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Resolution 2641 .., .. ...." RESOLUTION NO. 2641 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE SOUTH TAHOE PUBLIC UTILITY DISTRICT AMENDING THE CONFLICT OF INTEREST CODE, AUTHORIZING THE FILING WITH THE EL DORADO COUNTY CLERK AND AMENDING RESOLUTION NO. 2600 1 2 3 4 WHEREAS, the South Tahoe Public Utility District (District) previously adopted a 5 Conflict of Interest Code and amendments to that Code pursuant to Government Code 6 section 87300 which were approved by the EI Dorado County Board of Supervisors; and 7 WHEREAS, the Political Reform Act, Government Code section 87306(a) requires 8 every agency to amend its Conflict of Interest Code when change is necessitated by 9 changing circumstances; and 10 WHEREAS, Government Code section 87302(a) requires specific enumeration of 11 the positions within the agency which involve the making of or participation in the making 12 of decisions which may foreseeably have a material effect on any financial interest, and 13 for each such enumerated position, the specific types of investments, business positions, 14 interests in real property and sources of income which are reportable; and 15 WHEREAS, it has come to the attention of the District that the position of General 16 Counsel (or attorney) a position within the meaning of section 87302(a), is presently not 17 included within the District's list of designated employees contained in the Appendix "A" to 18 the Conflict of Interest Code for which the reporting of financial interests is required; and 19 WHEREAS, such fact constitutes a changed circumstance for which amendment 20 of the District's Conflict of Interest Code is required; and 21 WHEREAS, pursuant to Fair Political Practices Commission Regulation 18750.1, 22 the District provided proper notice to all officers and designated employees of the District 23 affected by the Code and the Appendix and an opportunity for those same persons and 24 the general public to offer their comments and input on the Amended Conflict of Interest 25 Code during a duly noticed public hearing conducted on January 2, 1997, such notice 26 given by publication in the Tahoe Daily Tribune. 27 NOW, THEREFORE, BE IT RESOLVED, that: 28 Section 1: The Board of Directors of the South Tahoe Public Utility District hereby Resolution No. 2641 Page 2 amends the Conflict of Interest Code, Appendix "A" to add the position of General Coun- \., 2 sel to the Code's list of designated employee positions. 3 Section 2: The Board of Directors authorizes a certified copy of the amended 4 Appendix "A" be submitted to the EI Dorado County Clerk, Elections Department for review 5 and County approval. Section 3: This Resolution shall take effect immediately upon its passage. Section 4: This Resolution amends Resolution No. 2600, Section 4, regarding Designated Employee positions made a part of the Code. WE, THE UNDERSIGNED, being the duly qualified and acting President of the Board and Secretary, respectively, of the Board of Directors of the South Tahoe Public Utility District, do hereby certify that the above and foregoing Resolution was duly and regularly adopted and passed by the Board of Directors of the District at a meeting held January 2, 1997, by the following vote of the Board of Directors: 6 7 8 9 10 11 12 13 14 \., 15 16 17 18 25 26 27 '-" 28 AYES: Directors Wallace, Jones, Mason NOES: None ABSENT: Directors Strohm and Mosbacher 19 20 21 ATTEST: ';:/ ..(011'" q~~topher H. Stb m, Board President Srth Tahoe Pu I' Utility District 22 2 . .. \.. \. \." CONFLICT OF INTEREST CODE FOR THE SOUTH TAHOE PUBLIC UTILITY DISTRICT The Political Reform Act, Government Code sections 81000, et sea, requires state and local government agencies to adopt and promulgate Conflict of Interest Codes. The Fair Political Practices commission has adopted a regulation, 2 Cal Administrative Code section 18730, which contains the terms of a standard Conflict of Interest Code, which can be incorporated by reference, and which may be amended by the Fair Political Practices commission to conform to amendments in the Political Reform Act after public notice and hearings. Therefore, the terms of 2 Cal. Admin. Code section 18730 and any amendments to it duly adopted by the Fair Political Practices commission are hereby incorporated by zeference and, along with the attached Appendix in which officials and employees are designated and disclosure categories are set forth, constitute the Conflict of Interest Code of the South Tahoe Public utility District. Pursuant to section 4(A) of the standard Code, designated employees shall file statements of economic interests with the South Tahoe Public utility District. Upon receipt of the statements of the South Tahoe Public utility District Board members and General Manager, the Clerk of the South Tahoe Public utility District shall make and retain a copy of each statement and forward the original of these statements to the El Dorado County Elections Department. statements for all other designated employees will be retained by the South Tahoe Public utility District Clerk. The South Tahoe Public utility District Clerk shall make all statements of economic interests available for public inspection and reproduction. . ----. ._- .',":'~~_.:-;",--:-':.::......- :.;-.~....----------_.-.- _.-,---- - ..J .,J vi ~ (Regulation of the Fair Political Practices Commission, Title 2, Division 6 of the California Code of Regulations) '-' 18730. Provisions of Conflict of Interest 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 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 \.,r 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 BlOOD et seq. 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 interests contained in Government Code section B7100, 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 as follows: \.,. (l) section l. Definitions. The definitions contained in the Political Reform Act oJ of 1974, regulations of the Fair Political Practices commission (2 Cal. Code of Regs. sections 18100, et seq.), and any amendments to the Act or regulations, are incorporated by reference into this conflict of interest code. (2) section 2. Desianated Emplovees. 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 Cateaories. 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 same as or is wholly included within the jurisdiction in which those persons must report their financial interests pursuant to Article 2 of Chapter 7 or the Political Reform Act, Government Code sections B7200, et seq. 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; ,...1 .' ." (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, Gove~nment Code section 87200; and (C) The filing officer is the same for both . 1 agenc~es. 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 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 1naterially through "the condu.ct t)-f his "Or ner "O'f'fie~. (4) Section 4. Statements of Economic Interests: Place of filina. The code reviewing body shall instruct all designated . 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 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 ~n place of an original is signed and verified by the designated employee as if it were an original. See Government Code section 8l004. \.." 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 conflict of interest code.2 ~ (5) section 5. statements of Economic Interests: Time of Filina. (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) Assuminq 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 I. (D) Leavina Office Statements. All persons who' leave designated positions shall file statements within 30 days after leaving office. 2 . See Government Code section B1010 and 2 Cal. Code of Regs. section l8ll5 for the duties of filing ofricers and persons in agencies who make and retain copies of statements and forward the originals to the filing officer. ~ 4t., \.,. ~ ". (5.5) section 5.5. Statements for Persons Who Resiqn Prior to Assumina Office. Any person who resigns within twelve months of initial appointment or within 30 days of the date of notice 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, 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 the 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 bv statements of Economic Interests. (A) Contents of Initial statements. Initial statements shall ~isclose any reportable investments, interests in real property and business positions held on the effective date of the code and income received during the twelve months prior to the effective date of the code. (B) Contents of Assumina Office statements. ..J Assuming office statements shall disclose any reportable investments, interest 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 twelve 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 ..,J annual statement shall begin on the effective date of the code or ,. the date of assuming office whichever is later. (D) 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 Reoortinq. statements of Economic Interests shall be made on forms prescribed by the Fair Political Practices co~~ission and supplied by the agency, and shall contain the following vi \.., ~ ~ information: (A) Investment and Real Property Disclosure. When an investment or an interest in real t 3 .. 4 proper y lS requlred to be reported the statement shall contain the following: (1) A statement of the nature of the investment or interest; (2) The name of the business entity in which each investment is held, and a general description of the business activity in which the business entity is engaged; (3) The address or other precise location of the real property; (4) A statement whether the fair market value of the investment or interest in real property exceeds one thousand dollars ($1000.00), exceeds ten thousand dollars ($10,000.00), or exceeds one hundred thousand dollars ($100,000.00) . 3 For the purpose of disclosure only (not disqualification) 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 $lOOO.OO 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 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% or greater. -.--;- - ";__- _" o-:~._ .:_ _.:.....&...... ...........-. (B) Personal Income Disclosure. 5 When personal income is required to be reported the vJ statement shall contain: (1) the name and address of each source of income aggregating $250.00 (Two hundred and fifty dollars) or more in value, or $50.00 (Fifty dollars) or more in value if the income was a gift, and a general description of the business activity, if any, of each source. (2) A statement whether the aggregate value of income from each source, or in the case of a loan, the highest amount owed to each source, was $1000.00 (One thousand dollars) or less, greater than $lOOO.OO (One thousand dollars) or greater than $lO,OOO (Ten thousand dollars); (3) A description of the consideration, if any, .Ii 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 ~escriptionof 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 security, if any, given for the loan. (C) Business Entitv Income Disclosure. When income of a business entity, including income of a 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. vi ". ------ ~ -.- ""'-."--''''''''. _.~.~---_. ~ ~ 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 entity received payments if the filer's pro rata share of gross receipts from such person was equal to or greater than $IO,OOO (Ten thousand dollars) . (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) Acauisition of Disposal Durino Reoortino Period. ~n tbe case of an annua~ or ~eaving 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. ~ 6 . 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 entity aggregates a 10% 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~ (8) section 8. state Aaencv Prohibition on Receipt of Honoraria. No member of a state board of 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 also an elected official. Subdivisions (b),(c),(d) and (e) of Government Code section B9502 shall apply to the prohibitions in this section. (B.1) section 8.1. State Aaencv Prohibition on Receipt of Gifts of $250 or more. 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 $250.00 (Two hundred fifty dollars) in a calendar year from any singie source, if the member or emp~oyee would be required to report the receipt of income or girts 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 elected official. Subsections (b) ,(c), (d), and (e) of Government Code section B9504 shall apply to the prohibitions in this section. (9) section 9. Disoualification. No designated employee shall make, participate in making, or ~ ~ ~ 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 or 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: (A) any business entity in which the designated employee has a direct or indirect investment worth $1000.00 (One thousand dollars) or more; (B) Any real property in which the designated employee has a direct or indirect interest worth $1000.00 (One thousand dollars) 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 $250.00 (Two hundred fifty dollars) or more in value provided to, received by, or promised to the designated employee within twelve months prior to the time when the decision was made; (D) Any business entity in which the designated employee is a director, officer, partner, trustee, employee, or holds any position of management; or (E) Any donor of, or any intermediary or agent for a donor of, a gift or gifts aggregating $250.00 or more in value provided to; received by, or promised to the designated employee within twelve months prior to the time when a decision is made. \" . , -."-~'_. .. . . ..._----_._~ (9.3) section 9.3. Leaallv Reauired 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. Disaualification of state Officers and Emplovees. In addition to the general qualification 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 twelve months prior to the time when the official action is to be taken: (A) Engaged in a business transaction or transactions on terms not available to members of the public, regarding any investment or interest in real property; or (B) Engaged in a business transaction or transactions on terms not available to members of the public regarding the rendering of goods or services totalling in value $1000.00 (One thousand dollars) or more. (lO) section lO. Manner of Disaualification. When a designated employee determines he or she should .J .J .J . '. \. \., \.,. 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. 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 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. (11) section ll. Assistance of the Commission and Council. 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 informal opinion. (12\ ~ection 12. Violations. This code has the force and effect of law. Designated employees violating any provision of this code are subject to the administrative, criminal and civil sanctions provided in the Political Reform Act, Government Code sections B1000-9l014. 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 9l003. Note: Authority cited: section 83ll2, Governm~nt Code. Reference: Sections 87300-87302, 89503 and 89504, Government Code. Historv 1. New section filed 8-2-80 as an emergency; effective upon filing. 2. Editorial correction. 3. Amendment of Subsection (b) filed l-9-8l; effective 30th day thereafter. 4. Amendment of Subsection (b) (7) (B)l. filed 1-26-83; effective 30th day thereafter (registered 83, No.5). 5. Amendment of Subsection (b) (7) (A) filed 11-10-83; effective 30th day thereafter. 6. Amendment filed 4-l3-B7; operative 5-13-87. 7. Amendment of Subsection (b) filed 10-21-88; operative ll-20-B8. 8. Amendment of Subsections (b) (8) (A) and (b) (B) (B) and numerous editorial changes filed 8-28-90; operative 9-27-90. 9. Amendment of Subsections (b) (3), (b) (8) and renumbering .cl f oj ] owing ...s.ub..sect i on$'; ..and Ll mendme.nt o.z .J.l' 0 te ..t.il ed 8 -7 -.32 ; operative 9-7-92. 10. Amendment of Subsection (b) (5.5) and new subsections (b) (5.5) (A)-(A) (2) filed 2-4-93; operative 2-4-93. 11. Change without regulatory effect adopting Conflict of Interest Code for California Mental Health Plan Counsel filed ll- 22-93 pursuant to Title I, section 100, California Code of Regulations. Approved by Fair Political Practices commission 9- 21-93. 12. change without regulatory effect redesignating Conflict ..J .J vi of Interest Code for California Mental Health Plan Council as .~ chapter 62, section 55100 filed 1-4-94 pursuant to Title I, section 100, California Code of Regulations. 13. Editorial correction adding History 11 and 12 and deleting duplicate section number. \-,. \.., ~ SOUTH TAHOE PUBLIC UTILITY DISTRICT CONFLICT OF INTEREST CODE APPENDIX A DESIGNATED EMPLOYEE POSITIONS The designated employees whose duties are broad and undefinable and which may involve contracting or purchasing, regulatory powers, and investments, consists of the following: Accountant Assistant Manager/Engineer Associate Engineer Attorney Clerk of Board/Executive Secretary Construction Manager Customer Service Manager \., Data Processing Manager Directors District Information Officer Finance Officer General .Manager Human Resources Director Land Application Systems Manager Maintenance Manager Purchasing Agent Staff Engineer Wastewater Operations Manager Water Operations Manager The above categories are assigned disclosure categories 1, 2, 3, 4, 5, 6, and 7. \r .. , CA,TEGORY 3 .. CATEGORY 4 ~- ; 7 r. ~ ~ .' ~ ~. .. . r ~ !' .' . =- APPENDIX B , ... DISCLOSURE CATEGORIES .J . !.. CATEGORY 1 Investments, business positions in business entities, and sources of income pertaining in any way to any individual, business or corporation which contracts with the agency to supply materials, commodities, supplies, books, machinery, chemicals, or equipment utilized by the agency. CATEGORY 2 Investments, business positions in business entities, and sources of income, pertaining in any way to any individual, business or corporation who or which is a contractor or subcontractor, engaged in the performance of work of the type utilized by the agency, including, but not limited to, insurance companies, carriers, holding companies, underwriters, agents, or accounting firms CATEGORY 5 Investments, business positions in business entities, and sources of income, pertaining in any way to an individual, business or corporation which has filed claims against the agency. Investments, business positions in business entities, and sources of income from banks and sav.J.nqs ana .J.Dans. Investments, business positions in business entities, and sources of incone which are of the type in which the authority is empowered to invest its funds. . All interests in real property located within the jurisdiction of the agency or within two miles of its boundaries. .J CATEGORY 6 vi _h_._ ~..__..___ >_ -.... -_. -----'----', no.: . "'""._______~. _.__" " r ... ~ \.t \., \.,. CATEGORY 7 All investments in, and sources of income from business entities doing business within the jurisdiction of the South Tahoe Public utility District. All investments and sources of income from business entities having done business within the jurisdiction of said District during the past two years, all investments and sources of income from business entities planning to do business within the jurisdiction of said District, and all other sources of inc~m~'within the jurisdiction of said District. .- .....;,. -- ..--,~--.--~. ..