HomeMy WebLinkAboutMINUTES - 05041993 - 1.54 1 -54
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TO: BOARD OF SUPERVISORS
FROM: Victor J. Westman, County Counsel
By: Phillip S . Althoff, Deputy County Counsel
DATE: April 22, 1993
SUBJECT: Conflict of Interest Code of the Probation Department
SPECIFIC REQUEST(S) OR RECOMMENDATION(S) & BACKGROUND AND JUSTIFICATION
RECOMMENDATIONS
Adopt the attached revised conflict of interest code.
FISCAL IMPACT
None.
BACKGROUND/REASONS FOR RECOMMENDATIONS
The Probation Department has revised its conflict of interest code
and submitted the code to the Board of Supervisors for approval
pursuant to Government Code sections 87303, 87306 , and 87306 . 5 .
CONTINUED ON ATTACHMENT: YES SIGNATURE
RECOMMENDATION OF COUNTY ADMINISTRATOR RECOMMENDATION OF BOARD COMMITTEE
APPROVE OTHER
SIGNATURE(S) :
ACTION OF BOARD ON 9 APPROVED AS RECOMMENDED < OTHER
VOTE OF SUPERVISORS
I HEREBY CERTIFY THAT THIS IS A
X UNANIMOUS (ABSENT TRUE AND CORRECT COPY OF AN
AYES: NOES: ACTION TAKEN AND ENTERED ON THE
ABSENT: ABSTAIN: MINUTES OF THE BOARD OF
SUPERVISORS ON THE DATE SHOWN.
Orig: Probation Department ATTESTED G 3
cc: County Administrator PHIL tATC ELOR, CLERK OF
County Counsel THE BOARD OF SUPERVISORS
Clerk of the Board o AND COUNTY ADMINISTRATOR
BY (/ , DEPUTY
PSA/jh
-54
r CErk r n :
CONFLICT OF INTEREST CODE = '
OF THE �_ 5
PROBATION DEPARTMENT
CONTRA COSTA COUNTY
SECTION 100 . Purpose. Pursuant to the provisions of the
Government Code sections 87300, et seq. , the Probation Department
of Contra Costa County hereby adopts the following Conflict of
Interest Code. Nothing contained herein is intended to modify or
abridge the provisions of the Political Reform Act of 1974 (Gov.
Code, § 81000 et seq. ) . The provisions of this Code are
additional to Government Code section 87100 and other laws
pertaining to conflicts of interest. Except as otherwise
indicated, the definitions of said Act and regulations adopted
pursuant thereto are incorporated herein and this Code shall be
interpreted in a manner consistent therewith.
SECTION 200 . Designated Positions . The positions listed on
Exhibit "A" are designated positions . Officers and employees
holding those positions are designated employees and are deemed
to make, or participate in the making of, decisions which may
foreseeably have a material effect on a financial interest.
SECTION 300 . Disclosure Statements . Designated positions
shall be assigned to one or more of the disclosure categories set
. forth on Exhibit "B" . Each designated employee shall file an
annual statement disclosing that employee's interest in
investments, business positions, real property, and income
designated as reportable under the category to which the
employee's position is assigned.
SECTION 400 . Place & Time of Filing.
(a) All designated employees required to submit a statement
of financial interest shall file the original with the County
Probation Officer.
(b) In the case of agency heads and the members of boards
and commissions, the County Probation Officer shall make and
retain a copy of the statement and forward the original to the
clerk of the Board of Supervisors .
(c) All designated employees employed on the effective date
of this Code, as originally adopted, promulgated and approved by
the code reviewing body, shall file initial 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. Employees
appointed, promoted or transferred to designated positions shall
file initial statements within 30 days after date of appointment,
promotion or transfer.
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(d) Annual statements shall be filed during the month of
April by all designated employees . Such statements shall cover
the period of the preceding calendar year. Closing statements
shall be filed within thirty days of leaving a designated
position. Such statements shall cover the period from the
closing date of the last statement filed to the date of leaving
the position.
(e) A designated employee required to file a statement of
financial interest under any other agency's conflict of interest
code, or under Article 2 of Chapter 7 of the Political Reform Act
for a jurisdiction contained within the territorial jurisdiction
of this agency may comply with the provisions of this Code by
filing a duplicate copy of that statement and an expanded
statements which covers reportable interests in that portion of
this agency's jurisdiction which differs from the jurisdiction
described in the other statement.
SECTION 500 . Contents of Disclosure Statements . Disclosure
statements shall be made on forms supplied by the Clerk of Contra
Costa County, and shall contain the following information:
a. Contents of Investment and Real Property Reports .
When an investment or an interest in real property is
required to be reported, the statement shall contain:
( 1 ) A statement of the nature of the investment or
interest;
(2 ) The name of the business entity in which each
investment is held, and a general description of
the business activity in which the business entity
is engaged;
( 3) The address or other precise location of the real
property;
(4 ) A statement whether the fair market value of the
investment or interest in real property equals or
exceeds one thousand dollars ($1,000) but does not
exceed ten thousand dollars ($10,000) , whether it
exceeds ten thousand dollars ($10,000) but does
not exceed one hundred thousand dollars
($100,000) , or whether it exceeds one hundred
thousand dollars ($100,000) . This information
need not be provided with respect to an interest
in real property which is the principal residence
of the filer or any other property which the filer
utilizes exclusively as the personal residence of
the filer.
- 3 -
b. Contents of Personal Income Reports :
When personal income is required to be reported, the
Statement shall contain:
( 1) The name and address of each source of income
aggregating two hundred and fifty dollars ($250)
or more in value, or fifty dollars ($50) or more
in value if the income was a gift; and a general
description of the business activity, if any, of
each source. In the case of a gift received
through an intermediary, the name, address and
business activity of both the donor and the
intermediary must be disclosed.
(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 at least
two hundred fifty dollars ($250) but did not
exceed one thousand dollars ($1,000) , whether it
was in excess of one thousand dollars ($1,000) but
was not greater than ten thousand dollars
( $10, 000) , or whether it was greater than ten
thousand dollars ( $10,000) ;
( 3) A description of the consideration, if any, for
which the income was received;
(4 ) In the case of a gift, the amount and the date on
which the gift was received;
(5) In the case of a loan, the annual interest rate
and the security, if any, given for the loan.
C. Contents of Business Entity Income Reports :
When income of a business entity, including income of a
sole proprietorship, is required to be reported, the statement
shall contain;
( 1) The name, address, and a general description of
the business activity of the business entity;
(2 ) The name of every person from whom the business
entity received payments if the filer's prorata
share of gross receipts from such person was equal
to or greater than ten thousand dollars ($10,000)
during a calendar year.
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d. Contents of Management Positions Reports :
When management positions are required to be reported,
designated employees shall list the name of each business entity
not specified above in which they are a director, officer,
partner, trustee, employee, or in which they hold 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. Initial Statement:
The initial statement filed by a designated employee
employed on the effective date of this Code shall disclose
investments, business positions, interests in real property held
on the effective date of this Code and income received during the
12 months before the effective date of this Code. Thereafter,
the initial statement filed by an employee already in a position
when it is designated by amendment to this Code or by an employee
appointed, transferred, or promoted to a designated position
shall disclose any reportable investments, business positions and
interests in real property held on, and income received during
the 12 months before the effective date of the amendment,
appointment, transfer or promotion.
f. Acquisition or Disposal During Reporting Period:
In the case of a statement filed under Section 400(a) ,
if the investment or interest in real property was partially or
wholly acquired or disposed of during the period covered by the
statement, the date of acquisition or disposal .
SECTION 600 . Disqualification. Designated employees must
disqualify themselves from making or participating in the making
of any decisions or using their official position to influence
the making of any decision in which they have a reportable
financial interest, when it is reasonably foreseeable that such
interest may be materially affected by the decision. No
designated employee shall be required to disqualify himself with
respect to any matter which could not be legally acted upon or
decided without his participation.
ds
Revised: 3/93
5 -
EXHIBIT "A"
Designated Positions Disclosure Category
1 . County Probation Officer 1 & 2
2 . Probation Division Director 1 & 2
3 . Probation Supervisor II 1 & 2
4 . Probation Supervisor II (Training Officer) 3 (B, C, G)
5 . Probation Supervisor I 3 ( I)
6 . Deputy Probation Officer III 3 ( I )
7 . Deputy Probation Officer II 3 (I)
8 . Juvenile Institution Superintendent 1 & 2
9 . Institutional Supervisor III 2
10 . Supervising Nurse 3 (D)
11 . Administrative Services Officer 1 & 2
6 -
EXHIBIT "B"
Disclosure Categories
General Rule.
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.
1 . Designated Employees in Category "1" must report:
(a) All investments, interests in real property, and
income, and any business entity in which the employee is a
director, officer, partner, trustee, employee, or holds any
position of management. These financial interests are reportable
only if located within Contra Costa County or if the business
entity is doing business or planning to do business in the County
(and such plans are known by the designated employee) or has done
business within the County at any time during the two years prior
to the filing of the statement.
(b) Investments in any business entity, income from
any source and status as a director, officer, partner, trustee,
employee, or holder of a position of management in any business
entity, which has within the last two years contracted or
foreseeably may contract with Contra Costa County, or with any
public agency within Contra Costa County, to provide services,
supplies, materials, machinery or equipment to either party.
2 . Designated Employees in Category 112" must report:
Investments in any business entity, income from any
sources, and status as a director, officer, partner, trustee,
employee, or holder of a position of management in any business
entity, which has within the last two years contracted, or
foreseeably may contract with Contra Costa County to provide
services, supplies, materials, machinery or equipment to the
Probation Department.
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CATEGORY #3
Insofar as the business entity or income source relates
to the following areas :
(A) Psychological Testing and Evaluation
(B) Counseling
(C) Special Education
(D) Medicine and Health
(E) Buildings and Grounds Equipment and Supplies
(F) Buildings and Grounds Maintenance Services
(G) Books and Other Publications
(H) Vocational Training
( I ) Private Board and Care Institutions, both Juvenile and
.Adult
1 . Designated Employees in Category 113" must report:
Investments in any business entity, income from any source,
and status as a director, officer, partner, trustee, employee, or
holder of a position of management in any business entity, which
has within the last two years contracted, or foreseeably may
contract, with Contra Costa County to provide services, supplies,
materials, machinery or equipment to the Probation Department.
COUNTY COUNSEL'S OFFICE 17 7 1993
CONTRA COSTA COUNTY cnST.A
MARTINEZ CALIFORNIA
Data: March 16 , 1993
To: Gerald S. Buck, Probation Officer
Attention: Darlene Smith
From: Wictor J. Westman, County Counsel
f�r Mary Ann McNett Mason, Deputy County Counsel
Fie: Conflict of Interest Codes of the Probation Department
and Juvenile Justice Commission
At the request of the Clerk of the Board of Supervisors , we have
reviewed the proposed amendments to the conflict of interest codes
for the above entities . In that the language of the proposed
amendments is not entirely consistent with current legal
requirements , we have not approved the codes as to form. Attached
hereto is a copy of a sample code that contains language consistent
with current requirements . We suggest that you revise the codes for
consistency with the sample code . After revision, you should do the
following prior to resubmission of the codes to the Board of
Supervisors .
A. Review of proposed code .
Notice of proposed code should be given to the Probation
Department ' s public, employee organizations , officers and employees .
In the opinion of this office since local codes will bear some
relation to conditions of employment their adoption comes within the
"meet and confer" provisions of the Mvers-Milias-Brown Act . (Gov .
Code §§ 3501 . 5-3509 . )
B. Hold a public hearing on the tentative code .
In order to fully comply with the requirements of Government Code
section 87311 we recommend that the Probation Officer and Commission
respectively hold a public hearing on the tentative codes . Such
hearings should be preceded by appropriate public notice . We suggest
that a notice substantially similar to the model attached to this
letter posted at least 7 days before the scheduled hearing on the
Courthouse bulletin board and on an appropriate official public
bulletin board in the area of the agency' s jurisdiction . Notice of
the hearing should also be given to appropriate news media at least