HomeMy WebLinkAbout2015-05-20 Board of Ethics PacketCHUTA VISTA
Board of Ethics
Notice is hereby given that the Board of Ethics of the City of Chula Vista has called and will
convene a Regular Meeting of the Board of Ethics on Wednesday, May 20, 2015, at 5:15 p.m. in
Council Conference Room CIO 1, located at 276 Fourth Avenue; Building A, Chula Vista,
California to consider the item(s) on this agenda,
REGULAR MEETING OF THE BOARD OF ETHICS
OF THE CITY OF CHULA VISTA
May 201200
5:15 P.M.
CALL TO ORDER
ROLL CALL: Commissioners: Toothman ;
Livingston , Robles ; and Chair Schilling
CITY STAFF: Silva ; fonds ; and Malveaux
PUBLIC COMMENTS
Rooin C101- Building A
276 Fourth Avenue
Chula Vista
.lemison Esquer ;
Persons speaking during Public Comments may address the Board/Commission on any
subject matter within the BoardlCommission's jurisdiction that is not listed as an item on the
agenda. State taw generally prohibits the BoardlCommission from discussing or taking
action on any issue not included on the agenda, but, if appropriate, the BoardlCommission
may schedule the topic for future discussion or refer the matter to staff. Comments are
limited to three minutes.
ACTION ITEMS
The Items) listed in this section of the agenda will be considered individually by the
BoardlCommission and are expected to elicit discussion and deliberation. If you wish to
speak on any item, please fill out a "Request to Speak" form and submit it to the Secretary
prior to the meeting. Comments are limited to five minutes.
1, Discussion and Action regarding May 1, 2015 Memorandum by the City Attorney's
Office regarding "Summary of Advice .Regarding Board of Ethics (BOE) Authority to
Make Referrals to Other Enforcement Authorities and related Matters," including
possible referral of BOE complaints 2 -18 -ISA and 2-20-15A to other enforcement
authority pursuant to Chula Vista Municipal Code section 2.28.090(13).
I declare under penalty of perjury that t am employed by
the City of Chula Vista in the office of the CityAttomey
and that 1 posted this document on the bulletin board at
the City Hail according to Brown Act requirements.
Dated' `� /s t,� Signed �t3�-; t 1)tle" c' (466.
2. Discussion and Action regarding review and revisions to Board of Ethics ("BOE")
complaint form, including formation of limited term Ad Hoc Committee to review and
propose revisions to the BOE complaint form.
3. Discussion and Action regarding review and revisions to Chula Vista Municipal Code
("CVMC") sections 2.01 (Code of Ethics) and 2.28 (Board of Ethics, including
information of a limited term Ad Hoc Committee to review and propose revisions to
CVMC sections 2.01 and 2.28.
OTHER BUSINESS
1. STAFF COMMENTS
2. CHAIR'S COMMENTS
3. COMMISSIONERS'/BOARD MEMBERS' COMMENTS
ADJOURNMENT to the regular meeting on June 17, 2015, in Council Conference Room
C101, Building A at 276 Fourth Avenue, Chula Vista, California.
Materials provided to the Board of Ethics related to any open -session item on this agenda are
available for public review in the Office of the City Attorney at 276 Fourth Avenue, Chula Vista,
Building A, Chula Vista during normal business hours.
In compliance with the
AMERICANS WITH DISABILITIES ACT
The City of Chula Vista requests individuals who require special accommodations to access,
attend, and/or participate in a City meeting, activity, or service, contact the Human Resources
Department at (619) 691-5041 (California Relay Service is available for the hearing impaired by
dialing 711) at least forty-eight hours in advance of the meeting.
Page 2 (Board of Ethics Special Meeting May 20, 2015
CRY OF
CHULAVISM
TO: Board of Ethics
FROM: Glen R, Googins, City Attorney
Simon Silva, Deputy City Attorney III
DATE: May 1, 2015
SUBJECT: Summary of Advice Regarding Board of Ethics (BOE) Authority to Make
Referrals to other Enforcement Authorities and Related Matters
The purpose of this Memorandum is to summarize and clarify the legal advice provided
you at your most recent regular meeting on April 1 S, 2015 with respect to Agenda Item No. 2.
As you will recall, this item was agendized as a follow up to your dismissal at your March 19,
2015 meeting of ethics complaints filed by Russ Hall and HelenProsser against the City Council
and the City Attorney. These complaints alleged conflict of interest violations stemming from
the City Council's decision to appoint Steve Miesen to fill a vacant seat on the Council.
Although your March 19`x' action dismissed the complaints, a number of you continued to have
concerns and wanted to know your options, As a result, special counsel was asked to return on
April 15t" to advise you on what additional options you may have with respect to the
Hatl/Prosser claims themselves, or the general subject matter thereof. After listening to the tape
of your March 191' meeting, we thought that you, and the public generally, would also benefit
from a formal presentation of the legal analysis we had conducted regarding the Miesen
appointment and our approach to conflict of interest matters generally,
BACKGROUND
The BOB received two complaints (2-18-15A and 2-20-15A) regarding the appointment
of Steve Miesen to the position of City Councilmember. The BOE dismissed the complaints
because it determined that there was no prima facie showing that the allegations constituted
violations of "Specified Prohibitions" set forth in Chula Vista Municipal Code ("CVMC")
section 2,01. The BOB subsequently asked if there were other actions the Board could tape with
regard to the complaints, with a particular interest in a possible referral to another agency.
At your April 15t" meeting, follow up Item No. 2 included a number of elements, First
came a brief report from Jim Lough, special counsel to the BOE, regarding BOB authority to
refer the complaints to other agencies. Second, was a presentation by the City Attorney's Office
on the conflicts of interest analyses we hid performed with respect to Mr, Miesen, As you will
recall, this included an extensive sang ilary of our analysis and our conclusions that neither
Government Code 1090 (prohibited financial interests in conflicts), nor Oovernrnent Code 1099
(incompatible offices) applied to disqualify Mr, Miesen from holding office. We also indicated
that we were continuing to analyze each decision coining before the City Council for conflicts,
and that we were expecting to seek guidance from the FPPC in one or more instances,,
particularly where the decision before Council involved a substantial increase in residential units,
(and therefore customers for Republic Services). Finally, we indicated that we were working
with City staff to develop a set of protocols for ongoing interactions with Mr. Miesen in order to
avoid undue influence and mitigate the possibility for ethics violations. [A copy of the power
point that guided our presentation oil these matters is attached at Attachment 1.7
Alter public input was taken, many Board members asked questions of Mr. lough and of
our office regarding what options the .Board might have to take further action with respect to the
Hall/Prosser complaints, the general subject matter thereof, or with respect to other matters that
might be brought before them not otherwise within their purview. Specific questions were asked
regarding the scope of the Board's "referral" authority, and the Board's authority to seek "a
second opinion" on the City Attorney's conflict of interest advice. Ultimately the Board took no
action regarding a referral or a second opinion. The Board did, however, approve our proposal
to keep the Board apprised of how it was handling ongoing conflicts issues, including any
interactions with the FPPC. Our office also proposed exploring with the Board possible
enhancements and clarifications to the Ethics Code, and improvements to the complaints process.
The Board proceeded to refer for consideration at its next meeting consideration of review of and
improvements to the existing Ethics Complaint form.
SUMMARY OF AUTHORITY
Like all City Boards and Commissions, the BOE is subject to the terms of the City
Charter and the CVMC. Although still subject to the City Charter, the BOB was created via
ordinance. Tliwvfore, its authority derives from. the CVMC. The CVMC Chapters applicable
are 2.01 (Ethics Code), 2.25 (General Rules for Boards and Commissions) and 2.28 (Board of
Ethics). Based on our review of the City Charter and the CVMC we advise that the Board does
huge the authority to refer a complaint over to another agency for eraforcenaent at any stage in its
proceedings, even if it has already acted to dismiss the complaint for failure to state a claim
within the Board's jurisdiction. The details of this are discussed in Section 1 of this
Memorandum, below. The Board does not, however, under the City Charter or the CVMC, have
the authority to seek a "second opinion" with respect to legal advice given to the Board or the
City by the City Attorney. This is discussed in greater detail in Section 2 of this Memorandum,
below.
1. The Board of .Ethics May Make a "Referral" to an Enforcement Agency for Their
Consideration to Take Enforcement Action on the Referred Matter.
CVMC Section 2.28.090(B) sets forth the BOE "referral" authority as follows;
"The Board may refer the matter to a local, state, or federal enforcement agency that may
have jurisdiction over the matter at any stage of the proceedings and may hold in
abeyance Board action pending results of the referral, The Board of Ethics may, but is
not required to, resume Board action on the matter if it has been provided notice of
inaction by the agency to whom the complaint was referred, the expiration of any
applicable statute of limitations, or inaction for more than one year by the agency to
whom the complaint was referred. Local, state and federal enforcement agencies include,
but are not limited to, the United States Attorney's Office, the California Attorney
General's Office, the San Diego County District Attorney's Office, the San Diego County
Grand Jury, and the Fair Political Practices Commission (FPPC), if the Board learns of
misconduct during any stage of the proceedings, but the misconduct is not within the
specific prohibitions set forth in this chapter, the Board of Ethics may snake a referral to
the appropriate local, state, or federal enforcement agency that may have jurisdiction over
the alleged misconduct." (A copy of Section 2.28.090(B) is attached as Attachment 1.)
Within Section 2.28.090(B) there are two distinct bases to make "referrals" to other
agencies. Pursuant to the first sentence in Section 2.28.090(B), the BOE may make a referral to
an enforcement agency on a matter where both the BOE and the other agency share jurisdiction.
The section contemplates that the BOE would hold its action on a complaint in abeyance until
the other agency acts or no action is taken by the other agency over a prolonged period of time,
In such case, the BOE would then resume its consideration of the complaint. The BOE may
make a referral under this provision at any stage of the proceedings.
Pursuant to the second sentence in Section 2.28.090(13), the BOE may make a referral to
an enforcement agency on an allegation of "misconduct " where the BOE does not have
jurisdiction Le. a complaint which does not state a violation of the "Specified prohibitions"
under 2.01.030(C)(1)-(13). Thus, in the situation where the complaint does not state a violation
ofthe "Specified Prohibitions," but otherwise makes allegations of "misconduct," a referral may
be made to another agency which may have jurisdiction in the matter.
Based on these provisions, with respect to the Hall/Prosser complaints, Mr. Lough has
advised that the Board :may refer those complaints to the Attorney General for its consideration
for enforcement of any violations of state law within the AG's purview. Per Mr. Lough,
however, this may not be necessary as Ms. Galvez has already filed a complaint with the AG's
office on these some facts. if the Board still wanted to refer the matter, Mr. Lough advised that
the Board should take care with its referral to make sure that its communication to the AG does
not state or imply any, deterinination by the BOB that any "misconduct" had in fact occurred.
This is for two reasons. First, the Board has made no such determination. Second, because the
Board has found the complaints to be outside the CVMC prescribed "Specific Prohibitions" the
Board has no authority to make such a deteinlination.
2.- The BOE has no Authority to Seek a Seeond.O»inion on Advice Provided by the City
Attomey_on a Conflict of Interest Issue, or ar.
Pursuant to the City Charter and the CVMC, the City Attorney is charged with providing
legal advice to the City. Only the City Attorney, when he or she determines the City Attorney's
office has a conflict of interest, or the City Council, in very limited circumstances, can authorize
the solicitation of legal advice from a third party. The BOB clearly has jurisdiction to consider
and act on allegations that the City Attorney's conduct violated "Specified Prohibitions" in the
City's ethics code, This jurisdiction could include a referral of any ethics complaint or allegation
of "misconduct" to another government agency for "enforcement". But this is not the same thing
as looking to another government agency for a "second" legal opinion for the City because a
complainant or the Board itself does not agree with the City Attorney's opinion, or wants it
confirmed. Nowhere in the Charter or the CVMC is the BOB given this authority, either
expressly or implicitly. Accordingly, the BOE has no oversight authority over conflict of interest
advice provided by the City Attorney to the City Council with respect to Mr. Miesen.
Even if the Board had such authority, it does not appear that the AG's office would have
the authority to respond. The Attorney General's Office, pursuant to GoveYmuent Code section
12519, only provides advice to specified entities, such as state tegislators, the Governor, Lt.
Governor, Secretary of State, Controller, Treasurer, State Lands Commission, Superintendent of
Public Instruction, Insurance Commissioner, any state agency, and any county counsel, district
attorney, or sheriff. The BOE is not an enumerated entity. Section 12519 does permit a City
Attorney's Office to seek legal advice, but only in its role as a criminal prosecutor and then only
on matters of criminal taw. The "Attorney General's Guidelines for Issuing Opinions oil
Question of Law" states, "Under section 12519, the Attorney General may give opinions only to
the specified public officials, and not to private citizens or to public officials who are not listed in
the statute." (A copy of the "Guidelines" are attached to this memorandum as Attachment 2.)
Thus, the Attorney General's Office does not provide legal advice to entities like the Board of
Ethics.
'CONCLUSION
Ill sum, the BOE may make a referral to an enforcement agency on an item the BOE has
jurisdiction oil and hold BOB action in abeyance on a Complaint it has jurisdiction over. Tf the
BOE has no jurisdiction, the BOB may also make a referral to an appropriate enforcement
agency. The BOB may not obtain a second opinion regarding a matter in which the City
Attorney's Office has opined.
We will be available at your upcoming meeting to answer any questions you may have
regardung this Memorandum. In the interim, if any Board member has any questions, please
don't hesitate to contact Simon Silva at (619) 691-5037. Questions regarding possible further
Board action on the Hail/Prosser complaints specifically should be directed to James Lough at
(760) 743-1201.
cc: James Lough, Esq.
ATTACHMENT
4/15/2015
CONFLICTS REVIEW
Glen Gobgins, City Attorney
Simon Silva, Deputy City ,Attorney
Types of Conflicts
e GovernmentCodesection1090[Prohibited
PhiancialInterest in Contracts]
d Government Code section 1099[incompatible
Offices]
m PoliticalReformAct [ProhibitedFioanclat
Interest in Governmental Pecision-CC 87100]
o Common law Doctrine Against Conflicts of
Interests
p Code of Pthics�CVMC 2,01
Types of Conflict
w lmpactsoffice;
■ cc'i09otifAobittitedJBii�anctdtInterestinContract]
x GC 1097 (IncompaHble Offices]
m Impacts ability, to vote on specific items:
% PRA
* Commons, wUius
4/15/2015
BALANCING INTERESTS
• ACTUAL, CONPT TCT
• PMCIEVHD CONIACT/A'P?,BARANCE OF
WROPRUrrY
to IN OPPICBTO PARTLCIPATH—TO DO THE
PUBLLC'SHUSIIdFiS'
WHO IS THE CLIENT
u The City Is our client
o We examine issues to support the City ability
to sex ve the public and to ensure its actions are
lawful
Government Code section1090
w It is u violation of GC 1090 fox a public official
to have a "financial hiteresV in the "maVmg"
of a contract
a Such contracts are void
o Timing of assumption of office is critical in
determining if a GC 1090 violationhas
occurred
2
4/15/2015
Government Code section 1090
• If contractpredatesassumption ofoffice then
no GC 1.090 violation
a Well established rule:
u gemdry v, Va&kx (1647) 32 Cal. 269
o Mdrigen, Skim Vino LoadHosp, Dist, (1990)2%
CN.App.sdai4 921
a 85 Ops,Cal.Atty.Gen 176 (2002)
a UOps.Ca1Atty.Gen34(2001)
a 730ps,Cal.Atty,Gen191(1990)
Government Code section 1090
o Goingfoiwvard:
x
New contm4Modirwation,Amendment,Renewal
o "Remote Interest" - Government Code section
1091(b)p) [employee of contracting party)
. Allows City to contxact but CouncilmeAtb"Wesen
may not partidpate or vote on the Matter
Government Code section 1090
Conclusion .
Tizere is iw CG 1090 violation because the
Republic Services Franchise Agreement was
approved and entered into prior to
Councilmember Miesen's assumption of office,
Councilm%-oberl%41esen's positionwith RepubUe
Services is a remote interest witbtst the meaning
of GC 1091(b)(2) [employee)'Euid the City would
be able to contract with Republic Services so long
as Councitmember'Miesen did not participate
3
Government (Code section 1099
o Government Cods section 1099proltiblts a
person from simultaneously holding "public
offices' that weincompaWe
o The firsthiqu!gris wliether there are two
"Public offices'
tl Councila%embex h a public office
Republic Waste isnot a public/governmental entity.
It is a private corporation,
p 'niepadOonotDivision Manager is trot a public
office. Instead, itis empioynront. GC1099(*tatm •
that1099 dorsnot apply to employment,
Government Code section 1099
Conclusion
o There is no GC 1099 violation because there axe
not twa "public offices,"
a Republic Services is not a public/governmental
entity It is a private company.
o The position of MOO= Monger is
employment as set forth in GC 1099(f and as
such is not a "public office "
Political Reform Act
o Political Reform Act (CC 87100) prolubits a
City Coundlmember from having a fhrancial
interest in a governmental decision
p VPPC established a d -part test to determine if
such a omflict exists
■ Is it reasonably foreseeable that Uta deiMonivill
have a material financial effect on specified financial
interests
o Does not preclude holding office, Examined on
a case by case (hansactional) basis.
4/15/2015
. q.
4/15/2015
Political Reform Act
Conclusion
n The PRA prohibitsCoumdlmem'berMiesea
from participating in governmental decision in
which he kms a finandal interest
o The'wrMct requires a trawactional review
• coundl "City lteAv will be examined to
determine if it is reasonably foreseeable that
the declsionrnaynnateriallyaffeethis financlal ,
interests (his income from his employxnent)
Common Law Doctrine Against
Conflicts of Interest
m The Doctrine seeps to prohibit a division of
loyalty
n A councilmemberneedsto ask themselves,
both subjectively and objectively, do they have
a persomdInterest (bias) thatwillprevent them
from adhering their loyalty to the City.
a if therrela an actualconflict they mustrectue
themselves
to However, merepearameisinsufficientto
wairantrecusala(e e,g, peWk v. �eeorutit
(2010) 47 Cal.4m 91C, 1006, lin. 4.)
Common Law Doctrine Against
Conflicts of Interest
m Does not preclude holding office. Examined
on a case by case (transnetionalbas6).
CONCLUSION
Similar to PRA andwitl require case by case
review. Must resultin actual conflict for recusal.
5
4/15/2015
Code of Ethics
w Guiding Mnaples Provides a set of guidellnes
to considev wltetnmaking a decision. No
sanctions related to guiding principles because
there is not always a cleax answer wind
reasonable minds may differ on answer,
particularly when actions done in good faith,
m Specific prohibitions -narrowly drawn to
comlily with 14th .Amendment -'Due pTome
Vigilance is the Key
p To ensure there are no conflicts vigilance is
required
m City Attorney'sOfffce
Diligently wmking to TD conflicts
ii Devatopiog protocols for staff to ett me na coftMot
issues arlseand potentialforviolatium are
Aiinknixed
WM reach out to AG and FM as needed for
assistance
0
ATTACHMENT 2
STAU 0V CALWORNIA
Omer, orniG ATTOPNFY GBNBRAL
KAMALA D. HAMUS
Arrokt,,uy OHNIMAL
ATTORNEY GENERAL'S GUIDELINES FOR
ISSUING OPINIONS ON QUESTIONS OF LAW
June 2014
Tlie Attorney General's authority to issue .legal opinions is set out in Government
Code section 12519:
"The Attorney General shall give his or her opinion in writing to any
Member of the Legislature, the Governor, Lieutenant Governor, Secretary of
State, Controller, Treasurer, State Lands Conunission, Superintendent of
Public Instruction, Insurance Coimxlissioner, any state agency, and any
county counsel, district attorney, or sheriff when requested, upon any
question of law relating to their respective offices.
"The Attorney General shall give his or her opinion in writing to a city
prosecuting attorney when requested, upon any question of law relating to
criminal matters."
RECIPIENTS
Under section 12519, the Attorney General may give opinions only to the specified
public officials, and not to private citizens or to public officials who are not listed
in the statute.
Constitutional Officers. The Attorney General may provide an opinion to any
state constitutional officer: the Governor, Lieutenant Governor, Secretary of State,
Controller, Treasurer, State Lands Commissioner, Superintendent of Public
Instruction, and Insurance Commissioner.
13001 Sin, ri' • Sviu, 1740 Y SACRANIMNro, CALIFUuM 95814 0 PllON11 (91 G) :124-5437
wZ7s+;
Legislators, The Attorney General may provide an opinion to "any Member of the
Legislature." This refers to the State Senate aild the State Assembly, but not to
local legislative bodies such as city councils or county boards of supervisors.
Requests may be made by individual state legislators, but not by legislative
committees or consultants.
State Agencies. Tlme Attorney General may provide an opinion to "any state
agency," The Attorney General interprets this as perinittiilg opinions to be
provided to state -level departments, agencies, boards, and carnmissions. This does
not include local agencies, even though the local agency has been organized under
state statutes. A request by a state agency or department should be trade by or on
belialf of the head of the state agency or department, not by individual employees
of the agency. A request by a state board or conunission must be authorized by a
majority vote of the board or commission,
The California Supreme Court and Court of Appeal are state agencies authorized to
request opinions. Requests should come from. the chief justice or a presiding
justice of the court or, as is ltsaally the case, be submitted by the Administrative
Office of the Courts.
County Counsel, District Attorneys, and Sheriffs, The Attorney General .may
issue an opinion to "any county counsel, district attorney, or sheriff." The request
should be made by or on behalf of the elected or appointed district attorney, county
counsel, or sheriff, not by individual deputies or employees.
City Prosecuting Attorneys. The Attorney General may issue an opinion to "a
city prosecuting attorney when requested, upon any question of law relating to
crimininal matters." Opinions may not be given to city attorneys who do not
prosecute crinninal cases. Whether or not a city attorney prosecutes criminal cases,
an opinion may not be given to a city attorney on a question of civil law.
QUESTIONS PRESENTED
Government Code section 12519 states that opinions will be provided oil
"questions of law." Requests that require factual investigations or that would
require the resolution of a factual dispute are declined, Requests for advice, or for
policy determinations, are also declined.
Section 12519 also states that opinions will be given to specified officers on
questions "relating to their respective offices." Requests for opinions posed on
behalf of others, or on questions unrelated to the office, are declined.
2
For -policy reasons, the Attorney General also declines to give opinions on legal
questions under special circumstances. The limitations include:
Conflicts of Interest under the Political Reform Act. The Attorney General
normally recommonnds that questions concerning conflicts of interest arising under
the Political Reform Act of 1974 (California Government Code §§ 81000-91.415)
be directed to the Pair political Practices Commissions, which administers the Act.
A public official may rely on the Commission's opinion as a defense in
enforcement actions regarding the requirements of the Political Reform Act.
Local Laws, The Attorney General declines opinion requests calling for
intelpretation of local chanters, ordinances, resolutions, regulations, or rules,
Responsibility for innteipreting and enforcing local laws nests with local government
lawyers.
Pending Legislation. The Attorney General declines opinion requests regarding
the validity or interpretation of legislation prion to its enactment. Responsibility for
providing opinions on pending bills rests with the Office of Legislative Counsel.
Litigation, The Attorney General declines opinion requests involving legal issues
that are pending in a judicial or administrative proceeding. Issuing an opinion on a
question that is at issue in litigation might be perceived as an attempt to influence
the litigation. When the Attorney General's Opinion Unit becomes aware that a
question raised in an existing request has become the subject of litigations, the
assignment to prepare the opinion is cancelled.
Conflict of Interest. Occasionally, the Attorney General declines a request
because it presents a conflict of interest with respect to other legal matters with
which the Attorney General's Office may be involved.
PROCESS
Contents of Request. An opinion request should be submitted in writing, and
signed by the public official or head of the agency authorized to make the request.
The request should set out the question to be answered as clearly as possible, along
with enough descriptions of the background and context of the question to allow a
precise legal analysis to be prepared.
Any request that is inade by a department or officer that employs legal counsel
must be accompanied by a legal analysis prepared by the department or officer's
legal counsel. Requests from a sheriff iuust be accompanied by the legal analysis
of the district attorney or county counsel.
3
A Deputy Attorney General in the Opinion Unit may contact the requester for
additional background information, or to discuss whether revisions to the question
are desirable.
Comments by Interested Persons. After a request for an opinion has been
accepted, the matter will be assigned to a Deputy Attorney General in the Opinion
Unit for research and drafting, During the preparation period, the Attorney
General's Office welcomes any interested person or entity to submit its continents
on the issues under consideration.
The Attorney General's Opinion Unit makes substantial efforts to solicit- comments
from persons or entities who may have Imowledge of the issues, but we realize that
we cannot expect to reach everyone, and we encourage all those with an interest to
make themselves and their views luiown to us. All comments submitted before a
draft is prepared will be considered, but early comments are strongly preferred.
Drafting and Internal Review. The Deputy Attorney General assigned to the
matter is primarily responsible for directing research into the question, and for
drafting the opinion.
After a draft opinion bas been prepared, it is circulated internally within the
Attorney General's Office for extensive review and revision. This process is
crucial to ensuring the quality and value of a written opinion, and the process can
be protracted, Due to many variables, it is often not possible to accurately predict
when a particular opinion will be issued.
Proposed analyses and conclusions of pending opinions are not discussed outside
of the Attorney General's Office.
Publication. Once the Attorney General'has formally approved an opinion, it is
provided first to the requester, and then to the public. Published opinions are
available on the Attorney General's website, through online legal research services,
and in law libraries,
Public Information. All written requests for Attorney General's opinions, as well
as all written views submitted on questions under consideration, are public
documents and may be disclosed to third parties under the Public Records Act.
4
ATTACHMENT 4
CHMVISTA
I declare under penalty of perjury that I am employed by
the City of Chula Vista in the office of the 04Attorney
and that t posted this document on the bulletin board at
the City Hall according to Brown Act requirements.
Board of Ethics A-11
Notice is hereby given that the Board. of Ethics of the City of Chula Vista has called and will
convene a Special Meeting of the Board of Ethics on Tuesday, June 30, 2015, at 5:15 p.m. in
Council Conference Room 0101, located at 276 Fourth Avenue, Building A, Chula Vista,
California to consider the item(s) on this agenda,
SPECIAL MEETING OF THE BOARD OF ETHICS
OF THE CITY OF CHULA VISTA
June 30, 2015 Room C101- Building A
5:15 P.M. 276 Fourth Avenue
Chula ''Vista
CALL TO ORDER
ROLL CALL: Commissioners; Toothman Vice -Chair, Jemison_____,; Esqucr ;
Livingston ; Robles ; and Chair Schilling
CITY STAFF: Silva ;Ponds ; and Malveaux
OUTSIDE COUNCIL: James Lough, Esq.
PUBLIC COMMENTS
.Persons speaking during Public Comments may address the Boar'dlCommission on any
subject matter within the Board/Commission's jurisdiction that is not listed as an item on the
agenda. State law generally prohibits the Board/Commission from. discussing or taking
action on any issue not included on the agenda, but, if appropriate, the Board/Commission
may schedule the topic for future discussion or refer the matter to staff, Comments are
limited to three minutes.
ACTION ITEMS
The Item(s) listed in this section of the agenda will be considered individually by the
BoardlCommission and are expected to elicit discussion and deliberation. .lf you wish to
speak on any stent, please fill out a "Request to Speak" form and submit it to the Secretary
prior to the meeting, Comments are limited to five minutes.
1. Discussion and Action regarding referral of BOB complaints 2-18-1SA and 2-20-15A to
other enforcement authority pursuant to Chula Vista Municipal Code section
2.28.090(B), including review of referral letter.
2. Report from limited term Ad Hoc Committee assigned to review and propose revisions to
the BOE complaint form.
OTHER BUSYNESS
1. STAFF COMMENTS
2. CHAIR'S COMMENTS
3. COMMISSIONERSVBOARD MEMBERS' COMMENTS
ADJOURNMEN'J.' to the regular meeting on July 15, 2015, in the Council Conference Room
C101, Building A at 276 Fourth. Avenue, Chula. Vista, Califoniia.
.Materials provided to the Board of Ethics related to any open -session item on this agenda are
available for public review, in the Office of the City Attorney at 276 ,Fourth Avenue, Chula Vista,
Building A, Chula Vista during normal business hours,
lit compliance o4th lite
AMERICANS WITH DISABILITIES ACT
The City of Chula Vista requests individuals who require special accommodations to access,
attend, and/or participate in a City meeting, activity, or service, contact the ffutnan Resources
Department at (6.19) 01-5041 (California Relay Service is available for the hearing impaired by
dialing 711) at least forty-eight hours in advance of the meeting.
Page 2 (Board of Etliics Special Meeting June 30, 2015
June 30, 2015
Jodi Remke, Chair
California Fair Political Practices Commission
428 J Street, Ste. 620
Sacramento, CA 95814
Kamala D. Harris, Attorney General
California Department of Justice
13001 Street
Sacramento, CA 95814
Bonnie Dumanis, District Attorney
Office of the District Attorney
330 W. Broadway,13th Floor
San Diego, CA 92101
Dear Ms. Remke, Ms. Harris, and Ms. Dumanis:
The purpose of this correspondence is to forward two complaints that were filed with the Chula
Vista Board of Ethics ("CV BOE"). (Attachments "A" & "B".) The Chula Vista Board of
Ethics hears complaints related to violations of "Specified Prohibitions" as set forth in Chula
Vista Municipal Code ("CVMC") section 2.01.030(C). The CV BOE reviewed the complaints
and dismissed them because they failed to make a "prima facie" showing that any of the
enumerated "Specified Prohibitions" were violated.
While the complaints were dismissed by the Board of Ethics, the complaints made allegations
that did not fall within any of the "Specified Prohibitions" as set forth in CVMC 2.01.030(C).
The complaints made allegations involving Government Code Sections 1090, 1099, 8920, 87100
et, seq. and common law conflicts. Pursuant to CVMC section 2.28.090(B), the CV BOE may
refer complaints in which they do not have jurisdiction to an appropriate enforcement agency for
their review and consideration. Accordingly, the attached complaints are attached for your
review and consideration. The CV BOE makes no finding as to the merits of the complaints
since they do not fall within its jurisdiction.
Re: Chula Vista Board of Ethics LOUNSBERY FERGUSON ALTONA & PEAK LLP
June 26, 2015
Page 2 of 2
If you have an uestions, please contact Special Counsel James P. Lough a
Yours truly,
Anthony Jemison, Vice Chair
Chula Vista Board of Ethics
JPL.-kld
Attachments
June 26, 2015
Mr. Russ Hall
ON& - ~`1
RE: Complaint No.1-18-15A
Dear Mr. Hall:
This letter is to infoxm you that on March 16, 2015, at the regularly scheduled Board of Ethics
("BOE") meeting, the BOE conducted a "Prima Facie" review of the above entitled complaint
pursuant to Chula Vista Municipal Code section 2.28.110. * After a review of the complaint, the
BOE has dismissed the complaint pursuant to Chula Vista Municipal Code section
2.28.110(A)(3) [Complaint failed to state a full set of facts showing violations of Specific
Prohibitions set forth in 2.01.030(C)]. As such, the BOE does not have jurisdiction in the matter,
The Board of Ethics decision is final.
Yours truly,
Anthony Jemison, Vice Chair
Chula Vista Board of Ethics
June 26, 2015
Ms. Helen Prosser
A�
RE: Complaint No. 1-20-15A
Dear Ms. Prosser:
This letter is to infoim you that on March 16, 2015, at the regularly scheduled Board of Ethics
("BOE") meeting, the BOE conducted a "Prima Facie" review of the above entitled complaint
pursuant to Chula Vista Municipal Code section 2.28.110. After a review of the complaint, the
BOE has dismissed the complaint pursuant to Chula. Vista Municipal Code section
2.28.110(A)(3) [Complaint failed to state a full set of facts showing violations of Specific
Prohibitions set forth in 2,01.030(C)]. As such, the BOE does not have juixsdiction in the matter.
The Board of Ethics decision is final.
Yours truly,
Anthony Jemison, Vice Chair
Chula Vista Board of Ethics
h�
ATTACHMENT 5
GIIY OF
CHS VISR
CITY OF CHULA VISTA
BOARD OF ETHICS
COMPLAINT FORM
Please print or type. This form may be
completed and filed with the City Clerk
at 276 Fourth Avenue, Chula Vista, CA
91910. See reverse side of form for
additional information.
TIME STAMP
COMPLAINANT'S NAME
DAYTIME PHONE
COMPLAINANTS ADDRESS
CITY Zip
ALTERNATE PHONE
LOCATION OF INCIDENT
DATE AND TIME OF INCIDENT
NAME OF CITY OFFICIAL(S)
NARRATIVE OF COMPLAINT
CONTINUED ON ADDITIONAL SHEETS ❑
CERTIFICATION:
declare that the statements made on this form, as well as any attached statements of my own, are true and correct to the
best of my knowledge and belief. This declaration is made under penalty of perjury, under the laws of the State of
California.
Signed: Date:
CODE OF ETHICS
To establish ethical
standards of conduct for
public officials, the City of
Chula Vista enacted a Code
of Ethics. The Code
requires public officials to:
• Observe a high
standard of morality
• Faithfully discharge
the duties of office
• Adhere to rules and
laws
• Treat others fairly
and equally
Public officials are
prohibited from:
• Exceeding their
authority
• Using their position
for personal gain
• Divulging
confidential
information
• Making false
statements about
members of the City
Council or other City
employees
• Misusing City
resources
The term public official
means any member of the
City Council, City Manager,
City Attorney, City Clerk,
members of Boards and
Commissions as well as ex
City officials who were
subject to the Conflict of
Interest Code.
Additionally, certain public
officials may not, within one
year of leaving their
position, represent others in
actions before the City, nor
be employed by entities
CHAVISTA
BOARD OF ETHICS
receiving a majority of their
funding from the City.
The full text of the Code
may be found in Chapter
2.28 of the Municipal Code.
BOARD OF ETHICS
The Board of Ethics advises
the City Council on
implementation of the Code
of Ethics. The Board is
authorized to receive
complaints, conduct
investigations upon
complaints or information
received, hold hearings,
swear witnesses, render
advisory opinions, and
adopt rules of procedure for
the conduct of its business.
COMPLAINTS
Complaints alleging a
violation of the Code of
Ethics may be made by
filing this complaint form
with the City Clerk's Office,
The City Clerk will forward
the complaint to the Board
of Ethics. Complaints must
be in writing, contain the full
allegation of facts, and be
signed under penalty of
perjury. Complaints must
be filed within 60 days of
the alleged violation.
(CVMV 2.28.090)
Once a complaint is
received, the Board of
Ethics will determine if
probable cause exists to
believe a violation has
occurred. If so, an
investigation may be
conducted. The Board has
the authority to subpoena
witnesses, and compel the
production of evidence.
If a determination is made
that the allegation lacks
probable cause to proceed,
the complaint may be
dismissed, and the parties
will be so notified.
MEETINGS
Meetings of the Board of
Ethics are open to the
public, and persons wishing
to address the Board may
do so at these meetings.
Meeting dates are posted in
advance in the City Clerk's
Office.
ADDITIONAL
INFORMATION
For additional information
on filing a complaint, or for
additional information on the
Board of Ethics, please do
not hesitate to contact
Joyce Malveaux, Board of
Ethics Secretary at (619)
409-5960.
"The Chula Vista Board of
Ethics is committed to honor
the public trust by promoting
ethical values and
monitoring ethical standards
in all aspects of City
government."
THE CITY OF SAN DIEGO
ETHICS COMMISSION
FORMAL COMPLAINT FORM
Please type or print legibly, and attach additional pages, if necessary.
In order for the Ethics Commission to treat this form as a Formal Complaint, you must identify yourself,
complete every section, and sign the form under penalty of perjury. The Commission will consider
anonymous complaints as well as complaints without all required information, but such complaints will
be treated as an Informal Complaints pursuant to San Diego Municipal Code section 26.0421(b)(1).
Please note that the Commission has no authority to commence an investigation with regard to
violations that occurred more than three years ago; violations by classified City employees; or
violations outside the scope of the City's Election Campaign Control Ordinance, Lobbying Ordinance,
or Ethics Ordinance.
Name of Complainant
Address
Home Phone (_ Work Phone
Respondent Information. Provide the name, title, department, business address, and telephone number
of each person who committed the alleged violation(s).
Type of Atlegation(s). Check the appropriate box(es) below indicating the type of allegation(s) stated in
this complaint.
❑ Violation of San Diego Election Campaign Control Ordinance
(SDMC section 27.2901 - 27.2991)
❑ Violation of San Diego Lobbying Ordinance
(SDMC section 27.4001— 27.4055)
❑ Violation of San Diego Ethics Ordinance
(SDMC section 27.3501 - 27.3595)
Complaints alleging that a City officer or employee engaged in misconduct that violates a law, policy, or regulation outside the
jurisdiction of the Ethics Commission (e.g., fraud) may be forwarded to the appropriate agency for review and possible discipline.
Pagel of 3
Description of Facts. Provide a specific description of the facts constituting the alleged
violation(s), including dates or approximate dates.
Witness Information. Provide the name, address, and telephone number of each person you
believe may have information that would assist the Commission in its evaluation of this
complaint. Also, describe the information that you believe each of the persons listed can provide
to support the allegations stated in this complaint.
Documentation. Attach copies of any documents in your possession that relate to the allegations
stated in this complaint. In addition, indicate below whether there are other records, not in your
possession, that you believe may assist the Commission in its evaluation of this complaint.
Page 2 of 3
Additional Information. Provide any additional information that you believe may assist the
Ethics Commission in its evaluation of this complaint.
Related Complaints. Have you made the same or similar allegations to another agency or court?
If so, identify the agency or court and attach a copy of any complaint or other written description
of the allegations submitted to that agency or court.
VERIFICATION*
I certify under penalty of perjury under the laws of the State of California that the above
statements are true and correct.
Executed
(date)
(signature)
at
(city and state)
(print name)
*Complaints need not be verified. Please note, however, that the Commission is not required to
process or respond to unverified complaints.
Completed form should be submitted to:
San Diego Ethics Commission
1010 Second Avenue, Suite 1530
San Diego, CA 92101
Page 3 of 3
San Francisco
Ethics Commission
Filing a Complaint with the
San Francisco Ethics Commission
25 Van Ness Avenue, Suite 220
San Francisco, CA 94102
Phone: 252-3100 Fax: 252-3112
The San Francisco Ethics Commission encourages the reporting of suspected violations of laws, regulations and
rules governing the conduct of City officers and employees. The following information is provided to assist
persons interested in reporting a violation to the Commission.
The Ethics Commission is authorized to investigate and enforce violations of the following local
governmental ethics laws:
♦ Campaign Finance Reform Ordinance
S.F. Campaign & Governmental Conduct Code
(S.F. C&GC Code) § 1.100, et seq.
♦ Campaign Consultant Ordinance
S.F. C&GC Code § 1.500, et seg.
♦ Lobbyist Ordinance
S.F. C&GC Code § 2.100, et seq.
♦ Sunshine Ordinance"
S.F. Admin. Code § 67. 1, et seq.
♦ Multiple Campaign Accounts
S.F. C&GC Code § 1.200, et seq.
♦ False Endorsements on Campaign Literature
S.F. C&GC Code § 1.400, et seq.
♦ Political Activity by City Officers/Employees
S.F. C&GC Code § 3.230
♦ Gifts
S.F. C&GC Code § 3.216
♦ Contracts Between Members of Boards and
Commissions and the City
S.F. C&GC Code § 3.222
♦ Dual Officeholding for Compensation
S.F. C&GC Code § 3.220
♦ Decisions Involving Family Members
S.F. C&GC Code § 3.212
♦ Referrals
S.F. C&GC Code § 3.226
♦ Disclosure of Personal, Business or
Professional Relationships
S.F. C&GC Code § 3.214
♦ City Officers Representing Private Parties
Before City Boards and Commissions
S.F. C&GC Code § 3.224
♦ Intimidation or Retaliation by a City Officer/
Employee Against Persons Who File
Complaints with the Ethics Commission
S.F. C&GC Code § 4.100, et seq.
♦ Financial Conflicts of Interest by
City Officers/Employees
S.F. C&GC Code § 3.206
♦ Payment for Appointments or Nominations to
City Service or Employment
S.F. C&GC Code § 3.208
♦ Disclosure or Use of Confidential Information
by City Officers/Employees S.F. C&GC
Code § 3.228
♦ Post -Employment Restrictions
S.F. C&GC Code § 3.234
♦ Incompatible Activities
S.F. C&GC Code § 3.218
♦ City Officers/Employees Voting on Own
Character or Conduct
S.F. C&GC Code § 3.210
* The Ethics Commission can only investigate alleged violations of the Sunshine Ordinance if: 1) you notified the Respondent of the alleged
violation at least 40 days before filing a complaint with the Ethics Commission; and 2) the Respondent did not cure the alleged violation.
Rev. 06/2004
The text of these laws can be found on the Ethics Commission's website at www.sfgov.org/ethics.
Many of these laws are also discussed in the Commission's publication "The San Francisco Ethics
Commission Manual on Governmental Ethics Laws: A Guide to State and Local Laws Governing the
Conduct of Public Officials and Employees," which is available on the website or at the Commission's
office.
How to file a
It is strongly recommended that prior to filing a complaint, you speak with an investigator to
determine whether the matter about which you are complaining is something the Ethics
Commission has authority to address. If it is not, the investigator will refer you to the most
appropriate agency to whom to direct your complaint. To schedule an appointment with an
investigator, please call the Ethics Commission at (415) 252-3100.
Once you determine that the Ethics Commission is the most appropriate agency to address your
complaint, you may file your complaint on the attached complaint form. Please be aware that the
more information you provide, e.g., names, addresses and phone numbers of respondent(s) and
witnesses, all relevant facts pertaining to the complaint, and any documents that support your
allegation, the easier it will be for the Ethics Commission to investigate the complaint.
All complaints are confidential to the extent permitted by State law. Local law protects persons who
file complaints with the Ethics Commission from harassment or retaliation for filing the complaint.
Complainants should be aware that the Ethics Commission's Regulations for Investigations and
Enforcement Proceedings, which govern the Commission's handling of complaints, provide that a
person accused of a violation (the respondent) must be provided with a copy of the complaint.
Complainants may wish, therefore, to submit their complaints anonymously. Please be advised that
the Ethics Commission may, but is not required to, process or respond to anonymous complaints and
complaints that have not been signed and verified.
Laws the Ethics Commission cannot enforce
The Ethics Commission does not have the authority to investigate and enforce all laws relating to
ethics and the conduct of City officials. The Commission can investigate violations of, but cannot
enforce, most provisions of state law, such as the California Elections Code and the Penal Code,
The Ethics Commission does not investigate complaints pertaining to: personnel matters (such as
sexual or racial discrimination or failure to comply with Civil Service requirements); violations of
the State or Federal Constitution; and ethics violations by members of the judiciary.
If the Ethics Commission receives a complaint alleging violations that are not within the
Commission's jurisdiction, the Commission will forward the complaint to the appropriate agency for
investigation and enforcement.
2
San Francisco
Ethics Commission
25 Van Ness Ave., Suite 220
San Francisco, CA 94102
Phone 252-3100 Fax 252-3112
San Francisco Ethics Commission
Complaint Form
Please type or print legibly, and attach additional pages if necessary.
iplainant Information*
Name of Complainant
Address
Zip
Home Phone
Work Phone
* If you wish to remain anonymous, do not complete this section or the verification below.
Information
Name of Respondent
Business Title
City Department
Business Address
Work Phone
❑ If more space is needed to list additional complainants or respondents, please check this box and
attach additional sheets as necessary.
Type of Allegation(s)
Check the appropriate box(es) below indicating the type of allegation(s) stated in this complaint.
❑ Campaign Finance Reform Ordinance
❑ Campaign Consultant Ordinance
❑ Lobbyist Ordinance
❑ Sunshine Ordinance (The Ethics Commission can only investigate alleged violations of the Sunshine
Ordinance if. 1) you notified the Respondent of the alleged violation at least 40 days before filing a complaint
with the Ethics Commission; and 2) the Respondent did not cure the alleged violation).
❑ Multiple Campaign Accounts
❑ False Endorsements on Campaign Literature
❑ Political Activity by City Officers and Employees
❑ Acceptance of Gifts, Contributions and Future Employment by Public Officials Who Approve
Contracts and Other Public Benefits
❑ Contracts Between Members of Boards and Commissions and the City
❑ Dual Officeholding for Compensation
❑ City Officers Representing Private Parties Before City Boards and Commissions
❑ Intimidation or Retaliation by a City Officer or Employee Against Persons Who File Complaints
with the Ethics Commission
❑ Financial Conflicts of Interest by City Officers and Employees
❑ Payment for Appointment to City Service or Employment
❑ Disclosure of Confidential Information by City Officers and Employees
❑ City Officer or Employee Appearing Before Former Board or Agency
❑ Private Compensation of City Officers and Employees for City Service
❑ City Officers or Employees Voting on Own Character or Conduct
❑ Decisions Involving Family Members
❑ Disclosure of Personal, Business or Professional Relationships
❑ Referrals
❑ Other**
** Complaints that allege that a City officer or employee engaged in some form of misconduct that is not
within the Commission's authority to resolve will be forwarded to the appropriate agency for review and
possible enforcement.
Provide a specific description of the facts constituting the violation(s), including any relevant dates.
Attach additional sheets as necessary.
4
Witnesses
Provide the following information about person(s) you believe may have information that would assist the
Commission in its evaluation of this complaint.
Name of Witness
Address
Phone
Information you believe this
person can provide to support
the allegations stated in this
complaint
Name of Witness
Address
Phone
Information you believe this
person can provide to support
the allegations stated in this
complaint
❑ If more space is needed to list additional witnesses, please check this box and attach additional
sheets as necessary.
Documentation
Attach copies of any documents in your possession that relate to the allegations stated in this complaint.
In addition, indicate below whether there are other records, not in your possession, that you believe may
assist the Commission in its evaluation of this complaint.
Additional Information
Provide any additional information that you believe may assist the Ethics Commission in its evaluation of
this complaint.
Related Complaints
Yes No
Have you made the same or similar allegations to another agency or court? ❑ ❑
If yes, identify the agency or court and attach a copy of any complaint or other written description of the
allegations submitted to that agency or court.
Verification***
I certify under penalty of perjury under the laws of the State of California that the above statements are
true and correct.
Executed:
At:
Date)
(City and State
By:
(Typed or printed name
(Signature)
*** Complaints need not be verified. Complainants who wish to remain anonymous should not complete
the verification section above. However, please be advised that the Commission is not required to
process or respond to unverified complaints.
Me
San Francisco
Ethics Commission
Filing a Complaint with the
San Francisco Ethics Commission
25 Van Ness Avenue, Suite 220
San Francisco, CA 94102
Phone: 252-3100 Fax: 252-3112
The San Francisco Ethics Commission encourages the reporting of suspected violations of laws, regulations and
rules governing the conduct of City officers and employees. The following information is provided to assist
persons interested in reporting a violation to the Commission.
The Ethics Commission is authorized to investigate and enforce violations of the following local
governmental ethics laws:
♦ Campaign Finance Reform Ordinance
S.F. Campaign & Governmental Conduct Code
(S.F. C&GC Code) § 1.100, et seq.
♦ Campaign Consultant Ordinance
S.F. C&GC Code § 1.500, et seq.
♦ Lobbyist Ordinance
S.F. C&GC Code § 2.100, et seq.
♦ Sunshine Ordinance`
S.F. Admin. Code § 67. 1, et seq.
♦ Multiple Campaign Accounts
S.F. C&GC Code § 1.200, et seq.
♦ False Endorsements on Campaign Literature
S.F. C&GC Code § 1.400, et seq.
♦ Political Activity by City Officers/Employees
S.F. C&GC Code § 3.230
♦ Gifts
S.F. C&GC Code § 3.216
♦ Contracts Between Members of Boards and
Commissions and the City
S.F. C&GC Code § 3.222
♦ Dual Officeholding for Compensation
S.F. C&GC Code § 3.220
♦ Decisions Involving Family Members
S.F. C&GC Code § 3.212
♦ Referrals
S.F. C&GC Code § 3.226
♦ Disclosure of Personal, Business or
Professional Relationships
S.F. C&GC Code § 3.214
♦ City Officers Representing Private Parties
Before City Boards and Commissions
S.F. C&GC Code § 3.224
♦ Intimidation or Retaliation by a City Officer/
Employee Against Persons Who File
Complaints with the Ethics Commission
S.F. C&GC Code § 4.100, et seq.
♦ Financial Conflicts of Interest by
City Officers/Employees
S.F. C&GC Code § 3.206
♦ Payment for Appointments or Nominations to
City Service or Employment
S.F. C&GC Code § 3.208
♦ Disclosure or Use of Confidential Information
by City Officers/Employees S.F. C&GC
Code § 3.228
♦ Post -Employment Restrictions
S.F. C&GC Code § 3.234
♦ Incompatible Activities
S.F. C&GC Code § 3.218
♦ City Officers/Employees Voting on Own
Character or Conduct
S.F. C&GC Code § 3.210
R The Ethics Commission can only investigate alleged violations of the Sunshine Ordinance if; 1) you notified the Respondent of the alleged
violation at least 40 days before filing a complaint with the Ethics Commission; and 2) the Respondent did not cure the alleged violation.
Rev. 06/2004
The text of these laws can be found on the Ethics Commission's website at www.sfgov.org/ethics.
Many of these laws are also discussed in the Commission's publication "The San Francisco Ethics
Commission Manual on Governmental Ethics Laws: A Guide to State and Local Laws Governing the
Conduct of Public Officials and Employees," which is available on the website or at the Commission's
office.
How to file a
It is strongly recommended that prior to filing a complaint, you speak with an investigator to
determine whether the matter about which you are complaining is something the Ethics
Commission has authority to address. If it is not, the investigator will refer you to the most
appropriate agency to whom to direct your complaint. To schedule an appointment with an
investigator, please call the Ethics Commission at (415) 252-3100.
Once you determine that the Ethics Commission is the most appropriate agency to address your
complaint, you may file your complaint on the attached complaint form. Please be aware that the
more information you provide, e.g., names, addresses and phone numbers of respondent(s) and
witnesses, all relevant facts pertaining to the complaint, and any documents that support your
allegation, the easier it will be for the Ethics Commission to investigate the complaint.
All complaints are confidential to the extent permitted by State law. Local law protects persons who
file complaints with the Ethics Commission from harassment or retaliation for filing the complaint.
Complainants should be aware that the Ethics Commission's Regulations for Investigations and
Enforcement Proceedings, which govern the Commission's handling of complaints, provide that a
person accused of a violation (the respondent) must be provided with a copy of the complaint.
Complainants may wish, therefore, to submit their complaints anonymously. Please be advised that
the Ethics Commission may, but is not required to, process or respond to anonymous complaints and
complaints that have not been signed and verified.
Laws the Ethics Commission cannot enforce A
The Ethics Commission does not have the authority to investigate and enforce all laws relating to
ethics and the conduct of City officials. The Commission can investigate violations of, but cannot
enforce, most provisions of state law, such as the California Elections Code and the Penal Code.
The Ethics Commission does not investigate complaints pertaining to: personnel matters (such as
sexual or racial discrimination or failure to comply with Civil Service requirements); violations of
the State or Federal Constitution; and ethics violations by members of the judiciary.
If the Ethics Commission receives a complaint alleging violations that are not within the
Commission's jurisdiction, the Commission will forward the complaint to the appropriate agency for
investigation and enforcement.
2
Los Angeles City Ethics Commission
Complaint Form
The Ethics Commission has the authority to investigate violations of state and City laws regarding
campaign financing, lobbying, and governmental ethics. Complaints regarding other laws are referred to
appropriate agencies. This complaint form does not constitute a written request to commence a civil
action under Los Angeles Municipal Code sections 49.5.19(B)(3) or 49.7.38(B)(3). If you have a question
regarding whether your complaint is within our jurisdiction, please contact us.
You may make your complaint anonymously. If you do give us your name, we will not release it unless
we receive your permission, we refer the complaint to another appropriate agency, or we are ordered
by a court to release it. You are protected against retaliation for blowing the whistle on your coworkers
and superiors.
Investigations can be complex and can take many months to complete. We do not confirm or deny the
existence of any complaint or investigation, and we do not provide updates on the status of complaints.
We will not contact you unless we need additional information.
Please provide the information requested below. The more information you give, the more helpful your
complaint will be. Thank you for taking the time to submit your complaint.
Your name*:
Your address*:
Your phone number*:
Your email address*:
Name of person who allegedly violated the law:
Title of that person:
Place of that person's employment:
Laws that were allegedly violated:
Nature of complaint (with as much detail as possible, including dates, names, etc.):
Names and contact information of persons who may have helpful information:
DECLARATION*
I certify under penalty of perjury under the laws of the state of California that the information above is
true and correct.
Date:
At:
*Optional
Please attach additional sheets, if necessary.
Signature:
Name:
Please attach copies of any available documentation regarding the alleged violation.
Please submit this form and all attachments to the Ethics Commission:
By Email: ethics.commission@lacity.org
By Mail: Enforcement Division
200 North Spring Street, 24th Floor
Los Angeles CA 90012
By Fax: (213) 978-1988
6/3/2015
Filing a Formal Complaint
U. S. Equal Employment Opportunity Commission
Filing a Formal Complaint
If you decide to file ad is criminatioricomplaint, you must do so within 15 days from the day you received notice
from your EEO Counselor about how to file a complaint. This notice is sent to you after your final interview with the
EEO Counselor. You must file your complaint at the same EEO Office where you received counseling. The 15 -day
deadline for filing a complaint is calculated in calendar days starting the day after you receive the notice. If the 15th
calendar day falls on a Saturday, Sunday, or federal holiday, then the last day of the deadline is the next business
day. The agency is required to give you a reasonable amount of time during work hours to prepare the complaint.
If you feel that you have not been given a reasonable amount of time, contact the agency's EEO Director or EEOC's
Office of Federal Operations.
What to Include in the Formal Complaint
Your discrimination complaint must contain the following:
• Your name, address, and telephone number;
• Ashort description of the events that you believe were discriminatory (for example, you were terminated,
demoted, harassed);
• Whyyou believe you were discriminated against (for example, because of your race, color, religion, sex
(including pregnancy), national origin, age (40 or older), disability, genetic information or retaliation);
• Ashort description ofanyinjuryyou suffered; and
• Your signature (or your lawyer's signature).
Once Formal Complaint is filed
After your complaint is filed, the agencywill send you a letter letting you know it received your complaint. The
agencywill also review the complaint and decide whether your case should be dismissed for a procedural reason
(for example, your claim was filed too late). If the agencydoesn'tdismiss your complaint, itwill investigate it. If the
agencydoes dismiss your complaint, you will receive information about how to appeal the dismissal. Should the
agencydismiss your complaint without an investigation, you have 30 days from the dayyou receive the agency's
dismissal to appeal.
In some cases, an agencywill dismiss onlypart of the complaintand continue processing the rest. In this
situation, you mustwait until the agencyissues its final order on all the claims in your complaint before appealing
the partial dismissal.
Investigation of Complaint
The agencyhas 180 days from the dayyou filed your complaint to finish its investigation. The investigation maybe
extended byanother 180 days if new events are added to your complaint or if you file new complaints that must be
added to your original complaint for investigation. You also have the right to agree to an extension of up to 90 days.
When the investigation is finished, the agencywill give you two choices: either request a hearing before an EEOC
Administrative Judge or ask the agencyto issue a decision as to whether discrimination occurred.
If more than 180 days pass and the agencyhas not yetfinished its investigation, you can waitfor the agencyto
complete its investigation, ask for a hearing, or file a lawsuit in federal district court. Once you ask for a hearing,
the complaintwill be handled byan EEOC Administrative Judge.
The Role of the Agency Investigator
The role of the agency investigator is to gather information related to your complaint. Agency investigators do not
decide your case. Instead, they are responsible for gathering the evidence needed to decide whether you were
discriminated against.
6/3/2015
Filing a Formal Complaint
Reaching a Voluntary Settlement
At anytime during the complaint process, the agency can offer to settle your complaint. You are not required to
accept settlem ent offer.
If you and the agency settle your complaint, it will be dismissed and no further action will betaken. Both you and
the agency will be required to do what you promised to do in the agreement.
If the Agency Does Not Comply with the Settlement
If an agency does not comply in some waywith the terms of your settlement agreement, notify the agency's EEO
Director. You have 30 days from the dayyou first learned of the agency's failure to complyto give the EEO Director
this notice.
The agency must respond to you in writing to tryand settle the conflict. If the agencydoes notrespond, or if you are
not satisfied with the agencys response, you can appeal to EEOC's Office of Federal Operations for a decision
aboutwhetherthe agencyhas complied with the terms ofthe settlement agreement. You mustfile yourappeal
within 30 days from the dayyou receive the agencys response or, if the agencydoes not respond, after 35 days
have passed from the dayyou notified the agency's EEO Director of the agency's failure to comply. You must give
the agencya copyofyour appeal. The agencywill then have 30 days to respond.
Representation During the Complaint Process
Although you don't have to be represented by a lawyer during the complaint process, you have the right to have a
lawyer if you want one. You can also ask someone who is not a lawyer to represent you, or you can represent
yourself. The EEOC will not represent you during the complaint process, and we will not appoint a lawyer to
represent you.
Adding New Events to Your Complaint
If new events that you believe are discrim inatory take place after you file your complaint, you can add them to your
complaint. This is called "amending" a complaint. To amend your complaint, you should write the agency's EEO
Office, describe what happened, and ask that the new events be included in your complaint.
After your letter is received, the EEO Office will either add the new events to your complaint or send you to EEO
counseling to discuss them with an EEO Counselor. If you are sent to counseling and the matter cannot be
settled there, you have the right to file a new complaint that includes the new events. The new complaint will later
be combined with the original complaint.
Having More Than One Complaint
If you have more than one discrimination complaint against an agency, the agency's EEO Office must investigate
yourcomplaints together. This is to ensure thattheyare investigated as quicklyand as efficientlyas possible. The
EEO Office will notify you before the complaints are combined.
Complaint Form
In order for the PCM to address your complaint,
you must provide the following information:
0
European Bank
for Reeonitruction and Development
1. Name of the Person(s) or Organisation(s) filing the Complaint ("the Complainant").
........................................................................................................................................................................
...............................................................................................................................................................
...............................................................................................................................................................
2. Contact information of the Complainant (please include email address and phone number if possible).
...............................................................................................................................................................
..I.....................................................................I....... ..... I.........................................................................
...............................................................................................................................................................
3. Is there a representative making this Complaint on behalf of the Complainant?
Yes ❑ (if yes, please provide the Name and Contact information of the Representative):
..............................................................................................................................................................
..............................................................................................................................................................
..............................................................................................................................................................
Please attach proof that the Representative has been authorised by the Complainant to file the Complaint. For example, this can be in the form of a
letter signed by the Complainant giving permission to the Representative to make the Complaint on his behalf.
No ❑
Is proof of authorisation included with the Complaint?
Yes ❑ No ❑
4. Are�you requesting that this Complaint be kept confidential?
Yes L 1 (if yes, please explain why you are requesting confidentiality)
..............................................................................................................................................................
..............................................................................................................................................................
..............................................................................................................................................................
No ❑
5. Please provide the name or a description of the EBRD Project at Issue.
..............................................................................................................................................................
..............................................................................................................................................................
..............................................................................................................................................................
..............................................................................................................................................................
6. Please describe the harm that has been caused or might be caused by the Project (please continue on a separate
sheet if needed):
..............................................................................................................................................................
..............................................................................................................................................................
7. If you are requesting the PCM's help through a Problem-solving Initiative, you must have made a genuine effort to
contact the EBRD or Project Sponsor regarding the issues in this complaint.
a. Have you contacted the EBRD to try to resolve the harm caused or expected to be caused by the Project?
Yes ❑ (If yes, please list when the contact was made, how and with whom):
.............................................................................................................................................................................. .
................................. I ........................... ,......................................................... I .............. I............... I .......... I .............
........................................I.......................... ............... ........................................................................... I .................
Please also describe any response you may have received.
.............. ................................................................................................................................................................
...............................................................................................................................................................................
...............................................................................................................................................................................
No ❑ (please go to question 8)
Is the written record of this contact with the EBRD attached to your complaint?
Yes ❑ (please list)
.............................................................................................................................................................................. .
...............................................................................................................................................................................
............................................................................................................................................................... I ...............
No ❑ (if not, please arrange for all relevant documents to be delivered to the PCM Officer as soon as possible).
b. Have you contacted the Project Sponsor to try to resolve the harm caused or expected to be caused by the
Project?
Yes ❑ (if yes, please list when the contact was made, how and with whom)
.............................................................................................................................................................................. .
................................................................................................................................................................
...............................................................................................................................................................................
Please also describe any response you may have received.
.............................................................................................................................................................................. .
...............................................................................................................................................................................
...............................................................................................................................................................................
No ❑ (please go to question 8)
Is the written record of this contact with the Project Sponsor attached to your complaint?
Yes ❑ (please list)
.......... . .... ................................................................................................................................................................
...............................................................................................................................................................................
.. . ............ ................................................................................................................................................................
No ❑ (if not, please arrange for all relevant documents to be delivered to the PCM Officer as soon as possible).
8. If you have not contacted the EBRD and/or Project Sponsor to try to resolve the harm or expected harm, please
explain why.
............................................................................................................................. . ...... . .............. I ..........................
...............................................................................................................................................................................
........................................................ .......................................................................................................................
Although not required, it would be helpful to the PCM if you could also include the following information:
9. If you believe the EBRD may have failed to comply with its own policies, please describe which EBRD policies.
I..............................................................................................................................................................................
.......................................................................................................................................... .....................................
.......................................................................................................................................................... I .....
....................................................................................................................................................
............................................................................................ ......................................... ..........................................
...............................................................................................................................................................................
10. Please describe any other complaints you may have made to try to address the issue(s) at question (for example,
court cases or complaints to other bodies).
...............................................................................................................................................................................
........................................................................................... .................................................................... I .........
.............................................................................................................................. I..............................
.................... ........................................................................ ...................................................................................
...............................................................................................................................................................................
....................................................................................................................................................................... .
11. Are you seeking a Compliance Review where the PCM would determine whether the EBRD has failed to comply
with its Relevant Policies? Yes [INo ❑
12. Are you seeking a Problem -solving Initiative where the PCM would help you to resolve a dispute or problem with the
Project?" Yes ❑ No ❑
13. What results do you hope to achieve by submitting this Complaint to the PCM?
.............................................................................................................................................................................. .
................... ...........................................................................................................................................................
..............................................................................................................................................................................
............. I.......................................................................,.................................................................. I ...............
........................................ I.....................................................................................................................................
...............................................................................................................................................................................
Date:
Please send your Complaint to: Project Complaint Mechanism
Attn: PCM Officer
European Bank for Reconstruction and Development
One Exchange Square
London EC2A 2JN
Fax: +44 20 7338 7633
E-mail: pcm(o)ebrd.com
Alternatively, a Complaint may be delivered by post or hand, at any one of the EBRD's Resident Offices,
indicating that it is for transmission to the PCM.
ADDRESS
STREET
HOME PHONE "
MY COMPLAINT IS AGAINST
ADDRESS
STREET
PHONE (
PERSON YOU DEALT WITH
NAME
PRODUCT OR SERVICE DISPUTED
CITY
WORK PHONE (
CITY
WEB SITE
DATE OF TRANSACTION/ PURCHASE
(For example: 05 01 00) MONTH DAY YEAR
HOW & WHERE DID YOU LEARN
ABOUT PRODUCT OR SERVICE?
STATE ZIP COUNTY
E-MAIL
STATE ZIP COUNTY
E-MAIL
TITLE
AMOUNT PAID $
METHOD OF PAYMENT ❑CASH ❑CREDIT/DEBIT CARD ❑LOAN El LAY -AWAY ❑CHECK ❑OTHER
DID YOU SIGN A CONTRACT, WARRANTY AGREEMENT OR SIMILAR PAPERS? OYES ❑NO
Copies of any documents produced for payment
contracts,(such as back)
must be returned with this complaint form.
BRIEFLY EXPLAIN
YOUR COMPLAINT
WHAT ACTION HAVE YOU TAKEN TO RESOLVE THIS COMPLAINT?
HOW DO YOU WANT ❑REFUND ❑REPAIR E] DELIVER PRODUCT ❑PERFORM SERVICE ❑REPLACE/TRADE
THIS COMPLAINT
RESOLVED? ❑OTHER
HAVE YOU BEEN SUED ONO ❑YES
OR FILED A LAWSUIT NAME OF ANY AGENCY CONTACTED
ABOUT THIS COMPLAINT?
AGENCY ADDRESS
BY FILING THIS COMPLAINT, I UNDERSTAND THAT:
The Attorney General is not my private attorney, but enforces state consumer protection laws;
I will testify in court to the facts stated in this complaint; and
A copy of this complaint will be provided to the merchant against whom I am filing this complaint.
I ATTEST TO THE ACCURACY OF STATEMENTS MADE IN THIS COMPLAINT:
YOUR SIGNATURE
DATE
UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF UTAH
INFORMATION FOR FILING AN
EMPLOYMENT DISCRIMINATION
COMPLAINT
Office of the Clerk of Court
April 2014
INTRODUCTION
This information packet is designed to help you file an employment
discrimination lawsuit in federal court without the help of a trained and licensed
attorney. When you represent yourself in a lawsuit you are known as a pro se
litigant, or a person who is proceeding pro se.
In order to start a lawsuit based on a claim of employment discrimination, you
must prepare and file with the court what is known as a complaint. This packet of
instructions is designed to help you prepare an employment discrimination complaint
under Title VII of the Civil Rights Act of 1964. For information on how to actually
file the complaint with the court after you have prepared it and how to proceed in
your lawsuit, you should obtain and read the Pro Se Litigant Guide, which is
available in the clerk's office of the U.S. District Court for the District of Utah,
located in room 1.100 of the United States Courthouse, 351 South West Temple, Salt
Lake City, Utah, 84 10 1.
A sample complaint form is included in this packet to help you to prepare your
complaint. Your complaint must be typewritten or legibly handwritten. All questions
must be answered clearly in the correct space on the form. If you need extra space
to answer a question, you may use additional pages of 8.5" x 11" size paper. The
additional page(s) must be legible and must indicate which question you are
answering. If you are suing more than one person, you should state clearly which
defendant you accuse of each act.
PROCEDURES TO FOLLOW BEFORE THE COMPLAINT IS FILED
Before discussing how to actually prepare a complaint, there is some important
information you must know about employment discrimination cases. Prior to filing
an employment discrimination complaint in federal court, the plaintiff is required to
follow specific administrative procedures. Note: This information packet does not
provide a complete statement of the law on the administrative procedures to
follow before filing an employment discrimination complaint in federal court.
The procedures are complicated and it is your responsibility to make sure that
all procedures are followed correctly and within the applicable time limit.
1
If you wish to file an employment discrimination case in this court, you first
must file your charges with the Anti -Discrimination Division of the Utah State
Industrial Commission (UADD). In most cases, the UADD will review your charges
and, barring complications, the Equal Employment Opportunity Commission (EEOC)
will issue you a Notice of Right to Sue indicating that (i) the administrative process
has been completed, and (ii) no further action will be taken on behalf of the EEOC.
Once this notice is issued, you have a limited time period within which to file your
lawsuit; failure to file a complaint in that time period will result in having your cause
of action dismissed by this court. A Notice of Right to Sue is not issued where the
charges allege employment discrimination based on age. However, not having such
a notice will not prevent you from filing an employment discrimination complaint
based on age.
The Notice of Right to Sue will indicate that you, as the litigant, have the right
to request the court to appoint an attorney to represent you if, for financial reasons,
you are unable to retain your own attorney. You should bear in mind that in this
court, a request for appointment of an attorney will be considered only after a
complaint has been filed and is pending before the court, and that the court does not
have to grant your request.
PREPARING THE COMPLAINT
1. To assist a party appearing pro se in filing an employment discrimination
complaint, the office of the clerk has prepared a complaint form. A copy of that form
is attached to this information packet. The instructions in this section correspond by
name to the sections in the sample complaint form.
2.. If you need more space than the sample complaint form provides to record
details, you should use additional sheets the same size as the complaint. You may
attach to your complaint copies of documents that, in judgment, support your claims.
A good example of such an exhibit in employment discrimination cases is a copy of
the Notice of Right to Sue. These attachments are called exhibits. It is important that
you not attach exhibits that do not specifically support or strengthen your case.
Generally such exhibits will not help your case, and they will add to the time it takes
the judge to review your complaint.
A. Caption and Heading: Before your case can be filed with the clerk's
2
office, the first page of your complaint must have your name, address and telephone
number as part of the heading. This is referred to as the case caption and heading.
The case caption also must indicate the Division of the District of Utah in which the
case originates. Determining this is relatively easy.
Northern Division: If the defendant(s) reside in, or if the action on which the
lawsuit is based occurred in one of the following counties, it is a Northern Division
case: Box Elder, Cache, Rich, Weber, Davis, or Morgan.
Central Division: If the defendant(s) reside in, or if the action occurred in one of the
following counties, it is a Central Division case: Beaver, Carbon, Daggett,
Duchesne, Emery, Garfield, Grand, Iron, Juab, Kane, Millard, Piute, Salt Lake,
San Juan, Sanpete, Sevier, Summit, Tooele, Uintah, Utah, Wasatch, Washington,
or Wayne.
B. Jurisdiction: In this section, you inform the court by what authority the
case should be heard in federal court rather than state court or some other forum. In
the attached complaint, the jurisdiction section has been completed for you. The
jurisdiction of this court to hear these actions is based upon 42 U.S.C. § 2000-5(f)(3)
and, when the discrimination is based on age, 29 U.S.C. 626(c)(1). U.S.C. stands for
"United States Code," which is a collection of all the federal laws in the country.
C. Parties: Next, you name the parties. As the person initiating the
lawsuit, you are the plaintiff and must identify yourself as such. For each defendant
named in your complaint, you should list their current address and a description of
his or her employment. In addition, you should explain briefly how or in what
capacity each defendant acted under authority given them by state or local
government.
D. Nature of the Case: You can complete this section by responding to the
series of questions the form asks. Your answers describe the basis of your claim.
Again, if you are filing this action because you have been discriminated by reason of
your age, you may not have received a "Notice of Right to Sue." If you did not, you
still are able file the action; question five requires the Notice in all other employment
discrimination actions. Question six can be answered by checking one or more of the
types of discriminatory acts that are listed. If, in answering question seven, you feel
that the basis of the discrimination is something other that the ones listed, you can
3
add the grounds for your suit.
E. Cause of Action: In this section, you are required to provide specific
details of precisely how you were discriminated against in your employment. This
description should include references to relevant dates, times, and locations. It should
explain to the court what happened by specifically describing each defendant's
behavior or action and how that behavior or action -- or lack of action -- constituted
discrimination against you. You are not required to cite other cases in the law or to
make a legal argument. However, you must be specific about (i) the particulars of the
event, and (ii) each defendant's misconduct and how such misconduct resulted in
unlawful discriminatory action against you.
Where your complaint includes more than one incident, you should clearly
distinguish between them by preparing a separate description -- usually a paragraph --
for each incident. Each incident should be identified as a separate count, and each
count must include appropriate facts and evidence in support of the claims made in
the count. Each incident must be clearly and specifically described; it should include
the relevant time, date, and location. Each incident description also should clearly
identify the relevant defendant and what that defendant's role was in the incident.
If your case involves an allegation that two or more defendants jointly
conspired to discriminate against you, you must, in a separate count, state the
approximate date the defendants entered into the conspiracy. Moreover, in the
supporting facts, you should refer to any evidence you have that the defendants
indeed did conspire together to unlawfully discriminate against you.
F. Injury: In this section you must state as specifically as possible the
actual injury you suffered from the action of the defendant that resulted in the
unlawful discrimination. For example, if you claim that you were improperly denied
a promotion, you should document the financial and other losses that resulted from
the denial. Simply stating that you have been discriminated against in your
employment is insufficient and will do little to persuade the judge that you have
suffered an injury that merits the attention of the court. As the plaintiff, you must
explain to the judge how the action of the defendant(s) was discriminatory and
hanned you.
4
G. Previous Lawsuits and Administrative Relief: It is important, in this
section, that you alert the judge to any other case in which you are or were a party that
may be connected with the case you now are filing. If, for example, you filed an
earlier case that includes some of the same facts and events you rely on for this case,
the judge needs to know. If you have submitted a formal complaint to an agency of
the state on the issues you raise in this case, or if you previously asked for or
participated in an administrative review process to attempt to solve the problem, you
must tell the court the results, if any, of your action.
H. Request for Relief: In this section, you describe for the judge the
result or relief you seek as a result of your lawsuit. The relief you request must be
related specifically to the injury you have suffered.
I. Declaration Under Penalty of Perjury: When you sign your complaint
and file it with the clerk of court, you are making a declaration under law to the court
that everything in your complaint is true. It is important for you to realize that the
judge assigned to your case can order sanctions or penalties against you or any other
party that files complaints or pleadings that are frivolous, without merit, based on
false or misleading information, etc. These sanctions or penalties can take many
forms. Examples include dismissing your case, assessing fines, requiring you to pay
the attorney costs for the opposing party, limiting your filing privileges in federal
court, etc. If you intentionally make false statements in documents you file with the
clerk, you may be charged with criminal lying, or perjury, a serious offense with
potentially serious consequences.
FILING THE COMPLAINT
You may file the complaint with the court by delivering it or mailing it to the
Office of the Clerk of Court, United States Courthouse, Room 1.100, 351 South
West Temple, Salt Lake City, Utah 84101. Whether you deliver or mail your
complaint to the court, you must submit (1) an original and one copy of the
complaint, (2) a completed cover sheet, a copy of which can be obtained from the
clerk's office, and (3) the $400 filing fee.
The $400 filing fee can be waived by the court if you complete, and the court
accepts, an application to proceed in forma pauperis. An application to proceed
in forma pauperis asks the court to have the government pay your filing fee for you
5
because you do not have the money to do so yourself. Applications to proceed in
forma pauperis are available at the clerk's office, and are also available as part of the
court's Pro Se Litigant Guide. You should submit your application to proceed in
forma pauperis along with your complaint to the clerk's office. If the court grants
your application, you will be able to proceed without submitting the $400 filing fee.
If the court does not grant your application, you must pay the $400 filing fee within
two weeks of the denial of your application or your complaint will not be accepted
by the clerk's office.
Note: Each defendant named in your lawsuit must be notified of your
lawsuit in a specific manner governed by law. You should refer to the court's
Pro Se Litigant guide for information on this matter.
C
Name:
Address:
Telephone:
k1T0
Plaintiff,
Defendant(s).
IN THE UNITED STATES DISTRICT COURT
DISTRICT OF UTAH - DIVISION
: COMPLAINT
A. JURISDICTION
Civil No.
This action is brought pursuant to Title VII of the Civil Rights Act of 1964 as amended, for
employment discrimination. Jurisdiction is specifically conferred on this Court by 42 U.S.C. §
2000e(5). Equitable and other relief are also sought under 42 U.S.C. § 2000e(5)(g). Jurisdiction is
also based on 28 U.S.C. §§ 1331, 1343 and 42 U.S.C. §§ 1981 et seq. Where employment
discrimination based upon age is alleged, jurisdiction is conferred by 29 U.S.C. §§ 626(c)(1) and
appropriate relief is also sought.
B. PARTIES
1. Name of plaintiff:
Present mailing address:
2. Name of first defendant:
Present mailing address or
business location:
Name of second defendant:
Present mailing address or
business location:
4. Name of third defendant:
Present mailing address or
business location:
(Use additional sheets if necessary.)
C. NATURE OF CASE
1. The address at which I sought employment or was employed by the defendant(s) is:
2. The discriminatory acts occurred on or about:
(Month, Day, Year)
3. I filed charges with the Anti Discrimination Division of the Utah State Industrial
Commission regarding the defendant's discriminatory conduct on or about:
(Month, Day, Year)
4. I filed charges with the Equal Employment Opportunity Commission regarding the
defendant's discriminatory conduct on or about:
5.
a
7.
N
(Month, Day, Year)
The Equal. Employment Opportunity Commission sent the attached "Notice of Right to Sue"
which I received on:
(Month, Day, Year)
(Please attach the "Notice of Right to Sue" to this complaint.)
The discriminatory acts that are the basis of this suit are:
a.
Failure to employ me
b.
Failure to promote me
C.
Termination of my employment
d.
Demotion
e.
Denied equal pay/work
f.
Sexual harassment
g.
General harassment
h.
Other acts (Be specific: Attach an additional sheet if necessary)
Defendant's conduct is discriminatory with respect to:
a. my race d. my religion
b. my color e. my national origin
C. my sex f. my age
I believe that the defendant is still committing these acts against me.
yes no
D. CAUSE OF ACTION
1. I allege that the defendant has discriminated against me and that the following facts form the
basis for my allegations:
a. (1) Count I:
(2) Supporting Facts: (Describe exactly what each defendant did or did not do.
State the facts clearly, in your own words without citing any legal
authority. Use additional sheets if necessary.)
b. (1) Count II:
(2) Supporting Facts:
E. INJURY
How have you been injured by the actions of the defendant(s)?
F. REQUEST FOR RELIEF
I believe I am entitled to the following relief:
DECLARATION UNDER PENALTY OF PERJURY
The undersigned declares under penalty of perjury that he/she is the plaintiff in the above action, that
he/she has read the above complaint and that the information contained. therein is true and correct.
28 U.S.C. §1746; 18 U.S.C. § 1621.
Executed at on , 19
(Location)
Signature
HAprose\vii.gui
JS 44 (Rev. 12/12) CIVIL COVER SHEET
The JS 44 civil cover sheet and the information contained herein neither replace nor supplement the filing and service of pleadings or other papers as required by law, except as
provided by local rules of court. This form, approved by the Judicial Conference of the United States in September 1974, is required for the use of the Clerk of Court for the
purpose of initiating the civil docket sheet. (SEE INSTRUCTIONS ONNEXTPAGE OF THIS FORM)
I. (a) PLAINTIFFS
(b) County of Residence of First Listed Plaintiff
(EXCEPT IN U.S. PLAINTIFF CASES)
(C) Atto•rieys (Fin);Nmue, Address, and Telephone NuorGet)
DEFENDANTS
County of Residence of First Listed Defendant
(IN U S. PLAINTIFF CASES ONLY)
NOTE: INLAND CONDEMNATION CASES, USE THE LOCATION OF
THE TRACT OF LAND INVOLVED.
Attorneys (IfKnounr)
II. BASIS OF JURISDICTION (Place an "X" in One Bos only)
III. CITIZENSHIP OF PRINCIPAL PARTIES (Place an "X" in One Boxfor•Plaint f
FORFEITURE/PENALTY
BANKRUPTCY
(For Di versity Cases Oat))
and One Boz for Defendant)
❑ 1 U.S. Government ❑ 3
Federal Question
PTF
DEF PTF DEF
Plaintiff
(US. Government Not a Parly)
Citizen of This State O 1
❑ 1 Incorporated or Principal Place ❑ 4 ❑ 4
❑ 710 Fair Labor Standards
Act
❑ 720 Labor/Manageument
Relations
❑ 740 Railway Labor Act
❑ 751 Family and Medical
Leave Act
❑ 790 Other Labor Litigation
❑ 791 Employee Retirement
Income Security Act
❑ 861 HIA (13951[f)
❑ 862 Black Lung (923)
❑ 863 DIWC/DIW W (405(g))
❑ 864 SSID Title XVI
❑ 865 RSI (405(8))
REAL PROPERTY
of Business In This State
❑ 2 U.S. Government ❑ 4
Diversity
Citizen of Another State ❑ 2
❑ 2 Incorporated and Principal Place ❑ 5 ❑ 5
Defendant
(Indicate Citizenship ofPartles in Item III)
❑ 245 Tort Product Liability
❑ 290 All Other Real Property
of Business In Another State
❑ 530 General
❑ 535 Death Penalty
Other:
❑ 540 Mandamus & Other
Citizen or Subject of a ❑ 3
❑ 3 Foreign Nation ❑ 6 ❑ 6
IMMIGRATION
❑ 462 Naturalization Application
❑ 465 Other Immigration
Foreign Country
Other
❑ 550 Civil Rights
Actions
1 . 1\A1 V1WL vi' is v,a.1
CONTRACT
r�.ua.c urs i. ...i•....�.... .....�/
- TORTS
FORFEITURE/PENALTY
BANKRUPTCY
OTHERSTATUTES
❑ 110 Insurance
❑ 120 Marine
❑ 130 Miller Act
❑ 140 Negotiable Instrument
❑ 150 Recovery of Overpayment
& Enforcement of Judgement
❑ I51 Medicare Act
❑ 152 Recovery of Defaulted
Student Loans
(Excludes Veterans)
❑ 153 Recovery of Overpayment
of Veteran's Benefits
❑ 160 Stockholders' Suits
❑ 190 Other Contract
❑ 195 Contract Product Liability
❑ 196 Franchise
PERSONAL INJURY PERSONAL INJURY
❑ 310 Airplane ❑ 365 Personal Injury -
❑ 315 Airplane Product Product Liability
Liability ❑ 367 Health Care/
❑ 320 Assault, Libel & Pharmaceutical
Slander Personal Injury
❑ 330 Federal Employers' Product Liability
Liability ❑ 368 Asbestos Personal
❑ 340 Marine Injury Product
❑ 345 Marine Product Liability
Liability PERSONAL PROPERTY
❑ 350 Motor Vehicle ❑ 370 Other Fraud
❑ 355 Motor Vehicle ❑ 371 Truth in Lending
Product Liability O 380 Other Personal
❑ 360 Other Personal Property Damage
Injury ❑ 385 Property Damage
❑ 362 Personal Injury - Product Liability
Medical Malpractice
❑ 625 Drug Related Seizure
of Property 21 USC 881
❑ 690 Other
❑ 422 Appeal 28 USC 158
❑ 423 Withdrawal
28 USC 157
❑ 375 False Claims Act
❑ 400 State Reapportionment
❑ 410 Antitrust
❑ 430 Banks and Banking
❑ 450 Commerce
❑ 460 Deportation
❑ 470 Racketeer Influenced and
Corrupt Organizations
❑ 480 Consumer Credit
❑ 490 Cable/Sat TV
Cl 850 Securities/Commodities/
Exchange
❑ 890 Other Statutory Actions
❑ 891 Agricultural Acts
❑ 893 Environmental Matters
❑ 895 Freedom of Information
Act
❑ 896 Arbitration
❑ 899 Administrative Procedure
Act/Review or Appeal of
Agency Decision
❑ 950 Constitutionality of
State Statutes
PROPERTY RIGHTS '
❑ 820 Copyrights
❑ 830 Patent
❑ 840 Trademark
LABOR
SOCIAL SECURITY
❑ 710 Fair Labor Standards
Act
❑ 720 Labor/Manageument
Relations
❑ 740 Railway Labor Act
❑ 751 Family and Medical
Leave Act
❑ 790 Other Labor Litigation
❑ 791 Employee Retirement
Income Security Act
❑ 861 HIA (13951[f)
❑ 862 Black Lung (923)
❑ 863 DIWC/DIW W (405(g))
❑ 864 SSID Title XVI
❑ 865 RSI (405(8))
REAL PROPERTY
CIVIL RIGHTS
PRISONER PETITIONS
FEDERAL TAX SUITS
Cl 210 Land Condemnation
❑ 220 Foreclosure
❑ 230 Rent Lease & Ejectment
❑ 240 Torts to Land
❑ 440 Other Civil Rights
❑ 441 Voting
❑ 442 Employment
❑ 443 Housing/
Habeas Corpus:
❑ 463 Alien Detainee
❑ 510 Motions to Vacate
Sentence
❑ 870 Taxes (U.S. Plaintiff
or Defendant)
❑ 871 IRS—Third Party
26 USC 7609
❑ 245 Tort Product Liability
❑ 290 All Other Real Property
Accommodations
❑ 445 Amer. w/Disabilities -
Employment
❑ 446 Anmer. w/Disabilities -
❑ 530 General
❑ 535 Death Penalty
Other:
❑ 540 Mandamus & Other
IMMIGRATION
❑ 462 Naturalization Application
❑ 465 Other Immigration
Other
❑ 550 Civil Rights
Actions
❑ 448 Education
❑ 555 Prison Condition
❑ 560 Civil Detainee -
Conditions of
Confinement
V. ORIGIN (Place an "X" in One Box Only)
O 1 Original Q 2 Removed from O 3 Remanded from O 4 Reinstated or O 5 Transferred from O 6 Multidistrict
Proceeding State Court Appellate Court Reopened Another District Litigation
(Sp 0Cify)
VI. CAUSE OF ACTION
Cite the U.S. Civil Statute under which you are filing (Do it of cite jurisdictional slalittes unless diversih9:
description of cause:
VII. REQUESTED IN 11 CHECK IF THIS IS A CLASS ACTION DEMAND $ utitu& Y>✓z!; omy it aenianaect in compiamr:
COMPLAINT: UNDER RULE 23, F.R.Cv.P. JURY DEMAND: O Yes O No
VIII. RELATED CASE(S)
IF ANY (See instructions): JUDGE
DOCKET NUMBER
DATE SIGNATURE OF ATTORNEY OF RECORD
FOR OFFICE USE ONLY
tfrnnF MAG. JUDGE
JS 44 Reverse (Rev. 12/12)
INSTRUCTIONS FOR ATTORNEYS COMPLETING CIVIL COVER SHEET FORM JS 44
Authority For Civil Cover Sheet
The JS 44 civil cover sheet and the information contained herein neither replaces nor supplements the filings and service of pleading or other papers as
required by law, except as provided by local rules of court. This form, approved by the Judicial Conference of the United States in September 1974, is
required for the use of the Clerk of Court for the purpose of initiating the civil docket sheet.. Consequently, a civil cover sheet is submitted to the Clerk of
Court for each civil complaint filed. The attorney filing a case should complete the form as follows:
L(a) Plaintiffs -Defendants. Enter names (last, first, middle initial) of plaintiff and defendant. If the plaintiff or defendant is a government agency, use
only the full name or standard abbreviations. If the plaintiff or defendant is an official within a government agency, identify first the agency and
then the official, giving both name and title.
(b) County of Residence. For each civil case filed, except U.S. plaintiff cases, enter the name of the county where the first listed plaintiff resides at the
time of filing. In U.S. plaintiff cases, enter the name of the county in which the first listed defendant resides at the time of filing. (NOTE: In land
condemnation cases, the county of residence of the "defendant" is the location of the tract of land involved.)
(c) Attorneys. Enter the firm name, address, telephone number, and attorney of record. If there are several attorneys, list them on an attachment, noting
in this section "(see attachment)".
H. Jurisdiction. The basis of jurisdiction is set forth under Rule 8(a), F.R.Cv.P., which requires that jurisdictions be shown in pleadings. Place an "X"
in one of the boxes. If there is more than one basis of jurisdiction, precedence is given in the order shown below.
United States plaintiff. (1) Jurisdiction based on 28 U.S.C. 1345 and 1348. Suits by agencies and officers of the United States are included here.
United States defendant. (2) When the plaintiff is suing the United States, its officers or agencies, place an "X" in this box.
Federal question. (3) This refers to suits under 28 U.S.C. 1331, where jurisdiction arises under the Constitution of the United States, an amendment
to the Constitution, an act of Congress or a treaty of the United States. In cases where the U.S. is a party, the U.S, plaintiff or defendant code takes
precedence, and box 1 or 2 should be marked.
Diversity of citizenship. (4) This refers to suits under 28 U.S.C. 1332, where parties are citizens of different states. When Box 4 is checked, the
citizenship of the different parties must be checked. (See Section III below; NOTE: federal question actions take precedence over diversity
cases.)
III. Residence (citizenship) of Principal Parties. This section of the JS 44 is to be completed if diversity of citizenship was indicated above. Mark this
section for each principal party.
IV. Nature of Suit. Place an "X" in the appropriate box. If the nature of suit camiot be determined, be sure the cause of action, in Section VI below, is
sufficient to enable the deputy clerk or the statistical clerk(s) in the Administrative Office to determine the nature of suit. If the cause fits more than
one nature of suit, select the most definitive.
V. Origin. Place an "X" in one of the six boxes.
Original Proceedings. (1) Cases which originate in the United States district courts.
Removed from State Court. (2) Proceedings initiated in state courts may be removed to the district courts under Title 28 U.S.C., Section 1441.
When the petition for removal is granted, check this box.
Remanded from Appellate Court. (3) Check this box for cases remanded to the district court for fi rther action. Use the date of remand as the filing
date.
Reinstated or Reopened. (4) Check this box for cases reinstated or reopened in the district court. Use the reopening date as the filing date.
Transferred from Another District. (5) For cases transferred under Title 28 U.S.C. Section 1404(a). Do not use this for within district transfers or
multidistrict litigation transfers.
Multidistrict Litigation. (6) Check this box when a multidistrict case is transferred into the district under authority of Title 28 U.S.C. Section 1407.
When this box is checked, do not check (5) above.
VI. Cause of Action. Report the civil statute directly related to the cause of action and give a brief description of the cause. Do not cite jurisdictional
statutes unless diversity. Example: U.S. Civil Statute: 47 USC 553 Brief Description: Unauthorized reception of cable service
VII. Requested in Complaint. Class Action. Place an "X" in this box if you are filing a class action under Rule 23, F.R.Cv.P.
Demand. In this space enter the actual dollar amount being demanded or indicate other demand, such as a preliminary injunction.
Jury Demand. Check the appropriate box to indicate whether or not a jury is being demanded.
VIII. Related Cases. This section of the JS 44 is used to reference related pending cases, if any. If there are related pending cases, insert the docket
numbers and the corresponding judge names for such cases.
Date and Attorney Signature. Date and sign the civil cover sheet.