HomeMy WebLinkAbout6796RESOLUTION NO. 6796
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF REDLANDS AMENDING
THE CONFLICT OF INTEREST CODE PURSUANT TO THE POLITICAL REFORM
ACT OF 1974 BY RESCINDING RESOLUTION NO 6496 IN ITS ENTIRETY AND
REPLACING IT WITH RESOLUTION NO 6796
WHEREAS, the Legislature ot the State ot California enacted the Political Reform Act of
1974. Government Code section 81000 et seq (the "Act"), which contains provisions relating to
conflicts of interest which potentially affect all officers, employees and consultants of the City of
Redlands (the "City'), and requires all public agencies to adopt and promulgate a Conflict of
Interest Code, and
WHEREAS, the City adopted a Conflict of Interest Code pursuant to the Political Reform
Act of 1974 by Resolution No 3290 on October 5, 1976, and
WHEREAS, the City has amended its Conflict of Interest Code periodically as mandated
by law and as necessary, and
WHEREAS, the City last amended its Conflict of Interest Code by Resolution No 6496
on April 18, 2006, and
WHEREAS, the City wishes to update its Conflict of Interest Code and to add to the list
of designated employees to make those positions subject to the Conflict of Interest Code, and
make other minor changes to the Conflict ot Interest Code,
NOW, THEREFORE, be it resolved by the City Council of the City of Redlands that the
Conflict of Interest Code as set forth in Resolution No 6496 is hereby rescinded in its entirety
and replaced with the Conflict ot Interest Code, attached as Exhibit "1," which is hereby
adopted
ADOPTED, SIGNED AND APPROVED this 2nd day of Decembei, 2008
ATTES1
)5(Yo1 ot the City of Redlands
I, Lome Poyzer, City Clerk ot the City of Redlands, California, do hereby certify that the
foregoing Resolution No 6796 was duly adopted by the City Council at a regular meeting
thereof held on the 2nd day ot December, by the following rote
AYES Councilmembers Gilbreath, Gallagher. Aguilar, Bean, Mayor Hamson
NOES None
ABSENT None
ABSTAIN None
Lorne Poyzer,
City of Redlan
o
EXHIBIT "1"
CITY OF REDLANDS
CONFLICT OF INTEREST CODE
Adopted: October 5, 1976
Amended: July 15, 2003
Amended: December 7 2004
Amended: April 18, 2006
Amended. December 2, 2008
TABLE OF CONTENTS
A. Purpose/Incorporation by Reference
1 Statement of Purpose. .2
2. Incorporation by Reference .2
B. Definition of Terms. .2
C. Disclosure Statements
1 Designated Employees .3
2. Disclosure Requirements. .3
3 Statements of Economic Interests: Time of Filing Statements;
Contents Thereof .3
4. Statement for Persons Who Resign 30 Days After Appointment 4
5. Place of Filing Statements. 4
6. Forms for Statements 4
D Manner of Reporting. 4
E Disqualification. 4
F Opinions of the Commission and Counsel
1 Request for Opinion and Reliance 4
2. Evidence of Good Faith. 4
G. Legislative or Judicial Amendments. .5
H. Force and Effect of Code .5
Exhibit A Designated Positions
Exhibit 'B' Disclosure Categories
.6
.8
ADDENDUM
Reference Definitions .9
1
CONFLICT OF INTEREST CODE
OF THE
CITY OF REDLANDS
A. Purpose/Incorporation by Reference.
1 Statement of Purpose. It is the purpose of this Code to provide for the disclosure of
designated employee assets and income 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. Nothing contained
herein is intended to modify or abridge the provisions of the Political Reform Act of 1974
(Government Code section 81000 et seq.).
2. Incorporation by Reference. The Political Reform Act (Government Code section
81000 et seq.) requires state and local government agencies to adopt and promulgate conflict of
interest codes. The Fair Political Practices Commission has adopted a regulation (2 Cal. Code of
Regs. section 18730) which contains the terms of a standard conflict of interest code, and which
can be incorporated by reference in an agency's code. After public notice and hearing, it may be
amended by the Fair Political Practices Commission to conform to amendments in the Political
Reform Act. Therefore, the terms of 2 California Code of Regulations section 18730 and any
amendments to it duly adopted by the Fair Political Practices Commission are hereby
incorporated by reference. This regulation, and the attached Appendix designating officials and
employees and establishing disclosure categories, shall constitute the conflict of interest code of
the City of Redlands ("City").
Designated employees shall file their statements with the City which will make the
statements available for public inspection and reproduction. (Government Code § 81008).
Statements for designated employees will be retained by the City
B. Definition of Terms. This Code contains a number of key terms, such as 'designated
employee," 'interests in real property within the jurisdiction," "investments in business entities,"
"income," and decisions 'made" or "participated in" by a designated employee, which are
defined in the Political Reform Act of 1974 and the regulations of the Fair Political Practices
Commission (2 Cal. Code of Regs. section 18110 et seq.). These definitions and regulations, and
any amendments to the Act or regulations, are incorporated by reference into this Code.
Summaries of certain definitions are contained in the attached Addendum which is provided for
convenience of reference only and is not a part of this Code. The definitions of key terms
contained in the Act or the regulations are amended and changed from time to time. The
summaries of definitions contained in the Addendum will be updated accordingly on a periodic
basis.
2
C. Disclosure Statements.
1 Designated Employees. The persons holding positions listed in Exhibit "A" of the
Appendix of this Code are "designated employees." It has been determined that these officers
and employees make or participate in the making of decisions which may foreseeably have a
material effect on financial interests.
2. Disclosure Requirements. Each designated employee shall file annual statements
disclosing interests in real property within the jurisdiction, investments in business entities,
business positions held or received during the previous calendar year, and income or sources of
income which might foreseeably be affected materially by the operations of the City The City
has determined that it is foreseeable that the types of investments, interests in real property
business positions held or received during the previous calendar year, and income, and sources of
income listed in Exhibit "B" of the Appendix may be affected materially by decisions made or
participated in by the designated employee by virtue of his or her position and are reportable if
held by the designated employee.
3. Statements of Economic Interests: Time of Filing Statements; Contents Thereof.
(a) Initial Statements. All designated employees employed on the effective date of
this Code, as originally adopted, promulgated and approved by the City Council, shall file
statements within 30 days after the effective date of this Code. Thereafter, each person already
in a position when it is designated by an amendment to this Code shall file an initial statement
within 30 days after the effective date of the amendment. Initial statements shall disclose any
reportable investments, interests in real property income and business positions held or received
during the 12 months prior to the effective date of this Code.
(b) Assuming Office Statements. All new designated employees who are appointed,
promoted or transferred to a designated position after the effective date of this Code shall file
statements within 30 days after assuming the designated position, disclosing any reportable
income, investments, interests in real property and business positions held or received during the
12 months prior to the date of assuming office.
(c) Annual Statements. Annual statements shall be filed by all designated employees
on or before April 1 of each year, disclosing any reportable investments, interests in real
property income and business positions held or received in the period since the closing date of
the employee's previously filed statement and December 31
(d) Leaving Office Statements. Every designated employee who leaves office and
does not assume another designated position for the City shall file a statement within 30 days
after leaving office disclosing any reportable investments, interests in real property income and
business positions held or received during the period since the last previous statement was filed.
(e) Candidates' Statements. Candidates for election to City positions shall file a
statement no later than the final date for filing Declarations of Candidacy disclosing reportable
investments and interests in real property held on the final date for filing Declarations of
3
Candidacy This subsection shall not apply to candidates who filed statements with the City
within the previous 12 months under subsections (a), (b) or (c) of this Section.
4 Statement for Persons Who Resign 30 Days After Appointment. Persons who resign
within 30 days of initial appointment are not deemed to have assumed office or lefl office
provided they did not make or participate in the making of, or use their position to influence any
decision and did not receive or become entitled to receive any form of payment as a result of
their appointment. Such persons shall not file either an assuming or leaving office statement.
5 Place of Filing Statements. All designated employees required to submit a statement of
economic interests shall file the original with the City Clerk. The City Clerk shall make and
retain a copy of all statements filed by members of and candidates for the City Council of the
City of Redlands, the City Manager and City officials who manage public investments, and the
City Attorney and forward the original of each such statement to the Fair Political Practices
Commission (FPPC). The City Clerk shall retain the originals of the statements of all other
designated employees.
6. Forms for Statements. Forms for filing disclosure statements will be supplied by the
City Clerk, and will adhere to the form prescribed by the Fair Political Practices Commission.
D. Manner of Reporting.
The designated employee shall report all economic interests as required under California
Code of Regulations section 18730.
E. Disqualification.
Designated employees must disqualify themselves as required pursuant to California
Code of Regulations section 18730(9).
F Opinions of the Commission and Counsel.
1 Request for Opinion and Reliance. Any designated employee who is unsure of any
duty right, or privilege of participation in any matter under this Code or under the provisions of
the Political Reform Act of 1974 may request a formal opinion or letter of advice from the Fair
Political Practices Commission or an opinion from the City Attorney provided that nothing in
this Section requires the City Attorney to issue any formal or informal opinion.
2. Evidence of Good Faith. If an opinion or a letter of advice is rendered by the Fair
Political Practices Commission stating in full the facts and law upon which the opinion is based,
compliance therewith by the designated employee is evidence of good faith in any criminal
proceeding and is a presumption affecting the burden of proof of any civil proceeding brought
under the Act or this Code. The designated employee's good faith compliance with such opinion
shall also constitute a complete defense to any disciplinary action brought by the authority under
section 91000 et seq. of the Act or this Code.
4
G. Legislative or Judicial Amendments. All amendments or changes to the provisions of the
Political Reform Act of 1974, occurring as the result of legislative amendment or judicial
decision, shall automatically and immediately be incorporated into this Code and this Code shall,
without further action, thereupon be deemed amended and changed to reflect such legislative or
judicial amendment or decision.
H. Force And Effect of Code. 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 by the Political Reform Act of 1974, Government Code section 81000 et
seq.
5
EXHIBIT A
DESIGNATED POSITIONS
The Mayor, Members of the City Council, the City Manager, City Attorney and other
City officials who manage public investments are included in and governed by the Conflict of
Interest Code only with respect to its disqualification provisions. For purpose of disclosure, the
Mayor, Members of the City Council and Planning Commission, the City Manager, City
Attorney City Treasurer, and the City officials who make public investments are govemed by
the statutory conflicts of interest provisions of Article 2 of Chapter 7 of the Political Reform Act
of 1974 (Government Code section 87200 et seq.).
DESIGNATED EMPLOYEE'S TITLE OR
FUNCTION
DISCLOSURE CATEGORIES
ASSIGNED
Assistant City Attorney
All Disclosure Categories (1-4)
Assistant City Treasurer
All Disclosure Categories (1-4)
Revenue Manager
All Disclosure Categories (1-4)
Finance Director
All Disclosure Categories (1-4)
Assistant Finance Director
All Disclosure Categories (1-4)
Purchasing Administrator
All Disclosure Categories (1-4)
Risk Management Technician
All Disclosure Categories (1-4)
Human Resources Director
All Disclosure Categories (1-4)
Human Resources Analyst
All Disclosure Categories (1-4)
Chief Information Officer
All Disclosure Categories (1-4)
City Clerk
All Disclosure Categories (1-4)
Assistant City Clerk
All Disclosure Categories (1-4)
Chief Building Official
All Disclosure Categories (1-4)
Community Development Director
All Disclosure Categories (1-4)
Assistant Community Development Director
All Disclosure Categories (1-4)
Principal Planner
All Disclosure Categories (1-4)
Senior Planner
All Disclosure Categories (1-4)
Plan Check Engineer
All Disclosure Categories (1-4)
Junior/Assistant/Associate Planner (3)
All Disclosure Categories (1-4)
Senior Special Programs Coordinator (DRBA)
All Disclosure Categories (-4)
Chief of Police
All Disclosure Categories (1-4)
Police Commander
All Disclosure Categories (1-4)
Community Services Superintendent
All Disclosure Categories (1-4)
Fire Chief
All Disclosure Categories (1-4)
Fire Battalion Chief
All Disclosure Categories (1-4)
Fire Marshal
All Disclosure Categories (1-4)
Assistant Fire Marshal
All Disclosure Categories (1-4)
Library Director
All Disclosure Categories (1-4)
Archivist Curator
All Disclosure Categories (1-4)
6
DESIGNATED EMPLOYEE'S TITLE OR
FUNCTION
DISCLOSURE CATEGORIES
ASSIGNED
Director of Municipal Utilities and Public Works
Engineering / City Engineer
All Disclosure Categories (1-4)
Water Resources Manager
All Disclosure Categories (1-4)
Assistant City Engineer
All Disclosure Categories (1-4)
Senior Civil Engineer
All Disclosure Categories (1-4)
Quality of Life Director
All Disclosure Categories (1-4)
Operations Manager, Quality of Life
All Disclosure Categories (1-4)
All Disclosure Categories (1-4)
Redevelopment and Economic Development
Director
Redevelopment Project Manger
All Disclosure Categories (1-4)
All Disclosure Categories (1-4)
Housing Technician
Commissions
Historic and Scenic Preservation Commissioners
All Disclosure Categories (1-4)
All Disclosure Categories (1-4)
ERC Committee members(staf9
Consultants *
* Consultants, who provide services under contract to fill one of the above -referenced designated
positions, shall be included in the list of designated employees and shall disclose pursuant to the
broadest disclosure category in this Code subject to the following limitation: The City Manager
may determine in writing that a particular consultant, although a "designated position," is hired
to perform a range of duties that are limited in scope and thus is not required to fully comply
with the disclosure requirements 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 in the same manner and location as this Conflict of Interest
Code.
7
EXHIBIT "B"
DISCLOSURE CATEGORIES
The disclosure categories listed below identify the types of investments, business entities,
sources of income, or real property which the designated employee must disclose for each
disclosure category to which he or she is assigned (Title 2 CCR § 18730).
Category 1. Investments and real property disclosure. When an investment or an interest in real
property is required to be reported, the following information must be provided in the Statement
of Economic Interest: (a) the nature of the investment or interest, (b) 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, (c) the address or other precise location of the real
property (d) a statement of whether the fair market value and any investment or interest in real
property exceeds two thousand dollars ($2,000), exceeds ten thousand dollars ($10,000), exceeds
one hundred thousand dollars ($100,000) or exceeds one million dollars ($1,000,000).
Category 2. Personal income disclosure. When personal income is required to be reported, the
following information must be provided in the Statement of Economic Interest: (a) 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, any general description of the
business activity if any of each source; (b) a statement of whether the aggregate value of
income from each source, or in the case of a loan, the greatest amount owed to each source, was
one thousand dollars ($1,000) or less, greater than one thousand dollars ($1,000), greater than ten
thousand dollars ($10,000), greater than one hundred thousand dollars ($100,000); (c) a
description of the consideration, if any for which the income was received; (d) 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 of the gift and the date on which
the gift was received; (e) in the case of a loan, the annual interest rate and the security if any
given for the loan and the term of the loan.
Category 3. Business entity income disclosure. When income of a business entity including
income of a sole proprietorship, is required to be reported, the following information must be
provided in the Statement of Economic Interest: (a) the name, address and a general description
of the business activity of the business entity (b) the name of every person from whom the
business entity received payments if the filer's pro rata share of gross receipts from such person
is equal to or greater than ten thousand dollars ($10,000).
Category 4. Business position disclosure. When business positions are required to be reported,
the following information must be provided in the Statement of Economic Interest: (a) 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; (b) description of the
business activity in which the business entity is engaged; and (c) title of the person's position
with the business entity
8
ADDENDUM
REFERENCE DEFINITIONS
FOR THE
CONFLICT OF INTEREST CODE
OF THE
CITY OF REDLANDS
9
TABLE OF CONTENTS
DEFINITIONS
1 "Public Official" .Addendum —11
2. "Member" Addendum 11
3 "Consultant" Addendum 11
4 "Designated Employee" Addendum 12
5 "Making Governmental Decisions" Addendum 12
6. "Participating in the Making of Governmental Decisions" Addendum 12
7 "Financial Interest" Addendum 13
8. "Material Financial Effect" Addendum 14
9 "Business Entity" Addendum 14
10. "City" Addendum 14
11 "Act" Addendum 14
10
DEFINITIONS
1 "Public Official" means every member, officer, employee or consultant of a state or
local government agency but does not include judges and court commissioners in the Judicial
branch of government. "Public official" also does not include members of the Board of
Governors and designated employees of the State Bar of California, members of the Judicial
Council and members of the Commission on Judicial Performance, provided that they are subject
to the provisions of Article 2.5 (commencing with Section 6035) of Chapter 4 of Division 3 of
the Business and Professions Code as provided in Section 6038 of that article. Government
Code § 82048.
2. "Member" shall include, but not be limited to, salaried or unsalaried members of
committees, boards or commissions with decision making authority
(A) A committee, board or commission possesses decision making authority whenever
i. It may make a final governmental decision, or
ii. It may compel a governmental decision; or it may prevent a governmental
decision either by reason of an exclusive power to initiate the decision or by
reason of a veto that may not be overridden; or
iii. It makes substantive recommendations that are, and over an extended period of
time have been, regularly approved without significant amendment or
modification by a public official or the City Council or the Agency Board. 2 CCR
§ 18701
(B) A committee, board, or commission does not possess decision making authority of it
is formed for the sole purpose of researching a topic and preparing a report of recommendation
for submission to another governmental body that has final decision making authority
3. "Consultant" means an individual who, pursuant to a contract with a state or local
government agency
(A) Makes a governmental decision whether to:
(i) Approve a rate, rule or regulation;
(ii) Adopt or enforce a law -
(iii) Issue, deny suspend, or revoke any permit, license, application, certificate,
approval, order, or similar authorization or entitlement;
(iv) Authorize the agency to enter into, modify or renew a contract provided it is the
type of contract that requires agency approval;
11
(v) Grant agency approval to a contract that requires agency approval and to which
the agency is a party or to the specifications for such a contract;
(vi) Grant agency approval to a plan, design, report, study or similar item;
(vii) 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 participates in making
a governmental decision as defined in regulation 18702.2 or 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 the agency's Conflict of Interest Code under Government Code section
87302. 2 CCR § 18701
4 'Designated Employee" means any official of the City whose position is so
designated in the Appendix of the City's Conflict of Interest Code. The Appendix sets forth
those positions which entail the making or participation in the making of decisions which may
foreseeably have a material financial effect on any financial interest, but does not include any
unsalaried member of any board or commission which serves a solely advisory function.
Government Code § 82019
5 'Making a Governmental Decision." A public official `makes a governmental
decision, except as provided in 2 California Code of Regulations section 18702.4, when the
official, acting within the authority of his or her office or position:
(1) Votes on a matter,
(2) Appoints a person;
(3) Obligates or commits his or her agency to any course of action;
(4) Enters into any contractual agreement on behalf of his or her agency
(5) Determines not to act, within the meaning of subdivisions 1 2, 3 4, above, unless
such determination is made because of his or her financial interest. When the determination not
to act occurs because of the official s financial interest, the official s determination may be
accompanied by an oral or written disclosure of the financial interest. 2 CCR § 18702.1
6. "Participating in the Making of Governmental Decisions". A public official
`participates in making a governmental decision, except as provided in Title 2, Code of
Regulations, section 18702.4, when, acting within the authority of his or her position, the
official:
(a) Negotiates, without significant substantive review with a governmental entity or
private person regarding a governmental decision referenced in Title 2, California Code of
Regulations, section 18701(a)(2)(A); or
12
(b) Advises or makes recommendations to the decision maker either directly or
without significant intervening substantive review by
(1) Conducting research or making any investigation which requires the exercise
of judgment on the part of the official and the purpose of which is to influence a governmental
decision referenced in Title 2, California Code of Regulations, section 18701(a)(2)(A); or
(2) Preparing or presenting any report, analysis, or opinion, orally or in writing,
which requires the exercise of judgment on the part of the official and the purpose of which is to
influence a governmental decision referenced in Title 2, California Code of Regulations, section
18701(a)(2)(A). 2 CCR § 18702.2
7 "Financial Interest" A public official has a financial interest in a decision within the
meaning of Section 87100 if it is reasonably foreseeable that the decision will have a material
financial effect, distinguishable from its effect on the public generally on the official, a member
of his or her immediate family or on any of the following:
(a) Any business entity in which the public official has a direct or indirect investment
worth two thousand dollars ($2,000) or more.
(b) Any real property in which the public official has a direct or indirect interest worth
two thousand dollars ($2,000) or more.
(c) Any source of income, except gifts or loans by a commercial lending institution made
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 or promised to, received by
the public official within 12 months prior to the time when the decision is made.
(d) Any business entity in which the public official is a director, officer, partner, trustee,
employee, or holds any position of management.
(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
public official within 12 months prior to the time when the decision is made. The amount of the
value of gifts specified by this subsection shall be adjusted biennially by the commission to equal
the same amount determined by the commission pursuant to subdivision (f) of Section 89503
For purposes of this section, indirect investment or interest means any investment or
interest owned by the spouse or dependent child of a public official, by an agent on behalf of a
public official, or by a business entity or trust in which the official, the official's agents, spouse,
and dependent children own directly indirectly or beneficially a 10 -percent interest or greater.
Government Code § 87103
13
8. "Material Financial Effect" means the financial effect of a governmental decision on
a financial interest of a public official is material if, at the time the official makes or participates
in making the decision, the decision will have a significant effect on the official or a member of
the official's immediate family or on the source of income, the source of gifts, the business
entity or the real property which is an economic interest of the official. In determining whether
it is reasonably foreseeable that the effects of a governmental decision will be significant,
consideration should be given to the factors defined in Title 2 CCR sections 18705, 18705.1
18705.2, 18705.3, 18705.4 and 18705.5 2 CCR § 18705
9 'Business Entity" means any organization or enterprise operated for profit, including
but not limited to a proprietorship, partnership, firm, business trust, joint venture, syndicate,
corporation or association. Government Code § 82005.
seq.
10. 'City" means the City of Redlands.
11 "Act" means the Political Reform Act of 1974 Government Code section 81000 et
14