HomeMy WebLinkAboutCC Res 7254 2022-02-14RESOLUTION 7254
A RESOLUTION OF THE SEAL BEACH CITY COUNCIL
ADOPTING AN AMENDED CONFLICT OF INTEREST CODE
CONTAINING REVISED DESIGNATED POSITIONS,
DISCLOSURE CATEGORIES AND SUPERSEDING AND
REPEALING RESOLUTION 7111
THE SEAL BEACH CITY COUNCIL DOES HEREBY FIND, RESOLVE, AND
ORDER AS FOLLOWS:
Section 1. The Political Reform Act, Government Code Section 81000, et seq.
requires the City of Seal Beach ("City") to adopt a Conflict of Interest Code for each
department of the City.
Section 2. The Fair Political Practices Commission has adopted a Model Conflict
of Interest Code (the "Model Code"). The Model Code, codified at 2 California
Code of Regulations Section 18730, can be incorporated by reference by the City
as its Conflict of Interest Code. That Model Code will be amended by the Fair
Political Practices Commission from time to time to conform to amendments to the
Political Reform Act.
Section 3. Pursuant to Resolution Number 7111, the City previously adopted a
Conflict of Interest Code containing designated positions and disclosure
categories. By this resolution the City is adopting the updated Conflict of Interest
Code, designated positions and disclosure categories.
Section 4. Resolution Number 7111 of the City is hereby superseded and repealed
in its entirety. The Model Code, attached hereto as Exhibit "A" and any
amendments to it duly adopted by the Fair Political Practices Commission, and
Appendices 1-3, are hereby incorporated by reference and shall constitute the
Conflict of Interest Code for the City.
Section 5. Persons holding designated positions listed in Appendix 1 of Exhibit "A"
shall file Statements of Economic Interest pursuant to this section of the Conflict
of Interest Code with the information required for the disclosure categories
assigned to them in Appendix 2 of Exhibit "A."
Section 6. The City Council hereby directs the City Clerk and City Attorney to
coordinate the preparation of a revised Conflict of Interest Code in succeeding
even -numbered years in accordance with the requirements of Government Code
Sections 87306 and 87306.5. The revised Code should reflect any changes in
department or employee designations as listed in the Department Reorganization
Plan as the City Clerk and City Attorney deem necessary. If no revisions to the
Code are required, the City Clerk shall submit a report no later than October 1 st of
the same year, stating that amendments to the Code are not required.
Section 7. The City Council, as the Code reviewing body, hereby acknowledges
that the Public Financing Authority has no changes to its Conflict of Interest Code,
and that the Successor Agency to the former Seal Beach Redevelopment Agency
was formally dissolved by resolution of the Orange County Oversight Board
("Oversight Board"), effective January 18, 2022.
Section 8. The City Clerk shall certify to the passage and adoption of this
Resolution.
PASSED, APPROVED and ADOPTED by the Seal Beach City Council at a regular
meeting held on the 14th day of February, 2022 by the following vote:
AYES: Council Members Kalmick, Sustarsic, Moore, Massa-Lavitt, Varipapa
NOES: Council Members
ABSENT: Council Members
ABSTAIN: Council Members •
iry �
f
Joe Imick, Mayor
A S.
Gloria D. Harper, City Clerk
STATE OF CALIFORNIA }
COUNTY OF ORANGE } SS
CITY OF SEAL BEACH }
I, Gloria D. Harper, City Clerk of the City of Seal Beach, do hereby certify that the
foregoing resolution is the original copy of Resolution 7254 on file in the office of
the City Clerk, passed, approved, and adopted by the City Council at a regular
etln � eld on the 14th day of February, 2022.
Gloria D. arper, ity Clerk
EXHIBIT "A"
[MODEL CONFLICT OF INTEREST CODE
8 CAL. CODE OF REGULATIONS § 18730]
I Amend 2 Cal. Code Regs. Section 18730 to read:
2 18730. Provisions of Conflict of Interest Codes.
3 (a) Incorporation by reference of the terms of this regulation along with the designation of
4 employees and the formulation of disclosure categories in the Appendix referred to below
5 constitute the adoption and promulgation of a conflict of interest code within the meaning of
6 Section 87300 or the amendment of a conflict of interest code within the meaning of Section
7 87306 if the terms of this regulation are substituted for terms of a conflict of interest code already
8 in effect. A code so amended or adopted and promulgated requires the reporting of reportable
9 items in a manner substantially equivalent to the requirements of article 2 of chapter 7 of the
10 Political Reform Act, Sections 81000, et seq. The requirements of a conflict of interest code are
I l in addition to other requirements of the Political Reform Act, such as the general prohibition
12 against conflicts of interest contained in Section 87100, and to other state or local laws pertaining
13 to conflicts of interest.
14 (b) The terms of a conflict of interest code amended or adopted and promulgated pursuant
15 to this regulation are as follows:
16 (1) Section 1. Definitions.
17 The definitions contained in the Political Reform Act of 1974, regulations of the Fair
18 Political Practices Commission (Regulations 18110, et seq.), and any amendments to the Act or
19 regulations, are incorporated by reference into this conflict of interest code.
20 (2) Section 2. Designated Employees.
21 The persons holding positions listed in the Appendix are designated employees. It has
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I been determined that these persons make or participate in the making of decisions which may
2 foreseeably have a material effect on economic interests.
3 (3) Section 3. Disclosure Categories.
4 This code does not establish any disclosure obligation for those designated employees
5 who are also specified in Section 87200 if they are designated in this code in that same capacity
6 or if the geographical jurisdiction of this agency is the same as or is wholly included within the
7 jurisdiction in which those persons must report their economic interests pursuant to article 2 of
8 chapter 7 of the Political Reform Act, Sections 87200, et seq. In addition, this code does not
9 establish any disclosure obligation for any designated employees who are designated in a conflict
10 of interest code for another agency, if all of the following apply:
11 (A) The geographical jurisdiction of this agency is the same as or is wholly included
12 within the jurisdiction of the other agency;
13 (B) The disclosure assigned in the code of the other agency is the same as that required
14 under article 2 of chapter 7 of the Political Reform Act, Section 87200; and
15 (C) The filing officer is the same for both agencies.}
16 Such persons are covered by this code for disqualification purposes only. With respect to
17 all other designated employees, the disclosure categories set forth in the Appendix specify which
18 kinds of economic interests are reportable. Such a designated employee shall disclose in his or
19 her statement of economic interests those economic interests he or she has which are of the kind
20 described in the disclosure categories to which he or she is assigned in the Appendix. It has been
21 determined that the economic interests set forth in a designated employee's disclosure categories
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I are the kinds of economic interests which he or she foreseeably can affect materially through the
2 conduct of his or her office.
3 (4) Section 4. Statements of Economic Interests: Place of Filing.
4 The code reviewing body shall instruct all designated employees within its code to file
5 statements of economic interests with the agency or with the code reviewing body, as provided
6 by the code reviewing body in the agency's conflict of interest code .21
7 (5) Section 5. Statements of Economic Interests: Time of Filing.
8 (A) Initial Statements. All designated employees employed by the agency on the effective
9 date of this code, as originally adopted, promulgated and approved by the code reviewing body,
10 shall file statements within 30 days after the effective date of this code. Thereafter, each person
11 already in a position when it is designated by an amendment to this code shall file an initial
12 statement within 30 days after the effective date of the amendment.
13 (B) Assuming Office Statements. All persons assuming designated positions after the
14 effective date of this code shall file statements within 30 days after assuming the designated
15 positions, or if subject to State Senate confirmation, 30 days after being nominated or appointed.
16 (C) Annual Statements. All designated employees shall file statements no later than April
17 1. If a person reports for military service as defined in the Servicemember's Civil Relief Act, the
18 deadline for the annual statement of economic interests is 30 days following his or her return to
19 office, provided the person, or someone authorized to represent the person's interests, notifies the
20 filing officer in writing prior to the applicable filing deadline that he or she is subject to that
21 federal statute and is unable to meet the applicable deadline, and provides the filing officer
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I 1 verification of his or her military status.
2 (D) Leaving Office Statements. All persons who leave designated positions shall file
3 statements within 30 days after leaving office.
4 (5.5) Section 5.5. Statements for Persons Who Resign Prior to Assuming Office. Any
5 person who resigns within 12 months of initial appointment, or within 30 days of the date of
6 notice provided by the filing officer to file an assuming office statement, is not deemed to have
7 assumed office or left office, provided he or she did not make or participate in the making of, or
8 use his or her position to influence any decision and did not receive or become entitled to receive
9 any form of payment as a result of his or her appointment. Such persons shall not file either an
10 assuming or leaving office statement.
11 (A) Any person who resigns a position within 30 days of the date of a notice from the
12 filing officer shall do both of the following:
13 (1) File a written resignation with the appointing power; and
14 (2) File a written statement with the filing officer declaring under penalty of perjury that
15 during the period between appointment and resignation he or she did not make, participate in the
16 making, or use the position to influence any decision of the agency or receive, or become entitled
17 to receive, any form of payment by virtue of being appointed to the position.
18 (6) Section 6. Contents of and Period Covered by Statements of Economic Interests.
19 (A) Contents of Initial Statements.
20 Initial statements shall disclose any reportable investments, interests in real property and business
21 positions held on the effective date of the code and income received during the 12 months prior
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I to the effective date of the code.
2 (B) Contents of Assuming Office Statements.
3 Assuming office statements shall disclose any reportable investments, interests in real
4 property and business positions held on the date of assuming office or, if subject to State Senate
5 confirmation or appointment, on the date of nomination, and income received during the 12
6 months prior to the date of assuming office or the date of being appointed or nominated,
7 respectively.
8 (C) Contents of Annual Statements. Annual statements shall disclose any reportable
9 investments, interests in real property, income and business positions held or received during the
10 previous calendar year provided, however, that the period covered by an employee's first annual
1 l statement shall begin on the effective date of the code or the date of assuming office whichever is
12 later, or for a board or commission member subject to Section 87302.6, the day after the closing
13 date of the most recent statement filed by the member pursuant to Regulation 18754.
14 (D) Contents of Leaving Office Statements.
15 Leaving office statements shall disclose reportable investments, interests in real property, income
16 and business positions held or received during the period between the closing date of the last
17 statement filed and the date of leaving office.
18 (7) Section 7. Manner of Reporting.
19 Statements of economic interests shall be made on forms prescribed by the Fair Political
20 Practices Commission and supplied by the agency, and shall contain the following information:
21 (A) Investment and Real Property Disclosure.
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1 When an investment or an interest in real property'2 is required to be reported,43 the statement
2 shall contain the following:
3 1. A statement of the nature of the investment or interest;
4 2. The name of the business entity in which each investment is held, and a general
5 description of the business activity in which the business entity is engaged;
6 3. The address or other precise location of the real property;
7 4. A statement whether the fair market value of the investment or interest in real property
8 equals or exceeds $2,000, exceeds $10,000, exceeds $100,000, or exceeds $1,000,000.
9 (B) Personal Income Disclosure. When personal income is required to be reported,�4 the
10 statement shall contain:
I 1 1. The name and address of each source of income aggregating $500 or more in value, or
12 $50 or more in value if the income was a gift, and a general description of the business activity, if
13 any, of each source;
14 2. A statement whether the aggregate value of income from each source, or in the case of
15 a loan, the highest amount owed to each source, was $1,000 or less, greater than $1,000, greater
16 than $10,000, or greater than $100,000;
17 3. A description of the consideration, if any, for which the income was received;
18 4. In the case of a gift, the name, address and business activity of the donor and any
19 intermediary through which the gift was made; a description of the gift; the amount or value of
20 the gift; and the date on which the gift was received;
21 5. In the case of a loan, the annual interest rate and the security, if any, given for the loan
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I and the term of the loan.
2 (C) Business Entity Income Disclosure. When income of a business entity, including
3 income of a sole proprietorship, is required to be reported,'5 the statement shall contain:
4 1. The name, address, and a general description of the business activity of the business
5 entity;
6 2. The name of every person from whom the business entity received payments if the
7 filer's pro rata share of gross receipts from such person was equal to or greater than $10,000.
8 (D) Business Position Disclosure. When business positions are required to be reported, a
9 designated employee shall list the name and address of each business entity in which he or she is
10 a director, officer, partner, trustee, employee, or in which he or she holds any position of
1 l management, a description of the business activity in which the business entity is engaged, and
12 the designated employee's position with the business entity.
13 (E) Acquisition or Disposal During Reporting Period. In the case of an annual or leaving
14 office statement, if an investment or an interest in real property was partially or wholly acquired
15 or disposed of during the period covered by the statement, the statement shall contain the date of
16 acquisition or disposal.
17 (8) Section 8. Prohibition on Receipt of Honoraria.
18 (A) No member of a state board or commission, and no designated employee of a state or
19 local government agency, shall accept any honorarium from any source, if the member or
20 employee would be required to report the receipt of income or gifts from that source on his or her
21 statement of economic interests.
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I (B) This section shall not apply to any part-time member of the governing board of any
2 public institution of higher education, unless the member is also an elected official.
3 (C) Subdivisions (a), (b), and (c) of Section 89501 shall apply to the prohibitions in this
4 section.
5 (D) This section shall not limit or prohibit payments, advances, or reimbursements for
6 travel and related lodging and subsistence authorized by Section 89506.
7 (8.1) Section 8.1. Prohibition on Receipt of Gifts in Excess of $500.
8 (A) No member of a state board or commission, and no designated employee of a state or
9 local government agency, shall accept gifts with a total value of more than $500 in a calendar
10 year from any single source, if the member or employee would be required to report the receipt of
11 income or gifts from that source on his or her statement of economic interests.
12 (B) This section shall not apply to any part-time member of the governing board of any
13 public institution of higher education, unless the member is also an elected official.
14 (C) Subdivisions (e), (f), and (g) of Section 89503 shall apply to the prohibitions in this
15 section.
16 (8.2) Section 8.2. Loans to Public Officials.
17 (A) No elected officer of a state or local government agency shall, from the date of his or
18 her election to office through the date that he or she vacates office, receive a personal loan from
19 any officer, employee, member, or consultant of the state or local government agency in which
20 the elected officer holds office or over which the elected officer's agency has direction and
21 control.
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I (B) No public official who is exempt from the state civil service system pursuant to
2 subdivisions (c), (d), (e), (f), and (g) of Section 4 of Article VII of the Constitution shall, while
3 he or she holds office, receive a personal loan from any officer, employee, member, or consultant
4 of the state or local government agency in which the public official holds office or over which
5 the public official's agency has direction and control. This subdivision shall not apply to loans
6 made to a public official whose duties are solely secretarial, clerical, or manual.
7 (C) No elected officer of a state or local government agency shall, from the date of his or
8 her election to office through the date that he or she vacates office, receive a personal loan from
9 any person who has a contract with the state or local government agency to which that elected
10 officer has been elected or over which that elected officer's agency has direction and control. This
1 l subdivision shall not apply to loans made by banks or other financial institutions or to any
12 indebtedness created as part of a retail installment or credit card transaction, if the loan is made
13 or the indebtedness created in the lender's regular course of business on terms available to
14 members of the public without regard to the elected officer's official status.
15 (D) No public official who is exempt from the state civil service system pursuant to
16 subdivisions (c), (d), (e), (f), and (g) of Section 4 of Article VII of the Constitution shall, while
17 he or she holds office, receive a personal loan from any person who has a contract with the state
18 or local government agency to which that elected officer has been elected or over which that
19 elected officer's agency has direction and control. This subdivision shall not apply to loans made
20 by banks or other financial institutions or to any indebtedness created as part of a retail
21 installment or credit card transaction, if the loan is made or the indebtedness created in the
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1 lender's regular course of business on terms available to members of the public without regard to
2 the elected officer's official status. This subdivision shall not apply to loans made to a public
3 official whose duties are solely secretarial, clerical, or manual.
4 (E) This section shall not apply to the following:
5 1. Loans made to the campaign committee of an elected officer or candidate for elective
6 office.
7 2. Loans made by a public official's spouse, child, parent, grandparent, grandchild,
8 brother, sister, parent -in-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, or first
9 cousin, or the spouse of any such persons, provided that the person making the loan is not acting
10 as an agent or intermediary for any person not otherwise exempted under this section.
11 3. Loans from a person which, in the aggregate, do not exceed $500 at any given time.
1 12 4. Loans made, or offered in writing, before January 1, 1998.
J
13 (8.3) Section 8.3. Loan Terms.
14 (A) Except as set forth in subdivision (B), no elected officer of a state or local
15 government agency shall, from the date of his or her election to office through the date he or she
16 vacates office, receive a personal loan of $500 or more, except when the loan is in writing and
17 clearly states the terms of the loan, including the parties to the loan agreement, date of the loan,
18 amount of the loan, term of the loan, date or dates when payments shall be due on the loan and
19 the amount of the payments, and the rate of interest paid on the loan.
20 (B) This section shall not apply to the following types of loans:
21 1. Loans made to the campaign committee of the elected officer.
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1 2. Loans made to the elected officer by his or her spouse, child, parent, grandparent,
2 grandchild, brother, sister, parent -in-law, brother-in-law, sisler-in-law, nephew, niece, aunt,
3 uncle, or first cousin, or the spouse of any such person, provided that the person making the loan
4 is not acting as an agent or intermediary for any person not otherwise exempted under this
5 section.
6 3. Loans made, or offered in writing, before January 1, 1998.
7 (C) Nothing in this section shall exempt any person from any other provision of Title 9 of
8 the Government Code.
9 (8.4) Section 8.4. Personal Loans.
10 (A) Except as set forth in subdivision (B), a personal loan received by any designated
11 employee shall become a gift to the designated employee for the purposes of this section in the
12 following circumstances:
13 1. If the loan has a defined date or dates for repayment, when the statute of limitations for
14 filing an action for default has expired.
15 2. If the loan has no defined date or dates for repayment, when one year has elapsed from
16 the later of the following:
17 a. The date the loan was made.
18 b. The date the last payment of $100 or more was made on the loan.
19 c. The date upon which the debtor has made payments on the loan aggregating to less
20 than $250 during the previous 12 months.
21 (B) This section shall not apply to the following types of loans:
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1 1. A loan made to the campaign committee of an elected officer or a candidate for
2 elective office.
3 2. A loan that would otherwise not be a gift as defined in this title.
4 3. A loan that would otherwise be a gift as set forth under subdivision (A), but on which
5 the creditor has taken reasonable action to collect the balance due.
6 4. A loan that would otherwise be a gift as set forth under subdivision (A), but on which
7 the creditor, based on reasonable business considerations, has not undertaken collection action.
8 Except in a criminal action, a creditor who claims that a loan is not a gift on the basis of this
9 paragraph has the burden of proving that the decision for not taking collection action was based
10 on reasonable business considerations.
11 5. A loan made to a debtor who has filed for bankruptcy and the loan is ultimately
12 discharged in bankruptcy.
13 (C) Nothing in this section shall exempt any person from any other provisions of Title 9
14 of the Government Code.
15 (9) Section 9. Disqualification. No designated employee shall make, participate in
16 making, or in any way attempt to use his or her official position to influence the making of any
17 governmental decision which he or she knows or has reason to know will have a reasonably
18 foreseeable material financial effect, distinguishable from its effect on the public generally, on
19 the official or a member of his or her immediate family or on:
20 (A) Any business entity in which the designated employee has a direct or indirect
21 investment worth $2,000 or more;
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1 (B) Any real property in which the designated employee has a direct or indirect interest
2 worth $2,000 or more;
3 (C) Any source of income, other than gifts and other than loans by a commercial lending
4 institution in the regular course of business on terms available to the public without regard to
5 official status, aggregating $500 or more in value provided to, received by or promised to the
6 designated employee within 12 months prior to the time when the decision is made;
7 (D) Any business entity in which the designated employee is a director, officer, partner,
8 trustee, employee, or holds any position of management; or
9 (E) Any donor of, or any intermediary or agent for a donor of, a gift or gifts aggregating
10 $500 or more provided to, received by, or promised to the designated employee within 12 months
1 l prior to the time when the decision is made.
12 (9.3) Section 9.3. Legally Required Participation. No designated employee shall be
13 prevented from making or participating in the making of any decision to the extent his or her
14 participation is legally required for the decision to be made. The fact that the vote of a designated
15 employee who is on a voting body is needed to break a tie does not make his or her participation
16 legally required for purposes of this section.
17 (9.5) Section 9.5. Disqualification of State Officers and Employees. In addition to the
18 general disqualification provisions of section 9, no state administrative official shall make,
19 participate in making, or use his or her official position to influence any governmental decision
20 directly relating to any contract where the state administrative official knows or has reason to
21 know that any party to the contract is a person with whom the state administrative official, or any
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— 1 1 member of his or her immediate family has, within 12 months prior to the time when the official
2 action is to be taken:
3 (A) Engaged in a business transaction or transactions on terms not available to members
4 of the public, regarding any investment or interest in real property; or
5 (B) Engaged in a business transaction or transactions on terms not available to members
6 of the public regarding the rendering of goods or services totaling in value $1,000 or more.
7 (10) Section 10. Disclosure of Disqualifying Interest. When a designated employee
8 determines that he or she should not make a governmental decision because he or she has a
9 disqualifying interest in it, the determination not to act may be accompanied by disclosure of the
10 disqualifying interest.
11 (11) Section 11. Assistance of the Commission and Counsel. Any designated employee
12 who is unsure of his or her duties under this code may request assistance from the Fair Political
J
13 Practices Commission pursuant to Section 83114 and Regulations 18329 and 18329.5 or from
14 the attorney for his or her agency, provided that nothing in this section requires the attorney for
15 the agency to issue any formal or informal opinion.
16 (12) Section 12. Violations.
17 This code has the force and effect of law. Designated employees violating any provision
18 of this code are subject to the administrative, criminal and civil sanctions provided in the
19 Political Reform Act, Sections 81000-91014. In addition, a decision in relation to which a
20 violation of the disqualification provisions of this code or of Section 87100 or 87450 has
21 occurred may be set aside as void pursuant to Section 91003.
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Note: Authority cited: Section 83112 Government Code. Reference: Sections 82019 and 87200-
2 87210 Goveni n mt Code.
Designated ewtoYee
sur giAH! is
and fiwwEir-d the origi
21 See Section 8 10 10 and Regulation 18115 for the duties of filing officers and persons in agencies who make and
retain copies of statements and forward the originals to the filing officer.
32 For the purpose of disclosure only (not disqualification), an interest in real property does not include the principal
residence of the filer.
43 Investments and interests in real property which have a fair market value of less than $2,000 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 welt 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.
34 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.
15 Income of a business entity is reportable if the direct, indirect or beneficial interest of the filer and the filer's
spouse in the business entity aggregates a 10 percent or greater interest. In addition, the disclosure of persons who
are clients or customers of a business entity is required only if the clients or customers are within one of the
disclosure categories of the filer.
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APPENDIX 1
List of Designated Employee Positions
Position
Disclosure Categories
Accountant
2*
Assistant City Attorney
1
Assistant Engineer
1
Assistant City Manager
1
Assistant Planner
2*
Associate Engineer
2
Building Official
V
City Clerk
1
Designated Consultants**
1
Deputy Director of Public Works/City Engineer
1
Deputy Director of Public Works
1
Director of Community Development/geFnFn, ;n. t V.ePAGe�s
1
Director of Public Works
1
Fleet Maintenance Program Manager
2*
Finance Manager
1
Maintenance Services Supervisor
2
Marine Safety/ Lifeguard Chief
1
Marine Safety/ Lifeguard Lieutenant
1
Police Chief
1
The following positions are required to file Category 1 — Broad Responsibilities
pursuant to Government Code Section 87200:
City Attorney
City Council Members
City Manager
Director of Finance / City Treasurer
Planning Commissioners
2
Recreation Manager
Senior Planner
2,4
Senior Account Technician
3*
Water Services Supervisor
2*
*New Positions
1
Historic Preservation Committee
4
Recreation and Parks Commission
1
*Police Captain
1
*Police Lieutenant
1
*Financial Analyst
2 3, 4*
The following positions are required to file Category 1 — Broad Responsibilities
pursuant to Government Code Section 87200:
City Attorney
City Council Members
City Manager
Director of Finance / City Treasurer
Planning Commissioners
*Individuals who are either (1) serve in a newly created or (2) provide services as
a "consultant" as defined in Regulation 18700.3, that make or participate in the
decision making that may foreseeably have a material effect on any financial
interest shall disclose pursuant to the broadest discloser in this code subject to the
following:
The City Manager may determine that, due to the range of duties or contractual
obligations, it is more appropriate to assign a limited disclosure requirement. A
clear explanation of duties and a statement of the extent of the disclosure
requirements must be in a written public document (see Appendix).
** Consultants who fit into one or more of the following categories shall be included
in the list of designated employees as "Designated Consultants":
A. Consultants who make (not just recommend) governmental
decisions, such as whether to approve a rate, rule, or regulation, whether
to issue, deny, suspend, or revoke any permit, license, application,
certificate or similar authorization, adopt or grant City approval to a plan,
design, report, study, or adopt or grant City approval of policies, standards,
or guidelines for the City or any subdivision thereof.
B. Consultants who serve in a staff capacity with the City, and in that
capacity participate in making a governmental decision by providing
information, an opinion, or a recommendation for the purpose of affecting
the decision without significant intervening substantive review.
C. Consultants who perform the same or substantially all the same
duties for the City that would otherwise be performed by an individual
holding a designated position in the City's Conflict of Interest Code.
When the Designated Consultant is a corporation, partnership, or limited liability
company, only individuals who fit into one of the three categories of "Designated
Consultants" described above must file disclosure statements.
For Designated Consultants who serve in a staff capacity with the City (Category
B, described above), the consultant shall disclose based on the disclosure
categories assigned elsewhere in this code for that staff position.
For other Designated Consultants who do not serve in a staff capacity for the City
(Categories A and C, described above), the following disclosure categories shall
be used:
Persons required to disclose in this category shall disclose pursuant to Category
1 below unless the City Manager determines in writing that a particular consultant
is hired to perform a range of duties that is limited in scope and thus is not required
to fully comply with the disclosure requirements in Category 1. 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. A clear
explanation of duties and a statement of the extent of the disclosure requirements
must be in a written public document (see Appendix).
*Bold Titles added to List of Designated Employee Positions
APPENDIX 2
Disclosure Categories
Category 1 — Broad Responsibilities — Full Disclosure
Persons in this category shall disclose all investments, business positions, and
income, including loans and gifts, from sources located in or doing business in the
jurisdiction. Persons in this category shall also report interests in real property
located in the jurisdiction, including property located within a two-mile radius of
any property owned or used by the City.
Category 2 — Contracting or Purchasinq Responsibilities
Persons in this category shall disclose investments and business positions in
business entities, and sources of income, including loans and gifts, which provide
services, supplies, materials, machinery, or equipment of the type utilized by the
City.
Category 3 — Regulatory Power
Persons in this category shall disclose investments and business positions in
business entities, and sources of income, including loans and gifts, which are
subject to the regulatory, permit, or licensing authority of the City.
Category 4 — Decision -Making Authority Affecting Real Property
Persons in this category shall disclose investments and business positions in
business entities, and sources of income, including loans and gifts, which engage
in land development, construction, or acquisition or sale of real properly, and all
interests in real property located within the jurisdiction, including property located
within a two mile radius of any property owned or used by the City.
APPENDIX 3
[FAIR POLITICAL PRACTICES COMMISSION
FORMS 804 AND 805]
Agency Report of:
New Positions
A Public Document
. Agency Name (Also include, Division, Department, or Region (if applicable))
Agency Contact
Phone
E] Amendment
Date of Original Filing:
2. New Position Information
Position Title/Classification Assigned Category OR Disclosure Requirement
and Job Summary
(month, day, year)
Assuming/Start Date
(Optional)
Start / /
rn /d /yr
Start / /
rn /d /yr
!l
m Id /yr
Start—/
m /d /yr
Start -L-_/
m /d iyr
Start_/ /
m /d /yr
Start_//
m /d /yr
3. Verification
/ have read and understand FPPC Regulations 18700.3 and 18734. / have verified that the disclosure assignment(s) set forth above, is
in accordance with its provisions.
Signature Name
Comment: (Use this space or an attachment for any additional information.)
Title
(month, day, year)
FPPC Form 804 (2/16)
FPPC Toll -Free Helpline: 866/ASK-FPPC (866/275-3772)
Agency Report of:
New Positions
A Public Document
State and local government agencies may use this form
to identify new positions that will make or participate in
making governmental decisions on behalf of the agency.
An individual in a newly created position must file a
Statement of Economic Interests (Form 700) within 30
days of assuming office.
This form identifies the Statement of Economic Interests,
Form 700, disclosure requirements for individuals serving
in new positions. This form is for the agency's internal
use and should be maintained by the agency in the same
manner as the agency's conflict of interest code. For more
information, refer to the FPPC website www.fppc.ca.gov
and Regulations 18700.3 and 18734.
Disclosure Requirements
• Disclosure requirements should conform to the range of
duties.
se Alternatively, the agency must require an individual
to file under the broadest disclosure category in the
agency's conflict of interest code or, if the agency does
not have a conflict of interest code, full disclosure.
Full disclosure includes reporting all investments, business
positions, and interests in real property held on the date
of assuming office and income received during the 12
months immediately preceding assuming office.
When a new position is added, in addition to completing
this form, the agency should begin the process to amend
the conflict of interest code.
Examples:
An agency added a new data processing manager
position. The individual will be assigned the same
disclosure category that the agency's other IT staff are
assigned.
An agency implemented a new licensing program and a
new manager position was added. Because this was a
new program, the agency provided a written description
of the individual's disclosure requirements which included
sources subject to the licensing procedures.
An agency reorganized and changed the duties of several
positions listed in the conflict of interest code. This form is
not required as positions are not new. The agency should
begin to amend its conflict of interest code if the range of
authority and types of decisions changed.
An agency changed the titles but not the duties and
responsibilities of several positions. This form is not
required. The agency must file an amendment to update
the conflict of interest code.
Instructions
Part 1
Identify the agency, contact information, and provide the
amendment explanation in the comment section when
applicable.
Part 2
Identify the new position(s) and describe the position's
duties. Identify the disclosure by:
— Assigning an existing category(s) in the agency's
code, or
— Writing a disclosure requirement.
Complete if the agency knows the employment date.
Part 3
The agency's conflict of interest code should identify the
position that is responsible for the verification.
Example
Agency Report of:
New Positions A public Document m
1. Ajeasy a �ar.M.t-aY •rw.._, [3Amenam.0
CA Joint Powers AulAocly I r
A
caner .. od9�na r9in9:
1dm. -11Smith, Adam Executive Director
555.555-5555 adarnsmnh
2 New PaaRlan lnfomuaon
Poaldon Tide/claadecatio^ Aaalened Cataeary OR Made—Requirement .-aaa1h.rI qR.
end Job Summery farm+l
Data Processing Manager
(manages IT Dept)
3
4-11H I
Licensing Director
,All investments, business
(duty statement allached)
3
(positions in business entities,
,and sources,^
Licensing Direclor
of income, inducing gins, loans,
(duly statement attached)
3
and travel payments, from
entities
Licensing Director
:hat are of the type subject Io
(duty statement allached)
3
licensing by the Department or
are subject
rte,
Licensing Director
to regulation by the
(duty statement attached)
3
Department.
��•Y
Licensing Director
3
(;Alternately, attach a
(duty statement attached)
written explanation.)
3. Verification
I have read and understand FPPC flegulalions fal— and 19]]1.1 have vedried (hal the disclosure assignmenl(sl sal loch above, u
m accoNance with ds provisions.
wW. 209 Adam Smith F]I A1QIYe Dlmrler 3-1 Q -XX
s amm x-. ra. m„wa nv-q
comment: luso IN. I— a ---1 1r adda,u.A ua... 1.)
FPPC Form 804 (2/16)
FPPC Toll -Free Helpline: 866/ASK-FPPC (866/275-3772)
Agency Report of:
Consultants
A Public Document
1. Agency Name (Also include, Division, Department, or Region (if applicable))
Agency Contact
Amendment
Date of Original Filing:
(month, day, year)
Phone Number Email
2. Firm Information
Firm Name
Firm Address Email (optional) Email (optional)
Describe General Purpose of Contract
3. Consultant Information
Consultant Name Assigned Category OR Disclosure Requirement Assuming/Start Date
Leaving/End Date
(if known)
Start
m /dd %yr
End /
m /d /yr
Start_/ /
m /d /yr
End ! !
m Id /yr
Start / /
m /d /yr
End
m /d /yr
4. Verification
/ have read and understand FPPC Regulations 18700.3 and 18734. / have verified that the disclosure assignment(s) set forth above, is
in accordance with its provisions.
Signature
Name
Comment: (Use this space or an attachment for any additional information.)
Title
(month, day, year)
FPPC Form 805 (2/16)
FPPC Toll -Free Helpline: 866/ASK-FPPC (866/275-3772)
Agency Report of:
Consultants
A Public Document
State and local government agencies may use this form
to identify consultants that will make or participate in
making governmental decisions on behalf of the agency.
A consultant must file a Statement of Economic Interests
(Form 700) within 30 days of assuming office.
This form identifies the Statement of Economic Interests,
Form 700, disclosure requirements for individuals serving
in these positions. This form is for the agency's internal
use and should be maintained by the agency in the same
manner as the agency's conflict of interest code. For more
information, refer to the FPPC website www.fppc.ca.gov
and Regulation 18700.3 and 18734.
Disclosure Requirements
o Disclosure requirements should conform to the range of
duties.
Instructions
An individual must file the Form 700 within 30 days
of assuming office and an annual statement for each
calendar year of the contract. At the conclusion of
services a leaving office statement is required.
Part 1
Identify the agency, contact information, and provide the
amendment explanation in the comment section when
applicable.
Part 2
Identify the consultant's firm name and address. Briefly
describe the general purpose of the contract.
Part 3
• Alternatively, the agency must require an individual
to file under the broadest disclosure category in the
Identify the name of those individuals that qualify as
agency's conflict of interest code or, if the agency does
consultants and will file the Form 700. Identify the
not have a conflict of interest code, full disclosure.
disclosure by:
— Assigning an existing category(s) in the agency's
Full disclosure includes reporting all investments, business
code, or
positions, and interests in real property held on the date
— Writing a disclosure requirement.
of assuming office and income received during the 12
Provide the start and end dates of service if known.
months immediately preceding assuming office.
Examples:
An agency hired a law firm to act as its general counsel.
An individual will make recommendations to the agency's
board and provide general legal services. The individual
qualifies as a consultant and based on the indefinable
duties will be assigned the broadest or full disclosure
under the agency's conflict of interest code.
Not all outside contractors meet the consultant definition
in FPPC Regulation 18700.3 requiring of the Form
700. When an agency determines that an individual is a
consultant with limited duties, tailored disclosure should
be used.
An agency hired a firm to prepare an environmental impact
report ("EIR') on airport expansion. The individual at
the firm who will prepare the EIR should be assigned a
disclosure requirement that reflects the contract's scope
of authority. An example might include real property,
investments and business positions in business entities,
and income from only those sources engaging in air traffic
or aviation goods or services. Note: The agency can
assign an existing disclosure category, if applicable.
Part 4
The Agency's conflict of interest code should identify the
position that is responsible for the verification.
Example of Part 2 8t 3
2. Firm Information
Firm N.ma
ABC Company
FI—Add .... ka pouannn {mad {apuer
1010 Ca011e1 St. Ba.MeAF 1110. CA 45814 e11LDD�1cOmpeny cDm
Dk ribr Can.ral Parpeeevl Cvsext
Prepare an EIR on airport d nslnn,
3. Consultant Information
Consultant Name Assigned Category OR Disclosure Requirement R.. nalSWt Dai.
L—o"
M known)
Hector Rodriguez 3 h7aq Z/Z/ACX
m Id /yr
Bm 12112=
Fd_ i yr
FPPC Form 805 (2/16)
FPPC Toll -Free Helpline: 866/ASK-FPPC (866/275-3772)