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POLICIES &
PROCEDURES
Office of the City
Clerk
Administrative
Policies & Procedures
Purpose & Intent.
I.
General Guidelines
II.
General Office Procedures
III.
Agenda
IV.
Overview of the Council Process
V.
Election Procedures
VI.
Public Records Request Policy
VII.
Appointments to Commissions, Committees and Boards
Purpose & Intent
The purpose of the
Tempe City Clerk policy and procedures booklet is to provide general
information, understanding of the legislative process, and specific standards to
the City Clerk staff, interdepartmental staff, as well as the public. These
policies and procedures have been implemented to assure the following:
To, maintain the
official records of all City Council proceedings, provide City election
services, and perform other State and Municipal statutory duties for elected
officials, voters, City departments, and the public in order that all may be
guaranteed fair and impartial elections, open access to information and the
legislative process, and transparency in government.
I. General
Guidelines
A.
Statements
B.
Purpose/Goals/Objectives
C.
Revisions of Policy and Procedures
The Clerk’s Office
Policies and Procedures Manual may be revised as circumstances require.
II.
General Office Procedures
A.
Purpose
The purpose of
this section is to provide a system for identifying, storing, and releasing
documents; to explain the general procedures for preparing an agenda, and
clarifying directions to staff.
B.
General Policy
City Clerk staff
will provide services appropriate to these expressed objectives.
C.
General Administrative Procedures
1.
Original Documents,
including recordings, video recordings, disks, etc. are not permitted out of the
control of Clerk staff. An exception to this is the processing of contracts. At
times, contracts, titles, real property documentation, and/or agreements must be
sent out for original signatures, filing at the County, etc. In these cases, the
original documents must be allowed out of the office. Make a copy of the
document and note on the copy where the original has gone and when it is
supposed to return. Follow-up within a reasonable amount of time. We must
have original documents on file.
2.
Executive Session
recordings, minutes, etc – may not be copied or reproduced in any manner without
express consent or direction from the City Clerk or City Attorney. The direction
may be written or verbal. If verbal, a note indicating the date and time must be
placed in the file.
Under NO
circumstances are executive session recordings or documents allowed out of the
Clerk’s Office. Council members, Officers, appointees or employees who met in
Executive Session are permitted to listen to the recordings in the City Clerk’s
office only. However, the Clerk’s staff must remain in possession
of the recordings at all times. Staff must remain in the general area to ensure
the recordings are not compromised. There are no exceptions!
3.
Direction to Staff
– At times, Clerk’s staff will be asked to perform various tasks and retrieve
information, make copies, etc. that goes beyond our general job description. It
is our policy to assist Council, staff, and the public to the best of our
ability. As long as a request is not out of the ordinary and does not require an
extensive amount of time away from normal duties, we should make every attempt
to provide the assistance. We do not under any circumstance provide verbatim
minutes in response to a request from the public or media. Remember, it takes
approximately one hour of transcription for every 20 to 30 minutes of tape.
4.
Absence
– Other than required training and Clerk’s staff meetings, every attempt should
be made to have at least one Clerk staff member present in the office during
regular business hours.
5.
Receiving Documents –
All
documents must be
date-stamped immediately upon receipt. Processing and filing may then proceed.
(See Political Committee Required Forms)
Documents such as
election material must be reviewed for completeness before accepting for filing.
Date-stamp and file if the document is complete. If it is incomplete, the
document must be returned. The clerk must review all election material before it
is filed. In no case will a review impact filing deadlines. In the event a
candidate submits his or her documents at the deadline, it will be stamped
“Received” with the date/time following, and then “Accepted” or “Rejected” date
after the review is complete. Election material must be received by Clerk staff
only.
6.
Service
– Documents that are served upon the Clerk shall be date-stamped. If a process
server provides a document acknowledging receipt, date-stamp the acknowledgement
and make a copy. Sign each copy. Give an original to the process server, place
the other original signature with the documents and immediately forward to the
attorney, and Risk Management.
a.
Notice of Claim
Arizona law
requires any person who believes that they have a claim (“the claimant”) against
a public entity or public employee to file a “Notice of Claim” with that entity
or employee. The Notice of Claim will usually come in letter format or be filed
on the City’s official Notice of Claim Form. The City Clerk’s Office is
authorized to accept a Notice of Claim only on behalf of the City. When
a public employee (i.e., a Tempe police officer, public works employee, etc.)
has been named in a Notice of Claim, the public employee must receive
personal service, or someone authorized by the public employee must accept
service on behalf of the employee.
b.
Complaint
A complaint is a
formal legal document that initiates a lawsuit. Any person that files a lawsuit
against the City or public employee must serve the City or public employee with
a copy of the complaint. There are two other documents that must be served with
the complaint. The first is a Subpoena and the second is a Certificate
Regarding Compulsory Arbitration. The Clerk’s Office is authorized to accept a
Complaint only on behalf of the City. When a public employee (i.e., a
Tempe police officer, public works employee, etc.) has been named in a
complaint, the public employee must receive personal service, or someone
authorized by the public employee must accept service on behalf of the
employee.
7.
Formal Agenda Preparation –
All formal agenda
item requests must be accompanied by a staff report. The staff report and
supporting documentation should be reviewed for completeness and returned to the
originator if it is not complete. ‘Completeness’ includes the following:
resolutions, ordinances, contracts, agreements, supporting documentation, etc.
are attached.
a.
The Clerk’s Office cannot place a document requiring attorney
approval on an agenda without the attorney’s approval. All requested legal
actions (resolutions, ordinances, contracts, memoranda of understanding,
agreements, miscellaneous expenditures, etc.) must be approved by the attorney.
The attorney needs adequate time to review documents; therefore, the agenda item
request should not be submitted to the Clerk’s Office before it is ready to be
placed in the agenda packet.
b.
All expenditure requests must indicate whether the item is budgeted and
from which fund it will come. If monies are not currently budgeted, this
becomes a legal action request and must be handled as an agenda item as
described above and must be approved prior to submittal by the Financial
Services Director.
c.
Agenda Meetings are held on Thursdays 9:00 a.m. with the City Manager,
Department Managers, and interested staff members. Agenda items are due in the
Clerk’s Office no later than Tuesday at 2:00 p.m. the week prior to the meeting.
The Manager reviews the agenda prior to the Agenda Meetings. The City Manager
must approve any late additions to the agenda. The City Attorney reviews all
agenda items.
d.
The City policy requires that the agenda be posted no later than 1:00
p.m. on the Friday before the Thursday meeting. Thus, agendas and packets are
finalized on Thursday no later than 1:00 p.m. to forward to Duplicating for
printing.
e.
Revisions to Council agendas should only occur due to unforeseeable
circumstances (not including failure to plan). Contact the City Manager’s
Office if items come up that require immediate Council action.
8.
Meeting Follow-up:
a.
A log is used for tracking original documents once they have been
approved by City Council. The log will give such information as: what documents
are being processed, contract number associated with that particular contract,
dates signatures are obtained, the date and to whom the document is sent, and
date the document is indexed and filed.
b.
All documents are processed Friday morning immediately following a
Council meeting, so any original document for signature should be included in
the signature packet on Thursday night.
c.
All documents for signatures are processed in the following order: City
Attorney, Mayor and/or City Manager, then City Clerk.
III.
Agenda
A.
Purpose
The
purpose of this section is to clarify details of the agenda process.
B.
Goals and
Objectives
The agenda
document is one of the most visible examples of the ability of staff to research
and prepare background information relative to a project or issue. If all staff
involved in the agenda process follow the guidelines, the resulting
documentation will provide Council with all the facts necessary to make an
informed decision.
This section is
intended to be a guide and reference tool to assist in expediting the movement
of an agenda item through the process. Ideally, the process should be followed
explicitly, but realistically there is a degree of flexibility that will be used
in situations that unexpectedly arise.
C.
General Policies and Procedures
At Formal City
Council meetings, there is an agenda item called "Public Appearances." During
this time, any member of the public may come forward and address the City
Council regarding any issue. There is a five-minute time limit per speaker.
Video or audio tapes or other overhead visual aids are not allowed during these
public appearances. All speakers should begin their remarks by stating their
name and address for the record.
Under the Arizona
Open Meeting Law, the City Council can only discuss matters that are
specifically listed on the meeting agenda. Citizens who know in advance that
they want to address the City Council on a specific issue can have that issue
placed on the agenda under Scheduled Public Appearances by calling
the City Clerk’s Office no later than the Friday morning before a Thursday
meeting.
Members of the
public can also address the City Council during Unscheduled Public
Appearances, even if they have not placed an issue on the agenda. Matters
brought up during Unscheduled Public Appearances cannot be discussed by the City
Council at that meeting. The City Council can, however, refer these unscheduled
issues to the appropriate City department for review or request that City staff
follow-up with the speaker(s) after the meeting has been adjourned.
Request to
Address City Council
Request to
Address City Council
V. Election
Procedures
It is the Clerk’s
policy to provide citizens with access to the democratic process. Since it is a
guiding principle of the City to foster trust between the government and the
citizenry, it is our policy to provide assistance whenever possible, without
providing legal advice. We encourage the applicant to check further and we
explain thoroughly that staff cannot be responsible for their reliance upon our
advice and/or recommendation(s).
B. Policies and Procedures
Statutes
require that we provide a packet of information (Master Copy) at no charge for
the following: candidate, recall, referendum, and initiative. It is the
applicant’s responsibility to make additional copies of forms.
The following
steps explain proper procedures when addressing election issues:
a.
Election Meetings – Staff will meet to discuss and have a clear understanding of
all issues related to the election process.
b.
It
is permissible to go over the candidate checklist and answer questions
concerning items on the checklist. Again, encourage the applicant to take the
papers home to review before submitting them for filing.
c.
It
is permissible to explain the difference between a $500 Exemption Statement and
Statement of Organization.
d.
It
is permissible to explain that certain documents must be filed before collecting
signatures and that the candidate or petitioner needs to review the statutes
before filing any of the forms. (The appropriate filings will be determined at
the pre-election meeting.) However, the applicant must have a clear
understanding that he or she is solely responsible for the accuracy of his or
her material and for determining the appropriate forms for filing (i.e. whether
to file an Exemption Statement or a Statement of Organization).
e.
It
is permissible to point out to members of the public making inquiries as to the
location of pertinent requirements contained in the materials produced by the
Clerk’s Office. For materials NOT produced, but simply provided (i.e. Secretary
of State publications), staff will only make such materials available. IN ALL
INSTANCES, staff must explain to the member of the public making an inquiry,
that staff CANNOT provide legal advice, that the member of the public making an
inquiry must read all the materials provided, and that the member of the public
should seek independent advice for further assistance.
f.
An
incomplete filing will not be accepted after the statutory deadline under any
circumstance.
g.
It
is permissible to explain that the applicant should make every effort to submit
their filings early enough to allow for a sufficient review. Applicants should
be advised that they will not have sufficient time to correct inaccuracies
before the statutory deadline if they fail to file early enough to allow for
review.
Corrections
made before the filing deadline will be permitted on filings submitted by
candidates for office.
No changes or
corrections will be permitted on documents related to referendum, recall
(petition process, not candidate process), or initiative, once they are
submitted for filing, as statutes clearly define the review process and steps
for these matters.
h.
The
Clerk’s office maintains procedures for accepting and reviewing election
materials separately as an evolving document that is reviewed prior to each
election to conform to current election laws. While public record, this document
or any materials in this section cannot be relied on by the public as legal
advice. The candidate, elector, or citizen is still responsible for reviewing
and complying with election laws.
A.
Purpose
The City of Tempe values openness. Therefore, it is the City’s policy to comply
with its obligations under the Arizona public records law timely, accurately and
completely. The Attorney’s Office has created the Public Records Request
Handbook designed to assist City of Tempe departments and divisions with
complying with the City’s policy in processing public records request. While
this handbook attempts to outline the public records law, the types of documents
that must be disclosed, and the method for disclosure, there will be times when
your questions cannot be answered by this manual. In such cases, you should
contact the City Attorney’s Office at 480-350-8227 for answers to your
questions.
For further information, please refer to the Record Request Handbook on line at
www.tempe.gov/attorney/. Forms are also available on line.
B.
Definition of Legal Responsibility
A number of legal
provisions govern the City’s response to requests for public information. They
are as follows:
1.
The Public Records Act, ARS §39-121 through ARS §39-121.03;
2.
The Open Meetings Act, ARS §38-431;
3.
Various information-specific statutes and administrative regulations designating
particular information as either subject to public access or as confidential;
4.
The body of law interpreting these provisions as reported in court decisions and
opinions of the Arizona Attorney General.
The City of Tempe,
as a public body, and its officers are responsible for maintaining all records
reasonably necessary or appropriate to preserve an accurate record of their
activities. Permanent public records must be maintained in accordance with the
requirements of ARS §39-101 and other state and federal laws. Other public
records must be maintained in accordance with ARS §41-1344; ARS §41-1347; and
ARS §41-1351.
C.
Policies and Procedures
The complete
Record Request Handbook can be found on line at
www.tempe.gov/attorney/.
1.
Public Record Requests from the News Media
All public records
requests from the news media should be forward to the Communications and Media
Relations Director.
2.
Authority and Responsibility:
The City
Clerk shall:
·
Assist City departments with analyzing public records requests.
·
Approve and file Certificates of Destruction with the appropriate State
agencies.
·
Keep
staff updated with current records information and retention schedules.
·
Request special departmental retention schedules through the State.
·
Provide training on records management/retention procedures.
3.
The City Attorney shall assist departments in determining the level of
confidentiality of their public records, pursuant to the following:
·
When
the request is made concerning a matter currently in litigation or one that is
likely to lead to litigation.
·
When
the item requested is a memorandum containing legal advice from the City
Attorney or from one of the City’s outside counsel.
·
When
the request involves producing a draft of work in progress and not the final
product.
·
When, after reviewing the handbook and consulting your supervisor, you are
unsure how to respond.
4.
Department Management
shall:
·
Assign a departmental Custodian of Records
·
Ensure that all policies regarding public records and requests for public record
are followed.
·
Have
discretionary power to accept or fulfill verbal record requests for records that
are readily available.
A.
Purpose
The purpose of
this policy is to assist City departments with their respective
Commissions/Committees/Boards duties.
B.
Policies and Procedures
1.
Membership:
Each board and
commission shall be made up of members appointed by the Council in accordance
with the procedures contained in the City Code.
2.
Notice of Expiring Term or Vacancy
Each department
liaison shall notify the Clerk’s Office immediately upon a resignation or
vacancy, providing the name and the term of the member.
In addition, each
department liaison shall notify the Clerk’s Office no later than September 1 of
each year, providing the name(s) of Commission/ Board members whose terms are
expiring that year and anticipated vacancies.
3.
Advertising
The Clerk’s Office
will post vacancies and applications on line at www.tempe.gov/clerk/ for
volunteers.
4.
Applications
Volunteers must
complete and submit an Application to be eligible for consideration.
The Clerk’s Office
will collect the applications for vacant positions and forward them to the
Mayor’s Office for consideration.
5.
Selection
The Mayor and
Council approve the appointment of members at the first available formal council
meeting after applicants have be selected by the Mayor’s Office for
recommendation to Council.
6.
Oath of Office
The Clerk’s Office
will contact the appointee to arrange for the oath and will maintain copies on
file.
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