HomeMy WebLinkAbout1991-10-15; City Council; 11398; AMENDMENT OF LOCAL CONFLICT OF INTEREST CODE5
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DEPT. CA/CLK
RECOMMENDED ACTION:
AMENDMENT OF LOCAL, CONFLICT OF
INTEREST CODE
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Adopt Resolution No. 9I-JL/ Y , amending the Local Conflict of Interest Code of the City of
Carlsbad.
I'EM EXPLANATION
On October 2, 1979, the City Council adopted a Local Conflict of Interest Code as required by
the Political Reform Act of 1974. Since that time, the Code has been amended at various
times to update the list of designated employees.
In accordance with the Act, it is once again time to amend our Code to reflect changed
circumstances. Since our last amendment, we have had several additions and deletions to job
titles and classifications, and we are consolidating our Code to facilitate the duties of the Filing
Officer. Many of the City's boards and commissions are being included on the list of
designated employees and officers, and the members will be required to disclose certain
economic interests and sources of income within the jurisdiction.
Once approved by Council, the City's local Conflict of Interest Code will contain an updated
list of designated employees in conformance with current job titles and classifications.
Additionally, members of the Arts Commission, Library Board of Trustees, Child Care
Commission, Parks and Recreation Commission, Personnel Board, Senior Commission and
Traffic Safety Commission will also be required to meet the filing obligations.
FISCAL, IMPACT
Costs to implement the amendment would be directly related to costs for providing additional
forms and increased amount of staff time required for additional filers.
EXHIBITS
1.
2.
Resolution No. 9/ -.-!,?YY, amending the Local Conflict of Interest Code.
Copy of Local Conflict of Interest Code.
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I - RESOLUTION NO.
A RESOLUTION OF THE CITY COUNCIL OF THE CITY
OF CARLSBAD AMENDING THE LOCAL CONFLICT OF INTEREST CODE OF THE CITY OF CARLSBAD I
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WHEREAS, the City has previously adopted and amended its
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WHEREAS, provisions of the Political Reform Act of 1974 ~ I I
("the Act") (Government Code Section 81000 et seq.) require an I I
I amendment to said code due to changed circumstances, changed duties
or new positions; and
local conflict of interest code; and
I
WHEREAS, the city Council is the code reviewing body
within the meaning of the Act; and I I WHEREAS, Government Code Section 87200 has been amended
to require city treasurers and other public officials who manage
public investments to make disclosure under Article 2 of Chapter 7 I
of the Act; and
!
WHEREAS, the City has revised job duties, functions and
descriptions and created new positions; and
NOW, THEREFORE, BE IT RESOLVED by the City Council of the
City of Carlsbad, California as follows:
1.
2.
That the above recitations are true and correct.
That the Conflict of Interest Code of the City of
Carlsbad and the Appendix to that Code setting forth the designated
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! positions and disclosure categories are hereby approved.
PASSED, APPROVED AND ADOPTED at a Regular Meeting of the i ,
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City Council of the City of Carlsbad on the 22nd day of October
1991, by the following vote, to wit: i
AYES:
NOES: None
ABSENT: None
Council Members Lewis, Kulchin, Larson, Stanton and Nygaard !
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ATTEST :
tey
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CONFLICT OF INTEREST CODE
OF THE CITY OF CARLSBAD
AND
THE CARLSBAD MUNICIPAL WATER DISTRICT
ARTICLE I. GENERAL
SECTION I: This Code shall be known and may be cited as mtConflict of Interest Code of the City of Carlsbad and the Carlsbad
SECTION 11: Authority: This Code is adopted pursuant to the provisions of the tlPolitical Reform Act of 197411, Title 9 of the Government Code commencing with Government Code Section 81000 and Section 18730 of Article 2 of Chapter 7 of Division 6 of Title 2 of the California Code of Regulations.
SECTION 111: Purpose: This Code is adopted in order to:
a. Assure that all employees designated herein perform their
duties in an impartial manner, free from bias caused by
financial interests;
Enumerate and differentiate the positions of employment within
the City which involve the making of decisions which may
foreseeably have a material effect upon a financial interest;
Require the disclosure of such interests, by setting forth the specific types of interests which are reportable for each posit ion ;
D. Require that designated employees disqualify themselves from participation in City decision-making which may involve a conflict of interest.
SECTION IV: Incorporation by Reference: The provisions of Title
2 California Code of Regulations Section 18730, except Section 8.5 thereof, a copy of which is attached hereto marked Exhibit mvAtl, are
hereby incorporated by this reference and constitute the Conflict
of Interest Code of the City of Carlsbad and the Carlsbad Municipal
Water District.
Title:
Municipal Water District."
B.
C.
Page 1 of 3
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SECTION V: Amendments: Section 4 of the Code found in Title 2 California Code of Regulations Section 18730 is replaced with the following Section 4:
Section 4: All designated employees shall file the statements of economic interests required herein with the City Clerk for the City of Carlsbad. Where the person
filing such statements is required to file multiple statements on account of his or her capacity in both City
and Agency, filing may be made on a single form(s) ,
specifying therein that it is filed in both capacities.
APPENDIX
A. Persons holding positions listed in the Appendix are
required to file the initial, annual, and leaving office
statements of financial interest required by this Code
for the types of interests in the categories set forth in
the column !!Disclosure Categories" opposite the column
!'Designated Positions'!. It has been determined that
these persons make or participate in making decisions
which foreseeably may have a material effect on such
financial interests.
B. Where the disclosure category requires disclosure of
interests in real property, the designated employee need
in part within or not more than two miles outside the boundaries of the jurisdiction or within two miles of any land owned or used by the local government agency.
C. Where the disclosure category requires disclosure of investments or sources of income, the designated employee need only disclose investments in business entities and sources of income which do business in the jurisdiction, plan to do business in the jurisdiction or have done business in the jurisdiction within the past two years. In addition to other activities, a business entity is doing business within the jurisdiction if it owns real property within the jurisdiction.
D. Where the disclosure category requires disclosure of business positions, the designated employee need only disclose positions of director, officer, partner, trustee, employee, or any position of management in
organizations or enterprises operated for profit.
only disclose real property which is located in whole or
SECTION VI: "Act!' means the Political Reform Act of 1974,
comprising Title 9 (commencing with Section 81000) of the Government Code of the State of California.
Act:
Page 2 of 3
e W
SECTION VII: Desisnated emplovee: "Designated employee" means
any officer, employee, commission or board member or consultant to
the City whose position with the City is listed in the Appendix of
this Code.
SECTION VIII: Desiqnated position: "Designated position" means a
position with the City specified in the Appendix of this Code and requiring disclosure as provided in this Code because the position
entails the making or participating in the making of decisions
which may foreseeably have a material effect on a financial
interest.
SECTION IX: Requlations: qlRegulationsft mean the regulation of
the Fair Political Practices Commission adopted pursuant to Title
9 of the Government Code and reported at Title 2 of the California Code of Regulations commencing with Section 18100.
SECTION X: ReDeal: This Code shall repeal and supersede the
"Conflict of Interest Code of the City of Carlsbadll adopted October
2, 1979 and Title 9 of the Carlsbad Municipal Water District Administrative Code.
SECTION XI: Effective date: This Code shall be effective upon
adoption by resolution of the appropriate code reviewing body.
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9 18730. Provisions of Conflict of Interest Codes.
(a) Incorporation by reference of the texms of this regulation along
with the designation of employees and the foxmulation of disclosure cate-
gories in the Appendix referred to below constitute the adoption and pro-
ment Code section 87300 OT the amendment of a conflict of intenst code
within the meaning of Governmentcode section 87307 if the terms of this
regulation are substituted for terms of a conflict of interest code already
in effect. Acode so amended or adopted and promulgated requires there-
porting of reportable items in a manner substantially equivalent to the re-
quirements of article 2 of chapter 7 of the Political Reform Act, Govern-
ment Code sections 81000, et seq. The requirements of a conflict of
interest code are in addition to other requirements of the Political Refom
Act, such BS the general prohibition against conflicts ofinterest contained
in Government Code section 87100, and to other state or local laws per-
taining to conflicts of interest.
(b) The terms of a conflict of interest code amended or adopted and
promulgated pursuant to this regulation are as follows:
(1) Section 1. Definitions.
The definitions contained in the Political Reform Act of 1974, regula-
tions of the Fair Political Practices Commission (2 Cal. Code of Regs.
sections 18100 et sal.), and any amendments to the Act or regulations,
are incorporated by reference into this conflict of interest code.
muIgatlon of a conflict of interest Code within the meaning of ~~vern- 9
(2) Section 2. Designated Employees.
The persons holding positions listed in the Appendix are designated
employees. It has been determined that these persons make or participate
in the making of decisions which may foreseeably have a material effect
on financial interests.
(3) Section 3. Disclosure Categwies.
This code does not establish any disclosure obligation for those desig-
nated employees Who W also specified in Government Code section
87200 if they are designated in this Code in that same capacity or if the
geogmphi-cal jurisdiction of this agency is the same as or is wholly in-
cluded within the jurisdiction in which those persons must report theirfi-
nancial interests pursuant to article 2 of chapter 7 of the Political Reform
Act, Government Code sections 87200, et seq.' Such petsons arecovered
by this code for disqualification purposes only. With respect to all other
designated employees,the disclosure categories set forth in the Appendix
specify which kinds of financial interests are reportable. Such a desig-
nated employee shall disclose in his or her statement of economic inter-
ests those fmancial interests he or she has which are of the kind described
in the disclosure categories to which he or she is assigned in the Appen-
dix. It has been determined that the financial interests set forth in adesig-
nated employee's disclosure categories are the kinds of financial interests
which he or she foreseeably can affect materially through the conduct of
his or her office.
(4) Section 4. Statements of Economic Interests: Place of Filing.
The de reviewing body shall instruct all designated employees with-
in its code to fJe statements of economic interests with the agency or with
the cde reviewing body, as provided by the code reviewing body in the
agency's conflict of interest code2
i
:e 441 Rm 90. NCS. 42-45; 11-9-90
c. IT A
ge 1 of 5
UuLLc.IIlblIW. 1111 UbJl511ULUU VUYAUJ WU VU UJ UIC. agizGm effective date of this code, as originally adompmmul-
gated and approved by the code reviewing body, shall file statements
within 30 days after the effective date of this code. Thereafter, each per-
son 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.
(El) Assuming Office Statements. All persons assuming designated positions after the effective date of this code shall file statements within
30days afterassumingthe designated positions, orifsubjecttoStatcSen-
ate confinnation. 30 days aher being nominated or appointed.
(C) Annual Statements. All designatedemployees shall file statements
no latex than April 1.
@)Leaving Office Statements. All persons who leave designated po-
sitions shall file statements within 30 days after leaving office.
(5.5) Section 5.5. Statements for Persons Who Resign 30 Days After
Persons who resign within 30 days of initial appointment rn not
deemed to have assumed office or left office provided they did not make
or participate in the making of, or use their position to influence any deci-
sion and did not receive or become entitled to receive any form of pay-
ment as a result of their appointment. Such persons shall not file either
an assuming or leaving office statement.
(6) Section 6. Contents of and Period Covered by Statements of Eco-
nomic Interests.
(A) Contents of Initial Statements.
Initial statements shall disclose any reportable investments, interests
in real property and business positions held on the effective date of the
code and income received during the 12 months prior to the effective date
Appointment,
of the code.
(B) Contents of Assuming Office Statements.
Assuming office statements shall disclose any reportable investments,
interests in real property and business positions held on the date of assum-
ing office or, if subject to State Senate confiration or appointment, on
the date of nomination, and income received during the 12 months prior
to the date of assuming office or the date of being appointed or nominated,
respectively.
(C) Contents of Annual Statements. Annual statements shall disclose
any reportable investments, interests in real property, income and busi-
ness positions held or received during the previous calendar year pro-
vided, however, that the period covered by an employee’s first annual
statement shall begin on the effective date of the code or the date of as-
suming office whichever is later.
@) Contents of Leaving Ofice Statements.
Leaving office statements shall disclose reportable investments, inter-
ests in real property, income and business positions held or received dur-
ing the period between the closing date of the last statement filed and the
date of leaving office.
(7) Section 7. Manner of Reporting.
Statements of economic interests shall be made on forms prescribed
by the Fair Political Practices Commission and supplied by the agency,
and shall contain the following information:
(A) Investment and Real Property Disclosure.
When an investment or an interest in real property3 is required to be
reported: the statement shall contain the following:
1. A statement of the nature of the investment or interest;
2. The name of the business entity in which each investment is held,
and a general description of the business activity in which the business
entity is engaged;
3. The address or other precise location of the real property;
4. A statement whether the fairmarket value of the investment or inter-
est in real property exceeds one thousand dollars ($l,oOO), exceeds ten
thousand dollars ($lO,OOO), or exceeds one hundred thousand dollars
(% 1 W.OO0). Page 2 of 5
1. The n e and address of each source of income aggre 9 ting two
be repow statement shall contain:
hundred fifty dollars ($250) or more in value, or fifty dollars ($50) or
more in value if the income was a g& and a general description of the
business activity, if any, of each source.
2. A stakment whether the aggregate value of income fiom each
source, or in the case of a loan, the highest amount owed to each source,
was one thousand dollars ($l,OOO) or less, greater than one thousand dol-
lars ($1 ,OOO), or greater than ten thousand dollars ($ 10,OOO);
3. A description of the consideration, if any, for which the income was
received;
4. In the case of a gik the name, address and business activity of the
donor and any intermediary through which the gift was made; adescrip-
tion of the gift; the amount or value of the gift, and the date on which the
gift was received;
5. In the case of a loan, the annual interest rate and the security, if any,
given for the loan.
(C) Business Entity Income Disclosure. When income of a business
entity, including income of a sole proprietorship, is required to be re-
p~rted,~ the statement shall contain:
of the business entity;
2. The name of every person from whom the business entity mived
payments if the fier’s pro rata share of gross nxeipts from such person
was equal to or greater than ten thousand dollars ($lO,OOO).
(D) Business Position Disclosure. When business positions are re-
quired to be reported, a designated employee shall list the name and ad-
dress of each business entity in which he or she is a director, officer, part-
ner, trustee, employee, or in which he or she holds any position of
management, a description of the business activity in which the business
entity is engaged, and the designated employee’s position with the busi-
ness entity. (E) Acquisition or Disposal During Reporting Period. In the case of an
annual or leaving office statement, if an investment or an interest in red
property was partially or wholly acquired or disposed of during the period
covered by the statement, the statement shall contain the date of acquisi-
tion or disposal.
. 1. The name, address, and a general description of the business activity
(8) Section 8. Disqualification.
No designated employee shall make, participate in making, or in any way attempt to use his or her official position to influence the making of
any governmental decision which he or she knows or has reason to know
will have a reasonably foreseeable material financial effect, distinguish-
able from its effect on the public generally, on the official or a member
of his or her immediate family or on:
(A) Any business entity in which the designated employee has a direct
or indirect investment worth one thousand dollars ($1 ,OOO) or more;
(B) Any real property in which the designated employee has a direct
or indirect interest worth one thousand dollars ($l,OOO) or more;
(C) Any source of income, other than gifts and other than loans by a
commercial lending institution in the regular course of business on tenns
available to the public without regard to official status, aggregating two
hundred fifty dollars ($250) or more in value provided to, received by or
promised to the designated employee withii 12 months prior to the time
when the decision is made;
(D) Any business entity in which the designated employee is a dimtor, officer, partner, trustee, employee, or holds any position of management;
or
(E) Any donor of, or any intermediary or agent for a donor of, a gift
or gifts aggregating $250 or more in value provided to; wived by, or promised to the designated employee within 12 months prior to the time
when the decision is made. Page 3 of 5 (8.3) Section 8.3. Legally Required Participation.
-I,s uI a,J u-Io,uII w u1e CI+UI.L ..- v1 .I" apauon IS i;cii#j uired for the decision to be made. The fact Jm ~ e vote of a
designated employee who is on avdng body is needed to break a tie does
not make his or her participation legally required for purposes of this sec-
tion.
(8.5) Section 8.5. Disqualification of State Officers and Employees.
In addition to the general disqualification provisions of scction 8, no
state administrative official shall make, participate in making, or use his
or her official position to influence any governmental decision directly
dating to any contract where the state administrative official knows or has reason to know that any party to thecontract is a person with whom
the state administrative official, or any member of his or her immediate
family has, within 12 months prior to the time when the official action is
to be taken:
(A) Engaged in a business transaction or transactions on tern not available to members of the public, regarding any investment or intemt
in real property; or (B) Engaged in a business transaction or transactions on terns not
available to members of the public regarding the rendering of goods or
services totaling in value one thousand dollars ($l,OOO) or more.
(9) Section 9. Manner of Disqualification.
When a designated employee determines that he or she should not
make a governmental decision because he or she has a disqualifying in-
terest in it, the determination not to act must be accompanied by disclo-
sure of the disqualifying interest. In the case of a voting body, this deter-
mination and disclosure shall be made part of the agency's official
record; in the case of a designated employee who is the head of an agency,
this determination and disclosure shall be made in writing to his or her
appointing authority; and in the case of other designated employees, this
determination and disclosure shall be made in Writing to the designated
employee's supervisor.
(10) Section 10. Assistance of the Commission and Counsel.
Any designated employee who is unsure of his or her duties under this
code may request assistance hm the Fair Political Practices Commis-
sion pursuant to GovemmentCode section 83 1 14 or fmmthe attorney for
his or her agency, provided that nothing in this section requires the attor-
ney for the agency to issue any formal or informal opinion.
(1 1) Section 11. Violations.
This code has the force and effect of law. Designated employees vio-
nal and civil sanctions provided in the Political Reform Act, Government Code sections 81000-91014. In addition, a decision in relation to which
a violation of the disqualification provisions of this code or of Govem-
ment Code section 87 lo0 or 87450 has occurred may be set aside as void
pursuant to Government Code section 91003.
Nom Authority cited: Section 831 12, Government Code. Reference: Sections
8730047302, Government Code.
1. New section filed 4-2-80 as an emergency; effective upon filing (Register 80,
2. Editorial comxtion (Register 80, No. 29).
3. Amendment of subsection (b) filed 1-9-81; effective thirtieth day thereafter
4. Amendment of subsection (b)(7)(B)l. filed 1-26-83; effective thirtieth day
5. Amendment of subsectkm (b)(7)(A) filed 11-10-83; effective thirrieth day-
6. Amendment filed 4-13-87; operative 5-13-87 (Register 87, No. 16).
7. Amendment of subsection (b) filed 1CL21-88; operative 11-20-88 (Register
8. Amendment of subsections (b)(8)(A) and (b)(S)(B) and numerotls editorial
lating any provision of tius code a~ subject to the administrative, crimi-
HISQRY
No. 14). certificate of compliance hch~ded.
(Register 8 1, No. 2).
thereafter (Register 83, No. 5).
thereafier (Register 83, No. 46).
88, No. 46).
changes filed 8-28-90, operative P-27-90 (Reg. 90. No. 42).
1 Designated mp~oyees who are required to file statements of economic interests under any other agency's cwflict of interest code, or under article 2 for a differ-
cat jurisdiction, may expand their statement of economic interests to cover re- portable inkrests in both jurisdictions, and file copies of this expanded state-
Page 4 of 5
ment@oth entities m lieu of filing separate aad dis t@ statements,
proyi that each copy of such expanded statement filed in place of an ongml is signed and vdied by the designated employee as if it were m original. See Govemment Code Seaion 81004.
2 SeeGovemmentCodesection81010and2Cal.CodeofRegs.section 18115 forthe duties of filing officers and persons in agencies who make and retain co- pies of statements and fonvard the originals to the fhg officer.
3 Forthepurposeofdisclosureonly (notdisqualification),anminterestmrealprop
erty does not include the principal residence of the filer.
4 Investments and interests m real property which have a fair market value of less than %l,ooO are not investments and interests in real property within the mean-
mg of the Political Refarm Act However investments or interests m real prupxty of M individual include those heh by the individual’s spouse and
dependent children as well as a pro rata share of any investment a interest m
real prmy of any busmess entiq or trust in which the individual, SPOUEC md
dependent chiMren own, in the agpgate, a direct, indiwt or beneficial inter-
est of 10 percent or greater. s A designated employee’s income includes his or her community property mter- est in the income of his or her spouse but does not include salary or reimburse- ment for expenses received fram a state, local (x federal g0V-w agea~y.
6 locome of a business entity is reportable ifthe direct, iodirect or beneficial inter- est of the filer and the filer’s spouse in the business entity aggregates a 10 per-
cent or greater interest. In addition, the disclosure of persons who are clients
within one of the disclosue categories of the fjler. OT ~~stomer~ of a business entity is required only if the clients or customers are
. -- . . -. , -.-- - - - .)
Page 5 of 5
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0 18730. Provisions of Conflict of Interest Codes.
(a) Incorporation by reference of the tams of this regulation along
with the designation of employees and the formulation of disclosure cate-
gories in the Appendix referred to below constitute the adoption and pro-
ment Code section 87300 or the amendment of a conflict of interest code
within the meaning of GovernmentCode section 87307 if the terms of this
regulation are substituted for terms of a conflict of interest code already
in effect. A code so amended or adopted and promulgated requires the re-
porting of reportable items in a manner substantially equivalent to the re-
quirements of article 2 of chapter 7 of the Political Reform Act, Govern-
ment Code sections 81000, et seq. The requirements of a conflict of
Act, such as the general prohibition against conflicts of interest contained
in Government Code section 87100, and to other state or local laws per-
taining to conflicts of interest.
(b) The terms of a conflict of interest code amended or adopted and
promulgated pursuant to this regulation are as follows:
(1) Section 1. Definitions.
The definitions contained in the Political Reform Act of 1974, regula-
tions of the Fair Political Practices Commission (2 Cal. Code of Regs.
sections 18 100 et seq.), and any amendments to the Act or regulations,
are incorporated by reference into this conflict of interest code.
mulgation of a conflict of in-st code within the meaning of Govern- d
interest code are in addition to other requirements of the Political Reform
(2) Section 2. Designated Employees.
The persons holding positions listed in the Appendix are designated
employees. It has been determined that these persons make or participate
in the making of decisions which may foreseeably have a material effect
on financial interests.
(3) Section 3. Disclosure Categories. This code does not establish any disclosure obligation for those desig- nated employees who are also specified in Government Code section
87200 if they are designated in this code in that same capacity or if the
geographi-cal jurisdiction of this agency is the same as or is wholly in-
cluded within the jurisdiction in which those persons must report their fi-
nancial interests pursuant to article 2 of chapter 7 of the Political Reform
Act,Govemment Code sections 87200, et seq.’ Such persons are covered
by this code for disqualification purposes only. With respect to all other
designated employees, the disclosure categories set forth in the Appendix
specify which kinds of financial interests are reportable. Such a desig-
nated employee shall disclose in his or her statement of economic inter-
ests those financial interests he or she has which are of thekind described
in the disclosure categories to which he or she is assigned in the Appen-
dix. It has been determined that the financial interests set forth in a desig-
natedemployee’s disclosure categories are the kinds of financial interests
which he or she foreseeably can affect materially through the conduct of
his or her office.
(4) Section 4. Statements of Economic Interests: Place of Filing,
The code reviewing body shall instruct all designated employees with-
in its code to file statements of economic interests with the agency or with
the code reviewing body, as provided by the code reviewing body in the
agency’s conflict of interest code2
ti
:e 441 Rgister 90. Nos. 4245: 11-PW
1.i.
Page 1 of 5
awmtmts. ALI uGs1g;lla- GW~IUYGG~ cup "J -1- agency I*' m@ effective date of this code, as originally adoil;bromul-
gated and approved by the code reviewing body, shall file statements
within 30 days after the effective date of this code. Thereafter, each per-
son already in a position when it is designated by an amendment to this
of the amendment.
(€3) Assuming Office Statements. All persons assuming designated
positions after the effective date of this code shall file statements within
30days afterassumingthedesignated positions, orif subject tostatesen-
ate confirmation, 30 days after being nominated or appointed.
(C) Annual Statements. All designated employees shall file statements
no later than April 1.
(D) Leaving Office Statements. All persons who leave designated po-
sitions shall file statements within 30 days after leaving office.
(5.5) Section 5.5. Statements 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 left office provided they did not make
or participate in the making of, or use their position to influence any deci-
sion and did not receive or become entitled to receive any form of pay-
ment as a result of their appointment. Such persons shall not file either
an assuming or leaving office statement.
(6) Section 6. Contents of and Period Covered by Statements of Eco-
nomic Interests.
(A) Contents of Initial Statements.
Initial statements shall disclose any reportable investments, interests
in real property and business positions held on the effective date of the
Code and income received during the 12 months prior to the effective date
of the code.
code shall file an initial statement within 30 days after the effective date
(B) Contents of Assuming Office Statements.
Assuming office statements shall disclose any reportable investments,
interests in real property and business positions held on the date of assum-
ing office or, if subject to State Senate confirmation or appointment, on
the date of nomination, and income received during the 12 months prior
to the date of assuming office or thedate of being appointed ornominated,
respectively.
(C) Contents of Annual Statements. Annual statements shall disclose
any reportable investments, interests in real property, income and busi-
ness positions held or received during the previous calendar year pro-
vided, however, that the period covered by an employee's first annual
statement shall begin on the effective date of the code or the date of as-
suming office whichever is later. (D) Contents of Leaving Office Statements.
Leaving office statements shall disclose reportable investments, inter-
ests in real property, income and business positions held or received dur-
ing the period between the closing date of the last statement filed and the
date of leaving office.
(7) Section 7. Manner of Reporting. Statements of economic interests shall be made on forms prescribed
by the Fair Political Practices Commission and supplied by the agency,
and shall contain the following information:
(A) Investment and Real Property Disclosure.
When an investment or an interest in real property3 is required to be
xprted$ the statement shall contain the following:
1. A statement of the nature of the investment or interest;
2. The name of the business entity in which each investment is held,
and a general description of the business activity in which the business
entity is engaged;
3. The address or other precise location of the real property;
4. A statement whetherthe fair market value of the investment or inter-
est in real property exceeds one thousand dollars ($1 .OOO), exceeds ten thousand dollars ($lO,OOO), or exceeds one hundred thousand dollars
(!§ 1 oo,oO0). Page 2 of 5
Dna
mcome YWMVXW. w 11Gii pl aulla I_--_ ." I-__ .-
1. The name and address of each source of income aggregating two
hundred fifty dollars ($250) or more in value, or fifty dollars ($50) or
more in value if the income was a gift, and a general description of the business activity, if any, of each source.
2. A statement whether the aggregate value of income from each
source, or in the case of a loan, the highest amount owed to each source,
was one thousand dollars ($1 ,OOO) or less, greater than one thousand dol-
lars ($ l ,OOO), or greater than ten thousand dollars ($lO,OOO);
3. A description of the consideration, if any, for which the income was received;
4. In the case of a gift, the name, address and business activity of the
donor and any intermediary through which the gift was made; a descrip-
tion ofthe gift; the amount or vdue of the gift: and the date on which the
gift was received;
5. In the case of a loan, the annual interest rate and the security, if any,
given for the loan.
(C) Business Entity Income Disclosure. When income of a business
entity, including income of a sole proprietorship, is required to be re-
ported6 the statement shall contain:
1. The name, address, and a general description of the business activity
of the business entity;
2. The name of every person from whom the business entity received
payments if the fder's pro rata share of gross receipts from such person
was equal to or greater than ten thousand dollars ($lO,OOO). (D) Business Position Disclosure. When business positions are re-
quired to be reported, a designated employee shall list the name and ad-
dress of each business entity in which he or she is a director, officer, part-
ner, trustee, employee, or in which he or she holds any position of
management, adescription of the business activity in which the business
entity is engaged, and the designated employee's position with the busi-
ness entity. (E) Acquisition or Disposal During Reporting Period. In the case of an
annual or leaving office statement, if an investment or an interest in real
property was partially or wholly acquired or disposed of during the period
covered by the statement, the statement shall contain the date of acquisi-
tion or disposal.
be (a)re*& reporte e statement shall contain: @
(8) Section 8. Disqualification.
No designated employee shall make, participate in making, or in any
way attempt to use his or her official position to influence the making of any governmental decision which he or she knows or has reason to know
will have a reasonably foreseeable material financial effect, distinguish-
able from its effect on the public generally, on the official or a member
of his or her immediate family or on:
(A) Any business entity in which the designated employee has a direct
or indirect investment worth one thousand dollars ($l,oOO) or more;
(B) Any real property in which the designated employee has a direct
or indirect interest worth one thousand dollars ($l,oOO) or more;
(C) Any source of income, other than gifts and other than loans by a
available to the public without regard to official status, aggregating two
hundred fifty dollars ($250) or more in value provided to, received by or
promised to the designated employw within 12 months prior to the time
when the decision is made;
(D) Any business entity in which the designated employee is adrector,
officer, partner, trustee, employee, or holds any position of management;
or
(E) Any donor of, or any intermediary or agent for a donor of, a gift
or gifts aggregating $250 or more in value provided to; received by, or
promised to the designated employee within 12 months prior to the time
when the decision is made.
commercial lending institution in the regular course of business on terms
Page 3 of 5 (8.3) Section 8.3. Legally Required Participation.
IYU UeSlg,rtrrvu "Uy'", W" U,.LU. w yaw. "'I'CYU YVLY -I ' - - -z ing *ng of any decision to the extent his or hacipation is
legally required for the decision to be made. The fact that the vote of a
designated employee who is on avoting body is needed to break a tie does
not make his or her patkipation legally required for purposes of this S~C-
tion.
(8.5) Section 8.5. Disqualification of State Officers and Employees.
In addition to the general disqualification provisions of section 8, no
state administrative official shall make, participate in making, or use his
or her official position to influence any governmental decision directly
relating to any contract where the state administrative official knows or
has reason to know that any party to thecontract is a person with whom
the state administrative official, or any member of his or her immediate
family has, within 12 months prior to the time when the official action is
to be taken:
(A) Engaged in a business transaction or transactions on terms not
available to members of the public, regarding any investment or interest
in real property; or
(B) Engaged in a business transaction or transactions on terms not
available to members of the public regarding the rendering of goods or
services totaling in value one thousand dollars ($1 ,OOO) or more.
(9) Section 9. Manner of Disqualification.
When a designated employee determines that he OT she should not make a governmental decision because he or she has a disqualifying in-
terest in it, the determination not to act must be accompanied by disclo-
sure of the disqualifying interest. h the case of a voting body, this deter-
mination and disclosure shall be made part of the agency's official
record; in the case of a designated employee who is the head of an agency,
this determination and disclosure shall be made in writing to his or her
appointing authority; and in the case of other designated employees, this
determination and disclosure shall be made in writing to the designated
employee's supervisor.
(10) Section 10. Assistance of the Commission and Counsel.
Any designated employee who is unsure of his or her duties under this
code may request assistance.hm the Fair Political Practices Commis-
sion pursuant to Government Code section 83 1 14 or fromthe attorney for
his or her agency, provided that nothiig in this section requires the attor-
ney for the agency to issue any formal or informal opinion.
(1 1) Section 11. Violations.
This code has the force and effect of law. Designated employees vio-
lating any provision of this code are subpt to the administrative, crimi-
nal and civil sanctions provided in the Political Reform Act, Government
Code sections 81000-91014. In addition, a decision in relation to which
a violation of the disqualification provisions of this code or of Govern-
ment Code section 87 100 or 87450 has occurred may be set aside as void
pursuant to Government Code section 91003.
Nom Authority cited: Section 831 12, Government Code. Reference: Sections 87300-87302, Government Code.
HisroRY
1. New section filed 4-2-80 as an emergency; effective upon filing (Register 80,
2. Editorial cmection (Register 80, No. 29).
3. Amendment of subsection (b) filed 1-9-81; effective thirtieth day thereafter
4. Amendment of subsection @)(7)(B)1. filed 1-26-83; effective thirtieth day
5. Amendment of subsection (b)(7)(A) filed 11-10-83; effective thirtieth day-
6. Amendment filed 4-1387; operative 5-13-87 (Register 87, No. 16).
7. Amendment of subsection (b) filed 10-21-88; operative 11-20-88 (Register
8. Amendment of subsections @)(8)(A) and (b)(8)(B) and numerous editonal
No. 14). certificate of Compbance included.
(Register 8 1, No. 2).
thereafter (Register 83, No. 5).
thereafter (Register 83, No. 46).
88, No. 46).
changes filed 8-28-90; operawe 9-27-90 (Reg. 90, No. 42).
* Designated employees who are required to file statements of economic interests Page 4 of 5 undetanyotheragency'scxmflictofmterestcode,orunderarticle2foradiffer-
ent jurisdiction, may expand their statement of economic interests to cover re- portable interests m both jurisdictions, and fie copies of this expanded state-
arm w ment both entities in lieu of filing separate and distinct statements, provided that each copy of such expanded statement fied in place of an original
is signed and verified by the designated employee as ifit were an original. See Government Code section 8 1004.
2 See Government Code section 8 1010 and 2 Cal. Code of Regs. section 18 1 15 for the duties of fiig oficers and persons in agencies who make and retain CD- pies of statements and forward the originals to the filing officer.
3 Forthe purpose of disclosure only (not disqualification), an interest in real prop erty does not include the principal residence of the filer.
4 Investments and interests in real property which have a fair market value of less
than $1 ,OOO are not investments and interests in real property within the mean-
ing of the Political Ref- Act. However investments or interests m real property of an mdividual mclude those hefd by the individual’s spouse and
dependent children as well as a pro xata 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 awegate, a direct, indirect or beneficial inter- est of 10 percent or greater.
5 A designated employee’s income includes his or her Community property inter- est in the income of his or her spouse but does not include salary or reimburse- ment for expenses received from a state, local or federal government agency.
6 Income of a business entity is repoxtable if the direct., indirect or beneficial inter- est of the filer and the filer’s spouse in the business entity aggregates a 10 per- cent 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. . -_ - - -.. . -- - - - - - .
Page 5 of 5
a 0
APPENDIX
TO THE LOCAL CONFLICT OF INTEREST CODE OF THE CITY OF CARLSBAD
AND THE CARLSBAD MUNICIPAL WATER DISTRICT
The positions and categories within the City listed in this
appendix are "designated positions. I1 Any person whose position
with the City is a designated position is a designated employee. Designated employees shall disclose in the manner provided in the Amended Local Conflict of Interest Code of the City of Carlsbad those financial interests which are within the categories
represented by the number(s) following the listed position. The
categories correspond to the subsections of Title 2, California
Code of Regulations Section 18703, subsection 7 and represent the
following disclosures: rrlvr investment and real property disclosure;
1r2rr personal income disclosure; 11311 business entity income
disclosure; 114r9 business position disclosure.
DESIGNATED POSITIONS DISCLOSURE CATEGORIES
Mayor and Members of the City Council *
Chairman and Members of the Housing and
President, Vice President and
Redevelopment Commission *
Members of the Carlsbad Municipal Water District * * * City Manager City Attorney Secretary to the Housing and
Attorney of the Housing and
Redevelopment Commission *
Redevelopment Commission *
City Staff under City Manager:
Accountant 2, 3, 4 Arts Coordinator 2, 3, 4 Assistant City Engineer 1, 2, 3, 4 Assistant City Manager 1, 2, ?,..4jui;
* This position is required to report by virtue of Government Code Section 87200. It is included for disqualification purposes
only. See Government Code Section 87200 for disclosure requirements.
When a designated employee is also required to file a conflict of interest form under Article 2 (Gov't Code 887200, Form 721)
of the Act, he or she may expand their statement to cover reportable interests in both jurisdictions or both positions and file
copies of this expanded statement with the City Clerk provided that each copy of such expanded statement filed in place of
an original is signed and verified by the designated employee as if it were an original.
* *
Page 1 of 4
e W
Carlsbad Journal
Decreed A Legal Newspaper by the Superior Court of Sun Diego County
Mail all correspondence regarding public notice advertising to
W.C.C.N. Inc. P.O. Box 230878, Encinitas, CA 92023-0878 (619) 753-6543
Proof of Publication
STATE OF CALIFORNIA, ss.
COUNTY OF SAN DIEGO,
I am a citizen of the United States and a resident of the county aforesaid;
I am over the age of eighteen years, and not a party to or interested in the above entitled matter.
I am principal clerk of the printer of the Carlsbad Journal, a newspaper of general circulation,
published weekly in the City of Carlsbad, County of San Diego, State of California, and which newspaper
is published for the dissemination of locd news and intelIigence of a genera1 character, and which
newspaper at all times herein mentioned had and still has a bona fide subscription list of paying
subscribers, and which newspaper has been established, printed and published at regular intervals in the
said City of Carlsbad, County of San Diego, State of California, for a period exceeding one year next
preceding the date of publication of the
notice hereinafter referred to; and that the
notice of which the annexed is a printed
copy, has been published in each regular
and entire issue of said newspaper and not
in any supplement thereof on the follow-
ing dates, to-wit:
NOTICE OF PUBLIC HEARING
CITY OF CARLSBAD
INTEREST CODE
AMENDMENT OF
LOCAL CONFLICT OF
NOTICE IS HEREBY GIVEN that thecity CounciloftheCityofCarls- bad, California will hold a public hearing on October 15, 1991 at 6 00 p m in the City Council Chambers, 1200 Carlsbad Village Drive, Carls bad, California, pursuant to the Political Reform Act of 1974 (Title
9, commencing with Section 81000,
consider amending the Local Con- flict of Interest Code for the agen- cies of the City of Carlsbad The proposed amendment will gpdate the list of designated posi- tions to reflect current titles and classifications It will also require each member of the Arts Commis sion, Library Board of Trustees, Child Care Commission, Parks and Recreation Commission, Personnel Board, Senior Commission and Traffic Safety Commission to dis- close investments, interests in real property or income as required under Section 87200 of the Govern- ment Code Section 87311 of the Government
preparation of Conflict of Interest
cies shall be carned out under pro- cedures which guarantee to resi- dents of the junsdiction adequate notice and a fair opportunity to pre- sent their views Accordingly, any interested party may appear at the date and time stated above and be heard concerning the City of Carls-
A copy of the proposed Code is available for inspection at the office of the City Clerk, City of Carlsbad, 1200 Carlsbad Village Drive, Carlsbad, California
October 10 19 91
et seq of the Government Code) to 19-
19-
19-
19-
I certify under penalty of perjury that the
foregoing is true and correct. Executed at
Carlsbad, County of San Diego, State of Cali- the 10th fornia on October, 1991 day of
Code requires that the review and
Codes by local government agen-
1 Clerk of the Printer bad Conflict of Interest Code
CARLSBAD CITY COUNCIL '
a e
NOTICE OF PUBLIC HEARING
AMENDMENT OF CITY OF CARLSBAD LOCAL CO~LIC" OF INTEREST CODE
NOTICE IS HEREBY GIVEN that the City Council of the City of Carlsbad, California will
hold a public hearing on October 15, 1991 at 6:OO p.m. in the City Council Chambers,
1200 Carlsbad Village Drive, Carlsbad, California, pursuant to the Political Reform Act of
consider amending the Local Conflict of Interest Code for the agencies of the City of
Carlsbad.
The proposed amendment will update the list of designated positions to reflect current
titles and classifications. It will also require each member of the Arts Commission, Library
Board of Trustees, Child Care Commission, Parks and Recreation Cornmission, Personnel
Board, Senior Commission and Traffic Safety Commission to disclose investments, interests
in real property or income as required under Section 87200 of the Government Code.
Section 8731 1 of the Government Code requires that the review and preparation of Conflict
of Interest Codes by local government agencies shall be carried out under procedures which
guarantee to residents of the jurisdiction adequate notice and a fair opportunity to present
their views. Accordingly, any interested party may appear at the date and time stated
above and be heard concerning the City of Carlsbad Conflict of Interest Code.
A copy of the proposed Code is available for inspection at the office of the City Clerk, City
of Carlsbad, 1200 Carlsbad Village Drive, Carlsbad, California
PUBLISH: October 10, 1991
1974 (Title 9, commencing with Section 81000, et seq, of the Government Code) to
CARLSBAD CITY COUNCIL
LLYJ Dasswooa Ave. L-H Laminif0 lladrigal W-I~W I LLCIUCLILW
.rlsbad*, CA 92009 Carlsbad, CA 92009 Ilr Carlsbad, CA 92008
e Ladouceur Julie Baker John B. Strayer
60 Charter Oak Dr. 3523 Brookfield Way 2001 Cima Ct.
rlsbad, CA 92008 Carlsbad, CA 92008 Carlsbad, CA 92009
na Meilach Dennis Cutler Cindy Ward
18 Saliente Way rlsbad, CA 92009 Carlsbad, CA 92008 937 Begonia Ct. 4377 Yosemite St.
Carlsbad, CA 92009
?lanie Schuling Linda Gilk Kim Welshons
151 Cape Cod Circle 1730 Havens Point P1.
irlsbad, CA 92008 Carlsbad, CA 92008 Carlsbad, CA 92009
2121 Placido Ct.
itra Straub Merry L'Esperance Joe Eggleston
0. Box 1306 2051 Ladera Ct.
trlsbad, CA 92008 Carlsbad, CA 92009 3301 Belle Lane
Carlsbad, CA 92008
iry Wrench Mary Alice Isenhart Jere Kimbrell
irlsbad, CA 92008 Carlsbad, CA 92008 Carlsbad, CA 92009
7599 Dehesa Ct. ~31 Charter Oak 812-F Kalpati Circle
Barbara Mead Camille Mitkevich am Kauffman L90 Camino Arroyo 4140 Adams St. 4640 Trieste Dr.
ulsbad, CA 92009 Carlsbad, CA 92008 Carlsbad, CA 92008
ilton Cooper Mark Schwei Paul J. Newman
501 Avondale Cir. 4377 Tuolumne P1. 3476 Don Alberto Dr.
arlsbad, CA 92008 Carlsbad, CA 92008 Carlsbad, CA 92008
nomas Curtin David Castner Alvin Weinro t h
231 Waring Ct., Suite 6 1550 Sunrise Circle 7034 Snapdragon Dr.
:eanside, CA 92056 Carlsbad, CA 92008 Carlsbad, CA 92009
ary E. Grosse Ramona Finnila
850 Sunny Creek Rd. 4615 Trieste Dr.
arlsbad, CA 92008 Carlsbad, CA 92008
ichard F. Martin Anna Knox 350 Cipriano Lane 1860 Highridge Ave. arlsbad, CA 92008 Carlsbad, CA 92008
Charles Russell breg uavier m Meter Shop Supervisor w Street Maintenance Supervisc
in Hudock Jerry Rodriguez Water Maintenance Supervisor
pensation S, Benefits Mgr. Park Supervisor NONE AT THIS TIME
leen Finnegan Fred Burnell Afton Patrick
munity Arts Coordinator Park Supervisor Assistant to City Treasurer
ginia McCoy Don Lewis Richard Zuelsdorf
ctrical Operations Supervisor Police Lieutenant Building Maintenance Supenri
Mike Shipley Robert Greaney int Yates
iloyment Services Manager Police Lieutenant General Manager CMWD
Geoff Poole
Administrative Manager CMWD ‘y Jenner Greg Fried iipment Maintenance Supervisor Police Lieutenant
-?I ’
i. ?‘ .ie Clark Joe Hasenauer Kurt Musser
ian Resource Analyst Police Lieutenant Superintendent CMWD
Bob Coates, Acting lbie Ocampo James Hawks
nan Resource Assistant Police Lieutenant district Engineer CMWD
I Jensen Ken Price nan Resource Director ~ Principal Recreation Supervisor
:hael Bock John Montanez
iagement Assistant Sewer Maintenance Supervisor -
L1 Richmond Greg Woods
lia Services Manager Street Maintenance Supervisor
rl) LiIY Llbd DL. 231 Olive Ave. CarlsGd, CA 92008 1) Carlsbad, CA 92008
Theresa Maggio Roger Greer
2610 Unicornio St.
Carlsbad, CA 92009 Carlsbad, CA 92008
1352 Magnolia Ave.
Doris Ritchie - John Henley
3379 Garibaldo PI, $.,, 2430 Gary Circle
Carlsbad, CA 92008 Carlsbad, CA 92008 \
Anwood Van Fred W. Maerkle
!603-51 Avenida De Anita P.O. Box 1335 larlsbad, CA 92008 Carlsbad, CA 32008-0222
zma Chmiel Emmett J. Woodward, Jr.
121 Vista Rica arlsbsd, CA 92009 Carlsbad, CA 92008
‘--4225 Trieste Dr.
lhomas Blake
1522 Stockton P1.
:arlsbad, CA 92008
ohn C. Fuller
809 Valencia Ave. arlsbad, CA 92008
sry Melideo
59 Hemlock
srlsbad, CA 92008
smes Stachoviak
065 Basswood Ave.
irlsbad, CA 92008
rk Rifkin
21 Via Naranja
rlsbad, CA 92008