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HomeMy WebLinkAboutAGENDA ITEM SUMMARY - 3/13/2020- CONSULTING,HEATH,INVESTIGATION,LOBBYING,SUMMERSAgenda Itern 3 HEM Carrie Daggett:, City Attorney 999-111fiffia EXECUTIVE SUMMARY by t e Complainant r subject of the Complaint in advance of public tion. N W91 V= i gig WOU I A 14MY1 Lei i 1 1111 Mevayrun-111 71-77-71TIMucrauln 7111. Me MplvivaDle 57at ant btdlu eMIG5 �7711717715 ana cleiermine whether Councilrnernber Summers has committed an ethics violation as alieged, BACKGROUND/ DISCUSSION n. "IMPIT"I The Complaint was lodged with: the Board through the City Attorney on January 21, 2020, by Rory Heath (the "Complainant"), a Fort Collins resident, against Councilmember Ken Summers and others, alleging that COUncilmember Summers has a conflict of interest generally and in connection with the Hughes Rezoning and related Ethics Review Board hearings, in light of a webipage offering his services as a pocal consultant and lobbyist. The following is an excerpt from the Complaint summarizing Mr. Heath's concern (from page 11 of the Complaint): Agenda Item 3 11. Fort Collins City Councilmember Ken Summers is currently hosting on his website kensummers.org, a page dedicated to his political consulting businessllobbylst business. This page promises direct influence of legislative matters that can be interpreted to mean either the influence of a third party, or of himself, in exchange for compensation of some sort. Ill. The actions of [Councilmember Summers], as it pertains to all related activities relating to the consideration of Fort Collins Ordinance No. 138, 2019 (including all related Ethics Complaints hearings), are in direct violation of State and Municipal Ethical and Conflict of Interest Laws. [Councilmember Summers has] also failed in performing their fiduciary duty to the people of Colorado, a duty ingrained within their public service.... Board Review and Determination: As provided in City Code Section 2-569, an alternative Ethics Review Board was formed to consider the original Complaint filed by Mr. Heath, because the Complaint originally named multiple members of the appointed Ethics Review Board. The alternate Ethics Review Board, consisting of Councilmember Cunniff, Councilmember Gutowsky, Councilmember Pignataro and Councilmember Gorgol (the "Board"), met on March 6t' in order to carry out the initial screening of the Complaint. At that time, the Board determined that no further investigation was warranted of any of the Complaint other than the allegation that political consulting/lobbying activities of Councilmember Summers are in violation of state and local ethics and conflict of interest laws. For continuity of the process and consistency in finalizing action on the Complaint, the Board (as constituted on March 6) will complete the hearing, investigation and determination in this matter called for under Section 2-569(e) of the City Code. Factual Alle-gations in the Complaint: The Complaint asserts the following basic facts regarding his allegations against Councilmember Summers: Ex.4): Ken Summers, through his KGS Consulting, offers the following services via his website (see • "Opening Doors" • "Providing Access" • Empowering Influence" • "PERSONAL CONTACT WITH LEGISLATORS to inform them of your position on a bill and why you support or oppose the legislation." • "COMMUNICATION WITH DEPARTMENTS that interface with your business on the writing and implementation of rules" 2 Agenda item 3 • `TOURS AND RECEPTIONS that provide legislators an opportunity to learn firsthand about the work that you do" • "Navigating through the maze of the political arena can be a challenge. That is why an individual with experience working with you and advocating on your behalf can make a difference." While the Complaint contains a number of assertions and statements related generally to the input the City Council has received from members of the public regarding the Hughes Rezoning, the Ethics Review Board screening referred only the matter of Councilmember Summers' alleged political consulting/lobbying activities for further investigation. A copy of the KGS Consulting webpage was attached_ to the Complaint as Exhibit 4 and is attached to this Agenda Item Summary. Relevant City or State Ethics Provisions: 1. City Ethics Provisions: The City Charter and City Code prohibit members of the City Council from participating in a decision if the Councilmember has a financial interest or a personal interest in the decision. 1. A financial interest is an interest in the Hughes Rezoning that is equated with money or its equivalent. I. If the councilmember is an holder of an ownership interest in or an employee of an affected business, but the Council decision entails NO FORESEEABLE, MEASUREABLE FINANCIAL BENEFIT to the Councilmember, the business relationship does not create a financial interest. 2. A personal Interest is any interest (other than a financial interest) by reason of which an officer or employee would, in the judgment of a reasonably prudent person, realize or experience: i. some direct and substantial benefit or detriment [direct = resulting immediately and proximately from the circumstances and not from an intervening cause.] [substantial = more than nominal in value, degree, amount or extent.] [benefit = an advantage or gain.] [detriment = disadvantage, injury, damage or loss.] ii. different in kind from that experienced by the general public. [different in kind from that experienced by the general public = of a different type or nature not shared by the public generally and that is not merely different in degree from that experienced by the public generally.] 3 Agenda Item 3 2. State Ethics Provisions: 1. For the purpose of the statutory ethics provisions: i. Councilmembers are "local government officials" (as defined in Section 24- 18-102(6)). ii. A financial interest means a substantial interest held by an individual which is (in relevant'part): 1. An ownership interest in a business; or 2. A directorship or officership in a business. 2. Section 24-18-103, C.R.S., when read in conjunction with the rest of the statutory standards of conduct, is interpreted to establish an ethical standard of conduct concerning activities that could allow covered individuals to improperly benefit financially from their public office. However, it is general in nature and does not specify a standard or rule to determine what is permissible. 3. Section 24-18-104, C.R.S., prohibits disclosure or use of confidential information acquired in the course of official duties and acceptance of certain gifts. 4. Section 24-18-105, C.R.S., sets out ethical principles that are "intended as guides to conduct and do not constitute violations as such of the public trust of office or employment in state or local government" Section 24-18-015(2) provides that: (2) A... local government official ... should not acquire or hold an interest in any business or undertaking which he has reason to believe may be directly and substantially affected to its economic benefit by official action to be taken by an agency over which he has substantial authority. ii. Section 24-18-105(4) provides that: (4) A ...local government official ...should not perform an official act directly and substantially affecting a business or other undertaking to its economic detriment when he has a substantial financial interest in a competing firm or undertaking. (Emphasis added.) 5. Section 24-18-109, C.R.S., provides that i. a local government official shall not (in relevant part) perform an official act directly and substantially affecting to its economic benefit a business or other undertaking in which he either has a substantial financial interest or is engaged as counsel, consultant, representative or agent (§ 24-18- 109(2)(b)); ii. A member of a governing body of a local government who has a personal or private interest in any matter proposed or pending before the governing body shall disclose such interest and refrain from participating in the decision unless necessary to obtain a quorum (§ 24-18-109(3)); 1. The statutes don't define the term "personal or private interest." However, a local government official would likely be considered as having a personal or private interest in any decision that would result in 4 Agenda Item 3 the official receiving a direct and immediate pecuniary benefit or result in the official receiving a non -pecuniary benefit or suffering a non - pecuniary detriment that is direct, immediate and different in kind from that shared by the general public. 2. Applying this standard here, this means determining whether the City Council's Hughes Stadium rezoning decision would likely result in Councilmember Summers receiving a direct and Immediate pecuniary benefit or result in him receiving a non -pecuniary benefit or suffering a non -pecuniary detriment that is direct, immediate and different in kind from that shared by the general public. 3. The language of Article XXIX of the Colorado constitution — also referred to as "Amendment 41," provides that home rule municipalities that have adopted local ethics provisions addressing the topics in that provision are exempt from its application. A copy of Article XXIX is attached to this Agenda Item Summary for reference. Evidence and Evaluation of Facts Asserted: The procedures for the hearing will be set by the Board chair, with the Board's Input, at the beginning of the hearing. The general sequence for the hearing (subject to such time limits as may be set) will be as follows: 1. Overview of procedures, including time limits, and consideration of any procedural objections; 2. Overview of Agenda materials by City Attorney; 3. Introductory Statement by Complainant (time limit to, be set); 4. Introductory Statement by Councilmember Summers (time I*miit to be set); S. Presentation of Evidence by Complainant (including any witness testimony or additional records) {time.lmit-to. be set); 6. Presentation of Evidence by Councllmember Summers (including any witness testimony or additional records) .tie setj; 7. Rebuttal and Closing Statement by Complainant {time.1imit to. be set); 8. Rebuttal and Closing Statement by Councilmember Summers (time .limit to he set); 9. Board member questions of Complainant and Councilmember Summers; 10. Board discussion of whether evidence supports finding that an ethics violation has occurred; 11. Board vote as to whether evidence supports finding that an ethics violation has occurred. 5 Agenda It 3 At the completion of the hearing and idecisioni, an Ethics Opinion will be prepared for consideration by the Board, Upon approval the Ethics Opinion will be presented to Clourl for adoption by Resolution. I ATTACHMENTS 1. Exhibit 4 to Heath CornpWnt * March 7 Memo to Ethics Review Board from Ken Summers re Ethics Complaint * Financial Disclosure Statement of Kenneth G . Summers, dated January 5, 20'17 4. Financial Disclosure Statement of Kenneth G. Summers, dated April 7, 2017 5, Financial DisCIOSUre Statement of Kenneth G. Summers, dated April 24, 2018 6, Financial Disclosure Statement of Kenneth G. Summers, dated May 7, 2019 7. Lobbyist Summary Regarding lobbying registration of Kenneth G. SUrnmers, dated March 7, 2020. 8. March 6 Agenda Itern Summary for Item 3 (with attachments) 9, March 6 Agenda item Sunimary for Item 3c (with attachments) 10, March 5 Merno to Ethics Review Board from Ken Summers re Ethics Complaint 11. Article XXIX of the Colorado Constitution (commonly referred to as "Amendment 41") 1A -V.- 11-1 .......... — -111& . "" I " Home My Story phoos of my Journey KGS CONSULTING Vkjeos & M"Ws Do o k KG,S CONSULTING I he, la,&s tfaat a r,-, passed and the rag ulaLDns Paat are val-W*hcd ha,4,u, a s'gWicanf impa,,I urea ciVzcns and oF aq types in Colorado Na/igatmg thmugh the mote of the pcliftal urerm cam be as challengo That is why 7m individ,;A viTh experience vvorkingvMh you and advcxaWig on your b,eha If cm make a 6FIererce KGS Gonsufting provides you wirh a vaIun-addecl partnership vj you can be proaCtjVf:, nrt jtok.' that jrtrjpnC )CUr bus�ness We is how OiM is o FROVOING INSIGHT into The kagislaWL process and pcljIica9 crwigronrnont - TRACKiNG LEGISLATION RIM impacl, your and liciping you lo take a foinial por'&on Ore thapnoce-," of leg islaIion PERSONAL CONTACT WITH LEGISLNTORS to inforTri them of your position on a b,11 ind why yau sa)ppod or Oppose [no legisla6cn. PROPOSlNG NEW LEGISLATW OR CHANGES IN CURRENT LAY4 ARRANGING F70R TESTIMONY ON BILLS before ccirmnWees, in calaboraficri with g.'ilhefs who share your pnsitmn COMMUNICAVON WITH DEPARTMENTS that inivlacewifli your bucricss on Me wrstng and implemenlahori OF ruIes TOURS AND RECEPTIONS that pmvidae I an opportw',ity to la am firsthand about Me work IhN you do SERVOiG AS A SPOKESPERSON for your busine5z it ft 4 aR, wiVi, other industry W,oups =j in I ing-nrmsnty PROV'01NG FEEDBACK AND UPDATES as needed to slay on the foiefroM of how b4ls are progtesskig ibro0.Gh ille prouv'ss TheSF.t are some 0 the mays Nat having i contact inqade I capitol cw'e work for you &3rne sond�ces may be more appropriMe than others depending on, ycur reeds and area Of 6nlerest EmTweer I look f0mard to developing as palnels`vp o here I Can Sf,,Irve ysu at the capitol by pr*vChny acress, opening cloors and ornpoviering itr the la gislalive pr(xess, You ral; frnke I difIcIrancP and be 4; Part or shapirng pubfic pohry in Colorado A'en KGS Consulting ' kcm@kensummers.crg 303-725m4765 mm Search i '11'wh "' ffil N ", sw I-- Ken Summers Get the latest post by email Enter your ernal address! mm Ddowored by FricdSunnci' Ha,��e 'or Na Olue GmJsVrzm lLy Y��ur Palhe� iln'YV�s 1 `i-, Peril 0 Forq�. t;ng C-,,d':s L,ravfersr�;r Umdcr Ara^r: Archives, De,e;r2rnbor 20 19 May 20 19 A;', r 12012 March 20 19 jww,rrary 2019 Vecernber 20 18 Nov,,,mt,,,,er 21015 Octcoca 21) 18 septerriber ' EXHIBIT July 2018 �.a a.vavasva.,auvv uuy.erna.awauauu�ta.vsEr stsuga,_au—a �a KenSummers ® 2014. All Rights Reserved Cantact ll Emas ken@kensummws.org Novamber 2014 October2014 September 2014 August 2014 July 2014 June 2D14 May 2014 April 2014 Match2014—.__......_.__..,.. _. _..... _... February 2014 Looking for more on Ken's Story; To look at prevlous:post and pictures from Ken's hospitalization go to htlp'l/vnvw.caringbridge.orglvisit /kensummers 0�ty Of 6Vt Collins Ken Summers Councilmember District 3 Date,: March 7, 2020 '17o: City Council 1--�'Lhics Committee From: Ken Sunimers Re- Ethics Cornplaitit I understand that you have requested "additional" information concerning my CITIP10yrflent. I SUbMiL the following: 4-1 Unlike other City Councilmembers, glare to my disability caused from West Nile VirUS outside of my City COUncil salary I HAVE NO OTHER EMPLOYMENT This reqUeSt is confusing dUe to the fact that City COLUICil members are reqUir0d to fill OUt an annual financial disclosure tkat'lists sources of incorne. AddiLionally, if there is some question ab(,-,mt my lobbying efforts, lobbyists who have clients are reqUired by the Z7 Secretary ofStaLe to register as a lobbyist and to fil I OUt 1'ej?0rtS abOUt ClielItS and the 11 amount of income they receive from, their clients. This is common knowledge to those Z7 who are familiar with the legislative process. I trUSt this puts an erid to this matter. The ability to of citizens to make 1'idiCLIIC)Lls and Unfounded clainis or as conflict from employi-nent, that doesn't exist and to (Tive any 4:�, inclining ofnierit undern-iines the ethics process and encouralges individuals to asSUrne c the can make an aCCUsation and thcn expect an individUal to prove they are NOT guilty as charged. EXHIBIT RECEIVED City Clerk's 01111ce City of FINANCIAL Wt Collins DI CLO /.. S SURE STATEMENT Printed Name: Filing as: Type of Report: ❑ Mayor/Councilmember O Annual Filing (due on or before May 16) O City Manager O Candidate Filing (due 10 days after acceptance of O City Attorney nomination, or upon application for appointment) A96 Council Candidate ❑ Post-election/Appointment Filing (due within 30 days) This is my first filing. (Answer all questions) ❑ This amends my previous filing dated (Answer all questions completely) O There have been no changes since my previous filing dated . (Skip to signature line) 1. List the source or sources of any income, including capital gains, whether or not taxable, of the person making disclosure and such person's spouse. (It is not necessary to list amounts.) Social seaahy cisd ay invaslmentbr me Spouse salary Halcyon Hospice 2. Indicate any financial Interest in excess of $10,000 in any business entity. Universal Communiaetiens Company -Loveland, CO 3. Provide the legal description of any interest In real property owned by the person making disclosure or such person's spouse. Aarsonal tesidanca - 5706 Mae VAllow Or Fat CoWns, CO 8052a 0 4. Identify by name all offices and directorships held by the person making disclosure and such person's spouse, Temurer. GJAUAL JusUrA Lovdaed, CO 5. Ust the name of each creditor to whom the person making disclosure or such person's spouse owes money in excess of $10,000. Key Oak 6. Ust businesses with which the person making disclosure, or such person's spouse, are associated that do business with or are regulated by the City of Fort Collins and the nature of such business or regulation. ttoeo 7. Provide any additional information which the person making disclosure might desire. Signature: 5ate:1 City of Collins F6rt FINANCIAL DISCLOSURE STATEMENT RECEIVED City Clerk's Office �f-lyrt 7 Printed Name: Kenneth G Summers Piling as: Type of Report: E1x Mayor/Councilmember O Annual Fling (due on or before May 15) ❑ City Manager ❑ Candidate Filing (due 10 days after acceptance of ❑ City Attorney nomination, or upon application for appointment) ❑ Council Candidate ® Post-election/Appointment Filing (due within 30 days) F,I03_This is my first filing. (Answer all questions) his amends my previous filing dated) - zol (Answer all questions completely) There have been no changes since my previous filing dated (Skip to signature line) 1. List the source or sources of any income, including capital gains, whether or not taxable, of the person making disclosure and such person's spouse. (It is not necessary to list amounts.) S=W sew* oisawly lnvastmem!He=* Spouse sataryr Halemn Hespke 0rfiPd9 2. Indicate any financial interest in excess of $10,000 in any business entity. Wvmsat Communications company - Loveland CC 3. Provide the legal description of any interest in real property owned by the person making disclosure or such persons spouse. Parsonel reaQdenoe - 8748 White Mow or Fat Coft3, CC 80528 :EXHIBIT 4. Identify by name all offices and directorships held by the person making disclosure and such person's spouse. Tmasumr. G.L09AL. JusBce Loveland, Co 5. List the name of each creditor to whom the person making disclosure or such person's spouse owes money in excess of $10.000. Key Bank 6. List businesses with which the person making disclosure, or such persons spouse, are associated that do business with or are regulated by the City of Fort Collins and the nature of such business or regulation. None 7. Provide any additional information which the person making disclosure might desire. Signatur . Date: Y�0 WtColhns`�, 'KEIVED CityC*Kr t3fflce FINANCIAL DISCLOSURE STATEMENT Printed Name: 1i{ rjy}yy�py_ Filing as: Type of Report: ayor/Coundlmember Annuat Filing (due on or before May 15) C ❑ ity Manager O andidate Filing (due 10 days after acceptance of ❑ City Attorney nomination, or upon application for appointment) ❑ Council Candidate ❑ Post-election/Appointment Filing (due within 30 days) 0 This is my first filing. (Answer all questions) t7 This amends my previous filing dated (Answ r all questions completely) There have been no changes since my previous filing dated (Skip to signature 1. List the source or sources of any Income, including capital gains, whether or not taxable, of the person making disclosure and such person's spouse. (it Is not necessary to list amounts.) 2. Indicate any financial interest In excess of $10,000 in any business entity, 3. Provide the legal description of any interest In real property owned by the person making disclosure or such person's spouse. 4. Identity by name all offices and directorships held by the person making disclosure and such persoWs spouse. 5. List the name of each creditor to whom the person making disclosure or such person's spouse owes money in excess of $10,000. 6. List businesses with which the person making disclosure, or such persaws spouse, are associated that do business with or are regulated by the City of Fort Collins and the nature of such business or regulation. 7. Provide any additional information which the person making disclosure might desire. ; Z. , W'-Q "'7 e�� I St nature --tT Date: %. t . `- .. FINANCIAL DISCLOSURE STATEMENT Printed Name: Kenneth G Summers Choose one column only and then check appropriate boxes within that column. Column 1 Filing as: F✓ Mayor/Councilmember (currently seated — not seeking reelection) 1 T e of Filing: ~� Post-Election/Appointment Filing , Annual Filing Status: 117his is my first filing a: an elected/appointed official (ons:ver oil questions completely) i QThis emend. my previous !ding dated (answer all ot,estions completely) 07here have been no changes fi since my previous filing dated I (skip to signature line) Column 2 Filing as: Council Candidate (new candidates and incumbents) i Ty a of Filing: Candidate filing I Status: i albs is my first filing as a r candidate (Onisver all questions completely) i Dhis amends my previous filing dated (onswer all questions compte.eiy) i i RECEIVED City Clerk's Office Column 3 Filing as: City Manager City Attorney enof filing: i Post -Appointment Filing T Anmtal Filing — ! 1 Status: This is my first filing as an appointed official (answer ail questions completely) This amends my previous filing dated t (onswer oil questions completely) QThere have been no changes since my previous filing dated I (skip to s/onoture line) List the source or sources of any income, including capital gains, whether or not taxable, of the person such person's spouse. (It is not necessary to list amounts.) City Council Salary Halcyon Hospice (Spouse) SSA D•sability PERA Retiremen: Catholic Charities Retirement Interest on investments Indicate any financial interest in excess of $10,000 in any business entity. UCC Communlcavons • loar Provide the legal clesalptibn 61 —afiXtdri—siln .5706 White W:J w Dr Fort Cojjjns;-Co S0528 Id6hil(y by haini all offices , , -11-ces and directs Board member - G-t-O.O.A.L Justice List the MrAd ofeachacriditor t $10,000. Residential Mortgage- Key Bank person making disclosure or such pers spouse. wis-cio—sure or such Person's spouse owes money in bicess 'List businbiies wishwhichIhich the person* m*a'kTng'IsroZa, or such Pers n'.sspous'e-, regulated by the City Of Fort Collins and the nature of such business or regulation. None Wrovitle any None Signature: or ,,;VtCollins 3RI20120 Colorado Secretary of State - LcibbyiM Surnulary 0 r, b txbbykst fl,skn Fagm„ Sem ch by Latbyi[;�t L ag � n Lobbyist Summary Lobbyist M 20155002638 Narne: Summers,, Kenneth G Registration Date0110312016 Lobbyist Name: Summers, Kenneth G Address: 5 706 White Maw Or cilyv Fort Collins stale; CO Phone': 303-725-4765 Email: ken @kensummers org Lobbyi'st Menu Disclosure Reports (current fiscal year only) Clients Cumuiative Disclosure Report Past Disclosure Reports and Registrations History status� EXPIRED: 0&0612016 Termination Flled06YOW016 Reporting Status CURRENT ZIP/Post,11 Codu: 80528 "A"Tencla Hem 3 Carrie Daggett, City Attorney SUBJECT These are reference materials provided for the Ethics Review Board's use in considering Items 3a, 3b and 3c, all related to review of the complaint filed on January 21, 2020, by Rory Heath under City Code Section 2-569(d)(1) to determine whether the complaint warrants investigation, EXECUTIVE SUMMARY The purpose of this item is to provide references for use in the initial screening by the Ethics Review Board of a complaint filed with the Board under City Code Section 2-569(d), as, described below. BACKGI-30UND / DISCUSSIOP4 Under City Code Section 2-569(d), any person who believes a CounciImember or board or commission member has violated any provision of state law or the City Charter or City Code pertaining to ethical conduct may file a complaint with the City Clerk. After notice to the complaining party and the subject of the complaint, the Ethics Review Board then considers the complaint and whether it should be further investigated. A copy of Section 2-569 is provided as an attachment to this Agenda Item Summary, The �gm�jahit: Tslucl C1 I Ine UILTrney on january 27 2020, by Rory Heath (the "Complainant), a Fort Collins resident, against Mayor Wad'e Troxel�, Mayor Pro Tem Kristin Stephens and Councilmember Ken Summers. The Complaint (without attachments) is attached to this AIS and has been electronically provided to COUndl along with all attachmeAts. Citv Ethics Provisions: Generally, the ethics provisions established by the City include City Charter Artide IV, Section 9, and City Code Section 2-568. These are each provided as reference materials, attached to this Agenda Item Summary. State Ethics Provisions: In addition, various, state laws are commonly considered ethics laws. These include: Agenda Item 3 • Sections 24-18-201 through -206, G.R.S.; • Sections 18-8-302 through -308, C.R.S.; and • Sections 18-8-402 through -409, C.R.S. These statutes are all attached to this Agenda Item Summary for convenient reference. Advisory Opinion 17-04 of the Colorado Independent Ethics Commission (IEC), interpreting some of these state law provisions, and Advisory Opinion 16-05 of the IEC are also attached. (The language of Article XXIX of the Colorado constitution — also referred to as "Amendment 41," provides that home rule municipalities that have adopted local ethics provisions addressing the topics in that provision are exempt from its application.) Prior Related Ethics Opinlons: Also attached for your reference is Resolution 2014-107, adopted by the City Council in 2014, accepting advisory opinion and recommendation no. 2014-01 of the Ethics Review Board. At that time, then Councilmember Troxeli had requested and advisory opinion regarding whether he would have a conflict of interest in continuing to participate in Council discussions and, ultimately, Council's vote, regarding the proposed new Colorado State University football stadium then under discussion. The conclusion at that time was that: 1) there was no Indication that then Councilmember Troxeli would receive any "foreseeable, measurable" financial benefit, so no financial interest was presented; and 2) there was no indication that his position of employment or the amount of his compensation would be affected by his vote or Council's decision or actions with regard to the proposed football stadium, so there was no "direct and substantial gain or detriment to him and no personal interest was presented. The Board Determination: The Board is required under the Code to evaluate the Complaint and determine by majority vote whether to formally investigate the Complaint. in doing so, the Board should consider: 1. Whether the allegations in the Complaint, if true, would constitute a violation of state or local ethical rules; 2. The reliability and sufficiency of any facts asserted in support of the allegations; and 3. Any other facts or circumstances the Board may consider relevant. If the Board determines that the Complaint does not warrant investigation, the Board then directs staff to send written notice to the complainant of that determination and the reasoning behind it. A copy of that notice is also sent to the subject of the Complaint and the City Council. Summary 1. if the Board determines that there is no potential violation of state or local ethics laws under the facts alleged, the Board should make a motion to that effect that explains the Board's reasoning, and then vote to make that determination. If the Board makes this determination, no further action is needed on the Complaint (other than the provision of notice as required In the Code). Agenda Item 3 2. If the Board determines that the Complaint states a potential a conflict.of interest, then the Board will need to evaluate whether the facts asserted are.reliable and sufficient enough to support the allegation in the Complaint that a violation occurred, making an inve6tigation'of the Complaint appropriate. The Board may have knowledge of information that contradicts the asserted facts, or there may be a lack of information needed to form a reasonable suspicion that the violation alleged in the Complaint occurred. 3. If there is additional information available or presented to the Board that leads the Board to conclude that the Complaint does not merit further investigation, the Board should identify that information and explain how it affects the Board's decision as to whether further investigation is warranted. After the completion of its review of all factors, if it has not already made a determination, the Board will need to make a motion and vote on whether it has determined that further investigation is warranted, explaining the reasoning for its decision. Next Steps: As noted above, if the Board makes this determination, no further action is needed on the Complaint (other than the provision of notice as required in the Code). Alternatively, if the Board determines that further investigation is warranted, staff will suggest a schedule for next steps for the Board to proceed to that phase of the process. At the end of the Board's review and investigation, if any, the Board will issue an Ethics Opinion stating the outcome of its action. The Board's Ethics Opinion is then presented to the City Council for consideration and possible adoption by resolution. ATTACHMENTS 1. January 21, 2020, Complaint filed by Rory Heath (EXHIBITS incorporated by reference only) 2. Fort Collins City Code Section 2-569 3. Fort Collins City Charter Article IV, Section 9 4. Fort Collins City Code Section 2-568 5. Sections 24-18-101 through -105, Colorado Revised Statutes (C.R.S.) 6. Section 24-18-109, C.R.S. 7. Sections 24-18-201 through -206, C.R.S. 8. Sections 18-8-302 through -308, C.R.S. 9. Sections 18-8-402 through -409, C.R.S. 10. Advisory Opinion 17-04 of the Colorado Independent Ethics Commission (I EC) 11. Resolution 2014-107, of the City Council of the City of Fort Collins, Accepting Advisory Opinion and Recommendation No. 2014-01 of the Ethics Review Board 12. Advisory Opinion 16-05 of the Colorado Independent Ethics Commission (IEC) Disclaimer: I ani riot a licensed attorney in Colorado, nor purporting to be one by submitting this Ethics Complaint. To the best of my knowledge, inforrnation contained within this ethics complaint is accurate and factual, as executed to the best of my ability. Due to the nature of submitting a complaint of this weight I ask that the review process be explicitly contingent upon my prissence at City Hall during the Ethics Review Board Meeting. f submit this complaint with the expressed statement that additional material may be submitted, and the complaint revised, as needed, as new information is discovered and investigated, reserving all rights to do so, COMPLAINANT Rory Heath PO Box 271777 COMPLAINEES Wade Troxell Mayor, City of Fort Collins Associate Professor, Mechanical Engineering, Colorado State University Director, Center for Networked Distributed Energy, Colorado State University Director, RamLab, Colorado State University Kristin Stephens Mayor Pro Tem, Fort Cofhns City Council Councilmember represenfing District 4, Fort Collins City Council ii IS t Ken Summers Councilmember representing District 5, Fort Collins City Council Owner and Registered Agent, KGS Consulting ALLEGATIONS There exists a consistent betrayal of the public trust vested in the elected officials and the city staff of Fort Collins. This act was evident in varying levels throughout this process and perpetrated by various individuals. The most egregious and measurable violation of this trust was evident in the actions of 3 Fort Collins City Council Members, with questions surrounding why they voted against the overwhelming majority of citizens' wishes, continually, in strong light of each counciimembers' obvious conflicts of interest. The councilmembers in violation are Wade Troxell, Kristin Stephens and Ken Summers. Wade Troxell and Kristin Stephens are both current employees of Colorado State University. Colorado State University, in seeking to sell a tract of land it owns to Lennar Homes, is seeking government approval before the very city council that Wade Troxell and Kristin Stephens are both voting members of. This is textbook conflict of interest and corruption at the elected official level. Each has significant personal and social interests, significant financial interests, and thus, significant related Conflicts of Interest. Ken Summers, by all indications, owns and operates KISS Consulting, a business with the key taglines of "Opening Doors", "Providing Access" and "Empowering Influence" listed just below its' entity name, as currently seen on Ken Summers' own website, Kensummers.org. The contents of this website are an explicit billboard for "pay for play" In the political realm. Kensummers.org is a website still very much in use and regularly updated, with a post by the user "kensummers" on 12/23/2019. Ken Summers' email address and personal phone number are listed on the same page, below the list of services he is able to provide. This advertisement for influence into governmental decisions, in light of Ken Summers' present standing as councilmember brings all of his actions under justified scrutiny. Further, when seen voting opposite of the public will, his actions become that much more suspicious and in question. Summers himself also possesses a near "sky is the limit" conflict of interest from a personal, social, and even specific business perspective, possibly even including related lobbying statutes and laws. To really understand the extent to which Summers' actions have effected his position of public trust, an intense investigation will be required; up to and Including obtaining copies of financial statements, business transactions and the like. Opening up the possibility of selling influence invites all possible outside suitors into the legislative process. The actions of the councilmembers in question have specifically affected the integrity and the procedure of Fort Collins City Government In the consideration and the voting of City Ordinance No.138, 2019 and even the Ethics Review Board that convened on 12/16/2019. FACTS 1. Wade Troxell is currently and gainfully employed by Colorado State University. Mr. Troxell is an Associate Professor in the Mechanical Engineering department as well as the Director of the Center 2 for Networked Distributed Energy, as well as Director for Ramlab. Kristin Stephens is currently and gainfully employed by Colorado State University. Ms. Stephens is the Graduate Coordinator of the Department of Statistics and Program 11 Assistant in the Department of Statistics. (contained within Ex.17) 2. Wade Troxell and Kristin Stephens both took an Oath to CSU as a condition to their employment at CSU. (see Ex. 11) 3. Ken Summers is the presumable owner of KGS Consulting, as displayed as a feature tab on the website kensummers.org. Kenneth G Summers is listed as the registered agent on the Colorado Secretary of State website directory for the same KGS Consulting. (see Ex.18) 4. Colorado State University is the owner of a tract of land bounded to the West by Horsetooth Reservoir and it's related Open Space, and bounded to the East by South Overland trail. More particularly described by the accompanying and attached documents, and more generally referred to simply as the former site of Hughes Stadium. 5. The university is attempting to sell this land to a developer, Lennar Homes, under conditional terms, via a Purchase Agreement. (contained within Ex.17) 6. The Purchase Agreement in place explicitly lists an "Additional Purchase Price" to be paid as bonus for every housing unit sold on the property. Also explicitly listed in the Purchase Agreement is a clause titled "Preliminary Entitlement Confirmation" whereby Lennar homes is given a means by which to remove itself from the agreement if a stated minimum number of units is not met. (contained within Ex.17) 7. Wade Troxell has collected a paycheck, aka compensation for his employment and efforts. Wages have been exchanged as consideration for services rendered in the past and continuing to be rendered into the future. 8. Further, Mr. Troxell has gained national notoriety from his continued employment and involvement at programs housed within the CSU System and within the academic buildings of Colorado State University. (contained within Ex.17) 9. Troxell is a director and by extension, a fiduciary, for the Center and the Ramlab. (contained within Ex.17) 10. Wade Troxell, though currently an associate professor, could conceivably be promoted to a full professor or even further promoted to a Dean or the like, as had been the case in the past. This promotion would carry with it all of the additional benefits of the new title. 11. Kristin Stephens has collected a paycheck, aka compensation for her employment and efforts. Wages have been exchanged as consideration for services rendered in the past and continuing to be rendered into the future. (contained within Ex.17) 12. Kristin Stephens, though currently listed as a Graduate Coordinator and a Program Assistant, could conceivably be promoted to a position with better career opportunities, research authoring possibilities or a myriad of other benefits. 13. Ken Summers, through his KGS Consulting, offers the following services via his website (see Ex. 4) : • "Opening Doors" • "Providing Access" • "Empowering Influence" • "PERSONAL CONTACT WITH LEGISLATORS to inform them of your position on a bill and why you support or oppose the legislation." • "COMMUNICATION WITH DEPARTMENTS that interface with your business on the writing and implementation of rules" • 'TOURS AND RECEPTIONS that provide legislators an opportunity to learn firsthand about the work that you do" a "Navigating through the maze of the political arena can be a challenge. That is why an 1 individual with experience working with you and advocating on your behalf can make a { difference." 14. In 2017 Mayor Wade Troxell received campaign contributions from the National Association of Realtors Fund in the amount of $39,722. This number was added to $5,000 that had rolled over from a previous campaign, and $15,000 collected during this campaign. By definition, local reactors are dependent on housing as their "inventory" by which to make their commission, an overwhelming part of their personal compensation. (see Ex. 9) 15. Thompson Area Agoinst Stroh Quarry, Inc. et at v. Board of County Commissioners of Lorimer et al, Lorimer County District Court Case No. 2018CV30371, A court decision within Larimer County, entered in August of 2019, has directly and specifically addressed the question as to whether a campaign contribution would warrant recusal by a government official, in any capacity. (see Ex. 9) 16. Wade Troxell had previously recused himself in a matter related to CSU in 2017 regarding ordinance No.051, 2017. (see Ex. 9) 17. When collecting research data at the Drake Centre Event regarding as to which zoning was preferred by the general public, a narrow offering of 5 different scenarios was given, with none being composed only of RF and none containing POL. (see Ex. 2) 18. When asked for public comment and public feedback throughout the re -zoning process, there exists an absolute preponderance of evidence to support the conclusion that the public would support either the bare minimum of development for that parcel of land or no development at all, leaving It just how it is now, untouched. (see Ex.1) GOVERNING LAW The governing laws presented below are only a selection of applicable laws to the Complaint. As such, consideration of the matter before the Board is not limited only to those cited below and within this Complaint. The references made below are given in smaller snippet form. Please review the full attached exhibits, and the full verbiage of each statute, etc. Please see Ex. 5, 6, 7, 8, 9. a Fort Collins City Code Sec 2-568 (a) lays out the definitions by which to define the following portions of the city code a Fort Collins City Code Sec 2-568 (a) (11) states "personal Interest means any interest (other than a financial interest) by reason of which an officer or employee, or a relative of such officer or employee, would, In the judgement of a reasonably prudent person, realize or experience some direct and substantial benefit or detriment different in kind from that experienced by the general public:' Also citing Section 9(A) of the Charter Article IV. a Fort Collins City Code Sec 2-S68 (a) (18) states: Substantial shall mean more than nominal in value, degree, amount or extent. a Fort Collins City Code Sec 2-569 (c)(2) states: "To Review and investigate actual or hypothetical situations involving potential conflicts of interest presented by individual Councilmembers or board and commission members" • Fort Collins City Code Sec 2-569 (d)(1) (a) states: "Any person who believes that a Councilmember or board and commission member had violated any provision of state law or the Charter or Code pertaining to ethical conduct may file a complaint with the city clerk..." Fort Collins City Code Sec 2-569 (d)(1) (b) states: "... the Review Board shall consider the following: (1) whether the allegations in the complaint, if true, would constitute a violation of state or local ethical rules." s Fort Collins City Code Sec 2-569 (g) states: "Compliance with the applicable provisions of the Charter and Code and the provisions of state law, as well as decisions regarding the existence of nonexistence of conflicts of Interest and the appropriate actions to be taken in relation thereto, shall be the responsibility of each Individual Counciimember or board and commission member, except as provided in..." • Colorado Revised Statute 24-18-102 states: "As used in this part 1, unless the context otherwise requires: (1) "Business" means any corporation, limited liability company, partnership, sole proprietorship, trust or foundation, or other individual or organization carrying on a business, whether or not operated for profit. (2) "Compensation" means any money, thing of value, or economic benefit conferred on or received by any person in return for services rendered or to be rendered by himself or another. (3) "Employee" means any temporary or permanent employee of a state agency or any local government, except a member of the general assembly and an employee under contract to the state. (4) "Financial interest" means a substantial interest held by an Individual which Is: (a) An ownership interest In a business, (b) A creditor interest in an Insolvent business; (c) An employment or a prospective employment for which negotiations have begun; (d) An ownership interest in real or personal property; (e) A loan or any other debtor interest; or (f) A directorship or officership in a business, (5) "Local government" means the government of any county, city and county, city, town, special district, or school district. (6) "Local government official" means an elected.or:appointed of tial of a local government but does not include"an employee ofa local governt" ent: (7) "Officiala6Vor "official actlo;J9 meansanyvAio,-decision; recojrittterlQation; apprdvl disapproval, of other action; inciudiri inaction; which 3nviies tFib use of discretionary authoiit .' (8) "Public officer" means any elected officer, the head of a principal department of the executive branch, and any other state officer. "Public officer" does not include a member of the general assembly, a member of the judiciary, any local government official, or any member of a board, commission, council, or committee who receives no compensation other than a per diem allowance or necessary and reasonable expenses. ' (9) "State agency" means the state; the general assembly and its committees; every executive department, board, commission, committee, bureau, and office; every state Institution of higher education, whether established by the state constitution or by law, and every governing board thereof; and every independent commission and other political subdivision of the state government except the courts." o Colorado Revised Statute 24-18-103 states: "1) The holding of public office or employment is a public trust, created by the confidence which the electorate reposes In the integrity of public officers, members of the general assembly, local government officials, and employees. A public officer, member of the general assembly, local government official, or employee shall carry out his duties for the benefit of the people of the state. (2) A public officer, member of the general assembly, local government official, or employee whose conduct departs from his fiduciary duty is liable to the people of the state as a trustee of property and shall suffer such other liabilities as a private fiduciary would suffer for abuse of his trust. The district attorney of the district where the trust is violated may bring appropriate judicial proceedings on behalf of the people. Any moneys collected In such actions shall be paid to the general fund of the state or local government. Judicial proceedings pursuant to this section shall be in addition to any criminal action which may be brought against such public officer, member of the general assembly, local government official, or employee." a Colorado Revised Statute 24-18-104 (1)states: " Proof beyond a reasonable doubt of commission of any act enumerated in this section is proof that the actor has breached his fiduciary duty and the public trust. A public officer, a member of the general assembly, a local government official, or an employee shall not%. " o Please consider Colorado Revised Statute 24-18-105, in it`s entirety. v Colorado Revised Statute 24-18-109 states: (1) Proof beyond a reasonable doubt of commission of any act enumerated in this section is proof that the actor has breached his fiduciary duty and the public trust. (2) A local government official or local government employee shall not: (a) Engage in a substantial financial transaction for his private business purposes with a person whom he inspects or supervises in the course of his official duties; (b) Perform an official act directly and substantially affecting to its economic benefit a business or other undertaking in which he either has a substantial financial interest or Is engaged'as counsel, consultant, representative, or agent; or' (c) Accept goods or services for his or her own personal benefit offered by a person who is at the same time providing goods or services to the local government for which the official or employee serves, under a contract or other means by which the person receives payment or other compensation from the local government, unless the totality of the circumstances attendant to the acceptance of the goods or services f indicates that the transaction is legitimate, the terms are fair to both parties, the transaction is supported by full and adequate consideration, and the official or employee does not receive any substantial benefit resulting from his or her official or governmental status that is unavailable to members of the public generally. (3) ("a' A tinembrztftheoYe:P»IitgbQdy ofp`Jtical govemtrinlot private titel'est f n ally mdttbr pFopbsed br penifirtg b"efoie:ingoverriing bodyr slat) disclose suclt>1litdrbsE#itithe:civetiting""badyaitd;itial) no#vothereon atitlai( refraih ifQirt atti�r►tpttirg-xQ i�ifJifetice"the lecfsions of the othj ine_ tubers of the governing -body in votiftg on the matter. (b) A member of the governing body of a local government may vote notwithstanding paragraph (a) of this subsection (3) if his participation is necessary to obtain a quorum or otherwise enable the body to act and if he complies with the voluntary disclosure procedures under section 24-18-110. (4) it shall not be a breach of fiduciary duty and the public trust for a local government official or local government employee to: (a) Use local government facilities or equipment to communicate or correspond with a member's constituents, family members, or business associates, or (b) Accept or receive a benefit as an indirect consequence of transacting local government business. (5) (a) Notwithstanding any other provision of this article 18, it is neither a conflict of interest nor a breach of fiduciary duty or the public trust for a local government official who is a member of the governing body of a local government to serve on a board of directors of a nonprofit entity and, when serving on the governing body, to vote on matters that may pertain to or benefit the nonprofit entity. (b) (1) Except as provided in subsection (5)(b)(II) of this section, a local government official is not required to provide or file a disclosure or otherwise comply with the requirements of subsection (3) of this section unless the local government official has a financial interest in, or the local government official or an immediate family member receives services from, the nonprofit entity independent of the official's membership on the board of directors of the nonprofit entity. (11) A local government official who serves on the board of directors of a nonprofit entity shall publicly announce his or her relationship with the nonprofit entity before voting on a matter that provides a direct and substantial economic benefit to the nonprofit entity. in applying the laws referenced and re -stated above, there exist numerous applications, arguments and even very clear cut violations of law and worse yet, violations of the public trust given to the individuals in question. ANALYSIS Wade Troxell and Kristin Stephens have a direct personal Interest in CSU, a bias because of their relationship with CSU, and a means by which they can be rewarded by CSU as expertly laid out in a previous, and wholly separate ethics complaint regarding the very same ordinance. (see Ex.1T) Their refusal to recuse themselves from the process gave them a means by which they could exert their bias and personal/professional agenda upon the final decision. (see Ex. 3, in lieu of a typed transcript pertaining to the 111512019 Council Meeting, in addition to all other meetings as related to the Ordinance referenced within this Complaint) At every occasion that public comment was collected, the overwhelming majority of respondents asked for zoning that maximized open space, and minimized the number of houses placed on the parcel of land in question. The original materials for the First Reading of the ordinance relating to this parcel of land contained a breathtaking 655 pages full of citizens begging their elected officials to vote with the will of the people and approve a zoning solution best exhibited by either RF or POL zoning for the entirety of the tract. (see Ex.1) When it came time to declare their voting intentions, both Wade Troxell, Kristin Stephens, and Ken Summers, even upon being directly advised by city staff that affordable housing was unenforceable, chose to vote for higher density/ more housing units under the false rationale that this would create more affordable housing. (see Ex. 3, in lieu of a typed transcript pertaining to the 111512019 Council Meeting, in addition to all other meetings as related to the Ordinance referenced within this Complaint) This voting rationale, especially when told that their argument was proven invalid on record, is suspicious to say the least. By all appearances and indications, Troxell and Stephens voted in line with a course of action that would benefit their employer/ the entity that they are representatives for. Their votes were just opposite of the overwhelming public opinion. Further, the fact that they were even allowed to guide and participate In the discussion is alarming and a tainting of the sanctity of government, and especially alarming when considering their fiduciary duty to their constituents and the greater good of the Colorado public. (see Ex.1, and all applicable laws regarding fiduciary duty, not limited only to the ones contained within this complaint) Further bringing into question the sanctity of the process is the way that research data was collected and presented to Council, and similarly presented to the public. At the Drake Centre, public respondents were railroaded into choosing amongst only 5 options, with all options containing a large amount of homes to be built in their relating zoning. (see Ex. 2) No options were given that had exclusive RF or POi. zoning. Coupled with the slides presented by city staff summarizing support for each of the narrow options, a misrepresentation of the public's will and wishes was provided, with ease. Even the digitization of the post -it comments edited some comments by practice. (see page 19 and 15 of Ex.1) Fundamentally, this is an affront to the will of the people, as perpetrated by city staff and further brings into question the trust that is placed in local government officials, and city staff. These were both actions supported by city staff and referenced by the Councilmembers in question. Also interesting was T►oxeil's previous recusal when a similar conflict of interest arose in relation to his employment at CSU in 2017 regarding Ordinance No. 051, 2017. By the wording and definitions of the State Statutes and the Fort Collins Codes that generally reference the State Statutes, (see Far. 6, 7, 8), Troxell and Stephens are representatives and employees of CSU/ the seller of the parcel described in the ordinance. Within (Ex. 6,7,8), there are numerous applications of the terms and concepts introduced within the law, resulting in a very clear violation of nearly each applicable one. Councilperson Summers was presented the same overwhelming number of responses from citizens begging for Open Space and at worst, RF zoning, and just like Troxell and Stephens, he voted against the wishes of the very people that he was entrusted to represent and vote in line with. This decision to vote against the people before him, against the 655 pages of public comment and against the public's wishes in general was particularly alarming when considered in the frame of his website ie "Providing Access", "Empowering Influence". When looked at in that context, a vote against the public will, and instead in line with a possible private commercial interest seems to have possibly occurred. There is also a workplace sociological factor involved in Troxell and Stephens inherent bias towards their workplace. Not only is their future success tied to the future of CSU, but their success is also tied to their relationships with the people whom all fly the same CSU flag. It is a known psychological assertion that those together, all striving towards the same goal, especially in employment, regardless of the sector, tend to exhibit a groupthink mentality and one that Is in line with supporting the endeavors of the organization as a whole, regardless of evidence to the contrary; even to the detriment of those not a part of the same organization. Key examples of this can be seen in the Miigram Experiment on Obedience to Authority, The Solomon Asch Conformity Concept, and Irving Janis' work regarding the identification and study of the idea of "groupthink:' (see Ex. 2Z 13,14) Previous opponents of the fact that employment within State Education is still employment, with all of it's associated trappings, have argued that there is somehow a difference between the two. When evaluating any differences between public and private employment, they share nearly all of the same key characteristics: They show up to perform work duties at a common location usually, get a paycheck from this work, network and socialize with their peers and fellow employees while at work. They even share the same common goal of the prosperity and continued success of that entity that they represent. This goal In this case is firmed up by an oath to CSU which they both took. (see Ex.11) When evaluating the issue of conflict of interest, the Academic Faculty and Administrative Professional Manual of Colorado State University (see Ex.10) states "External obligations, financial interests, and activities of each University employee must be managed so that there is no interference with the employee's primary obligation and commitment to the University." When evaluating which of Troxell and Stephen's conflicting interests will win out, it's very clear that the CSU Staff Manual dictates that The University's Interests must win out. in this case, dictating that CSU's interest must win out over the public's wishes regarding this Ordinance and the fate of the associated parcel of land. This fact Is laid out in writing. In fact, Troxell and Stephens are to even remove themselves from the interference, as per the same Manual. Also in relation to this passage in the CSU Manual is the fact that Troxell and Stephens have not even properly adhered to the policies of CSU, nor the public trust placed within them by that employment, by ' removing themselves from the interference All of these actions, and suspicious voting patterns, coupled with Troxell and Stephens steadfast refusal to simply recuse themselves places us on the doorsteps of a very scary political principle: corruption. Continuing on this course and allowing these individuals to vote on, much less influence the discussion on the topic, is improper and casts a shade of impropriety on the process. Further, it has been shown again and again that this approach to determining the fate of a such a large and valuable swath of land is the wrong way to go about it. This is evidence that the fate of the Hughes Site needs to be in the hands of the thousands of people that have enjoyed it, and not just in the hands of 7 people too easily influenced by outside Interests and unwilling to recognize their own inherent bias. (see Ex.1) At no point during this process has government aptly summarized the people's opinion for them, nor should they be allowed to. Further disconcerting was the question as to whether the Ethics Review Board that previously met on 12/16/2019 can even be considered to be unbiased, when council themselves are asked to essentially police themselves in the manner. I feel that asking anyone to objectively judge and evaluate a peer whom shares the same duties and responsibilities as oneself is not a fair process in the least due to Inherent biases. Le., you're naturally inclined to feel sympathetic to someone who encounters the same possible challenges and possible pitfalls before them. What personally concerns me in the matter is the voracity with which Ken Summers attacked all arguments in support of an investigation into the Ethics Complaint (see future exhibit to be added of record of the Ethics Review Board meeting having taken place on 1211612019). Considering Ken's own promises of "Opening Doors", "Providing Access", and "Empowering Influence" on his website, I can't help but fear that Ken's own consulting business has somehow tainted even the Ethics Review Board. And to be honest, I don't even know where to start on all of the processes that Ken could have tainted by his actions and questionable motives. The question to consistently be asked here Is: What happens when the needs and goals of a client of Ken's consulting service runs opposite of that of his constituents? The fact that the possibility even exists that he could arrive at this decision juncture is unacceptable, especially in view of the public trust that is placed upon him. In fact, the very idea of "opening doors" and "selling access" is antithetical to a properly represented constituency. When looking to outside advice and academic legal guidance on the subject, Robert Wechsler, a graduate of Harvard College and Columbia University law School, and contributor to Columbia law School's Center for The Advancement of Public Integrity, offers terrific exploration of the topic through two writings, Local Government Ethics Programs: A resource for Ethics Commission Member, Local Officials, Attorneys, Journalists, and Students, and A Manual for Ethics Reform EX and Local Government Ethics Programs In a Nutshell. (see Ex. 25, 26) In the past, Wechsler has even contributed to The Washington Post regarding Washington O.C. politics. m Finally, regarding the topic of campaign contributions by the National Association of Realtors Fund to Mayor Troxeil's election campaign, there exists case law regarding proportionally large contributions to a candidate's election campaign serving to "violate a person's due process rights to an impartial decision -making body." (see Ex. 5,9) This case law, found in the same county as the parcel in consideration, is a terrific path by which to approach Troxell's actions from an additional front. CONCLUSION In summary, the following has been presented: 1. Fort Collins Mayor Wade Troxell and Fort Collins City Councilmember Kristin Stephens are both employees of Colorado State University, the very same entity seeking favorable re -zoning so that the sale of a large 16S-acre parcel of land may be successfully sold to Lennar Homes, a developer. 11. Fort Collins City Councilmember Ken Summers is currently hosting on his website kensummers.org, a page dedicated to his political consulting business/lobbyist business. This page promises direct influence of legislative matters that can be interpreted to mean either the influence of a third party, or of himself, in exchange for compensation of some sort. ill. The actions of all three individuals, as it pertains to all related activities relating to the consideration of Fort Collins Ordinance No.138, 2019 (including all related Ethics Complaints hearings), are in direct violation of State and Municipal Ethical and Conflict of interest laws. All three individuals have also failed in performing their fiduciary duty to the people of Colorado, a duty ingrained within their public service, and in the case of Troxell and Stephens, their employment by Colorado State University. IV. A consistent effort to minimize the representation of the public's wishes regarding the end use of the parcel of land in consideration has been continually undertaken by city staff and City Elected officials. I request that the Ethics Review Board investigate all ethics violations made by Wade Troxell, Kristin Stephens, and Ken Summers. I request that the Board carry this out using all tools and options at it's disposal and do so by taking to heart the public's explicit, expressed, and continual wishes regarding one of the most important pieces of land to Fort Collins' Identity. I specifically request that Wade Troxell, Kristin Stephens and Ken Summers are removed from all interactions with the decision -making process, and severe remediation actions are taken to address the harm to the process already caused. In closing, I'd like to give the opportunity for a few other members of the public to speak and have their voices heard in a more direct way: "No westward growth. Open Space. Walking trails only." "500-600 Homes added to this area unacceptable" "Encourage CSU to look for a buyer that will keep it open space" 11 "This'open space' has been an outdoor recreation location well-known by the community and used as such for many, many years. Development is taking this away from the community. {post -it note placed over word, illegible} allow lots of open space." "Takes public access and enjoyment/ shared use out of the picture. Not fair when we have to stare at those houses instead of our beautiful foothills habitat every day." Above quotes excerpted from Exhibit 1, and pages 94-112 of the First Reading Packet for Ordianance No. 238, 2019. In light of this complaint, and consistent with the actions taken regarding past Ethics Review Board Complaints,) respectfully request a delay in any matters before Council in relation to Ordinance No. 138, 2019, commonly referred to as "The Hughes Re -Zoning." As explicitly acknowledged and stated on 11/19/2019, the mere appearance of impropriety in the process could forever stain the process and further erode the public trust in Council's actions. Submitted with respect and severe concern to the Ethics Review Board this 21" day of January, 2020. Rory Heath 12 Exhibits 1. All pages of previous submitted comments, pages 94-748 of the packet 2. All pages of narrow options given to drake centre attendees 3. Video of first reading 4. KGS website 5. Referenced court case by lawyer letter 6. Muni Code 7. State Statutes 8. Statutes submitted by city attorney 9. Lawyer letter 10. Excerpt from Academic Faculty and Administrative Professional Manual of Colorado State University 12. Oath of CSU 12. Voltage- Milgram Experiment 13. Group Think- arch conformity concept 14. Groupthink- Irving L Janis, 1S. Shortened Columbia University Paper 16. Long Columbia University Paper 17. Nick Frey Complaint 18. Secretary of State Directory Result for KGS Consulting 19. Official Record of Ethics Meeting to be found in the future 13 Sec, 2-569, - Board of ethics, #I r-A ro tarl Eff&:M�ge m a (c) Subject to the provisions of Subsection (d) below, the duties and responsibilities of the Review Board shall be as follows: (1) To review and investigate complaints of unethical conduct filed against CouncOmembers or board and commission members by any person; (2) To review and investigate actual or hypothetical situations involving potential conflicts of interest presented by individual Councilmembers or board and commission members; (3) After review and investigation, to render advisory opinions or interpretations pertaining to such complaints or inquiries under the relevant provisions of the Charter and Code and the applicable provisions of state law, if any, and to make written recommendations to the City Council and any affected board or commission concerning the same; and (4) To propose any revisions to the provisions of the Charter or Code or other regulations, rules or policies of the City pertaining to ethical conduct as the Review Board may deem necessary and appropriate in the best interests of the City. (d) Complaints and inquiries shall be submitted to the Review Board only according to the following procedures: (1) Complaints. a. Any person who believes that a Councilmember or board and commission member has 'violated any provision of state law or the Charter or Code pertaining to ethical conduct may file a complaint with the City Clerk, who shall immediately notify the chairperson of the Review Board, the Councilmembers or board and commission members named in the complaint and the City Council. The complaint shall be promptly scheduled for consideration by the Review Board as soon as reasonably practicable. No more than thirty (30,) working days after the date of filing of the complaint, the Review Board shall meet and consider the complaint. In the event extenuating circumstances arise in the scheduling and preparation for such meeting, the time for meeting shall be extended by fourteen (114) calendar days, Aff Councilmembers or board and commission members named in the complaint, as well as the complainant, shall be given written notice of such meeting at least three (3) working days prior to the meeting. A notice of the complaint, including the identity of the complainant shall be posted along with the meeting notice. a copy of the complaint, to all Councilmembers or board or commission members named in the complaint, as well as the City Council. c. In the event that a complaint is filed with the City Clerk under the provisions of this Subsection which alleges a violation on the part of two (2) or more members of the Review Board (including the alternate), such complaint shall not be referred to the regular Review Board for review but shall instead be submitted to an alternate Review Board consisting of all remaining Councilmembers who are not named In the complaint; provided, however, that if five (5) or more Councilmembers are named in the complaint, the alternate Review Board shall also include as many members of City boards and commissions as are necessary to constitute a seven -member board. Said Board and commission members shall be selected at random by the City Clerk within ten (10) working days of the date upon which the complaint is filed with the City Clerk. Any board and commission members selected by the City Clerk who elect not to serve on the alternate Review Board shall immediately so notify the City Clerk, who shall thereafter select as many additional board and commission members as are necessary to constitute the seven -member alternate Review Board. The procedures utilized by the alternate Review Board for reviewing and investigating the complaint and rendering an advisory opinion and recommendation shall be as provided in Subsections (b) and (e) of this Section, except that: (1) the opinion and recommendation of such Board shall be final and shall not be submitted to the City Council for review or adoption by the City Council unless at least three (3) Councilmembers remain available to consider and take action on the opinion and recommendation; and (ii) the City Council and City staff shall, upon request by the alternate Review Board, make available to such Board all information in the possession of the city that is relevant to the Board's investigation, including, without limitation, tape recordings of any relevant executive sessions, unless the release of said information is prohibited by state or federal law; and, in reviewing and discussing such information, the Board shall abide by any local, state or federal confidentiality requirements that might limit or prohibit the release of such information to third parties. (2) City Council inquiries, Any Councilmember may present directly to the Review Board any inquiry regarding the application of ethical rules of conduct under state statute or the Charter or Code to any actual or hypothetical situation of a Councilmember or board and commission member. (e) In performing its review and investigation of any complaint or inquiry submitted in accordance with Subsection (d) hereof, the Review Board shall afford all affected Councilmembers or board and commission members an opportunity to present their interpretations of the facts at issue and of the applicable provisions of law before rendering its opinion and recommendation. The Review Board may also request such additional materials or information from City staff or members of the public which it considers reasonably necessary or helpful to its deliberations. in addition, in the case of a complaint, the Review Board shall have the power to compel by subpoena the attendance and testimony of witnesses and the production of such documents as the Review Board may consider necessary to its investigation. After investigation, the Review Board shall forthwith issue an advisory opinion and recommendation to the City Council, which shall immediately thereafter be filed with the City Clerk and be available for public inspection. Said opinion and recommendation shall be submitted to city Council at a regular City Council meeting, at which time the City Council shall determine whether to adopt the same. Any whose conduct or circumstance is the subject of the opinion shall refrain from participating in any deliberations of the City Council regarding the opinion. (f) The City Attorney shall provide legal advice to the Review Board and shall prepare and execute all advisory opinions and recommendations of the review board. (g) Compliance with the applicable provisions of the Charter and Code and the provisions of state law, as well as decisions regarding the existence or nonexistence of conflicts of Interest and the appropriate actions to be taken in relation thereto, shall be the responsibility of each individual Councilmember or board and commission member, except as provided in Subparagraph 2- 568(c)(1)(g). An opinion adopted by the City Council under Subsection (e) of this Section shall constitute an affirmative defense to any civil or criminal action or any other sanction against a Councilmember or board or commission member acting in reliance thereon. (Ord. No. 112, 1989, § 1, 8-1-89; Ord. No. 17, 1993, 2-16-93; Ord. No. 64, 1993, 7-20-93; Ord. 132, 2001, § 2, 9-18-01; Ord. No. 110, 2002, §§ 13, 8-20-02; Ord. No. 144.2014, 11-4-14 ; Ord. No. 102.201 S , § 2, 9-3- l9) Section 9. - Conflicts of interest, (a) Definitions . For purposes of construction of this'Section 9, tile following words and phrases shall have the following meanings. Business means a corporation, partnership, sole proprietorship, firm, enterprise, franchise, association, organization, self-employed individual, holding company, joint stock company, receivership, trust, activity or entity, Financialb7terestmeans any interest equated with money or its equivalent, Financial interestshall not "include: (1) the interest that an officer, employee or relative has as an employee of a business, or as a holder of an ownership interest in such business, in a decision of any public body, when the decision financially benefits or otherwise affects such business but entails no foreseeable, measurable I (2) the interest that an officer, employee or relative has as a nonsalaried offic or member of a nonprofit corporation or association or of an educational,] (3) the interest that an officer, employee or relative has as a recipient of public services when such services are generally, provided by the city on the same terms and conditions to all similarly situated citizens, regardless of whether such recipient is an officer, employee or relative; (4) the interest that an officer, employee or relative has as a recipient of a commercially reasonable loan made in the ordinary course of business by a lending institution, in such lending institution; (5) the interest that an, officer, employee or relative has as a shareholder in a mutual or common investment fund in the holdings or such fund unless the shareholder actively participates in, the management of such fund; (6) the interest that an officer, employee older in, an insurance company, a: depositor in a duly established savings association or bank, or a similar in terest-hiol'der, unless the discretionary act of such person, as an officer oir ernployee, could immediate ly, definitely and mea surably Fort Collins, CO Municipal Code Page 2 of 4 (7) the interest that an officer, employee or relative has as an owner of government -issued securities unless the discretionary act of such owner, as an officer or employee, could immediately, definitely and measurably affect the value of such securities; or (8) the interest that an officer or employee has in the compensation received from the city for personal services provided to the city as an officer or employee. Offlceroremployeemeans any person holding a position by election, appointment or employment in the service of the city, whether part-time or full-time, including a member of any authority, board, committee or commission of the city, other than an authority that is: (1) established under the provisions of the Colorado Revised Statutes; (2) governed by state statutory rules of ethical conduct; and (3) expressly exempted from the provisions of this Article by ordinance of the Council. Personal /nterestmeans any interest (other than a financial interest) by reason of which an officer or employee, or a relative of such officer or employee, would, in the judgment of a reasonably prudent person, realize or experience some direct and substantial benefit or detriment different in kind from that experienced by the general public. Personal interest shall not include:. (1) the interest that an officer, employee or relative has as a member of a board, commission, committee, or authority of another governmental entity, or of a nonprofit corporation or association or of an educational, religious, charitable, fraternal, or civic organization; (2) the interest that an officer, employee or relative has in the receipt of public services when such services are generally provided by the city on the same terms and conditions to all similarly situated citizens, or (3) the interest that an officer or employee has in the compensation, benefits, or terms and conditions of his or her employment with the city. Publicbodymeans the Council or any authority, board, committee, commission, service area, department or office of the city. about:blank 2/18/2020 rd89 J uL N Relative means the spouse or minor child of the officer or employee, any person claimed by the officer or employee as a dependent for income tax purposes, or any person residing in and sharing with the officer or employee the expenses of the household. (b) Rules of conduct concerning conflicts ofinterest. (1) Sales to the city. No officer or employee, or relative of such officer or employee, shall have a financial interest in the sale to the city of any real or personal property, equipment, material, supplies or services, except personal services provided to the city as an officer or employee, if: a. such officer or employee is a member of the Council; b. such officer or employee exercises, directly or indirectly, any decision - making authority on behalf of the city concerning such sale; or c. in the case of services, such officer or employee exercises any supervisory authority in his or her role as a city officer or employee over the services to be rendered to the city. (2) Purchases from the city. No officer, employee or relative shall, directly or indirectly, purchase any real or personal property from the city, except such property as is offered for sale at an established price, and not by bid or auction, on the same terms and conditions as to all members of the general public. (3) Interests in other decislons. Any officer or employee who has, or whose relative has, a financial or personal interest in any decision of any public body of which he or she is a member or to which he or she makes recommendations, shall, upon discovery thereof, disclose such interest in the official records of the city in the manner prescribed in subsection (4) hereof, and shall refrain from voting on, attempting to influence, or otherwise participating in such decision in any manner as an officer or employee. (4) Disclosure procedure. If any officer or employee has any financial or personal interest requiring disclosure under subsection (3) of this section, such person shall immediately upon discovery thereof declare such interest by delivering a written statement to the City Clerk, with copies to the City Manager and, if applicable, to the chairperson of the public body of which such person is a member, which statement shall contain the name of the about:blank 2/18/2020 Fort Collins, CO Municipal Code Page 4 of 4 officer or employee, the office or position held with the city by such person, and the nature of the interest. If said officer or employee shall discover such financial or personal interest during the course of a meeting or In such other circumstance as to render it practically impossible to deliver such written statement prior to action upon the matter in question, said officer or employee shall immediately declare such interest by giving oral notice to all present, including a description of the nature of the interest. (5) Violations. Any contract made in violation of this Section shall be voidable by the city. if voided within one (1) year of the date of execution thereof, the party obtaining payment by reason of such contract shall, if required by the city, forthwith return to the city all or any designated portion of the monies received by such individual from the city by reason of said contract, together with interest at the lawful maximum rate for interest on judgments. (Res. No. 71-12, 2-11-71, approved, election 4-6-71; Ord. No. 155,1988,12-20-88, approved, election 3-7-89; Ord. No. 10,1997, § 1, 2-4-97, approved, election 4-8-97; Ord. No. 22, 2001, § 2, 2-20-01, approved, election 4-3-01; Ord. No. 003.2017 . § 2, 1-17-17, approved, election 4-4-17) about:blank 2/18/2020 ' —1 1 1-1-.11"", +�.+ "I R a . IAA a a w 4 P" 4 ti..' 'd ' 4 rage I U1 V Sec. 2-568. - Ethical rules of conduct. PtIMM1M., (a) Definitions, The following words, terms and' phrases, when used in ths Section, Section .2-_569 and in Section 9 of the Charter Article IV, sha li have the following meanings-, (1) Attempt to influence or influence, as it pertains to this Section, shall mean take any action intended to impact, shape, control, sway, bias or prejudice, (3) Boarclandcommis5ion membershall mean a member of any appointive M (4) Colifidentialinformation or information recelveo' In confidence shall mean: a. Information contained in any writing that may property be withheld from public inspection under the provisions of the Colorado Open Records Act and that is marked "confidential" when provided to the officer or ernployee; b. All information exchanged or discussed in any executive session properly convened under § 2-31 or 2-71 of the Code, except to the extent that such information is also, contained in a PUbfic record available to the general public under the provisions ons of the Colorado Open Records Act; or c, All communications between attorneys representing, the City and officers or employees of the City that are subject to the attorney -client privilege, whether oral or written, unless the privilege has been waived. (5) Councilmembershall mean a member of the City Council. (6) Different in kincl froln that experience dby the generalpubllc shal I mean of a different type or nature not shared by the public generally and that is not merely different in degree from that experienced by the public generally. (7) Directshall mean resulting immediately and proximately from the circumstances and not from an intervening cause, (9) Financialintere5t5hall have the meaning given to this term in Section 9(a) of Charter Article IV, which states: FInancial interest m ea ns any interest equated with money or Fort Collins, CO Municipal Code Page 2 of } Financial interest shall not include: a. the interest that an officer, employee or relative has as an employee of a business, or as a holder of an ownership interest in such business, in a decision of any public body, when the decision financially benefits or otherwise affects such business but entails no foreseeable, measurable financial benefit to the officer, employee or relative; b. the interest that an officer, employee or relative has as a nonsalaried officer or member of a nonprofit corporation or association or of an educational, religious, charitable, fraternal or civic organization in the holdings of such corporation, association or organization; c. the interest that an officer, employee or relative has as a recipient of public services when such services are generally provided by the city on the same terms and conditions to all similarly situated citizens, regardless of whether such recipient is an officer, employee or relative; d. the Interest that an officer, employee or relative has as a recipient of a commercially reasonable loan made in the ordinary course of business by a lending institution, in such lending institution; e. the interest that an officer, employee or relative has as a shareholder in a mutual or common investment fund in the holdings of such fund unless the shareholder actively participates in the management of such fund; f. the interest that an officer, employee or relative has as a policyholder in an insurance company, a depositor In a duly established savings association or bank, or a similar interest -holder, unless the discretionary act of such person, as an officer or employee, could Immediately, definitely and measurably affect the value of such policy, deposit or similar interest; g. the interest that an officer, employee or relative has as an owner of government -issued securities unless the discretionary act of such owner, as an officer or employee, could immediately, definitely and measurably affect the value of such securities; or 13 about:blank 2/18/2020 . w.. vvuuaw, vv a.a..aaawarwa vvuv ragz J ut i the interest that an officer or employee has in the compensation received from the city for personal services provided to the city as an officer or employee. (10) Orliceror employee shall mean any person holding a position by election, appointment or employment in the service of the City, whether part-time or full-time, including any member of the City Council and any member of any authority, board, committee or commission of the City, other than an authority that is: a. Established under the provisions of the Colorado Revised Statutes; b. Governed by state statutory rules of ethical conduct; and c. Expressly exempted from the provisions of Article IV of the City Charter by ordinance of the City Council. (11) Personal interest shall have the meaning given to this term in Section 9(a) of the Charter Article IV, which states: Personal interest means any interest (other than a financial interest) by reason of which an officer or employee, or a relative of such officer or employee, would, in the judgment of a reasonably prudent person, realize or experience some direct and substantial benefit or detriment different in kind from that experienced by the general public. Personal interest shall not include: a. the interest that an officer, employee or relative has as a member of a board, commission, committee, or authority of another governmental entity or of a nonprofit corporation or association or of an educational, religious, charitable, fraternal, or civic organization; b. the interest that an officer, employee or relative has in the receipt of public services when such services are generally provided by the city on the same terms and conditions to all similarly situated citizens; or c. the interest that an officer or employee has in the compensation, benefits, or terms and conditions of his or her employment with the city. (12) Publicbodyshall have the meaning given to this term in Section 9(a) of Charter Article IV, which states: Publicbodymeans the Council or any authority, board, committee, commission, service area, department or office of the city. about:blank 2/18/2020 Fort Collins, CO Municipal Code Page 4 of 9 (13) Public services shall mean city services provided to or made available for the public's benefit. 5 (14) Related entityshall mean any corporation, limited liability company, partnership, sole proprietorship, joint venture, trust, estate, foundation, association, business, company or any other organization, whether or not operated for profit, with respect to which an officer or employee, or a relative of the same, has a substantial ownership interest in, is employed by, is an agent for or otherwise represents in any legal capacity. (15) Relative shall have the meaning given to this word in Section 9(a) of Charter Article IV, which states: Relative means the spouse or minor child of the officer or employee, any person claimed by the officer or employee as a dependent for income tax purposes, or any person residing in and sharing with the officer or employee the expenses of the household. (16) Routine Citymattershall mean a usual and ordinary registration, reservation, or other request or application, within a program or for public services or City approval, such as a registration for a recreation class, reservation of a park shelter, request for standard utility services or application for a building permit, development approval or variance, or an appeal, provided that the same is carried out using a routine process or system or in a manner consistent with standard practices. (17) Similarlysituatedcitizens shall mean citizens in like circumstances having comparable legal rights and obligations. (18) Substandaishall mean more than nominal in value, degree, amount or extent. (b) Notwithstanding the provisions of 1 1-15 of the Code, an alleged violation of the provisions of this Section by a member of the City Council shall not be prosecuted in the Municipal Court as a misdemeanor criminal offense but shall instead be referred to the Ethics Review Board for an advisory opinion and recommendation under the provisions of § 2-S . (c) Rules of conduct. (1) about:blank 2/18/2020 • M&Y ✓ Vj / Use and disclosure of confidential information. The following rules shall apply to the use and disclosure of confidential information by officers and employees of the City. In the event of any conflict among these provisions, the more specific provision shall take precedence over the more general provision. a. No use for personal gain. No officer or employee shall knowingly use information received in confidence as an officer or employee to advance the financial or personal interests of the officer or employee or others. b. Disclosure of confidential information, generally. No officer or employee shall knowingly disclose any confidential information to any person who is not an officer or employee or to an officer or employee whose official duties are unrelated to the subject matter of the confidential information or to maintaining an official record of such information on behalf of the City, unless such disclosure is reasonably necessary to protect the City from the gross mismanagement of public funds, the abuse of governmental authority, or illegal or unethical practices. c. Disclosure of confidential information provided to the City Council. All information received in confidence by the City Council shall remain confidential, and no officer or employee shall knowingly disclose any such confidential information to any person to whom such information was not originally distributed by City staff unless and until the City Council has, by majority vote, consented to its release, unless such disclosure is reasonably necessary to protect the City from the gross mismanagement of public funds, the abuse of governmental authority, or illegal or unethical practices. d. Disclosure of information discussed in executive session. No officer or employee shall knowingly disclose any confidential information discussed in an executive session to any person who was not present during such discussion, other than members of such body who were unable to attend the executive session, without the prior knowledge and consent of the body holding such executive session, unless such disclosure Is reasonably necessary to protect the City from the gross mismanagement of public funds, the abuse of governmental authority, or illegal or unethical practices. In the event that a matter discussed in about:blank 2/18/2020 Tort Collins, UU Mutueipal Lode Page b of 9 executive session comes before the City Council or a board or commission of the City for formal action at an open meeting, or if such formal action is anticipated, nothing herein shall be construed as prohibiting a member of the body that will be taking such formal action from stating his or her position or opinion with regard to the matter, as long as such statements do not divulge confidential information received from others during the executive session. e. Certain distribution and discussion by City Manager and City Attorney permitted. Notwithstanding the provisions of Subparagraphs c. and d. above, the City Manager and City Attorney may further distribute confidential information provided to the City Council and may disclose confidential information discussed in any executive session of the City Council, or of a Council committee, to such staff members and/or board and commission members as they may consider reasonably necessary to enable them to fully advise the City Council or to implement any direction given by the City Council or to advise other officers and employees of the City whose official duties are related to the subject matter of the confidential information or to maintaining a record of the same on behalf of the City. f. No disclosure of confidential information to officer or employee having conflict of interest. No officer or employee who has filed a statement of conflict of interest with the City Clerk under Article IV, Section 9 of the Charter, or who has been determined by the City Council under the provisions of Subparagraph g. below to have a conflict of interest, shall knowingly elicit, accept or inspect any confidential information pertaining to the subject matter of such conflict of interest, nor shall any such officer or employee attend or participate in an executive session of the City Council, or of a Council committee or board or commission of the City, pertaining to said subject matter. g. The City Council may determine that a Councilmember shall not receive confidential information or attend executive sessions on a particular topic if the City Council first determines that said Councilmember has a conflict of interest in the subject matter of such confidential information and/or executive session. Any such determination by the City Council about:blank 2/18/2020 t asw t VA 7 shall be made only after the City Council has received an advisory opinion and recommendation of the Ethics Review Board on the r question, rendered in accordance with the provisions of § 2.569. (2) With respect to any matter regarding which a Councilmember has declared a conflict of interest, said Councilmember is prohibited from discussing with, or otherwise attempting in any capacity to influence, directly or indirectly, any City officer or employee, and from representing any person or interest before the City Council or any board of commission of the City or in dealing with any City officer or employee, except that such Councilmember may represent with any City employee or before the City Council or a board or commission of the City his or her own interest or that of a relative provided said Councilmember does not violate Section 2-568(c)(5) or (c)(6). (3) In any action in which a member of a City board or commission member ("member") declares a conflict of Interest, such member shall not communicate to or attempt to influence such board or commission regarding such item, in any capacity, except that: a. the member may communicate with said board or commission to protect a strictly personal interest, in the same or similar ways in which the public is permitted to communicate with the board or commission. b. the member may prepare materials on behalf of another for a project in the normal course of business or operation, so long as the purpose of those materials is not directly and substantially related to advocacy before said member's board or commission. Those materials may be Included in materials submitted by another to said member's board or commission so long as they fall within this exception. For illustrative purposes, such materials may include, but are not necessarily limited to architectural plans, technical studies, and engineering designs. c. if a member has declared a conflict of interest in a matter in accordance with the City Charter and Code and so is precluded from participating in or influencing the decision of his or her board or commission, he or she may request a variance from the limitations of this subsection from the City Council in the following circumstances, and in the following manner: 1. The member must submit a request for a variance to the City Cleric on a form provided by the City Clerk for such purpose. about:blank 2/18/2020 Fort Collins, W Municipal Code Page 8 of 9 2. The member must demonstrate that without the variance, he or she would suffer an exceptional hardship, and that no reasonable alternative exists that would allow for that hardship to be avoided f or substantially mitigated; 3. The City Council must act by resolution to approve or disapprove the requested variance. d. This limitation does not apply to other members, partners, or other parties of the member's or firm or entity, who may continue to work on the project and may advocate to such member's board or commission, provided that the member has declared the conflict and refrains from participating in the matter consistent with the application limitations. (4) All officers and employees shall refrain from accepting payment for any speeches, debates or other public events and shall further refrain from accepting any gift or favor which, in the judgment of a reasonably prudent person, would tend to impair the officer's or employee's independence of judgment in the performance of his or her official duties. The following shall not constitute prohibited gifts or favors under this Section: a. Campaign contributions reported as required by Chapter 7. Article V of this Code; b. A nonpecuniary award publicly presented by a nonprofit organization in recognition of public service; c. Payment of or reimbursement for actual and necessary expenditures for travel and subsistence for attendance at a convention or other meeting at which an officer or employee is scheduled to participate; d. Reimbursement for or acceptance of an opportunity to participate in a social function or meeting which is offered to an officer or employee which is not extraordinary when viewed in light of the position held by such officer or employee; e. Items of perishable or nonpermanent value that are insignificant in value, including, but not limited to, meals, lodging, travel expenses or tickets to sporting, recreational, educational or cultural events; and f. Payment of salary from employment, including other employment in addition to that earned from being an officer or employee. about:blank 2/18/2020 r agc 7 Ut 7 I (5) No officer or employee shall request on his or her own behalf, or for or through a relative or related entity, from any other officer or employee, or grant to any other officer or employee, or relative or related entity of the same, any consideration, treatment or advantage in the interpretation, administration or enforcement of the Charter, Code, any City regulation, policy or program or in the provision of public services, that is substantially different from that available to other persons in the same circumstances or having the same need. (6) if any Counciimember contacts an officer or employee regarding a request in connection with that contacted officer's or employee's role and in relation to a matter that is not a routine City matter and is not within the Councilmember's role as an officer of the City, said Councilmember shall no later than 5:00 p.m. on the next business day after such contact deliver a written disclosure to the City Clerk and the City Manager and to all other members of City Council. The written disclosure must describe the date, time and general subject matter of the contact, together with the identity of the officer or employee contacted. Any private or confidential information, such as tax, utility account, or other personal information may be excluded or redacted from such disclosure. Disclosure by means of an electronic message shall be deemed to constitute written disclosure for purposes of this provision. (Ord. No. 112, 1989, § 1, 8-1-89; Ord. No. 162, 2000, § 2, 11-21-00; Ord. No. 109, 2002, §§ 1-4, 8-20-02; Ord. No. 145. 2014. 11-4-14: Ord. No. 159, 2014, §§ 1-3. 11-18-14: Ord. No. 037. 2017 . §§ 2, 3, 3-7-17; Ord. No. 167.2017 . § 2, 12-19.17) about:blank 2/18/2020 24- 1�8-101 . Legislative declaradon We general assembby recoghizes the importance of ME p3WdpRQn of the Alens of We Wte in §� OuS5 el goverAment iq Vie state. The qen�-,a! asrnbly further recogrfi-za5 LCiat, mli:-w,n co� tr0s state WWn puWa offive, wriMs, may arise berviaan the pu'Dii,-, duty of such 2, cdrze:n and hW:- or he, private interest. The ganrk assembly hareby dedares that the, prescription of same standards of conflict curnmon to thmse citizens involved WIN governmerit is be,-.neficiatcy all resiJents of the state. The prav&Ons of ON part I rezoginte that some achons are cari'Nicts per sE beto,,eeri pw blh'.. di,-Tty ar�J phyate interest WIN Wher a-ztjons may or may not pose such conflicts ci-.2pendng upciri th�E 24-18-102. Definklons As used in this pat 1, unNiss the cwte.,.t o,"h-i, I be requRP (1) BAnew, nleaqF any CWpofoul"�nqed I IN W aluTanb partreSQ, sow Je'��""' t' C„' orgawaanw Can"Ing Co a bushE5t "nTwor a- rot upwaNd T:'� rnok (2) "CQnqenSaJOW' Means any Mowy, bang of va:f."e' or bz-,,�-,�ffk' co-iri:rred on c,,- nac:�--�ved hy anj pErsum in return fcr servi::es andered or W be ra(VJEred bj himPor ") 'ErnVoyd means any tarrWwaj ci permanent ernplayea of a saw Nag ervy a- wq jna� govern-ner L, evcept a member of he genv& onsembly and an MWOgz' Urrda.,, contra,," to the sEE-ite Firiancial Mterest- ineans a subbstan'.ai: held bi an OzINGA "Ndi W An intere"'t in a (b) A credlor Weak 0 an, insolv:'�,nt buyness; to emp%juent or a prospectNe emptynW rj'"I� hp in rz"'r (v) C' any (i) (5) Lun! givernmeW "nam the gvvenunerq of any �ujrnq aty anj caunq, caj, Una, 5panw d sYkt, ur who& dis&Q (6) 'LOW gwern ment WON mews an GeUed w appo nAd WaY of ? 0--al "t WOR an cl�' a lzlcal (7) '()�i iO tt Co meari; ary vote, din son, rEnomrrvPjaWYrq approoa"dsFpprcv;!' or n9m- Won, indiding inacbon, vihch ',:h{: u5�,, of disc n;"k9:iriary ity, (8) 'PAW: AW means any e1claid OHneq tha heed of a FamQ9 dyalmna a" the ewcWve bra"h, and any ONer We Mer. 'Publa OFe'ooemot�QdWbhegemya assambly, a meaks of he pdbxy, any lozal governwen! ORKIN, 07 any rnernber of 5, board, worr; sAn, counr-!, occ-WiaTkUee Ko recaveii no COMPEnsabon other than a per.cfern Waywance ar necessary ard reasoneWs expenses, (9) 'Susse sgenw* means Me stak; We general agserrQY an it5 CCfT)IWttteS; eXeCU-Liv� departmEnt, Wool, caminhKon cornmotes, bamaj, and offne; every state W13tution of higher edintaq, whether established by the sWte constituivan or by anid ever;.y 9,.-)vvrriing boanj thereof; and every indspenjerk commIsIon and clEr pdqwt subriMs�:.-,ri or- the state Sisv��rnrneril, ivcept the COMS, 24- 18-103. Public trust - breach of fiduciary duty (1) The hol&ng of public Me of employment is a PUWiC trust, created by be coNdene which Ne crbectorate repose: jrW the integrity Of public officers, members of the genera! 855,eMbly, local governr-nent officiais, and employees. A public officer, member of the general ass-2mbly, local government WWI, or emppoyae shall carry out his duties for the 'benefit of the people of the state, (2) A PUblfC Officer, member of the general assembly, local government official,, or employee %rihose conduct departs from his fiduciary duty 'is liable to the People of the state as a twstve of propefty and shali suffer such other habilities as a private fiduciary viould suffer for sibuse of his trust,. The district attorney of the 6strict v;here the trust is Wolated miry bring appropriate judlcial proceedings on behalf Ampqxmsww� i✓: Jt j J03:a ut aaAaldwa Jo ';e!3t_J�o 3uawuJat,06 le'01 '/,Igwasse ;eJaua6 aul jo Jagtjja,.0 'J;;:)yjo ln!lgnd ayl Aq pa.lanj Jo pajdax�e aq ACLU leyj suolje3:Ignd Jo 'saoue.leadde 'say:)aads J4:l juawted (9) uoise33o lepads a uo a?Aoldwa Jo 'le!31.4o juawUJ2no6 !e3Gl 'Algwasse IeJaua6 oul jo Jcquiaw 'Ja:!gjo 3ilgnd ayl;o puaiJ)j ;euosJad JO aAI.. %j a si oyl:a Ienpialpui lie Aq uaA16 1j!6 a (i) '.uoilrijpsu03 al-js at;l :c XIYX a13!lJe 40 (a)(£) E ucll3as jo suclSlto:d eya yllm a3uepJo3;e ui pema3aJ Jo pa;da33e aq Aelti ;e(4l 6uraaw JO 'jeaw 'ucljda2ei e 'jt? 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Gl AIJado dLui I'.ual pindl.l Ll^.'iUidl (1) :al,leA jelluelsgns ;0 1;16 L% of junouiejtiej iipu!_q::uictiO3a isquejsgns a .!O enlet< lepuejsClns;O 1;16 a jd??3y (q) Jo :slsaJalui le!zueuij leu0siPW siq 4Ilellue1sgns JciIlinj CQ .lopJC Vj salf!;p jet WO 5114 JO asJno3 aua L.1 paJinb:e uoq*u.jJo=ui leeijuep,=Uo-a;nn JO asolDv ] (C) :jcu liens aaAcldwa lie .10 'IePuso 1,Uaww8Ao6 Ie3o; a 'Algwasse IeJaua6 ai43 jo Jagwaw e'ia:)Udo 311grd y •1snJl 3ipid ayl pue Ajnp AJelanpij siy patl_ewq s&y Jol=e ayj jti .1 jooJd =_! uoilaas s!yl ui pajeJaulnua loe Aue;o uolssiwwo3;o lgnop algeuoseaJ a puoAaq JOOJd (1) saaAoldwa pue 'Slel:)lJ3o auawu.l9no6 leool '/%igwasse le.,aua& aq4 jo saagwew 's.la:)Ijdo :)Ilgnd Ile aoj a:)npuoz) jo saln-1 't;OT-81-tZ 'aaAoldwa Jo '11?!3!JJO IuawUJaAc6 `^ le::ol 'Algwasse IeJaua6 egj;o Jagwaw 'Jaa!i;o -!ignd dons ;suie6e 446noJq eq Aew ya!yi,+ uo!11e ;euiw!n Aue of uoillppe u! aq jj*i4s uo!jns 5!4j of juensJnd sfulpaa3aJd le!3ipr!( •juawuJaAG6 Ie3cI Jo alejs auj;o punj IeJaua6 ayj of pled aq 11egs suo!l3e q:ms ui pajosilm sAeuow Auy -aldoad ayl;o with the provisions of section 3 of article MY of the stare constitution that are reported pursuant to section 24-6-203 (3)(d); (h) Payment of salary from employment. including other government employment, in addition to that { earned from being a rnember of the,g1.enEral assembly or by reason of ser.ice in other public office, (i) A component of the compensaboh praid or other incentive diVen to the public officer, member of the general assembly, focal government official, or employee in the normal course of eriioloymentr and (j) Any other gift or thing of value a public officer, member of the general assembly, local government official, or Employee is permitted to solicit, accept, or reteive in accordance with the provisions of section 3 of article XXIX of the state constitution, the acceptance of which is not otherwise prohibited by lave. (4) The provisions of this section are distinct from and in addition to the reporting reouirements of section 1-45-106, C.R.S., and section 24-6-203, and do not relieve an incumbent in or elected candidlate to public office from rep,iing an item described in subsection (3) of this section, if such reporting provisions apply. (5) The amount of the gift limit specified it paragraph (b.5) of subsection (3) of this section, set at fifty-three dollars as of August 8, 2012, shall be identical, to the amount of the gigs, limit under section of article XXIX G' the State Cori shtu`ion, aria she'll be a ) ilte'dr for infl=lion co xteniporaneou>iy v'ri:Ii a-y addj.+Sirnerit of toil, constitLIti3 i.=! g'fC limit purs,Jsrii t:: SG: io'i .3 (6) of artier XXIX. 24-18-105. Ethical principles for public officers, local government officials, and employees (1) The principles in tti'rs section are intended as guides to -conduct and dc' not constitUtF viJ!ati3r+s ?: such of the p ib!i, trust of office or ernplo/mEnt in state or local go,'err+ nent. (2) A pubkc cffi--er, a local, gn';Ernrrrsnt offi:i=:'•, oY tin Frrpl Wee shau!d not a-,q-.vre or hOld ari i^tare s? irl arty bisiness or undertaking which he has reasi,n to bEl,eve rn=} b' drrEtitly and substantial y al.ected to i:s economic b nefit by rffifief a::trlr� t'� E _ taker', by a � agent- i � ' � .y' Ui'cr 4';1 ai 1•ie I'ias S`JC;�ta�ti:? ajthorit (3j A publ', offi.-er, a lo__ Gn/ero ""Er" O€f'Zia•, o' a=? C—nI:)I�?ye= SIi:;uld no', v,;th n sjR ri 3riti 5 fo"•'U:fir+g th. tannin t c) or 10S cr°fi:e or ernplj, lriaflt, ob"ain ernpio men` in v:h ,h he A of t?l:e Lirrc.t ad a+?trg= U:+3YCFi t?i- t'. Girt=f5, UT rn :tGfS v,ith tlili�fi he v,-zs direcu in--oltad &.firing h:S tern, ?r ernplcynient. These matters include rules, other than ru' s of general apfl:catia:+, s,6i;iFi he actioal h-?ip--d to formulate an-i appli-Ati'7ris, Cia'rnS; Gr coritested C35Es in the consiilcratfon of Wihi:tfi he 5= 3nc'ti;;e participant. (x1) <. public o`ficer, a heal, oovzrnrr=nt official, o- an err,`,!-,yce should not perform d;1 Offiwial a:r, d, rectiy' aria Substantially aFfecting a business or other underta='i!i.g, t(.*,, i:_ ezono;-ni: detriimept ) Ieri h.aa a substantial fma• iciai interest in a ca-ripecing frrrn o- Undertaking. (5) PiViC officers, loco! 93,ternment official_, and enl,-)!O:iees are dis:ojCaged from assisti-ig or enabling rnerribers of their irnrlediate family in obta:ning ernw:,yr ant, a gift of sut?st3ritial value, a; an economic benefit tantarnount to a g'ft of substantial value frorti a person %vhom the officer, official, or enlplo'yl=e is in a p Sition to re',':ard Mth offi^ial action or t:.as re'rardeet i,%ith official action in the na:t. 24-18-109. RLlles of conduct,for local goverrim,ent officials and employees (1) Proof beyond 2: reasonable doubt of commissko-n­--of any —section Is proof th a� the actor has breached his fiduciary duty and the public trust, (2) A local government official or local government employee shall not: (a) Engage in a substantial financial transaction for his private business purposes with a person whom he inspects or supervlses in the course of his official duties; (b) Perform an official act directly and substantially affecting to its econornic benefit a business or other undertaking in which he either has a substantial financial interest or is engaged as counsel, consultant, representative, or agent; or (c) Accept goods or services for h,is or her own personal benefit offered by a person who is at the same time providing goods or services to the local government for which the official or employee serves, under a contract or other means by which the person receives payment or other compensation from the local government, unless the totality of the circumstances attendant to the acceptance of the goods or services indicates that the transaction is legitimate, the terms arefaIr to both parties, the transaction is supported by full and adequate consideration, and the official or empWyee does not receive any substantial benefit resulting from his or her official or governmental status that is unavailable to members of the public generally. (3) (a) A member of the governing body of a local government who has a personal or, private interest in any matter proposed or pending before the qoverninq body shali disclose such interest to the governing body and shall not vote thereon and shall refrain from attempting to influence the decisions of the other members of the governing body in; voting, on the matter. (b) A member of the governing body of a local government may vote notwithstanding paragraph (a) of this subsection (3) if his participation is necessary to obtain a quorum, or otherwise enable the body to act and IF he complies vifth the voluntary disclosure procedures under section 24-18-110, (4) It shall not be a breach of fiduciary duty and the public trust for a local government official or local: government employee to: (a) Use local government facilities or equipment to communicate or correspond with a rnember's constituents, family members, or business associates; or (b) Accept or receive a benefit as an indirect consequence of transacting local government business, (5) (a) Notwithstanding any other provision of this article 18, it is neither a conflict of interest nor a breach of fiduciary duty or the public trust for a local government official viho is a member of the governing body of a local government to serve on a board of directors of a nonprofit entity and, when serving on the governing body, to vote on matters that may pertain to or benefit the nonprofit entity. (b) (1) Except as provided in subsection (5)(b)(11) of this section, a local government official is not required to provide or file a disclosure or otherwise comply with the requirements of subsection (3) of this section unless the local government official has a, financial interest in, or the: local government official or an immediate family member receives services from, the nonprofit entity independent of the official's membership on the board of directors of the nonprofit entity, (11) A local government official who serves on the board of directors of a nonprofit entity shail publicly announce his or her relationship with the nonprofit entity before voting on a matter that provides a direct and substantial economic benefit to the nonprofit entity. "J,v 01 j o ho 'Qu1m; me-S D41 ;0 Snampm pue Fe Pa0paj Sanwa a! 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WaWW=05 JZ-008 AIJ2 10 A:+U;�5c- 91PIS S q,;v WIRMOD 04M Mqdwa ue Aq paAqdwa aq ja Ineiluoo 'jUaU1Aqduj;; s!q go ;Eqj ASW vaAqdw; Sa;A0PjuJ'3 () sj7qlLTUJ aje ,kcal j x" c" `0 '!Qu:�be ',!,Pr;q AM Aq Jv Wedes YpWo 4vA u, way Aq apew P24UOS Am U! pappjaXi aq qo�, spawa T12WUNAC5 IMI YmVjo )qqnd 'Aqu-,P:sse mmay sy go Faqw;j SIMIU03 Ul SISMIU1 24-18-205. Settlements to be withheld on affidavit (1) Every offer charged with the disbursement of public moneys +,vho is Informed by affidavit establishing probable cause that any officer whose account is about to be settled, audited, or paid by hire has +violated any of the provisions of this part 2 shall suspend such settlement or payment and cause such officer to be prosecuted for such violation by the district attorney of the appropriate jurisdiction. (2) if there Is judgment for the defendant upon such prosecution, the proper officer may proceed to settle, audit, or pay such account as If no such affidavit had been filed. 24-1 8-205. Penalty k person v:ho kno-,;Jngly commits an act proscribed in this {cart 2 conirnits a class 1 misdemeanor and shali be pun -shad as provided In sectinn 18-1.3-501, C.R.S. In additiar, to the penalties provided in section IE-1.3-501 C.ft.S., the cl-s9rt may inip—Tsc a fits'_ of n_ more. than Evi:c the • o` # , r E $ ertToun, n? 1ben Fi• ti�i_ person ot-itained or was atterrip tine to obtain in v;olating a pro-Asion of this part 2. 18-8�302, BJbery (1) A person 0011MIS be Crime OF pl,ey, �r: W HE 01M ZM"Vew, Q- agmes to coder any p=cuWar'Y ma a pjbK: se"an: wh the new to hu"eme the pjV: Servant! van, opvnio� jodpoiant, exer�js,�wd«1'iVs 00041 capajo; Cr (h) Ways a pAm servert, tie SWAK, exa"s, or agwas to ;:In'; pi:C"iY:er): opn ., an lgwem" 0- Qfstanllng BY hi VON, MW M. Emrdse of 6 suenDo, or Wer awn-i w P-�L�:C vdl� thereby b-. iri'�u,-,ncFd (2) It is no defense to a jvasecutiDn unpr tW5 t�" at the PC-0011 SOON! to be 011jenak ivw; M VMS to at in he deswed saj, wheMer WaLst he tied rmt yet assr,jrne--d�' o,"fice, (3) 1i F _3 fz�'oni 18-8-303. CcunpensaiUm for past offidal behravic)r (1) A Peru'; Con"now a dwEs 6 filivy, V hE (I Sw lk� E yqw, mywi to wzQp! aqy pean4aj benot &B CwpiIli loq W KOV4, w Out! z N : 040 M�;y, gewaOx4 p :Sch faw"aW :1 a"DUM; w f In nn w1hewny egnswal F a lo1 5 Fe. v-, n? ETES Cr PS noazwted W 11 if �- q) ayvs.�o Tv 1% C ;Fqw a', vCenown Cf nq in r -01 10i t, 'Q: MUM 18-8-304. S"-)JdLifuriia,%Iul e n 1 0, Fn Vtw a Ian 00� -1 v a va "ev V1 Von t ) PSAL— 1w F n n ' 1900- : 0: F Wew'Cq-:S-w 0" Wor Qq- too: wvAvL*".:! cffice- ( !vele Jv'i 1000, 0 byein, phwr v y zv" aim 1- pan, M 1 IT, 2 W 2 1 -10111t Q - Ca e p"TC&P pewn at 0, r no ypn -in tv PJY � Van v Awplyaj e w1a 1 ss%a-t a- ppaj voln he sa"Ns, ancypis y fp`rfes N Mor W , Poo NY, thni a ppt�ow wenDj 5 C, "a, t; e 00a n0ae V! CE, ;rawld v r wvonoaj w �5, 0 fo� ""f" t2j it S' W an a" -ap ve delosE V at pre po%inkq toveT "eS a UMM' lWOK" Qdi S&WA& E0 QV Al bi 000 li On;fie aNd ; DAQ ppnVs (3) Tral-g 1- p WT Wzi s a Wss 2 r"We7min", ALLewpk' Uj iriflueice a public servarit Any PersOn On allemPtE ba Move eny P&K: sawnt by rmews oa'-e:� 'w. tnreol w amvrw� : ry,w aga not any panw ur propeAL wqh Un Poent thEwnj to ey 0! avaV rhc-' PUM Seam s vrlt'~' aWnWir, a, aztiwcowern;rig rntwr wyth is to be Canddswo or p--'-fU)rrred Li ", or the apinCY 0- US of WrCh Mi is F r-,1;zfnb=-, , Cpzss -4 18-8-307, Designation of supplier prohiWted ") Nc pubb: sawant shall requke or Well a LOW or con9actor to del-Ah' -a -p—a QQ—Jp"Q'-"- kr[- POCUM W Bois W ser%rize wqwred w, SUb,-.,itLrig a bdj to or fdlfR%hr§ rg C7 V'j9�1`4 any gavernnient, (2) Any P-00100 in irvitatrtons to bi�J or any conV20 dwUnews bthja5 S�,Ctjf)n Fre aganink PLibis: Z,-10 BX =FHH1 0 1 T (3) It snail be err artirma`ive defense that the defenclant vias s public servant. acting within the scope of his authority exercising the right to reject any rnaterial, subcontractor, semilce, bond, or contract tendered by a bidder or contractor because It does riot rneet bona fide specifications or requirements - relating to quality, availability, form, experience, or financial responsibility. (4) Any public servant who violates the provisions of subsection (t) of this section corionlits a class 6 felony. 18-8-308. Failing to disclose a conflict of Interest (i) .n public servant commits fa=Nng to disclose a conflict of interest if he exercises airy substantial discretionary function; in connection svith a government contract, purchase, payment, or other pecuniary transaction without having given seventy-two hours` a:tual advance written notice to the secretary of state and to the governing bony of the government which employs the public servar,, of -hz existence of a known potential conflicting interest of the public servant In the transaction solidi reference to which he is about to act In his official capacity. (2) A 'potential conflicting Interest' exists when the public servant is a director, president, general nisnager, or similar executive office: or o7tns or controls directly o, indirectly a substantiai interest in wny rongovernrnen:al entity participating In the transaction. (3) rCi1.":ng to disci^.se Y conFli t of iiiterS:st is as chess i n+'-3dernean or. 18-8-402. Uj 0; W"A ,44h he A assoJated rir I:-t r�'iisice on inkrmshon to WK A he has aXeH in hi oQot capKvy at 1' OoJ, Nis not b?wmade qvW:, comp% rnsuse of o0ow loormabon If he. Pq AMOS a Punak, Meam in an; propsty, transacUon, c3r ente7pKse Wh>Ch rna/ b; 2"yCk5j b, i�j-.h or offir0a� action; or (b) SPeculates or wagers w the basis of soo', inkitmabon a- Qvio ecuGn; a- (C) AJs� or Em:OoFeges 2,-,Other tO do WY OF the Aregoing "ith intent to co%r on ai,, penw) a yadl pacuniary beriefit (2) Ssise of WON i0waneowl A a W. 6 Nwri'/„ UTAH. CAN! appressbr) PAR sovano We anong Cr- 'LO A In A ART CROPS—& taking advantap-, Cs SOW 33001 or PJTWed Capaurv, commqs Gfffci�,)� it SUI wwal MAQdge tQ� conduct is AW ho S-011:0 n :W or V F7n- "F�; nwY nl";501 , 2 Sims �Ir' 05 Wgi E.Wonvy eon Jjr W won of ar ; Poor, iyga'; e-"j tonal CK, f0s; 1 retra rel 04 W OWSA 11 POMe bwnad etome/nMA, n' .aeo is r z da qw W moraqiri wv6pj ;no tetra:pvEw A cvoo, SAG Bawrij, (2) o"Awal cp;, aw SA -"I FU degree WhAl m4condud T"O'Amos 2 no K Y - 1� , S FwSs n K 0,1, kAyin -Onn—P& (an re aQog to joy O"no L-1;4,00�q F swoons pn�"wqy a 1.4 17 �Mwl Umn k"W bj on, SVIVE: Q 1?010q OW40i r Q c- rog .�n;- e=: fl) Fin, dtg-n a" npws"wj 7 n 0 :w�? , is of 0 y. 01 V"y2tes 21; AMY 01 lawQ 14pred We or ry,?t On rlatng Q rni cjqa (Q 51wind depee 040a Ii a c�a5�' I ps'-'t-/ 18'-�3-106. Issuing a false cedincate A ptwx ccnm t5 a class 6 KOS), it COVP a PWAC sov. st a, womea by yu 01 Moe and aswi 0000 COR&RUM W uVer M& %witan insvurnents, re m!ws end asms suv ai msvynn� WW nmg a s3tament "tah he kno"s to A fake, 18-80-407. E--rnt',)ezzlerient of public property (1) Every public seNant who lovitAy or ur-;1a-pjNhy comes in"- - -- -- --M---, - 0 POSS'ZSS�0�1 0 8 �'j PLUIC r11:3neY5 or PUNO pmpany 01 Mover desaiptiDn, tizing the property of the state or of any pahbyl subc;Asjon of tha state, and vvh& knovdn;Py convens any of ach Pk. WK W�rl�aYs apropEltV tc, his ooin use or to any use other than the pubhc use aithorizEd by iao,, $s Qky ofembezZement of pUWW gapany, Every Pason conoWd under the provisions a! We secOon shaP be, Forever tt'ere,-,fcer hlehgiWe and I =EXHIBIT dicqualified frorn be rig a member o the general assembly of this st=ts or from balding any of;ice of trust or profit in this state. (2) ffintfezziernent of public property is a class 5 felony. t ~� 18-8-408. Desicgnation of insurer prohibited t (1) No public servant shall, directly or indirectly, require or direct a bidder on any public building or construction contact which is about to be or has been competitioely bid to obtain from a particular insurer, agent, or broker any surety bond or contract of insurance required in such bid or contract or require; by any law, ordinance, or regulation. (2) Any s:ich public servant who violates any of the provisions V subsection (1) of this section commit_ a class 1 petty offense. (3) Any pro-Asions in invitations to bld or in any contract docurnents prohibited by this section are deciared void as against the public policy of this state- (4) Nothing in this section shall be construed to prevent ariy su:h public sanrant acting on behalf of the government from exercising the right to approve or reject a surety bond or contract of insurafice as to V4s form or sufficiency or the la--k- of financial csipabiiity of an insurer selected. by a bidder. (5) This section shall apply only to con'Vaxs entered into. 0or f1frer 3il!y 3. 11977. 18-8-409. Violation of rules and regulations of judicial nominating commissions not subj-,"Kt to criminal prosecution :: pgrti;;.�'t'ri �J viola! s :c rvle'.n .�y'.tl-.l;i�:: Pro 0g te9 tii r?'i}` Pvdicl l r ?;i�" i i �� li: ., r1...a` be s'Jtiject to prusecuti:3- State of Colorado William Leone, Chair Bob Bacon, Vice -Chair April fones, Commissioner Matt Smith, Comrnii5ioner jo Ann Sorensen, Compnissioner Dino loannides, Executive Director Independent Ethics Commission 1300 Broadway, Suite 240 Denver CO 80203 Phone: (720) 625-5697 ww;v.co1Drado.gov/iec AdvisoTy Opinion 17-04 (Conflict of Interest, Local Government Official) Surnmary, It is not a violation ofArticle XXIX or the statutory Standards of Conduct for a county commissioner to continue serving as a director on the board of a transportation authority under the facts and circumstances presented in the request, MEMEMM Requester is an Eagle County Commissioner, Arriong other conies as a County commissioner, the Requester sits "in a quasi-jLldiCial capacity" to review, hear, and approve or deny land use applications. Requester also serves as a member of the Board of` Directors for- the Roaring Fork Transportation Authority ("RiFTA"). RFTA is a regional transportation authority created under § 43-4-603, C.R.S, RLTA's purpose is to finance, construct, operate, and maintain an efficient, sustainable, and regional ouLdti-modal transponation systerri, at locations within or without the boundaries of RFTA. RFTA directors serve without compensation, except for expense reimbursement. The members of RFTA include Eagle County, Garfield County, Pitkin County, the City of Aspen, the Town of Basalt, the Town of Carbondale, the City of Glenwood Springs, and the Town of Snowmass Village, Article 4 of Title 43, C.R.S., authorizes the creation of transportation authorities, each of which is a"separate political subdivision and body corporate of tile state" having "all the duties,, privileges, immunities, rights,, liabilities, and disabilities of a public body politic and corporate," § 43-4-603(l ), C.R.S. Each transportation authority is mandated to have at least five directors, each of whom must be an elected official from every, member of the combination. § 43-4- 603(2)(b)(1), C.R.S. One of the issues pending before the Eagle County Board of County Commissioners ("'BOCC") is a land -use application for Preliminary Plan for Planned Unit Development. Time application concerns property that is located within the Roaring Fork Valley portion of Eagle County and seeks a rezoning of the property. The application initially presented a public benefit dedication of 50 parking spaces to RFTA, and was later amended to dedicate 20 parking spaces and $400,000 to build additional parking on other land,. As a result of the application amendment, EEXHIBI'T RFTA's Director of Planning sent a letter to be considered by Eagle County in connection with the County's consideration of the application. The letter expressed dissatisfaction with the application amendment. Requester does not recall being involved in discussions concerning the public benefit being offered by the land -use applicant. The Requester did not have any involvement in developing RFTA's position on the application, or in drafting or approving RFTA's responsive letter. Requester is concerned about the potential for a conflict of interest if the Requester was to take official action on the application, given that RFTA could benefit from a County decision on the application. Requester asks whether her taking of official action would violate the code of ethics for local government officials as set forth in the Colorado Constitution and in § 24-18-109(2)(b), C.R.S. During the pendency of this advisory opinion request, Requester has resigned from the RFTA Board, but asks whether she may be reappointed to the RFTA Board during the pendency of the hearing on the application. II. Jurisdiction Colo. Const. Art. XX1X gives the Commission jurisdiction over local government officials. See generally, Colo. Const. Art. XXIX §§ 3, 4, and 6. Requester is a local government official under Colo. Const. Art. XXIX § 2(3). III. Applicable Law Section 43-4-603, C.R.S., provides, in pertinent part: (2) Any contract establishing [a transportation] authority shall specify: (a) The name and purpose of the authority and the regional transportation systems to be provided; (b) The establishment and organization of the board of directors in which all legislative power of the authority is vested, including: (I) The number of directors, which shall be at least five, all of which, except as provided in subsection (5) of this section, shall be elected officials from the members of the combination and which shall include at least one elected official from each member of the combination... The declarations in Section 1 of Colo. Const. Art. XXIX state, in pertinent part: (a) The conduct of public officers, members of the general assembly, local government officials, and government employees must hold the respect and confidence of the people; (b) They shall carry out their duties for the benefit of the people of the state; (c) They shall, therefore, avoid conduct that is in violation of their public trust or that creates a justifiable impression among members of the public that such trust is being violated; (d) Any effort to realize personal financial gain through public office other than compensation provided by law is a violation of that trust... 1. Section 5 of Colo. Const. Art. XXIX provides, in pertinent part: ...The purpose of the independent ethics commission shall be to hear complaints, issue findings, and assess penalties, and also to issue advisory opinions, on ethics issues arising under this article and under any other standards of conduct and reporting requirements as provided by law... Section 24-18-109, C.R.S., provides, in pertinent part: (2) A local government official or local government employee shall not: (b) Perform an official act directly and substantially affecting to its economic benefit a business or other undertaking in which he either has a substantial financial interest or is engaged as counsel, consultant, representative, or agent... IV. Discussion At the heart of this request for advisory opinion is the extent to which the dual role of the Requester could inherently create an appearance of impropriety or a conflict of interest that violates Article XXIX of the Colorado Constitution or the Standards of Conduct found in Article 18 of Title 24, C.R.S. Article XXIX of the Colorado Constitution The voters who adopted Article XXIX expressed the intention, inter alia, to preserve the respect and confidence of the people in their elected officials by requiring elected officials to avoid conduct that is a violation of the public trust. In Position Statement 08-01, the Commission stated that the term "public trust" means that employees and officials must carry out their duties for the benefit of the people. The dual role played by the Requester as both an Eagle County Commissioner and as a Director on the RFTA Board does not, in and of itself, violate public trust or the provisions of Article XX1X. As a member of RFTA, Eagle County is required by state law to have one of its elected commissioners serve as a Director on the RFTA Board. This dual role created by the statutory scheme appears to contemplate that the interests of Eagle County will be represented on the RFTA Board by an Eagle County elected official in the very same manner that the interests of the other RFTA member governments are represented. But the reverse is not true; namely, it is not true that a Director on the RFTA Board is expected to represent the RFTA's interests in the official business of the member government. This is not to say that RFTA's interests will always be aligned with those of the member governments. This is clearly not the case, inasmuch as the RFTA is composed of various member governments with different interests. Rather, it is to say that the statutory scheme contemplates that Requester should represent her member government's interests in both fora. As such, there is no inherent conflict of interest nor is there an appearance of impropriety that would erode the public trust. 3 Standards of Conduct in Article 18 of Title 24, C.R.S. Section 24-18-109(2)(b), C.R.S., prohibits a local government official from performing an official act that directly and substantially affects to its economic benefit a business or other undertaking in which he either has a substantial financial interest or is engaged as counsel, consultant, representative, or agent (emphasis added). Requester receives no personal economic benefit from her service on the RFTA. Under the statutory scheme, the Requester serves as a representative of Eagle County in the RFTA. The reverse is not true; namely, it is not true that the Requester serves as a representative of the RFTA in Eagle County. Moreover, the reference to "other undertaking" should not be interpreted to refer to the RFTA, which is a "public body politic and corporate" that, under the statutory scheme, mandates representation from the various member governments. As such, § 24-18-109(2)(b), C.R.S., is inapplicable to the facts as presented in this case. Best Practices Due to the unique nature of Requester's dual role, the Commission recommends that Requester disclose her dual role whenever taking official action for the County that would also implicate Requester's role in the RFTA. V. Conclusion It is not a violation of Article XXIX or the statutory Standards of Conduct for Requester to continue serving as both a county commissioner and as a director on the board of a transportation authority under the facts and circumstances presented in the request. The Commission cautions that this opinion is based on the specific facts presented herein, and that different facts could produce a different result. The Commission therefore encourages individuals with particular questions to request more fact -specific advice through requests for advisory opinions and letter rulings related to their individual circumstances. The Independent Ethics Commission William J. Leone, Chair Bob Bacon, Dice-Chrlir April Jones, Commissioner Matt Smith, Commissioner Jo Ann Sorensen, Commissioner Dated: April 3, 2017 f 1 4 State of Colorado William Leone, Chair Bob Bacon, Vice -Chair April Jones, Commissioner Matt Smith, Commissioner Jo Ann Sorensen, Commissioner Dino loannides, Executive Director Independent Ethics Commission 1300 Broadway, Suite 240 Denver CO 80203 Phone: (720) 625-5647 www.colorado.gov/iec Advisory Opinion 17-04 (Conflict of Interest, Local Government Official) Summary: It is not a violation of Article XX1X or the statutory Standards of Conduct for a county commissioner to continue serving as a director on the board of a transportation authority under the facts and circumstances presented in the request. I. Background Requester is an Eagle County Commissioner. Among other duties as a county commissioner, the Requester sits "in a quasi-judicial capacity" to review, hear, and approve or deny land use applications. Requester also serves as a member of the Board of Directors for the Roaring Fork Transportation Authority ("RFTA"). RFTA is a regional transportation authority created under § 434-603, C.R.S. RFTA's purpose is to finance, construct, operate, and maintain an efficient, sustainable, and regional multi -modal transportation system at locations within or without the boundaries of RFTA. RFTA directors serve without compensation, except for expense reimbursement. The members of RFTA include Eagle County, Garfield County, Pitkin County, the City of Aspen, the Town of Basalt, the Town of Carbondale, the City of Glenwood Springs, and the Town of Snowmass Village. Article 4 of Title 43, C.R.S., authorizes the creation of transportation authorities, each of which is a "separate political subdivision and body corporate of the state" having "all the duties, privileges, immunities, rights, liabilities, and disabilities of a public body politic and corporate." § 43-4-603(1), C.R.S. Each transportation authority is mandated to have at least five directors, each of whom must be an elected official from every member of the combination. § 43-4- 603(2)(b)(1), C.R.S. One of the issues pending before the Eagle County Board of County Commissioners ("BOCC") is a land -use application for Preliminary Plan for Planned Unit Development. The application concerns property that is located within the Roaring Fork Valley portion of Eagle County and seeks a rezoning of the property. The application initially presented a public benefit dedication of 50 parking spaces to RFTA, and was later amended to dedicate 20 parking spaces and $400,000 to build additional parking on other land. As a result of the application amendment, RFTA's Director of Planning sent a letter to be considered by Eagle County in connection with the County's consideration of the application. The letter expressed dissatisfaction with the application amendment. Requester does not recall being involved in discussions concerning the public benefit being offered by the land -use applicant. The Requester did not have any involvement in developing RFTA's position on the application, or in drafting or approving RFTA's responsive letter. Requester is concerned about the potential for a conflict of interest if the Requester was to take official action on the application, given that RFTA could benefit from a County decision on the application. Requester asks whether her taking of official action would violate the code of ethics for local government officials as set forth in the Colorado Constitution and in § 24-18-109(2)(b), C.R.S. During the pendency of this advisory opinion request, Requester has resigned from the RFTA Board, but asks whether she may be reappointed to the RFTA Board during the pendency of the hearing on the application. I1. Jurisdiction Colo. Const. Art. XXIX gives the Commission jurisdiction over local government officials. See generally, Colo. Const. Art. XXIX §§ 3, 4, and 6. Requester is a local government official under Colo. Const. Art. XXIX § 2(3). 111. Applicable Law Section 43-4-603, C.R.S., provides, in pertinent part: (2) Any contract establishing [a transportation] authority shall specify: (a) The name and purpose of the authority and the regional transportation systems to be provided; (b) The establishment and organization of the board of directors in which all legislative power of the authority is vested, including: (1) The number of directors, which shall be at least five, all of which, except as provided in subsection (5) of this section, shall be elected officials from the members of the combination and which shall include at least one elected official from each member of the combination... The declarations in Section 1 of Colo. Const. Art. XXIX state, in pertinent part: (a) The conduct of public officers, members of the general assembly, local government officials, and government employees must hold the respect and confidence of the people; (b) They shall carry out their duties for the benefit of the people of the state; (c) They shall, therefore, avoid conduct that is in violation of their public trust or that creates a justifiable impression among members of the public that such trust is being violated; (d) Any effort to realize personal financial gain through public office other than compensation provided by law is a violation of that trust... Section 5 of Colo. Const. Art. XXIX provides, in pertinent part: ...The purpose of the independent ethics commission shall be to hear complaints, issue findings, and assess penalties, and also to issue advisory opinions, on ethics issues arising under this article and under any other standards of conduct and reporting requirements as provided by law... Section 24-18-109, C.R.S., provides, in pertinent part: (2) A local government official or local government employee shall not: (b) Perform an official act directly and substantially affecting to its economic benefit a business or other undertaking in which he either has a substantial financial interest or is engaged as counsel, consultant, representative, or agent... IV. Discussion At the heart of this request for advisory opinion is the extent to which the dual role of the Requester could inherently create an appearance of impropriety or a conflict of interest that violates Article XXIX of the Colorado Constitution or the Standards of Conduct found in Article 18 of Title 24, C.R.S. Article XXIX of the Colorado Constitution The voters who adopted Article XXIX expressed the intention, inter alia, to preserve the respect and confidence of the people in their elected officials by requiring elected officials to avoid conduct that is a violation of the public trust. In Position Statement 08-01, the Commission stated that the term "public trust" means that employees and officials must carry out their duties for the benefit of the people. The dual role played by the Requester as both an Eagle County Commissioner and as a Director on the RFTA Board does not, in and of itself, violate public trust or the provisions of Article XXIX. As a member of RFTA, Eagle County is required by state law to have one of its elected commissioners serve as a Director on the RFTA Board. This dual role created by the statutory scheme appears to contemplate that the interests of Eagle County will be represented on the RFTA Board by an Eagle County elected official in the very same manner that the interests of the other RFTA member governments are represented. But the reverse is not true; namely, it is not true that a Director on the RFTA Board is expected to represent the RFTA's interests in the official business of the member government. This is not to say that RFTA's interests will always be aligned with those of the member governments. This is clearly not the case, inasmuch as the RFTA is composed of various member governments with different interests. Rather, it is to say that the statutory scheme contemplates that Requester should represent her member government's interests in both fora. As such, there is no inherent conflict of interest nor is there an appearance of impropriety that would erode the public trust. 3 Standards of Conduct in Article 18 of Title 24. C.R.S. Section 24-18-109(2)(b), C.R.S., prohibits a local government official from performing an official act that directly and substantially affects to its economic benefit a business or other undertaking in which he either has a substantial financial interest or is engaged as counsel, consultant, representative, or agent (emphasis added). Requester receives no personal economic benefit from her service on the RFTA. Under the statutory scheme, the Requester serves as a representative of Eagle County in the RFTA. The reverse is not true; namely, it is not true that the Requester serves as a representative of the RFTA in Eagle County. Moreover, the reference to "other undertaking" should not be interpreted to refer to the RFTA, which is a "public body politic and corporate' that, under the statutory scheme, mandates representation from the various member governments. As such, § 24-18-109(2)(b), C.R.S., is inapplicable to the facts as presented in this case. Best Practices Due to the unique nature of Requester's dual role, the Commission recommends that Requester disclose her dual role whenever taking official action for the County that would also implicate Requester's role in the RFTA. V. Conclusion It is not a violation of Article XX1X or the statutory Standards of Conduct for Requester to continue serving as both a county commissioner and as a director on the board of a transportation authority under the facts and circumstances presented in the request. The Commission cautions that this opinion is based on the specific facts presented herein, and that different facts could produce a different result. The Commission therefore encourages individuals with particular questions to request more fact -specific advice through requests for advisory opinions and letter rulings related to their individual circumstances. The Independent Ethics Commission William J. Leone, Chair Bob Bacon, Vice -Chair April Jones, Commissioner Matt Smith, Commissioner Jo Ann Sorensen, Commissioner Dated: April 3, 2017 4 RESCJLUMO','� 2014-107 Of" THE COU"XII., CAE THE CH Y OF FOR COLLWS, ?",CCEPUNG ADVISOR Y OVINIONN AND FU',COMMPI,DALION Zl�a 2014.01 OF THE ETHICSREVIEW BOARD WHEREAS, the City COLUICH has established ^on Ethics Rf,,viev,, Board (the ::Board,"') cOnSisting of designated members of the City. COLmcil; and WHEREAS, thl- Board is ernpowered undat Section 2-569 of the City code to render E,,Jvizzoff, opirdonS an-,l re'nornmendations regaiding Pctuad or hypothl-ticat situations of Councilml-mbers or board and com-mission intmbers of the City; and WHEREAS, the Ethics Review Bord met on t4ovember 18, 20144, to consider whether C,ou.n�cilrazrnber Troxell's positirm as a tcmt(ed faculty mernbt-f in thz. raechwiical, engineering &�pav�rrien, F.I. Culorazlo State LiniversiD' ("C,!SU") limits his participration as a city Council rrll-lVlbr represzm6nc� o Dstrict 4 in any dis,,;u-s5ion arid any vc),f., relatect to e: CSU sh.idiufn, and k"HERE'AS, the Board has issuf�ci ari adVis0r) OPinion with regard to thk matter con,;Wding that Councilrnwnbcr Ttoxell d,)--s not have a conflict of int�rtst with respcci to the CSIJ StadiLlln V,`H'FJ1FAS, St"clion 2-569(c) of.rho C'ity Cod,- provl�l-w; tizat a;j opmtorii and of the 0,-� rit �!,lja for th-- r4Cxt !ggzr City FTICCtin� E�A �Y'flich drn,�,, thr; ('i!v Cc�uncil sh�,fl 01 1 11 1 L —iJ rccoromend.-w6ons; and "V'HER,L-',AS, ch= City has rcvi:Wed ffic' Opinion of Thn Board and to ajapz Lht NOV,% -1111sREFORIE, U 1-1 RESOLVED BY THE COUNCIL OF If! E U l Y 1)' OR" COLL-M 14 that Opinion No. 20-01 of Ethics Revicy; Board, z copy of which is ;: bzcreto prid incorporated fiecein b 0 I y this i,cfecence, as Exhibit "'A," has bcan SUbmitted t and revi-,v;ed by the City Council, and the Council hareby adopts tile opj,"" iiarl copltElnlld th�rein arid adopted at an P-dj10,A1T11-d rrlteiirsg of th: Council of the City. of Foo Coilins this 25,'h day oftNovcmbcr A.D. 2014, �51, AT'l EST: co eA City Clerk 0 EXHIBIT Ethics Opinion 2014-1 November 18, 2014 Page 2 interest and refrain from voting on, attempting to influence, or otherwise participating in such decision in any manner as a Councilmember. Under the Charter, the following definitions apply: a. "Financial interest" A "financial interest" is defined under the Charter as "any interest equated with money or its equivalent." The Charter expressly excludes from the definition of "financial interest" the interest that a Councilmember has as an employee of a business where the Council decision may financially benefit or otherwise affect the business but entails no "foreseeable, measurable financial benefit" to the Councilmember. In reviewing the facts of this situation, it is likely that the Council's deliberations and actions with regard to the CSU football stadium will "affect" the University, since, at a minimum, the University will have difficulty moving forward with any stadium project without some degree of cooperation and coordination with the City. There is no indication, however, that Troxcil, as an individual, will receive any "foreseeable, measurable financial benefit" as a result of the Council decision(s), as no evidence has been presented to the effect that Troxell's salary or other compensation will be charged or discontinued as a result of the Council's decision related to the CSU football stadium. Therefore, the Board believes that Troxell does not have a financial interest in the Council's actions related to the CSU football stadium. b. "Personal Interest - The next inquiry is whether Troxell has a "personal interest" under the Charter. The Charter defines a personal interest in relevant part as an interest by reason of which a Councilmember would, in the judgment of a reasonably prudent person, realize or experience some "direct and substantial benefit or detriment different in kind from that experienced by the general public.'' This benefit or detriment need not be financial in nature, but it must be'direct and substantial.° As recently established by the City Council in Ordinance No. 145, 2014, "direct" means "resulting immediately and proximately from the circumstances and not from an intervening cause," and "substantial" means "more than nominal in value, degree, amount or extent." Clearly, Troxell is differently situated with regard to this matter than are the members of the general public because of his employment with the University. The question is whether, because of his status as an employee, he might realize any "direct and substantial benefit or detriment" by reason of Council's decision related to the CSU football stadium. Again, there is no indication that Troxell's position of employment or the amount of his compensation would be affected by his vote or Council's decision or actions with regard to the proposed football stadium. In fact, Troxell's status as a tenured member of the academic faculty indicates to the contrary, that is, that there could be no job related ramifications based upon the manner in which Troxell votes with regard to these upcotning Council decisions. Moreover, the Charter standard requires that the (� potential benefit or detriment to Troxell be "direct and substantial" and not merely indirect or S.Aate of Colorado William Leone, Chair Bob Bacon, Vice -Chair April Jones, Commissioner Matt Smith, Commissioner Dino loannides, Execiitive Director. Independent Ethics Cornmission 1300 Broadway, Suite 240 Denver CO 80203 Phone: 720-625-5697 %,vww.coIoradovr),v/k,,c Advisory Opinion 16-05 (Conflict of Interest) Summary: A local government official should avoid real and perceived conflicts cal" interest when voting on or debating ions that affect [he -I prsonal, private. or financial interests of tile official. Board of Trustees mernber Rachel New ("New"), of the Town of Pitkin, Colorado, filed a request for an advisory opinion requesting guidance about as possible conflict ofiriterest between New's personal business and her role as a member of the Town's Board of Trustees (tile " B o a rd "'), New indicates that she is a newly elected mernber of the Board as a result of elections held in April, 2016. Prior to tier clection, in tile spring of 2014, New established a property management business, which she owns. Aniong other services, her business provides house winterizing, de - winterizing, cleaning, lawn rnaintenance, window washing, laundry services, errand services, pest control, and general maintenance. Included in the business portfolio is the management of short-term rental properties. Newassists in the short-term leasing of these properties by taking reservations, receiving rental payments, and remitting taxes on behalf of the homeowner. Twenty percent of the business income is generated by managing the two short-term rentals. The Town of Pitkin is as statutory town. Recent issues being addressed by the Board include updating the zoning code to regulate short term rentals. In this regard, New may be faced with policy debate and/or voting on short term rental issues in the context offier duties as to rnernber of the Board,, Specifically,, Sections 3, 7, and 8 of the Amended Town of Pitkin Zoning Code of 2012 provide: Section 3. Definitions. For the purpose of this code, certain words and phrases used herein shall be defined as follows: 37, Short-term Transient Rental (Lodging): Rental of a residential structure, Or part thereof, for any twenty-nine (29) day period or less, is considered a I mmmmj EXZHISIT FL,k_ commercial/business use. Section 7. Principal Permitted Uses. This section enumerates the principal uses which are permitted in each zoning district: A. Resident, Low Density Residential: 1. Dwellings, single family 2. Community centers and public buildings 3. Parks and playgrounds 4. Accessory uses as listed in Section 10 of this Code 5. Long-term permanent rental: Rental of a residential use of structure, or part thereof, where the occupants are primarily permanent in nature for any thirty (30) day period or more. (Nontransient) B. Business, Business: 1. Any use permitted in the Resident district 2. Accessory buildings and uses 3. Amusement or recreation 4. Automobile gas stations or garages 5. Automobile parking lots 6. Club or lodge 7. Dining or drinking places 8. Hotel or motel 9. Laundromat 10.Office or clinic 11. Retail store or shop 12. Schools and churches, including seasonal church schools. Section 8. Conditional Uses. The following uses shall be permitted only after written request to the Board of Trustees, and acceptance of written approval made by the Board of Trustees: D. Short Term Rental (Lodging) in the Business District: After review of the Zoning Board of Adjustment, a recommendation for conditional use appropriate to the available water, sewage, and off-street parking will be referred to the Board of Trustees for final decision. [Emphasis added.) The Town Clerk confirms that the Town of Pitkin does not currently have any conflicts of interest or other ethical policies in place. II. Jurisdiction Ms. New is a member of a statutory town's Board of Trustees and is therefore a "local government official" under Colo. Const. Article XXIX, sec. 2(3), and C.R.S. § 24-18-102(6). The Independent Ethics Commission has authority to issue advisory opinions on ethics issues arising under Article XXIX or any other standards of conduct or reporting requirements as provided by law. See Colo. Const. Article XXIX, sec. 5(5). 111. Applicable Law Conflicts of interest are addressed in C.R.S. § 24-18-109 as follows: (2) A local government official or local government employee shall not. (b) Perform an official act directly and substantially affecting to its economic benefit a business or other undertaking in which he either has a substantial financial interest or is engaged as counsel, consultant, representative, or agent[.] (3) (a) A member of the governing body of local government who has a personal or private interest in any matter proposed or pending before the governing body shall disclose such interest to the governing body and shall not vote thereon and shall refrain from attempting to influence the decisions of the other members of the governing body in voting on the matter. IV. Discussion A. Conflicts of Interest. The conflicts of interest statute cited herein restricts a local government official such as New from: (1) performing an official act directly and substantially affecting to its economic benefit a business in which the local government official has a substantial financial interest; and (2) voting on or attempting to influence the decisions of other members of the governing body in voting on a matter in which the local government official has a personal or private interest. The Commission finds that New's ownership interest in a property management business that manages short-term rentals in the Town of Pitkin is substantial. As such, New must refrain from performing any official act that directly and substantially benefits the business economically. For example, because the Town's zoning code requires the Board to give final approval for conditional short-term rental uses, New should refrain from voting to grant or withhold such approval when doing so ♦would economically benefit her business. Moreover, New must not vote or attempt to influence the decisions of other members of the Board when she has a personal or private interest in the outcome. 3 B. Appearance of impropriety. In addition to the statutory provisions cited above, Colo. Const. Article XXIX, sec, i (c), requires covered individuals "to avoid conduct that is in violation of their public trust or that creates a justifiable impression among members of the public that such trust is being violated." Appearances of impropriety are generally referred to as "perception issues"or "violating the smell test." They can weaken public confidence in government and create a perception of dishonesty, even among government officials who are in technical compliance with the law. In order to avoid the appearance of impropriety, local government officials should avoid voting on or debating questions in a manner that may lead the public to perceive that the local government official is either placing his or her own private business interests in a position of competitive advantage or keeping his or her own private business interests from being adversely affected by the decisions of the governing body. The Commission also recommends that when feasible, counties and municipalities should consider enacting an ethics code to provide further guidance to elected officials with similar potential conflicts. V. Conclusion A member of a town's board of trustees should follow Colorado statutes pertaining to conflicts of interest and constitutional requirements pertaining to the appearance of impropriety. The Commission cautions public official and employees that this opinion is based on the specific facts presented herein, and that different facts could produce a different result. The Commission therefore encourages individuals with particular questions to request more fact specific advice through requests for advisory opinions and letter rulings related to their individual circumstances. The Independent Ethics Commission William J. Leone, Chair Bob Bacon, Vice -Chair April Jones, Commissioner Matt Smith, Commissioner Datcd: June 30, 2016 4 1,19ei"icla Hetri affm Carrie Daggett, City Attorney SUBJECT Consideration in accordance with City Code Section 2-569(d)(11) of whether a complaint Wed on January 21, 2020, by Rory Heath, alleging that Councilmernber Ken Summers has a financial and personal interest in the Hughes Stadium annexation property rezoning decision, warrants, investigation, EXECUTIVE SUMMARY The purpose of this item is to complete the initial screening by the Ethics Review Board of a complaint flied with the Board under City Code Section 2-569(d), as described below. The Complaint and other materials referenced are provided as attachments to the Agenda Item Summary for Item 3 (overall:,), and that information is incorporated into this subpart by reference, STAFF RECOMNIENDATIWI' Staff recommends that the Board consider the Complaint and determine whether to proceed with an investigation of the Complaint. BACKGROUND / DISCUSSION of the complaint, the Ethics, Review Board then considers the complaint and whether it should be further investigated. The Board will consider a complaint lodged with the Board through the City Attorney on January 21, 2020, by Rory Heath (the "Complainant"), a Fort Collins resident, against Councilmember Ken Summers (as well as against Mayor Wade Troxell and Mayor Pro Tem Kristin Stephens). The Complaint alieges Councilmernber Summers has a conflict of interest in connection with the Hughes Rezoning and related Ethics Review Board hearings in light of a webpage offering his services as a pol'jticaf consultant and lobbyist, The following is an excerpt from the Complaint summarizing Mr. Heath's concern (from page I I of the Complaint); EXHIBIT 9 Agenda Item 3c A Fort Collins City Councilmember Ken Summers is currently hosting on his website kensummers.org, a page dedicated to his political consulting buslnes&lobbyist business. This page promises direct influence of legislative matters that can be Interpreted to mean either the Influence of a third party, or of himself, in exchange for compensation of some sort. 1l1. The actions of all three individuals, as it pertains to all related activities relating to the consideration of Fort Collins Ordinance No. 138, 2019 (including all related Ethics Complaints hearings), are in direct violation of State and Municipal Ethical and Conflict of Interest Laws. All three individuals have also failed in performing their fiduclary duty to the people of Colorado, a duty ingrained within their public service, and In the case of Troxell and Stephens, their employment by Colorado State University. IV. A consistent effort to minimize the representation of the public's wishes regarding the end use of the parcel of land in consideration has been continually undertaken by city staff and City Elected Officials. The Complaint goes on to request that the Ethics Review Board do the following: • investigate all ethics violations made by Wade Troxell, Kristin Stephens, and Ken Summers; • carry this out using all tools and options at its disposal and "do so by taking to heart the public's explicit, expressed, and continual wishes regarding one of the most important pieces of land to Fort Collins' Identity;" and • remove Wade Troxell, Kristin Stephens and Ken Summers -from all interactions with the decision -making process, and take "severe remediation actions" to address "the harm to the process already caused." (The Complaint provides argument and additional description of the concerns of the Complainant not repeated in this Summary.) City Ethics Provisions: Generally, the ethics provisions established by the City include City Charter Article IV, Section 9, and City Code Section 2-568. State Ethics Provisions: in addition, various state laws are commonly considered ethics laws. These include: • Sections 24-18-101 through -105, Colorado Revised Statutes (C.R.S.); • Section 24-18.109, C.R.S.; • Sections 24-16.201 through -206, C.R.S.; • Sections 18-8-302 through -308, C.R.S.; and • Sections 18-8.402 through -409, C.R.S. F, Agenda Item 3c (The language of Article XXIX of the Colorado constitution — also referred to as "Amendment 41," provides that home rule municipalities that have adopted local ethics provisions addressing the topics in that provision are exempt from its application.) The Board Determination: The Board is required under the Code to evaluate the Complaint and determine by majority vote whether to formally investigate the Complaint. In doing so, the Board should consider: 1. Whether the allegations in the Complaint, if true, would constitute a violation of state or local ethical rules: 2. The reliability and sufficiency of any facts asserted in support of the allegations; and 3. An other facts or circumstances the Board may consider relevant. If the Board determines that the Complaint does not warrant investigation, the Board then directs staff to send written notice to the complainant of that determination and the reasoning behind it. A copy of that notice is also sent to the subject of the Complaint and the City Council. Factual Alienations in the Complaint: The Complaint asserts the following basic facts regarding the allegations against Councilmember Summers: Ex.4): Ken Summers, through his KGS Consulting, offers the following services via his website (see • "Opening Doors" • "Providing Access" • Empowering influence" • "PERSONAL CONTACT WITH LEGISLATORS to Inform them of your position on a bill and why you support or oppose the legislation." • "COMMUNICATION WITH DEPARTMENTS that interface with your business on the writing and Implementation of rules" • `TOURS AND RECEPTIONS that provide legislators an opportunity to learn firsthand about the work that you do" • "Navigating through the maze of the political arena can be a challenge. That is why an individual with experience working with you and advocating on your behalf can make a difference." The Complaint contains a number of assertions and statements related generally to the input the City Council has received from members of the public regarding the Hughes Rezoning. The Complaint asserts that when looked at in the context of a vote contrary to the public opposition to the Hughes Rezoning outcome that had been expressed, "a vote against the public will, and instead in line with a possible private commercial interest seems to have possibly occurred." (page 9). 3 Agenda Item 3c "Screening Review Steps*" I. Whether the Complaint Alleges a Violation of City or State Ethics Provisions: 1. City Ethics Provisions: The City Charter and City Code prohibit members of the City Council from participating in a decision if the Councilmember has a financial interest or a personal interest in the decision. 1. A financial interest is an interest in the Hughes Rezoning that is equated with money or its equivalent. I. If the councilmember is an holder of an ownership interest in or an employee of an affected business, but the Council decision entails NO FORESEEABLE, MEASUREABLE FINANCIAL BENEFIT to the Councilmember, the business relationship does not create a financial interest. 2. A personal interest is any interest (other than a financial interest) by reason of which an officer or employee would, in the judgment of a reasonably prudent person, realize or experience: i. some direct and substantial benefit or detriment [direct = resulting immediately and proximately from the circumstances and not from an intervening cause.] [substantial = more than nominal in value, degree, amount or extent.] [benefit = an advantage or gain.] [detriment = disadvantage, injury, damage or loss.] ii. different in kind from that experienced by the general public. [different in kind from that experienced by the general public = of a different type or nature not shared by the public generally and that is not merely different in degree from that experienced by the public generally.] 3. The Ethics Review Board must evaluate whether the facts as asserted In the Complaint (assuming they are true) support the allegation that Councilmember Summers has either a financial interest or a personal interest.in the Hughes Rezoning. 2. State Ethics Provisions: 1. For the purpose of the statutory ethics provisions: 1. Councilmembers are "local government officials" (as defined in Section 24- 18-102(6)). ii. A financial interest means a substantial interest held by an individual which is (in relevant part): 1. An ownership interest in a business; or 2. A directorship or officership in a business. 4 Agenda Item 3c III. Terms not defined in the statutes are considered to have their commonly understood meaning; and they are generally interpreted with the aid of reference to common resources such as a standard dictionary. 2. Section 24-18-103, C.R.S., when read in conjunction with the rest of the statutory standards of conduct, is interpreted to establish an ethical standard of conduct concerning activities that could allow covered individuals to improperly benefit financially from their public office. However, it is general in nature and does not specify a standard or rule to determine what is permissible. 3. Section 24-18-104, C.R.S., prohibits disclosure or use of confidential information acquired in the course of official duties and acceptance of certain gifts: 4. Section 24-18-105, C.R.S., sets out ethical principles that are "intended as guides to conduct and do not constitute violations as such of the public trust of office or employment in state or local government," I. Section 24-18-105(2) provides that: (2) A ... local government official ... should not acquire or hold an interest in any business or undertaking which he has reason to believe may be directly and substantially affected to its economic benefit by official action to be taken by an agency over which he has substantial authority. ii. Section 24-18-105(4) provides that: (4) A ...local government official ...should not perform an official act directly and substantially affecting a business or other undertaking to its economic detriment when he has a substantial financial interest in a competing firm or undertaking. (Emphasis added.) 5. Section 24-18-109, C.R.S., provides that I. a local government official shall not (in relevant part) perform an official act directly and substantially affecting to its economic benefit a business or other undertaking in which he either has a substantial financial interest or is engaged as counsel, consultant, representative or agent (§ 24-18- 109(2)(b)); ii. A member of a governing body of a local government who has a personal or private interest In any matter proposed or pending before the governing body shall disclose such interest and refrain from participating in the decision unless necessary to obtain a quorum (§ 24-18-109(3)); 1. The statutes don't define the term "personal or private interest" and there is no directly relevant guidance interpreting this provision. a. The Colorado Independent Ethics Commission ("IEC"), which is authorized to issue opinions concerning the state's ethics statutes) has applied this provision in considering a complaint against a local official related to that official's interest in a regulatory decision of the body she was a member of. The IEC did not specifically interpret the term "private interest" while focusing on the direct and substantial benefit to the official. (IEC Advisory Opinion 16-05, which is attached to the Item 3 Agenda Item Summary for reference). E Agenda Item 3c b. A common explanation found consistently in the review of provisions of this sort suggests that a "personal or private interest' is one that tends to impair a person's independence of judgment in the performance of the person's duties, and this is typically interpreted to relate to a financial interest of the person or their relative In a private enterprise. c. A local government official would likely be considered as having a personal or private interest in any decision that would result in the official receiving a direct and immediate pecuniary benefit or result in the official receiving a non -pecuniary benefit or suffering a non -pecuniary detriment that is direct, Immediate and different in kind from that shared by the general public. d. The City's local provisions related to financial and personal interests are essentially parallel to this formulation. 2. Applying this standard here, the Board must determine whether the City Council's Hughes Stadium rezoning decision would likely result in Counciimember Summers receiving a direct and immediate pecuniary benefit or result in him receiving a non -pecuniary benefit or suffering a non -pecuniary detriment that is direct, immediate and different in kind from that shared by the general public. Ill. Reliability and Sufficiency of Facts Asserted: If the Board determines that there may have been a violation, then the Board will need to evaluate the facts asserted in the Complaint. The Board may know information that contradicts the facts that were asserted in the Complaint, or there may not be enough information in the Complaint for you to form a reasonable suspicion that the violation alleged in the Complaint occurred. On this basis, the Board may determine that the facts asserted in the Complaint are not reliable or sufficient and find the Complaint does not warrant further investigation. Ill. Other Relevant Facts or Circumstances: If there Is additional information available or presented to the Board that leads the Board to conclude that the Complaint does not merit further investigation, the Board may identify that information and find the Complaint does not warrant further investigation on that basis. ATTACHMENTS (in addition to the Attachments to the Agenda Item Summary for Item 3 overall) 1. Exhibit 4 to Heath Complaint (kensummers.org website screenshot) 2. Review Checklist — Heath Complaint re Ken Summers C I I% tpdlrcll:su In Incib.0 IV :Pagctit--I oruz Harne MY Story PhOWS Of MY JOLIME%y Videos & Nswis E3 co k KIGS CONSULTMG KGS CONSULTING Thelaius that are passed and that are established Jklva a significant impa:lml citizens and oi types in Colorado Navigating Wrough Oia rnaze of the po5icaf arena can be a challenge That is why an individual with expugencxvoorkiri with you and adviocoIing on your behalf can i a difference KGS Consuftkn�"j prov�dez you w4h a valueadded partnership so yuu can he proactive on the issues thiat irnpatyour business Hicee is hic,.9 Ihat is accomiphshed. * FROVIi MSIGHTinto [helLgislative process andpofilical environrai * TRACKING LEGISLAf ION that irricacls your business and helping you to take a twMal posrIion aim those places of legFslai PER 5 ONAL CON rA CT VA M LEG4 5 LATOR S to into ar hem of your post loos an a bait and why you support or oppose the legislation. PROPOSM NEW LMtaLATMN OR CI�ANGES IN CURREN r LAY/ ARRANGING rOP TESTIMONY 0,1,4 BILLS before cornirnittees in collaboration with others who share your position COrMAU Nii CAT IOn MTH DEPAR TMENTS that interface with your ni on We,wifiri and inriplermerqation or rules TOURS AND RECEPTIONS that proVde legislaliors an opportunity to Learn firsthand about the work that you do SERVING AS A SP0i<ESPERS0ti for your business at the capiitc9, with oilher induvdy, groupo and in he ccrinmunity PROVIDING FEEDBACK AND OPDArES no needed to stay cn the forefront Of how bills are progressing through the process These are sorr:e of the ways that having a contact inside We cap+tol can %"rk for you Sci Seri rnay be rnore appropriate than others depencing on your needs and area of inleirev, Elm 1"Viam One Comment f locAitorward to di apa(fner5hip jvhere, I can serve you at the cap;elcr byproviding access„ open;ng doers ancr erm,powering intluence in the legislaciie process You can mahe a difforonre and to a part ctshaping pubiicjccacy in Colorado, Ken KGS ranriulGng ' ken Cakensurnrners,org 3034M4765 ow se" arch t."'A Ken Summers Get the latest post by email Enter y= eri4l address- 0 � ilp , 52 " 1i'lar"I's, Delivered by NMEMMMOM -i . , .,,, ', -I.", ,. � C, ,, L 1. 1, . , TE.,:� r F, Archives j f i 221 ".3 EXHIBIT )f3 KGS CONSUILUNG filip://kensutiiniers.org/'.page_,id=l 96 2 '[ i JAe ElrasweH FCO 21, 2011 a 15 C4 I, Hi Ken, I guess it is really a small world alter all, You rnet my teeniged son who is an'intern lot Senator Lundburg a coupl e a F weeks ago You most have made an 4ripresslcn on, hirn because be came home and told rota 0 at a ul the vfsit I knew your na me sounded f5m;iar and Yoh an I giscrlted ysu I mAhzed that we had met several years ago You offidated my uncle's funeral — his nartle was Bruce Jones Anyway Nathaniel told me you were, aunn4n9 for city counchr have in Fort Collins (vdlnrcb is where I live) That is very egcdcng ne-N5 as FCM, COhns is in desperate pead of conservative Christian leadership. I signed up for your new steher and look forward to kaepirlg up wilh your CaMpaignr ffiersnnus' Juice Leave a Reply Your Nama * Your Wabsita 2of3i 1/16/2020, 11:53 P1 nylipi. nsummersiRrgi 4, WFM4 , -4c.- . --.- - W-1 KenSurnrnersQ2014 AM Rights Reserved Contact H Ern2d.ken@kenswrimers erg )f j ?Iovamber 2014 October 2014 September 2014 Auclist 20 14 July 2014 June 2014 May 2014 Apr) 2014 Vavch 2014 February 2014 Looking for more on Ken's Story l To look at previous post and pIcLures fmM KeWs hospblizatien go to 1/1642020 11:53 PM ETHICS REVIEW BOARD -- REVIEW CHECKLIST FOR KEN SUMMERS March 6, 2020 Claim Stated? Provision Allegedly Violated ❑ Yes o No City Charter Article IV, Section 9(b)(3) — prohibits participation when official has a FINANCIAL INTEREST ❑ Yes o No City Charter Article IV, Section 9(b)(3) — prohibits participation when official has a PERSONAL INTEREST o Yes o No Section 24-18-103, C.R.S. generally states ethical standard of conduct concerning activities that could allow covered individuals to improperly benefit financially from their public office (no specific standard or rule stated), and permits enforcement by the district attorney. o Yes o No Section 24-18-104, C.R.S. prohibits disclosure or use of confidential information acquired in the course of official duties and acceptance of certain gifts. o Yes o No Section 24-18-10S(2), C.R.S. prohibits acquiring or holding an interest in any business or undertaking which official has reason to believe may be directly and substantially affected to its economic benefit by official action to be taken by an agency over which official has substantial authority. ❑ Yes o No Section 24-18-105(4), C.R.S. prohibits an official act directly and substantially affecting a business or other undertaking to its economic detriment when official has a substantial financial Interest in a competing firm or undertaking. o Yes o No Section 24-18-109(2)(b), C.R.S. - prohibits an official act directly and substantially affecting to its economic benefit a business or other undertaking in which official either has a substantial financial interest or is engaged as counsel, consultant, representative or agent o Yes o No Section 24-18-109(3), C.R.S. — requires official with a personal or private interest in any matter proposed or pending before the governing body to disclose such interest and refrain from participating in the decision unless necessary to obtain a quorum. F "If any of the "YES" boxes are checked, the Ethics Review Board must then consider the facts alleged xm 'elated to that item and whether those facts are reliable and sufficient to warrant further investigation. W f. J Carrie ©aggett s.� From: Ken Summers Sent: Thursday, March 5, 20201:34 PM To: Carrie Daggett Subject: Ethics Complaint Reponse Attachments: Ethic Complaint iesponse.docx Carrie I will not be attending the Ethics Committee meeting on March 6, 2020.1 am attaching for the committee a written response. Ken Summers Councilmember District 3 With limited exceptions, emalls and any riles transmitted with them are subject to public disclosure under the Colorado Open Records Act (CORA). To promote transparency, emails will be visible in an online archive, unless the sender puts #PRIVATE in the subject line of the email. However, the City of Fort Collins can't guarantee that any email to or from Council will remain private under CORA. EXHIBIT 1 �0 Colorado Constitution Article XXIX Ethics in Government Section 1. Purooses and findings. (1) The people of the state of Colorado hereby find and declare that: (a) The conduct of public officers, members of the general assembly, local government officials, and government employees must hold the respect and confidence of the people; (b) They shall carry out their duties for the benefit of the people of the state; (c) They shall, therefore, avoid conduct that is in violation of their public trust or that creates a justifiable impression among members of the public that such trust is being violated; (d) Any effort to realize personal financial gain through public office other than compensation provided by law is a violation of that trust; and (e) To ensure propriety and to preserve public confidence, they must have the benefit of specific standards to guide their conduct, and of a penalty mechanism to enforce those standards. (2) The people of the state of Colorado also find and declare that there are certain costs associated with holding public office and that to ensure the integrity of the office, such costs of a reasonable and necessary nature should be born by the state or local government. Section 2. Definitions. As used in this article, unless the context otherwise requires: (1) "Government employee" means any employee, including independent contractors, of the state executive branch, the state legislative branch, a state agency, a public institution of higher education, or any local government, except a member of the general assembly or a public officer. (2) "Local government" means county or municipality. (3) "Local government official" means an elected or appointed official of a local government but does not include an employee of a local government. (4) "Person" means any individual, corporation, business trust, estate, trust, limited liability company, partnership, labor organization, association, political party, committee, or other legal entity. (5) "Professional lobbyist" means any individual who engages himself or herself or is engaged by any other person for pay or for any consideration for lobbying. "Professional lobbyist" does not include any volunteer lobbyist, any state official or employee acting in his or her official capacity, except those designated as lobbyists as provided by law, any elected public official acting in his or her official capacity, or any individual who appears as counsel or advisor in an adjudicatory proceeding. IEEXHIBIT (6) "Public officer" means any elected officer, including all statewide elected officeholders, the head of any department of the executive branch, and elected and appointed members of state boards and commissions. "Public officer" does not include a member of the general assembly, a member of the judiciary, any local government official, or any member of a board, commission, council or committee who receives no compensation other than a per diem allowance or necessary and reasonable expenses. Section 3. Gift ban. (1) No public officer, member of the general assembly, local government official, or government employee shall accept or receive any money, forbearance, or forgiveness of indebtedness from any person, without such person receiving lawful consideration of equal or greater value in return from the public officer, member of the general assembly, local government official, or government employee who accepted or received the money, forbearance or forgiveness of indebtedness. (2) No public officer, member of the general assembly, local government official, or government employee, either directly or indirectly as the beneficiary of a gift or thing of value given to such person's spouse or dependent child, shall solicit, accept or receive any gift or other thing of value having either a fair market value or aggregate actual cost greater than fifty dollars ($50) in any calendar year, including but not limited to, gifts, loans, rewards, promises or negotiations of future employment, favors or services, honoraria, travel, entertainment, or special discounts, from a person, without the person receiving lawful consideration of equal or greater value in return from the public officer, member of the general assembly, local government official, or government employee who solicited, accepted or received the gift or other thing of value. (3) The prohibitions in subsections (1) and (2) of this section do not apply if the gift or thing of value is: (a) A campaign contribution as defined by law; (b) An unsolicited item of trivial value less than fifty dollars ($50), such as a pen, calendar, plant, book, note pad or other similar item; (c) An unsolicited token or award of appreciation in the form of a plaque, trophy, desk item, wall memento, or similar item; (d) Unsolicited informational material, publications, or subscriptions related to the recipient's performance of official duties; (e) Admission to, and the cost of food or beverages consumed at, a reception, meal or meeting by an organization before whom the recipient appears to speak or to answer questions as part of a scheduled program; (f) Reasonable expenses paid by a nonprofit organization or other state or local government for attendance at a convention, fact-finding mission or trip, or other meeting If the person is scheduled to deliver a speech, make a presentation, participate on a panel, or represent the state or local government, provided that the non-profit organization receives less than five percent (5%) of its funding from for -prof organizations or entities; (g) Given by an individual who is a relative or personal friend of the recipient on a special occasion. (h) A component of the compensation paid or other incentive given to the recipient In the normal course of employment. (4) Notwithstanding any provisions of this section to the contrary, and excepting campaign contributions as defined by law, no professional lobbyist, personally or on behalf of any other person or entity, shall knowingly offer, give, or arrange to give, to any public officer, member of the general assembly, local government official, or government employee, or to a member of such person's immediate family, any gift or thing of value, of any kind or nature, nor knowingly pay for any meal, beverage, or other item to be consumed by such public officer, member of the general assembly, local government official or government employee, whether or not such gift or meal, beverage or other item to be consumed is offered, given or paid for in the course of such lobbyist's business or in connection with a personal or social event; provided, however, that a professional lobbyist shall not be prohibited from offering or giving to a public officer, member of the general assembly, local government official or government employee who is a member of his or her immediate family any such gift, thing of value, meal, beverage or other item. (5) The general assembly shall make any conforming amendments to the reporting and disclosure requirements for public officers, members of the general assembly and professional lobbyists, as provided by law, to comply with the requirements set forth in this section. (6) The fifty -dollar ($50) limit set forth in subsection (2) of this section shall be adjusted by an amount based upon the percentage change over a four-year period in the United States bureau of labor statistics consumer price Index for Denver- Boulder -Greeley, all items, all consumers, or its successor index, rounded to the nearest lowest dollar. The first adjustment shall be done in the first quarter of 2011 and then every four years thereafter. Section 4. Restrictions on representation after leaving office. No statewide elected officeholder or member of the general assembly shall personally represent another person or entity for compensation before any other statewide elected officeholder or member of the general assembly, for a period of two years following vacation of office. Further restrictions on public officers or members of the general assembly and similar restrictions on other public officers, local government officials or government employees may be established by law. Section 5. Independent ethics commission. (1) There Is hereby created an independent ethics commission to be composed of five members. The purpose of the independent ethics commission shall be to hear complaints, issue findings, and assess penalties, and also to issue advisory opinions, on ethics issues arising under this article and under any other standards of conduct and reporting requirements as provided by law. The independent ethics commission shall have authority to adopt such reasonable rules as may be necessary for the purpose of administering and enforcing the provisions of this article and any other standards of conduct and reporting requirements as provided by law. The general assembly shall appropriate reasonable and necessary funds to cover staff and administrative expenses to allow the independent ethics commission to carry out its duties pursuant to this article. Members of the commission shall receive no compensation for their services on the commission. (2) (a) Members of the independent ethics commission shall be appointed in the following manner and order: (1) One member shall be appointed by the Colorado senate; (11) One member shall be appointed by the Colorado house of representatives; (111) One member shall be appointed by the governor of the state of Colorado; (IV) One member shall be appointed by the chief justice of the Colorado supreme court; and (V) One member shall be either a local government official or a local government employee appointed by the affirmative vote of at least three of the four members appointed pursuant to subparagraphs (1) to (IV) of this paragraph (a). (b) No more than two members shall be affiliated with the same political party. (c) Each of the five members shall be registered Colorado voters and shall have been continuously registered with the same political party, or continuously unaffiliated with any political party, for at least two years prior to appointment to the commission. (d) Members of the independent ethics commission shall be appointed to terms of four years; except that, the first member appointed by the Colorado senate and the first member appointed by the governor of the state of Colorado shall initially serve two year terms to achieve staggered ending dates. (e) If a member is appointed to fill an unexpired term, that member's term shall end at the same time as the term of the person being replaced. (f) Each member shall continue to serve until a successor has been appointed, except that if a member is unable or unwilling to continue to serve until a successor has been appointed, the original appointing authority as described in this subsection shall fill the vacancy promptly. (3) (a) Any person may file a written complaint with the independent ethics commission asking whether a public officer, member of the general assembly, local government official, or government employee has failed to comply with this article or any other standards of conduct or reporting requirements as provided by law within the preceding twelve months. (b) The commission may dismiss frivolous complaints without conducting a public hearing. Complaints dismissed as frivolous shall be maintained confidential by the commission. (c) The commission shall conduct an investigation, hold a public hearing, and render findings on each non -frivolous complaint pursuant to written rules adopted by the commission. (d) The commission may assess penalties for violations as prescribed by this article and provided by law. (e) There is hereby established a presumption that the findings shall be based on a preponderance of evidence unless the commission determines that the circumstances warrant a heightened standard. (4) Members of the independent ethics commission shall have the power to subpoena documents and to subpoena witnesses to make statements and produce documents. (5) Any public officer, member of the general assembly, local government official, or government employee may submit a written request to the independent ethics commission for an advisory opinion on whether any conduct by that person would constitute a violation of this article, or any other standards of conduct or reporting requirements as provided by law. The commission shall render an advisory opinion pursuant to written rules adopted by the commission. Section 6. Penalty. Any public officer, member of the general assembly, local government official or government employee who breaches the public trust for private gain and any person or entity inducing such breach shall be liable to the state or local jurisdiction for double the amount of the financial equivalent of any benefits obtained by such actions. The manner of recovery and additional penalties may be provided by law. Section 7. Counties and municipalities. Any county or municipality may adopt ordinances or charter provisions with respect to ethics matters that are more stringent than any of the provisions contained in this article. The requirements of this article shall not apply to home rule counties or home rule municipalities that have adopted charters, ordinances, or resolutions that address the matters covered by this article. Section 8. ConfilcUng provisions declared inapplicable. Any provisions in the statutes of this state in conflict or inconsistent with this article are hereby declared to be preempted by this article and Inapplicable to the matters covered by and provided for in this article. Section 9. Legislation to facilitate article. Legislation may be enacted to facilitate the operation of this article, but in no way shall such legislation limit or restrict the provisions of this article or the powers herein granted. Source: Initiated 2006: Entire article added, effective upon proclamation of the Governor, L. 2007, p. 2960, December 31, 2006.