HomeMy WebLinkAboutCity Council Resolution 779.7 ATTAI...~NT 1
RESOLUTION NO. 779.7
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SARATOGA
AMENDING RESOLUTION NO. 779, THE CONFLICT OF INTEREST CODE
WHEREAS, the City of Saratoga wishes to realize the benefits of
adopting the model Conflict of Interest Code as recommended by the Fair
Political Practices Commission.
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of
Saratoga that the model Conflict of Interest Code attached as Exhibit
A is hereby adopted by the City of Saratoga.
The above and foregoing resolution was passed and adopted by the
Saratoga City Council at a meeting held on the 7th day of December,
1994, by the following vote:
AYES: Council members Jacobs, Moran, Tucker, Wolfe and Mayor Burger
NOES: None
ABSENT: None
..
ATTEST: v ~ Mayor
/
Deputy City Cl
ATTACHHENT 2
(Regulations of.t~e Fair Political Practices Commission, Title 2,
Division 6 of the California Code of Regulations)
~.87.30- P~Ovisions of ConfliCt .of Interest Codes
(a) Incorporation by reference of the terms of this
regulation along with the designation of employees and the
formulation of disclosure categories in the Appendix referred to
below constitute the adoption and promulgation of a conflict of
interest code within the meaning of Government Code Section 87300
or the amendment of a conflict of interest code within the meaning
of Government Code SeCtion 87306 if the terms of this regulation
are substituted for terms of a conflict of interest code already
in effect. A code so amended or adopted and promulgated requires
the reporting of reportabl~ items in a manner substantially
equivalent to the requirements of Article 2 of Chapter 7 of the
Political Reform Act, Government Code Sections 81000, et seq. 'The
requirements of a conflict of interest code are in addition to
other requirements of the Political Reform Act, such as the
general prohibition against conflicts of interest contained in
Government Code Section 87100, and to other state or local laws
pertaining to conflicts of interest.
(b) The terms of a conflict of interest code amended or
adopted and promulgated pursuant to this regulation are as
follows:
-{t) Section 1.-'Definitions. The definitions contained
in the Political Reform Act of 1974, regulations of the Fair
Political Practices Commission (2 Cal. Code of Regs. Sections
18100, ~t seq.), and any amendments to the Act or regulations, are
incorporated by reference into this conflict of interest code.
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(2) Section 2. Designated Employees. The persons
holding positions listed in the Appendix are designated employees.
It has been determined that these persons make or participate in
the making of decisions which~may foreseeably have a material
effect on financial interests.
(3) Section 3. Disclosure Categories .... This code does
not establish any disclosure obligation for those designated
employees who are. also specified in Government Code Section 87200
if they are designated in this code in that same capacity or if
the geographical jurisdiction of this agency is the same as or is
wholly included within the jurisdiction in which those persons
must report their financial interests pursuant to Article 2 of
Chapter 7 of the Political Reform Act, Government Code Sections
87200, ~t seq-
In addition, this code does not establish any disclosure
obligation for any designated employees who are designated in a
conflict of interest code for another agency, if all of the
following apply:
A) The geographical jurisdiction of this agency is the
same as or is wholly included within the jurisdiction of the other
agency;
B) The disclosure assigned in the code of the other
agency is the same as that. required under Article 2 of Chapter 7
of the Political Reform Act, Government Code Section 87200; and
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1
C) The filing officer is the same for both agencies.
Such persons are covered by this code for
disqualification purposes only. With respect to all other
designated employees, the disclosure categories set forth in the
Appendix specify which kinds of financial interests are
reportable. Such a designated employee shall disclose in.his or
her statement of economic interests those financial interests he
or she has which are of the kind described in the disclosure
categories to which he or she is assigned in the Appendix. It has
been determined that the financial interests set forth in a
designated employee's disclosure categories are the kinds of
financial interests which he or she foreseeably can affect
materially through the conduct of his or her office.
(4) Section 4. Statements of Economic Interests:
Place of Filing. The code reviewing body shall instruct all
designated employees within its code to file statements of
economic interests with the agency or with the code reviewing
body, as provided by the code reviewing body in the agency's
conflict of interest code.
1 Designated employees who are required to file statements of
economic interests under any other agency's conflict of interest
code, or under Article 2 for a different jurisdiction, may expand
their statement of economic interests to cover reportable
interests in both jurisdictions, and file copies of this expanded
statement with both entities in lieu of filing separate and
distinct statements, provided that each copy of such expanded
statement filed in place of an original is signed and verified by
the designated employee as if it were an original. See Government
Code Section 81004.
2
See Government Code Section 81010 and 2 Cal. Code of Regs.
Section 18115 for the duties of filing officers and persons in
agencies who make and retain copies of statements and forward the
originals to the filing officer.
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(5) Section 5. Statements of Economic Interests: Time
of Filing.
(A) Initial Statements. All designated employees
employedby the agency on the effective date of this code, as
originally adopted, promulgated and approved by the code reviewing
body, shall file statements within 30 days after the effective
date of this code. Thereafter, each person already in a position
when it is designatedby an amendment to this code shall file an
initial statement within 30 days after the effective 'date of the
amendment.
(B) Assuming Office Statements. All persons assuming
designated positions after the effective date of this code shall
file statements within 30 days after assuming the designated
positions, or if subject to State 'Senate confirmation, 30 days
after being nominated or appointed.
(C) Annual Statements. All designated employees shall
file statements no later than April 1.
(D) Leaving Office Statements. All persons who leave
designated positions shall file statements within 30 days after
leaving office.
(5.5) Section 5.5. Statements for Persons Who Resign
Prior to Assuming Office. Any person who resigns within 12 months
of initial appointment, or'within 30 days of'the date of notice
provided by the filing officer to file an assuming office
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statement, is not deemed to have assumed office or left office,
provided he or she did not make or participate in the making of,
or use his or her position to influence any decision and did not
receive or become entitled to receive any form of payment as a
result of his or her appointment. Such persons shall not file
either an assuming or leaving office statement.
(A) Any person who resigns a position within 30 days of
the date of a notice from the filing officer shall do both of the
following:
(1) File a written resignation.with the appointing
power; and
(2) File a written statement with the filing officer
declaring under penalty of perjury that during the period between
appointment and resignation he or she did not make, participate in
the making, or use the position to influence any decision of the
agency or receive, or become entitled to receive, any form of
payment by virtue of being appointed to the position.
(6) Section 6. Contents of and Period Covered by
Statements of Economic Interests.
(A) Contents of Initial Statements. Initial statements
shall disclose any reportable investments, interests in real
property and business positions held on the effective date of the
code and income received during the 12 months prior to the
effective date of the code.
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(B) Contents of Assuming Office Statements. Assuming
office statements shall disclose any reportable investments,
interests in real property and business positions held on the date
of assuming office or, if subject to State Senate confirmation or
appointment, on the date of nomination, and income received during
the 12 months prior to the date of assuming office or the date of
being appointed or nominated, respectively.
(C) Contents of Annual Statements. Annual statements
shall disclose any reportable investments, interests 'in real
property, income and business positions held or received during
the previous calendar year provided, however, that the period
covered by an employee's first annual statement shall begin on the
effective date of the code or the date of assuming office
whichever is later.
(D) Contents of Leaving Office Statements. Leaving
office statements shall disclose reportable investments, interests
in real property, income and business positions held or received
during the period between the closingldate of the last statement
filed and the date of 'leaving office.
(7) Section 7. Manner of Reporting. Statements of
economic interests shall be made on forms prescribed by the Fair
Political Practices Commission and supplied by the agency, and
shall contain the following information:
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(A) Investments and Real Property Disclosure. When an
investment or an interest in real property3 is required to be
4
reported, the statement shall contain the following:
1. A statement of the nature of the investment or
interest;
2. The name of the business entity in which each
investment is held, and a general description of the business
activity in which the business entity is engaged;
3. The address or other precise location 6f the real
property;
4. A statement whether the fair market value of the
investment or interest in real property exceeds one thousand
dollars ($1,000), exceeds ten thousand dollars ($10,000), or
exceeds one hundred thousand dollars ($100,000).
(B) Personal Income Disclosure. When personal income
is required to be reported,5 the statement shall contain:
3
For the purpose of disclosure only (not disqualification), an
interest in real property does not include the principal residence
of the filer.
4
Investments and interests in real property which have a fair
market value of less than $1,000 are not investments and interests
in real property within the meaning of the Political Reform Act.
However, investments or interests in real property of an
individual include those held by the individual's spouse and
dependent children as well as a pro rata share of any investment
or interest in real .property of any business entity or trust in
which the individual, spouse and dependent children own, in the
aggregate, a direct, indirect or beneficial interest of 10 percent
or greater.
5
A designated employee's income includes his or her community
property interest in the income of his or her spouse but does not
include salary or reimbursement for expenses received from a
state, local or federal government agency.
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1. The name and address of each source of income
aggregating two hundred fifty dollars ($250) or more in value or
fifty dollars ($50) or more in value if the income was a gift, and
a general description of the business activity, if any, of each
source;
2. A statement whether the aggregate value of income
from each source, or in the case of a loan, the highest amount
owed to each source, was one thousand dollars ($1,000) or less,
greater than one thousand dollars ($1,000), or greater than ten
thousand dollars ($10,000);
3. A description of the consideration, if any, for
,which the income was received;
4. In the case of a gift, the name, address and
business activity of the donor and any intermediary through which
the gift was made; a description of the gift; the amount or value
of the gift; and the date on which the gift was received;
5. In the case of a loan, the annual interest rate and
the security, if any, given for the loan.
(C) Business Entity Income Disclosure. When income of
a business entity, including income of a sole proprietorship, is
required to be reported,6 the statement shall contain:
6
Income of a business entity is reportable if the direct,
indirect or beneficial interest of the filer and the filer's
spouse in the business entity aggregates a 10 percent or greater
interest. In addition, the disclosure of persons who are clients
or customers of a business entity is required only if the clients
or customers are within one of the disclosure categories of the
filer.
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1. The-name, address, and a general description of the
business activity of the business entity;
2. The name of every person from whom the business
entity received payments if the filer's pro rata share of gross
receipts from such person was equal to or greater than ten
thousand dollars ($10,000). _
(D} Business Position Disclosure. When business
positions are required to be reported, a designated employee shall
list the name and address of each business entity in'which he or
she is a director, officer, partner, trustee, employee, or in
which he or she holds any position of management, a description of
the business activity in which the business entity is engaged, and
the designated employee's position with the business entity.
(E) Acquisition or Disposal During Reporting Period.
In the case of an annual or leaving office statement, if an
investment or an inter&st in real property was partially or wholly
acquired or disposed of during the period covered by the
statement, the statement shall contain the date of acquisition or
disposal.
(8) Section 8j State Agency Prohibition on Receipt of
Honoraria. No member of a state board or commission, and no
designated employee of astate agency, shall accept any honorarium
from any source, if the member or employee-would be required to
report the receipt of income or gifts from that source on his or
her statement of economic interests. This section shall not apply
to any part-time member of the governing board of any public
institution of higher education, unless the member is also an
elected official.
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Subdivisions (b), (c), (d), and (e) of Government Code
Section 89502 shall apply to the prohibitions in this section.
(8.1) Section 8.1 State Agency Prohibition on Receipt
of Gifts of $250 or More. No member of a state board or
commission, and no designated employee of a state agency, shall
accept gifts with a total value of more than two hundred fifty
dollars ($250) in a calendar year from any single source, if the
member or employee would be required to report the receipt of
income or gifts from that source on his or her statement.of
economic interests. This section shall not apply to any part-
time member of the governing board of any public institution of
higher education, unless the member is also an elected official.
Subsections (b), (c), {d), and (e) of Government Code
Section 89504 shall apply to the prohibitions in this section.
(9) .Section 9. Disqualification. No designated
employee shall make, participate in making, or in any way attempt
to use his or her official position to influence the making of any
governmental decision which he or she knows or has reason to know
will have a reasonably foreseeable material financial effect,
distinguishable from its effect on the public generally, on the
official or a member of his or her immediate family or on:
(A) Any business entity in which the designated
employee has a direct or indirect investment worth one thousand
dollars ($1,000) or more;
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(B) Any real property in which the designated employee
has a direct or indirect interest worth one thousand dollars
($1,000) or more;
{C) Any source of income, other than gifts and other
than loans by a commercial lending institution in the regular
course of business on terms available to the public without regard
to official status, aggregating'two hundred fifty dollars ($250)
or more in value provided to, receivedby or promised to the
designated employee within 12 months prior to the time when the
decision is made;
(D) Any business entity in which the designated
employee is a director, officer, partner, trustee, employee, or
holds any position of management; or
(E) Any donor of, or any intermediary or agent for a
donor of, a gift or gifts aggregating $250 or more in value
provided to; received by, or promised to the designated employee
within 12 months prior to the time when the decision is made.
(9.3) Section 9.3. Legally Required Participation. No
designated employee shall be prevented from making or
participating in the making of any decision to the extent his or
her participation is legally required for the decision to be made.
The fact that the vote of a designated employee who is on a voting
body is needed to break a tie does not make his or her
participation legally required for purposes of this section.
11 18730
(9.5) Section 9.5. Disqualification of State Officers
and Employees. In addition to the general disqualification
provisions of Section 9, no state administrative official shall
make, participate in making, or use his or her official position
to influence any governmental decision directly relating to any
contract where the state administrative official knows or has
reason to know that any party to the contract is a person with
whom the state administrative official, or any member of his or
her immediate family has, within 12 months prior to the time when
the official action is to be taken:
(A) Engaged in a business transaction or transactions
on terms not available to members of the public, regarding any
investment or interest in real property; or
(B) Engaged in a business transaction or transactions
on terms not available to members of the public regarding the
rendering of goods or services totaling in value one thousand
dollars ($1,000) or more.
(10) Section 10. Manner of Disqualification. When a
designated employee determines that he or she should not make a
governmental decision because he or she has a disqualifying
interest in it, the determination not to act must be accompanied
by disclosure of the disqualifying interest. In the case of a
voting body, this determination and dis-closure shall be made part
of the agency's official record; in the case of a designated
12 18730
employee who is the head of an agency, this determination and
disclosure shall be made in writing to his or her appointing
authority; and in the case of other designated employees, this
determination and disclosure shall be made in writing to the
designated employee's supervisor.
(11) Section 11. Assistance of the Commission and
Counsel. Any designated employee who is unsure of his or her
duties under this code may request assistance from the Fair
Political Practices Commission pursuant to Government Code Section
83114 or from the attorney for his or her.agency, provided that
nothing in this section requires the attorney for the agency to
issue any formal or informal opinion.
(12) Section 12. Violations. This code has the force
and effect of law. Designated employees violating any provision
of this code are subject to the administrative, criminal and civil
sanctions provided in the Political Reform Act, Government Code
Sections 81000 - 91014. In addition, a decision in relation to
which a violation of the disqualification provisions of this code
or of Government Code Section 87100 or 87450 has occurred may be
set aside as void pursuant to Government Code Section 91003.
Note: Authority: Section 83112, Gov. Code
Reference: Sections 87300-87302, 89503, and 89504, Gov. Code
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History
(1) New section filed 4-2-80 as an emergency; effective upon
filing. Certificate of Compliance included.
(2) Editorial correction.
(3) Amendment of subsection (b) filed 1-9-81; effective thirtieth
day thereafter.
(4) Amendment of subsection (b)(7)(B)l. filed 1-26-83; effective
thirtieth day thereafter.
(5) Amendment of subsection (b)(7)(A) filed 11-10-83; effective
thirtieth day thereafter.
{6) Amendment filed 4-13-87; effective thirtieth day thereafter.
{7) Amendment of subsection (b) filed 10-21-88; effective
thirtieth day thereafter.
(8} Amendment filed 8-28-90; effective thirtieth day thereafter.
(9) Amendment filed 8-7-92; effective thirtieth day thereafter.
(10) Amendment filed 2-5-93; effective upon filing.
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APPENDIX A
DESIGNATED POSITIONS DISC~0SURE CATEGORY
Administration
Assistant to the City Manager A through H-3
PUblic Works Department
Public Works Director A through H-3
Street Superintendent A through H-3 ( o n 1 y
those investments,
business positions and
sources of income of the
type which provide
services, supplies,
materials, machinery or
equipment of the type
utilized by the City of
Saratoga)
Parks and Buildings Superintendent A through H-3 (only
those investments,
business positions and
sources of income of the
type which provide
services, supplies,
materials, machinery or
equipment of the type
utilized by the City of
Saratoga)
Community Development D~partment
community Development Director A through H-3
City Codes Administrator A through H-3 (only
those investments,
business positions and
sources of income of the
type which provide
services, supplies,
materials, machinery or
equipment of the type
utilized by the City of
Saratoga or which are
subject to the
regulatory, permit or
licensing authority of
the City_of Saratoga or
which engage in land
development,
construction or the
acquisition or sale of
real property; interests
in real property in the
j urisdictio6, 'including
within a two-mile radius
of any property owned
or used by the City of
Saratoga)
Recreation Department
Recreation Director A through H-3
Finance Department
Finance Director A through H-3
consultants
city Arborist A through H-3 (only
those investments,
business positions and
sources of income which
are subject to the
regulatory, permit or
licensing authority of
the City of Saratoga)
City Geotechnical Consultant A through H-3 (only
those investments,
business positions, and
sources of income of the
type which engage in
land development,
construction or the
acquisition or sale of
real property; interests
in real property in the
jurisdiction, including
within a two-mile radius
of any property owned
or used by the City of
Saratoga )
City Surveyor A through H-3 (only
those investments,
business positions, and
sources of income of the
type which engage in
land development,
construction or the
_ acquisition or sale of
real property; interests
in real property in the
jurisdiction, including
within a two-mile radius
of any property owned
or used by the City of
Saratoga) ''
Solid Waste Program Manager A through H-3 (only
those investments,
business positions and
sources of income oft he
type which provide
services, supplies,
materials, machinery or
equipment of the type
utilized by the City of
Saratoga; interests in
real property in the
jurisdiction, including
within a two mile radius
of any property that is
or may be used as a
disposal site, transfer
station or resource
recovery facility in
which the consultant
provides planning or
technical assistance or
has enforcement branch
responsibilities)
Other Consultants,
,Consultants shall disclose pursuant to the broadest disclosure
category in the code subject to the following limitation: The City
Manager may determine in writing that a particular consultant, although
a "designated position," is hired to perform a range of duties that is
limited in scope and thus is not required to fully comply with the
disclosure requirements described in this section. Such written
determination shall include a description of the consultant's duties
and, based upon that description, a statement of the extent of
disclosure requirements. The City Manager's determination is a public
record and shall be retained for public inspection in the same manner
and location as this Conflict of Interest Code.
Officials Who Manage Public Investments:
It has been determined that the position listed below manages public
investments. In accordance with Fair Political Practices Commission
Regulation 18720, adopted March 3, 1994, that person will file the Form
721 Statement of Economic Interests rather than Form 730, beginning
with the statement which is due April 1, 1995.
_ Finance Director
APPENDIX B
DISCLOSE CATEGORIES
Category A: InveStments not held through a business entity or
trust
Category B: Interests in Real Property not held through a business
entity or trust
Category C-l: Interests in RealProperty Held by a Business Entity
or Trust
Category C-2: Investments held by a Business Entity or Trust
Category D: Income (other than loans, gifts and honoraria)
Category D-l: Income (travel payments, advances, reimbursements)
Category E: Income - Loans received or outstanding during
reporting period
Category F: Income - Gifts
Category G: Business Positions
Category H-i: Commission Income Received by Brokers, Agents and
Salespersons
Category H-2: Income and Loans to Business Entities or Trusts
Categ6ry H-3: Income from Rental Property