HomeMy WebLinkAboutResolutions - No. 81-150RESOLUTION 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separate Conflict of Interest Codes are hereby rescinded.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
-1-
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. Pursuant 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
.k4 C *2. 40xellc—
ALICEE M. REIMCHE
City Clerk
81-150
-2-
EXHIBIT "A"
DESIGNATED POSITIONS
OR
DESIGNATED EMPLOYEES
Designated Positions or Designated Employees Disclosure Cateqor
Director of Public Works
1,
2,
&
3
Assistant City Engineer
1,
2,
&
3
City Attorney
1,
2,
&
3
Assistant City Attorney
1,
2,
&
3
City Clerk
2
Finance Director
2
& 3
Assistant Finance Director
2
& 3
Police Chief
2
Fire Chief
2
Assistant City Manager
1,
2,
&
3
Community Development Director
1,
2,
&
3
Assistant Planner
1,
2,
&
3
Chief Building Inspector
1,
2,
&
3
Building Inspector
1,
2,
&
3
Utility Director
1,
2,
&
3
Assistant Utility Director
1,
2,
&
3
Director of Parks and Recreation
1,
2,
&
3
Members of the Lodi City Planning Commission
1,
2,
&
3
Members of the Recreation Commission
1,
2,
&
3
Members of the Site Plan and Architectural
Review Committee
1,
2,
&
3
XHIBIT "B1°
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.
Designated employees.in Group "1" must report:
(a) Interests in real property, other than your rzsidence,
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
her spouse owns, directly, indirectly, or beneficially, a ten
per cent interest or greater. )
(b) Investments in or income fxom persons or business c pi-
ties engaged in the business of acquisition or disposal of real
property within the City.
Designated employees in Group "2" 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-
-I-
(c) His her status as a director, off. :r, sole, ovrner,
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 112" 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 $ I, 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 Dodi.
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 the
City of Lodi, or foreseeably may be regulated by the City
of Lodi in the next calendar year.
(c) His or her 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.
-2-
t•1•itie L. U1V1S1, b oz cele l,ailLornla ACMIk .strative Cone)
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 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 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
freportable 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 arc- Sri e..cll o itiors
to other requirements of the Political Reform Act, such ?.s
the general prohibition against conflicts of interest 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
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
- 1 -
t
Commission (2 Cal. Adm. Code Sections 18lu0 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 obli-
gation 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 juris-
diction of • this agency is the same as or is wholly included
within the jurisdiction in which those persons loxist report
their financial interests pursuant to I.$):t5rle 2 o£ Chapter.
of the Political Reform Act, Government Code Sections 87200,
et se .Y Such persons are covered by this Code for dis-
qualification purposes only. With respect.to'all other
designated • employees, the disclosure categories set forth in
Y Designated employees who pre required to Me -
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..
- 2 -
the Appendix sr; ify which kinds of finar- mal 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 employed' -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 desig-
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 employ ces file-
of
ilaof economic interests with the agency. Upon x ecciF t. _ cvt 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 make and
.retain a_copy of each and forward the originals of these
statements to the code reviewing body, which shall be the
?/ 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.
- 3 --
f � '
filing officer ith respect to these sta vents- 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
of *economic 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 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 i)y thecode
reviewing body, shall file -statements within thirty ways
after the effective date of this Code. Thereafter" each
person already 'in a position when it is designateel by an
amendment to- this Code shall file an initial statement withi.rt
thirty days after the effective date of the amendment.
(B) Assuming Office Statements.
(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.
- 4 -
f i) All other persons ap-- tented, promoted
or transferred to designated po,,itions-after 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
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
thirty days after leaving.office.
(6) Section 6. Contents of and Period Covered bX Statements
of Economic Interests.
(A) Contents of Initial Statements. lni tial
statements shall disclose -any reportable investments.,. interests
in real property and business positions held on 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_
(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
shall begin on ..e effective date of the lode 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—Y is.
required to be reported,Y. the statement shall contain the
following:
(i} A statement of -the nature of the invest—
ment or'interest; -
3/ For the purpose of disclosure only (not dis-
qualification), an interest in real property does not include
the principal residence of the filer. -
`/ 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..
- .6 -
�) The name of the busi (.is 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), 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,-�I the statement shall
contain:
(i) The name and address of each sourcc! Of
income aggregating two hundred fifty do)-.lam;rs ($150)
or more in value, or twenty --five dollars ($25) or
more in value if the income was a gift, anti a
general description of the business activity, if
any, of each source.
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.
�M
e
• (ii) 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);
(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 annual interest.
rate and the security, if any, given for the loan.
(C) Business Entity Income Disc-laseirC,_ When.
income of a business entity, including income: of a sole
proprietorship, is required to be reported,Y the statemen t
shall contain:
(i) The name, address, and a general description.
of the business activity of the business entity;
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 la
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.
busi 3s entity received payme: 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. Whe'n 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 manage-
ment,
anagement, 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 ^f during the 3,>c:ri.cjd c:o erc-d
by the statement, the statement shall contain the Clate 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 designated
employee has a direct or indirect investment worth more than
one thousand dollars ($1,000);
- 9 -
(B) (.qty real property in whic't the 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 ($2so)
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, partners 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 legally r. e guirecz for the
decision to be made. The fact that the vote of a desiyn at -ed
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) Section 9. Manner 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 agencyr
- 10 -
this determina0,_-n and disclosure shall 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.
(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 effect of lzzw_- Designated
employees violating any provision of this Code are subject
to the administrative, criminal and civil sanction_ 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 Govern;neiit
Code Section 8710.0 has occurred may be set aside as voi2
pursuant to Government Code Section 91003.
- 11 --