HomeMy WebLinkAboutCity Council Resolution 779.8 RESOLUTION NO. 779.8
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SARATOGA
AMENDING RESOLUTION NO. 779, THE CONFLICT OF INTEREST CODE
WHEREAS, the City of Saratoga has undergone recent organizational changes which necessitate changes
in designees in Appendix A, and
WHEREAS, changes in the format of the Statement of Economic Interest Form 700 necessitate changes in
the disclosure categories in Exhibit B.
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Saratoga that the attached
Appendlees A and B shall be substituted for the previous Appendices A and B.
The above and foregoing resolution was passed and adopted by the Saratoga City Council at a meeting
held on the 16t~ day of September, 1998, by the following vote:
AYES: Councilmembers Bogosian, ~acobs, Moran, Shaw and Mayor Wolfe
NOES: None
ABSENT: None ~ff~
[ ' Mayor/
ATYEST:
City Clerk
APPENDIX A
DESIGNATED POSITIONS DISCLOSURE CATEGORY
Public Works Department
Public Works Director A through F
Community Development Department
Community Development Director A through F
Recreation Department
Recreation Director A through F
Finance Department
Finance Director A through F
Consultants
City Arborist A through F (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 F (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 F (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)
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 Managers 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 files Form 700 with the City Clerk rother than with the Fair Political
Practices Commission.
Finance Director
APPENDIX B
DISCLOSURE CATEGORIES
Category A- 1: Investments less than 10% ownership
Category A-2: Investments greater than 10% ownership
Category B: Real Property
Category C: Income and Business Positions
Category D: Income - Loans
Category E: Income - Gifts
Category F: Travel Payments
PROOF OF PUBUCA110N
¢2mm.s C.C,P)
STATE OF CALIFORNIA,
PROOF OF PUBLICATION OF
I am a citizen ~t the United Satins and a it d the
County a/aM; l am over the ap of eightsme m, and
notre party to or inter~in b above4ntitkd roaM. lain
tim principal ekrk o~ tim priatmr of the
I certify or declare) under penalty d perjury that the
foregoing is true and eta'rmet.
Signature .
RAVI MEHTA .~........~i~~
CHAIRMAN
FAIR POLITICAL PRACTICES COMMISSION
May 1997
TO: City Clerks, City Attomeys
FROM: Technical Assistance Division
SUBJECT: Amended Regulation 18730 - Provisions of Conflict of Interest Codes
Attached is a copy of mended Regulation 18730 for cities that have incorporated
Regulation 18730 as the body of their conflict of interest codes. Section 8.1 of this regulation
was amended to increase the gift limit from $280 to $290 in a calendar year. If Regulation
18730 is incorporated by reference in a conflict of interest code, it is not necessary for the city to
take action to make this amendment effective. We recommend that you maintain a copy of
Regulation 18730 with your conflict of interest code. If you have any questions, please contact
Dixie Howard at (916) 322-5660.
428 J STREET, SUITE 800, SACRAMENTO, CALIFORNIA 95814 (916) 322-5660
(Reb, Lu. lations of the Fair Political Practices Commission, Title 2, Division 6, Section 18730 of the
California Code of Regulations)
18730. Provisions 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 adoptio/~ 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 Govemm6nt 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 mended or adopted and
promulgated requires the reporting of reportable 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 Coyeminent 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:
(1) Section 1. Definitions. The definitions contained in the Political Reform Act of
1974, regulations of the Fair Political Practices Commission (2 Cat. Code of Regs. Sections
18100, et seq.), and any amendments to the Act or regulations, are incorporated by reference into
this conflict of interest code.
(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
1 18730
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, et 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 g~ographicat 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
(C) The filing officer is the same for both agencies2
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 mateddaily 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
~ 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 sepante and distinct statements, provided that each copy of such expanded statement
filed in place of an original is signed and verified by the desigrmtcd employee as if it were an original. See
Government Code Section 81004.
2 18730
body in the agcncy's conflict of interest code?
(5) Section 5. Statements of Economic Interests: Time of Filing.
(A) Initial Statements. All designated employees employed by 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 aRer the effective date of this code.
Thereafter, each person already in a position when it is designated by 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 ofthi~ 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 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 fi'om 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
2 See Government Code Section 81010 and 2 Cal. Code of Regs. Section 18115 forthe duties of filing
officers and persons in agencies who make and retain copies of statements and forward the originals to the filing
officer.
3 18730
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. ~
(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 closing date 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:
(A) Investments and Real Property Disclosure. When an'investment or an interest in real
4 18730
property~ is required to be reporte, d,4 the statement shall contain the following:
1. A statement of the nature of the investment or interest;
2. Thc 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 of 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,s the
statement shall contain:
1. The name and address of each sottree olincome aggregating two hundred ~Ry dollars
($250) or more in value or fifty dollars.($50) or more in value if the income was a gift, and a
general description oft he business activity, if any, of each source;
2. A statement whether the aggregate value of income from each sottree, 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;
3 For the purpose of disclosure only (not disqualification), an interest in real property does not include the
principal residence of the filet.
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 individua!'s spouse and dependent children as
well as a pro rata share of any inveslraent or interes~t in teal property of anybusiness 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.
s 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 reimbst for expenses reeeivetl from a state, local or federal
govemment agency.
5 18730
5. In the case of a loan, the annual interest rate and the security, ffany, 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,s the statement shall contain:
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 o.f. 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 interest 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 8. Prohibition on Receipt of Honoraria.
(A) No member of a state board or commission, and no designated employee of a state or
local government 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.
~ Income of a business entity is reportable if the direct, indirect or beneficial interest of the flier 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 ofth~ flier.
6 18730
Subdivisions (a), Co), and (e) of Government Code Section 89501 shall apply to the
prohibifons in this secfon.
This section shall not limit or prohibit payments, advances, or reimbursements for travel and
related lodging and subsistence authorized by Gov~rnent Code Section 89506.
(8.1) Section 8.1 Prohibition on Receipt of Gilts in Excess of $290.
(A) No member of a state board or commission, and no designated employee of a state
or local government agency, shall accept gifts with a total value of more than $290 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.
Subdivisions (e), (f), and (g) of Government Code Section 89503 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;
(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,
received by 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,
7 18730
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
$290 or more 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.
(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 discIosure of the disqualifying
interest. In the ease of a voting body, this determination and disclosure shall be made part of the
agency's official record; in the case of a designated 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
8 18730
writing to the designated employee's supervisor.
(11 ) Section 11. Assistance of the Commission and Counsel. Any designated employee
who is unsure ofhis 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 1.2. Violations. This code hasthe 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 - 91015.
In addition, a decision in relation to which a violation of the diequalification provisions of this
code or of Government Code
Section 87100 or 87450 has occurred may be set aside as void pursuant to Govemment Code
Section 91003.
Note: AUTHORITY: Section 83112, Gov. Code
REFERENCE: Sections 87103(e), 87300-87302, 89501, 89502, 89503, Gov. Code
History
(1) New section filed 4-2-80 as an crnergc~cy; effective upon filing. Certificate of
Compliance included.
(2) Editorial correction.
(3) Amendment ofsubsection ~ filed 1-9-81; effective thirtieth day thereaRer.
(4) ' ~ect~ ' ' ' '
(6) Amendment filed 4-13-87; e ve thirtieth da thereafter.
(7) Amendment ofsubsection Co filed 10-21-88; e~ecutive thirtieth day thereafter.
(8) Amendment filed 8-28-90; e~f:ective thirtieth day thereafter.
(9) Amendment filed 8-7-92; effective thirtieth day thereafter.
Amendment filed 2-5-93; effective upon filing.
(12) Amendment filed 10-23-96; effective upon filing.
(13) Amendment filed 4-9-97; effective upon filing.
9 18730