HomeMy WebLinkAbout1994-06-28 - RESOLUTIONS - CONFLICT OF INTEREST AMEND (2)RESOLUTION NO. 94-85
A RESOLUTION OF THE CITY COUNCIL OF THE
CITY OF SANTA CLARITA, CALIFORNIA, ADOPTING AN
AMENDMENT TO THE CONFLICT OF INTEREST CODE
WHEREAS, the City Council of the City of Santa Clarita previously adopted a
Conflict of Interest Code to apply to certain officers and employees of the City; and
WHEREAS, the City Council of the City of Santa Clarita desires to amend the
Conflict of Interest Code to make it applicable to additional public officials, specifically:
1. Assistant Engineer
2. Associate Civil Engineer
3. Engineering Technician
4. Assoc. Traffic Engineer
5. Sr. Building Engineer
6. Supv. Permit Specialist
7. Senior Accountant
8. Information Resources Mgr
9. Transportation Manager
10. Associate Engineer
11. Inspectors
12. Sr. Public Works Inspector
13. Asst. Traffic Engineer
14. Building Inspectors
15. Sr. Building Inspector
16. Public Information Officer
17. CDBG Program Coordinator
NOW, THEREFORE, the City Council of the City of Santa Clarita does resolve as
follows:
SECTION 1. The attached Exhibit A to the Conflict of Interest Code is adopted
as amended to add the additional 17 positions and supersedes any previously adopted
Exhibit "A".
SECTION 2. The City Clerk shall certify the adoption of this Resolution.
PASSED, APPROVED AND ADOPTED this 28th day of June 1994.
YO
ATTEST:
ITY CLERK
I HEREBY CERTIFY that the foregoing Resolution was duly adopted by the City
Council of the City of Santa Clarita at a regular meeting thereof, held on the 29th day
of June , 1994, by the following vote of Council:
AYES: COUNCILMEMBERS: Smyth, Darcy, Heidt, Boyer, Pederson
NOES: COUNCILMEMBERS: none
ABSENT: COUNCILMEMBERS: none
4ITY CLERK
CONFLICT OF INTEREST CODE OF
THE CITY OF SANTA CLARITA
SECTION 1. Purpose. Pursuant to the provisions of
Government Code Sections 87300, it sea., the City of Santa
Clarita (hereinafter referred to as "City") hereby adopts the
following Conflict of Interest Code. The provisions of this Code
are in addition to those contained in Title 9, Chapter 7 of the
Government Code (Section 87100 !Lt sec.). Except as otherwise
indicated, the definitions contained in Title 9, Chapter 2 of the
Government Code (Section 82000 gt sec.) are incorporated herein
and apply to this Code. It is the purpose of this Code to
provide for the disclosure of assets and income of designated
employees which may be materially affected by their official
actions, and, in appropriate circumstances, to provide that
designated employees should be disqualified from acting in order
that conflicts of interest may be avoided.
SECTION 2. Designated Positions. The positions listed
in Exhibit "A" are designated positions. officers and employees
holding those positions are designated employees and are deemed
to make or participate in the making of decisions which may
foreseeably have a material effect on a financial interest.
SECTION 3. Disclosure Statements. Designated positions
shall be assigned to one or more of the disclosure categories set
forth in Exhibit 118." Each designated employee or official shall
LAX:95532.1 -1-
,._ file an annual statement disclosing that employee's or official's
interest in investments, business positions, interests in real
property and source of income designated as reportable under the
category to which the employee's or official's position is
assigned in Exhibit "B."
SECTION 4. Place and Time of Filina.
(a) All designated employees or officials required to
submit a statement of financial interests (FPPC Form No. 730)
shall file the original with the City Clerk's office.
(b) The City Clerk's office shall make and retain a copy of
the statement.
(c) A designated employee or official required to submit an
initial statement of financial interests, (FPPC Form No. 730),
shall submit the statement within 30 days after the effective
date of this Code, disclosing interests held including
investments, business positions, and interests in real property
on the effective date of this Code, and income received during
the twelve (12) months prior to the effective date of this Code.
(d) All persons appointed, promoted or transferred to
designated positions shall file initial statements not more than
30 days after assuming office.
(e) The first statement of financial interests filed by a
designated employee shall disclose the designated employee's
reportable investments, business positions, and interests in real
property as those investments, positions, and interests in real
property exist as of the effective date of this Code or the date
IAX:93332.1 -2-
.� the designated employee assumed office, whichever is later, and
income received during the preceding twelve (12) months.
(f) Annual statements shall be filed by April 1 of each
year by all designated employees. Such statements shall disclose
reportable investments, business positions, interests in real
property and income held or received at any time during the
previous calendar year or since the designated employee took
office if during the calendar year.
(g) A designated employee required to file a statement of
financial interest with any other agency which is within the same
territorial jurisdiction and whose disclosure requirements are
comparable may comply with the provisions of this Code by filing
a duplicate copy of the statement filed with the other agency, in
lieu of an entirely separate statement.
(h) Every designated employee who leaves office shall file,
within 30 days of leaving office, a statement disclosing
reportable investments, business positions, interests in real
property and income held or received at any time during the
period between the closing date of the last statement required to
be filed and the date of leaving office.
(i) A designated employee who resigns his or her position
within 12 months following initial appointment or within 30 days
of the date of a notice mailed by the filing officer of the
individuals filing obligation, whichever is earlier, is not
deemed to assume or leave office, provided that during the period
between appointment and resignation the individual does not make,
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_ participate in making or use the position to influence any
decision of the City or receive or become entitled to receive any
form of payment by virtue of being appointed to the position.
Within 30 days of the date of a notice mailed by the filing
officer, the individual shall do both of the following:
(1) File a written resignation with the appointing
power.
(2) File a written statement with the filing officer
on a form prescribed by the commission and signed
under the penalty of perjury stating that the
individual, during the period between appointment
and resignation, 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.
SECTION 5. Contents of Disclosure Statements.
Disclosure statements shall be made on forms supplied by the City
Clerk's office (FPPC Form No. 730) and shall contain the
following information:
CO • i i ii
494AMTT1=4WriLati
an investment or an interest in real property is required to be
disclosed, the statement shall contain:
(1) A statement of the nature of the investment or
interest;
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(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;
property;
(3) The address or other precise location of the real
(4) A statement whether the fair market value of the
investment or interest in real property equals or exceeds one
thousand dollars ($1,000) but does not exceed ten thousand
dollars ($10,000), whether it exceeds ten thousand dollars
($10,000) but does not exceed one hundred thousand dollars
($100,000), or whether it exceeds one hundred thousand dollars
($100,000). For purposes of this Code, "interest in real
property" does not include the principal residence of the
designated employee or any other property which the designated
employee utilizes exclusively as the employee's personal
residence.
(5) For purposes of this subdivision (a) of Section 5,
"interest in real property" does not include the principal
residence of the filer or any other property which utilizes
exclusively as the personal residence of the filer.
(b) Contents of Personal Income Reports: When personal
incomes' is required to be disclosed under this Code or pursuant
to the Political Reform Act, the statement shall contain:
Income is defined in Title 9, Chapter 2 of the Government
Code (Section 82030). That definition is attached hereto as
Exhibit "C."
wc:95532.1 -5-
(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 at least two hundred fifty dollars
($250) but did not exceed one thousand dollars ($1,000), whether
it was in excess of one thousand dollars ($1,000) but not greater
than ten thousand ($10,000) dollars, or whether it was 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
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) Contents of Business Entity Reports. When the
designated employee's pro rata share of income to a business
entity, including income to a sole proprietorship, is required to•
be reported, the statement shall contain:
(1) The name, address, and a general description of
.— the business activity of the business entity;
WC:95532.1 -6-
(2) The name of every person from whom the business
entity received payments if the designated employee's pro rata
share of gross receipts from such person was equal to or greater
than ten thousand dollars ($10,000) during a calendar year;
(3) Income of a business entity is required to be
reported only if the direct, indirect or beneficial interest of
the designated employee and his or her spouse in the business
entity aggregates a 10 percent or greater interest. In addition,
for purposes of subparagraphs 2 and 3 of this subsection, the
disclosure of persons who are clients or customers of a business
entity is required only if it is reasonably foreseeable that the
client or customer may be materially affected by the decisions of
the designated employee.
(4) When a payment, including an advance or
reimbursement, for travel is required to be reported pursuant to
(b) and (c) of this Section 5, it may be reported on a separate
travel reimbursement schedule which shall be included in the
filer's statement of economic interest. A filer who chooses not
to use the travel schedule shall disclose payments for travel as
a gift, unless it is clear from all surrounding circumstances
that the services provided were equal to or greater in value than
the payments for the travel, in which case the travel may be
reported as income.
(d) Contents of Business position Digs osure. When
business positions are required to be reported, the designated
employee shall list the name and address of each business entity
X:93332.1 -7-
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 entity in which the business is
engaged, and the designated employees position with the business
entity.
(e) Acquisition or Disposal During a Calendar Year. If any
otherwise reportable investment or 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.
SECTION 6. Disqualification. Designated employees shall
disqualify themselves from making, participating in the making
of, or in any way using their official position to influence a
governmental decision when it is reasonably foreseeable that the
decision will have a material financial affect distinguishable
from its effect on the public generally, on the designated
employee, 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
i.AX:93333.1 -8-
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, 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 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.
For purposes of this section, indirect investment or
interest means any investment or interest owned by the spouse or
dependent child of a designated employee, by an agent on behalf
of a designated employee, or by a business entity or trust in
which the designated employee, the designated employeefs agents,
spouse, and dependent children own directly, indirectly, or
beneficially a 10 percent interest or greater.
No designated employee shall be required to disqualify
himself or herself with respect to any matter which could not
legally be acted upon or decided without his or her
participation.
A designated employee required to disqualify himself or
herself shall notify the City Manager and the City Clerk in
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writing, and the City Clerk shall record the person's
disqualification.
SECTION 7. violations. Pursuant to Government Code
Section 87300, this Code "shall have the force of law" and any
violation of any provision of this Code shall be punishable in
accordance with Government Code Sections 91000 to 91015 and
include criminal and civil sanctions, as well as discipline
within the City's Personnel System.
ux:95532.1 -10-
SECTION 8. EXHIBIT "A".
Designated Santa Clarita Employees
and Disclosure Categories
The following positions entail the making or participation
in the making of decisions which may foreseeably have a material
effect on financial interests:
Designated Position Disclosure
Categories
Accounting Manager . . . . . . . . . . . . .
. . . . . . . . . 1
Administrative Assistant to the City Manager
. . . . . . . . . 1
Assistant City Attorney . . . . . . . . . . .
. . . . . . . . . 1
Assistant City Manager . . . . . . . . . . .
. . . . . . . . . 1
Assistant Engineer . . . . . . . . . . . . .
. . . . . . . . . 1
Assistant Traffic Engineer . . . . . . . . .
. . . . . . . . . 1
Associate Engineer . . . . . . . . . . . . .
. . . . . . . . . 1
Associate Civic Engineer . . . . . . . . . .
. . . . . . . . . 1
Associate Planner . . . . . . . . . . . . . .
. . . . . . . . . 1
Associate Traffic Engineer . . . . . . . . .
. . . . . . . . . 1
Building Inspector . . . . . . . . . . . . .
. . . . . . . . . 1
CDBGCoordinator . . . . . . . . . . . . . .
. . . . . . . . . 1
City Clerk . . . . . . . . . . . . . . . . .
. . . . . . . . . 1
CityEngineer . . . . . . . . . . . . . . . .
. . . . . . . . . 1
Consultants . . . . . . . . . . . . . . . . .
. . . . . . . . . 1
s Consultants shall be included in the list
of designated
employees and shall disclose all of the
information required
to be disclosed by designated employees
subject to the
following limitation:
(continued...)
LAX93532.1 A-1
Deputy City Attorney . . . . . . . . . . . . . . . . . . . . . 1
Director of Community Development . . . . . . . . . . . . . . . 1
Director of Finance and General Services . . . . . . . . . . . 1
Director of Parks and Recreation . . . . . . . . . . . . . . . 1
Director of Public Works
. . . . . . . . 1
Engineering Technician . . . . . . . . . . . . . . . . . . . . 1
Exempt Officialsy . . . . . . . . . . . . . . . . . . . . . . . 1
General Services Manager . . . . . . . . . . . . . . . . . . . 1
Inspector . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Information Resources Manager . . . . . . . . . . . . . . . . . 1
Members of all City Commissions, Boards, and Committees not
Otherwise Required to File Conflict of Interest Statements . 1
Parks Superintendent . . . . . . . . . . . . . . . . . . . . . 1
Personnel Manager . . . . . . . . . . . . . . . . . . . . . . . 1
Public Information Officer . . . . . . . . . . . . . . . . . . 1
Principal Planner . . . . . . . . . . . . . . . . . . . . . . . 1
V( ... continued)
The City Manager or his or her designee 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 requirement described in this Section.
Such written disclosure 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.
The Mayor, City Council, Members of the Planning Commission,
City Manager, City Attorney, City Treasurer, and Director of
Administrative Services are all required to file disclosure
statements pursuant to state law and thus are not included
herein.
LUC:95532.1 A-2
Recreation Supervisor . . . . . . . . . . . . . . . . . . . . . 1
Senior Accountant . . . . . . . . . . . . . . . . . . . . . . . 1
Senior Building Engineer . . . . . . . . . . . . . . . . . . . 1
Senior Building Inspector . . . . . . . . . . . . . . . . . . . 1
Senior Public Works Inspector . . . . . . . . . . . . . . . . . 1
supervising Permit Specialist . . . . . . . . . . . . . . . . . 1
Transportation Manager . . . . . . . . . . . . . . . . . . . . 1
IAX:95532.1 A-3
SECTION 9. EXHIBIT "B".
Categories of Reportable Economic Interests
Designated Persons in Category "1" Must Report:
All investments, interests in real property, income and any
business entity in which the person is a director, officer,
partner, trustee, employee, or holds any position of management.
These financial interests are reportable only if located within
and subject to the jurisdiction of the City, or if the business
entity is doing business or planning to do business in an area
subject to the jurisdiction of the City, or has done business
within an area subject to the jurisdiction of the City at any
time during the two years prior to the filing of the statement.
ys1�x
(a) All investments in real property located within or
subject to the jurisdiction of the City.
(b) Investments in any business entity which within the
last two years has contracted or in the future foreseeably may
contract with the City.
(c) Income from any source which within the last two years
has contracted or in the future foreseeably may contract with the
City.
(d) His or her status as a director, officer, partner,
trustee, employee, or holder of a position of management in any
I.AX:93532.1 A-4
business entity which within the last two years has contracted or
in the future foreseeably may contract with the City.
Designated persons in Category 113" must report:
(a) Investments and.business positions in, and income from
business entities located in, doing business in, or planning to
do business in the redevelopment project area and all interests
in real property located within two miles of the redevelopment
project area.
LOM.'95532.1 A-5
EXHIBIT "C"
82030. Income.
(a) "Income" means, except as provided in subdivision (b),
a payment received, including but not limited to any salary,
wage, advance, dividend, interest, rent, proceeds from any sale,
gift, including any gift of food or beverage, loan, forgiveness
or payment of indebtedness received by the filer, reimbursement
for expenses, per diem, or contribution to an insurance or
pension program paid by any person other than an employer, and
including any community property interest in the income of a
spouse. Income also includes an outstanding loan. Income of an
individual also includes a pro rata share of any income of any
business entity or trust in which the individual or spouse owns,
directly, indirectly or beneficially, a 10 percent interest or
greater. "Income," other than a gift, does not include income
received from any source outside the jurisdiction and not doing
business within the jurisdiction, not planning to do business
within the jurisdiction, or not having done business within the
jurisdiction during the two years prior to the time any statement
or other action is required under this title.
(b) "Income" also does not include:
(1) Campaign contributions required to be reported
under Chapter 4 (commencing with Section 84100.)
(2) Salary and reimbursement for expenses or per diem
received from a state, local, or federal government agency and
LAM95532.1 C-1
reimbursement for travel expenses and per diem received from a
bona fide educational, academic, or charitable organization.
(3) Any devise or inheritance.
(4) Interest, dividends, or premiums on a time or
demand deposit in a financial institution, shares in a credit
union or any insurance policy, payments received under any
insurance policy, or any bond or other debt instrument issued by
any government or government agency.
(5) Dividends, interest, or any other return on a
security which is registered with the Securities and Exchange
Commission of the United States Government or a commodity future
registered with the Commodity Futures Trading Commission of the
United States Government, except proceeds from the sale of these
securities and commodities futures.
(6) Redemption of a mutual fund.
(7) Alimony or child support payments.
(8) Any loan or loans from a commercial lending
institution which are made in the lender's regular course of
business on terms available to members of the public without
regard to official status if:
(A) Used to purchase, refinance the purchase of,
or for improvements to, the principal residence of filer; or
(B) The balance owed does not exceed ten thousand
dollars ($10,000).
(9) Any loan from an individual's spouse, child,
parent, grandparent, grandchild, brother, sister, parent -in-law,
ux:95532.1 C-2
brother-in-law, sister-in-law, nephew, niece, uncle, aunt, or
first cousin, or the spouse of any such person, provided that a
loan from any such person shall be considered income if the
lender is acting as an agent or intermediary for any person not
covered by this paragraph.
(10) Any indebtedness created as part of a retail
installment or credit card transaction if made in the lender's
regular course of business on terms available to members of the
public without regard to official status, so long as the balance
owed to the creditor does not exceed ten thousand dollars
($10,000).
(11) Payments received under a defined benefit pension
plan qualified under internal Revenue Code Section 401(a).
(12) Proceeds from the sale of securities registered
with the Securities and Exchange Commission of the United States
Government or from the sale of commodities futures registered
with the Commodity Futures Trading Commission of the United
States Government if the filer sells the securities or the
commodities futures on a stock or commodities exchange and does
not know or have reason to know the identity of the purchaser.
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