HomeMy WebLinkAboutMINUTES - 10262004 - C75 TO: Board of Supervisors
t CONTRA
FROM: Slvano B. Marchesi, County Counsel
COSTA
By: Mary Ann McNett Mason,Deputy County Counsel COUNTY
. rw
DATE: October 4, 2002 C-75,
SUBJECT: Conflict of Interest Code of Central Contra Costa Transit Authority
SPECIFIC REQUEST(S)OR RECOMMENDATION(S)&BACKGROUND ANIS JUSTIFICATION
RECOMMENDATION(S):
Approve amendment to the Central Contra Costa Transit Authority Conflict of Interest Code to
substitute the attached as said code, as shown on the attached Resolution.
ACKGROUNDIREASON(S) FOR RECOMMENDATION(S):
The Central Contra.Costa Transit Authority has amended its code and submitted the amended code to
the Board for approval pursuant to Government Cade section 87306 and 873016.5.
CONTINUED ON ATTACHMENT: YES SIGNATURE:
RECOMMENDATION OF COUNTY ADMINISTRATOR—RECOMMENDATION OF BOARD
COMMITTEE
— APPROVE OTHER.
SIGNATURE(S):
ACTION OF BOARD ON > r .:.: " ' APPROVED AS RECOMMENDED V
f OTHER
VOTE OF SUPERVISORS:
I HEREBY CERTIFY THAT THIS IS A
UNANIMOUS (ABE . # # TRUE AND CORRECT COPY OF AN
AYES: NOES: ACTION TAKEN AND ENTERED
ABSENT: ABSTAIN: ON THE MINUTES OF THE, BOARD
OF SUPERVISORS ON THE DATE
SHOWN.
ATTESTED.-Mt,P�& . 1,01,
JOHN SWEETEN,CLERK CIF
THE BOARD OF SUPERVISORS
Contact: County Counsel AND COUNTY ADMINISTRATOR
cc: Clerk, Board of Supervisors
Janet Madrigal, Central Contra Costa Transit Authority B Y: DEPUTY
1.\J0ANN\MAMtbdordcoi Central CCTA.wpd
Office of the County Counsel Contra Costa County
651 Fine Street, 9th Floor Phone: (925)335-1800
Martinez, CA 94553BE ' D Fax: (925)646-1078
OCT 12 REC' ## k
i c E 1 C.75
Bate: October 11,2004 _E K qE, r, (`r+
To: Clerk, Board of Supervisors
From: Silvano B. Marchesi,County Counsel
By: Mary.Ann McNett Mason, Deputy County Counsel f Pk J
Re: Conflict of Interest of Code of the Central Contra Costa Transit Authority
Attached hereto are amendments to the Conflict of Interest Code for the above-named
entity. The amendments are approved as to form.
Please place this matter on the Beard of Supervisors' agenda as requested. A board order
is attached
MAM/jh
cc: Janet Madrigal, Central Contra Costa Transit Authority
attachments
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RESOLUTION NO.20{5-003
BOARD OF DIRECTORS
CENTRAL CONTRA COS'T'A TRANSIT AUTHORITY
STATE OF CALIFORNIA
ADOPTING AMENDED CONFLICT OF INTEREST CODE
WHEREAS,the County of Contra Costa and the Cities of Clayton,Concord,the Town of
Danville, Lafayette, Martinez, the Town of Moraga, Orinda, Pleasant HiE, San Ramon and
Walnut Creek (hereinafter "Member Jurisdictions") have formed the Central Contra Costa
Transit Authority ("CCCTA"), a joint exercise of powers agency created under California
Government Code Section 6500 et seq., for the joint exercise of certain powers to provide
coordinated and integrated public transportation services within the area of its Member
Jurisdictions;and
WHEREAS, California Government Code Section 37306.5 requires that the Authority
review its Conflict of Interest Code every other year,and revise it if necessary;and
WHEREAS, the Attorney and General Manager have reviewed the current Conflict of
Interest Code and have determined that the Code should be updated to reflect elimination of
positions for designated employees;and
WHEREAS, the Attorney and staff recon upend adopting the attached Conflict of Interest
Code.
NOW, THEREFORE, BE IT RESOLVED by the Central Contra Costa Transit Authority
Board of Directors that the revised Conflict of Interest Code hereby is adopted;and
BE IT FURTHER RESOLVED that the Board Clerk is directed to transmit a copy of the
revised Code to the Board of Supervisors of Contra Costa County.
Regularly passed and adopted this 16th day of September,2004,by the following vote.
AYES: Directors Angeli, Dessayer, Horn, Rainey, Shimansky, Uilkema and
Wheatland
NOES: None
ABSTENTIONS: None
ABSENT: Directors Hoffnneister,Hudson,Manniin nd Schroder
A.G. Dessayer,Chair,Board of Directors
ATTEST:
J net Madrigal,Clerk to e Board
CONFLICT OF INTEREST CODE
CENTRAL CONTRA COSTA TRANSIT AUTHORITY
Adopted on February 19, 1981 pursuant to Resolution No, 1981-001
Amended on July 16, 1988 pursuant to Resolution No, 1988-043
Amended can September 15, 1994 pursuant to Resolution No. 1995-008
Amended on September 19, 1996 pursuant to Resolution No. 1997-001
Amended on September 17, 1998 pursuant to Resolution.No. 1999-02
Amended on September 21, 2000 pursuant to Resolution No. 2001-007
Amended on September 19, 2002 pursuant to Resolution No. 2003-007
Amended on September 16, 2004 pursuant to Resolution No. 2005-003
1114625.1
CONFLICT OF INTEREST CODE FOR.THE
CENTRAL CONTRA COSTA TRANSIT AUTHORITY(CCCTA)
The Political Reform Act of 1974, Government Code Sections 81000, et seq., requires
State and local government agencies to adopt and promulgate Conflict of Interest Codes.
Pursuant to Government Code Section 82041,the CCCTA is a local government agency for the
purposes of the Political Reform Act. The Fair Political Practices Commission has adopted a
regulation, 2 California Code of Regulations 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 by the Fair
Political Practices Commission in the Political Reform Act after public notice and hearings. The
terms of 2 California Code of Regulations Section 18730 and any amendments to it duly adopted
by the Fair Political Practices Commission, along with the attached Appendices A and B, 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 of the Central Contra
Costa Transit Authority.
Designated employees shall file statements of economic interests. The General Manager
shall identify the CCCTA staff person with whom statements shall be filed. Upon receipt of the
statements of the CCCTA Board of Directors, the agency shall make and retain a copy and
forward the original of these statements to the Contra Costa County Board of Supervisors. Upon
receipt of statements from all other designated CCCTA employees, the CCCTA staff person
shall retain the original in the CCCTA files.
Interpreting this Conflict of Interest Code,the substance and breadth of disclosure is to be
consistent with and not to exceed existing law and pertinent regulations.
1119625.1
APPENDIX A
DESIGNATED EMPLOYEES
Desianated Employees * Disclosure Category
General Manager 1
Director of Administration 1
Director of Transportation 1
Director of Maintenance 1
Senior Manager of Marketing 1
Senior Manager, Facilities, Stores,Procurement 1
Senior Manager of Human Resources 1
Senior Manager of Specialized Services 1
Legal Counsel 1
Consultants** 1
* In addition to the foregoing list of designated employees, it has been determined that the
positions listed below manage public investments, as defined by 2 Cal. Code of begs. Section
18701(b). Pursuant to Government Code Section 87200, these positions are required to file a
statement of economic interests:
Members of the CCCTA Board of Directors
Alternate Members of the CCCTA Board of Directors
Director of Finance
** With respect to consultants,the General Manager or the CCCTA Board of Directors may
determine in writing that a particular consultant is hired to perform a range of duties that are
limited in scope and thus not required to comply with the disclosure requirements described in
these categories. Such determination shall include a statement of the consultant's duties, and,
based upon that description, a statement of the extent of disclosure requirements. The General
Manager shall forward a copy of this determination to the Clerk of the Board of Supervisors.
Nothing herein excuses any such consultant from any other provision of this Conflict of Interest.
1119625.1
APPENDIX B
DISCLOSURE CATEGORIES
Category 1
All investments and sources of income.
All interests in real property located in whole or in part within or not more than two (2)
miles outside of the boundaries of the CCCTA service area.
Category 2
Investments in business entities or income from sources which,within the past two (2)
years, have contracted with the CCCTA in an area of responsibility lying under the designated
employee's control or jurisdiction to provide services, supplies, materials, machinery, or
equipment.
Interests in real property located in whole or in part within, or not more than two (2)
miles outside of,the boundaries of the CCCTA service area.
Cate3
Investments in business entities for income from sources which, within the past two (2)
Years, have contracted with the CCCTA in an area of responsibility lying under the designated
employee's control or jurisdiction to provide services, supplies, materials, machinery, or
equipment.
1114625.1
(Regulations of the Pair Political Practices Commission, Title 2, Division 6,Section 18730 of the
California Code of Regulations)
18730. Provisions of Conflict of Interest.Codes.
(a) Incorporation by reference of the terns of this regulation along with the designation
of employees and the formulation of disclosure categories in the Appendix referred to below
constitute the adoption and promulgation of a conflict of interest code within the meaning of
Government Code Section 87300 or the amendment of a conflict of interest code within the
meaning of Government Code Section 87306 if the terms of this regulation are substi',-.ted for
terms of a conflict of interest code already in effect. A code so amended or adopted and
promulgated requires the reporting of reportable items in a manner substantially equivalent to the
requirements of Article 2 of Chapter 7 of the Political Reform Act, Government Code Sections
81000, 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
interest contained in Government Code Section 87100, and to other state or local laws pertaining
to conflicts of interest.
(b) The terms of conflict of interest code amended or adopted and promulgated
pursuant to this regulation are as fellows:
(1) Section 1. Definitions. The definitions contained in the Political Reform Act of
1974, regulations of the pair Political Practices Commission(2 Cal. Code of Regs. Sections r
18140, et sect.), and any amendments to the Act or regulations, are incorporated by reference into
this conflict of interest code.
(2) Section 2. Designated Employees. The persons Bolding positions listed in the
Appendix are designated employees. It has been determined that these persons make or
participate in the snaking 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 designated employees who are also specified in Government Code Section
87204 if they are designated in this code in that same capacity or if the geographical jurisdiction
I
19730
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 of the,Political Reform
Act, Government Code Sections 87200, 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;
(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, Government Code Section 87200; and
(C) The filing officer is the same for both agencies.'
Such persons are covered by this code for disqualification purposes only. With respect to
all other designated employees, the disclosure categories set forth in the Appendix specify which ;
kinds of financial interests are reportable. Such a designated employee shall disclose in his or
her statement of economic interests those financial interests he or she 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 of Economic Interests: Place ofFiling. The code reviewing
body shall instruct all designated employees within its code to file statements of economic
interests with the agency or with the code reviewing body; as provided by the code reviewing
' 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 in place of an original is signed and verified by the designated employee as if it were an original. See
Government Code Section 81044,
2 ':8730
body in the agency's conflict of interest code.'
(5) Section 5. Statements of Economic Interests: Time of Filing.
(A) Initial Statements. All designated employees employed by the agency on the
effective date of this code, as originally adopted, promulgated and approved by the code
reviewing body, shall.file statements within 30 days after the effective date of this code.
Thereafter, each person already in a position when it is designated by an amendment to this code
shall file an initial statement within 30 days after the effective date of the amendment.
(B) Assuming Office Statements. All persons assuming designated positions after the
effective date of this code shall file statements within 30 days after assuming the designated
positions, or if subject to State Senate confirmation, 30 days after being nominated or appointed.
(C) Annual Statements. All designated employees shall file statements no later than
April 1.
(D) Leaving Office Statements. All persons who leave designated positions shall file
statements within 30 days after leaving office.
(5.5) Section 5.5.*,Statements for Persons Who Design:prior to Assuming Office. Any
person who resigns within 12 months of initial appointment,or within 30 days of the date of
,w 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 of, or
use his or her position to influence any decision and did not receive or become entitled to receive
any form of payment as a result of his or her appointment. Such persons shall not file either an
assuming or leaving office statement.
(A) Any person who resigns a position within 30 days of the date of a notice from the
filing officer shall do both of the following:
(1) pile a written resignation with the appointing power; and
(2) File a written statement with the filing officer declaring under penalty of perjury that
z See Governtnent Code Section 81010 and 2 Cal.Cade of Regs.Section 18115 for the duties of filing
officers and persons in agencies who make and retain copies of statements and forward the originals to the filing
off icer.
3 '18730
t
during the period between appointment and resignation he or she did not make, participate in the
making, or use the position to influence any decision of the agency or receive, or become entitled
to receive, any form of payment by virtue of being appointed to the position.
(6) Section 6. Contents of and Period Covered by Statements of Economic Interests.
(A) Contents of Initial Statements. Initial statements shall disclose any reportable
investments, interests in real property and 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
assuming office or, if subject to State Senate confirmation or appointment, on the date of
nomination, and income received during the 12 months prior to the date of assuming office or the
date of being appointed or nominated, respectively.
(C) Contents of Annual Statements. Annual statements shall disclose any reportable
investments, interests in real property, income and business positions held or received during the
previous calendar year provided,however, that the period covered by an employee's first annual
statement shall begin on the effective date of the code or the date of assuming office whichever is
later.
(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 Reporting. Statements of economic interests shall be mach on
forms prescribed by the Fair Political Practices Commission and supplied by the agency, and
shall contain the following information:
(A) Investments and Real Property Disclosure. When an investment or an interest in real
4 18730
property' is required to be reported,4 the statement shall contain the following:
1. A statement of the nature of the investment or interest;
2. The name of the business entity in which each investment is held,and a general
description of the business activity in which the business entity is engaged;
3. The address or other precise location of the real property;
4. A statement whether the fair market value of the investment or interest in real property
exceeds one thousand,dollars (S 1,000), exceeds ten thousand dollars ($10,00), or exceeds one
hundred thousand doll,4rs (S 100,000).
(B) Personal Income Disclosure. When personal income is required to be reported,' the
statement shall contain:
1. The name and address of each source ofincome aggregating two hundred fifty dollars
($250) or more in value or fifty dollars ($50)or more in value if the income was a gift, and a
general description ofthe.business activity, if any, of each source;
2. A statement whether the aggregate value of income from each source, or in the case of
a loan, the highest amount owed to each source, was one thousand dollars($1,000)or less,
greater than one thousand dollars ($1,000), or greater than ten thousand dollars (Sl 0,000);
3. A. description of the consideration, if any, for which the income was received;
4. In the case of a gift,the name, address and business activity of the donor and any
intermediary through which the gift was made, a description of the gift; the amount or value of
the gift; and the date on which the gift was received;
x For the purpose of disclosure only(not disqualification),an interest in real property does not include the
principal residence of the filer.
A Investments and 'interests in real property which have a fair market value of less than$1,000 are not
investments and interests in real property within the meaning of the Political Reform Act. However, investments or
interests in real property of an individual include those held by the individual's spouse and dependent children as
well as a pro rata share of any 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.
s 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.
5 18730
r
5. In the case of a loan, the annual interest rate and the security, if any, given for the loan.
(C) Business Entity Income Disclosure. When income of a business entity, including
income of a sole proprietorship, is required to be reportei.,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 ten thousand
dollars ($10,000),
(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 1Te or she is
a director, officer, partner, trustee, employee, or in which he or she holds any position of
management; a description of the business activity in which the business entity is engaged, and
the designated employee's position with the business entity.
(E) Acquisition or Disposal During Reporting Period. In the case of an annual or leaving
office statement, if an investment or an interest in real property was partially or wholly acquired
or disposed of during the period covered by the statement, the statement shall contain the date of
acquisition or disposal.
(S) Section 8. Prohibition on Receipt of Honoraria.
(A). No member of a state board or commission, and no designated employee of a state or
local government 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.
° 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 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 catecories of the flier.
6 18730
Subdivisions (a), (b), and (c) of Government Code Section 8950€ shall apply to the
prohibitions in this section.
This section shall not limit or prohibit payments, advances, or reimbursements for travel and
related lodging and subsistence authorized by Government Code Section 89506.
(8.1) Section 8.1 Prohibition on Receipt of Gifts in Excess of$290.
(A) No member of state board or commission, and no designated employee of a state
or local government agency, shall accept gifts with a total value of more than.$290 in a calendar
year from any single source, if the member or employee would be required to report the receipt
of inc6me or gifts from that source on his or her statement of economic interests. This section
shall not apply to any part-time member of the governing board of any public institution of
higher education, unless the member is also an elected official.
Subdivisions(e), (f), and(g)of Government Code Section: 89503 shall apply to the
prohibitions in this section.
(9) Section. 9. Disqualification. No designated employee shall make,participate in
making, or in any way attempt to use his or her official position to influence the making of any
governmental decision which he or she knows or has reason to know will have a reasonably
foreseeable material financial effect, distinguishable from its effect on the public generally, on
the official or a member of his or her immediate family or on:
(A) Any business entity in which the designated employee has a direct or indirect
investment worth one thousand dollars ($€,000) or more;
(B) Any real property in which the designated employee has a direct or indirect interest
worth one thousand dollars(S€,000) or more;
(C) Any source of income, other than gifts and other than loans by a commercial lending
institution in the regular course of business on terms available to the public without regard to
official status,aggregating two hundred fifty dollars ($250)or more in value provided to,
received by or promised to the designated employee within €2 months prior to the time when the
decision is made;
(D) Any business entity in which the designated employee is a director, officer,partner,
7 `18730
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
$290 or more provided to; received by, or promised to the designated employee within 12
months prior to the time when the decision is made.
(9.3) Section-9.3. Legally Required Participation. No designated employee shall be
prevented from making or participating in the making of any decision to the extent his or her
participation is legally required for the decision to be made. The fact that the vote of a
designated employee who is on a voting body is needed to break a tie does not make his or her
participation legally required for purposes of this section.
(9.5) Section 9.5. Disqualification of State Officers and Employees. In addition to the
general disqualification provisions of section 9, no state administrative official shall make,
participate in malting, or use his or her official position to influence any governmental decision
directly relating to any contract where tthe state administrative official knows or has reason to
know that any parry to the contract is a person with whom the state administrative official, or any
member of his or her immediate family has,within 12 months prior to the time when the official
action is to be taken.
(A) Engaged in a business 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 totaling in value one thousand dollars
($1,000)or more.
(10) Section 10. Manner of Disqualification. When a designated employee determines
that he or she should not make a governmental decision because he or she has a disqualifying
interest in it,the determination not to act must be accompanied by disclosure of the d.isqualifyfing
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
8 19730
writing to the designated employee's supervisor.
(11) Section 11. Assistance of the Commission and Counsel. Any designated employee
who is unsure of his or her duties under this cede 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) Section 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 81000 - 91015.
In addition, a decision in relation to which a violation of the disqualification provisions of this
code or of Government Cude
Section 87100 or 87450 has occurred may be set aside as void pursuant to Government Code
Section 91003.
Note: At TTHOPUTY: Section 83112, Gov. Code
REFERENCE: Sections 87103(e), 87300-87302, 89501, 89502, 89503, Gov. Code
Hi�tc�
(1) New section filed 4-2-80 as an emergency; effective upon filing. Certificate of
Compliance included.
(2) Editorial correction.
(3) Amendment of subsection (b) filed 1-9-81; effective thirtieth day thereafter.
(4) Amendment of subsection(b)(7)(B)l. filed 1-26-83; effective thirtieth day thereafter.
(5) Amendment of subsection(b)(7)(A) filed 11-10-83; effective thirtieth day thereafter.
(6) Amendment filed 4-13-87; effective thirtieth day thereafter.
(7) Amendment of subsection (b) filed 10-21-88; effective thirtieth day thereafter.
(8) Amendment filed 8-28-90; effective thirtieth day thereafter.
(9) Amendment filed 8-7-92; effective thirtieth day thereafter.
(10) Amendment filed 2-5-93; effective upon filing.
(11) Amendment filed 3-14-95; effective upon filing.
(12) Amendment filed 10-23-96; effective upon filing.
(13) Amendment filed 4-9-97; effective upon filing.
9 18730
F