Loading...
HomeMy WebLinkAbout2001-02-27 - AGENDA REPORTS - CONFLICT OF INTEREST AMEND (2)CITY OF SANTA CLARITA AGENDA REPORT CONSENT CALENDAR City Manager Approval Avrfwl*,-� Item to be presented by:—Sharon Dawson V DATE: February 27, 2001 SUBJECT. AMENDMENT TO CITY'S CONFLICT OF INTEREST CODE DEPARTMENT: City Manager RECOMMENDED ACTION Adopt a resolution adopting an amendment to the City's Conflict of Interest Code. BACKGROUND The Political Reform Act requires every local government agency to review its conflict of interest code biennially or as needed to determine if it is accurate or if the code should be amended. Effective January 1, 2001, the Fair Political Practices Commission has made the following changes: increased the gift limit to $320 from a single source in a calendar year; and increased the minimum threshold for investment and interest in real property disclosure and disqualification to $2,000; and increased the minimum threshold for income disclosure and disqualification to $500. A resolution has been,prepared for Council adoption amending the code to reflect these changes. ALTERNATIVE ACTION No alternative action has been identified by staff. FISCAL IMPACT None by this action. ATTACHMENTS Resolution Conflict of Interest Code mnrpt\c Adopted: bl-11 Agenda Item: of CONFLICT OF INTEREST CODE OF THE CITY OF SANTA CLARITA SECTION 1. Purpose. Pursuant to the provisions of Government Code Sections 87300, eteeq., 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 et M.). Except as otherwise indicated, the definitions contained in Title 9, Chapter 2 of the Government Code (Section 82000 et egg.) and Regulations of the Fair Political Practices Commission (2 Cal. Code of Regs. Sec. 18100 at seg.) 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 Fili n. (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) A designated employee or official required to submit an initial statement of financial interests, (FPPC Form No. 700), shall submit the statement disclosing interests 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. cox -1- (c) All persons appointed, promoted or transferred to designated positions shall file initial statements not more than 30 days after assuming office. (c) 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. (e) 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. (t) 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. (g) 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. (h) 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: (1) File a written resignation with the appointing power. (2) File a written statement with the filing officer, signed under the penalty of perjury, stating that the individual, during the period between appointment and resignation, did not make, participate in the COI -2- making or use the position to influence any decision of the agency or receive, or become entitled to receive, any fora of payment by virtue of being appointed to the position. SECTION 5. Contents of Diadoafi+A+em ntA. Disclosure statements shall be made on forms supplied by the City Clerk's office (FppC Form No. 700) and shall contain the following information: (a) �2ntenta of InvPatment and R9a1 ,nn ' X R,00 a, � When 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; (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 -two thousand dollars ($2,000) 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), whether it exceeds one hundred thousand dollars ($100,000) but does not exceed one million dollars ($1,000,000), or whether it exceeds one million dollars ($1,000,000). 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. (b) Contents ofPeraonAl In ome Ra When personal income, 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 five hundred dollars ($500) 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; ' Income is defined in Title 9, Chapter 2 of the Government Code (Section 82030). That definition is attached hereto as Exhibit "C." cox -3- (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 five hundred dollars ($500) 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, whether it was greater than ten thousand dollars ($10,000) bit not greater than one hundred thousand dollars ($100,000), or whether it was greater than one hundred thousand dollars ($100,000). 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. (e) contents ofBuo' 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 equal to or greater threceipts from such person was an 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 persona who are clients or customers of a business entity is required only if it is of 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 coi -4- 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) fin- nta of Business Position Die�i„a ,, a required to be When business positions are reported, the designated employee shall list the name and address of each business entity in which he or she is it 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) 8ition nr Tl;a„o9a1 D ,ri investment or interest in real property was If any otherwise reportable partially or wholly acquired or disposed of ding the Period covered by the statement, the statement shall contain the date of acquisition or disposal. SECTION 6. prohibition on R e Tzonor 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 R c int of i a inx s n Designated employees shall not accept gifts with a total value of more than $320 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. Disau lification. Designated employees shall disqualify themselves from making, participating in the making of, Orin 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 two thousand dollars ($2,000) or more; (b) Any real Property in which the designated employee has a direct or indirect interest worth two thousand dollars ($2,000) 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 five hundred dollars ($500) or more in value provided cox -5- 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 three hundred twenty dollars ($320) 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. ykktigns. 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 91016 and include criminal and civil sanctions, as well as discipline within the City's Personnel System. cox —6— EXHIBIT "A" Desienataa Sart& larita Fmnlnvp .and Disc�4sure Cate�o es The following positions entail the making or participation in the making of decisions which ma l fore b 9 see a y have a material effect on financial interests: Designated Position Disclos u* Ca a ones Accountant Responsible for Investment -Related Activities Accounting Manager ................................... 1 ....... Assistant to the City Manager ...........................................................................1 .................................... Assistant Ci A .......................... 1 Assistant City Manager ............................................... ....................... .........1 .................... Assistant Ci Engineer City neer....................................................... """""""" " Assistant Engineer ................... Assistant Traffic Engineer .......................................................... ............................. """"" Associate Engineer ............................... .............1 .................................... Associate Planner ..................... ....................................................1 Associate Traffic Engineer ...................... . .......................................................1 Building Inspector ............... ...................1 Building Official ............................................................................1 Buyer.......:.......................................................................................................... ........................................1 . ............................. City Clerk ..................................... ...................... 2 ................................ .1 City Traffic Engineer............:. .......................... ..................................... .......................................................................................1 Code Enforcement Officer............ coi A-1 Consultant' Director of Administrative Services ................ Director of Field Services................................:. ..............................................: Director of Parks, Recreation & Community Services................................................................ l Director of Planning & Building Services....................................................... Director of Transportation & En 1 gineering Services/City Engineer .................................. Economic Development Assistant .........1 ....:.. Economic Development Associate ...............:: Environmental Field Specialist 1 ........................... Environmental Services Coordinator ............... 1 ................. ..................................................................1 Exempt Officials, .................................................. Facilities Maintenance Manager ....................................................... 0 .................................. Field Services Supervisor ............................... ...................................................................... GIS Coordinator ......................... ......... 2 Human Resources Manager ........................................:. 2 ................................................. Information Technology""' Manager.. ' ' 2 Interg6vernmental Relations Officer 2 ...........................:. Marketing and Economic Development 1 Man Pager............................................................. 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 the this1Section. Suchowrily ttendisclosurewith losure shall includemandescriptdescribed on 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, Manager, City Council, Members of the Planning Commission, City City Attorney, and City Treasurer are all required to file disclosure statements pursuant to state law herein. and thus are not included col A-2 Members of all City Commissions, Boards, and Committees not Otherwise Required to File Conflict of Interest Statements .............................. Mob'1 h P ............1 Mo) -';1.1' e ome ane, Member Park Development Administrator ....:........................................ ........... .1 ....................................... Parks and Recreation Commissioner ...................................................1 ....................................................................... Parks, Recreation and Community1 Services Superintendent .................................................... l Parks, Recreation and Community Services Supervisor Planning Manager........ """ Project Development Coordinator ................. ................... Public Information Officer ................. ..................:................................................................ Public Works Inspector ............................ ......... 2 Purchasing Agent............ Redevelopment Committee Member ..................................... Senior Building Engineer ........................... ...............................................................1 Senior Buildin g Inspector ............................ ............................................ ............................1 Senior Code Enforcement Officer ................................ 1 Senior Planner ............................................. ........................... Senior Public Works Inspector ....................... Senior Traffic Engineer .............. Street Supervisor ............... ................................. Supervising Engineer ....................... Transit Coordinator ................... . .......................... .......................................................................1 .......................................................................1 ............................................................... 2 .....................................................................1 - ....................................... Coordinator t Transportation Funding"" r............:...................................................: Transportation Ma ......... nager............... 1 .............: coi A-3 .... 2 EXH— IB— 1112-" Categories of Renortahl< F conomic Intarest Designated Persons in Cat emv "i 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. D-e-gignated Persona in Cate�n o "21 M„ t Ra ••+• (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 oersons in Ca+ „3!' u cr o 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. cor B-1 EXHEXH M= Income Defined (rn;*io o nLa 4-r 2 +OVernm Pnr r �e 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 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 cox C-1 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 (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. C01 C-2