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HomeMy WebLinkAbout1979-06-05; City Council; 5860; Local conflict of interest code... CITY OF CAKLSBAD AGENDA BILL NO. 58 la 0 DATE : June 5, 1979 DEPARTMENT : City Attorney Initial : Dept . Hd . c. Atty.\!a?) - C. Mgr. 5. Subject: LOCAL CONFLICT OF INTEREST CODE Statement of the Matter The Political Reform Act requires that we adopt a local Conflict of Interest Code for City boards and commissions, elected officials, other than the City Council, the City Attorney, the City Manager and employees in the City departments who hold a position which entails the making or the participation in the making of governmental decisions which may foreseeably have a material financial effect on their financial interests. A memorandum to the City Manager, explaining this requirement and the process we must follow in adopting our code, is attached. A resolution making certain determinations and establish- ing a deadline for submission of our local codes is also attached with a recommended set of procedural rules for adoption of the code. Exhibits City Attorney's memorandum dated May 21, 1979. Resolution No. 67f 9 . Rules of Procedure for the Adoption of Conflict of Interest Codes. Recommendation That the City Council adopt Resolution No.5789 . Council Action: 6-5-79 Council adopted Resolution No. 5789, setting a deadline for a Conflict of Interest Code, designating certain boards, commissions officers and employees of the City as agencies, directing the drafting, submission and approval of a Conflict of Interest Code and approving rules of procedure therefor. r .. 1. 2. 3. 4. 5. PROCEDURAL OUTLINE ADOPTION OF CONFLICT OF INTEREST CODE City Council adopts resolution setting deadline of September 5,1979 for submission of a Conflict of Interest Code applicable to designated employees of the City of Carlsbad, other than members of the City Council. City Council designates City departments and certain boards, commissions, officers and employees of the City of Carlsbad as an "Agency" within the meaning of Government Code S87300. City Council directs the City Manager, with the aid and assistance of the board and commission chairmen, the City Clerk, City Treasurer and City Attorney to determine the members of which should be designated employees because their position entails the making or participation in making of decisions which may fore- seeably have a material effect on any financial in- terest and, with the approval of the City Attorney, to draft a Conflict of Interest Code. Unsalaried members of City boards or commissions which serve advisory functions are excluded. Each chairman, the Clerk, Attorney and Treasurer shall be responsible for and approve those portions of the Conflict of Interest Code applicable to the members of his agency and the City Manager shall be responsible for and approve those portions of the Conflict of Interest Code applicable to all other persons. The City Council approves Rules of Procedure for Approval and Adoption of Conflict of Interest Codes. City officials proceed in accordance with approved Rules of Procedure. MEMORANDUM DATE : May 21, 1979 TO : City Manager FROM: City Attorney SUBJECT: ADOPTION OF LOCAL CONFLICT OF INTEREST CODE Government Code Sections 87300 et seq. (Chapter 7, Article 3 of the Political Reform Act of 1974) requires our City to adopt local Conflict of Interest Codes. On August 17, 1976, by adoption of Resolution No. 3985, a Code was adopted for the City Council. The Fair Political Practices Commission, acting as the Council's Code Reviewing Body, approved it on October 19, 1976. We are also obligated to adopt a code for any person who holds a position which entails the making or participation in the making of governmental decisions which may fore- seeably have a material financial effect on a financial interest. These persons, called "designated employees", must make certain financial disclosure pursuant to the local code. This requirement applies to all designated employees within "Agencies" of the City which are defined by The Act as including all City departments and some of our boards and commissions. The Act does not specify a deadline for this code but most of the other cities in the county have already acted and it is my recommendation that we proceed with our's as soon as possible. The City Council is the Code Reviewing Body for these local codes. Section 87303 of the Government Code provides that a proposed local code must be submitted by the deadline established for the agency by the Code Reviewing Body and that no code shall be effective until it is approved by the Code Reviewing Body. Once approved, the code will supersede the conflict of interest and financial disclosure provisions of the Moscone Act and Chapter 2.02 of the Carlsbad Municipal Code currently applicable to the Planning Commission, the City Manager's assistants and certain department heads and planning officials. It will also apply to a number of persons not now covered, including the City Attorney. The first step in the process is for the City Council to adopt a resolution setting a deadline for the adoption of the Conflict of Interest Code applicable to all designated employees of the City of Carlsbad. I suggest ninety days, from the date the resolution is adopted, is a reasonable time. The resolution and an agenda bill to submit it to the City Council is attached. City Manager -2- May 21, 1979 The resolution also designates those boards, commissions, officials and employees which shall be considered agencies for purposes of The Act. I have made a judgment that we should exclude all advisory boards and commissions. It is possible to argue they should be included but considering that they are unsalaried, the size of our City, the admin- istrative burdens involved with handling that number of disclosure statements, the minimal value from requiring disclosure and the practice of other cities in our area, it is recommended that only those boards and commissions who are empowered to make decisions on behalf of the City be included. and the Building Advisory and Appeals Board fall in that category. My review indicates only the Planning Commission It is the policy of The Act to formulate local codes at the most decentralized level possible (S87301). The decision of the appropriate level to be deemed an agency is one for the Council. It is generally accepted that in cities of our size it is not necessary to have each department be an agency. It is my recommendation that we, in effect, desig- nate the entire City staff as one agency. The resolution makes you responsible for preparing the code for all City departments which are under your direction and determines that it is not reasonable to reach any further into the administrative structure in developing our code. It also directs the Chairmen of the Planning Commission and the Building Advisory and Appeals Board, myself, the City Clerk and the City Treasurer to develop codes for their "agencies" as a part of your effort for the rest of the City. Finally, the resolution adopts a set of Rules of Procedure for Approval and Adoption of Conflict of Interest Codes. They provide for a public hearing process whereby interested employees, employee organizations and members of the general public may comment upon and suggest changes in the proposed code. In order to be of assistance in the process of drafting, considering and adopting such Conflict of Interest Code, we have attached hereto a procedural outline of the initial steps involved with the adoption of the resolution. We have also attached a proposed Conflict of Interest Code which would be used by all of the City's agencies. We think that the procedural arrangements established by the outline, the resolution and the rules of procedure comply with the requirements of the Political Reform Act of 1974, and that the proposed Conflict of Interest Code is, by and City Manager -3- May 21, 1979 large, predetermined by the requirements of the Political Reform Act. Any changes considered or proposed therein should be reviewed carefully by the City Attorney before approval. The one area in which local public agencies have the greatest amount of discretion is in the content of Section 300. The Act requires that employees involved in making or participating in making governmental decisions which may have a material financial effect on a financial interest should be designated employees and subject to disclosure requirements. However, it leaves to each local agency, which knows its own organization best, to determine which of its employees fall into such category. As a consequence, the contents of Section 300 should be the focus of primary attention in arriving at a local conflict of Interest Code. We have taken the liberty to set forth in the proposed code those positions which we feel fall within the prescribed category. We have also indicated our views therein with regard to the nature of the disclosuress to be required by each of the persons occupying such positions. This is the large area of local discretion and may reasonably be modified upon further investigation, employee comment, and expressions from members of the general public. For comparison purposes attached are lists of designated employees from the Cities of El Cajon and Vista. As discussed previously, in regard to the designation of the City's agencies, we included both the Planning Commission and the Building Advisory and Appeals Board only because all of the other boards and commissions are unsalaried and advisory only. We included all department heads and most of the administrative management team. With regard to lower level employees in determining which positions should be designated positions, the primary criteria for deciding whether or not the disclosure should be required, is whether or not in negotiating, advising and making recommendations their actions are subject to significant substantive review by their supervisors. If they are subject to significant substantive review by supervisors, then that particular position may not need to be included as a designated position. Wherever the action of an employee is not subject to significant substantive review, it should be designated as a designated position for the purposes of disclosing financial interests which could result in a conflict of interest. City Manager -4- May 21, 1979 To summarize, the first step in adopting our local Conflict of Interest Code is to have the Council adopt the attached resolution setting the deadline date for submission. The second step then is to review the proposed Conflict of Interest Code and then to have you promulgate and hold hearings on the code as provided in the procedural rules, arriving at a code which is satisfactory to yourself andsthe other agency heads. The code is then submitted to the City Council who, after public hearings, approve it by resolution. We will then prepare the forms and manuals necessary to its administration. If you need further assistance, please let us know. VINCENT F. BIONDO, JR. City Attorney VFB/mla Attachments i i .. . .. '. . ,. .. ... .. '. . ' :, .. . _... -. .. . .i . ., . .. . -- CITY'OF EL CAJON . - .. 0. Posit ion Disclosure Categories Assistant Chief of Police A, D, E Assist ant City Manager A, c, E Assistant Director oC Building- A, D, E Ass istait t Direct or o Z Planning A, c, E Assistant Planner A, c, E Assistant to City Mcvlager . B, D, F Associate Civil Engineer B, D, F Associate Planner A, C, E Building Inspector . A, D, E Business License Inspector B, D, F City Clerk A, D, E City lhgineer A, C,.E Deputy City Clerk A, n, E Director of Planning and Building A, C, E Director of Finance A, D, E Director of Gelleral Services A, D, E Director of Parks and Recreation A, D, I: Director of Public Works A, c, E Equipment Maintenance Super intendent B, D, F Fire Battalion Chief E. D. F Fire Chief Fire Capt. assigned to Prevention Bureau Park Superintendent Personnel Officer Pol ice Captain Police Chief Principal Civil Engineer Purchasing Officer - Retreat ion Sum r in t cndent Street Maintenance Superintendent Traffic Engineer Zoning Compliance Officer -. B, City Attorney Staff: ' City Attorney \ . A, C, E Assistant City Attorney A, C, E C. Planning Cornniission Members D. . Personnel Corrnnission Members . E. Construction Appeals 'hard Menibers . : Sec, 201 Categorics of Relmrtahlc Economic Tntcrests' A. Catcgory A. A1 1- Inclusive Rcport;lbl c rrlvcstntcnts A dcsignatcd cn~ployce in this category shall disclosc a1 3 investmcnts (worth morc tlitui $1,000) in a City rclated busincss ciii ity which arc: - '1 % EXHIBIT A Desianated Positions 1. lkmhers of the Planning Commission 2. Members of the Board of (Building) Appea 3. City Manager (Manager, Vista Sanitation District ) 4. City Attorney (General Counsel, Vista Sanitation District) 5. City Clerk 6. License Enforcement Officer 7. Director of Finance 8. Director oL' Planning 9. Associate Planner 10. 11. 12 * 13. 14'. 15. 16 * 17. 18. 19. 20; 21. 22. 23. 24. 25. S Assistant Planner Fire Chief Battalion Chief Building Official Chief Building Inspector Bui ldiiig In spec tor .Plan Check Engineer Director of Public Works Associate Civil Engineer Public Works Inspector Sanitary Engineer Director of Parks and Recreation Park Superintendent Recreation Superintendent Community Center Development Director When the City of Vista enters into a contract with a person or business entity (whether or not a .non-profit entity) for consulting services, the position of each person desig- Reportable Enconomic Interest Category Numbers (See Exhibit R) 1, 2, 3 4(c) t 6(c) Art. 2 of the Act 1; 2, 3 nated in the contract, by name or by the posi- tion he holds, as a "designated employee". (Such a designation will be made in the con- tract with respect to any person whof in the opinion of the governing board, may reasonably -be expected to make, participate in making or in any way attempt to use his position as a "consultant" (as defined in S205) to influ- ence a City of Vista decision in which the person might reasonably be expected to have a financial interest.) .. '4 . ,. .. -- CONFLICT OF INTEREST CODE OF TIIE CITY OF CARLSBAD The agencies designated by the City Council hereby submits the following Conflict of Interest Code to the City Council of the City of Carlsbad. City Attorney City Clerk City Treasurer City Manager I Chairman of the Planning Commission Chairman of the Building Advisory and Appeals Board .... Received on behalf of the City Council of the City of Carlsbad. Dated: City Clerk The following Conflict of Interest Code, having been submitted by the agencies designated above, was approved by order of the Code Reviewing Body on Other action if any: City Clerk BY 1 2 3 4 8 9 10 11 12 0 19 20 21 22 23 24 25 26 27 28 RESOLUTION NO. 5789 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD, CALIFORNIA SETTING A DEADLINE FOR A CONFLICT OF INTEREST CODE, DESIGNATING CERTAIN BOARDS, COMMISSIONS, OFFICERS AND EMPLOYEES OF THE CITY OF CARLSBAD AS AGENCIES, DIRECTING THE DRAFTING, SUBMISSION AND APPROVAL OF A CONFLICT OF INTEREST CODE AND APPROVING RULES OF PROCEDURE THEREFOR . ~~ ~ -~ The City Council of the City of Carlsbad, California, according to the provisions of Article 3, Chapter 7, of the Political Reform Act of 1974 (hereinafter "The Act") , commencing with Section 87300 of the Government Code, hereby resolves as follows: 1. The City Council, as the Code Reviewing Body of the City of Carlsbad, hereby establishes September 5 , 1979 as the deadline for submission to it of a proposed Conflict of Interest Code for the City of Carlsbad., 2. The City Council hereby designates the following as agencies of the City within the meaning of Section 87300 of the Government Code which shall adopt and promulgate the Conflict of Interest Code: City Attorney, City Manager, City Clerk, City Treasurer, the Planning Commission and the Building Advisory and Appeals Board, The City Manager shall act for all departments of the City, 3. The City Council hereby authorizes and directs the City Manager, with the aid and assistance of the Chairmen of the Planning Commission and the Building Advisory and Appeals Board, the City Clerk, City Treasurer and City Attorney, the members of which should be designated employees within ! i . 1 2 3 4 5 6 7 a 9 1c 11 35 2( 21 2; 21 24 2f 24 2: 21 the meaning of The Act because their positions entail the making or participation in the making of decisions which may foreseeably have a material effect on any financial interest and with the approval of the City Attorney to draft a Conflict of Interest Code pursuant to the provisions of The Act. 4. The City Council hereby approves the "Rules of Procedure for Approval and Adoption of Conflict of Interest Codes", marked Exhibit A, attached hereto and made a part hereof. PASSED, APPROVED AND ADOPTED by the City Council of the City of Carlsbad, California at a regular meeting held on the 5th day of June , 1979 by the following vote, to wit: AYES: Councilmen Packard, Skotnicki, Anear, Lewis' and Councilwoman Casler NOES: NONE ATTEST : (SEAL) 2. .. Exhibit "A" to Resolution No. 5789 RULES OF PROCEDURE FOR APPROVAL AND ADOPTION OF CONFLICT OF INTEREST CODES 1. The City Manager, with the aid and assistance of the Chairmen of the Planning Commission and the Building Advisory and Appeals Board, the City Clerk, City Treasurer and City Attorney, members of which should be designated employees within the meaning of Government Code Section 82019 because the positions entail the making or participating in decisions which may foresee- ably have a material effect on any financial interests, and with the approval of the City Attorney, shall draft a Conflict of Interest Code for the Agency as constituted in Paragraph 2. 2. The Planning Commission, Building Advisory and Appeals Board, City Clerk, City Treasurer, City Attorney and City Manager shall constitute "Agencies" within the meaning of Section 87300 of the Government Code for which a Conflict of Interest Code shall be promulgated and adopted pursuant to these rules. Each chairman of such Board or Commission, the City Clerk, City Treasurer and City Attorney shall be responsible for and approve those portions of the Conflict of Interest Code appli- cable to the members of his Agency and the City Manager shall be responsible for and approve the portions of, the Conflict of Interest Code applicable to all other persons. 3. Upon completion a draft of such Code shall be forwarded to the City Clerk. The City Clerk shall notice the proposed Code for hearing before the City Manager, City Clerk, City Treasurer, City Attorney, the Planning Commission and the Building Advisory and Appeals Board (hereinafter "Agencies") held in the City Council Chambers at such time as the Clerk ascertains it is convenient for the participants. The City Clerk shall publish notice of such hearing once in the Carlsbad Journal at least ten days prior to the hearing. The Clerk shall also mail notice thereof to all news media covering the City, all employee organizations, all employees listed in the proposed Code as designated employees, and to other interested persons at least ten days prior to the hearing. The notice shall be sub- stantially in the form of Exhibit A, attached hereto. 4. All persons wishing to comment on any provision of the proposed Code may submit in writing to the City Manager, on behalf of the Agencies, a concise statement of their objections to the proposed Code. 5. On the date and at the time and place designated in the notice the Agencies shall afford the Agency or any interested person or his or her duly authorized repre- sentative, or both, the opportunity to present state- ments, arguments or contentions in writing. Oral testimony shall be encouraged; however, oral statements may be limited to the discretion of the Agencies but may be supplemented by written statements. shall consider all relevant matters presented to them during the public hearing or appearing on the record of such hearing prior to approving or revising the proposed Code or returning the proposed Code to the Agencies for revision. The Agencies 6. During any hearing held pursuant to these rules of procedure the Agencies shall have authority to continue or postpone such hearing from time to time and at such place as they shall determine- 7. After a.ful1 hearing by the Agencies they shall: (a) (b) Revise the proposed Code and approve it as Approve the proposed Code as submitted, revised, or (c) Return the proposed Code to the Agencies for revision and resubmission. - 8. After completion of its own hearing pursuant to Government Code Section 87311, and its tentative adoption of its Conflict of Interest Code, the Agencies shall submit an original and two copies of its proposed Code to the City Council by the established deadline- 9- A proposed Conflict of Interest Code of the Agency shall be deemed to be received for purposes of review pursuant to Government Code Section 87303 on the dead- line date if submitted to the City Council earlier than the deadline date. 10. The proposed Code shall satisfy the requirements of Government Code Section 87300, et seq. The Code shall be accompanied by: (a) A declaration of the City Manager, City Clerk, City Treasurer, City Attorney, and chairmen of the Planning Commission and the Building Advisory and Appeals Board declaring that the Agencies have satisfied the notice and hearing requirements preliminary to the formation of the Code pursuant to Government Code Section 87311. -2- i *- 11. 12 13. 14 , A summary of the hearing held by the Agencies with appropriate identification of any areas of controversy and their manner of resolution. The original or one copy of all submissions made to the Agencies regarding the proposed Code, unless the person making the written submission requests the admission of the submission from the record of the Agencies I hearing. The names and addresses of all persons who participated in the public hearing of the Agencies on the proposed Code or who requested notice from the Agencies of the date for hearing on the adoption of the Code by the City Council. Within ten days of receipt of the proposed Code by the City Council pursuant to Paragraph 9, the City Clerk shall notice the proposed Code for hearing before the City Council to be held no later than the forty-fifth day following receipt of the Code. Notice shall be published and mailed in accordance with the provisions of Paragraph 3. All persons wishing to comment on any provisions of the proposed Code may submit in writing to the City Council a concise statement of their objections to the proposed Code. On the date and at the time and place designated in its notice, the City Council shall afford any agency or interested person, or his or her duly authorized representative, or both, the opportunity to present statements, arguments or contentions in writing, Oral testimony shall be encouraged; however, all oral state- ments may be limited at the discretion of the Mayor or may be supplemented by written statements. The City Council shall consider all relevant matters presented to it during the public hearing or appearing on the record of such hearing prior to approving or revising and approving the proposed Code or returning the proposed Code to the Agencies for revision. During any public hearing held pursuant to this rules of procedure the City Council shall have the authority to continue or postpone such hearing from time to time and at such place as it shall determine. -3- 15. After a full hearing the City Council shall: (a) Approve the proposed Code as submitted and return the Code to the Agencies for implementation, or (b) Revise the proposed Code and approve it as revised and return the proposed Code to the Agencies for implementation, or (c) Return the proposed Code to the Agencies for revision and resubmission within sixty days. t -4- NOTICE OF PUBLIC HEARING ON ADOPTION OF THE CONFLICT OF INTEREST CODE BY THE CITY OF CARLSBAD Notice is hereby given that (City Council or the City Treasurer, City Attorney, City Manager, Planning Commission or Building Advisory and Appeals Board ) will hold a - - public hearing on the day of I 1979 at 8 in the City Council Chambers at 1200 Elm Avenue', Carlsbad, California pursuant to the Political Reform Act of 1974 (Title 9 [commencing with S810001 of the Government Code) to consider the adoption of the Conflict of Interest Code for the agencies of the City of Carlsbad as specifically required by SS87300 et seq. of the Government Code. The proposed Conflict of Interest Code will require certain officers and employees of the City of Carlsbad and each member of the Planning Commission and the Building Advisory and Appeals Board to disqualify himself from making or participating in the making of any decision which will foreseeably have a material or financial effect distinguishable from its affect on the public general or financial interest as defined in Government Code S87103. Under the provisions of the proposed code, no such employee or member would be prevented, however, from making or participating in the making of any decision to the extent his or her participation is legally required for the decision to be made. Section 87111 of the Government Code requires that the review and preparation of Conflict of Interest Codes by a local Government Agency shall be carried out under procedures which guarantee to the residents of the jurisdiction ade- quate notice and fair opportunity to present their views. Accordingly, any interested party may appear on the date and time above and be heard concerning the City of Carlsbad Conflict of Interest Code. A copy of the proposed code and the rules of procedure for the conduct of the public hearing are available for inspec- tion at the office of the City Clerk, 1200 Elm Avenue, Carlsbad, California.