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HomeMy WebLinkAboutResolution 2000-036 RESOLUTION NO. 2000-036 RESOLUTION OF THE CITY COUNCIL OF THE CITY OF ATASCADERO, CALIFORNIA, ADOPTING AN AMENDED CONFLICT OF INTEREST CODE WHEREAS,the Political Reform Act requires every local government agency to review its Conflict of Interest Code biennially(in even-numbered years)to determine if its accurate and up-to- date,or, alternatively,that the Code must be amended; and NOW, THEREFORE BE IT RESOLVED, by the City Council of the City of Atascadero as follows: SECTION 1. Resolution No. 1998-055, adopted on December 8, 1998, is hereby rescinded. SECTION 2. That the attached Conflict of Interest Code be, and hereby is, adopted as the Conflict of Interest Code for the City of Atascadero. On motion by Council Member Clay and seconded by Council Member Luna, the foregoing Resolution is hereby adopted in its entirety on the following roll call vote: AYES: Council Members Arrambide, Clay, Luna, Scalise and Mayor Johnson NOES: None ABSENT: None ADOPTED: September 26, 2000 B4ayZhnso/, S ADERO ayor ATTEST: Marcia McClure Torgerson, City C rk APPROVED AS TO FORM: Ro anley, City orney CONFLICT OF INTEREST CODE OF THE CITY OF ATASCADERO SECTION 1. Purpose. Pursuant to the provisions of Government Code Sections 87300, et seq., the City of Atascadero (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 1 of the Government Code (Section 87100 et seq.). Except as otherwise indicated, the definitions contained in the Political Reform Act at Title 9, Chapter 2 of the Government Code (Section 82000 et seq.) regulations of the Fair Political Practices Commission (2 California Code Regulations section 18100 et seq.) and any amendments to the Act or regulations 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. This Code does not establish any disclosure obligation for those individuals specified in Government Code section 87200; such persons are covered by this Code only for disqualification purposes and all provisions of Section 6 herein relating to "designated employees" are applicable to such individuals. Consultants are required to be included as a designated employee. The Fair Political Practices Commission defines "consultant" as an individual who, pursuant to a contract with a state or local government agency: (a) Makes a governmental decision whether to: (1) Approve a rate,rule, or regulation; (2) Adopt or enforce a law; (3) Issue, deny, suspend, or revoke any permit, license, application, certificate,approval,order, or similar authorization or entitlement; (4) Authorize the agency to enter into, modify, or renew a contract provided it is the type of contract which requires agency approval; (5) Grant agency approval to a contract which requires agency approval and in which the agency is a party or to the specifications for such a contract; (6) Grant agency approval to a plan, design, report, study or similar item; City of Atascadero Conflict of Interest Code 2000 Page 2 (7) Adopt, or grant agency approval of, policies, standards, or guidelines for the agency,or for any subdivision thereof; or (b) Serves in a staff capacity with the agency and in that capacity performs the same or substantially all the same duties for the agency that would otherwise be performed by an individual holding a position specified in this Code. 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 is reportable under the category to which the employee's or official's position is assigned in Exhibit"B." SECTION 4. Place and Time Filing. (a) All designated employees or officials required to submit a statement of financial interests shall file the original with the City Clerk's office. Designated employees or officials who are required to file statements of financial interests under any other agency's conflict of interest code, or for a different jurisdiction, may expand their statement of financial interests 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. Each expanded statement must bear an original signature and be verified by the designated individual. (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 shall submit the statement within 30 days after the effective date of this Code, disclosing interests held including reportable 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 the designated employee assumed office, whichever is later, and income received during the preceding twelve(12)months. (f) Annual statements shall be filed by March 30th of each year by all designated employees or officials. 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) 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. City of Atascadero Conflict of Interest Code 2000 Page 3 (h) A designated employee who resigns his or her position within 30 days following initial appointment 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. SECTION 5. Contents of Disclosure Statements. Disclosure statements shall be made on forms supplied by the City Clerk's office and shall contain the following information: (a) Contents of Investments and Real Property Reports. 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 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 disclosure, "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. 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. (b) Contents of Personal Income Reports. 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 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 dot tars ($1,000) but not greater than ten thousand dollars ($10,000), or whether it was greater than ten thousand dollars ($10,000); City of Atascadero Conflict of Interest Code 2000 Page 4 1 "Income" is defined in Title 9, Chapter 2 of the Government Code (Section 820301. That definition is attached hereto as Exhibit"C." (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. 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. (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; (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 ten(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; (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) Travel Payments. When a payment for travel, including an advance or reimbursement, is required to be reported, it may be reported on a separate travel reimbursement schedule which shall be included in the designated employee's statement of economic interest. A designated employee who does not use the travel schedule shall disclose travel payments as a gift, or, where it is clear that the services provided to the designated employee were equal to or greater in value than the payments for the travel, as income. City of Atascadero Conflict of Interest Code 2000 Page 5 (f) Acquisition of 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 effect 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 fifty dollars ($250) or more in value provided to, received by, or promised to the designated employee within twelve(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 ten percent(10%) 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. If a person is legally required to participate, such individual shall: (1) disclose as a matter of public record the existence of the financial interest; (2) describe with particularity the nature of the financial interest before participating in making the decision; (3) state the reason there is no alternative source of decision-making authority; and (4) participate only as required by law where participation is legally required for the agency to act. The fact that the vote of a designated employee who is a member of a voting body is needed to break a tie does not make his or her participation legally required. A person is not legally required City of Atascadero Conflict of Interest Code 2000 Page 6 to participate if it would have been possible to convene a quorum made up of other members of the agency who are not disqualified under Government Code Sections 87100, whether or not such other members are actually present at the time of disqualification(California Code of Regulations Section 18701). 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 disqualifications. In the case of a voting body, this determination and disclosure of the disqualifying interest shall be made a part of the City's official record. SECTION 7. 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. SECTION 8. Violations. This Code has the force and effect of law. Designated employees violating any provision of this Code are subject to the administrative, criminal and civil sanctions provided in the Political Reform Act, Government Code Sections 81000-91014. In addition, a decision in relation to which a violation of the disqualification provisions of this Code or of Government Code Section 87100 or 87450 has occurred may be set aside as void pursuant to Government Code Section 91003. City of Atascadero Conflict of Interest Code 2000 Page 7 DESIGNATED 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:2 Disclosure Category: Assistant City Manager 1 City Clerk 1 Technology Director 1 Public Works Director/City Engineer 1 Consultants3 1 Community and Economic Development Director 1 Director of Community Services 1 Building Official/Fire Marshal 1 Planning Services Manager 1 Exempt Officials4 1 Administrative Services Director 1 Fire Chief 1 Police Chief 1 Members of all permanent City Commissions,Boards 1 and Committees not otherwise required to file Conflict of Interest Statements Fire Battalion Chief 2 Fire Captain 2 Police Lieutenant 2 Police Sergeant 2 Chief Waste Water Operator 2 Public Works Superintendent 2 Z In the event that State law or regulations regarding the filing of Conflict of Interest Statements should be amended, this Exhibit shall be changed to include the designated position and category of each official as required by said amendment. 3 Consultants shall be included in the list of designated employees and shall disclose pursuant to the broadest disclosure category in the code subject to the following limitations. The City Manager 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 this is not required to fully comply with the disclosure requirement described in this Section. Such written determination 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 by the City Clerk in the same manner and location as this Conflict of Interest Code. 4 Exempt Officials include the Mayor, Members of the City Council, City Treasurer, Members of the Planning Commission, City Manager, and City Attorney, who are all otherwise required to file disclosure statements pursuant to State Law. City of Atascadero Conflict of Interest Code 2000 Page 8 CATEGORIES OF REPORTABLE ECONOMIC INTERESTS Designated Persons in Category "I" 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. Designated Persons in Category "2" Must Report: (1) All investments in real property located within or subject to the jurisdiction of the City. (2) Investments in any business entity which within the last two years has contracted or in the future foreseeably may contract with the City. (3) Income from any source which within the last two years has contracted or in the future foreseeably may contract with the City. (4) 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. City of Atascadero Conflict of Interest Code 2000 Page 9 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 flier, 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 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" 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. (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 flier; or (b) The balance owed does not exceed ten thousand dollars ($10,000). City of Atascadero Conflict of Interest Code 2000 Page 10 (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 flier 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.