HomeMy WebLinkAbout1996-09-10; City Council; 13802; Amendment of Local Conflict of Interest CodeN
0. - -4 +a3 m2-J
,dig C g g.: clzs z 3 4
O m:: ' o 2p
ze a 4J"Z e20
5 Oa 434 .. C .. .rl 0
.- 0;2 5.2 c 6u o
sm .rl
SM-1E
omu
-4
5
ccl
- c) *ri -54 $
0: g
HOUSING AND REDEVELOPMENT COMMISSION - AGENDA BILL
AB# /g,bCsz TITLE: DEPT. HD.
MTG. 7+do-?& AMENDMENT OF LOCAL CONFLICT OF INTEREST CODE CITY ATPI. a
DEPT. CA CITYMGR. ?'%t --
RECOMMENDED ACTION:
The City Council, Housing and Redevelopment Commission and Carlsbad Municipal Watei
District Board, respectively, adopt Resolutions No.?b do&, et < (o , and Ag /
amending the local conflict of interest code for each legal entity in two respects: (1) to repea
the existing Conflict of Interest Code and its appendix and readopt by reference the mode
conflict of interest code as currently set forth in Section 18730 of Title 2, Division 6 of thc
California Code of Regulations; and (2) to adopt the revised appendix updating tht
designated positions and their disclosure categories.
ITEM EXPLANATION:
The Political Reform Act of 1974 requires agencies to amend the Conflict of Interest Code.
when circumstances change. The Act was amended in 1990 to specifically require bienni:
review in even-numbered years to determine if changed circumstances had occurred, and t
make appropriate amendments by October 1 of that year, if required. Staff has reviewed th
Code and determined that (1) there have been new duties assigned to existing position
necessitating changes; and (2) there are new classes added and changed job title
necessitating changes.
The amendment adds and deletes the positions and/or reporting categories for the reasor
shown opposite the class on the chart attached.
By agreement with the City, both the Housing and Redevelopment Commissic
(Redevelopment Agency) and the Water District have their services performed by Ci
employees, and the City is reimbursed by the other legal entity for those costs. According1
the Appendix to the Local Conflict of Interest Code lists positions of City employees who ai
designated for the purposes of disqualification and disclosure as a result of their duties fi
either the City or either of the other two agencies. As provided in the Conflict of Inter€
Code, employees occupying positions so designated can expand their disclosure statemer
to cover reportable interests for both jurisdictions and file such expanded disclosu
statements with the City Clerk, provided that each copy of the expanded disclosure stateme
is signed and verified by the designated employee as if it were an original.
Staff has continually reported the various changes since 1990 when we originally adopted tl
model conflict of interest code found in state regulations. However, the changes since tl
time have been numerous and it is staffs recommendation that the existing conflict of interc
code be repealed and that the model conflict of interest code most recently amended by 1
state, as set forth in Section 18730 of Title 2, Division 6 of the California Code of Regulatioi
be incorporated by reference.
4 a
Agenda Bill No.V< Bda/
Page 2
FISCAL IMPACT
A minor increase in administrative costs to distribute, complete and file the disclosure form!
from new classes and consultants.
EXHIBITS
1. City Council Resolution No. 9 6 -3CL
2. Carlsbad Municipal Water District Resolution No. 9 5 b
3. Housing and Redevelopment Commission Resolution No. 28 I
4. Conflict of Interest Code
5. Revised Appendix to the Local Conflict of Interest Code
6. Redlined version of Revised Appendix to the Local Conflict of Interest Cost
7. Chart
d 1
2
3
4
5
6
7
8
9
10
11
12
$a
13 mu? I?? Err& u.08 ow:
It12 044 l4 etga joa8 15 'Ui 5pm-X j$YO 16 Cc%a
a01 E2; >2% 17 60
LLa
18
19
20
21
22
23
24
25
26
27
28
* e I
RESOLUTION NO. 96-302
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
INTEREST CODE OF THE CITY OF CARLSBAD
WHEREAS, the City has previously adopted and amended its Local
CARLSBAD AMENDING THE LOCAL CONFLICT OF
Conflict of Interest Code; and
WHEREAS, provisions of the Political Reform Act of 1974 ("the Act")
(Government Code Section 81000 et seq.) require an amendment to said Code due to
changed circumstances, changed duties or new positions; and
WHEREAS, the State model Conflict of Interest Code has been amended
since last adopted by incorporation by reference; and
WHEREAS, the City Council is the Code reviewing body within the
meaning of the Act; and
WHEREAS, the City Clerk has prepared amendments to the Appendix
which are required to be incorporated in said code,
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of
Carlsbad, California as follows,
1. That the above recitations are true and correct.
2. That the attached revised Conflict of Interest Code and Appendix for
the combined City of Carlsbad, Carlsbad Housing and Redevelopment Agency, and
Carlsbad Municipal Water District reflecting the updated model code and changec
circumstances in positions and disclosure categories since the last amendment, arc
hereby approved with regard to the employees of the City of Carlsbad.
.. 1
2
3
4
5
6
7
a
9
10
11
12
13
14
Qm
$z& am8 Ow8
5055
225
:LLa
1z &g ::p 15
j>-m< -urn0
rrrqa 002 Lorn
2Z1 - 16
17
18
19
20
21
22
23
24
25
26
27
28
a0-I czz -
0
e 9
PASSED, APPROVED AND ADOPTED at a Regular Meeting of the City
Council of the City of Carlsbad on the 10th day of September 1996, by the following
vote, to wit:
AYES: Council Members Lewis, Nygaard, Kulchin, and Hall
NOES: None
ABSENT: Council Me
ATTEST:
ALETHA L. RAUTENKRANZ, City Clerq
I1
0 *
CONFLICT OF INTEREST CODE OF
THE CITY OF CARLSBAD
AND
THE CARLSBAD HOUSING AND REDEVELOPMENT AGENCY
AND
THE CARLSBAD MUNICIPAL WATER DISTRICT
ARTICLE I. GENERAL
SECTION I: Title: This Code shall be known and may be cited as "Conflict of Interest Code of the City of Carlsbad, Carlsbad Housing and Redevelopment Agency, and the Carlsbad Municipal Water District."
SECTION 11: Authority: This Code is adopted pursuant to the provisions of the "Political
Reform Act of 1974", 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.
B.
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;
C. Require the disclosure of such interests, by setting forth the specific types of interests which are reportable for each position;
D. Require that designated employees disqualify themselves from participation in City decision-making which may involve a conflict of interest.
SECTION IV: IncorDoration bv 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 "A", are hereby incorporated by this reference and constitute the
Conflict of Interest Code of the City of Carlsbad, Carlsbad Housing and Redevelopment Agency, and the Carlsbad Municipal Water District.
Page 1 of 3
0
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 and/or District, 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 ofice 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.
Where the disclosure category requires disclosure of interests in real property, the designated employee need only disclose real property which
is located in whole or 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
investments in business entities and sources sf 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.
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.
B.
sources of income, the designated employee need only disclose
D.
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.
Page 2 of 3
a a
SECTION VII: Desiqnated emplovee: "Designated employee" means any officer, employee, commission or board member or consultant to the City whose position is listed
in the Appendix of this Code.
SECTION VIII: Desiqnated Position: "Designated position" means a position 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: Reaulations: "Regulations" 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: Repeal: This Code shall repeal and supersede all previous versions of the
"Conflict of Interest Code of the City of Carlsbad, Housing and Redevelopment Agency and Carlsbad Municipal Water District".
SECTION Xi: Effective date: This Code shall be effective upon adoption by resolution of the appropriate code reviewing body.
I//
Ill
Ill
Ill
Ill
Ill
Ill
Ill
Ill
/I/
Ill
Ill
Ill
Ill
Ill
Page 3 of 3 August 1996
0 e
(Regulations of the Fair Political Practices Commission, Title 2, Division 6 of the California Code of Regulations)
18730. Provisions of conflict of Int ereR t Codes.
(a) Incorporation by reference of the terms of this
regulation along with the designation of employees and the
formulation of disclosure categories in the Appendix referred to
below constitute the adoption and promulgation of a conflict of
interest code within the meaning of Government Code Section 87300
or the amendment of a conflict of interest code within the meaning
of Government Code Section 87306 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 reporting of reportable items in a manner substantially
equivalent to the requirements of Article 2 of Chapter 7 of the
Political Reform Act, Government Code Sections 81000, & m. The
requirements of a conflict of interest code are in addition to
other requirements of the Political Reform Act, such as the
general prohibition against conflicts of interest contained in
Government Code Section 87100, and to other state or local lawe
pertaining to conflicts of interest.
(b) The terms of a conflict of interest code amended or
adopted and promulgated pursuant to this regulation are aa
follows:
(11 Section 1. Definitions. The definitions contained
in the Political Reform Act of 1974, regulation8 of the Fair
Political Practices Commission (2 Cal. Code of Regs. Sections
18100, s -.I, and any amendments to the Act or regulations, are
incorporated by reference into this conflict of intereat Code.
18730 1
Exhibit A to Conflict of Inti
Code
(CEB 9/95>
e a
(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.
(31 Section 3. Disclosure Categories. This code does
not establish any disclosure obligation for those designated
employees who are also specified in Government Code Section 87200
if they are designated in this code in that same capacity Or if
the geographical jurisdiction of this agency is the eame a8 or is
wholly included within the jurisdiction in which those persons
must report their financial interests pursuant to Article 2 of
Chapter 7 of the Political Reform Act, Government Code Sections
87200, & m
In addition, this code does not establish any disclosure
obligation for any designated employees who are designated in a
conflict of interest code for another agency, if all of the
following apply:
A) The geographical jurisdiction of this agency is the
same as or is wholly included within the jurisdiction of the other
agency ;
E) The disclosure assigned in the code of the other
agency is the same as that required under Article 2 of Chapter 7
of the Political Reform Act, Government Code Section 87200; and
2 18730
(CEB 9/95)
v a
1 C) The filing officer is the same for both agencies.
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 designated employee shall disclose in his or
her statement of economic interests those financial interests he
or she baa which age of the kind described in the disclosure
categories to which he or she is assigned in the Appendix.
been determined that the financial interests set forth in a
designated 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.
It has
(4) Section 4. Statements of Economic Interests:
The code reviewing body shall instruct all Place of Filing.
designated employees within 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
1 Designated employees who are required to file statement8 Of
economic interests under any other agency's conflict of interest code, or under Article 2 for a different jurisdiction, may expand
their statement of economic interests to cover reportable interests in both jurisdictions, and file copies of this expanded statement with both entities in lieu of filing separate and distinct statements, provided that each copy of such expanded statement filed in place of an original is signed and verified by the designated employee aa if it were an original. Code Section 81004.
See Government
3 18730
(CEB 9/95)
w a
2 conflict of interest code.
(5) Section 5. Statements of Economic Interests: Time
of Filing.
(A) Initial Statements. All delsignated employees
employed by the agency on the effective date of this code, as
originally adopted, promulgated and approved by the code reviewing
body, shall file statements within 30 days after the effective
date of this code. Thereafter, each person already in a positicn
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.
(8) Assuming Office Statements. All persons assuming
designated positions after the effective date of this code shall
file statements within 30 days after assuming the designated
positions, or if subject to State Senate 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 positions shall file statements within 30 days after
leaving office.
(5.5) Section 5.5. Statements for Persona Who Resign
Prior to Assuming Office.
of initial appointment, or within 30 days of the date of notice
Any person who resigns within 12 months
2
Section 18115 for the duties of filing officers and persons in
agencies who make and retain copies of statement6 md forward the originals to the filing officer.
See Government Code Section 81010 and 2 Cal. Code of Rega.
4 18730
(CEB 9/95)
w
provided by the filing officer to file an assuming office
statement, is not deemed to have assumed office or left office,
provided he or she did not make or participate in the making of,
or use his or her position to influence any decision and did not
receive or become entitled to receive any fonn of payment as a
result of his or her appointment. Such persons shall not file
either an assuming or leaving office statement.
(A) Any person who resigns a position within 30 days of
the date of a notice from the filing officer shall do both of the
following:
(1) File a written resignation with the appointing
power; and
(2) File a written statement with the filing officer
declaring under penalty of perjury that during the period between
appointment and resignation he or she did not make, participate in
. the making, or use the position to influence any decision of the
agency or receive, or become entitled to receive, any form of
payment by virtue of being appointed to the position.
(6) Section 6, Contents of and Period Covered by
Statements of Economic Interests.
(A) Contents of Initial Statements. Initial statements
shall disclose any reportable investments, interests in real
property and businesa positions held on the effective date of the
code and income received during the 12 months prior to the
effective date of the code.
(B) Contents of Assuming Office Statements. ABsumin9
office. statements shall disclose any reportable investments,
5 18730
(CEB 9/95)
e w
interests in real property and business positions held on the date
of assuming 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 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 business positions held or received during
the previous calendar year provided, 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 assuming office
whichever is later.
(Dl Contents of Leaving Office Statements. Leaving
office statements shall disclose reportable investments, interests
in real property, income and business positions held or received
during the period becween the ciosing 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) Investments and Real Property Disclosure. When an
investment or an interest in real property3 is required to be
3 For the purpose of disclosure only (not disqualification), an
interest in real property does not include the principal residence of the filer.
6 18730
(CEB 9195)
w
reported, 4 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 fair market value of the
investment or interest in real property exceeds one thousand
dollars !$1,000), exceeds ten thousand dollars ($lO,OOO), or
exceeds one hundred thousand dollars ($100,000).
(B) Personal Income Disclosure. When personal income
is required to be reported,’ the statement shall contain:
1. The name and address of each source of income
aggregating twg hundred fifty dollars ($250) or more in value or
fifty dollars ($SO) or more in value if the income was a gift, and
4
market value of less than $1,000 are not investments and interests
in real property within the meaning of the Political Reform Act. However, investments or interests in real property of an individual include those held by the individual’s apouae and dependent children as well as a pro rata share of any investment or interest in real property of any business entity or tmSt in which the individual, spouse and dependent children own, in the aggregate, a direct, indirect or beneficial interest of 10 percent or greater.
5
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.
Investments and interests in real property which have a fair
A designated employee’s income includes his or her community
7 18730
(CEB 9/95)
w 0
- 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 ($1,000) or less,
greater than one thousand dollars ($1,000), or greater than ten
thousand dollars ($10,000);
3. A description of the consideration, if any, for
which the income was received;
4. In the case of a gift, the name, address and
business activity of the donor and any intermediary through which
the gift was made; a description of the gift; the amount or value
of the gift; and the date on which the gift was received:
5. in the case of a loan, the annual interest rate and
the security, if any, given for the loan.
(C) Business Entity Income Disclosure. When income of
a business entity, including income of a sole proprietorship, is
required to be reported, c5 the statement shall contain:
1. The name, ad,dress, and a general description of the
business activity of the business entity;
2. The name of every person from whom the business
entity received payments if the filer's pro rata share of gross
6
indirect or beneficial interest of the filer and the filer's spouse in the business entity aggregates a 10 percent or greater interest. In addition, the disclosure of persons who are clients or customers of a business entity is required only if the clients or customers are within one of the disclosure categories of the filer .
Income of a business entity is reportable if the direct,
16730 a
(CEB 9/95)
a w
receipts from such person was equal to or greater than ten
thousand dollars ($io,ooo) .
(D) Business Position Disclosure. When business
positions are required to be reported, a designated employee shall
list the name and address of each business entity in which he or
she is a director, officer, partner, trustee, employee, or in
which he or she holds any position of management, a description of
the business activity in which the business entity is engaged, and
the designated employee’s position with the business 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 acquisition or
disposal.
(8) Section 8. Prohibition on Receipt of Honoraria.
(A) No member of a state board or commission, and no
designated employee of a state agency, shall accept any honorarium
from any source, if the member or employee would be required to
report the receipt of income or gifts from that source on his or
her statement of economic interests.
to any part-time member of the governing board of any public
institution of higher education, unless the member is a180 an
elected official.
This section shall not apply
Subdivisions (b), (c), (d), and (e) of Government Code
Section 89502 shall apply to the prohibitions in this Section.
18730 9
(CEB 9/95)
w 0
(B) No member of the governing board of a special
district or designated employee of a local government agency shall
accept any honorarium.
Subdivisions (b) , (c) , and (e) of Government Code
Section 89502 shall apply to the prohibitions in this section.
This section shall not limit or prohibit payments, advances, or
reimbursements for travel and related lodging and subsistence
authorized by Government Code Section 89506.
(8.1) Section 8.1 2rohibition on Receipt of Gifts of
$280 or More.
(A) No member of a state board or commission, and no
designated employee of a state agency, shall accept gifts with a
total value of more than two hundred eighty dollars ($280) in a
calendar year from any single source, if the member or employee
would be required to report the receipt of income or gifts from
that source on his or her statement of economic interests. This
section shall not apply to any part-time member of the governing
board of any public institution of higher education, unless the
member is also an elecced official.
Subdivi.sions (b), (cf, (dl, and (e) of Government Code
Section 89504 shall apply to the prohibitions in this section.
(B)
district, or designated employee of a local government agency
shall accept any gifts with a total value of more than two hundred
No member of the governing board of a Special
10 18730
(CEB 9/95)
W 0
eighty dollars ($280) in a calendar year from any single source.
Subdivision (dl of Government Code Section 89504 shall
apply to this section.
(9) Section 9. Disqualification. No designated
employee shall make, participate in making, or in any way attempt
ta 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,
distinguishable from its effect on the public generally, on the
official or a member of his or her immediate family or on:
Any business entity in which the designated (A)
employee has a direct or indirect investment worth one thousand
dollars ($1,000) or more;
(B) Any real property in which the designated employee
has a direct or indirect interest worth one thousand dollars
($1,000) or more;
(C) Any source of income, other than gifts and other
than loans by a commercial lending institution in the regular
course of business on terms available to the public without regard
to official status, aggregating two hundred fifty dollars ($250)
or more in value provided to, received by or promised to the
designated employee within 12 months prior to the time when the
decision is made;
(Dl Any business entity in which the designated
employee is a director, officer, partner, trustee, employee, 01:
holds any poaition of management; or
11 18730
(CEB 9/95)
w 0
(E) Any donor of, or any intermediary or agent for a
donor of, a gift or gifts aggregating two hundred and eighty
dollars ($280) 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.
(9.3) Section 9.3. Legally Required Participation. No
designated employee shall be prevented 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.
The fact that the vote of a designated employee who is on a voting
body is needed to break a tie does not make his or her
participation legally required for purposes of this section.
(9.5) Section 9.5. Disqualification of State Officers
In addition to the general disqualificatlon and Employees.
provisions of Section 9, 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 the contract 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 transacrion 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
18730 12
(CEB 9195)
w 0
rendering of goods or services totaling in value one thousand
dollars ($1,000) or more.
(10) Section 10. 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
interest in it, the determination not to act must be accompanied
by disclosure of the disqualifying interest.
voting body, this determination 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.
In the case of a
(11) Section 11. Assistance of the Commission and
Any designated employee who is unsure of his or her Counsel.
duties under this code may request assistance from the Fair
Political Practices Commission pursuant to Government Code Section
83114 or from rhe attorney for his or her agency, provided that
nothing in this section requires the attorney for the agency to
issue any formal or informal opinion.
(121 Section 12. Violations. This code has the force
and effect of law.
of this code are subject to the administrative, criminal and civil
sanctions provided in the Political Reform Act, Government Code
Designated employees violating any provision
13 18730
(CEB 9/95)
w e
Sections 81000 - 91014. In addition, a decision in relation to
which a violation of the disqualification provisions of this code
or of Government Code Section 87100 or 87450 has occurred may be
set aside as void pursuant to Government Code Section 91993,
Note: Authority: Section 83112, Gov. Code Reference: Sections 87300-87302, 89501, 89502, 89503,
and 89504, Gov. Code
Historv
(1) New section filed 4-2-80 as an emergency; effective upon
(2) Editorial correction.
(3) Amendment of subsection (b) filed 1-9-61; effective thirtieth
(4) Amendment of subsection (b) (7) (8) 1. filed 1-26-83; effective
(5) Amendment of subsection (b) (7) (A) filed 11-10-83; effective
(6) Amendment filed 4-13-87; effective thirtieth day thereafter.
(7) Amendment of subsection (Dl filed 10-21-88; effective
(8) Amendment filed 8-28-90; effective thirtieth day thereafter.
(9) Amendment filed 8-7-92; effective thirtieth day thereafter.
(10) Amendment filed 2-5-93; effective upon filing.
filing. Certificate of Compliance included.
day thereafter.
thirtieth day thereafter.
thirtieth day thereafter.
thirtieth day thereafter.
(11) Amendment filed 3-14-95; effective upon filing.
18730 14
(CEB 9/95>
1) - AMENDED APPENDIX TO THE LOCAL CONFLICT OF INTEREST CODE OF THE CITY OF CARLSBAD, THE HOUSING & REDEVELOPMENT AGENCY, CARLSBAD, CALIFORNIA
AND THE CARLSBAD MUNICIPAL WATER DISTRICT
The positions and categories within the City listed in this appendix are "designated positions." 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 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 18730, subsection 7 and represent the following disclosures: "1" investment and real property disclosure; "2" personal income disclosure; "3" business entity income
disclosure; "4" 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
City Manager * City Attorney * Executive Director to the Housing and Redevelopment Commission * Attorney of the Housing and Redevelopment Commission *
*
Redevelopment Commission *
Members of the Carlsbad Municipal Water District *
City Staff under City Manager:
Accountant 2, 3, 4 Accounting Supervisor 2, 3, 4 Administrative ServicesProject Mgr. 11 2, 3,4
Administrative Coordinator-Special Districts 2, 3 Arts Manager 1, 2, 3,4
Assistant to City Manager 1,2, 3,4 Assistant Engineer 1
Assistant Finance Director 1,2, 3,4
Assistant Planner 1
Assistant City Engineer Assistant City Manager 1, 2, 3, 4 1, 2, 3, 4
Assistant Library Director
Assistant Planning Director
11 21 3, 4
1, 2, 3, 4 Associate Engineer 1 Associate Planner 1
Page 1 of 4 (811196)
- u
AMENDED APPENDIX TO THE LOCAL CONFLICT OF INTEREST CODE OF THE CITY OF CARLSBAD, THE HOUSING & REDEVELOPMENT AGENCY, CARLSBAD, CALIFORNIA
AND THE CARLSBAD MUNICIPAL WATER DISTRICT
The positions and categories within the City listed in this appendix are "designated positions." 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 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 18730, subsection 7 and represent the following disclosures: "1" investment and real property disclosure; "2" personal income disclosure; "3" business entity income disclosure; "4" business position disclosure.
DESIGNATED POSITIONS DISCLOSURE CATEGORIES
Mayor and Members of the City Council *
Chairman and Members of the Housing and Redevelopment Commission * President, Vice President and Members of the Carlsbad Municipal Water District *
City Manager *
Executive Director to the Housing and Redevelopment Commission * Attorney of the Housing and Redevelopment Commission *
City Attorney *
City Staff under City Manager:
Accountant 2,3,4 Accounting Supervisor 2,3,4
Administrative Coordinator-Special Districts 2, 3
Assistant City Engineer 11 2,3,4 Assistant City Manager 172, 334 Assistant to City Manager 1,2, 3,4 Assistant Engineer 1
Assistant Finance Director 1,2, 3-4 Assistant Library Director Assistant PI an ner 1
Associate Engineer 1 Associate Planner 1
Administrative Services/Project Mgr.
Arts Manager
11 21 31 4
1, 2, 3, 4
1, 2, 3, 4
Assistant Planning Director 11 21 31 4
Page 1 of 4 (8/1/96)
- - Building Inspector I & II Building Maintenance Superintendent 2, 3 Building Maintenance Supervisor 2, 3 City Engineer 1, 2, 3,4 Code Enforcement Officer I & II 1,2 Community Arts Coordinator 2, 3,4 Community Development Director 1, 2,3,4 Community Services Director 1, 2,3,4 Construction Inspector I & II 2,3
Construction Supervisor 2, 3
Equipment Maintenance superintendent 2,3
Equipment Maintenance Supervisor 2, 3
Executive Assistant I,& 394 Finance Director 1, 2, 3,4 Financial Management Director 1,2,3,4 Fire Chief 2, 3 Fire Division Chief 2, 3 Fire Division Chief/Fire Marshal 2, 3 Fire Battalion Chief 2, 3 Geographic Information Systems Coordinator 2, 3 1,2, 3,4 1,2,3 Housing & Redevelopment Director Housing Program Manager Human Resources Assistant 2,3 Human Resources Director 23 Human Resources Manager 2, 3 Information Systems Director 2, 3,4 Information Systems Manager 2, 3 Library Director 1, 2, 3,4
Library Services Supervisor 2, 3
Management Analyst 2, 3 Management Assistant 2, 3
Media Programming Specialist 2,3 Municipal Projects Manager 1,2, 3,4 Park Development Coordinator 1,2,3,4 Parks Superintendent 1,2, 3,4 Parks Supervisor 2,3 Planning Director 1,2,3,4 Police Chief 2,3 Police Captain 2, 3 Police Lieutenant 2,3 Principal Building Inspector 2, 3 Principal Civil Engineer 2, 3 Principal Librarian 2, 3 Principal Construction Inspector 2, 3
Principal Planner 2, 3 Principal Recreation Supervisor 2, 3
Purchasing Officer 2, 3
Recreation Superintendent 2, 3 Risk Manager 1,2,3,4
Senior Accountant 1, 2, 3,4
1
Page 2 of 4 (811196)
- w
Senior Building Inspector 1,2,3 Senior Citizens Coordinator 2, 3 Senior Construction inspector 1,2, 3 Senior Management Analyst Senior Planner 2, 3 Street Maintenance Superintendent 2, 3 Street Maintenance Supervisor 2, 3 Traffic Engineer 1, 2, 3,4 Utilities/Maintenance Superintendent 2, 3
Assistant City Attorney 1,2,3,4 Deputy City Attorney 1,2, 3,4
1' 2, 3,4
City Attorney's Office:
City Clerk 2' 3,4 Assistant City Clerk 2, 3,4 Deputy City Clerk 2, 3,4
** Executive Manager of the
District Employees under the Executive Manager
Carlsbad Municipal Water District
of the Carlsbad Municipal Water District
Accountant 2, 3,4 Administrative Manager 1, 2, 3,4 Associate Engineer 1
Construction & Maintenance Supervisor 2, 3 Cross Connection Control Technician 1,2
District Engineer 1 1,2, 3,4 General Manager 1,2,3,4
Maintenance Superintendent 2, 3
Management Analyst - CMWD 2, 3 Meter Shop Supervisor 2, 3 Operations Superintendent 2, 3 Senior Engineering Inspector 1,293 Sewer Maintenance Supervisor 2,3 System Operations Supervisor 2, 3 Water Maintenance Supervisor 2, 3
General Counsel for the ** Carlsbad Municipal Water District
Members of the Housing Commission 1, 2, 3, 4
Members of the Arts Commission
Members of the Board of Library Trustees
Members of the Design Review Board
2, 3
1,2, 3,4
1, 2, 3,4
Page 3 of 4 (8/1/96)
- -w
Members of the Parks and Recreation Commission 1, 2, 3, 4
Members of the Planning Commission *
Members of the Senior Commission 2, 3, 4
Members of the Traffic Safety Commission 2,3,4
Members of the Water Commission 1, 21 31 4
*** Consultants
Officials Who Manaqe Public Investments:
It has been determined that the positions listed below manage public investments and will file the Form 721 Statement of Economic Interest:
City Treasurer
Deputy City Treasurer Assistant to the City Treasurer
*
*
*
1
* 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 987200, Fon 721)
of the Act, he or she may expand their statement to wver reportable interests in both jurisdictions or both positions and file
copies of this expanded statement with the Clty 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.
The duties of each consultant will be separately evaluated to determine whether or not disclosure will be required, and the
categories which will apply. The evaluation of the consultant's duties will be conducted by the department head of the
department which is responsible for the hiring of the consultants. The disclosure requirement shall be included in the
consultant's contract approved by the City Council, Housing and Redevelopment Commission, Clty Manager or Executive
Manager of the Carisbad Municipal Water District.
**
ftt
Page 4 of 4 (811196)
#
1
2
3
4
5
6
7
8
9
10
11
12
Om
SW? Yr 13 UUA 408 ?I,, ow2 14
okS0 onu 15 9 ,ai <>ma zwm0 222s 16
2::;
p$
gez 40-1 17
18
19
20
21
0
22
23
24
25
26
27
28
RESOLUTION NO. 956
A RESOLUTION OF THE BOARD OF DIRECTORS OF THE CARLSBAD MUNICIPAL WATER DISTRICT AMENDING
THE LOCAL CONFLICT OF INTEREST CODE OF THE CARLSBAD MUNICIPAL WATER DISTRICT.
WHEREAS, the District has previously adopted and amended its loc
conflict of interest code; and
WHEREAS, provisions of the Political Reform Act of 1974 (“the Aci
(Government Code Section 81000 et seq.) require an amendment to said code due
changed circumstances, changed duties or new positions; and
WHEREAS, the State model Conflict of Interest Code has been amendc
since last adopted by incorporation by reference; and
WHEREAS, the Board of Directors of the Carlsbad Municipal Water Distr
is the code reviewing body within the meaning of the Act; and
WHEREAS, the Secretary has prepared amendments to the Appenc
which are required to be incorporated in said code,
NOW, THEREFORE, BE IT RESOLVED by the Board of Directors of t
Carlsbad Municipal Water District as follows:
1. That the above recitations are true and correct.
2. That the revised Conflict of Interest Code and Appendix for t
combined City of Carlsbad, Carlsbad Housing and Redevelopment Agency, and Carlsb
Municipal Water District and reflecting the updated model code and chang
circumstances in positions and disclosure categories since the last amendment, i
hereby approved with regard to the employees of the Carlsbad Municipal Water District
Ill
Ill
Ill
Ill
Ill
c
1
2
3
4
5
6
7
8
9
10
11
12 0 sui m>- $E& 13
jU, 14 s::$ =kg=
J oooZ .a- 15
e>mG
$E$:- 16
408 ow:
zwv)
E9
>2% 17 bo
40-1
18
19
20
21
22
23
24
25
26
27
28
-
PASSED, APPROVED AND ADOPTED at a Regular Meeting of the Boa
of Directors of the Carlsbad Municipal Water District the City of Carlsbad on the 10t
day of September 1996, by the following vote, to wit:
AYES: Board Members Lewis, Nygaard, Kulchin, and Hall
NOES: None
ABSENT: Board Member
AlTEST:
ALETHA L. WUT
v -
t
CONFLICT OF INTEREST CODE OF
THE CITY OF CARLSBAD
AND
THE CARLSBAD HOUSING AND REDEVELOPMENT AGENCY
AND
THE CARLSBAD MUNICIPAL WATER DISTRICT
ARTICLE I. GENERAL
SECTION I: Title: This Code shall be known and may be cited as "Conflict of Interest Code of the City of Carlsbad, Carlsbad Housing and Redevelopment Agency, and the Carlsbad Municipal Water District."
SECTION II: Authoritv: This Code is adopted pursuant to the provisions of the "Political Reform Act of 1974', 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 Ill: Pumose: This Code is adopted in order to:
' a.
B.
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;
C. Require the disclosure of such interests, by setting forth the specific types of interests which are reportable for each position;
D. Require that designated employees disqualify themselves from participation in City decision-making which may involve a conflict of interest.
SECTION IV: Incorporation bv 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 "A, are hereby incorporated by this reference and constitute the Conflict of Interest Code of the City of Carlsbad, Carlsbad Housing and Redevelopment Agency, and the Carisbad Municipal Water District.
Page 1 of 3
- -
8
SEGTION 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 and/or District, 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,
Where the disclosure category requires disclosure of interests in real property, the designated employee need only disclose real property which is located in whole or 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.
Where the disclosure category requires disclosure of business positions,
the designated employee need only disclose positions of director, officer,
or enterprises operated for profit.
B.
D.
partner, trustee, employee, or any position of management in organizations
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.
Page 2 of 3
-
SECTION VII: Desisnated emdovee: "Designated employee" means any officer, employee, commission or board member or consultant to the City whose position is listed in the Appendix of this Code.
SECTION VIII: Desiqnated position: "Designated position" means a position 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: "Regulations" 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: Repeal: This Code shall repeal and supersede all previous versions of the "Conflict of Interest Code of the City of Carlsbad, Housing and Redevelopment Agency and Carlsbad Municipal Water District".
SECTION XI: Effective date: This Code shall be effective upon adoption by resolution of the appropriate code reviewing body.
Ill
Ill
Ill
Ill
Ill
Ill
Ill
Ill
Ill
Ill
Ill
Ill
Ill
Ill
Ill
Page 3 of 3 August 1996
- -
(Regulations of the Fair Political Practices Commission, Title 2, Division 6 of the California code of Regulations)
18730. Provisions of CQElflict of Interest Coda.
(a) Incorporation by reference of the terms of this
regulation along with the designation of employees and the
fornulation of disclosure categories in the Appendix referred to
below constitute the adoption and promulgation of a conflict of
interest code within the meaning of Government Code Section 87300
or the amendment of a conflict of interest code within the meaning
of Government Code Section 87306 if the terms of this regulation
are substituted for terms of a conflict of interest code already
in effect.
the reporting of reportable items in a manner substantially
equivalent to the requirements of Article 2 of Chapter 7 of the
Political Reform Act, Government Code Sections 81000, S u. The
requirements of a conflict of interest code are in addition to
A code so amended or adopted and promulgated requires
other requirements of the Political Reform Act, such as the
general prohibition against conflicts of interest contained in
Government Code Section 87100, and to other state or local laws
pertaining to conflicts of interest.
(b) The terms of a conflict of interest code amended or
adopted and promulgated pursuant to this regulation are ad
follows :
(1) Section 1. Definitions. The definition8 contained
in the Political Reform Act of 1974, regulation8 of the Fair
Political Practices Commission (2 Cal. Code of Regs. SecCioM
18100, G m.) , and any amendments to the Act 02 rcdatlanr, are
incorporated by reference into this conflict of interest Coda.
18730 1
Exhibit A to Conflict of I
Code
(CEB 9/95)
- t
(21 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 foresetably have a material
effect on financial interests.
(31 Section 3. Disclosure Categories. Thia code does
not establish any disclosure obligation for those designated
employees who are also specified in Government Code Section 87200
if they are designated in this code in that same Capacity Or if
che geographical jurisdiction of this agency is the same as or is
wholly included within the jurisdiction in which those persons
must report their financial interests pursuant to &tide 2 of
Chapter 7 of the Political Reform Act, Government Code Sections
87200, & Seu.
In addition, this code does not establish any disclosure
obligation for any designated employees who are designated in a
conflict of interest code for another agency, if all of the
following apply:
A) The geographical jurisdiction of this agency is the
same as or is wholly included within the jurisdiction of the other
agency;
E) ?he disclosure assigned in the code of the other
agency is the same as that required under Article 2 of Chapter 7
of the Political Reform Act, Govcrnment.Code Section 87200; and
2 18730
(CEB 9/95)
t v
1 C) The filing officer is the 3ame for both agencies.
Such persons are covered by this code for
disqualification purposes only.
designated employees, the disclosure categories set forth in the
Appendix specify which kinds of financial interests are
reporzable. Such a designated employee shall disclose in his 0::
her statement of economic interests those financial interests he
or she has which are of the kind described in the disclosure
categories to which he or she is assigned in the Appendix. It has
been detennined that the financial interests set forth in a
designated employee's disclosure caregories are the kinds of
financial interests which he or she foreseeably can affect
materially through the conduct of his or her office.
With respect to all other
(4) Section 4. statements of Economic Interests:
The code reviewing body shall instruct all Place of Filing.
designated employees within its code to file statement8 of
economic interests with the agency or with the code reviewing
body, as provided by the code reviewing body in the agency's
1 Designated employees who are required to file statements of
economic interests under any ocher agency's conflict of interest code, or under Article 2 for a different jurisdiction, may expand
their statement of economic interests to cover reportable interests in both jurisdictions, and file copies of this expanded statement with both entities in lieu of filing Separate and
statement filed in place of an original is signed and verified bY the designated employee as if it were an original. Code Section 81004.
distinct statements, provided that tach copy of such expMdcd
Set Government
3 18730
(CEB 9/95)
7
2 conflict of interest code.
(5) Section 5. Statements of Economic Interests: Time
of Filing.
(A) Initial Statements. All designated employees
employed by the agency on the effective date of this code, as
originally adopted, promulgated and approved by the code reviewing
body, shall file statements within 30 days after the effective
date of this code. Thereafter, each person already in a position
when it is designated by an amendment to this code shall file an
initial statement within 30 days after the effective date of the
amendment.
(B) Assuming Office Statements. All persons assuming
designated positions after the effective date of this code shall
file statements within 30 days after assuming the designated
positions, or if subject to State Senate confirmation, 30 days
after being nominated or appointed.
(C) Annual Statements. All designated employees shall
file statements no later than April 1.
(Dl Leaving Office Statements. All persons who leave
designated positions shall file statements within 30 day8 after
leaving office.
(S.5) Section 5.5. Statements for Persons Who Resign
Prior to Assuming Office.
of initial appointment, or within 36 days of the date of notice
Any person who resigns within 12 months
2
Section 18215 for the dutica of filing officers and perrons in
agencies who make and retain copies of statements and toward the
originals to the filing officer.
See Government Code Section 81010 and 2 Cal. Code of Regs.
4 18730
(CEB 9/95)
~ -
provided by the filing officer to file an assuming office
statement, is not deemed to have assumed office or left office,
provided he or she did not make or participate in the making of,
or use his or her position to influence any decision and did not
receive or become entitled to receive any form of payment as a
result of his or her appointment. Such persons shall not file
either an assuming or leaving office Statement.
(A) Any person who resigns a position within 30 days of
the date of a notice from the filing officer shall do both of the
following:
(1) File a written resignation with the appointing
power; and
(2) File a written statement with the filing officer
declaring under penalty of perjury that during the period between
appointment and resignation he or she did not make, participate in
the making, or use the position to influence any decision Of the
agency or receive, or become entitled to receive, any form of
payment by virtue of being appointed to the position.
(6) Section 6. Contents of and Period Covered by
Statements of Economic Intercste.
(A) Contents of Initial Statements. Initial etatements
shall disclose any reportable investments, interests in real
property and busineso poaitions held on the effective date of the
code and income received during the 12 months prior to the
effective date of the code.
(B) Contents of Assuming Off ice Statements Aseuming
office. statements shall disclose any reportable investments,
5 18730
(CEB 9/95)
-
interests in real Property and business positions held on the date
of assuming office or, if subjecc 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 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 busineee positions held or received during
the previous calendar year provided, 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 assuming office
whichever is later.
(Dl Contents of Leaving Office Statements. Leaving
office statements shall disclose reportable investments, interests
in real property, income and business positions held or received
during the period between the ciosing date of the last statement
filed and the date of leaving office.
(7) Section 7. Mannet 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) Investments and Real Property Disclosure. When an
investment or an interest in real property3 is required to be
For the purpose of disclosure only (not disqualification), an
interest in real property docs not include the principal residence of the filer.
3
6 18730
(CEB 9/95)
- -
reported, 4 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 whecher the fair market value of the
investment or interest in real property exceeds one thousand
dollars (Sl,OOO), exceeds ten thousand dollars (SlO,OOO), or
exceeds one hundred thousand dollars ($100,000).
(B) Personal Income Disclosure. When personal income
is required to be reported,' the statement shall contain:
1. The name and address of each source of income
aggregating twg hundred fifty dollars ($2501 or more in Value or
fifry dollars (SSO) or more in value if the income was a gift, and
4 Investments and interests in real property which have a fair
market value of less than $1,000 are not investments and interests
in real property within the meaning of the Political Reform Act. However, investments or interests in real property Of an individual include those held by the individual's spouse and
dependent children as well as a pro rata share of any inveetment or interest in real property of any business entity or trust in
which the individual, spouse and dependent children om, in the
aggregate, a direct, indirect or beneficial interest of 10 percent or greater.
' 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.
7 18739
(CEB 9/95>
w -
a general description of the business acKivity, 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 (51,000) or less,
greater than one thousand dollars (S1,0001, or greater than ten
thousand dollars (Sl0,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 description of the gift; the amount or value
of che gift; and the date on which the gLfz was received;
5. In the case of a loan, the a.z?ual 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 reported, 6 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 bueiness
enriry received paymcncs if the filer's pro rata share of gross
'
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 .
Income of a business entity is reportable if the direct,
18730 8
(CEB 9/95)
v 1
receipts from such person was equal to or greater than ten
thousand dollars (S10,ooo) .
(D) Business Position Disclosure. When business
positions are required to be reported, a designated employee shall
list the name and address of each business entity in which he or
she is a director, officer, partner, trustee, employee, or in
which he or she holds any position of management, a deecription of
the business activity in which the business entity is engaged, and
the designated employee's position with the business 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 acquisition. or
disposal I
(8) Section 8. Prohibition on Receipt of Honoraria.
(A) No member of a state board or commission, and no
designated employee of a state agency, shall accept any honorarium
from any source, if the member or employee would be required to
report the receipt of income or gifts from that source on his or
her Statement of economic interests. This section shall not apply
to any part-time member of the governing board of any public
institution of higher education, unless the member is a180 an
elected official.
Subdivisions (b), (c), (dl, and (e) of Government Code
Section 89502 shall apply to the prohibitions in this ecction.
9 18730
(CEB 9/95)
- -
(B) No member of the governing board of a special
district or designated employee of a local government agency shall
accept any honorarium.
subdivisions (b), (c), and (e) of Government Code
Section 89502 shall apply to the prohibitions in this section.
This section shall not limit or prohibit payments, advances, or
reimbursements for travel and related lodging and subsistence
authorized by Government Code Section 89506.
(8.1) Section 8.1 ?rohibition on Receipt of Gifts of
$200 or More.
(A) No member of a state board or commission, and no
designated employee of a state agency, shall accept gifts with a
total value of more than two hundred eighty dollars ($280) in a
calendar year from any single source, if the member or employee
would be required to report the receipt of income or gifts from
thac source on his or her statement of economic interests. This
seccion shall not apply to any part-time member of the governing
3oard of any public institution of higber education, unless the
member is also an elected official.
Subdivi,sions (b) 0 (c) 0 (d), and (e) of Government Code
Section 89504 shall apply to the prohibitions in this section.
(B) No member of the governing board of a special
district, or designated employee of a local government agency
shall accept any gifts with a total value of more than two hundred
10730 10
(CEB 9!95)
- - eighty dollars ($280) in a calendar year from any sirigle source.
Subdivision (dl of Government Code Section 89504 shall
apply to this section.
(9) Section 9. 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,
distinguishable from its effect on the public generally, on the
official gt 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 (51,000) or more;
(8) Any real property in which the designated employee
has a direct or indirect interest worth one thousand dollars
($1,000) or more;
(C) Any source of income, other than gifts and other
than loans by a commercial lending institution in the regular
course of business on terms available to the public without regard
to official status, aggregating two hundred fifty dollars (SZSO)
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;
(Dl Any busincsa entity in which the dcaignated
employee is a director, officer, partner, trustee, employee, or
holds any poaition of management; or
11 18330
(CEB 9/95)
w -
(E) Any donor of, or any intermediary or agent for a
donor of, a gift Or gifts agyregaring two hundred and eighty
dollars ($280) 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.
(9.3) Section 9.3. Legally Required Participation. No
designated employee shall be prevented 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.
The fact that the vote of a designated employee who is on a voting
body is needed to break a tie does not make his or her
participation legally required for purposes of this section.
(9.9 Section 9 .S. Disqualification of State Officers
and Employees.
provisions of Section 9, no state administrative official shall
nake, 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 the contract is a person with
whom the state administrative official, or any member Of hi8 or
her immediate family has, within 12 months prior to the time when
the official action is to be taken:
In addition to the general disqualification
(A) Engaged in a bU8antaS transacsisn st transactions
an terms not available to members of the public, regarding any
investment or interest in real property; or
(E) Engaged in a business transaction or transactions
on terms not available to members of the public regarding the
12 18730
(CEB 9/95)
w -
rendering of goods or services totaling in value one thousand
dollars ($1,000) or more.
(10) Section 10. 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
interest in iE, the determination not to act must be accompanied
by disclosure of the disqualifying interest.
voting body, this determination and disclosure shall be made part
of the agency's official record; in the case of a deeignated
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.
In the caac of a
(11) Section 11. Assistance of the Commission and
Counsel.
duties under this code may request assistance from the Fair
Political Practices Commission pursuant to Government Code Section
83114 or from the attorney for his or her agency, provided that
nothing in this section requires the attorney for the agency to
issue any fornal or informal opinion.
Any designated employee who is unsure of his or her
(121 Section 12. Violations. This code has the force
and effect of law.
of this code are subject to the administrative, criminal and civil
Designated employees violating any provision
sanctions provided in the Political Reform Act, Government Code
13 18730
(CEB 9/95)
w -
Sections 81000 - 91014. In addition, a decision in relation to
which a violation of the disqualification provisions of this code
or of Government Code Section 87100 or 87450 has occurred may be
set aside as void pursuant to Government Code Section 91003.
m: Authority: Section 83112, Gov. Code
Reference: Sections 87300-87302, 89501, 89502, 89503, and 89504, Gov. Code
Hlstorv
(1) New section filed 4-2-80 as an emergency; effective upon
(2) Editorial correction.
(31 Amendment of subsection (b) filed 1-9-81; effective thirtieth
(4) Amendment of subsection (b) (7) (B)1. filed 1-26-83; effective
(5) Amendment of subsection ib) (7) (A) filed 11-10-83; effective
(6) Amendment filed 4-13-87; effective thirtieth day thereafter.
(7) Amendment of subsection (b) filed 10-21-88; effective
(8) Amendment filed 8-28-90; effective thirtieth day thereafter.
(9) Amendment filed 8-7-92; effective thirtieth day thereafter.
(13) Amendment filed 2-5-93; effective upon filing.
(11) Amendment filed 3-14-95; effective upon filing.
filing. Certificate of Compliance included.
day thereafter.
thirtieth day thereafter.
thirtieth day thereafter.
thirtieth day thereafter.
10730 14
(CEB 9195)
-w --
AMENDED APPENDIX TO THE LOCAL CONFLICT OF INTEREST CODE OF THE CITY OF CARLSBAD, THE HOUSING & REDEVELOPMENT AGENCY, CARLSBAD, CALIFORNIA
AND THE CARLSBAD MUNICIPAL WATER DISTRICT
The positions and categories within the City listed in this appendix are "designated positions." 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 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 18730, subsection 7 and represent the following disclosures: "1" investment and real property disclosure; "2" personal income disclosure; "3" business entity income disclosure; "4" business position disclosure.
DESIGNATED POSITIONS DISCLOSURE CATEGORIES
Mayor and Members of the City Council Chairman and Members of the Housing and Redevelopment Commission ' President, Vice President and Members of the Carlsbad Municipal
Water District City Manager * City Attorney Executive Director to the Housing and
Attorney of the Housing and
*
*
*
*
Redevelopment Commission
Redevelopment Commission
*
*
City Staff under City Manager:
Accountant 2, 3,4
Administrative Services/Project Mgr. 1,2, 3,4
Administrative Coordinator-Special Districts 2, 3 Arts Manager 112, 394 Assistant City Engineer 1, 2,3,4 Assistant City Manager 1, 2,3,4 Assistant to City Manager I, 2, 3,4 Assistant Engineer 1
Assistant Finance Director 1,2, 3,4 Assistant Library Director 1, 2, 3,4 Assistant Planner 1 Assistant Planning Director 1, 2, 3'4 Associate Engineer 1
Associate Planner 1
Accounting Supervisor 2, 3, 4
Page 1 of 4 (8/1/96)
- 'I w-
Building Inspector I & I1
Building Maintenance Superintendent 2, 3 Building Maintenance Supervisor 2, 3 City Engineer 1, 2, 3,4 Code Enforcement Officer I & II 1,2
Community Arts Coordinator 2, 3,4 Community Development Director 1, 2, 3,4 Community Services Director 1,2,3,4 Construction Inspector I & II 2, 3 Construction Supervisor 2, 3 Equipment Maintenance Superintendent 2, 3 Equipment Maintenance Supervisor 2, 3 Executive Assistant 1, 2, 3,4 Finance Director 1, 2, 3,4
Fire Chief 2, 3 Fire Division Chief 2, 3 Fire Division Chief/Fire Marshal 2, 3 Fire Battalion Chief 2, 3 Geographic Information Systems Coordinator 2, 3
Housing Program Manager 11 2, 3 Human Resources Assistant 2, 3 Human Resources Director 2, 3
Human Resources Manager 2, 3 Information Systems Director 2, 3,4 Information Systems Manager 2, 3 Library Director 1,2, 3,4 Library Services Supervisor 2, 3 Management Analyst 2, 3 Management Assistant 2,3 Media Programming Specialist 2,3 Municipal Projects Manager 1, 2,3,4 Park Development Coordinator 1,2, 3,4
Parks Supervisor 2, 3
Planning Director 1,2, 314 Police Chief 2,3 Police Captain 2, 3
Police Lieutenant 2,3 Principal Building Inspector 2, 3 Principal Civil Engineer 2, 3 Principal Librarian 2, 3
Principal Construction Inspector 2, 3 Principal Planner 2, 3 Principal Recreation Supervisor 2, 3 Purchasing Officer 2, 3 Recreation Superintendent 2, 3
Risk Manager 1, 2, 3,4 1,2, 3,4
1
Financial Management Director 1, 2, 3,4
Housing & Redevelopment Director , 1, 2, 3, 4
Parks Superintendent 1, 2, 3, 4
Sen io r Acco u n tan t
Page 2 of 4 (8/1/96)
w- -
Senior Building inspector 1,2, 3 Senior Citizens Coordinator 2, 3 Senior Construction inspector 1, 2, 3
Senior Management Analyst 1,2,3,4 Senior Planner 2, 3 Street Maintenance Superintendent 273 Street Maintenance Supervisor 2, 3 Traffic Engineer 1, 2, 34 UtilitieslMaintenance Superintendent 2,3
City Attorney's Office:
Assistant City Attorney
Deputy City Attorney 1, 2, 3,4 1, 2, 3,4
City Clerk 2, 3,4 Assistant City Clerk 2,3,4 Deputy City Clerk 2, 3,4
** Executive Manager of the
District Employees under the Executive Manager
Carlsbad Municipal Water District
of the Carlsbad Municipal Water District
Accountant 2, 3,4 Ad mi n istra tive Manager Associate Engineer 1
Construction & Maintenance Supervisor 2, 3
Cross Connection Control Technician 1,2 District Engineer ' 1, 2, 3,4
General Manager 1,2,3,4 Maintenance Superintendent 2,3 Management Analyst - CMWD 2, 3
Meter Shop Supervisor 2, 3 Operations Superintendent 2, 3
Senior Engineering Inspector 1, 293 Sewer Maintenance Supervisor 2,3 System Operations Supervisor 2, 3
Water Maintenance Supervisor 2, 3
I,2,3,4
** General Counsel for the Carlsbad Municipal Water District
Members of the Housing Commission t21 314
2, 3
1,2, 3'4
1, z3,4
Members of the Arts Commission
Members of the Board of Library Trustees
Members of the Design Review Board
Page 3 of 4 (811196)
-- -- Members of the Parks and Recreation Commission
Members of the Planning Commission
Members of the Senior Commission
Members of the Traffic Safety Commission
Members of the Water Commission
Consultants
Officials Who Manaae Public Investments:
I, 2, 3,4
*
2,3,4
2,394
1,2, 3,4
***
It has been determined that the positions listed below manage public investments and will file the Form 721 Statement of Economic Interest:
City Treasurer Deputy City Treasurer Assistant to the City Treasurer
* *
*
6
* This position is requinxl to report by virtue of Government Code Section 87200. It is included for disqualification purposes
only. See Government Code Sedion 87200 for disclosure requirements.
When a designated employee is also required to file a conftid of interest form under Article 2 (Gov't Code $87200, Form 721)
of the Act, he or she may expand their statement to cover reportable interests in both jurisdictions or both positions and file
copies of this expanded statement with the Clty Clerk provided that each mpy of such expanded statement filed in place of
an original is signed and verified by the designated employee as if k were an original.
The duties of each consultant will be separately evaluated to determine whether or not disclosure will be required. and the
categories which will apply. The evaluation of the consultant's duties will be conducted by the department head of the department which IS responsible for the hiring of the consultants. The disclosure requirement shall be included in the
consultant's contract approved by the Ci Council, Housing and Redevelopment Commission, Ci Manager or Executive
Manager of the Carlsbad Municipal Water Distrid.
**
*..
Page 4 of 4 (8/1/96)
?A
1
2
3
4
5
6
7
8
9
10
11
Qm 12
13 I?? zg$
14 0lug ?LC3 $035
E-> CAE cjOc12 15 a>Ss oZJ ZWV)" - 16 un%o
SlA?
E2 aoJ
E23 l7
0 la
19
20
21
22
23
24
25
26
27
28
- -
RESOLUTION NO. 281
A RESOLUTION OF THE HOUSING AND
REDEVELOPMENT COMMISSION OF THE CITY OF
CARLSBAD, CALIFORNIA AMENDING THE LOCAL
CONFLICT OF INTEREST CODE OF THE HOUSING AND
REDEVELOPMENT AGENCY
WHEREAS, the Housing and Redevelopment Agency of the City
Carlsbad, California has previously adopted and amended its Local Conflict of Interel
Code; and
WHEREAS, provisions of the Political Reform Act of 1974 ("the Act
(Government Code Section 81000 et seq.) require an amendment to said Code due
changed circumstances, changed duties or new positions; and
WHEREAS, the State model Conflict of Interest Code has been amend€
since last adopted by incorporation by reference; and
WHEREAS, the Housing and Redevelopment Commission is the COC
reviewing body within the meaning of the Act; and
WHEREAS, the Secretary has prepared amendments to the Append
which are required to be incorporated in said code,
NOW, THEREFORE, BE IT RESOLVED by the Housing ar
Redevelopment Commission of the City of Carlsbad, California as follows,
1. That the above recitations are true and correct.
2. That the attached revised Conflict of Interest Code and Appendix f
the combined City of Carlsbad, Carlsbad Housing and Redevelopment Agency, ai
Carlsbad Municipal Water District reflecting the updated model code and change
circumstances in positions and disclosure categories since the last amendment, ai
hereby approved with regard to the employees of the Housing and Redevelopme
Agency.
z
1
2
3
4
5
6
7
8
9
10 ''
*> &J$ 13 l2
OO,
&ifm an8 Ow8 l4 :Lo
9"s 15
a>m<
EES~ 16
SZSS Ekgg
52YCJ
E:;
t'p: 17 6CJ <a1
18
19
20
21
22
23
24
25
26
27
28
-
PASSED, APPROVED AND ADOPTED at a Regular Meeting of th
day t Housing and Redevelopment Commission of the City of Carlsbad on the 10th
September 1996, by the following vote, to wit:
AYES: Commissioners Lewis, Nygaard, Kulchin, and Hall
NOES: None
ABSENT: Commissioner
ATTEST:
UL
Raymond R. Patchett, Secretary FRANK MANNEN, Assistant Secretary
~
P
CONFLICT OF INTEREST CODE OF
THE CITY OF CARLSBAD
- AND
THE CARLSBAD HOUSING AND REDEVELOPMENT AGENCY
- AND
THE CARLSBAD MUNICIPAL WATER DISTRICT
ARTICLE I. GENERAL
SECTION I: Title: This Code shall be known and may be cited as "Conflict of Interest Code of the City of Carlsbad, Carlsbad Housing and Redevelopment Agency, and the Carlsbad Municipal Water District."
SECTION II: Authority: This Code is adopted pursuant to the provisions of the "Political Reform Act of 1974', 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 Ill: Puipose: This Code is adopted in order to:
a.
B.
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;
C. Require the disclosure of such interests, by setting forth the specific types of interests which are reportable for each position;
D. Require that designated employees disqualify themselves from participation in City
decision-making which may involve a conflict of interest.
SECTION IV: Incornoration 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 "A', are hereby incorporated by this reference and constitute the
Conflict of Interest Code of the City of Carlsbad, Carlsbad Housing and Redevelopment Agency, and the Carlsbad Municipal Water District.
Page 1 of 3
- .
SECTIONV: 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 and/or District, filing may be made on a single fortn(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
been determined that these persons make or participate in making decisions which foreseeably may have a material effect on such financial interests.
Where the disclosure category requires disclosure of interests in real property, the designated employee need only disclose real property which is located in whole or 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.
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.
"Disclosure Categories" opposite the Column "Designated Positions". It has
6.
D.
SECTION Vkm: "Act" means the Political Reform Act of 1974, comprising Title 9
(commencing with Section 81 000) of the Government Code of the State of California.
Page 2 of 3
SECTION VII: Designated emplovee: "Designated employee" means any officer, employee, commission or board member or consultant to the City whose position is listed
SECTION VIII: Desianated oosition: "Designated position" means a position 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: Reaulations: "Regulations" 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: Repeal: This Code shall repeal and supersede all previous versions of the "Conflict of Interest Code of the City of Carlsbad, Housing and Redevelopment Agency and Carlsbad Municipal Water District".
SECTION XI: Effective date: This Code shall be effective upon adoption by resolution of the appropriate code reviewing body.
in the Appendix of this Code.
Ill
Ill
Ill
Ill
Ill
Ill
Ill
Ill
I//
111
Ill
Ill
Ill
Ill
Ill
Page 3 of 3 August 1996
(Regulations of the Fair Political Practices Commission, Title 2, Division 6 of the California code of Regulations)
16730. Provisions of Conflict of Interest Codes.
(a) Incogoration by reference of the terms of this
regulation along with the designacion of employees and the
formulation of disclosure categories in the Appendix referred to
below constitute the adoption and promulgation of a conflict of
interest code within the meaning of Government Code Section 87300
or the amendment of a conflict of interest code within the meaning
of Government Code Section 87306 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 requiree
the reporting of reportable items in a manner substantially
equivalent to the requirements of Article 2 of Chapter 7 of the
Political Reform Act, Government Code Sections 81000, gS 9~p. The
requirements af a conflict of interest code are in addition to
other requirements of the Political Reform Act, such ao the
general prohibition against conflicts of interest contained in
Government Code Section 87100, and to other state or local lawe
pertaining to conflicts of interest.
(b) The terms of a conflict of interest code amended or
adopted and promulgated pursuant to this regulation are a8
follows :
(11 Section 1. Definitions. The definition8 contained
in the Political Reform Act of 1974, regulation8 of the Fair
Political Practices Commission (2 Cal. Code of Regs. SeCtiOM
18100, % s~ro.1, and any amendments to the Act or regulation., are
incorporated by reference into this conflict of intereat Coda.
1 18730
Exhibit A to
Conflict of I
Code
(CEB 9/95)
(2) Section 2. Designated Employees. The persons
holding positions listed in the Appendix are designated employees.
It has been detennined 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. Thio code does
not establish any disclosure obligation for those designated
employees who are also specified in Government Code Section 87200
if they are designated in this code in that same capacity or if
the geographical jurisdiction of this agency is the game ae or is
wholly included within the jurisdiction in which those persons
must report their financial interests pursuant to Article 2 of
Chapter 7 of the Political Reform Act, Government Code Sections
87200, g& m
In addition, this code does not establish any disclosure
obligation for any designated employees who are designated in a
conflict of interest code for another agency, if all of the
following apply:
A) The geographical jurisdiction of this agency is the
same as or is wholly included'within the jurisdiction of the other
agency;
B) The disclosure assigned in the code of the other
agency is the same as that required under Article 2 of Chapter 7
of the Political Reform Act, Govcrnrnent.Code Section 87200; and
2 18730
(CEB 9/95)
-
1 C)
Such persons are covered by this code for
The filing officer is the same for both agencies.
disqualification purposes only.
designated employees, the disclosure categories set forth in the
Appendix specify which kinds of financial interests are
reportable. Such a designated employee shall disclose in his or
her statement of economic interests those financial interests he
or she has which are of the kind described in the disclosure
categories to which he or she is assigned in the Appendix. It has
been determined rhar the financial intercars set forth in a
designated 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.
With respect to all other
(4) Section 4. Statements of Economic Interests:
Place of Filing. The code reviewing body shall instruct all
designated employees within 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
1 Designated employees who are required to file statements of
economic interests under any other agency's conflict of intereat code, or under Article 2 for a different jurisdiction, may expand
their statement of economic interests to cover reportable interests in both jurisdictions, and file copies of this expanded
statement with both entities in lieu of filing separate and
distinct statements, provided that each copy of such expanded Statement filed in place of an original is signed and verified by the designated employee an if it were an original. Code Section 81004.
See Government
3 18730
(CEB 9/95)
conflict of interest code. 2
of Filing.
(5) Section 5. Statements of Economic Interests: Time
(A) Initial Statements. All deeignated employees
employed by the agency on the effective date of this code, as
originally adopted, promulgated and approved by the code reviewing
body, shall file statements within 30 days after the effective
date of this code.
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.
Thereafter, each person already in a positicn
(E) Assuming Office Statements. All persons assuming
designated positions after che effective date of this code Shall
file statements within 30 days after assuming the designated
positions, or if subject to State Senate confirmation, 30 days
after being nominated or appointed.
(C) Annual Statements. All designated employees shall
file statements no later than April 1.
(Dl Leaving Office Statements. All persons who leave
designated positions shall file statements within 30 day8 after
leaving office.
(5.5) Section 5.5. statements for Persons Who Resign
Prior to Aseuming Office,
of initial appointment, or within 30 days of the date of notice
Any person who rtsigrra within LZ mouth:,
2
Section l8llS for the duties of filing officer8 and persona in agencies who make and retain copies of atatementa.md foward the
originale to the filing officer.
See Government Code Section 81010 and 2 Cal. Code of Reg6.
18730 4
(CEB 9/95)
provided by the filing officer to file an assuming office
statement, is not deemed to have assumed office or left office,
prwided he or she did not make or participate in the making of,
or use his or her position to influence any decision and did not
receive or became entitled to receive any form of payment as a
result of his or her appointment. Such persons shall nor file
either an assuming or leaving office statement.
(A) Any person who resigns a position within 30 days of
the date of a notice from the filing officer shall do both of the
following:
(1) File a written resignation with the appointing
power; and
(2) File a written statement with the filing officer
declaring under penalty of perjury that during the period between
appointment and resignation he or she did not make, participate in
the making, or use the position to influence any decision of the
agency or receive, or become entitled to receive, any form of
payment by virtue of being appointed to the position.
(6) Section 6. Contents of and Period Covered by
Statements of Economic Interests.
(A) Contents of Initial Statements. Initial 8tatements
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.
(81 Contents of Assuming Off ice Statements e Asauminy
office statements shall disclose any reportable inve@tments,
5 imo
(CEB 9195)
-
interests in real property and business positions held on the date
of assuming office or, if subjecc 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 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 busines6 positions held or received during
the previous calendar year provided, 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 assuming office
whichever is later.
(Dl Contents of Leaving Office Statements. Leaving
office statements shall disclose reportable investments, interests
in real property, income and business positions held or received
during the period between the cLosing date of the last statement
filed and the date of leaving office.
(7) Section 7. Manner of Reporting. StatcfWntS Of
eccnomic inreresrs shall be mgde on forms prescribed by the Fair
Political Practices Commission and supplied by the agency, and
shall contain the following information:
(A) Investments and Real Property Disclosure. When an
investment or an interest in real property3 is required to be
3 For the purpose of disclosure only (not disqualification) t an
interest in real property does not include the principal residence of the filer.
6 uno
(CEB 9/95)
4 reported, the statement shall contain the fallawing:
1. A statement of the nature of the investment or
interest;
2. The name of the business entity in which each
investment is held, and a general description of the business
activity in which the business entity is engaged;
3. The address or other precise location of the real
property ;
4. A statement whether the fair market value of the
investment or interest in real property exceeds one thousand
dollars (Sl,OOO), exceeds ten thousand dollars (SlO,OOO), or
exceeds one hundred thousand dollars ($100,000).
(B) Personal Income Disclosure. When personal income
is required to be reported,’ the statement shall contain:
1. The name and address of each source of income
aggregating two hundred fifty dollars ($250) or more in value or
fifty dollars ($50) or more in value if the income wa8 a gift, and
4 Investments and interests in real property which have a fair
market value of less than $1,000 are not investments and interests in real property within the meaning of the Political Reform Act.
However, investments or interests in real property of an
dependent children as well as a pro rata share of any investment or interest in real property of any business entity or tmst in
which the individual, spouse and dependent children own, in the
aggregate, a direct, indirect or beneficial interest of 10 percent or greater.
’
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.
individual include those held by the individual’s epouse and
A designated employee‘s income includes his or her community
7 18730
(CEB 9/95)
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
awed to each source, was one thousand dollars (51,000) or less,
greater than one thousand dollars (Si,OO01, or greater than ten
thousand dollars (510,000);
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 gifc was made; a description of the gift; the amount or value
of the gift; and the date on which the gifz 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 reported, 6 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
ehtity received payments if the filer's pro rata share of gross
6
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 persona who arc 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.
Income of a business entity is reportable if the direct,
18730 0
(CEB 9/95)
-
receipts from such person was equal to or greater than ten
thousand dollars ($lo,ooo) .
(Dl Business Position Disclosure. When business
positions are required to be reported. a designated employee shall
list the name and address of each business entity in which he or
she is a director, officer, partner, trustee, employee, or in
which he or she holds any position of management, a description of
the business activity in which the business entity is engaged, and
the designated employee's position with the business 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 acquioition'or
disposal.
(8) Section 8. Prohibition on Receipt of Honoraria.
(A) No member of a state board or commission, and no
designated employee of a stace agency, shall accept any honorarium
from any source, if the member or employee would be required to
report the receipt of income or gifts from that source on his or
her statement of economic interests. This section shall not apply
to any part-time member of the governing board of any public
institution of higher education, unless the member is a180 an
elected official.
Subdivisions (b), (c), (dl, and (e) of Government Code
Section 89502 shall apply to the prohibitions in this section.
18730 9
(CEB 9/95)
(B) No member of the governing board of a epecial
district or designated employee of a local government agency shall
accept any honorarium.
Subdivisions (b), (c), and (e) of Governrnenr Code
Section 89502 shall apply to the prohibitions in this section.
This section shall not limit or prohibit payments, advances, or
reimbursements for travel and related lodging and subsistence
authorized by Government Code Section 89506.
(8.1) Section 8.1 Prohibition on Receipt of Gifts of
$280 or More.
(A) No member of a state board or commission, and no
designated employee of a state agency, shall accept gifts with a
eatal value of more than two hundred eighty dollars (S280) in a
calendar year from any single source, if the member or employee
would be required to report the receipt of income or gifts from
that source on his or her statement of economic interests. This
section shall not apply to any part-time member of the governing
board of any public institution of higher educarion, unless the
member is also an elected official.
Subdivi.sions (b), (c), (dl, and (e) of Government Code
Section 89504 shall apply to the prohibitians in this section.
(8) No member of the governing board of a special
district, or designated employee of a local government agency
shall accept any gifts with a total value of more than two hundred
10 18730
(CEB 9/95)
-
eighty dollars ($260) in a calendar year from any single source.
Subdivision (dl of Government Code Section 89504 shall
apply to this section.
(9) Section 9. 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,
distinguishable from its effect on the public generally, on the
official or a member of his or her immediate family or on:
Any business entity in which the designated (A)
employee has a direct or indirect investment worth one thousand
dollars ($1,000) or more;
(E) Any real property in which the designated employee
has a direct or indirect interest worth one thousand dollars
($1,000) or more;
(C) Any source of income, other than gifts and other
than loans by a commercial lending institution in the regular
course of business on terms available to the public without regard
to official status, aggregating two hundred fifty dollar8 (SZSO)
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;
(0) Any business entity in which the designated
.employee is a director, officer, partner, tmstee, employee. or
holds any position of management; or
11 18730
(CEB 9/95)
(E) Any donor of, or any intermediary or agenc for a
donor of, a gift Or gifts aggregating two hundred and eighty
dollars ($280) or more in value provided to; received by, or
promised to the designated employee within 12 months prior to the
cirne when the decision is made.
(9.3) Section 9.3. Legally Required Participation. No
designated employee shall be prevented 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.
The fact that the vote of a designated employee who is on a voting
body is needed to break a tie does not make his or her
participation legally required for purposes of this section.
(9.5) Section 9.5. Disqualification of State Officers
In addition to the general disqualification and Employees,
provisions of Section 9, no state administrative official shall
nake, 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 the contract 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 buaine8s transaction or transactions
on terms not available to members of the public, regarding any
iavestment or interest in real property; or
(E) Engaged in a business transaction or transactions
on terms not available to members of the public regarding the
18730 12
(CEB 9195)
-
rendering of goods or services totaling in value one thousand
dollars ($1,000) or more.
(10) Section 10. 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
interest in it, che determination not to act must be accompanied
by disclosure of the disqualifying interest. In the case of a
voting body, this determination and disclosure shall be made part
of the agency's official record; in the case of a designaced
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.
(11) Section 11. Assistance of the Commission and
Any designated employee who is unsure of his or her Counsel.
duties under this code may request assistance from the Fair
Political Practices Commission pursuant to Government Code Section
83114 or from the attorney for his or her agency, provided that
nothing in this section requires the attorney for the agency tO
issue any fomal or informal opinion.
(12) Section 12. Violations. This code has the force
and effect of law.
of this code are subject to the administrative, criminal and civil
sanctions provided in the Political Reform Act, Government Code
Designated employees violating any proViSiOn
13 18730
(CEB 9/95)
- w
Sections 81000 - 91014. In addition, a decision in relation to
which a violation of the disqualification prOviSiOn8 of this code
or of Government Code Section 87100 or 87450 has occurred may be
set aside as void pursuant to Government Code Section 91003.
w: Authority: Section 83112, Gov. Code Reference: Sections 87300-87302, 89501, 89502, 89503, and 89504, Gov. Code
Sfistory
(1) New section filed 4-2-80 as an emergency; effective upon
(2 1 Editorial correct ion.
(3) Amendment of subsection (b) filed 1-9-81; effective thirtieth
(4) Amendment of subsection (b) (7) (B)1. filed 1-26-83; effective
(5) Amendment of subsection (b) (7) (A) filed 11-10-83; effective
(6) Amendment filed 4-13-87; effective thirtieth day thereafter.
(7) Amendment of subsection (b) filed 10-21-88; effective
(8) Amendment filed 8-28-90; effective thirtieth day thereafter.
(9) Amendment filed 8-7-92; effective thirtieth day thereafter.
(13) Amendment filed 2'-5-93; effective upon filing.
(11) Amendment filed 3-14-95; effective upon filing.
filing. Certificate of Compliance included.
day thereafter.
thirtieth day thereafter.
thirrieth day thereafrer.
thirtieth day thereafter.
18730 14
(CEB 9/95)
-
AMENDED APPENDIX TO THE LOCAL CONFLICT OF INTEREST CODE OF THE CITY OF CARLSBAD,
THE HOUSING & REDEVELOPMENT AGENCY, CARLSBAD, CALIFORNIA AND THE CARLSBAD MUNICIPAL WATER DISTRICT
The positions and categories within the City listed in this appendix are "designated positions." 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 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 18730, subsection 7 and represent the following disclosures: "I" investment and real property disclosure; "2" personal income disclosure; "3" business entity income disclosure; "4" 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 * Executive Director to the Housing and Redevelopment Commission * Attorney of the Housing and Redevelopment Commission *
City Staff under City Manager:
Accountant 2, 3, 4 Accounting Supervisor 2, 3, 4 Administrative Services/Project Mgr.
Arts Manager Assistant City Engineer
1, 2, 3, 4
11 2, 3, 4 11 2, 3, 4
Administrative Coordinator-Special Districts 2,3
Assistant City Manager 1,2,3,4 Assistant to City Manager
Assistant Engineer 1
112, 3,4
Assistant Finance Director Assistant Library Director 1, 2, 3, 4 1, 2, 3, 4 Assistant Planner 1 Assist ant Planning Director Associate Engineer 1 Associate Planner 1
1,Z 3,4
Page 1 of 4 (8/1/96)
I
Building Inspector I & II Building Maintenance Superintendent 2, 3 Building Maintenance Supervisor 2,3 City Engineer 1,2, 3,4 Code Enforcement Officer I & I1 1,2
1
Community Arts Coordinator Community Development Director Community Services Director
2, 3, 4 1, 2, 31 4 AI 2, 3, 4 Construction Inspector I & II 2, 3 Construction Supervisor 2, 3 Equipment Maintenance Superintendent 2, 3 Equipment Maintenance Supervisor 2, 3
Financial Management Director 1,2, 3,4 Fire Chief 2,3 Fire Division Chief 2,3 Fire Division Chief/Fire Marshal 2, 3 Fire Battalion Chief 2, 3 Geographic Information Systems Coordinator 2, 3
Housing Program Manager 1,2,3 Human Resources Assistant 213 Human Resources Director 2,3
Human Resources Manager 2,3
Information Systems Manager 2,3
Library Services Supervisor 2, 3 Management Analyst 2-3 Management Assistant 2,3 Media Programming Specialist 293
Parks Supervisor 2, 3
Police Chief 2,3
Police Captain 2,3 Police Lieutenant 213
Principal Building Inspector 213 Principal Civil Engineer 2, 3 Principal Librarian 2,3 Principal Construction Inspector 233
Principal Planner 2, 3 Principal Recreation Supervisor 2, 3 Purchasing Officer 2,3 Recreation Superintendent 2,3
Executive Assistant 1, 2, 3, 4 Finance Director 11 2, 3, 4
Housing & Redevelopment Director 1, 2, 3, 4
Information Systems Director
Library Director 1, 2, 3,4
2, 3, 4
Municipal Projects Manager Park Development Coordinator Parks Superintendent
Planning Director
1, 2, 3,4 1 ? 2, 3, 4 1, 21 31 4
1, 2, 3, 4
Risk Manager 1, 2, 3,4
Senior Accountant 1, 2, 31 4
Page 2 of 4 (811196)
-
Senior Building Inspector 1,2,3 Senior Citizens Coordinator 2,3 Senior Construction Inspector 1,2,3 Senior Management Analyst 1,2, 3,4 Senior Planner 2, 3 Street Maintenance Superintendent 2,3 Street Maintenance Supervisor 2, 3
UtilitiedMaintenance Superintendent 2, 3
Traffic Engineer 1, 2, 3, 4
City Attorney’s Office:
Assistant City Attorney 1,2, 3,4 Deputy City Attorney 1,2, 3,4
City Clerk 2,3,4 Assistant City Clerk 2,3,4
Deputy City Clerk 2, 3,4
** Executive Manager of the Carlsbad Municipal Water District
District Employees under the Executive Manager of the Carlsbad Municipal Water District
Accountant 2,3,4 Administrative Manager 1,2, 3,4 Associate Engineer 1
Construction & Maintenance Supervisor 2,3 Cross Connection Control Technician 1,2 District Engineer 1,2, 394 General Manager 1, 2, 394 Maintenance Superintendent 2, 3 Management Analyst - CMWD 2, 3
Meter Shop Supervisor 23
Operations Superintendent 273 Senior Engineering Inspector 1,2,3 Sewer Maintenance Supervisor 2, 3
System Operations Supervisor 293 Water Maintenance Supervisor 2, 3
** General Counsel for the
Carlsbad Municipal Water District
Members of the Housing Commission
Members of the Arts Commission
Members of the Board of Library Trustees
Members of the Design Review Board
Page 3 of 4 (811196)
t21 394
2,3
1’29 3’4
1,2,3,4
-
*
Members of the Parks and Recreation Commission 1, 21 3, 4
Members of the Planning Commission *
Members of the Senior Commission
Members of the Traffic Safety Commission
Members of the Water Commission
2, $4
2, 3, 4
1, 2, 3, 4
*** Consultants
Officials Who Manacle Public Investments:
It has been determined that the positions listed below manage public investments and will file the Form 721 Statement of Economic Interest:
City Treasurer Deputy City Treasurer Assistant to the City Treasurer *
This positiin is required to repart by virtue of Government Code Section 87200. It is induded for disqualification purposes *
only. See Government Code Sedian 87200 far disclosure requirements.
When a designated employee is also required to file a confli of interest form under Mi 2 (Gov't CBda @7200, Form 721)
of the Act, he or she may expand their statement to cover reportable interests in both jurisdidions or both positions and file
oopies of this expanded statement with the City Clerk provided that each copy of such expanded statmnt filed in place of
an original is signed and verified by the designated employee as if it were an original.
The duties of each consultant will be separately evaluated to determine whether or not disclosure will be required, and the
categories which will apply. The evaluation of the consultant's duties will be conducted by the department head of the
department which is responsible for the hiring of the consultants. The disdosure requirement shall be induded in the
consultant's contrad approved by the City Council, Housing and Redevelopment Commission, City Manager or Executive
Manager of the Carisbad Municipal Water District.
**
m
Page 4 of 4 (811196)
I -
AMENDED APPENDIX TO THE LOCAL CONFLICT OF INTEREST CODE OF THE CITY OF CARLSBAD, THE HOUSING & REDEVELOPMENT AGENCY, CARLSBAD, CALIFORNIA AND THE CARLSBAD MUNICIPAL WATER DISTRICT
The positions and categories within the City listed in this appendix are "designated positions." Any person whose position with the City is a designated position is a
the 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 18730, subsection 7 and represent the following disclosures: "1" investment and real property disclosure; "2" personal income disclosure; "3" business entity income disclosure; "4" business position disclosure.
DESIGNATED POSITIONS DISCLOSURE CATEGORIES
designated employee. Designated employees shall disclose in the manner provided in
* Mayor and Members of the City Council Chairman and Members of the Housing and
Redevelopment Commission President, Vice President and Members of the Carlsbad Municipal
Water District City Manager City Attorney Executive Director to the Housing and
*
*
* *
Redevelopment Commission
Redevelopment Commission
*
Attorney of the Housing and *
City Staff under City Manager:
Accountant 2, 3,4 Accounting Supervisor 2, 3,4
Administrative Coordinator-Special Districts 2, 3
Administrative Se rvices/P roject Mg r.
Arts Manager
Assistant City Engineer Assistant City Manager Assistant to City Manager
1, 2, 3, 4
1, 2, 3, 4 1, 2, 3, 4 1, 2, 3, 4
1, 2, 3, 4 Assistant Engineer j
Assistant Finance Director 1,2, 3,4
Assistant Planner 1
Assistant Planning Director 1, 2, 3,4 Associate Engineer 1 Associate Planner 1
Assistant Library Director 1, 2, 3, 4
Page 1 of 4 (8/1/96)
J w
Building Inspector I & II
Building Maintenance Superintendent 293 Building Maintenance Supervisor 2,3 City Engineer 1,2,3,4 Code Enforcement Officer I & II 132 Community Arts Coordinator 2,3,4 Community Development Director 1, 2, 3,4
Community Services Director 1,2,3,4 Construction inspector I & II 21 3 Construction Supervisor 2, 3 Equipment Maintenance Superintendent 21 3
Equipment Maintenance Supervisor 2, 3
Executive Assistant lr2, 3, 4 Finance Director 1,Z 3,4 Financial Management Director 1,2,3,4
Fire Chief 2, 3 Fire Division Chief 2, 3 Fire Division ChiefIFire Marshal 2, 3
Fire Battalion Chief 2, 3 Geographic Information Systems Coordinator 2, 3 Housing & Redevelopment Director 1, 21 374 Housing Program Manager 1,2, 3 Human Resources Assistant 233 Human Resources Director 273
Human Resources Manager 2,3 Information Systems Director 2,3,4 Information Systems Manager 2,3 Library Director 1,2,3,4 Library Services Supervisor 2, 3
Management Analyst 2, 3
Management Assistant 213 Media Programming Specialist 21 3 Municipal Projects Manager 1,2, 3,4 Park Development Coordinator 1,2, 3,4
Parks Superintendent 1,2, 394 Parks Supervisor 2, 3 Planning Director 1,2, 3,4 Police Chief 2,3 Police Captain 2,3 Police Lieutenant 21 3 Principal Building Inspector 2, 3
Principal Civil Engineer 213 Principal Librarian 2, 3 Principal Construction Inspector 2, 3 Principal Planner 2, 3 Principal Recreation Supervisor 21 3 Purchasing Officer 2, 3 Recreation Superintendent 2, 3
Senior Accountant 11 2,394
1
Risk Manager 1,2,3,4
Page 2 of 4 (8/1/96)
- -
Senior Building Inspector 112,3 Senior Citizens Coordinator 21 3 Senior Construction Inspector 11 21 3
Senior Planner 2,3 Street Maintenance Superintendent 21 3 Street Maintenance Supervisor 2,3
Utilities/Maintenance Superintendent 2, 3
Senior Management Analyst 1, 2, 3, 4
Traffic Engineer 1, 2, 3,4
City Attorney's Office:
Assistant City Attorney Deputy City Attorney 1, 2, 3,4 1, 2, 3,4
City Clerk 2, 3,4
Deputy City Clerk 2, 3, 4 Assistant City Clerk 2, 3,4
Executive Manager of the
District Employees under the Executive Manager
** Carlsbad Municipal Water District
of the Carlsbad Municipal Water District
Accountant 2,3,4
Associate Engineer 1
Construction & Maintenance Supervisor 213 Cross Connection Control Technician 11 2 District Engineer 1,2, 31 4 General Manager 1,23394 Maintenance Superintendent 2, 3
Meter Shop Supervisor 21 3 Operations Superintendent 2,3 Senior Engineering Inspector 1,27 3 Sewer Maintenance Supervisor 2, 3 System Operations Supervisor 293 Water Maintenance Supervisor 2, 3
Administrative Manager 1, 2, 3, 4
Management Analyst - CMWD 2,3
** General Counsel for the Carlsbad Municipal Water District
Members of the Housing Commission 11 21 31 4
Members of the Arts Commission
Members of the Board of Library Trustees
2, 3
1, 2, 3, 4
Members of the Design Review Board
Page 3 of 4 (8/1/96)
112, 3,4
w -
Members of the Parks and Recreation Commission
Members of the Planning Commission
1,2,3,4
*
Members of the Senior Commission 2, 3, 4
Members of the Traffic Safety Commission
Members of the Water Commission
Consultants
Officials Who Manage Public Investments:
2, 3,4
1, 2, 3,4
***
It has been determined that the positions listed below manage public investments and will file the Form 721 Statement of Economic Interest:
City Treasurer
Assistant to the City Treasurer
* *
* Deputy City Treasurer
* 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 $87200, 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.
The duties of each consultant will be separately evaluated to determine whether or not disclosure will be required, and the
categories which will apply. The evaluation of the consultant's duties will be conducted by the department head of the
department which is responsible for the hiring of the consultants. The disclosure requirement shall be included in the
consultant's contract approved by the City Council, Housing and Redevelopment Commission, City Manager or Executive
Manager of the Carlsbad Municipal Water District.
**
***
Page 4 of 4 (8/1/96)
w -
AMENDED APPENDIX TO THE LOCAL CONFLICT OF INTEREST CODE
OF THE CIN OF CARLSBAD, THE HOUSING & REDEVELOPMENT AGENCY, CARLSBAD, CALIFORNIA AND THE CARLSBAD MUNICIPAL WATER DISTRICT
The positions and categories within the City listed in this appendix are "designated positions." 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 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: "I" investment and real property disclosure; "2" personal income disclosure; "3" business entity income disclosure; "4" 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
City Manager * City Attorney * Executive Director to the Housing and Redevelopment Commission *
Attorney of the Housing and
*
Redevelopment Commission *
Members of the Carlsbad Municipal Water District *
Redevelopment Commission *
City Staff under City Manager:
Accountant 2, 3,4
Administrative Services/Project Mgr. 1, 2,3,4 Administrative Coordinator-Special Districts 2, 3 Arts Manager 1,2,3,4 Assistant City Engineer 112, 3,4 1, 2, 3,4 Assistant City Manager
Assistant to City Manager 1,2,3,4 Assistant Engineer 1
Assistant Finance Director 1,2, 3,4
Assistant Planner 1
Associate Engineer 1
Associate Planner 1
Accounting Supervisor 2, 3, 4
Assistant Library Director
Assistant Planning Director
1, 2, 3, 4
1, 2, 3, 4
Page 1 of 4 (811196) REDLINED EXHIBIT
.* w -
Building Inspector I & II
Building Maintenance Superintendent 213 Building Maintenance Supervisor 21 3 City Engineer 1,2, 3,4 Code Enforcement Officer I & II 1, 2
1
Community Arts Coordinator
Community Development Director Community Services Director
21 3, 4 1, 2, 3, 4 1, 2, 31 4 Construction Inspector I & II 213 Construction Supervisor 2, 3 Equipment Maintenance Superintendent 2, 3 Equipment Maintenance Supervisor 2, 3 Executive Assistant 1, 2, 3,4 Finance Director ll 2, 3, 4 Financial Management Director 11 2, 31 4 Fire Chief 21 3 Fire Division Chief 2, 3
Fire +h#ta+h Chief/Fire Marshal 2, 3 Fire 2, 3 Geographic Information Systems Coordinator 2, 3
Housing Program Manager j12, 3 Human Resources Assistant 21 3 Human Resources Director 2, 3 Human Resources Manager 2, 3 Information Systems Director 2,3,4 Information Systems Manager 2, 3
Library Services Supervisor 213
Management Analyst 2, 3
Management Assistant 213 Media Programming Specialist 2, 3
Housing & Redevelopment Director 1, 2, 3, 4
Library Director 1, 2, 3, 4
Municipal Projects Manager Park Development Coordinator Parks Superintendent
Planning Director
ll 2, 3, 4 1, 2, 31 4 1, 2, 3, 4
1, 2, 31 4 Parks Supervisor 21 3
Police Chief 2, 3 Police Captain 21 3 Police Lieutenant 2, 3
Principal Building Inspector 21 3 Principal Civil Engineer 2, 3 Principal Librarian 21 3 Principal Construction Inspector 21 3 Principal Planner 21 3 Principal Recreation Supervisor 2, 3 Purchasing Officer Recreation Superintendent ;: ;
I234
Page 2 of 4 (8/1/96)
w w
Senior Building Inspector 1121 3 Senior Citizens Coordinator 2,3 Senior Construction Inspector 1,2, 3 Senior Management Analyst
Senior Planner 21 3 Street Maintenance Superintendent 213 Street Maintenance Supervisor 21 3 Traffic Engineer 112, 3,4 UtilitiedMaintenance Superintendent 2, 3
1, 2, 394
City Attorney's Office:
Assistant City Attorney 1, 2, 3, 4 Deputy City Attorney Il2, 3,4
City Clerk 2, 3,4
Assistant City Clerk 2, 3,4
Deputy City Clerk 2,394
** Executive Manager of the Carlsbad Municipal Water District
District Employees under the Executive Manager of the Carlsbad Municipal Water District
,4
Cross Connection Control Technician 1,2 District Engineer 1,2,3,4 General Manager 1,2, 394
System Operations Supervisor 2, 3
Water Maintenance Supervisor 2, 3
General Counsel for the ** Carlsbad Municipal Water District
Members of the Housing Commission 1, 2, 3, 4
Members of the Arts Commission 2, 3
1,2, 3,4
1,2, 3,4
Members of the Board of Library Trustees
Members of the Design Review Board
Page 3 of 4 (811196)
c v T
Members of the Parks and Recreation Commission
Members of the Planning Commission
Members of the Senior Commission
172, 334
*
2,394
2, 314
1, 2, 3,4
Members of the Traffic Safety Commission
Members of the Water Commission
Consultants
Officials Who Manage Public Investments:
***
It has been determined that the positions listed below manage public investments and will file the Form 721 Statement of Economic Interest:
City Treasurer Deputy City Treasurer
Assistant tw Treasurer
*
*
*
* 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 $87200, 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.
The duties of each consultant will be separately evaluated to determine whether or not disclosure will be required, and the
categories which will apply. The evaluation of the consultant's duties will be conducted by the department head of the
department which is responsible for the hiring of the consultants. The disclosure requirement shall be included in the
consultant's contract approved by the City Council, Housing and Redevelopment Commission, City Manager or Executive
Manager of the Carlsbad Municipal Water District.
**
**
Page 4 of 4 (811196)
Y w w .
9