Resolution 09460CITY OF ALAMEDA RESOLUTION NO. 9460
AMENDING CONFLICT OF INTEREST CODES TO INCORPORATE
BY REFERENCE THE FAIR POLITICAL PRACTICES COMMISSION'S
STANDARD MODEL CONFLICT OF INTEREST CODE
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
Conflict of Interest Codes adopted and promulgated pursuant to its
provisions; and
WHEREAS, the Fair Political Practices Commission has adopted
a regulation, 2 Cal. Adm. Code 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 Codes in conformity
with the Political Reform Act;
NOW, THEREFORE, BE IT RESOLVED BY THE COUNCIL OF THE CITY
OF ALAMEDA as follows:
1. All previously adopted resolutions approving various
separate Conflict of Interest Codes are hereby rescinded.*
2. The terms of 2 Cal. Adm. Code Section 18730 and any
amendments to it duly adopted by the Fair Political Practices
Commission along with the attached Appendices in which officials
and employees are designated and disclosure categories are set
forth, are hereby incorporated by reference and constitute the
Conflict of Interest Codes for the following departments and
agencies:
Auditor /Assessor Department
Building Code Board of Appeals
Building Inspection Division
Bureau of Electricity
City Attorney's Office
City Clerk's Department
City Manager's Department
Civil Service Board
Engineering Department
Engineering Design Division
Fire Department
Golf Commission
Historical Advisory Commission
Rousing Authority of the City of Alameda
* This rescission does not apply to Resolution No. 8579.
Library Board
Library Department
Pension Board
Personnel Department
Planning Board
Planning Department
Police Department
Purchasing Department
Recreation Commission
Recreation and Parks Department
Social Service Human Relations Board
Treasurer's Office
3. Persons holding designated positions shall file
statements of economic interests pursuant to Section 4 (B) of
the Conflict of Interest Code.
BE IT FURTHER RESOLVED that those activities deemed in-
compatible by the California Government in general law are
hereby adopted and outlined herein as Appendix C.
DESIGNATED POSITIONS
and
DISCLOSURE CATEGORIES
DESIGNATED POSITIONS DISCLOSURE CATEGORY
Building Code Board of Appeals
Board Members A through H
Building Inspection Division
Chief Building Inspector
Senior Building Inspector
Senior Plumbing Inspector
Building Inspector
Bureau of Electricity
Board Members, except City Manager*
General Manager
Purchasing Agent
Engineering Manager
Electrical Inspector
City Atto
City Attorney
Office
City Clerk's Department
City Clerk
A through H
A through H
A through H
A through H
A through H
A through H
A,D,E,F,G,H
A,D,E,F,G
D,E,F
A through H
A through H
Deputy City Clerk A through H
City Manager's Department
Assistant City Manager* A through H
* City Manager's reporting requirements covered by other law.
-1- APPENDIX A
DESIGNATED POSITIONS
Civil Service Board
None*
Engineering Department
City Engineer
Administrative Services
Supervisor
Engineering Design Division
Assistant City Engineer
Senior Civil Engineer
Survey and Construction
Inspection Supervisor
Survey Party Chief
Construction Inspector
Transportation Engineer
Finance Department
Auditor
Treasurer
Finance Director
Fire Department
Fire Chief
Assistant Chiefs
Fire Prevention Captains
Fire Prevention Lieutenant
Inspector Fireman
DISCLOSURE CATEGORY
None
A through H
c,D,E,F
A through H
A through H
E, F
E,F
E,F
A,D,E,F,G
A through H
A through H
A through H
* Decisions made by the Civil Service Board are ministerial,
in accordance with the City Charter, Civil Service Ordinance,
and rules. No decisions are made by the Civil Service Board
which would affect private economic interests.
DESIGNATED POSITIONS
Golf Commission
Commission Members
Historical Advisory Commission
Commission Members
Housing Authority of the City of Alameda
Commission Members
Executive Director/Secretary
Treasurer
Leasing Department Section 8
Program Specialist
Tenant Services Department Supervisor
Maintenance Department Supervisor
Accountant
Library Board
Board Members
Library Department
City Librarian
Deputy City Librarian
Order Clerk
Pension Board
DISCLOSURE CATEGORY
None
A through H
A through H
A through H
A through H
A through H
A through H
A through H
A through H
A through H
A through H
A through H
None* None
* Decisions made by the Pension Board are ministerial in
accordance with Pension Ordinance 1079 and 1082, as amended.
Board members representing the Police and Fire Departments
shall abstain from voting on any matter that would result
in any personal gain through pension plan improvements, etc.,
unless their vote is needed in order to secure a quorum.
DESIGNATED POSITIONS
Personnel Department
None*
Planning Board
Board Members
Planning Department
Planning Director
Assistant Planning Director/
Zoning Administrator
Senior Planner
Associate Planner-Urban Design
Assistant Planner
Associate Planner (HCDA)
Police Department
DISCLOSURE CATEGORY
None
A through H
A through H
A through H
A,B,C,D,E,F
A,B,C,D,E,F
A,B,C,D,E,F,G
A,B,C,D,E,F
Chief of Police A through H
Captain of Police A through H
Purchasing Department
Purchasing Agent A,B,D,G,H
Recreation Commission
Commission Members None
* Decisions affecting private economic interests are not made
by Personnel Director and/or Senior Personnel Analyst.
Decisions are administrative and ministerial, in accordance
with provisions laid down in the City Charter, Civil Service
Ordinance and Rules. Fringe benefit administration is
ministered in accordance with plans adopted by the City
Council.
DESIGNATED POSITIONS DISCLOSURE CATEGORY
Recreation and Parks Department
Director of Recreation & Parks
Ass't Director of Recreation & Parks
Recreation Supervisors
Park Maintenance Supervisor
Golf Course Maintenance Superintendent
Social Service Human Relations Board
A,D,E,F,G,H
A,D,E,F,G,H
A,D,E,F,G
A,D,E,F,G
A,D,E,F,G
None None
DISCLOSURE CATEGORIES
An investment, interest in real property, or income is
reportable if the business entity in which the investment is
held, the interest in real property, or the income or source
of income may foreseeably be affected materially by any
decision made or participated in by the designated employee
by virtue of the employee's position.
An investment, interest in real property or source of
income or gift does not have a foreseeable material effect on
an economic interest of the designated employee unless the
business, real property or source of income or gift may fore-
seeably require legislative action or permits from the City
of Alameda or may foreseeably enter into contracts or leases
with or make sales of real property or goods or services to or
be sold to the City of Alameda, a department thereof or the
Housing Authority of the City of Alameda.
In general, that which a reasonable person would predict,
anticipate, or expect beforehand, can be said to be "foresee-
able." The term requires the application of reasonable judgment
to assess the degree of likelihood that a decision made or
participated in will affect a financial interest. Where the
likelihood is sufficiently great that a reasonable person would
predict or anticipate an effect on a financial interest, the
effect of the decision is foreseeable. Clearly, in the context
of designating positions within a Conflict of Interest Code,
"foreseeable" means greater probability than "conceivable," yet
less probability than "certainly."
CATEGORY A - INVESTMENTS
All direct or indirect investments of the designated
employee valued over $1,000 in a business entity, including any
parent, subsidiary or related business, either (1) owning real
property in Alameda or (2) doing business in Alameda or planning
to do business in Alameda or having done business in Alameda in
the last two years.
CATEGORY B - INTERESTS IN REAL PROPERTY
All direct or indirect interests over $1,000 of the
designated employee in real property located in Alameda.
-6- APPENDIX B
CATEGORY C - INVESTMENTS AND INTERESTS IN REAL PROPERTY
HELD BY BUSINESS ENTITIES OR TRUSTS
All investments or real property with more than $1,000
of a business entity which does business in Alameda, plans to
do business in Alameda or has done business in Alameda in the
last two years in which a direct or indirect ownership
interest of 50% or more is held by the designated employee.
CATEGORY D - INCOME (OTHER THAN GIFTS AND LOANS)
All direct or indirect income of the designated employee
aggregating $250 or more from any one source, during the re-
porting period.
CATEGORY E - LOANS
Outstanding loans and loans received by the designated
employee from one source, aggregating $250 or more during the
reporting period.
CATEGORY F - GIFTS
Gifts to the designated employee from one source, which
total $25 or more during the reporting period.
CATEGORY G - SOURCES OF INCOME TO BUSINESS ENTITIES
Names of all persons who paid fees to a legal or broker-
age service and the name of the firm to which the fees were
paid where the designated employee's prorata share of the fees
was $1,000 or more and the designated employee, spouse and
dependent children have an aggregate interest of 10% or more
in the firm.
Names of all persons who paid fees to a business entity
which does not provide legal or brokerage services and the name
of the firm to which the fees were paid where the designated
employee's prorata share of the fees was $10,000 or more and
the designated employee, spouse and dependent children have an
aggregate interest of 10% or more in the firm.
CATEGORY H - EMPLOYMENT AND MANAGEMENT POSITIONS IN BUSINESS
ENTITIES
Job title or position of the designated employee in any
firm in which the designated employee is a director, officer,
partner, trustee, employee or holds any position of manage-
ment.
INCOMPATIBLE ACTIVITIES
(A) No officer or employee shall engage in any employ-
ment, activity, or enterprise for compensation which is
inconsistent, incompatible, in conflict with, or inimical to
his/her duties as an officer or employee or with the duties,
functions or responsibilities of his/her appointing power or
the agency. No officer or employee shall perform any work,
service or counsel for compensation outside of his/her employ-
ment where any part of his/her efforts will be subject to
approval by any other officer, employee, board or commission of
his/her employing body.
(B) An employee or officer's outside employment,
activity or enterprise is prohibited if it:
(1) Involves the use for private gain or advantage of
his/her departmental time, facilities, equipment
and supplies; the badge, uniform, prestige or
influence of the departmental office or employment;
(2) Involves receipt or acceptance by the officer or
employee of any money or other consideration from
anyone other than the City for the performance of
an act which the officer or employee, if not per-
forming such act, would be required or expected to
render in the regular course or hours of his/her
employment as a part of his/her duties as a local
agency officer or employee;
-9- APPENDIX C
(3) Involves the performance of an act in other than
his/her capacity as an officer or employee which
act may later be subject directly or indirectly
to the control, inspection, review, audit or
enforcement of any other officer or employee of
the department by which he/she is employed;
(4) Involves such time demands as would render
performance of his/her duties as an officer or
employee less efficient.
This Appendix C shall apply to all employees, officers
and agents within the agencies covered by this Code.
(This Appendix does not incorporate by reference the definitions
of the Political Reform Act and the regulations adopted pursuant
thereto. Interpretations of Government Code Section 1126 are
applicable and interpretations of the Political Reform Act may
apply.)
Regulations of tr-li'Fair Political Practices ei.'Jmmission
(Title 2, Division 6 of the California Administrative Code)
18730. Provisions of Conflict of Interest Codes
(Gov. Code
(a) Incorporation by reference of the terms of
this reoulation 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 87307 if
the terms of this regulation are substituted, for terms of a
Conflict of Interest Code already in effect. A code so
amended or adopted and promulgated requires the reporting of
reportable items in a manner substantially equivalent to the
requirements of rtie 2 of Chapter 7 of the Political
Reform Act, Government Code Sections 81000, et seq. The
requirements of a Conflict of Interest Code are in addition
to other requirements of the Political Reform Act, such
the general prohibition against conflicts of interest con-
tained in Government Code Section 87100, and to other state
or lo al 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 as follows:
(1) Section 1. Definitons a
The definitions contained in the Political Reform
Act of 1974, regulations of the Fair Political Practices
- 1 -
Commission (2 Cal. Adm. Code Sections 18100 tt seq.), and
any amendments to the Act or regulations, are incorporated
by reference into this Conflict of Interest Code.
(2) Section 2. Designated Ernpioee.
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
rn
y foreseeab].y have
(3) Se
material effect on financial interests.
Disclosure C tegori
This Code does not establish any disclosure obli-
gation 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 juris-
diction of this agency is the same as or is wholly included
within the jurisdiction in which those persons must report
their inancial interests pursuant to Article 2 of Chapter 7
of the Political Reform Act, Government Code Sections 87200,
et seq.- 1/
Such persons are covered by this Code for dig-
__
qualification purposes only. With respect to all other
designated emPloyees, the disclosure categories set forth in
Designated employees who Are required to file
statements 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 in-
terests to cover reportable interests in both jurisdictions,
and file copien 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
as if it were an original. See Government Code Section
81004.
2
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 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.
(4). Section 4. Statements o Economic erests:
The code reviewing body shall instruct all desig-
nated employees required to file statements of economic
interests pursuant to this Conflict of Interest Code to file
in accordance with one of the following procedures :/
(A) All designated employees shall file statements
of economic interests with the agency. Upon receipt of the
statements of economic interests of the head of the agency
and members cf boards or commissions not under a department
of state or local government, the agency shall make and
retain a copy af each and forward the originals of these
statements to the code reviewing body, which shall be the
1/ See Government Code Setion 81010 and 2 Cal.
Adm. Code Section 18115 for the duties of filing officers
and persons in agencies who make and retain copies of state-
ments and forward the originals to the filing officer.
filing officer w:Len respect to these statemets. Such state -
ments shall be forwarded to the code reviewing body within
five days after the filing deadline or five days after receipt
in the case of statements -. filed late.
(B) All designated employees shall file statements
of economic interests with the agency, which shall make and
retain a copy and forward the originals to the code reviewing
body, which shall be the filing officer.
(C) All designated employees shall file staternents
of economic interests with the code reviewing body.
(5) Section 5 . Statements of Economic Interest :
Time of
(A) Initial Statements. All designated employees
employed by the ehey on the effective date of this Code,
as originally adoptedr promulgated and approved by the code
reviewing body, shall file statements within thirty 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
thirty days after the effective date of the amendment.
(B) Assuming Office Staterrents.
(i) All persons assuming designated positions
after the effective date of this Code which are
civil service or merit system positions shall file
statements within thirty days after assuming the
designated positions.
4
(ii) All other persons appointed, promoted
or transferred to designated positions after the
effective date of the Code shall file,statements
within ten days after assuming office, or if subject
to State Senate confirmation, ten days f er being
nominated or appointed.
(C) Annual Statements; All designated employees
shall file statements no later than April 1.
(D) Leavinq Office Statements. A11 persons who
leave designated positions shall file statements within
thirty days after leaving office.
(6) Section 6. Contents of and Period CoveredbyStatem
of Economic Interests.
(A) Contents of Initiel Statements. Initial
statements shall disciose any reportable investments, interest
in real p rty and business positions held on 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 assuming office or, if subject to State
Senate confirmation or appointment, on the date of nomination.
(C) Contents of Annual Staternents. Annual state-
ments shall disclose any reportable investments, interests
in teal property, income and business positions held or
received during the previous calendar year provided, however,
that the period covered by an ernpioyee's first annual statement
- 5 -
shall begin on ti e effective date of the Coee or the date of
assuming office whichever is later.
(D) Contents of Leaving Office Stateme nts. 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.
Statements of economic interests shall be made on
forrns prescribed by the Fair Political Practices Commi ssion
and supplied by the agency, and shall contain the following
information:
(A) Investment and Real Property Disciosure,
When an investment or an interest in real prope ty3/ is
ain the
,
required to be repotec 4
following:
the statement she
(i) A statement of the nature of the invest-
ment or interest;
3/
For the purpose of disclosure only (not dis-
qualification), an interest in real property does not include
the principal residence of the filer,
4/
Investments and interests in real property
which have a fair market value of less than $1,000 are not
investments and interests in real property within the meaning
of the Political Reform Act. Eowever, 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 investment or interest in real property
of any business entity or trust in which the individual,
spouse and dependent children own, in the aggregate, a direct,
indirect or beneficial interest of 10 percent or greater.
(ii) 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;
(iii) The address or other precise lo -n
of the real property;
(iv) 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 ($10,000), or exceeds one hundred
thousand dollars _00,000).
(B) Personal Income Disclosure. When personal
5 .
income is required to be reported,-' the statement shall
contain:
The name and address of each source of
income aggregating two hundred fifty dollars ($250)
or more in 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.
5/ 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
(ii) 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,
one thousand dollars ($1,000) or less, greater
than one thousand dollars ($1,000), or greater
than ten thousand dollars ($10,000);
(iii) A description of the consideration, if
any, for which the income was received;
(iv) In the case of, a gift, the name, address
and business activity of the donor and any in-
termediary through which the gift was made ;
descri ption of the gift; the amount or value of
the gift; and the date on which the gift was received.
(v) In the case af a loan, the annual interest
rate and the security, if any, given for the loan.
(0) Business Entity Income Disclosure. When.
income of a business entity, including income of a sole
proprietorship, is required to be repo:, ' 6/ the statement
shall contain:
(i) The name, address, and a general description
of the business activity of the business entity;
/ income Of a business entity is reportable if
the direct, indirect or beneficial interest of the filer and
the filer's spouse in the business er:tity 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.
The name of every peree,.1 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).
Business Pos
(D) Disclosure, When busine
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 or manage-
ment, a description cf the business activity in which the
business entity is engaged, and the designated employee's
PC
tion with the business entity.
(E) Acquisition or Disposai During Reporting
, the case annual or leaving office statement,
Period.
if an investment or an interest in real property was tially
or wholly acquired or disposed of during the period covered
by the statement, the statement- shal1 contain the date of
acquisition or di posal..
(8) Section 8 . Disqualification.
No designated employee shall make, participate in
making use his or her official positions to influence
the making of any governmental decision which will foreseeably
have a mater3a1 financial effect, distinguishable from its
effect on the public generally, on:
(A) Any business entity in which the designated
employee has a direct or indirect investment worth more than
one thousand dollars ($1,000);
(B) A real property in which designated
employee has a direct or indirect interest worth more than
one thousand dollars ($1,000);
(C) Any source of income, other than loans by a
cornrnerciaj. lending institution in the regular course of
business on terms available to the public without regard to
official status, aggregating two hundred fifty dollars ( 2 0)
or more in value provided to, received by or promised to the
designated employee within twelve months prior to the time
when the c3ecisjori is made; or
(D) Any business entity in which the designated
employee is a director, officer, partner, trustee, employee,
or holds any position of management.
No designated employee shall 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) Section 9. Manner of Disqualification.
When a designated employee determines that he or
lA not make a governmental decision because he or
she has a financial interest in it, the det ermination not to
act must be accompanied by disclosure of the financial interest.
In the case Of a voting body, this determination and disclosure
sh-11 be made part of the agency'c' official record; in the
case of a designated employee who is the head of an agency,
10 -
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.
( 1 0 ) Section 10 . Assistance of - e Cornmission and Counsel.
Any designated employee who is unsure of his or
her 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 formal or informai opinion.
(11) c,Pcton 12. Violation
This Code has the force and effect of 1aw Desiqnated
pl yees violating any provision of this Code are subject
to the administrativ :riminal 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 Governent
Code Section 87100 has occurred may be set aside as void
pursuant to Government Code Section 91003.
I, the undersigned, hereby certify that the foregoing
Resolution was duly and regularly adopted and passed by the
Council of the City of Alameda in regular meeting assembled
on the 6th day of January, 1981, by the following vote, to wit:
AYES: Councilmen Diament, Sherratt, Stone, Tillman and
President Corica - 5.
NOES: None.
ABSENT: None.
IN WITNESS WHEREOF, I have hereunto set my hand and affixed
the official seal of said City this 7th day of January, 1981.
y Clerk of th- ity o ¢ Al a