  Mayor calls for vote  Vote  Additional Staff Reports  Executive Session (if needed)  Adjournment ___________________________________________________________________________ Every Board meeting will end no later than 10:00 p.m., except that (1) any item of business commenced before 10:00 p.m., may be concluded before the meeting is adjourned and (2) the Town Board may, by majority vote, extend a meeting until no later than 11:00 p.m. for the purpose of considering additional items of business. Any matter which has been commenced and is still pending at the conclusion of the Board meeting, and all matters scheduled for consideration at the meeting which have not yet been considered by the Board, will be continued to the next regular Town Board meeting and will be placed first on the agenda for such meeting. The Town Board reserves the right, by majority vote, to further extend the meeting to conclude any business the Board deems necessary. Town Board Procedures and Tool Boxes 4/27/16 Revisions: 0 Town of Estes Park, Town Board Governance Policies Page 4 of 4 APPENDIX 3 - Town Board Options (Adopted March 2011) 1. The basic motion. The basic motion is the one that puts forward a decision for consideration. A basic motion might be: “I move that we create a five-member committee to plan and put on our annual fundraiser.” 2. The motion to amend. If a member wants to change a basic motion that is under discussion, he or she would move to amend it. A motion to amend might be: “I move that we amend the motion to have a 10-member committee.” A motion to amend takes the basic motion that is before the body and seeks to change it in some way. 3. The substitution motion: If a member wants to completely do away with the basic motion under discussion and put a new motion before the governing body, he or she would “move a substitute method.” A substitute motion might be: “I move a substitute motion that we cancel the annual fundraiser this year.” Motions to amend and substitute motions are often confused. But they are quite different, and so is their effect, if passed. A motion to amend seeks to retain the basic motion on the floor, but to modify it in some way. A substitute motion seeks to throw out the basic motion on the floor and substitute a new and different motion for it… Voting on motions when there are several on the floor. The first vote is on the last motion. In the example above, the substitution motion would be voted on first. If passed, the other two (Basic and Amend) would not require a vote because they become moot. If the substitution in the above example passes, it replaces both the Basic and the amendment to the Basic motion. If the substitute motion fails, the basic motion needs to be voted on. If it passes, it is final. If the basic fails, then the chair determines if a new motion is in order, or does the action item need to be tabled for more information, returned to committee, have staff gather more information, etc. A time for further review of the action item should be established. *Instructional scenario quoted verbatim from: Rosenberg’s Rules of Order: Simple Parliamentary Procedures for the 21st Century, 2003, League of California Cities.