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HomeMy WebLinkAbout1992-09-24 - Resolution No. 92-21• f RESOLUTION NO. 92-21 RESOLUTION OF THE BOARD OF DIRECTORS OF THE YORBA LINDA WATER DISTRICT ADOPTING A CONFLICT OF INTEREST CODE AND RESCINDING RESOLUTION NO. 87-39 WHEREAS, the Political Reform Act of 1974, Government Code Sections 81000, et seq., requires every state and local government agency to adopt and promulgate a Conflict of Interest Code, and, WHEREAS, the Board of Directors by Resolution 87-39 adopted a Conflict of Interest Code and the Code now requires updating to conform to the current provisions of the Political Reform Act of 1974, and, WHEREAS, amendments to the Political Reform Act, Government Code Sections 81000, et seq., have in the past and foreseeably will in the future require conforming amendments to be made in the District's Code, and, WHEREAS, the Fair Political Practices Commission has adopted a regulation, 2 Cal. Code of Regulations Section 18730, which contains the terms of a standard model Conflict of Interest Code, which can be incorporated by reference, and which will be amended to conform to amendments in the Political Reform Act after public notice and hearings conducted by the Fair Political Practices Commission pursuant to the Administrative Procedure Act, Government Code Section 11370, et seq., and, WHEREAS, incorporation by reference of the terms of the aforementioned regulation and amendments to it in Conflict of Interest Codes will save this body time and money by minimizing the actions required of this body to keep the District's Code in conformity with the Political Reform Act. NOW THEREFORE BE IT RESOLVED by the Board of Directors of the Yorba Linda Water District as follows: Section 1. The terms of 2 Cal. Code of Regulations Section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission and the attached "Appendix A" in which officials and employees are designated and disclosure categories are set forth, are hereby incorporated by reference and constitute the Conflict of Interest Code for the Yorba Linda Water District. Section 2. Persons holding designated positions shall file statements of economic interests pursuant to the adopted Conflict of Interest Code. Section 3. Resolution No. 87-39, and its Conflict of Interest Code and Amendments thereto, is hereby rescinded. Section 4. The District Secretary shall forward a copy of this Resolution, together with "Appendix A" of the Yorba Linda Water District's Conflict of Interest Code, to the Orange County Board of Supervisors for review and approval as required by California Government Code Section 87306.5. 0 0 PASSED AND ADOPTED this 24th day of September, 1992 by the following called vote: Ayes: 5 - Paul Armstrong, Sterling Fox, M. Roy Knauft, Jr., Arthur Korn, Noes: 0 and Carl Scanlin Absent: 0 Abstain: 0 sident, aul R. Armstrong Yorba Linda Water District ATTEST: Secretary, William J. Mobertson Yorba Linda Water District 0 0 CONFLICT OF INTEREST CODE YORBA LINDA WATER DISTRICT APPENDIX A Designated Positions and Disclosure Categories Public Officials, Consultants and Designated Positions Directors or Candidates for Director General Manager/Secretary Assistant General Manager Auditor Attorney Executive Assistant to the General Manager Assistant Administrator Category of types of Business Entity, Investment, Sources of Income or Real Property Disclosable 1. Banks and Savings & Loans 2. Building materials 3. Chemicals 4. Construction and Construction Materials 5. Construction Equipment 6. Consulting Services: Legal, accounting, auditing, architectural, engineering, soils testing and compaction, energy and power, desalination, water quality testing and treatment, data processing, labor relations, public relations, planning, economics investment, environmental, underwriters, and appraisal. 7. Food services 8. Insurance 9. Laboratory equipment and supplies 10. Motor vehicles 11. Motor vehicle repairs 12. Newspapers and subscriptions 13. Office equipment, supplies and services 14. Petroleum products 15. Photographic equipment, supplies and film processing 16. Pipe, valves, fittings, pumps, tanks, meters, and all water facility equipment material and supplies 17. Printing and reproduction 18. Public utilities 19. Real property 20. Safety equipment and facilities 21. Title companies 22. Travel arrangements and accommodations 23. Temporary help and employment agencies 24. Telemetering supplies, equipment and services 25. Communications equipment, supplies and services 26. Security system equipment, supplies and services 0 0 CONFLICT OF INTEREST CODE YORBA LINDA WATER DISTRICT APPENDIX A (continued) Category of types of Business Entity, Public Officials, Consultants Investment, Sources of Income or and Designated Positions Real Prop= Disclosable 27. Instructional equipment, supplies and services 28. Computer equipment, supplies and services 29. Medical services 30. Water quality testing equipment, supplies and services Business Manager Categories 1, 6, 8, 12, 13, 15, 17, 18, 19, 21, 22, 23 and 28 Engineering Manager Categories 2, 4, 6, 9, 13, 15, 16, 17, 20, 21, 28 and 30 Operations Superintendent Categories 2, 3, 4, 5, 6, 9, 10, 11, 13, 14, 16, 20, 24, 28 and 30 0 0 Title 2 Fair Political Practices Commission California Code of Regulations 18730. Provisions of Conflict of hitoss! Codes. (a) Incorporation by reference of the terms of this regulation along with the designation of employees and the formulation of disclosure cate- gories in the Appendix referred to below constitute the adoption and pro- mitigation of a conflict of interest code within the meaning of Govern- ment Code section 97300 or the amendment of a conflict of interest code within the meaning of GovemmentCode section 87307 if the terms of this regulation are substituted for terms of a conflict of interest code already in effect. A code so amended oradopted and promulgated requires the re- porting of reportable items in a manner substantially equivalent to the re- quirements of article 2 of chapter 7 of the Political Reform Act, Govern- ment Code sections 81000, a seq. The requirements of a conflict of interest code art: 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 laws per- mining to conflicts of interest. (b) The terms of a conflict of interest code amended or adopted and promulgated pursuant to this regulation are as follows: (1) Section 1. Definitions. The definitions contained in the political Reform Act of 1974. regula- tions of the Fair Political Practices Commission (2 Cal. Code of Regs. sections 18100 et seq.), and any amendments to the Act or regulations, we incorporated by reference into this conflict of interest code. (2) Section 2. Designated Employees. The persons holding positions listed in the Appendix are designated employees. It has been determined that these persons make or participate in the making of decisions which may foreseeably have a material effect on financial interests. (3) Section 3. Disclosure Categories. This code does not establish any disclosure obligation for those desig- nated employees who art also specified in Government Code section 87200 if they are designated in this code in that same capacity or if the geographi-cal jurisdiction of this agency is the same as or is wholly in- cluded within the jurisdiction in which those persons must report their fi- nancial interests pursuant to article 2 of chapter 7 of the Political Reform Act, Government Code sections 87200, et seq. I Such persons am covered by this code for disqualification purposes only. With respect to all other designated employees, the disclosure categories set forth in the Appendix specify which kinds of financial interests are reportable. Such a desig- nated employee shall disclose in his or her statement of economic inter- ests those financial interests he or she has which are of the kind described in the disclosure categories to which he or she is assigned in the Appen- dix. It has been determined that the financial interests set forth in a desig- nated employee's disclosure categories are the kinds of financial interests which he or she foreseeably can affect materially through the conduct of his or her oBux. (4) Section 4. Statements of Economic Interests: Place of Filing. The code reviewing body shall instruct all designated employees with- in its code to file statements of economic interests with the agency or with the code reviewing body, as provided by the code reviewing body in the agency's conflict of interest code.2 ,7 (S) Section S. Statements of Economic Interests: Tune of Filing. (A) Initial Statements. All designated employees employed by the agency on the effective date of this code, as originally adopted, promul- gated and approved by the code reviewing body, shall file statements within 30 days after the effective date of this code. Thereafter. each per- son already in a position when it is designated by an amendment to this code shall file an initial statement within 30 days after the effective date of the amendment. (B) Assuming Office Statements. All persons assuming designated positions after the effective date of this code shall file statements within 30 days afterassuming the designated positions., or if subject toState Sen- ate confirmation, 30 days after being nominated or appointed. (C) Annual Statements. All designated employees shall file statements no later than April 1. (D) Leaving Office Statements. All persons who leave designated po- sitions shall file statements within 30 days after laving office. (5.3) Section SS. Statements for Persons Who Resign 30 Days After Appointment. Persons who resign within 30 days of initial appointment are not deemed to have assumed office or left office provided they did not make or participate in the making of, or use their position to influence any deci- sion and did not receive or become entitled to receive any form of pay- ment as a result of their appointment. Such persons shall not file either an assuming or leaving office statement. (6) Section 6. Contents of and Period Covered by Statements of Eco- nomic Interests. (A) Contents of Initial Statements. Initial statements shall disclose any reportable investments, interests in real property and business positions held on the effective date of the code and income received during the 12 months prior to the effective date of the code. (B) Contents of Assuming Office Statements. Assuming office statements shall disclose any reportable investments, interests in real property and business positions held on the date of assum- ing office or, if subject to State Senate confirmation or appointment, on the date of nomination, and income received during the 12 months prior to the date of assuming office orthe date of being appointed ornominated, respectively. (C) Contents of Annual Statements. Annual statements shall disclose any reportable investments, interests in real property, income and busi- ness positions held or received during the previous calendar year pro- vided, however. that the period covered by an employee's first annual statement shall begin on the effective date of the code or the date of as- sarming office whichever is later. (D) Contents of Laving ice Statements. Leaving office statements shall disclose reportable investments, inter- ests in real property, income and business positions held or received dur- ing the period between the closing date of the last statement filed and the date of laving office. (7) Section 7. Manner of Repotting. Statements of economic interests shall be made on forms prescribed by the Fair Political Practices Commission and supplied by the agency, and shall contain the following information: (A) Investment and Real Property Disclosure. Wbve an investment or an interest in real property is requited to be reporW the statement shall contain the following: 1- A stawmrnt of the natum of the investment or interest; Z 7Ue asst of the business entity in which each investment is held, and a getwal description of the business activity in which the business entity is engaged; 3.7be address or other prftiw location of the real property; 4. A statement whether the fair market value of the investment ar baer- est in real property exceeds one thousand dollars ($1,000). exceeds ten thousand dollars ($10,000), or exceeds one hundred tlwusand dollars 100.000). is (B) Personal Income Disclosure - When personal income is required to be reported s the statement shall contain: 1.7be name and address of each source of income aggregating two bundmd fifty dollars (5250) or more in value. or fifty dollars (S50) or mare 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-a income bow each source, or in the can of a loan, the highest amount owed to each source, was one thousand dollars (S 1,000) or less, Vesta than one thousand dol- lars (S 1,000). or greater than ten thousand dollars (510,000); 3. A description of the con tideration, if any, for which the income was received; 4. In the case of a gift, the name, address and business activity of the donor and any intermediary through which the gift was made; a descrip- tion of the gift; the amount or value of the gift; and the date on which the gift was received; 5. In the can of a loan. the annual interest rate and the security. if any, given for the loan. (C) Business Entity Income Disclosure. When income of a business entity, including income of a sole proprietorship. is required to be re- portW the statement shall contain: 1.71= name, address, and a general description of the business activity of the business entity; 2.71e 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). (D) Business Position Disclosure. When business positions are re- quired to be reported, a designated employee shall list the name and ad- dress of each business entity in which he or she is a director, officer, part- ner, trustee, employee. or in which he or she holds any position of management, a description of the business activity in which the business entity is engaged, and the designated employee's position with the busi- ness entity. (E) Acquisition or Disposal During Reporting Period. In the case of an annual or leaving office statement, if an investment or an interest in real property was partially orwholly acquired ordisposed of during the period covered by the statement, the statement shall contain the date of acquisi- tion or disposal. (8) Section 8. Disqualification. No designated employee shall make, participate in making, or in any way attempt to use his or her official position to influence the making of any governmental decision which he or she knows or has reason to know will have a reasonably foreseeable material financial effect. distinguish- able from its effect on the public generally, on the official or a member of his or her immediate family or on: (A) Any business entity in which the designated employee has a direct or indirect investment worth one thousand dollars (S1.000) 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 (5230) 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; (D) Any business entity in which the tlesignataed employee is a director, officer. partner, trustee, employee, ar holds any position of management; or (E) Any donor of. or any intermediary or agent for a donor of. a gift or gifts aggregating $250 or more in value provided to; received by, or promised to the designated employee within 12 months prior to the time when the decision is made. (8.3) Section 83. Legally Required Participation. • No designated employee shall be prevented from making or participat- ing 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 bmcak a tie does not make his or her participation legally requited for purposes of this sec- tion. (8.5) Section S.S. Disqualification of State Offu=s and Employees. b addition to the general disqualification provisions of section 8, no stale administrative official shall make, participate in making, or use his w bet official position to influence any governmental decision directly titillating to any contract where the state administrative official knows or fits reason to know that any party to the contract is a person with whom floe two administrative official, or any member of his or her immediate fismily has, within 12 months prior to the time when the official action is to be taken: (A) Engaged in a business transaction or owuscdons on gams rat available to members of the public, regarding any investment or interest in real property; or (B) Engaged in a business transaction or Uwaactions on terms not available to members of the public regarding the rendering of goods or services totaling in value one thousand dollars (51.000) or more. (9) Section 9. Manner of Disqualification. When a designated employee determines that he or she should not make a governments] decision because he or she has a disqualifying in- serest in it. the determination not to act must be accompanied by disclo- was of the disqualifying interest. In the case of a voting body, this deter- mination and disclosure shall be made part of the agency's official record; in the are of a designated employee who is the head of an agency, this determination and disclosure shall be made in writing to his or her appointing authority; and in the case of other designated employees, this determination and disclosure shall be made in writing to the designated employee's supervisor. (10) Section 10. Assistance of the Commission and Counsel. Any designated employee who is unsure of his or her duties underthis code may request assistance from the Fair Political Practices Commis- sion pursuant to Government Code section 83114 or from the attorney for his or her agency, provided that nothing in this section requires the anor- ney for the agency to issue any formal or informal opinion. 01) Section 11. Violations. Ibis code has the force and effect of law. Designated employees vio- lating any provision of this code are subject to the administrative, crimi- nal and civil sanctions provided in the Political Reform Act, Government Code sections 81000-91014. In addition, a decision in relation to which a violation of the disqualification provisions of this code or of Govern- ment Code section 87100 or 87450 has occurred may be set aside as void pursuant to Government Cade section 91003. Node Authority cited: Section 83112, Government Code. Reference: Sections 17300-87302, Government Code. ILSMY 1. New section filed 4-2-10 as an tonergermcy. ! ecuve upon filing (Register 80, No. 14). Catificate of Compliance included. 2. Editorial eoeection (Register 80, No. 29). 3. Amendment of subsection (b) filed 1-941; effective Mitieth day dweafter (bSisaer 11, No. 2)• 4. AnwrA rent of subsection (b)(70)1. filed 1-2643; effective thirtieth day deswAer (Register 83, No. S). S. Aneadmeq of subsection (b)(7XA) filed 11-1043; affective 16itirth day. Hereafter (Register 83, No. 46). 6. Assesaneot filed 4-1347; opettwtive 5-1347 (Register 87, No. 16). 7. Aseendmeut of st& ctien (b) failed 10-2141; operative 11-2041(Relgbw St. No. 46). 1. Amendment of subsections (bX/XA) and (b)(1)(11) and sumerous aditaeial Assign filed 9-28-90; operative 9-27-90 (Reg. 90, No. 42). 0 spent with both entities in lieu of filing separate and distinct sawmenu, }resided that each copy of such expanded statement filed in plam of sn ongml is signed and verified b - the deu employee as if it were m original. See Government Code season 1100 a Sae Government Code section 81010 and 2 Cal. Code of Regs. section 18115 for the duties offiling otfmcers and persons in agencies who sake and retain c0 pies of stsrements and forward the originals to tie rdmg officer. s For the purpose of disclostm only (not disip-1 ition), as interest it real Prop- any does not tnchde the principal resid 1a of the filer. • investments and interests in real property which have a fair market value or ins 16an S 1.000 we net invesnnents and itrlns - it real property within the mean- ing of the Political Reform Act Howem tnvestrrrnu or interests in teal property of an individual include dhow bt by the individual's apowe and dependent cbildreo a well as a pro rats slave dray investment or eneren in seal property ofany business entity a trust in which the individual, tiponrt and , 1, 1em children own, in the aggresm. a diem indirect a beneficial inter- ea of 10 percent or greater. A designated nWloyee's income includes his or ber community property inta- ast in the income of his or her spouse but does not irrltde saint) or reimburse- spent for expenses received from a suede, local or federal government agency. a hworne of & business entity is rep mabie tithe direct, indirect or beneficial inter- est of the filer and the rder's spouse in the business entity aggregates a 10 per- cent or grater interest. In addition, the disclosure of person who are dmu or customers of & business entity is required only if the clients cw customers are within one of the dock== ategarin of the filer. t Designated employees who ere required to rde 6UMnesrs daoonomic iraesu insider mother agency's eootlict of interest code, or under article 2 for a differ- am jnr Lion, expand their statement of tconanic interests to cover m- ponabir w, wrests in both pradcuous, and file ocpws of this expanded state-