HomeMy WebLinkAboutAgenda Report - November 4, 1981 (30)EXISTING CONFLICT OF
INTEREST CODE
AMENDED TO INCLUDE
SPARC MEMBERS
RF.S.. NO. 81-150
Following introduction of the matter by City Clerk Reim che,
Council, on motion of Mayor Pro Tempore Murphy, adopted
Resolution No. 81-150 amending the City of Lodi's Conflict
of Interest Code to require members of the Site Plan and
Architectural Review Committee to file conflict of interest
filings. The motion was seconded by Councilman Hughes and
carried by the following vote:
Ayes: Councilmen - Hughes, Katnich, Murphy and McCarty
Noes: Councilmen - Pinkerton
f :COUNCIL COMMUNICAT�N
TO' THE CIT: COUNCIL DATE NO.
FROM THE CITY MANAGE" O"ICE
Noy Pr I c)RI
SUBJECT:
SPARC - Conflict of Interest Filing Requirements
Following a review of Government Code Section 81000 et seq and a review
of the types of decisions presently made by SPARC and upon recommenda-
tion of the City Attorney, it is recommended that the City of.Lodi's
Conflict of Interest Code be amended to require members of the Site Plan
and Architectivral Review Committee to file.
) �W
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ALICE M. RFIMCHE
City Clerk
RESOLUTION NO. 81-150
RESOLUTION AMENDING CITY OF LODI CONFLICT OF
INTEREST CODE TO INCORPORATE BY REFERENCE THE
FAIR POLITICAL PRACTICES COMMISSION'S STANDARD
MODEL CONFLICT OF INTEREST CODE
WHEREAS, amendments to the Political Reform Act, Govern-
ment Code Sections 81000, et seq., have in the past and fore-
seeably will in the future require conforming amendments to be
made in Conflict of Interest Codes adopted and promulgated
pursuant to its provisions; and
WHEREAS, the Fair Political Practices Commission has
adopted a regulation, 2 Cal. Adm. Code Section 18730, which
contains the terms of a standard model Conflict of Interest
Code, which can be incorporated by reference, and which will be
amended to conform to amendments in the Political Reform Act
after public notice and hearings conducted by the Fair Political
Practices Commission pursuant to the Administrative Procedure
Act, Government Code Section 11370, et seq.; and
WHEREAS, incorporation by reference of the terms of the
aforementioned regulation and amendments to it in Conflict of
Interest Codes will save this body time and money by minimizing
the actions required of this body to keep the Codes in conformity
with the Political Reform Act;
NOW, THEREFORE, BE IT RESOLVED AS FOLLOWS:
1. All previously adopted resolutions approving various
separate Conflict of Interest Codes are hereby rescinded.
2. The terms of 2 Cal. Adm. Code Section 18730 and any
amendments to it duly adopted by the Fair Political Practices
Commission along with the attached Appendices in which officials
and employees are designated and disclosure categories are set
forth, are hereby incorporated by reference and constitute the
Conflict of Interest Codes for the following departments and
agencies:
Administration Department
Public Works Department
City Attorney's Office
City Clerk's Office
Finance Department
Police Department
Fire Department
Community Development Department
81-150
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Recreation Commission
Utility Department
Parks and Recreation Department
Planning Commission
Site Plan and Architectural Review Committee
3. Persons holding designated positions shall file
statements of economic interest pursuant to Section 4(C) of the
Conflict of Interest Code. Pnrsuant to Section 4(C) of the
Code, all designated employees shall file their statements with
the City Clerk to whom the City Council hereby delegates the
authority to carry out the duties of filing officer.
Dated: November 4, 1981
I hereby certify that Resolution No. 81-150 was passed
and adopted by the City Council of the City of Lodi in
a regular meeting held November 4, 1981 by the following
vote:
Ayes: Councilmen - Hughes, Katnich, Murphy, and
McCarty
Noes: Councilmen - Pinkerton
Absent: Councilmen - None
8
M. ezw�
ALICE M. REIMCHE
City Clerk
81-150
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EXHIBIT "A"
DESIGNATED POSITIONS
OR
DESIGNATED EMPLOYEES
Designated Positions or Designated Emplo ees
Director of Public Works
Assistant City Engineer
City Attorney
Assistant City Attorney
City Clerk
Finance Director
Assistant Finance Director
Police Chief
Fire Chief
Assistant City Manager
Community Development Director
Assistant Planner
Chief Building Inspector
Building Inspector
Utility Director
Assistant Utility Director
Director of Parks and Recreation
Members of the Lodi City Planning Commission
Members of the Recreation Commission
Members of the Site Plan and Architectural
Review Committee
Disclosure Category
1, 2, & 3
1, 2, & 3
1, 2, & 3
1, 2, & 3
2
2 & 3
2 & 3
2
2
1, 2, & 3
1, 2, & 3
1, 2, & 3
1, 2, & 3
1, 2, & 3
1, 2, b 3
1, 2, & 3
1, 2, & 3
1, 2, b 3
1, 2, & 3
1, 2, & 3
EXHIBIT "B"
DISCLOSURE CATEGORIES
An investment, interest in real property, or income is
reportable if the business entity in which the investment is held,
the interest in real property, or the income or source of•income
may foreseeably be affected materially by any decision made or
participated in by the designated employee by virtue of the em-
ployee's position.
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Designated employees in Group "1" must report:
(a) Interests in real property, other than your residence,
which is located in whole or in part either within the
boundaries of the City, or within two miles of the boundaries
of the City, including any leasehold, beneficial or ownership
interest or option to acquire such interest in real property,
if the fair market value of the interest is greater than
$1, 000. 00. (interests in real property of an individual in-
clude theshare or interest in real property of a business
entity or trust in which the designated employee or his or
heir spouse owns, directly, indirectly, or beneficially, a ten
per cent interest or greater.)
(b) Investments in or income from persons or busuaess enti—
ties engaged in the business of acquisition or disposal of real
property within the City.
Designated employees in Group "Z" must report:
(a) Investments in any business entity which, within the last
two years, has contracted, or in the future foreseeably may
contract with the City of Lodi to provide services, supplies,
materials, machinery or equipment to the City of Lodi.
(b) Income from any source which, within the Iast two years,
has contracted, or in the future foreseeably may contract with
the City of Lodi. to provide services, supplies, materials, =
machinery or equipment to the City of Lodi.
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(c) His o .-J6r status as a director, offict sole owner,
partner, trustee, employee, or holder of a position of
management in any business entity which, within the last
two years, has contracted or in the future foreseeably
may contract with the City of Lodi to provide services,
supplies, materials, machinery or equipment to the City
of Lodi.
Investments and income otherwise reportable under
Paragraphs (a) and (b) of Category "z" above, shall not
be reported unless the total amount of all contracts by
the business entity to provide services, supplies,
materials, machinery or equipment to the City of Lodi
was more than $1, 000.00 in the prior calendar year, or
unless the total amount of all foreseeable contracts by
the business entity to provide services, supplies, mater-
ials, machinery or equipment to the City of Lodi will be
more than $1, 000. 00 in the next calendar year.
Designated employees in Group "3" must report_
(a) Investments in any business entity which within the
last calendar year has been regulated by the City of I,oeti
or foreseeably may be regulated by the City of Lodi in
the next calendar year.
(b) Each source of income, provided that the income was
furnished by or on behalf of any busincss entity which
within the last calendar year has been regulated by tho-
City of Lodi, or foreseeably may be regulated by the City
of Lodi in the next calendar year.
(c) His or he r status as a director, • officer, sole owner,
partner, trustee, employee or any position of management'
in any business entity which within the last calendar year
has been regulated by the City of Lodi, or foreseeably may
be regulated by the City of Lodi in the next calendar year.
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Regulations or the hair r0! iLlcal FracEices uoi;imission
(Title 2, Divisi; 6 of the California Adm,1C..strative Code)
18730. Provisions of Conflict of Interest Codes
(Gov. Code Sections 87300 - 87302)
(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 adop�ion 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 87307 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
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, eL sc The
requirements of a Conflict of Interest: Code are in € iclitiorc
to other requirements of the Political Reform Act-, such as
the general prohibition against conflicts of inferest con—
tained 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
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amended or adopted and promulgated pursuant to this icequlation
are as follows:
(1) Section I. Definitions.
The definitions contained in the Political Reform
Act of 1974, regulations of the Fair Political Practices
1 _ .
Cornmission (2 Cal. Adm. Code Sections 18100 et se .) , 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 obli—
gation for those designated employees who are also specif ied
in Government Code Section 87200 if they are ciesidnaLed in
this Code in that same capacity or if the geographical jiiris--
diction 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 2%).-t;c-le 7. OL Chapter -
of the Political Reform Act, Government: Code Sections 872.00#
et seg.Y Such persons are covered by this Code for digs --
qualification purposes only. With respect to,"all other
designated. employees, the disclosure categories set forth in
Y 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 in—
terests 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.
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the Appendix sir- f which kinds of finaJ_al 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 ca'Legories 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 e
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 o Filing.
.'The code reviewing body shall instruct all elesig--
nated employees required to file statements of economic
interests pursuant to this Conflict of Interest Code to file
in accordance with one of the following procedures : !�
(A) All designated employees ";;Will Ole stater -tents
of economic interests with ti:e agency. Upon receipt.of the
statements of economic interests of the head of the agency
and members of boards or commissions not under a department
of state or local government, the agency shall snake and
retain a. copy of each and forward the originals of these
statements to the code reviewing -body,, which shall be the
2� See Government Code Section 81010 and 2 Cal.
Adm. Code Section 18115 for the duties of filing officers
and persons in agencies who make and retain copies of state—
ments and forward the originals to the filing officer.
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filing officer k— h respect to these stat�nts_ Such state—
ments shall be forwarded to the code reviewing body within
five days after the filing deadline or five days after receipt
in the case of statements filed late.
(B) All designated employees shall file statements
ofeconomic interests with the agency, which shall make and
retain a copy and forward the originals to 'the code reviewing
body, which shall be the filing officer.
'(C) All designated employees shall file statements
of economic interests with the code reviewing body.
(5) Section S. Statements of Economic Interests:
Time o Fi xng.
(A) Initial Statements. All designated employees
employed by the agency on the effective date of this Code, `
as originally adopted, promulgated and approved ?)y the c:oae
reviewing body, shall file statements within thirty days
after 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 _
thirty days after the effective date of the amendment..
(B) Assuming Office Statements-
(i)-
tatements_(i)- All persons assuming designated positions
after the effective date of this Code which are
civil service or merit system positions shall file
statements within thirty days after assuming the
designated' positions.
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• ( i) All other persons apt :n ted, promoted
or tr sferred to designated po-.Ltions -af ter the
effective date of the Code shall file statements
within ten days after assuming office, or if subject
to State Senate confirmation, ten days- after being
nominathd 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
thirty days after leaving office.
(6) Section 6. Contents of and Period Covered by Statements
iR Economic interests.
(A) Contents of Initial Statements. Initial
statements shall disclose any reportable investments, interests
in real property and business positions held on thi.� 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..
(C) Contents of Annual Statements_ Annual state-
ments 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
5
shall begin on .'-,�e effective date of the de 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) Investment and Real Property Disclosure_
When an investment or an interest in real property�/ is
required to be reported,-Y.the statement shall contain the
following:
(i) A statement of the nature of the invest ---
went or interest;
For the purpose of disclosure only (not dis—
qualification) , 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 $1,000 are not-
investments
otinvestments and interests in real property within the meaning
of the Political Reform Act. However, investments or interests
in real property of an individual include those held by the
individual's spouse and dependent children as well as a
pro rata share of any investment or interest in real property
of any business entity or trust in which the -individual,
spouse and dependent children own, in the aggregate, a direct,
indirect or beneficial interest of 10 percent or greater.-
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)�) The name of the bus ..;s entity in
which each investment is held, and a general description
of the business activity in which the business
entity is engaged;
(iii) The address or other precise location
of the real property;
(iv) A statement whether the fair market:
value of the investment or interest in real property
exceeds one thousand dollars ($'1,000)p exceeds ten
thousand dollars ($10,000), or exceeds one hundeeel
thousand dollars ($100,000).
(B) Personal Income Disclosure. When personal
income is required to be reported, -Y the statement shall
contain
. ( i) The name and address of each sotirpe of
income aggregating two hundred fifty dollars ($250)
or more in value, or twenty-five d011417f; ($2!-) aL
more in value if the income was a gift., and a
general description of the business activity, if
any, of each source. '
5� A designated employee's income includes his ox -
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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• (ii) A statement whether the aggregate value
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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);
( iii) A description of the consideration, if
any, for which the income was received;
(iv) In the case of a gift, the name, address
and business activity of the donor and any in—
termediary 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.
(v) In the case of a loan, the anneal interest
rate and the security, if any, c1 i.ven for the lean.
(C) Business Entity Incowc W sc-losurc-.. When.
income of a business entity, including income of a sole
proprietorship, is required to be reported, -6/ the statement
shall contain
(i} The name, address, and a general description
of the business activity of the business entity;
V 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.
g _
._rte.,. _., ..__.... _...... ..... ...... _ _
(ii) The naine of every ped --)n from whom the
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A. p
s entity receive aymen�.s i •e 1= A- s
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. Shen 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 ianage—
ment, 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 prope7-t.y was partially
or wholly acquired or disposed of: during the j->c:riocl covcrc•:ll
by the statement, the statement shall contain the dM -e of
acquisition or disposal.
(8) Section 8. Disqualification.
. No designated employee shall make, participate in
making, or use his or her official positions to influence
the making of any governmental decision which will foreseeably
have a material financial effect, distinguishable from its
effect on the public generally, on:
(A) Any business entity in which the clesignatetl
employee has a direct or indirect investment wort`. more than
one thousand dollars ($1,000);
(B)}� �► real property in which rhe designated
'�►.
employee has a direct or indirect interest worth more than
one thousand dollars ($1,000);
(C) Any source of income, 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 twelve months prior to the time
when the decision is made; or
(D) Any business entity in which the designated
employee is a director, officer, partner, trustee, employee,
or holds any position of management.
No designated employee shall be prevented from
making or participating in the making of any decision to the
extent his or her participation is legal.)y requirecZ for t:hr_
decision to be made. The fact that the vote of a designat.c!c1
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. J.
(9) Section 9. banner of Disqualification.
When a designated employee determines that he or
she should not make a governmental decision because he or
she has a financial interest in it, the determination not to
,act must be accompanied by disclosure of the financial interest_
In the case 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,
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this determinat)n and disclosure shall t'l-Itnade 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.
(10) Section 10. 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_
(11) Section 11. Violations.
This Code has the force and Affect 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 violzAtion
of the disqualification provisions of this Code or of Government.
Code Section 87.100 has occurred may be set aside as void
pursuant to Government Code Section 91003.
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