HomeMy WebLinkAbout1979 036 CC RESO1979 036 CC RESO (Ìì ñ RESOLUTION N0.79-36
A RESOLUTION OF THE CITY COUNCIL OF
THE CITY OF BALDWIN PARK ADOPTING A
CONFLICT OF INTEREST AND DISCLOSURE
CODE FOR CERTAIN DESIGNATED EMPLOYEES
THE CITY COUNCIL OF THE CITY OF BALDWIN PARK DOES
HEREBY RESOLVE AS FOLLOWS:
SECTION 1. That pursuant to applicable laws, a
public hearing thereon having been held, the attached
document entitled CONFLICT OF INTEREST CODE OF THE CITY OF
BALDWIN PARK", be, and the same hereby is, adopted as the
said Conflict of Interest and Disclosure Code for Designated
employees of the City.
SECTION 2. Tha't the City Clerk shall certify to
the adoption of this Resolution.
APPROVED AND ADOPTED this 1979.
MAYOR
ATTEST:
THELMA L. BALKUS, CITY CLERK
STATE OF CALIFORNIA
COUNTY OF LOS ANGELES) SS:
CITY OF BALDWIN PARK
I, THELMA L. BALKUS, City Clerk of the City of
Baldwin Park, do hereby certify that the foregoing Resolution
was duly approved and adopted by the City Council of the City
of Baldwin Park at its regular meeting of the City Council on
the 4th day of April 1979, by the followinq vote:
AYES: COUNC I LMEN Me NeJILKing, Aguilar, Ize11 and Mayor White
NOES: COUNCILMEN____________
ABSENT: COUNCILMEN
THELMA L. BALKUS, CITY CLERK
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1979 036 CC RESO (Ìì ñ CONFLICT OF INTEREST CODE
OF THE
CITY OF BALDWIN PARK
SECTION 100. Purpose. Pursuant to the provisions
of Government Code Sections 87300, et. seq. the City of
Baldwin Park hereinafter referred to as City"), hereby
adopts the following Conflict of Interest Code. The provi-
sions of this Code are additional to Government Code Section
87100 and other laws pertaining to conflicts of interest.
Except as otherwise indicated, the definitions* contained in
Chapter 2 of Title 9 of the Government Code Sections 82000
to 82050 inclusive) of said Act and regulations adopted by
the Fair Political Practices Commission are incorporated here-
in and this Code shall be interpreted in a manner consistent
therewith. It is the purpose of this Code to provide for the
disclosure of assets and income of designated employees which
may be materially affected by their official actions, and, in
appropriate circumstances to provide that designated employees
should be disqualified from acting in order that conflicts of
interest may be avoided.
SECTION 200. Designated Positions. The positions
listed on Exhibit A" are designated positions. Officers
and employees holding those positions are designated employees
*A list of definitions is contained in Exhibit C of this Code.
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1979 036 CC RESO (Ìì ñ and are deemed to make, or participate in the making of,
decisions which may forseeably have a material effect on a
financial interest.
SECTION 300. Disclosure Statements. Designated
positions shall be assigned to one or more of the disclosure
categories set forth on Exhibit B". Each designated employee
or official shall file an annual statement disclosing that
employee* s or official's interest in investments, real prop-
erty, and income, designated as reportable under the category
to which the employee's or official*s position is assigned on
Exhibit B".
SECTION 400. Place and Time of Filing.
a) All designated employees or officials required
to submit a statement of financial interests shall file the
original with the City Manager's office.
b) The City Manager's office shall make and retain
a copy of the statement.
c) A designated employee or official required to
submit an initial statement of financial interest shall submit
the statement within 30 days after the effective date of this
Code.
d) All persons appointed, promoted or transferred
to designated positions shall file initial statements not less
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1979 036 CC RESO (Ìì ñ than 10 days before assuming office unless an earlier assump-
tion of office is required by emergency circumstances, in
which case the statement shall be filed within 30 days
thereafter. G.C. 87302(G))
e) Annual statements shall be filed during the
month of July by all designated employees. Such statements
shall cover the period of the preceding calendar year.
f) The first statement of financial interests
shall report the designated employee's reportable investments
and interests in real property as those investments and
interests in real property exist of the time of filing.
Income need not be reported on the first statement.
g) A designated employee required to file a state-
ment of financial interest with any other agency, which is
within the same territorial jurisdiction and whose disclosure
requirements are comparable may comply with the provisions of
this Code by filing a duplicate copy of the statement filed
with the other agency, in lieu of an entirely separate state-
ment.
SECTION 500. Contents of Disclosure Statements.
Disclosure statements shall be made on forms supplied by the
City Manager's office and shall contain the following infor-
mation:
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1979 036 CC RESO (Ìì ñ a) Cont^ents_qf Investment and Real Property Reports:
When an investment, or an interest in real property, is
required to be reported, the statement shall contain:
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 within the jurisdiction of City.
4) A statement whether the fair market value of the
investment, or interest in real property, exceeds ten thousand
dollars $10,000), and whether it exceeds one hundred thousand
dollars $100,000). This information need not be provided
with respect to an interest in real property which is used
principally as the residence of the filer,
5) In the case of an investment which constitutes 50
percent or more of the ownership interest in a business
entity, disclosure of the investments and interests in real
property of the business entity.
b) Contents of Personal Income Reports:
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 and fifty dollars $250) or more in
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1979 036 CC RESO (Ìì ñ value, or twenty-five dollars $25) or more in value if the
income was a gift, and a general description of the business
activity, if any of each source;
2) A statement whether the aggregate value of income
from each source was greater than one thousand dollars
$1,000), and whether it was 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 amount or value and the
date on which the gift was received.
c) Contents of Business Entity Reports:
When income or a business entity, including income of a
sole proprietorship, is required to be reported the statement
shall contain:
1) The name, address, and a general description of
the business activity of the business entity;
2) In the case of a business entity the name of every
person from whom the business entity received payments if the
filer's pro rata share of gross receipts from such person was
equal to or greater than ten thousand dollars $10,000) during
the reporting period.
3) Income of a business entity shall not be reported
unless the filer or his spouse owns, directly, indirectly, or
beneficially, a 10% interest or greater. In addition, for
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1979 036 CC RESO (Ìì ñ purposes of subparagraphs 2 and 3 of this section, the disclo-
sure of persons who are clients or customers of business
entity is required only if it is reasonably foreseeable that
the client or customer may be materially affected by the
decisions of the filer.
If any otherwise reportable investment or interest
in real property was partially or wholly acquired or disposed
of during the period covered by the statement, the date of
acquisition or disposal.
SECTION 600. Disqualification. A Designated
employee and any other City official, shall disqualify them-
selves from making or participating in the making or in any
way attempting to use their official position to influence a
governmental decision when it is reasonably foreseeable that
the decision will have a material financial effect, distin-
guishable from its effect on the public generally on:
a) Any reportable investment or interest in real
property.
b) Any reportable source of income, other than
loans by a commercial lending institution in the regular
course of business, aggregating two hundred fifty dollars
$250) or more in value received within twelve months prior
to the time the decision is made;
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1979 036 CC RESO (Ìì ñ c) Any business entity in which the designated
employee is a director, officer, partner, trustee, employee,
or holds any position of management,
Provided always, such person 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.
A designated employee required to disqualify'
himself or herself shall notify the City Manager in writing,
who shall record the person's disqualification.
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1979 036 CC RESO (Ìì ñ EXHIBIT A"
Designated Employees and Disclosure Categories
The following positions entail the making or
participation in the making of decisions which may foresee-
ably have a material effect on financial interests:
Designated Disclosure
Position Categories
Director of Administrative Services 1
Director of Community Development 1
Director of Housing and Economic Development 1
Director of Human Services 1
Chief of Police 1
City Planner 1
City Attorney 1
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1979 036 CC RESO (Ìì ñ
EXHIBIT B"
Categories of Reportable Economic Interests
Designated persons in Category 1" must report:
All investments, interests in real property and income, and
any business entity in which the person is a director, offi-
cer, partner, trustee, employee, or holds any position of
management. Said financial interests are reportable only if
located within and subject to the jurisdiction of City or if
the business entity is doing business or planning to do busi-
ness in an area subject to the jurisdiction of City or has
done business wi thin an area subject to the jurisdiction of
City at any time during the two years pr ior to the filing of
the statement.
Designated persons in Group 2" must report:
A. All investments in real property located within or sub-
ject to the jurisdiction of City,
B. Investments in any business entity which, within the last
two years, has contracted, or in the future foreseeably
may contract with City.
C. Income from any source which, within the last two years
has contracted, or in the future foreseeably may contract
with City.
D. His or her status as a director, officer, partner,
trustee, employee, or holder of a position of management
in any business entity, which within the last two years,
has contracted, or in the future foreseeably may contract
with City.
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1979 036 CC RESO (Ìì ñ EXHIBIT C"
DEFINITIONS:
1. Designated employee": Any officer or
employee, of City whose position is designated in Exhibit A"
of this Code. Exhibit A" sets forth those positions which
entail the making or participation in the making of decisions
which may foreseeably have a material financial effect on any
financial interest.
2. Financial interest": A designated employee
has a financial interest" in a decision if it is reasonably
foreseeable that the decision will have a material financial
effect, distinguishable from its effect on the public gener-
ally or any significant segment thereof, on:
a. Any business entity in which the designa-
ted employee has a direct or indirect investment worth
more than $1,000
b. Any real property in which the designa-
ted employee has a direct or indirect interest worth
more than $1,000;
c. Any source of income, other than loans
by a commercial lending institution in the regular
course of business, aggregating $250.00 or more in value
received by or promised to the designated employee
within twelve months prior to the time the decision is
made; or
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1979 036 CC RESO (Ìì ñ
1979 036 CC RESO (Ìì ñ
or payment of indebtedness, discount in the price of
anything of value unless the discount is available to
members of the public without regard to official status,
rebate, reimbursement for expenses, per diem, or contri-
bution to an insurance or pension program paid by any
person other than an employer, and including any commun-
ity property interest in income of a spouse. Income of
an individual also includes a pro rata share of any
income of any business entity or trust in which the
individual or spouse owns, directly, indirectly, or
beneficially, a 10% interest or greater.
b, Income" does not include:
1) Income from a source which is a
former employer if: All income from the employer
was received or accrued to the designated employee
prior to the time he or she became a designated
employee? the income was received in the normal
course of the previous employment? and there was no
expectation by the designated employee at the time
he or she assumed a designated position of renewed
employment with the former employer?
2) Campaign contributions required to
be reported under Chapter 4 of the Political Reform
Act of 1974?
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1979 036 CC RESO (Ìì ñ 3) Salary and reimbursement for expenses
or per diem received from a state or local govern-
ment agency and reimbursement for travel expenses
and per diem received from a bona fide educational,
academic or charitable organization;
4) Gifts of informational material,
such as books/ pamphlets, reports, calendars or
periodicals?
5) Gifts which are not used and which,
within 30 days after receipt, are returned to the
donor or delivered to a char itab Ie organization
without being claimed as a char itable contribution
for tax purposes;
6) Gifts from an individual's spouse,
child, parent, grandparent, grandchild, brother,
sister, parent-in-law, brother-in-law, sister-in-
law, aunt, uncle or first cousin or the spouse of
any such person? provided that a gift from any such
person shall be considered income if the donor is
acting as an agent or intermediary for any person
not covered by this paragraph;
7) Any devise or inheritance?
8) Interest, dividends or premiums on
a time or demand deposit in a financial institution,
shares in a credit union or any insurance policy,
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1979 036 CC RESO (Ìì ñ payments received under any insurance policy, or
any bond or other debt instrument issued by any
government or government agency;
9) Dividends, interest or any other
return on a security which is registered with the
Securities & Exchange Commission of the United
States Government.
5. Interest in real property" includes any lease-
hold, beneficial or ownership interest or option to acquire
such an interest in real property within the jurisdiction of
city if the fair market value of the interest is greater than
$1,000. Interests in real property of an individual include
a pro rata share of interests in real property of any business
entity or trust in which the individual or spouse owns,
directly, indirectly, or beneficially, a 10% interest or
greater.
6. Investment": ny financial interest in or
security issued by a business entity, including but not
limited to common stock, preferred stock, rights, warrants,
options, debt instruments and any partnership or other owner-
ship interest, if the business entity or any parent, subsid-
iary or otherwise related business entity has an interest in
real property within the jurisdiction, or does business or
plans to do business within the jurisdiction at any time
during the two years prior to the time any statement or other
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1979 036 CC RESO (Ìì ñ action is required under this Code. No asset shall be deemed
an investment unless its fair market value exceeds $1,000.
Investment" does not include a time or demand deposit in a
financial institution, shares in a credit union, any insurance
policy, or bond or other debt instrument issued by any govern-
ment or government agency. Investments of an individual
include a pro rata share of investments of any business entity
or trust in which the individual or spouse owns, directly,
indirectly, or beneficially, a 10% interest or greater.
7. Jurisdiction": Means the geographical area
within the city's boundaries, except that real property shall
be deemed to be within the jurisdiction" of city if it is
located within or not more than two miles outside the bound-
aries of city, or within two miles of any land owned or used
by city.
8. Making Governmental Decisions": A designated
employee makes a governmental decision", except as provided
in Definition 10(b)l herein, when he or she, acting within
the authority of his or her office.
a. Votes on a matter;
b. Appoints a person;
c• Obligates or commits city to any course
of action;
d. Enters into any contractual agreement on
behalf of city.
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1979 036 CC RESO (Ìì ñ e. Determines not to act, within the meaning
of subparagraphs a, b, c and d, unless such determination
is made because of his or her financial interest. When
the determination not to act occurs because of his or
her financial interest. When the determination not to
act occurs because of his or her financial interest, the
designated employee's determination must be accompanied
by disclosure of the financial interest, made part of
city's official record or made in writing to the designa-
ted employee's supervisor, appointing power or any other
person specified in this Code.
9. Material Financial Effect":
a. The financial effect of a governmental
decision on a financial interest of a designated employee
is material if, at the time the designated employee
makes, or participates in making, the decision, in light
of all the circumstances and facts known at the time of
the decision, the designated employee knows or has reason
to know that the existence of the financial interest
might interfere with his or her performance of duties in
an impartial manner free from bias.
Provided that, the making or participation in
the making of a governmental decision by a contract con-
sultant or by a person retained to provide information,
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1979 036 CC RESO (Ìì ñ advice, recommendation or counsel has no material finan-
cial effect on a business entity or source of income in
which such consultant or person retained is an officer,
employee, sole proprietor or partner, if the only finan-
cial effects of the decision are the modification, per-
petuation or renewal of the contractual or retainer
agreement and/or the opportunity to bid competitively
upon a project or contract.
In determining the existence of a material
effect upon a financial interest, consideration should
be given, but not bo limited to, an analysis of the
following factors:
1) In the case of a business entity in
which the designated employee has a direct or
indirect investment worth more than one thousand
dollars $1,000), or in the case of a designated
employee who is a director, officer, partner,
trustee, employee, or holds any position of manage-
ment in a business entity:
A) Whether the effect of the
decision will be to increase or decrease the
anualized gross revenue of the business entity
by one percent or more or the annual net
income of the business entity by 5 percent
or more?
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1979 036 CC RESO (Ìì ñ B) Whether the effect of the
decision will be to increase or decrease the
assets or liabilities of the business entity
by $50,000 or more, or by 5 percent of its
current assets or liabilities, whichever is
less.
2) In the case of real property within
the jurisdiction, in which the designated employee
has a direct or indirect interest worth more than
one thousand dollars $1,000):
A) Whether the effect of the
decision will be to increase the income-produc-
ing potential of the real property by $100 or
more or by five percent, whichever is less?
B) Whether the effect of the
decision will be to increase the fair market
value of the real property by $1,000 or more
or by 5 percent, whichever is greater.
3) In the case of a source of income or
a designated employee:
A) The decision will affect the
source of income in the manner described in para-
graph 1) above;
B) Whether the governmental
decision will directly affect the amount of income
to be recieved by the designated employee;
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1979 036 CC RESO (Ìì ñ C) Whether there is a nexus
between the government decision and the purpose for
which the designated employee receives income.
b. The specific dollar or percentatge amounts
set forth above do not constitute either absolute minimum
or minimum levels, but are merely intended to provide
guidance and should be considered along with other relevant
factors in determining whether a financial interest may
interfere with the designated employee's exercise of his
or her duties in rendering a decision.
10. Participating in the Making of Governmental
Decisions":
a. A designated employee participates in the
making of a governmental decision", except as provided
in subsection b(1) of this definition, when he or she,
acting within the authority of his or her office:
1) Negotiates, without significant sub-
stantive review, with a governmental entity or
pr ivate person regarding the decision; or
2) Advises or makes recommendations to
the decision-maker, either directly or without sig-
nificant intervening substantive review, by:
A) Conducting research or making
any investigation which requires the exercise
of judgment on the part of the designated
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1979 036 CC RESO (Ìì ñ employee and the purpose of which is to
influence the decision; or
B) Preparing or presenting any
report, analysis, or opinion, orally or in
writing, which requires the exercise of judg-
ment on the part of the designated employee
and the purpose of which is to influence the
decision.
b. Making" or participating in the making"
of a governmental decision shall not include;
1) Actions of designated employees which
are solely ministerial, secretarial, manual or
clerical?
2) Appearances by a designated employee
as a member of the general public before city in
the course of its prescribed governmental function
to represent himself/herself on matters related
solely to his or her personal interests; or
3) Actions by designated employees, or
employee representatives relating to their compensa-
tion or the terms or conditions of their employment
or contract.
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d. Any business entity in which the designa-
ted employee is a director, officer, partner, trustee,
employee, or holds any position of management;
e. Indirect investment or interest" as used
to define financial interest means any investment or
interest owned by the spouse or dependent child of the
designated employee, held or owned by an agent on behalf
of the designated employee, held or owned by any business
entity controlled by the designated employee or by a
trust in which the designated employee has a substantial
interest. A business entity is controlled by a designa-
ted employee if the designated employee, his or her
agents, spouse and dependent children hold more than 50
percent of the ownership interest in the entity, A
designated employee has a substantial interest in a
trust when the designated employee, his or her spouse
and dependent children have a present or future interest
worth more than $1,000.
3. Income":
a. Income" means, except as provided in sub-
section b), income of any nature from any source located
within the jurisdiction of City, including but not
limited to any salary, wage, advance, payment, dividend,
interest, rent, capital gain, return of capital/ gift,
including any gift of food or beverage, loan, forgiveness
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