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City and County ChartersCITY AND COUNTY CHARTERS: DILKFFING, REVISING AND INTE~G PRACTICAL I$SUI~S AND A MODRL APPROACH BASED ON T[[I~ ORANGE COUNIT 2000 CHARTRR RBVlEW COMMISSION R. Dean Cannon, Ir. Gray, Harris & Robinson, P.A. I. Introduction Drafting, revising, and interpreting local government charters can bca great opportunity to codify the will of thc people and provide for strong local government. It can also be a political quasm~rc and a legal headache. Because thc adoption of a charter and t~ clmrter review process involve a mixture of law, politics, and public opinion, it can he volatile, but it can also be orderly and effective. This presentation is not dcsigned to be a comprehensive analysis of specific charter cities and counties in Florida. Rather, this outline will highlight practical issues which may face local governments and attorneys who become involved with the charter adoption or charier review/ revision process. Hopefully, these materials will provide a framework for anyone involved in adopting or revising a local government charter~ Most of thc suggestions and ideas presented b~low are based on the experience of thc Orange County 2000 C'hartcr Review Commission (the ~Orange County A. lilstorical B~und Prior to the 1968 Constitution, neither counties nor municipalities had independent governing powers becausc they both dcrived their authority from legislative acts. The traditional rule of statutory construction was that any doubt as to the grant or extent of the powers granted to counties or municipalities should be resolved against the county or municipality asserting the power. See, e.g., Amos vs. l~atthews~ 99 Fla. 1, 126 So. 308 (Fla. 1930), ~rilliams vs. Dunnellon, 125 Fla. 114, 169 So. 631 (Fla. 1936), and Heriot vs. City of Pensacola, 108 Fla. 480, 146 So. 654 (Fla. 1933). Charier govezmnent was designed to help relieve thc state legislature of the details of local government and grant the city and county electorate greater control over their own affairs. By broadening thc power of local governments to deal with their own affairs, it became possible m address more effectively the problems of local government as they arose, Numerous counties have investigated thc possibility of adopting the charter form of government, and presently 15 counties operate as charter counties. 2.1 B. ' Legal Bnrk~'Ound This pre~ntation is not ~n_tended to address in detail the scope and application of home rule powers under Article VIII of the Florida Constitution. Generally speaking, however, home role powers of charter counties are granted directly under Article VTII, Section l(g) of the Constitution (1968), which provides: (g) CHARTER GOVERNMENT. Counties operating under county charters shall have all powers of local self~government not inconsistent with general law, or with special law approved by vote of the electors. The governing body of a county operating under a charter may cnact county ordinances not inconsistent with general law. The charter shall provide which shall prevail in the event of conffict between county and municipal ordinances. With respect to municipalities, Article VHI, Section 2(b) of the Florida Constitution (1968) provides: (b) INDWERS. Municipalities shall have governmental, corporate and proprietary powers to enable them to conduct municipal government, perform municipal functions and render municipal services, and' may exercise any power for municipal purposes except as otherwise provided by law. ~ach municipal legislative body shall be elective. The general rule is that unless thc Florida Legislature has pre-empted a subject by either general or special law approved by vote of th~ electors, or has ena~d a general law that conflicts with th~ local law, a charter county or municipality has full authority to act through the exercise of its ho~i~c rule powers, For counties, one benefit of adopting a charter form of government is that it limits the extent to which the legislaturc may modify a county's authority by future legislative act. For example, charter counties have thc power to pre-empt conflicting municipal ordinances and the power to avoid intervention of the legislature by certain special laws. (See, e.g., Broward Coun _ty vs. City of Ft. l~nudard~l.~, 480 So.2d 631 (198:5). For the purposes of this presentation, it is assumed that a county or municipality desires to adopt, review, or revise a charter. II. Getting Started A. Appointment of a Charter Commission or Charter Review Commission When a local government seeks to adopt a charter form of government, it may do so by ordinance pursuam to Section 125.82 of the Florida Statutes, or by adopting a resolution to appoint an official "Charter Commission' as provided for in Section 125.61 of the Florida Statutes (1999). A Charter Commission may also be convened upon the submission of a petition 2.2 to thc COunty commission signed by at least 1:5 percent of the qualified electors of the requesting that a charter commission be established. § 125.61(1), Fla. Stat. (1999). The Chartc~ Commission must be composed of an odd number of not le~s than 11 or more than IS members, and may be appointed by thc county commission or by the legislative delegation of the county. § 123.61(2), Pla. Sial. (1999). No member of the l~-gislamre or board of county commissionc~ may be a member of thc Charter Commission. § 125.61(2), Fla. Stat. (1999). Section 125.63, Florida Statutes, provides that the Charter Commission 'shall conduct a comprehensive study of thc operation of count~ government' and of the ways in which thc conduct of county government mi~ht be improved. Within 18 months of its initial meeting (which must occur within 30 days of formation), a Char~cr Commission must present to the board of county commissioners a proposed charter, upon which it has had ~hree public hearings al intervals of not less than 10 nor more than 20 days. § 125.63, Fla. Stat. (1999). After a Charier Commission submits a proposed charter to thc board of county commissioners, thc board must call a special election to be held not more than 90 nor less than 45 days subsequent to irs receipt of the proposed charter, at which time a referendum election determines whether the proposed charter is adopted, § 125.65(1), Fla. Stat. (1999). In the case of a local government which already has a char~er, a 'Charter Review Commission' (or "CRC~) is usually convened in a manner similar to that of a Char~r Commission, If a charter already exists, it usually establishes the composition of this Charter Review Commission and empowers the CRC to conduct a comprehensive study of thc local government and to propose amendments or revisions to th~ charter. For Oral!ge County, Section '/02 of its Charter provides chat the CRC closely follows the language of Section 125.61, Florida Stat'ules, regarding tl~ appointment of Charter Commissions, and provides that the CRC shall consist of not less than 11 members and not more than 15 members, and which shall be appoints! by the Board of County Commissioners. (A copy of Orange County's Charter is available as a handout.) Whether it is a C'hzrter Commission considering adoption ora charier or a CRC ~eviewing an existing charter, the commission will include a fairly larl~e number of people as contrasi~l with a typical elected board of city or county commissioners. In some cases, the Charter Commission or CRC members will have little or no experience with local government, or they may be very familiar with the local government and have specific agendas to promote. To the greatest extent possible, establishirig an enhanced 'comfort level' among the commission members at their early meetings will likely make things run more smoothly towards the end of the study or review process, B. Hiring of staff and legal counsel The Charter Commission or CRC may hire administrative support staff, and should retain legal counsel as soon as practical. Staff can be especially helpful in preparing historical materials or documents for review by thc commission members. More importantly, staff can provide ~a 2.3 cxc~llent mcana to keep interested citizens and/or thc commission members aware of meeting dates, agenda i~ems, etc. As a practical note, tl~ commission staff can handle publication of notices of public meetings to comply with thc Sunshin~ law. It will also help to brief thc Charter Commission or CRC members on tbe Sunshine Law r~strictions regarding communication between members. Legal counsel should bc retained by thc Charter Commission or CRC as soon as is practical. It will be helpful if the attorney is familiar with operational aspects of the local government, and it is equally important that they be able to work well with the various members of the Charter Commission or Charter Review Commission. For the Orange County CRC, competitive proposals were received from law fi~,is before a general counsel was selected. Regard]ess of how counsel is selected, it is probably preferable for the Chartcr Commission or CRC. to rctain counsel entirely independent of the local government attorney's office, because it may reduce any appearance of bias in advising the commitiec regarding potentially significant changes m the local government structure. Hiring independent legal counsel also allows for independent represenhltion of the Charter Commission or CRC in the event of litigation, and may increase the comfor~ level of the commission members. If you arc advising a Charier Commission or CRC, be sensitive to thc fact ~hat public dollars are being spent, and attempt to eshablish ground roles early in rite process for how work will be assigned, wlmn work will bc done, and so on. If the local government attorney has not already briefed the Charter Commission or CRC on Sunshine Law requiremems regarding communications between members and public meetings, the attorney will probably want to do this as soon as possible after being retained. C. Issues Re!ating to Adopting New Charters If a local government is considering adopti~ a clmrmr wberc none bas previously existed, a few additional practical considerations are worth noting. Voters may be naturally resistant to change. This inertia may be overcome, however, by several means. First, effective communication about the prospcet of adopting a chat~r is essential. It may be hclpful to emphasize the fact that adopting a charier do~s not necessarily cause any significant restructuring of a local government, except as the citizens may deem appropriate. It will likewise be important to solicit a good sampling of public opinion about various basic operational issues which may be addressed in the new charter. (Sec discussion of Potential Charter Issues, below.) Finally, it also may be helpful to point out that ~hc prospective charter, if adopted, may later be re-examined and amended on a regular basis if the citizens so desire. 2.4 HI. Before Considerinl~ Adoption or Amendments, Review History A. Review the Documentnry History When considering adoption of a charter or reviewing an existing chatter, a good first step is to review the local government's existing structure (in the case of a potent/al charter adoption) or to review thc existing charter (if considering revisions to an existing charier). It is important to not assume that the members of thc Charter Commission or CRC are aware of the structure of the existing local government or the provisions of the existing charter_ It may seem overly fuv, damental, but a clear understanding of what the government or charter does (and does not do) will save time later on in the process. The attorney for the Charter Commission or CRC can go a long way Wwards helping the members understand the limits of home rule powers, the meaning of provisions of an'existing charter, and any other aspect of the legal or political landscape which may affect the charter adoption or review process. If a local government is reviewing (as opposed to adopting) a charter, the charter review comm/ssion should also examin~ previous amendments or alternative charter provisions which were or were not adopted. In Orange County, 14 charter related questions have appeared on ballots since the charter took effect on 3anuary l, 1987. Of those 14 proposals, only thrcc have been voted down. Ensuring that the commission members have a thorough understanding of previous successful and unsuccessful proposed charter amendments may help them to better evaluate prospective future amendments to the charter. If possible, the charter review commission may enlist thc help of the supervisor of elections to summarize the history of previous proposed charter amendments. For the Orange County CRC, Supervisor of Eiectior~ Bill Cowles p[cpared an excellent summary of all previous proposed chat-er amendments, and included detailed voter mm-out and vote total summary information to assist the CRC members. (A copy of the 'Election History of the Orange County Charter - I986 through 1996' is available as a handout.) I:inally, the review of past charter provisions av.d relevant local government issues should include an analysis and discussion of previous litigation or appellate decisions addressing the validity of ballot questions, prospective amendments, or government structure issues. If there have been problems in the past, it may be instructive to know the outcomes of those disputes bcfor¢ proposing any furore charter provisions or amendments. B. Obtain Input from Appropriate Groups After (or in conjunction with) a review of appropriate written historical information, a Chartcr Commission or CRC should hear input from people who may have knowledge germane to a prospective chat~ter or charter amendmem. A Charter Commission or CRC may wish to 2.5 begin by hearing from sitting or former commissioners of the local government entity. Since many of the issues which may be governed by a charter (see discussion of Potential Charter Issues, below) can affect the powers and duties of the elected officials, it is helpful to understand their perspective. With respect to issues like salaries of commissioners or whether constitutional officers such as the property appraiser or sheriff should be made into icharter offices" may be benefitted by ha,.,ing input from the sitting commissioners and/or the sitting constitutional officers. In addition, the County staff may be able to identify ~nuts and bolts~ issues of local government structure or operation which might be addressed by a prospective charter or charter amendment. Also, members of previous charter review commissions may providc helpful historical perspective when reviewing a charter for possible revision. For ~he Orange County CRC, input was also obtained from mayors or representatives of nearly all the municipalities within the county. For the most part, few municipal officers proposed changes to the county's charter, but the effort was itill worthwhile in the eyes of most of the CRC members. Finally, the Charter Commission or CRC will want to obtain input from the public. Because the work product of the Charter Commission or Ch*rter Review Commission will ultimately he placed on the ballot for consideration by the voting ptlblic, it makes sense to solicit widespread and thorough public input in deciding what questions to put forward for consideration. At the outset, a Charter Commission or CRC will benefit from a ~big picture~ approach to soliciting public input. For the Orange County CRC it was decided to solicit public input at ~public hearings" and then to have inte,/~ediate 'workshops~ to discuss prospective charter amendments and other administrative matters. Tim CRC adopted a plan to keep track of every potential charter amendment which was suggested by a member of the public, a government official, or any other person who proposed an idea for a charter amendment. These ideas were recorded on a 'master list,' which enabled staff and the CRC members to easily identify the person who proposed a potential chatter amendment along with the substance of the amendment. Staff and general counsel for the CRC then sorted the master list by subject matter and identified sections of the existing charter which might be aff~ by the proposed 9rnerldlrlents or additions. Citizens were allowed to clarify or supplement their proposed ideas before a pre-set deadline, after which the list was finalized alld submitted to the CRC for review. The benefits of this approach are several. First, it has been extremely helpful to have a single focus for each meeting, either hearing input from the public or others, or else discussing and debating the business of the CRC, but not both. Second, by assembling and organizing a #master list" of prospective charter amgndments or ideas, the CRC members are able to identify broad areas of concern, as well as easy ~grouping~ of prospective ideas together to det~,iine their relative merits. Finally, many suggestions from the public may not be suitable for inclusion in the charler or even relate to .local government (e.g., federal questions like the income tax or issues relating to immigration, etc.), but having the list simplifies debate when it comes time to 2.6 consider actual ballot questions for submission to the voters. Lastly, most m~mbers of the public are not even aware of how local governments are structured, let alone issues relating to charter government or the charter review process. To help overcome this lack of information, a Charter Commission or CRC may wish to have numerous meetings around the geographic limits of the city or county, and to seek out citizen groups in order to make them aware of the consideration of a charter or charter review process. IV. Consider the Implications of Community Trends and Future Changes in the City or County Because a char~er del'roes thc very structure of local government, and because local government must deal with local changes in demographics, economics, land use, thc environment, ~ political issues, any considgration of a prospective charter or chaRer amendment may benefit from rese~ching any one of these areas. In Florida, the population grows daily, and because of Florida's geography and economy, unique forces are applied to local governments. Because most members of a Charter Commission or Charter Review Commission will not typically be experts in economics, demographics, environmental issues, and other relevant subject matters, it may be worthwhile to retain experts to prepare reports or answer questions as they may relate to restructuring local goverllnmnt. Obviously, cost will be a major consideration in determining whether to hire experts. ~n some cases, professors, consultartts, or other experts may be willing to volunteer to research particular issues for the Charter Commission or CRC. Because local governments vary so widely in size and type, any consideration of a prospective charter or charter amendment, must be tailored to the needs of the community involved. In some areas of Florida, growth and territorial issues will predominate, whereas in others economic and dc~.ographic issues may he pushed to the forefront by, for example, a large populations of retirees. In any event, a Charter Commission or charter review commission should be sensitive to the demographic makeup of the citizens which will be affected the prospective charter, and it may be wise to obtain specialized research on these issues. Finally, Chatter Commissions and CRCs should remember that they do not operate in a vacuum. Rather, chal~r consideration and charter review are cyclical processes and a particular Charter Commission or CRC may not adopt or change a clutr~er, hut can still produce beneficial work product for future committees. Therefore, it would be prudent'for a Charter Commission or CRC to generate meaningful archives of research and/or keep track of public input which can be reconsidered by future Charter Commissions or charter review commissions. Potential Charter Issues Any analysis of local government structure will probably include certain fundamer~t~l .... ' 2.'/ issues of structure and organization. Set forth below are some basic practical issues which may be suitable for considexation by a Charter Commission or CRC. However, no matter which hsues are considered, it is important that a Charter Commission or CRC do two things: Cu~t, establish a means to keep track of ideas, suggestions, and proposals for charter provisions from the beginnitlg; and, second, establish a means w prioritize prospective suggestions and then narrow the field of ideas to a manageable level. The Orange County CRC decided to develop the comprehensive master list of proposed charter suggestions, and then have one or more meetings where the only order of business was to "narrow the field" by going through the list and considering each prospective proposal, iA copy of a dr-afl ]~[aster List of proposals/suggestions for the Orange County CRC is available as a handout.) Before this meeting, staff and general counsel grouped the prospective ideas according to subject roarer, and identified which charter section or sections might be affected by ~he proposed amendment. From a practical standpoint, this approach significantly expedit~ consideration of prospective charter amendmen~ as a Charter Commission or CRC contcmplate~ finaliz~g its work~ A. Consider Adopting "Threshold Rules" As a means ~o narrow fl~ field, the Orange County CRC adopted certain "threshold rules' to govern its evaluation of prospective charter amendments. These rules basically provided that the master list of prospective charter amendments would bc presented to thc Commission, and that each prospective amendment be further considered only upon Han affn'mative vntc of one-third or greater of thc Commissioners present and voting" at the Commission meeting. Thus, if a prospective charter amendment was not supported by one-third of the Commissioners, it was dropped from further consideration. After the first ~round" of sorting through the list, the Orange County CRC rules provided .as follows: "Before a proposed charter amendment shall be sent to the general counsel for drafting proposed ballot language and proposed charter amendment language, such proposed amendment must receive an aff'umative vote of one-half or greater of the Commissioners present and voting on the proposed amendment. ~ The practical effect of this rule is that atwrn=y time and CRC member time is focused on evaluating ordy chose prospective charter amendments which arc supported by at least half of thc CRC members for further consideration. Finally, the Orange County CRC established that a proposed charier amendment and ballot question may be submitted to thc ballot ~only upon an affirmative vote of two-thirds or greater of the Commissioners present and voting on thc proposed amcndment. ~ This rcquin:ment of a two-thirds majority reflected the con~ensus opinion by the CRC that a prospective charter 2.8 amendment would probably have difficulty garnering support from a majority of the voting public if it could not get two-thirds of th-' CRC to agree to allow its consideration. Other locai governments may justify an alternative approach, but it will depend largely on the philosophies and attitudes of the Charter Commission or CRC members. B, Basic Charter Issue Cheek List Thc following reflects a general list--in outline form-of issues which may be addressed by a Charter Commission or CRC. It is by no means exhaustive, but may provide a framework for local governments considering adoption or revision of a charter. Powers of County Government II. n,Vhat powers and duties should the County have? Bo The powers and duties as specified by the Constitution and State Statutes. Co Thc powers a_nd duties as specified by the Constitution and State Statutes plus those not inconsistent with general law. The powers and duties as specified by the Constitution and State Statutes plus only those as specified in the Charter, such as: Separation of Powers a) Legislative Branch b) Executive Branch c) Power to set salaries of officers and employees d) Power to create special taxing districts County Legislative Branch 1. How should the County Commission be organized? Au B. C, D. 11. How many members? How are they elected? Should there he a Party Affdiation? What should be the Length of Teatu? What Type of Position should it be? 2.9 F. Should there be a Residency Re~qu~ment? G. How should the Commissioners be paid? H. How should Vacancies in Office be filled? I. How should I~lection Districts be handled? $. What powers and duties should be given to the County Commission? K. What presiding officers should the Commission have? L. Where are the meetings held? M. What constitutes a Quorum a~l Majorities? N. How should the Recording, Printing, & Codification of records be handled? County Attorney A. What method should be used to select a County Attorney? B. How should the County Attorney be removed? C. How should the salary level of the County Attorney he set? D. What requirements should be specified for the position of the /County Attorney? County Audi~r B. C. D. E. Should the position of internal auditor be established in the Charter? What method should be needed to select an Internal Auditor?. How should the Internal Auditor be removed? How should the salary level of tim Internal Auditor be set? What requirements should be specified for thc position of Internal Auditor? 2.10 l~. County Executive Branch 1. County Administrator A. What method should be used to select/appoint a County Administrator? B. How should thc Administrator bc removed? C. How should thc salary level of the Administrator bc set? What Requirements should be specified for the Position of County Administrator? E. What Powers and Duties should hc assigned to the County Administrator? F. What should be the line of succession for the County Adrninis~rator? Should there be a provision to specify Non-Interfereoce of Legislative Branch? Should the offices and departments of County government be specified in the Charter? If yes. how should they be organized? Ao The off'me and dapartrnmut should bc organized according to the function being performed and would include which of thc following: ii. Administration Hi. Support iv. Operations v. Finance Department vi. Engineering vii. Other With regard to rh_e various Administrative Heads and their duties, which of the following should apply? Ao Should ~here be Elected Adrmnistrativc Heads and if so, what should they b~? 2.11 IV. B. Should there be appointed Administrative Heads and if so. what should they be? County £lccmd Officials 1. Should thc clcctcd officials be clecmd or appointcd? A. Office ~lectexl Do Sheriff Property Appraiser Tax Collector Supervisor of Elections Clerk of Court Comptroller Who should have Final Authority for Budget Approval? Sheriff Property Appraiser Tax Collector Supervisor of Elections Clerk of Court Comptroller Should the Constitutional Officers be required to use Central Service? Sheriff Property Appraiser Tax Collector Supervisor of Elections Clerk of Court Comptroller Should the County Attorney Represent the O~her Elected Officials? Standir~ Boards and Authority 2. I2 l. Should the Charter specify that a Zoning Board be esr~blisbed? If so, how? A. Members B. Duties should include? C. The authority of the Zoning Board should be? D. Decisions of thc Zoninff Board could be appealed m? 2. Should thc Charier specify that a Planning Commission be created? If so, how? A. Members B. Duties should include? C. The Authority of the Planning Commission should be? D. Decisions of the Planning Commission could be appealed to? Initiative, Referendum and Recall 1. Should Citizen Initiative to Enact Laws be permitt4ed? A. Petition of Voters-how many? B. Subject to Referendum-thresholds? C. Initiative prohibited with regard to? 2. Should Citizen Referendum to Repeal Laws be permitted? A. Pedtion of Voters B. Subject to Referendum 3. Should there be a method to Recall County Comm/ssioners and Other I~lected Officials from office? A. Petition of Voters? B. By Governor for cause 2.13 Scheduling of Referendum How to Fill Vacancy? In accordance with general law procedures, or?. Vll. C, en~ral Provisions Should the Charter limit the ability of the Coumy Commission to issue bond and/or other debt instruments? If so, how? Commission shall have tim authority to issue general obligation bonds paid for property taxes only with approval of a county-wide referendum. Commission shall have the authority to issue revenue bonds, where the revenue from the project pays the deb~ service, only with the approval of a referendum of the people from the area encompassed or served by thc project. C. Bonds can be issued by negotiated contract Bonds can be issued only by competitive bidding based upon lowest nat interest cost. How should Ordinance Adoption he handled? B. C. D. Public Notice Public Hearings Emergency Procedures As specified in general law How should a Conflict of a County Ordinance with a Municipal Ordinance be bandied? Ao County Ordinance prevails City Ordinance prevails City Ordinmme prevails except in areas of?. What should be the effect, if any, of thc Charter with regard to local laws and their Special Acts? How should a conflict of a County Ordinance with a Municipal Ordinance 2.14 bchand~d? 6. Should th~ Charter specify a Code of Ethics for County Government? Who shall be named as a party for the County in legal actions involving thc County? Should lite Charter address the appointment or employment of former elected officials and employees? 9. What method(s) should bc specified in order to amend thc Charter? 10. Shall thc Charter specify a method for repeal of thc Charter? 11. Should the Charter establish a method for periodic or continual review of thc Charter? 12. Should th~ Charter contain a provision permitting the County Commission to review, establish or t~u.inate special districts? VI. Ballot Questions/Prospective Amendments Finally, after sifting through the proposals, a Charter Commission or CRC may ultimately decide to propose adoption of a charter or propose amendments to an existing charter. Counsel should be sure to draft BOTH ballot questions and proposed charier amendment language, because both are necessary, and r~viewing both may crys~allise concerns'not readily observable by just reading the proposed ballot questions. In fact, it is important to have the proposed ballot questions .and amendment language prepared to allow the CRC adequate time to review a~A approve the final versions of each. In cooperation with the .Supervisor of Elections, the CRC should ensure compliance with any technical requirements of an already existing charter regarding publication and notification of the proposed ballot questions and amendment language. Although it is not necessary, adherence to a "single subject role' when drafting ballot qucstions and amendment language will probably reduce the potential for voter confusion and later litigation. VII. Conclusion With careful planning and a practical approach, the task of adopting or revising a local government charter can be a positive experience. The Orange County CRC methodology will hopefully provide & helpful framework for local governments and attorneys involved in the charter adoption or review process. 2.15