HomeMy WebLinkAboutCC 3 CONFLICT INTEREST 06-06-83 ISENT CALENDAR
NO. 3
6-5-83
AGi!NDA ITEM:
RESOLIII'IO# NO. 83-38
Resolution of the City Council of the City of Tustin, California,
APPROVING THE CONFLICT OF INTEREST CODE OF THE PLANNING COMMISSION OF
THE CITY OF TUSTIN
BACiCGROUND:
The attached Conflict of Interest Code of the Planning Commission of
the City of Tustin was approved by the Planning Commission on May 23,
1983.
RECOI~NDATION:
That Resolution No. 83-38 be passed and adopted.
OATE:
TO:
A~IL ~, ~e~ ~~~ ! nter - C om
WILLIAM HUSTON, CITY MANAGER
FROM: JAMES G. ROURKE, CITY ATTORNEY
~ LYDIA S. LEVIN, DEPUTY CITY ATTORNEY
SUBJECT: PLANNING COMMISSION - CO~FLICT OF INTEREST CODE
Enclosed please find a Conflict of Interest Code which has
been prepared for the Planning Commission. Dr. Fleagle will be
presenting this to the Planning Commission for its adoption.
Subsequent to that action, the enclosed Resolution of the City
Council approving the Code should be adopted.
Enclosure
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RESOLUTION NO. 83-38
RESOLUTION OF THE CITY COUNCIL OF THE CITY
OF TUSTIN, CALIFORNIA, APPROVING THE CON-
FLICT OF INTEREST CODE OF THE PLANNING
COMMISSION OF THE CITY OF TUSTIN
The City Council of the City of Tustin, California, does
hereby resolve as follows:
1. The City Council finds and determines that the Conflict
of Interest Code of the Planning Commission of the City of Tustin
has been adopted by that Commission and that said Code is' in'
compliance with the requirements of law and is reasonable and
appropriate and should be approved.
2. The City Council hereby approves the Conflict of Interest
Code of the Planning Commission of the City of Tustin heretofore
submitted for that Commission, a copy of which said Code is
attached hereto.
3. Pursuant to Section 2.2 of said Code, the City Council
of the City of Tustin, as the Code-Reviewing Body, hereby instructs
all designated employees requir'ed to file Statements of Economic
Interests pursuant to said Conflict of Interest Code to file said
Statements with the City Clerk of the City of Tustin.
PASSED AND ADOPTED at a regular meeting of the City Council
of the City of Tustin, California, held on the day of' ,
1983.
ATTEST:
MAYOR
CITY CLERK
LSL:lw:D:4/12/83
R:3
CONFLICT OF INTEREST CODE OF THE
PLANNING COMMISSION OF THE
CITY OF TUSTIN APPLICABLE TO
DESIGNATED EMPLOYEES THEREOF
ARTICLE I
Section 1.1 Purpose. Pursuant to the provisions of Govern-
ment Code Sections 87300 et seq., the Planning Commission of the
City of Tustin 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 (Government Code
Section 81000 et seq.). The provisions of this Code are in
addition to Government Code Section 87100 et seq. and other
laws pertaining to conflicts of interest. Except as otherwise
indicated, the definitions of said Act are regulations adopted
pursuant thereto and incorporated herein and this Code shall
be interpreted in a manner consistent therewith.
Section 1.2 Severability. If any article, section,
subsection, paragraph, subparagraph, sentence, clause or phrase
of this Code is for any reason held to be invalid, unconstitutional
or unenforceable, such decision shall not affect the validity
of the remaining portions of this Code. The City declares that
it would have adopted this Code and each article, section,
subsection, paragraph, subparagraph, sentence,"clause and phrase
thereof irrespective of the fact any one or more of such portiohs
of this Code be declared invalid, unconstitutional and
unenforceable.
Section 1.3 Effective Date. This Code shall take effect
upon its approval by the appropriate Code Reviewing Body. The
previous Conflict of Interest Code, adopted by Resolution No.
77-34, shall be repealed concurrently with the effective date
of this Code.
Section 1.4 Definitions. As used in this Code, unless
the context otherwise clearly implies, the following words and
terms shall have the meanings set forth herein:
(a) Business Entity:. "Business entity" means any
organization or enterprise operated for profit, including but
not limited to a proprietorship, partnership, firm, business.
trust, joint venture, syndicate, corporation or association.
(b)
Tustin.
Commission: The Planning Commission of the City of
(c) Consultant: "Consultant" means a position established
by contract with the Commission pursuant to which contract infor-
mation, advice, recommendation or counsel is provided to the Com-
mission; provided, however, that "consultant" shall not include
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a position in which the person providing such information,
advice, recommendation or counsel:
(1) conducts research and arrives at conclusions
with respect to his or her rendition of information, advice,
recommendation or counsel independent of the control and
direction of the City or of any City official, other than normal
contract monitoring; and
(2) possesses no authority with respect to any
City decision beyond the rendition of information, advice,
recommendation or counsel.
(d) City: "City" means the City of Tustin.
(e) City Clerk: "City Clerk" means the City Clerk of
the City of Tustin.
(f) County: "County" means the County of Orange.
(g) Designated Employee: "Desiggated employee" means a
person holding a designated position or representing a business
entity which holds a designated position.
(h) Designated PoSition: "Designated position" means a
position with the Commission specified in Appendix "A" attached
hereto. Designated positions may involve the making or pa.rtici-
pation in the making of decisions which may foreseeably have a
material effect 'on a financial interest of the designated
employee holding such position.
(i) Disclosure Statements: "Disclosure statements" mean
~ statements disclosing reportable interests required by Section
2.1 to be filed by designated employees.
(j) Reportable Interests: "Reportable interests" means
investments, interests in real property and income required to
be disclosed by designated employees. "Reportable interests" as
to any particular designated employee means those categories of
such interests assigned, by Appendix "A" attached hereto, to the
designated position held by such employee.
(k) Family: "Family" means the spouse and dependent
children of the designated employee. ~
(1) Except as otherwise indicated, the definitions
contained in the Political Reform Act of 1974 (Government Code
Section 81000, et seq.) and regulations adopted pursuant thereto
are incorporated into this Conflict of Interest Code.
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ARTICLE II
DISCLOSURE
Section 2.1
(a) Disclosure Statements. Each designated emplcyee
shall file an initial statement and annual statements disclosing
those reportaDl~ interests in the category or categories of
reportable interests, more particularly described in ~ect~on
2.5, which are assigned by Appendix "A" hereof to the designated
position held by such employee. Such statements shall be filed
at the place specified in Section 2.2 and at the times specified
in Section 2.3 through Section 2.5, shall contain the information
specified in Section 2.6 through Section 2.9, and shall be in
the form specified in Section 2.10.
(b) Any designated employee who holds more than one (1)
designated position shall file only one (1) disclosure statement,
indicating on that disclosure statement all of the designated
positions held by such employee.
(c) Designated employees who are required to file State-
ments of Economic Interests under any other Conflict of Interest
Code, or under Article 2 of Chapter 7 of the Political Reform
Act for a different jurisdiction, may expand their Statement of
Economic Interests to cover reportable interests in both juris-
dictions, and may file copies of this expanded statement.with both
entities or a copy.of the expanded statement with the Commission
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.
Section 2.2 Place of Filing. The Code Reviewing Body shall
instruct all designated 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) Ail designated employees shall file statements of
economic interests with the City Clerk. Upon receipt of these
statements of economic interests, the City Clerk shall make
and retain a copy of each and forward the originals of these
statements to the Code Reviewing Body, which shall be the
filing officer with respect to these statements. Such state-
ments shall be forwarded by the City Clerk to the Code Review-
ing Body within five.(5) days after the filing deadline or .five
(5) days after receipt in the case of statements filed late.
(b) Ail designated employees shall file statements of
economic interests with the Code Reviewing Body,
(See Government Code Section 81010 and 2 Cal. Adm. Code
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 officer.)
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Section 2.3 Time of Filing Initial Statement.
(a) Ail persons assuming designated positions after the
effective date of this Code shall file statements within thirty
(30) days after assuming the'designated positions.
(b) Section 2.3 shall not be applicable to any designated
employee required to file under the provisions of Government
Code Sections 87200, et seq., but such designated employee
shall conform to the disclosure and filing provisions of
Government Code Sections 87200, et seq.
Section 2.4 Time of Filing Annual Statements. An annual
disclosure statement shall be filed by April 1st of each year
by each designated employee whether or not such reportable
interest was disposed of during such calendar year and whether
or not the designated employee filed an initial statement
pursuant to Section 2.3. Annual statements shall cover the
period of January 1 through December 31 of the calendar'year
preceding the statement. Section 2.4 shall not be applicable
to any designated employee required to file under the provisions
of Government Code Section 87200, et seq., but such designated
employee shall conform to the disclosure and filing provisions
of Government Code Sections 87200, et seq.
Section 2.5 Time of Filing of Leaving Office Statements.
Any designated employee who leaves his or her office or Dosition
shall file~a disclosure statement within' thirty (30) days of .the
effective date of leaving-the office or position. Section 215
shall not be applicable to any designated employee required to
file under the provisions of Government Code Section 87200, et
seq., but such designated employee shall conform to the dis-
closure and filing provisions of Government Code Sections
87200, et seq.
Section 2.6 Categories of Reportable Interests. Reportable
interests are divided into the following categories:
(a) Category I: Interests in Real Property. Interests
in real proDerty are reDortable interests if:
(1) the real proDerty to which the interest pertains
is located in Dart or in whole:
(i)' within the boundaries of the City, or
(ii)
within two (2) miles of the boundaries
of the City, or
(iii)
within two (2) miles of land located
outside of the boundaries of the City
which is owned or used by the City; and
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(2) the fair market value of the interest owned
directly, indirectly, or beneficially by the designated employee
or his or her family is greater than One Thousand Dollars
(Si,000.00); and
(3) the interest is either:
(i)
a leasehold which does not expire within
ten (10) years from the first day of the
period covered by the statement, or a
beneficial or ownership interest held
by the designated employee or his or
her family; or
(ii)
an option held by the designated employee
or his or her family to acquire such an
interest; or
iii)
an interest or option held by a business
entity or trust in which the designated
employee or his or her. family owns
directly, indirectly or beneficially, a
ten percent (10%) interest or greater;
provided, however, that in the event
that the ownership interest of the
designated employee or his or her f~mily
in such business entity or trust is less
than fifty percent (50%), the-value, for
th~ purpose of Paragraph ('2), of the
real property interest or option relates
to the value of the prorata share of
the designated empl6yee or his or her
family in the real property interest or
option held by the business entity or
trust; and provided, further, that in
the event that the ownership interest of
the designated employee or his or her
family in such business entity or trust
is fifty percent (50%) or more, the
value, for the purpose of Paragraph (2),
of the real property interest or option
relates to the entire value of the real
property interest or option held by the
business entity, or trust; and
(4) the principal residence of the filer is not
required to be reported.
(b) Category II: Investment.
entities are reportable if:
Inuestments in business
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(1) the business entity, including parent
corporations, subsidiary corporations or otherwise related
business entities,
<i)
has an interest in real property located
in part or in whole within the boundaries
of the City, within two (2) miles thereof
or within two (2) miles of land owned or
used by the City, or
(ii)
does business or .pla~s to do business
within the City, or
(iii)
has done business within the City at any
time during the two (2) years prior to
the time that the disclosure statement
of the designated employee is filed; and
(2) the fair market value of the investment of the
designated employee or his or her family is greater than One
Thousand Dollars ($1,000.00); and
(3) the investment either:
is owned directly, indirectly or
beneficiallY by the designated employee
or his or hec family and constitutes a
.financial interest in, or security issued
by, the business entity, including but
not limited to common stock, preferred
stock, rights, warrants, options, debt
instruments and any partnership or other
ownership interest; or
(ii)
is held by any business entity or trust
in which the designated employee or his
or her family owns, directly, indirectly,
or beneficially, a ten percent (10%)
interest or greater, and constitutes a
financial interest in, or security issued
by, a business entity qualifying under
Paragraph (2) above; provided, however,
that in the event that the ownership
interest of the designated employee or
his or her family in such business entity
or trust is less than fifty percent
(50%), the value, for the purpose of
Paragraph (2), of the investment relates
to the value of the prorata share of
the designated employee or his or her
family in the investment held by the
business entity or trust; and, provided,
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further, that in the event the ownership
interst of the designated employee or
his or her family in such business entity
or trust is fifty percent (50%) or more,
the value, for the purpose of Paragraph
(2), of the investment relates to the
entire value of the investment held by
the business entity or trust.
EXCEPT: An investment is not reportable if it
constitutes a time or demand deposit in a financial
institution, 'a share in a credit union, an insurance
policy,' or .a bond or other debt instrument issued by
any ~overnment or government agency.
(c) Category III: Sources of Income.
are reportable if:
(1)
Sources of income
the source of income was either:
(i)
a business entity located or doing
business as described in subsection
'(b)(1), or
(ii)
(2)
(iii)
an individual residing within the City,
or
a non-p~ofit association or corporation
having its principal place of business
within the City; and
either:
(i)
the aggregate amount of income received
by the designated employee or his or her
family from the source during the period
covered by the disclosure statement was
Two Hundred Fifty Dollars ($250.00) or-
more in value, or
(ii)
if the income were a gift received by the
designated employee or his or her family
from the source during the period covered
by the disclosure statment, the value of
the gift was Fifty Dollars ($50.00) or
more; and
(3)'
the income was either received by:
(i) the designated employee or his or her
family, or
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(ii)
received by any business entity or trust
in which the designated employee or his
or her family owns, directly, indirectly,
or beneficially, a ten percent (10%)
interest or greater, provided, however,
that in the event that the income is
received by a business entity described
in this Paragraph (ii), the value, for
the purpose of Paragraph (2), of the
income relates to the prorata share of
the designated employee or his or her
family in the income of the business
entity or trust.
INCOME INCLUDES, except to the extent excluded by
this subsection, income of any nature from any
source, including but not limited to any salary,
wage, advance, payment, dividend, interest, rent,
capital gain, return of capital, gift (including any
gift of food or beverage), loan, forgiveness or
payment of indebtedness, discount in the price of
anything of value unless the discount is available to
members of the public without regard to official
status, rebate, reimbursement of expenses, per diem,
or contribution to an insurance or pension program
paid by any person other than an employer..
INCOME DoEs NOT INCLUDE:
(1) campaign contributions required to be
reported under Chapter 4 (commencing with Section
84100) of TitIe 9 of the Government Code;
(2) salary and reimbursement for expenses or
per diem received from a state or local government
agency and reimbursement for travel expenses and per
diem received from a bona fide educational, academic
or charitable organization;
(3) gifts of informational material, such as
books, pamphlets, reports, calendars or periodicals;
(~) gifts which are not used and which,
within thirty (30) days after receipt, are returned
to the donor or delivered to a charitable organization
without being claimed as a charitable contribution
for tax purposes;
(5) gifts from an individual's spouse, child,
parent, grandparent, grandchild, brother, sister,
parent-in-law, brother-in-law, sister-in-law, aunt,
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uncle, or first cousin or the spouse of any such
person; provided, that a gift from any such person
shall be considered income if the donor is acting as
an agent or intermediary for any person not covered
by this Paragraph (5);
(6) any devise or inheritance;
(7) interest, dividends or premiums on a
time or demand deposit in a financial institution,
shares in a credit union or any insurance policy,
payments received under any insurance policy, or any
bond or other debt instrument issued by any government
or Government agency; and
(8) dividends, interst or any other return
on a security which is registered with the Securities
and Exchange Commission of the United States
Government;
(9) redemption of a mutual fund;
(10) alimony or child support payments;
(il) any loan or loans from a commercial
lendinG institution which are made in the lender's
regular course of business on terms available to
members of the public without regard to official
status if:
(A) used to purchase the principal
residence of the filer; or
(B) the balance owed does not exceed
Ten Thousand Dollars ($10,000.00);
(12) any indebtedness created as part of a
retail installment or credit card transaction if
made in the lender's regular course of business on
terms available to members of the public without
regard to official status, so long as the balance
owned to the creditors does not exceed Ten Thousand
Dollars ($10,000.00);
(13) other than a gift, income received from
any source outside the jurisdiction of the City and
not doing business within the jurisdiction of the
City, not planning to do business within the jurisdiction,
of the City, or not having done business within the
jurisdiction of the City during the two (2) years
prior to the time any statement or other action is
required by this Code;
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(14) income from a source which is a
empl'oyer if: all income from the employer was
received by or accrued to the designated employee
prior to the time he or she became a designated
employee, the income was received in the normal
course of the previous employment, and there was no
expectation by the designated employee at the time
he or she assumed the designated position of renewed
employment with the former employer.
(15) payments received under a defined benefit
pension plan qualified under Internal Revenue Code
Section 401(a).
Section 2.7 Content of Disclosure Statements; Category I.
DiscloSure statements required to be filed for reportable
interests specif, ied in Category I shall contain the following
information:
(a) The address or other precise location of the real
property;
(b) A statement of the nature of the interest in the
real property;.
(c) A statement of whether the fair market value of the
intererst exceeds one Thousand Dollars ($!,000.00) but does
'not exceed Ten Thousand Dollars ($10,000.00), whether it exceeds
Ten Thousand Dollars ($10,000.00) but does not exceed One
Hundred Thousand Dollars ($100,000.00), or whether it exceeds
One Hundred Thousand Dollars ($100,000.00);
(d) In the case of an interest in real property wholly
or partially acquired during the period covered by an annual
disclosure statement, the date of acquisition and, if such
interest in such property was disposed of during such period,
the date. of disposition; and
(e) For purposes of disclosure under this Section,
"interest in real property" does not include the principal
residence of the filer.
Section 2.8 Conte~t of Disclosure Statements; Category
II and Related Categories. Disclosure statements required to
be filed for reportable interests specified in Category II shall
contain the'folloWing information:
(a) The name and address of the business entity in which
each investment is held;
(b) A general description of the business activity in
which the business entity is engaged;
(c) A statement of the nature of the investment;
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(d) A statement of whether the fair market value of the
investment exceeds One Thousand Dollars ($1,000.00) but does
not exceed Ten Thousand Dollars ($10,000.00), whether it exceeds
Ten Thousand Dollars ($10,000.00) but does not exceed One
Hundred Thousand Dollars ($100,000.00), or whether it exceeds
One Hundred Thousand Dollars ($100,000.00);
(e) In the case of an investment which constitutes fifty
percent (50%) or more of the ownership interest in a business
entity, disclosure of the investments and interests in real
property of the business entity;
(f) In the case of investments wholly or partially
acquired during the period covered by an annual disclosure
statement, the date of acquisition and, if such interest in
such property was disposed of during such period, the date of
disposition; and
(g) For purposes of disclosure under this Section
"interest in real property" does not include the principal
residence of the filer.
Section 2.9 Content of Disclosure Statement; Category
III and Related Categories. Except as to an initial disclosure
statement for which income sources need not be reported,
disclosure statements required to be filed for reportable
interests specified in Catgeory III shall contain the following
information:
(a) The name and address of each source of income
aggregating Two Hundred Fifty Dollars ($250.00) or more in
value, or Fifty Dollars ($50.00) or more in value if the
income was a gift; ~
(b) A general description of the business activity, if
any, of each source;
(c) A statement wh~ther the aggregate valu~ 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
($250.00) but did not exceed One Thousand Dollars ($1,000.00),
whether it was in excess of One Thousand Dollars ($1,000.00)
but was not greater than Ten Thousand Dollars ($10,000.00),
or whether it was greater than Ten Thousand Dollars ($10,000.00);
(d) A description of the consideration, if any, for
which the income was received;
(e) In the Ease of income constituting a gift, the amount
and the date on which the gift was received;
(f) In the case of a loan, the annual interest rate and
the security, if any, given for the loan;
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(~) In the case of income of a business entity, in which
the designated employee or his or her family owns a ten percent
(10%) interest or more;
(1) name and address and a general.description
activity of the business entity; and
(2) the name of every natural person, non-profit
association or. corporation, and business entity from whom such
business entity received payments if the prorata share of the
designated employee of gross receipts from such person, non-profit
association or corporation, or business entity was Ten Thousand
Dollars ($10,000.00) or more during any calendar year partially
or wholly covered by the disclosure statement being filed.
(h) Management Position Disclosure. When management
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.
(i) Acquisition or Disposal During Reporting Period. In
the cas~. Of an annual or leaving office statement, if an
investment or interest .in real.property was partially or wholly
acquired or disposed of during the period covered by ~he
statement, the statement shall contain the date of acquisition
or disposal.
Section 2.10 Form of Disclosure Statements. Disclosure
statements required to be filed hereunder for any category of
reportable interests shall be on the forms prescribed by the
Fair Political Practices Commission, which shall be as shown on
Schedules "A-H", inclusive, of Form 730 attached hereto as
Appendix "B".
ARTICLE III
DISQUALIFICATION
Section 3.1 General Rule. Designated employees have a
conflict of interest and shall disqualify themselves from making
or participating in the making of any governmental decision
when it is reasonably foreseeable that the decision will have a
material financial effect, distinguishable from its effect on
the public generally, on a financial interest of the designated
employee. A designated employee shall not be required to
disqualify himself with respect to any matter which could not
be legally acted upon or decided without his particiDation.
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.
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Section 3.2 Making Governmental Decision; Actions Included.
A designated employee makes a governmental decision within the
meaning of this Article, when he or she, acting within the
authority of his or her position:
(a) Votes on a matter;
(b) Appoints a person;
(c)
.action;
Obligates or commits the Commission to any. course of
(d) Enters into any contractual agreement on behalf of
the City; or
(e) Determines not to act, within the meaning of
subsection (a) through subsection (d), unless such determination
is made because of his or her financial interest.
When the determination not to act occurs because of his or
her financial interest, the designated employee's dete:mination
must be accompanied by disclosure of the financial interest made
part of the Commission's official records, or made in writing to
the designated employee's supervisor or appointing power, as
appropriate.
Section 3.3 Participating in Decisions; Actions Included.
A designated employee participate.s in'the making of a governmental
decision within the meaning of this Article, when he or she,
acting within the authority of his or her position:
(a) Negotiates without significant substantive review,
with a governmental entity or private person regarding the
decision; or
(b) Advises or makes recommendations to the decision-
maker, either directly or without significant intervening
substantive review by:
(1) Conducting research or investigations which
require the exercise of judgment on the part of the designated
employee and the purpose of which is to influence the decision;
or
(2) 'Preparing or presenting any report, analysis
or opinion, orally or in writing, which requires the exercise
of judgment on the part of a designated employee, and the
purpose of which is to influence the decision.
Section 3.4 Making or Participating in Decisions; Actions
Excluded. Making or participating in the making of a governmental
decision as used in this Article shall not include:
(a) Actions of a designated employee which are solely.
ministerial, secretarial, manual, or clerical;
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(b) Appearances by a designated employee as a member of
the general public before an agency in the course of its
prescribed governmental function to represent himself or herself
on matters related solely to his or her personal interests; or
(c) Actions by a designated employee relating to the
compensation or.the terms or conditions of his or her employment
or contract.
Section 3.5 Material Effect on Financial Interest. A
designated employee has a financial interest in a decision if
it is reasonably foreseeable that the decision will be signifi-
cant within the meaning of the general standards set forth in
Section 3.1 above. Considerations shall be given to the follow-
ing factors:
(a) Whether, in the case of a business entity in which
the public official holds a direct or indirect investment of
One. Thousand Dollars ($1,000.00) or more or in the case of a
business entity in which the public official is a director,
officer, partner, employee, trustee or holds any posit'ion of
management, the effect of the decision will be to increase or
decrease:
The annualized gross revenues by the lesser of:
(i) One Hundred ThOusand Dollars ($100,000.00)
or more; or
(ii)
One percent (1%) if it is One Thousand
Dollars ($1,000.00) or more; or
(2)
(3)
(i)
(ii)
Annual net incom9 by the lesser of:
Fifty Thousand Dollars ($50,000.00); or
One-half (1/2) of one percent (1%) if
it is One Thousand Dollars ($1,000.00)
or more; or
Current assets or liabilities by the lesser of:
(i) One Hundred Thousand Dollars ($100,000.00);
or
(ii)
One-half (1/2) of one percent (1%) if it
is One-Thousand Dollars ($1,000.00) or
more.
Current assets are deemed to be decreased by the'
amount of any expenses incurred as a result of a governmental
decision.
(b) Whether, i-n the case of a direct or indirect interest
in real property of One Thousand Dollars ($1,000.00) or more
-14-
held by a public official, the effect of the decision will be
to increase or decrease:
(1) The income-producing potential of the property
by the lesser of:
(i)
One Thousand Dollars ($1,000.00) per month;
or
(ii)
Five percent (5%) per month if it is
Fifty Dollars ($50.00) or more per month;
or
(2)
lesser of:
The fair market value of the property by the
(i) Ten Thousand Dollars ($10,000.00); or
(ii)
One-half (1/2) of one percent (1%) if. it
is One Thousand Dollars ($1,000.00) or more.
(c) Whether, in the case of a source of income, as
defined in Government Code Section 87103(c), of Two Hundred
Fifty Dollars ($250.00) or more received by or promised to a
public official within twelve (12) months prior to the time the
decision is made:
(1) The effect of the decisiQn will be to directly
increase or decrease the amount of income (other than rents) to
be received by the official by One Hundred Dollars .($100.00) or
more; or
(2) There is a nexus between the governmental
decision and the purpose for which the official receives income;
or
(3) In the case of a source of income which is a
business entity, the business entity will be affected in a manner
described in subsection (1) above; or
(4) If the source of income is not a business
entity, the decision will have a significant effect on the source.
(d) For purposes of this Section, indirect investment or
interest means any investment or interest owned by the spouse
or dependent child of a public official, by an agent on behalf
of a public official, or by a business entity or trust in which
the official, the official's agents, spouse, and dependent
children own directly, indirectly or beneficially a ten percent
(10%) interest or greater.
(e) Notwithstanding any other provision contained in this
Section 3.5, the making or participation in the making of a
governmental decision by a contract consultant or by a person
retained to provide information, advice, recommendation or
-15-
counsel has no material financial effect on a business entity
or source of income in which such consultant orperson retained
is an officer, employee, sole proprietor or partner, if the
only financial effects of the decision are the modification,
perpetuation or renewal of the contractual or retainer agreement
and/or the opportunity to bid competitively on a project or
contract.
Section 3.6 Notice of Action Taken.
(a) Mandatory Posting of Notice of Action Taken. If a
designated employee disqualifies himself or herself from the
making of a decision, or participating in a decision, upon a
particular subject, and if the Commission subsequently co~mits
itself to a definite course of action with regard to said sub- '
ject, then the Secretary of the Commission shall post a Noti.ce
of Action Taken as soon as is practicable following such commit-
ment. Said Notice shall be substantially in the form set
forth in Appendix "C", and shall be conspicuously posted on or
near the door of the regular meeting place of the Commission.
(b) Discretionary Posting of Notice of Action. In the
event that the Commission commits itself.to a definite course of
action with regard to any subject and no disqualification has
occurred, the Commission may direct the Secretary of the Commission
to post the Notice described in subsection (a) at the time and
place set forth in said subsection.
(c) Reques~ for Reconsideration: Time of Filing; Effect
of Failure to File. In the event that 'a Notice has been posted
pursuant to subsections (a) or (b)~ a written request for recon-
sideration or disapproval of any Commission commitment on the
ground of existence of a conflict of interest of a designated
employee shall be filed with the Secretary of the Commission
within thirty (30) days of the posting of said Notice. In the
event that such a request is not filed, said commitment and
all decisions made with regard thereto shall be final and
conclusive.
(d) Reconsideration Upon Filing of Request Therefor. In
the event that a request is filed with the Secretary of the Com-
mission pursuant to subsection (c) hereof, the Secretary of the
Commission shall direct said request to the Commission, officer
or employee responsible for the Commission commitment in question
and said body, officer or employee shall cause said commitment
to be reconsidered.
ARTICLE IV
'MISCELLANEOUS
Section 4.1 Legal Opinions. Any designated employee who
is uncertain of any obligation arising under the provisions of
this Code or the Political Reform Act of 1974 (Government Code
Sections 81000 et seq.), may request a formal opinion or letter
Of advice from the Fair Political Practices Commission pursuant
-16-
to Government Code Section 83114, or from the City Attorney of
the City. Nothing in this Section requires the City Attorney
to issue such an opinion.
Section 4.2 Reliance on Legal Opinion. If the designated'
employee truthfully discloses all material facts, an opinion or
written advice provided by the Fair Employment Practices Commis-
sion protects the designated employee from administrative,
civil and criminal penalties to the extent provided for in
Government Code Section 83114. If the designated employee has
truthfully disclosed all material facts to the City Attorney
of the City, and an opinion is issued in.writinG by the City
Attorney of the City, stating in full the facts and the law
upon which the opinion is based, compliance by the designated
employee with such opinion may be evidence of good faith in any
civil or criminal proceeding brought pursuant to the provisions
of the Political Reform Act of 1974 or this Code. The designated
employee's good faith compliance with the written opinion of
the City Attorney of the City shall also act as a complete
defense to any disciplinary, action that the Commission may bring
under Section 91003.5 of the Political Reform Act or this Code.
Section 4.3 Statute of Limitations. No judicial
proceedings based upon disqualification provisions of this Code
shall be brought pursuant to Government Code Section 91003(b)
to restrain the execution or to set aside official action of the
Commission unless commenced ninety (90) days following official
action or decision.'
LSL:lw:D:4/14/83
-17-
APPENDIX A
DESIGNATED POSITIONS
DESIGNATED. EMPLOYEES
CATEGORIES
OF DISCLOSURE
Planning Commissioners
I, II, III
APPENDIX B
FORM 730.
Statement of Economic Interests
For Designated Employees
Importsnt Notice to Filers: The Political Relorm Act is intended to prevent conflicts of interests i~y requiring public officials
such as Y°ursel! to disclose financial interests which could foreseeably cause conflicts. In addition, as a oublic official, you
may be required to cJsqua~fy yourself from making, padJcipal[ing in, or attemoting to influence any govemmentat decision
which w~JJ affect your tinanc~aJ interests. ~ncJuding those you are requ~'ed to report on this Statement. The Fair PoJificaJ
Practices Commission's Guide lo the Political Reform AcE California's Conflict of Interest Law for Public Officials explains
what a conffict of interest is, and when disqualification is required by law. Fa~ure to file your Statement before the filing
deadrme may reset in penalties including but not limited to late fines.
F, ease ~ o~ Orint in ink
5TA'rE OEPA~T~ENT ANO Ut~? OR LOC,~. AGENCY
Check the approl3date box(es)= '
POSITION
TISLEPHONE NUMBER
INITIAL STATEMENT: The Conflict of Interest Code for your' agency becomes effective on . You must file
Statement within thirt,/days after this date disclosing your reportable interests held on this date. You are not required to disclose ir
come, gifts or loans on this Statement.
ASSUMING OFF1CE STATEMENT: You have assumed office on
~'] Position subject'to State Senate confirmat~on--~e thirty days attar appointment or nomination.
~ All other positions--file thirt./days after assuming office.
You must disclose all reportable ~nterests, other than {ncome, gifts and loans, held on the date you assumed your position.
ANNUAL STATEMENT: You are required to me a Statement no later than
held or received during the 13eriod from January 1, through December 31,
disclosing aJJ reportabJe interest
LEAVING OFFICE STATEMENT: You are leaving or have left your position on and must file a Statemer
within thirty days of that date. You must disclose all reI3ortable interests held or received during the period from Januar
1. through the date you left office.
-~'~ CANDIDATE STATEMENT: You are a candidate for eJective office. You must disctose all reportable interests, other then income, gi~t
i ~nd ,ua,,~, ,,o,u un t,,= u~e ~uu ,,,e~ ,,u,,,.,~.~,, ~ers. Yuu ,,,u:~ ,,,= .,,~ ~,atement no later ,hah ~he ,,nat ,,,~ng ~te o a ~=_,~, ~ ......
candida~.
The Follu~qg Summary Mu~st Be Completed Ry ~il Filers
(Do not comotete this summary until you have reviewed all scnec~ules'and
the instructions on the reverse sloe el each schedote carefully.)
SCHEDULE A---Investments
[] Scnectule corn 31eted and attached [] No reportable interests
SCHEDULE B---interests in Real Property
[] ScheOule completed and attached [] Norel3ortable interests
SCHEDULE C.,~nterests in Real Property and Investments Held by Business Entities or Trusts
[] Schedule completed and attached [] Nq reportable interests
SCHEDULE D tncome (other than Gifts and Loans) .
] Schedule corn 31eted and attached
SCHEDULE E---Loans
~ Schedule corn 31eted and attached
SCHEDULE F--Gifts
NO reportable interests
] No reportable interests
No reportable interests
NO reportable interests
No reportable interests
{'~ SchedUle completed and attacJ'~ed
SC 'PULE ~usiness Positions
[] Schedule completed and attached
SCHEDULE H income and Loans to Business Entities
[] Schedule comoteted and attached []
] Schedule not aD~31icable to my
disclosure category
r'-i Schedule not al3131icable to my
disclosure category
] Schedule not apl:,licable to my
disclosure catego~
] Schedute not a~olicable to this type of
statement or to my disclosure category
] Schedule not aoD[icable to this b/De of
statement or to my discJosure category
] Schedule not apr~licable to this type of
statement or to my disclosure category
] Schedule not applicable to this t/De of
statement or to my c~sciosure category
] Schedule not applicable to my
disclosure category
Note: Filers whose reportable interests on any particular schedule have not changed since a previously filed an-
nual Statement may attach copies of the appropriate schedule from the previous annual Statement. Please discard
those schedules o~ which you have nothing to report.
VERIFICATION
I Oectare unCier penalty of perjury that I have used all reasonable diligence in preparing this Statement, that t have reviewed
the attached schedules and to the best of my knowledge the information provided in this Statement is true and correct.
Executed on ,19 , at
SIGNATURE
A~! of the information required by this form is mandatory, is required by the provisions of the Political Reform Act, Government
Code Section 81000 et seq., and.wil! be available'to any member of the puDtic upon request. This information is to be used to
reveal to public scrutiny certain financial interests of public officials and employees in order to disclose potential conflicts of
interests and to aid in the prevention of actual conflicts of interests.
Schedule A-- Investments
You must report investments in business entities, of the type described in your disclosure category, located in. or 0oing
business in. your agency's jurisdiction, in which you arid your immediate ~amJJy had an aggregate interest of more than $1
during the reporting period. For each investment indicate both the value and the ownershiD interest in the boxes 0rovided.
N,~a~ C~ BU,S~NF. SS ENTITY
NATt. J;~ C~: h'l r.~;ST$, E.G.. ~ STOCX, P~ ~rl'~. ETC.
NA~ 01= I',~ERESTS. E.G.. C. OMMON STOCK, pA.~SPIP I~"T[RE~T. ETC.
GE. NE,qAL D~SC~T]ON OF ~US~ES~ ACT'NTTY []
--~tA.ME O; 8U,.~ ENTTrY
NATURE OF h~-~$'rS, E.G.. ~ STOCY~ PN:~rNEP,5~a t~I'T~F. ET. ETC.
GF. NE;RAL DE$CR~'T10N OF 8t.~F_~.~ ACT'N~"Y
NAM~ C~= ~JS~ES~ ENTITY
I
VALU~
I
VAIJJE
Interest
VALUE
I ~TE ~ Owners~p
I t ~ter~-t
I
VALL,~
13ATE Own_~rst'~
Interest
VALLE
I Intmest
!
* If you have checked this box, you may have to reDort your pro rata share of the gross income to, or the interests in real
DroDerty and investments held by, the business entity on Schedules C, D or H.
Note: You must reDort any salary, commission, distribution or other income paid to you or your sDouse by the business
entity on ScheduJe D, whether or not you have a 10% ownership interest.
Schedule A ~ Investments
Your "immediate famiiy'~ means yourself, your spouse, and your de0endent children.
An "investment" is an,/finandal interest in a business enti[y. The most common kinds of investments are corl3orate stod(s
and bonds, interests {n ~artnersh~ps. and sole prop,detorshios, You do not have to re0ort investments in bank ac=ounts,
~nsurance 0oiicies, government bonds, interests in Qiversifiecl mutual funds registered with the S.E.C. under the investment Act
of 1940 or interests in common trust funds created 13ursuant to Section 1564 of the F~nencial Code. It you are a beneticiary or
maker of a trust, consult the detaiie~ instruction Manual or your agency's regal counse~ or ~iling officer.
A business entity is in the jurisdiction if it or a related business entity:
---qs Iocaxed or resides in the junsdiction.
--Does businesa in the jurisdiction.
--Plans to do business in the jur!sdiction.
--Has done business in the jurisdiction within the Drevious two years.
-.-Has an interest in real Drooerty in the jurisdiction.
Schedule B ~ Interests in Real Property
You must report interests in the types of real property described in your disclosure category, located in your agency's
jurisdiction, in which you and your immediate fam~ had an aggregate interest of more than $1,000 during the reporting
period. You do not have to report your principal place of residence.
Ow~er~o intmest ~s:
VALUE
YALU~
R e~'lt ai I~
VALUE
If you have checkeCl this bbx, you may have to report your pro rata share of the total gross rental income (il $2~0 or more)
on Schedule D, and your pro rata share of the gross rental paid by any individual tenant (if $10,000 or more) on Schedule H.
See Instructions on Reverse
Schedule B ~ Interests in Real Property
"Interests in real I~rol3erty" include ownershio interests, ol3tions to purchase, and leasehold interests if ten years or more
remain on the lease. The value of a leasehold interest is the total amount of rent owed by you during the ret3ortJng Deriod. An
interest in real 13rooerty is not reloortaOle it it is your ~3rincioal Diace of residenca. However, if your principal place of residence
.also is a 131ace of business, e.g.. a family fatal or retail business, you are required to disclose that ~3ortion ot the DroDerly
which is used in connection with your business activities.
An interest in real ~rooerty is in the jurisdiction of a local agency ii' ii: is located in or within two miles of the jurisdiction of the
agency, or it it is located in or within hvo miles ot any land owned or used by Ihe agency. An interest in real 13rooerry is located
within the jurisdiction o~ a state agency i! it is located anywhere within the State ct California.
Schedule C w Interests in. ~al Property and Investments Held Business Entities or Trusts
During the reporting period did you or your immediate family have a 10% or greater interest in a business entity or in a trust?
[] No---You cio not have to complete this schedule.
[] Yes--Continue reading below.
If yes, does the business entity or trust hold interests in real property or investments of the type covered by your
disclosure category?
[] NO---You do not have to complele this schedule.
[] Yes.~You must report such interests in real property or investh~ents owned by the business entity or trust if:
a) Your pro rata share in any interest in real properly is more than $1,000 and the real property is located in
your jurisdiction (report this on Schedule C-1 below); or
b). Your pro rata share of any investmen! is more than $'1,000 and the investment is in a business entity
located in, or c~oing business in, your jurisdiction (report this on Schedule C.-2 on reverse).
This reporting requi~;ement applies regardless of where your business entity is located or doing business.
Schedule C-1
Interests in Real Property
NA~ OF BUS,ESS ENTITY OR TRUST HOI..De,'G NTiS~$TS N REAL
STREET AZ:X~$ OR pc~_c-x.~_ LOCA'nON OF ~C~
NATLI:~ ~ i~rac~c~--T. E.Ca_ E(~J'I'Y. ~
[] ACOL~-~ I DA'I~
See Instructions and Schedule C..-2
on Reverse
VALuE
VAI.uE
VALuE
[] $1,001-$10,000
[] $10,001--$100,000
[] Over $100,0(30
$1,oo1-$ lO.OOO
[] $1o,oo1-$1oo,ooo
[] Over $10o.ooo
[] $1.oo1-$1o.oo0
[] $ lO,OO I-$1oo,oo0
] Ove~ S100.OO0
[~
Schedule C-2
Investments
VALt,~
VALUE
VALUE
] $1,{~01-$10.000
[] S 10.001-$100,000
[] Over
[] S 1.C301-$10,000
[] $10.001-$100.000
[] ~ $100.000
[] $1,001-$10.000
[] $10,001-$1G0,0(30
[] $1,001-$10,000
[] $ lO. DO I-$100,0~0
[] Over $100,000
Schedule C -- Interests in Real Property and Investments
Held by Business Entities or Trusts
You must provide the same informa§on for any interest in real property or investment listed on this schedule that is required
· for any investment or interest in real property listed on Schedule A or B. If you are a beneficiary 'or maker of a trust, consult the
detailed Instruction Manual or your agency's legal counsel or ~ng officer.
To determine your "pro rata share" of an interest in real 13r~3perly or investment held by a business entity, muttiply the value of
the interest or investment by the percentage of the business entity owned by you and your immediate family.
Schedule D-- Income (Other than Gifts and Loans)
You must rel:)ort your gross income (other than g/Its and loans) and your community DroDerty interest in Your spouse's gross
income'from sources described in your disclosure category. Income includes all payments aggregating ,$250 or more
received from any source located in. or doing' business in. your agency's jurisdiction. Salary. commissions and other
payments should be listed on this schedule. You do not have to rel3ort salary (including I~er diem) from federal, state and
local government agencies. (See instructions on reverse for other tyl3es of income which are not reDortable.)
[]. $25O,-$1
[]
[] Ova'
[]
[] $1,001-S10,000
[] Ova'
[]
[] $;I,001-$10,000
[] ~ $10.000
[] ~2.50-$1.00C
[] S1,001---$10,000
] Over $10.000
[] $250-$1,0(30
[] $1,001-$10,000
[] Ove~ $10,00C
See Instructions on Reverse
Schedule D ~ income (Other than Loans and Gifts)
The most common forms of income are salary, wages, income from a business entity and proceeds from sales. Including
sales of a house or car. Income includes your community property share of your spouse's Income.
You do not have to report salary and reimbursement for expenses or per diem received from a state, local or federal
government agency; dk, idends, interest or other returns on a security registered w/th the S.E.C.; payments under an
insurance poiic'/;, interest on bank accounts or bonds; income of dependent children: alimony or child support payments:
redeml3§on of mutual funds: bequests or inheritances: or any payments received under a defined benefit pension plan
clualified under Internal Revenue Code Section 401(a). If you or your spouse is a beneficiary cr maker of a trust, consult the
detailed Instruction Manual or your agency's Jec~al counse~ or fl~ing officer.
]f you and your immediate ramify own an aggregate interest of 10% or more in a business entity, or in rental property, you
must report your pro rata share of the total gross income to the business entity, or the total gross rentals from the rental
property, on this schedule, if the gross income or gross rentals are received from a source of income covered by your
disclosure category. In coml~utIng yqur ~ro rata share, inctude your community c'roDerty interest in your sl~ouse's share of the
total gross income or total gross rentals.
You must report any salary, commission, distribution or other payment to you or your spouse from any business entity of the
['ype. covered byycur disclosure category, whether or not you have a 10% ownership interest in the entity.
Income to a business entity should be reported on Sc-..hedule H.
Loans and girts are also income, and should be reported on ,Schedules E and F.
Schedule E--Loans
You must report loans aggregating $250 or more which were receivea or were outstanding during the reporting Deriod from
any source of income covered by your disclosure category located in, or doing business in, your agency's iurisdiction. Loans
lrom fa.."'J~/membar$ Go not have to be feDoded. (ReDor~ loans to Ousiness entities on Schedule H.)
B~ ACT1VII'Y 01: ~
SECL~TY FOR LOAN
A~;RESS 06 LENDER
BUS~F-..~ AC17V/TY ~
~ ~ LD~
N~ ~ ~
~ F~ LO.~
~ ~ r'~ $250-$1,000
~-'] $1,001_$10.000
["--] ova- $10.000
~-"j $1,001_$10,000
[-'"'] o~e~
A~,~OUNT O~ ~ $250-$1,000
r--'~ $1,001T$10.000
[--"] ov~ $10,000
ENI'I~ LO~ ~ I INIEREST RATE
Schedule F -- Gifts
You must report ail gifts received during the reporting Period aggregating $50 or more from any source of income covered by
your disclosure category. Gi~ts from family members do not have to be reported.
DATE(S) (3F GIFT[S)
DATE{S) OF
V~ ~
v~ OF
See Inst~Jctions on Reverse
Schedule E -- Leans
You must report all loans (including your community property interest in loans to your spouse) which were received or
outstanding during the reporting period at the highest amount owed during the reporting pedod. You do not have to reoort
loans from commercial lenders made in the orclinary course of business on terms available to the public without regard to
official status it the Ioan~
(1) Were used to purchase your principal place of residence; or
Aggregate less than $10,000 from any one lender, including indebtedness ad. sing from retail installment or credit
transactions.
You do not have to report loans from family members.
Schedule F ~ Gifts
You do not have to re~ort gifts at food, drink or lodging provided in another individual's home; girts approximately ecluaJ in
value exchanged between you and an individual, other than a lobbyist, on holidays, birthdays, or similar occasions; gifts of
informational materials, such as books, pamohlets, reports, calendars or periodicals; gifts from family members, gifts which
are not used and wfthin thirty days are returned to the donor or delivered to a charitable organization ,without being claimed as
a charitable contribution for tax purposes; or any becluest or inheritance.
You must repod all other gifts at $,50 or more from any individual or entity that is a source of income covered by your
disclosure category, whether or not the donor resides in. is located in, or doing business within the jurisdiction.
Schedule G ~ Business Positions
I1 you were a director, officer, parther, trustee, employee or held any position of management during the reporting period in
any bus, ness entity of the type covered by your disclosure category, you must coml31ete this schedule. If your !0osition com-
menced or ten'ninated during the rel~Orting period, indicate the date on which this occ~Jrred.
Schedule G ~ Business Positions
Note: Some Conflict of Interest Codes require reDoding business positions in non-Drofit coroorations, Refer to your disclosure
category to see il this aODlies to you.
Schedule H -- Income and Loans to Busine.., Entities '
(Including Rental Property)
During the re~)orting period did you and your sDouse own an aggregate intei-est of 10% or more in any business entity
(inc~uCling renta~ property)?
[] NO---You do not need to comolete this schedule.
[] YeS---You must list the name of each individual or entity covered by your disclosure category which:
Is located in, or doing business in, your agencT's jurisdiction; end
Made payments, including loans, to your business ent!ty during the repealing peho~: if
Your pro rata share of the gross amount ot such payments (incJuOing your community property interest in your
sl3ouse's share) was $10.000 or more.
This reporting requirement a!Dpiies regar~ess of where your business entity is located or cloing business.
Note: If your pro rata share of gross payments from an individual or business entity was $250 or more. the disqualification
provisions of the Political Reform Act are applicable.
(:3ESCR~llON OF S~S,~ ACllVn"Y OF BUS~E.5~ E~TTTY
NAk~F_.5 OF ~DURCE.$ OF ~,OME. YU~3 LOAN~ TO THE 81J,5:~.S~ ENTITY
AOC~E~ OF B(J~NE.~ F-N'rn=Y
N,a,MES OF SQU~CE..~ OF k,~C~ME ~) LOANS TO ~ BU$~N~ E~ITT'r
AOORE~ OF B~ ENl3TY
See (nstructions on Reverse
Schedule H-- Income and Loans to Business Entities
(Including Rental Property.)
FPPC Regulation 18740 contains information regarding exemption of clients' names from disclosure pursuant to a legally
recognized privilege under California law. You may obtain a co~3y of Regulation 18740 by contacting the Fair Political
Practices Corn, mission.
APPENDIX C
NOTICE OF ACTION TAKEN
NOTICE IS HEREBY GIVEN that the Commission has commi'tted
itself to the following course of action:
NOTICE IS FURTHER GIVEN that in the event that any person
desires the Co~mission to r~consider, or disapprove of, said com-
mitment on the grounds of the existence of a conflict of interest
of a Commission officer, employee or consultant, a request for said
reconsideration or disapproval shall be submitted to the. Secretary
of the Commission within thirty (30 days of the date hereof.
Dated:
By
Secretary