HomeMy WebLinkAbout1997-10-28 - RESOLUTIONS - CONFLICT OF INTEREST AMEND (2)RESOLUTION NO. 97-116
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA CLARTTA, CALIFORNIA, ADOPTING AN AMENDMENT
TO THE CONFLICT OF INTEREST CODE
WHEREAS, the City Council of the City of Santa Clarita originally adopted a Conflict of
Interest Code on December 15, 1987 by Resolution 87-13;
WHEREAS, the City Council of the City of Santa Clarita adopted an amended Conflict of
Interest Code by Resolutions 88-57, 89-19, 90-176, 90-187, 92-133, 94-85 and 96-117;
WHEREAS, the City Council of the City of Santa Clarita desires to amend the Conflict of
Interest Code to reflect changes in the list of designated employees.
NOW, THEREFORE, the City Council of the City of Santa Clarita does hereby resolve as
follows:
ACTION 1. That the list of designated employees included as Exhibit A to the attached
Conflict of Interest Code be amended to reflect changes in position titles and to include those
designated positions which may forseeably have a material effect on financial interests;
5EC'Q2„ That the attached Conflict of Interest Code and Exhibits A, B, and C supersede
any previously Conflict of Interest Code and Exhibits;
SECTION 3. The City Clerk shall certify to the adoption of this Resolution.
PASSED, APPROVED AND ADOPTED this 28th day of —, 1997.
ATTEST:
CITY CLERK
STATE OF CALIFORNIA
COUNTY OF LOS ANGELES
CTTY OF SANTA CLARITA
ss
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 28th day of October , 1997,
by the following vote of Council:
AYES: COUNCILMEMBERS: Darcy, Heidt, Smyth
NOES: COUNCH24EMBERS: None
ABSENT: COUNCILMEMEERS: Boyer, Klajic
a '
CITY CLERK
CONFLICT OF INTEREST CODE OF
THE CITY OF SANTA CLARITA
SECTION 1. Purpose. Pursuant to the provisions of Government Code Sections
87300, g& @gQ., 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 gj =Q.). Except as
otherwise indicated, the definitions contained in Title 9, Chapter 2 of the Government Code
(Section 82000 gI M.) and Regulations of the Fair Political Practices Commission (2 Cal.
Code of Regs. Sec. 18100 et seQ. and amendments thereto, 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 "B." Each designated employee or
official shall 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 Filing.
(a) All designated employees or officials required to submit a statement of
financial interests (FPPC Form No. 700) 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. 700), shall submit the statement disclosing interests
C01. 97 -1-
held including investments, business positions, and interests in real property on the
effective date of the statement, and income received during the twelve (12) months prior to
the date of the statement.
(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 the statement or the date 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 individual's 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, 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:
Cox. 97 -2-
(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 Sta em n s. Disclosure statements shall be
made on forms supplied by the City Clerk's office (FPPC Form No. 700) and shall contain
the following information:
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;
(2) The name of the business entity in which each investment is held and
a general description of the business activity in which the business entity is engaged;
(3) The address or other precise location of the real property;
(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
the filer utilizes exclusively as the personal residence of the filer.
COI. 97 -3-
W 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:
(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).
received;
(3) A description of the consideration, if any, for which the income was
(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 EntityRepo A, 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;
(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
1i Income is defined in Title 9, Chapter 2 of the Government Code
(Section 82030). That definition is attached hereto as Exhibit
"C.1.
COI. 97 -4-
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 maybe 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 Disclosure. When business positions are
required to be reported, the 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 entity in
which the business is engaged, and the designated employee's position with the business
entity.
(e) AcQuisition or Disposal During ReRorting Period. 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. Prohibition on Receipt of Honoraria. Designated employees shall not
accept any honorarium from any source, if the employee would be required to report the
receipt of income or gifts from that source on his or her statement of economic interests.
SECTION 7. Prohibition on Receipt of Gifts in Excess of $290 Designated
employees shall not 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.
SECTION 8. 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
cox. v7 -5-
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 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 ninety dollars ($290) 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 employee's 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 writing, and the City Clerk shall record the person's
disqualification.
SECTION 9. 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
COI. 97 - 6 -
.� 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.
COI. 97 -7-
p►;1 llayIIfI:W
The following positions entail the making or participation in the making of decisions
which may foreseeably have a material effect on financial interests:
Accounting Manager.........................................................
1
Assistant to the City Manager ..................................................
1
Assistant City Attorney.......................................................
1
Assistant City Manager.......................................................
1
Assistant City Engineer.......................................................
1
Associate Engineer...........................................................
1
Associate Planner............................................................
1
Associate Traffic Engineer .....................................................
1
Building Inspector...........................................................
1
BuildingOfficial.............................................................
1
Buyer......................................................................
2
CityClerk..................................................................
1
City Traffic Engineer.........................................................
1
Code Enforcement Officer .....................................................
1
Community Services Superintendent ............................................
2
Consultanty.................................................................
1
ai Consultants shall be included in the list of designated employees
and shall disclose all information required to be disclosed by
designated employees subject to the following limitation:
The City Manager or 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.
cox . 9 7 A-1
Director of Administrative Services .. ...........................................
Director of Field Services
Director of Parks, Recreation & Community Services ............................... 1
Director of Planning & Building Services ......................................... I
Director of Transportation & Engineering Services/City Engineer .................... 1
Economic Development Associate ...............................................
1
Environmental Services Coordinator
1
Exempt Officialsl ............................................................
0
Field Services Supervisor ......................................................
2
Human Resources Manager ....................................................
2
Intergovernmental Relations Officer ............................................
1
Marketing and Economic Development Manager ..................................
1
Members of all City Commissions, Boards, and Committees not
Otherwise Required to File Conflict of Interest Statements .........................
1
Mobilehome Panel Member
1
Park Development Administrator ...............................................
1
Park Development Coordinator .................................................
1
Parks and Recreation Commissioner
1
Parks, Recreation & Community Services Manager ................................
1
Parks, Recreation & Community Services Supervisor ..............................
2
Planning Manager ...........................................................
1
Public Information Officer
2
Public Works Inspector .......................................................
1
Purchasing Agent ............................................................
2
Redevelopment Committee Member .............................................
3
Senior Building Engineer .....................................................
1
Senior Building Inspector .....................................................
1
Senior Code Enforcement Officer .......
1
The Mayor, City Council, Members of the Planning Commission, City
Manager, City Attorney, and City Treasurer are all required to
file disclosure statements pursuant to state law and thus are not
included herein.
C01. 97 A-2
SeniorPlanner.............................................................. 1
Senior Public Works Inspector ................................................. 1
Street Supervisor............................................................ 2
Supervising Engineer......................................................... 1
Technology Services Manager ................................................... 2
Transportation Manager ...................................................... 2
COI. 97 A-3
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.
�-- v�:.: • -••- • ••r a :: ••r
(a) Investments in any business entity which within the last two years has
contracted or in the future foreseeably may contract with the City.
(b) Income from any source which within the last two years has contracted or in
the future foreseeably may contract with the City.
(c) His or her status as a director, officer, 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.
Designated persons in Category "R" must r pgrt:
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.
COI. 97 B-1
Is/:40i1-)VW
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
J urisdiction, 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 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.
COI. 97 C-1
(6) Redemption of a mutual fund.
(7) Alimony or child support payments.
(S) 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
($10,000).
(B) The balance owed does not exceed ten thousand dollars
(9) Any loan from an individual's spouse, child, parent, grandparent,
grandchild, brother, sister, parent -in-law, 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.
COI. 97 C-2