HomeMy WebLinkAboutRDA CONF OF INT CODE 08-18-80DATE:
TO:
FROH:
SUBJECT:
July 25, 1980
REDEVELOPMENT AGENCY
Inter-Com
DAN BLANKENSHIP, CITY ADMINISTRATOR
JAMES G. ROURKE, CITY ATTORNEY
ROBERT L. LAVOIE, DEPUTY CITY ATTORNEY
CONFLICT OF INTEREST CODE - TUSTIN
COMMUNITY REDEVELOPMENT AGENCY
Government Code ~' 87303 requires that all governmental
agencies adopt a conflict of interest code and submit it to the
appropriate code reviewing body for approval. This section is
applicable to the Tustin Community Redevelopment Agency which must
therefore adopt a conflict of interest code and submit it to the
Tustin City Council, as the code reviewing body, for approval.
Generally the conflict of interest code requires conflict
disclosures by the members of the governing body of the TCRA. An
initial conflict of interest disclosure must be filed within 30 days
after approval of the conflict of interest code by the Tustin City
Council. After approval of the code, any new designated employee
of the TCRA shall be required to file a disclosure within 30 days
of appointment to his designated position. Every person required
to file a statement shall do so annually by April 1 for the prior
calendar year ending December 31.
As the boundaries of both the City of Tustin and the T~RA
are identical, the same disclosure statement may be filed with each
agency. Disclosures will be made on form 730 which is attached to
the conflict of interest code.
Please also find attached a copy of the Resolution of the
Tustin Community Redevelopment Agency Adopting a Conflict of Interest
Code. This document is self-explanatory.
If you have an~ questions or comments concerning the con-
flict of interest code or your fillng responsibilities, please advise.
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RESOLUTION NO. RDA 80-5
A RESOLUTION OF THE TUSTIN CO~4UNITY
REDEVELOPMENT AGENCY, TUSTIN, CALIFORNIA,
ADOPTING A CONFLICT OF INTEREST CODE.
The Tustin Community Redevelopment Agency of the
City of Tustin, California, RESOLVES as follows:
1. That the Conflict of Interest Code, a copy of
which is attached h~reto, be approved and adopted.
2. That a copy of this resolution and attached
Conflict of Interest Code be transmitted to the City Council
of the City of Tustin as the Code Reviewing Body for approval.
PASSED AND ADOPTED at a regular meeting of the
Tustin Community Redevelopment Agency of the City of Tustin,
California, this day of July, 1980.
CHAIRMAN
ATTEST:
SEC PdETARY
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CONFLICT OF INTEREST CODE
OF THE
TUSTIN REDEVELOPMENT AGENCY
(Government Code Sections 87300-87302)
SECTION 1.1: Purpose. Pursuant to the provisions of Government Code
Sections 87:300 et seq., the Governing Body of the Tustin Redevelopment Agency
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 197~.
(Government Code Sections $10~)0 et seq.) Incorporation by reference of the terms
of this regulation along with the designation of employees and the formulation of
disclosure categories in the Appendix referred to below constitute the adoption and
promulgation of a Conflict of Interest Code within the meaning of Government
Code Section 87300. Such procedures will require the reporting of reportable items
in a manner substantially equivalent to the requirements of Article 2 of Chapter 7
of the Political Reform Act. The requirements of a Conflict oi 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.
SECTION 1.2: Severability. If any article, subsection, paragraph, subpara-
graph, 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. It is. declared that each remaining article,
section, subsection, paragraph, subparagraph, sentence, clause and phrase of this
Code would have been adopted irrespective of the fact that any one or more of
such portions of this Code be declared invalid, unconstitutional and unenforceable.
SECTION 1.3: Effective Date. This Code shall take eifect
1980 ten (10) days after approval by the City Council of the City of Tustin, acting
as the Code Reviewing Body, pursuant to Government Code Section 897303.
Page I.
SECTION 1.~.: Definitions. As used in this Code, unless the context
otherwise clearly implies~ the following words and terms shall have the meanings
set forth herein.
(al Agency: "Agency" means the Tustin Redevelopment Agency, which was
created pursuant to the Community Redevelopment Law commencing
at Health and Safety Code Section 33000~ et seq., and whose boundaries
are coterminous with the boundaries of the City of Tustin.
(bi Business Entity. "Business entity" means any organization or enterprise
operated for profit, including but not limited to a proprietorship, firm,
partnership, business trust, joint venture, syndicate, corporation or
association.
(c)Secretary. "Secretary" means the Clerk of the Agency.
(d) Consultant: "Consultant" means a position established by contract with
the Agency pursuant to which contract information, advice, recommen-
dation or counsel is provided to the Agency~ provided, however, Lhat
"consultant" shall not include 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 Agency or of any
Agency official, other than normal contract monitoring~ and
(2) possesses no authority with respect to any Agency decision beyond
the rendition of information, advice, recommendation or counsel.
(el County: "County" means the County of Orange.
(fl Designated employee: "Designated employee" means any official of the
Agency whose position is designated in Appendix "A" of this Code.
Appendix "A" sets forth those positions which entail the making or
. Page 2.
participating in the decisions which may foreseeably have a material,
financial effect on any financial interests of the designated employee,
but does not include any unsalaried member of any Board or Com-
mission which serves a solely advisory function.
(gl Disclosure statements: "Disclosure statements" 'mean statements dis-
closing reportable interests required, by Section 2.2 to be filed by
designated employees.
(h) Family. "Family" means the spouse and defendant children of the
designated employee.
(il 5urisdiction. ".lurisdiction" means within the boundaries of the Agency.
(j) Official. "Official" means any natural person who is a member or
alternate member of the governing body, or is an officer, employee or
consultant of the Agency.
(k) Reportable interests. "Reportable interests" means investments, in-
terests 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 interest assigned,
by Appendix "A" attached hereto, to the designated position held by
such employee. "Reportable interests" as to any particular employee
are deemed by said assignment to be affected foreseeabiy and ma-
terially by any decision made or participated in by the designated
employee by virtue~of his or her"position.
(1) Except as otherwise indicated, the definitions contained in the Political
Reform Act of ;t97L~ (Government Code Sections 8;L000 et seq.) and
regulations adopted pursuant thereto are incorporated into this Conflict
of Interest Code.
Page
ARTICLE II -- DISCLOSURE
SECTION 2.1: Designated Employees: The persons holding positions listed in
Appendix "A" are designated employees. It has been determined that these officers
and employees make or participate in the making of decisions which may
foreseeably have a material effect on financial interests.
SECTION 2.2: Disclosure Categories. This Code does not establish any
disclosure obligation for those designated employees who are also specified in
Government Code Section 87200 if they are designated in this Code in that same
capacity or if the geographical 'jurisdiction of this agency is the same as or is
wholtly 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. Such persons are covered by this Code
for disqualification purposes only. With respect to alt 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 interets 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.
Designated employees who are required to file statements of economic
interets 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 state-
ment 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 8100~,.
Page 4.
SECTION 2.3: 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) Alt designated employees shall file statements of economic interests
with the Agency. Upon receipt of the statements of economic interests
of the head of the Agency and members of boards or commissions not
under a department of state or local government~ the Agency shall
make and retain a cbpy 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 statements shall be
forwarded to the Code Reviewing Body within five days after the filing
deadline or five days after receipt in the ease of statements filed late.
(b) All designated employees shall file statements of economic interests
with the Agency~ which shall make and retain a copy and forward the
originals to the Code Reviewing Body~ which shall be the filing officer.
(c) All designated employees shall file 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.)
SECTION 2.b,: Time of Eiling.
(a) Initial Statements. All designated employees employed by the agency
on the effective date of this Code shall file statements within thirty
(30) days after the effective date of this Code.
(b) Assuming Office Statements.
(1) All persons assuming designated positions after the effective date
Page
of this Code shall file statements within thirty (30) days after
assuming the designated positions.
(Z) All persons appointed, promoted or transferred to designated
positions after the effective date of this Code shall file state-
ments within ten (10) days after assuming office, or if subject to
confirmation, ten (10) 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 thirty (30) days after leaving office.
SECTION 2.5: Categories of Reportable Interests. Reportable interests are
divided into the following categories;
(al Category I - Interests in Real Property. Interests in real property are
reportable interests if:
(1) the real property [o which the interest pertains is located in part
or in whole:
(Al within the boundaries of the Jurisdiction; or
(B) within two (2) miles of the boundaries of the Jurisdiction; or
(C) within two (2) miles of land located outside of the bounda-
ries of the Jurisdiction which is owned or used by the
Agency; and
(2) the fair market value of '~he interest of the designated employee
or his or her family is greater than One Thousand ($1,000.00)
Dollars; and
(3) the interest is either:
(Al a leasehold which does not expire within ten (10) years from
the first day of the period covered by the statement,
Page
(b)
beneficial or ownership interest held by the designated
employee or his or her family; or
(B) an option held by the designated employee or his or her
family to acquire such an interest; or
(C) 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 (10%) percent
interest or greater; provided~ however, that in the event
that the ownership interest of the designated employee or
his or her spouse in such business entity or trust is less than
fifty (50%) percent, the value, for the purpose of Paragraph
(2)~ of the real property interest or option relates to the
value of the pro rata share of the designated employee or
his or her spouse 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 (50%) percent 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.
(4) An interest in real property does not include the principal
residence of the filer.
Catetory II - Investments. Investments in business entities are re-
portable if:
(1) the business entity~ including parent corporations, subsidiary
potations or otherwise related business entities,
Page 7.
(2)
(A)
has an interest in real property located in part or in whole
within the boundaries of the 3urisdiction, within two (2)
miles thereof or within two (2) miles of land owned or used
by the Agency; or
(B) does business or plans to do business within the 3urisdiction;
or
(C) has done business within [he 3urisdiction at any time during
the two (2) years prior to the time that the disclosure
statement of the designated employee is filed; and
the fair market value of the investment of the designated
employee or his or her family is greater than One Thousand
($1,00O.OD) Ooilars~ and
the investment either:
(Al is held by the designated employee or his or her 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
end any partnership or other ownership interest; or
(B) is held by any business entity or trust in which the desig-
nated employee or his or her family owns, directly, in-
directly or beneficially, a ten (10%) percent 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 owner-
ship interest of the designated employee or his or her family
in such business entity or trust is less than fifty (50%)
percent, the value, for the purpose of Paragraph (2), of the
Page 8.
(c)
investment relates to the value of the pro rata share of the
designated employee or his or her family in the investment
held by the business entity or trust; and provided, further,
that in the event the ownership interest of the designated
employee or his or her family in such business entity or trust
is fifty (50%) percent 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.
EXCEPTION: 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
government or government agency.
Category III - Sources of Income. Sources of income are reportable if:
(1) the source of income was either:
(A) a business entity located or doing business as described in
subsection (b)(1); or
(I~) an individual residing within the 3urisdiction; or
(C) a non-profit association or corporation having its principal
place of business ~vithin the 3urisdiction~ and
(2) either:
(A) 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 Hun-
dred Fifty ($250.00) E)ollars or more in value; or
(B) if the income was a gift received by the designated em-
ployee or his or her family from the SOUrCe during the period
covered by the disclosure statement, the value of the gift
was Twenty-Five ($25.00) Dollars or more; and
Page
(3) the income was either received by."
(A) the designated employee or his or her family; or
(B) received by any business entity or trust in which the
designated employee or his or her family owns, directly~
indirectly, or beneficially, a ten (10%) percent interest or
greater; provided, however, that in the event that the
income is received by a business entity described in this
Paragraph. (B), the value, for the purpose of Paragraph (2),
of the income relates to the pro rata 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 located within the 3urisdietion,
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 indeb-
tedness, 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, and including any community property interest in income of a
spouse. Income shall also include an outstanding loan. Income sha]!
also include a pro rata share of any income of any business entity or
trust in which the individual or family owns, directly or indirectly, or
beneficially, a ten (10%) percent interest or greater.
INCOME DOES NOT ]NCLUL-)E:
(1) campaign contributions required Lo be reported under Chapter ~,
~ t · Page
(commencing with Section 84100) of Title 9 of the Government
Code;
(2) salary and reimbursement for expenses or per diem received from
a state or loca! government agency and ,reimbursement fo[' travel
expenses or per diem received from a bona fide educational,
academic or charitable organization;
(3) gifts of inf0rmationa! material, such as books, pamphlets, reports,
calendars or per!odicals;
(4) 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 Lax purposes;
(5) gifts or loans from an individual's spouse, child, parent, grand-
parent, grandchild, brother, sister, parent-in-law, brother-in-law,
sister-in-law, aunt, 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 inter-
mediary 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 poticy, or any bond
or other debt instrument issued by any government or government
agency;
(8) dividends, interest or any other return on a security which is
registered with the Securities and Exchange Commission of the
United States GovernmenL;
Page 11.
(d)
(9) redemption of a mutual fund;
(10) alimony or child support payments;
(ll) any loan or Icons 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:
(Al used to purchase the principal residence of the filer; or
(B) the balance owed does not exceed Ten Thousand ($10,000.00)
Dollars.
(J.2) any indebtedness created as part of a retail installment or credit
card transaction if made Jn 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 owed to the creditors does
not exceed Ten Thousand ($10,000.00) Dollars;
(I~) other than a gift, income received from any source outside the
Jurisdiction and not doing business within the Jurisdiction, not
planning to do business within the Jurisdiction, or not having done
business within the Jurisdiction during the two years prior to the
Lime any statement or other action is required by this Code;
(14) income from a source which is a former employer if: ail 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 norma! course of the
previous employment, and there was no expectation by the
designated employee that he or she assumed the designated
position of renewed employment with the former employer.
Category IV - Supply Sources. Category IV includes investments
included in Category II in business entities described therein, and
Page 12.
income included in Category iii from business entities described there-
in, if such business entities manufacture or sell supplies, machinery or
equipment of the type utilized by the Agency.
(el Category V - Contractors. Category V includes investments included in
Category II in business entities described therein, and income included
in Category Iii from business entities described therein; if such business
entities are contractors or subcontractors engaged in the performance
of work or services of the type utilized by the Agency.
(fi Category Vi - Financial Institutions. 'Category VI includes investments
included in Category ][ in business entities described therein, and
income included in Category III from business entities therein, if such
business entities constitute banks, saving and loan associadons~ in-
surance companies, investment companies, title companies, financial
consultants or data processing firms.
SECT[ON 2.6: Content of Disclosure Statements; Category I. Disclosure
statements required to be filed for reportable interests specified in Category !
shall contain the following information:
(al The address or other precise location of the real property;
(bi A statement of the nature of the interest in the real property;
(c) When the real property is not used principally as the residence of the
designated employee making the filing, statement of whether-the fair
market value of the interest exceeds Ten Thousand ($10,000.00) Dollars
and whether it exceeds One Hundred Thousand ($100,000.00) Dollars;
and
(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 dale of disposition.
.Page 1~.
SECTION 2.7. Content of Disclosure Statements; Category II and Related
Categories. Disclosure statements required to be filed for reportable interests
specified in Category II and investments specified in Categories IV, V and Vi 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;
(d) A statement of whether the fair market value of Lhe investment
exceeds Ten Thousand ($10,000.00) Dollars and whether it exceeds One
Hundred Thousand ($100,000.00) Dollars; and
(e) 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.
SECT[ON 2.8: Content of Disc]osure Statement; Category Ill[ 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 Category III and income sources specified in Categories IV, V
and VI shall contain the follov~ing informat~ion:
(a) The name and address of each source of income aggregating Two
Hundred Fifty ($250.00) Dollars or more in value, or Twenty-Five
($25.00) Dollars or mare in value if the income was a gift.
(b) A general description of the business activity, if any, of each sourcel
Page 14.
(c) A statement whether the aggregate value of income from each source
was greater than One Thousand ($1,000.00) Dollars, and whether it was
greater than Ten Thousand ($10,000.00) Dollars;
(d) A description of the consideration, if any, for which the income was
received;
(el ]n the case of income constituting a gift, the amount and the date on
which the gift was received;
(fl In the case of income of a business entity, in which the designated
employee or his or her family owns a ten (~t0%) percent interest or
more:
(1) the name and 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 flier's pro rata share of gross receipts from such
person was equal to or greater than Ten Thousand ($10,000.00)
DoIla~s.
(gl 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.
(h) Acquisition or Disposal During Reporting Period. In the case 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 the statement, the statement shall contain the date
of acquisition or disposal.
Page 15.
SECTION 2.9.. Form of Disclosure Statements. Disclosure statements
required to be filed hereunder for any category or reportable interests shall be on
the forms prescribed by the Fair Political Practices Commission, which shall be as
shown on Schedules A-G inclusive of Form 730 attached hereto as Appendix
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 a financial
interest of the designated employee will have a significant effect on the business
entity, rea! property or source of income in question. A designated employee shall
not be required to disqualify himself with respect to any matter which could not be
!egally acted upon or decided without his participation.
SECTION 3.2: Making Governmental Decisionsl Actions Included. A desig-
nated employee makes a governmental decision within the meaning of this Article,
when he or she, acting within the authority of his or her position:
(al Votes on a matteri
(b) Appoints a person;
(c) Obligates or commits the Agency to any course of action;
(d) Enters into any contractual agreement on behalf of the Agency; or
(el Determines not to act, within the meaning of subsections (al through
(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 determination must be
accompanied by disclosure of the financial interest made part of the
Agency's official records, or made in writing to the designated em-
ployee's supervisor or appointing power, as appropriate.
Page 16.
SECTION 3.3: Participating in Decisions; Actions Included. A designated
employee participates 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:
(al 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:
(al Actions of a designated employee which are solely ministerial, secre-
tariat, manual, or clerical;
(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 herseif on matters related solely to his
or her personal interests; or
(el 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 of Financial Interest. A designated employee
has a financial interest in a decision if it is reasonably foreseeable that the
Page 17.
decision will be significant within the meaning of the general standards set forth in
Section 3.1above. Considerations shalt be given to the following factors:
(al Whether, in the case of a business entity in which the public official
holds a direct or indirect investment of One Thousand ($1,000.00)
Dollars or more or in the case of a business entity in which the public
offical is a director, officer, partner, employee, trustee or holds any
position of management, the effect of the decision wilt be Lo increase
or decrease:
(1) The annualized gross revenues by the lesser of:
(Al One Hundred Thousand ($]LO0,O00.00) Dollars; or
(B) One (1%) Percent if it is One Thousand ($1,000.00) Dollars
or more; or
(2) Annual net income by the lesser of:
(Al Fifty Thousand ($50,000.0CI) i9ollars; or
One-half (1/2) of one (1%) percent if it is One Thousand
($1,000.00) Dollars or more; or
Current assets or liabilities by the lesser of:
(Al Qne Hundred Thousand ($100,000.00) Dollars; or
(B) One-half (1/2) of one (1%) percent if iL is One Thousand
($Z,000.00) Dollars 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, in the case of a direct or indirect interest in real property of
One Thousand ($1,000.00) Dollars or more 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:
(Al One Thousand ($1,000.00) Dollars per month; or
Page za.
(B) Five (5%) Percent per month if it is Fifty ($50.00) Dollars or
more per month; or
(2) The fair market value of the property by the lesser of:
(Al Ten Thousand ($10,000.00) Dollars; or
(B) One-half (1/2) of one (1%) percent if it is One Thousand
($~[,000.00) Dollars or more.
(c) Whether, in the case of a source of income, as defined in Government
Code Section 87~t03(c), of Two Hundred Fifty ($Z50.00) Dollars 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 decision will be to directly increase or decrease
the amount of income (other Lhan rents) to be received by the
official by One Hundred (St00.00) Dollars or more; or
(2) There is a nexus between the governmental decision and the
purpose for which the official receives income; or
(5) In the case of a source of income which is a business entity, the
business entity will be affected in a manner described in sub-
section (1) above; or
(/4) [f the source of income is not a business entity, the decision will
have a significant effect on the source.
(d) Notwithstanding any other provision contained in this Section ;~.l, the
making or participation in the making of a governmental decision by a
contract consultant or by a person J-etained to provide information,
advice, recommendation or counsel has no material financial effect on
a business entity or source of income in which such consultant or person
retained is an officer, employee, sole proprietor or partner, if the only
financial effects of the decision are the modification, perpetuation or
Page 19.
renewal of the contractual or retainer agreement and/or the oppor-
tunity to bid competitively on a project or contract.
SECTION 3.6: Notice of Action Taken.
(al
(bi
(c)
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
Agency subsequently commits itself to a definite course of action with
regard to said subject, then the Secretary shall post a Notice of Action
Taken as soon as is practicable following such commitment. Said
Notice shall be substantially in the form set forth in Appendix "C",
attached hereto and by reference incorporated herein and shall be
conspicuously posted on or near the door of the regular meeting place
of the governing body of the Agency.
Discretionary Posting of Notice of Action. ]n the event that the
Agency commits itself to a definite course of action with regard to any
subject and no disqualification has occurred, the governing body may
direct the Secretary to post the Notice described in subsection (a) at
the time and place set forth in said subsection.
Request for Reconsideration: Time of Filing; Effect of Failure to File.
In the event that a Notice has been posted pursuant to subsections (a) or
(bi, a written request for reconsideration or disapproval of any Agency
commitment on the ground of existence of a conflict of interest of a
designated employee shall be filed with the Secretary within thirty
days of the posting of said Notice. In the event that such a request is
not filed, said commitment and ali decisions made with regard thereto
shall be final and conclusive.
Page 20.
(d) Reconsideration Upon Filing of Request Therefor, In the eve.qt that a
request is filed with the Agency pursuant to subsection (c) hereof, the
Secretary shall direct said request to the Agency governihg body~
officer or employee responsible for the Agency commitment in question
and said body~ officer or employee shall cause said commitment to be
reconsidered.
ARTICLE lV ~ MISCELLANEOUS
SECTION 4.1: Legal Opinions.
(a) Any designated employee who is uncertain of any obligation arising
under the provisions of this Code or the Political Reform Act of ).974
(Government Code Sections 81000 et seq.)~ may request a formal
opinion or letter of advice from the Fair Political Practices Com-
mission pursuant to Government Code Section 831~, or an opinion from
the Attorney for the Agency. Nothing in this Section requires the
Attorney to issue such an opinion.
(b) If the designated employee truthfully discloses att material facts~ an
opinion or written advice provided by the Commission protects the
designated employee from administrative, civil and criminal penalties
to the extent provided for in Government Code S~ction 83114. If the
designated employee has truthfully disclosed all material facts to the
Attorney for the Agency~ and an opinion is rendered by the Attorney
stating in full the facts and 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 Political Reform Act, Government: Code'Sections 8).000
et seq. In addition, the designated employee's good faith compliance
with the opinion of the Attorney for the Agency shat! act as a complete
Page
defense in any disciplinary action the Agency may bring under Govern-
ment Code Section 91003.5.
(c) Copies of any opinion rendered by the Attorney for the Agency pursuant
to this Section shall be delivered Lo the designated employee requesting
the opinion and to the Fair PoLitical Practices Commission and shall be
maintained in the files of the Agency. Such opinions may subsequently
be modified by the Attorney for the Agency or by the Commission, but
such modifications or revisions shall be prospective in effect and shall
take effect only after notification has been given the designated
employee who requested the opinion.
SECTION 4.2: VioLations. This Code has the force and effect of taw.
Designated employees violating any provision of this Code are subject Lo the
administrative, penal and civil sanctions provided in the Political Reform Act,
Government Code Sections 81000 - 91014.
SECT[ON 4.3: Statute of Limitations. No judicial proceedings based upon
disqualification provision 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 Agency unless commenced ninety (90) days following official action or decision.
RLL'~pj
TRA Con./Int. D:3B
03/ 8/80
03126/ 0
3/28/80
RLLtse:R:6/3/80
Page 22.
APPENDIX A
Category
Governing Body of the Agency
Consultants
I~ II, III
I, II, III
APPENDIX B
FORM 73O
Statement of Economic Interests
For Designated Employees
(Instructions attached on Pa~e 1 3)
IPOSITION
Check the appropriate box:
--"'] INITIAL STATEMENT: The Conflict of Interest Code for your agency becomes effective on ' ,
You must file a Statement within thirty days after this date disclosing your reportable interests held on
this date, You are not required to disclose income, gifts or loans on this Statement.
ASSUMING OFFICE STATEMENT: You have assumed office on
F~ civil service position - file thirty days after assuming office.
~ Non-civil service position - file ten days after assuming office.
~ Position subject to Senate confirmation -- file ten days after appointment or nomination.
You must disclose all reportable interests, other than income, gifts and loans, held on the date you assun~e
your position,
ANNUAL STATEMENT: You are required to filea Statement no later than
disclosing all reportable interest's held or received during the periOd from January 1, 1979, * through
December 31, 1979.
LEAVING OFFICE STATEMENT: You are leaving or have left your position on
and must file a Statement within thirty days of that date. You must disclose all reportable interests held
or received during the period from January 1, 1979,* through the date you left office.
CANDIDATE STATEMENT: You area candidate for elective office. You must disclose all reportable
interests, other than income, gifts, and loans, held on the date you filed nomination papers. You must file
this Statement within five days after the final date for filing nomination papers.
NOTICE TO ALL FILERS: In the event you are given an assignment which may affect your
financial interests you should consult your agency's Conflict of Interest Code for guidance
concerning disqualification.
'* If this is your first ,~nn~l Statemen! or if you wish to combine a leaving office Statemen!
and an annual Statement, see the instructions attached to this form for directions on modifying
the period covered by this Statement.
TIlE FOLLOWING SUMSLhI~Y MUST BE COMPLETED BY ALL FILERS
SCHEDULE A - Investments
~__~' :hedule completed & attached
SCHEDULE B - Interests in Real Property
--[ff~ Schedule completed & attached
] No reportable interests
E No reportable interests
I~ Schedule not applicable to my
disclosure category
[~] Schedule not applicable to my
disclosure category
SCHEDULE C - Investments and Interests in Real Property Held by ~3~ess Entities or Trusts
] Schedule completed & attached [] No reportable interests
SCHEDULE D - Income tother than Gifts and Loans)
] Schedule completed & attached
SCHEDULE E - Loans
] Schedule completed & attached
SCHEDULE F - Gilts
~ Schedule Completed & attached
SCHEDULE G - Income of Business Entities
--~- Schedule completed & attached
] No reportable interests
] No reportable interests
] No reportable interests
] No reportable interests
SCHEDULE H - Employment and 13anagernent Positions in Business Entities
] Schedule completed & attached [] No reportable interests
[~ Schedule not applicable to my
disclosure category
] Schedule not applicable to this type of
statement or to my disclosure category
] Schedule not applicable to this type of
statement or to my disclosuie category
] Schedule not applicable to this type of
statement or to my disclosure category
] Schedule not applicabTe to this type of
statement or to my d~sclosure category
[~ Schedule not applicable to my
disclosure category
IMPORTANT: It boxes are checked fora_Il schedules above to indicate "No reportable inlerests"
or "Schedule not applicable..." you should detach the schedules and file only pages 1 and 2.
If you need more space on any schedule, obtain a supplemental schedule from your filing officer.
VERIFICATION
1 dcclarc under pcnalty of pcrjury that I have used all reasonable diligcuce in prcpari,g Otis Statcmenl aud to
the best of my knotulcd~e it is true attd Complete.
Executed on , 1~__., at
G~ATURE
All of the information required by this form is mandatory, is required by the provisions of the
Political Reform Act, Goverr:,ment Code Section 81000 et se~., and will be available to any
menber of the public upon request. This inlormation 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.
_ Page 2
NAME
SCItEDULE A- INVESTMENTS
Investments (of the lypc described in ),our disclosure category) owned by the filer, spouse and
dependent children aggregating $1,000 or more in value.
I
SCHEDULE B - INTERESTS IN REAL PROPERTY
Interests in Real Property (o[ tile type described in your disclosi~re catego:o') in which the filer,
spouse and dependent children have an aggregate interest of $1,000 or more in value.
Page 3
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Schedule A
INVESTMENTS
"Investments" are any ownership interest in business entities. The most common kinds are
stocks in a corporaIion, partnerships and sole proprietorships. Reportable investments do not
include bank accounts, insurance policies, government bonds, interests in a diversified mutual
fund registered with the S.E.C. under the Investment Act of 1940 or a common trust fund created
pursuant to Section 1564 of the Financial Code. If you are a beneficiary or r'naker of a trust,
consult the detailed Instruction Manugl or your agency's legal counsel or filing officer.
Schedule B
INTERESTS IN REAL PROPERTY
"Interests in real property" include ownership interests, options to purchase, and leasehold
interests if ton years or more remain on the lease. The value of a leasehold interest is the total
amount of rent owed by you during the period covered by the Statement; An interest inreal property
is not reportable if it is your principal place of residence. However, if your principal place of
residence also is a place of business, e.g., a family farm or relail business, you are requiredto
disclose that portion of the property which is used in conneclion with your business activities.
Page 4
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NAME
SCIIEDULE C - INVEST~IENTS & IN FI~RESTS IN REAL PROt'E}[i'Y
ItELD BY BUSINESS ENTITlf;S Ot{ TRUSTS
investments and Interests in Real Property (of thc t)'pc dcscribcd i~i )'olaf disclosiirc catcBor)') held by business
entities or trusts in which the filer, spouse and dependent children have an aggregate inlerest of 10~'~ or grc~ater.
/Arl/ESTItlEN'fS ttELD B Y BUSINESS Ei?TITY OR TRUST
NATURE OF INVESTMENT. E.G., COMMON STOCK. PARTNERIIHIP INTEREST, ETC.
INTERESTS IN REAL PR Ot)ER T Y HELD B Y B US1NESS EA;J'IT Y OR 2'R UST
.iL-21 ........~ []
Page 5
1 0/7 9
Schedule C
INVL:S-[MENTS AND INTERES¥S IN REAL PRORERTY
HELD BY BUSINESS ENTITIES OR TRUSTS
If you, your spouse and dependent children collectively own more than 10% of a business entity,
you must report your pro rata share, if worth $1,000 or more, of any investments or interests in
real property which are held by the business entity. You must provide t;'~e same information that
is required for any ortner investment .or interest in real property. If you are a beneficiary or
maker of a trust, consult ti~e detailed Instruction Manual or your agency's legal counsel or liling
officer.
Page 6
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NAME
SCIIEDULE D -- INCOblE (O'I-ItER Tt-IAN GIt:TS AND LOANS)
Income aggregating $250 or more from reportable sources of income (o[ the £ype described
i. your disclosure catcgory).
$1,000
$]O,OO0
$1,000
$1,o00
$10,000
Page 7
10/79
Schedule D
INCOME (OTHER THAN GIFTS AND LOANS)
The most common forms of income include salary, wages, interest, and the proceeds from sales.
including sale of your hoose or car. Reportable income does not h~clude salary and reimburse-
ment for expenses or per diem received from a state, local or federal government agency;
dividends, interest or other return on'a security registered with the S,E.C.; payments under an
insurance policy; interest on bank accounts or bonds; income' of dependent children; alimony
or child support payments; redemption of a mutual fund; or any devise or inheritance. Your income
includes your community property share of your spouse's income.
Page 8
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N AM E
SCtlEDULE E - LOANS
Outstanding loans and loans received aggregating $250 or more from any reportable
source of income (of the type described in your disclosure catego~y).
INTEREST RATE
SCItEDULE F - GIFTS
Gifts aggregating $25 or more from any reportable source of income (o[ thc typc dcscribcd
in )'our disclosure category).
· ,^,_ ........ "h,,)
.... {S) o .....
V^tUE or
Page 9
lO/?g
Schedule E
LOANS
You must report all outstanding loans aod loans received.at the highest amount owed by you
during the reporting period. Reportable loans do not include loans from commercial lenders
made in their ordinary course of business on terms available to the public without regard to
official status if the loans:
(1) Were used to purchase your principal place of residence; or
(2) Aggregate less than $10,000 from any one lender, including indebtedness arising from
retail installment or credit transactions.
Reportable loans also do not include loans from family members.
Schedule F
GIFTS
Reportable gifts do i~ot include food, drink or lodging provided in another individual's home;
gifts approximately equal in value exchanged between you and an individoal,othor than a Io.hbyist,
on holidays, birthdays, or similar occasions, gifts of informational materials., not including
travel; gifts from family members; gifts which are not esed and which within thirty days are
returned to the donor or delivered to a charitable organization without being claimed as a charit-
able contribution for tax purposes; and any devise or inheritance.
Page 10
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SCHEDULE G - INCO~IE OF BUSINESS ENTITLES
.Z'ncome (of [he lype described it~ your disclo$1ire category) of a business entity in which the filer, Spouse and depende
hi!dren have an aggregate interest of 10% or more.
Names of clients and customers who provide income to the filer's business entity
must be disclosed if the threshc~lds set forth on the reverse side of this schedule
are satisfied.
SCItEDULE H - EHPLOY.~IENT AND MANAGE~tENT
POSITIONS IN BUSINESS ENTITIES
OF' ~.NTITY
See explanations on reverse side
Page
10,79
Schedule
SOURCES OF INCOME -fO BUSINESS ENTITIES
If your pro rata share (including your community property interest in your
spouse's share) of the gross receipts paid to your business entity by a reportable source of
income was $10,000 or more, list the name of such reportable source of income. No other reporting
is required with respect to such income.
If you believe that your client's names are privileged under California law, you may request
from the Commission an exemption from disclosure of their n3mes.
Schedule H
EMPLOYMENT AND MANAGEMENT POSITIONS IN BUSINESS ENTITLES
You must report the required information with respect to any business entity for which you are
a diroctor, officer, partner, trustee, employee or hold any position of management if such infor-
mation is required by your disclosure category.
Page 12
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Please detach these instructimis f, rom the STD-730 t)rior to filing.
INSTRUCTIONS FOR COMPLETION OF THE STD-730
STATEMENT OF ECONOMIC INTEREST
GENERAL INSTRUCTIONS
Your ~gency has adopted a document called a "Conflict of Interest Code." People covered
by the C'ode are called "designated employees" and must disclose certain of their personal
finances_ The types of finances which you must disclose are described in ~he part of the Code
called th.e "disclosure category." Before you go any further, make sere that your filing officer
has give:-~ you a copy of your disclosure'category.
If yoL have questions about reportiog which a~e not answered in these instructions or those
containe,d on tile reverse side of each schedule, consult your agency's filing officer or legal
counsel ,,:ho have been p~ovided with a more detailed manual by the Fair Political Practices
Commiss;on.
ORGAN!ZATION OF FORM
The Political Reform Act provides that four general types of interests may be made re-
portable in conflict of intolost codes: Investmeuts, interests in real property, income, and
management positions (v,.hi~h iuclude being an employee). With ~ospect tO the first thloe of these,
tho repor:ing requirement extends not only to your personal interests but also to interests held
by business entities or trusts o! which you and your irnm,.~di3te family own 10% or mom. The
schoduIes separate personal and business-owned interests as fo!lows:
PERSONAL
BUSINESS-OWNED
Investments
Interests in Real Property
Income
Loans '
Gifts *
Management Positions
Schedule A
Schedule B
Schedule D
Schedule E
Schedule F
Schedule H
Schedule C
Schedule C
Schedule G '
not applicable
not applicable
not applicable
'Loans and gifts must be reported when your disclosure category requires income to be
ported. They are reported on separate schedules because there is a lower reporting threshold
for gifts than for other kinds of income and becanse different information must be reported for
both loans and gifts than for curer kinds of income.
Page 13
-- 1 o/! 9
HOW TO FIt_L OUT THE STD 730
Step 1:
Complete the first page. The period covered by the statement is printed on the form. If you are
filing your first annual statement or a leaving office statement and fall into the situations de-
scribed below, you should modify the period covered printed on the form as indicated.
Step 2:
Step 3:
Step 4:
Step 6:
Step 7:
1. If you assumed office after January 1, 1979, draw a line through "January 1- and write in
the date you assumed office.
2. If your agency"s Conflict of Interest Code became effective after January 1, 1979, draw a
line through "January 1" and write in the date the Code became effective.
3. If you filed an initial or assuming office statement before January 1, 1979, and have not
filed a statement since, you should draw a line through "Janua~ 1" end write in thed~te your
agency's Cede became effective (if your last s~a~emen~ was an initial slatemen~) or the d~te you
~ssumed office (if your last statement was an assuming office statement).
4. If you left office after December 31, 1979, but before your annu~{ filing date and wish to
file a consolidated leaving office and annual statement, dr~w a tine through "Dacemf~r 31" and
write in the date you left oft'ice.
If you are filing an initial or assuming office statement, turn lo the su~amaW page (back of 1st
page) and check the box "Schedule not applicable to this type of statement or to my disclosure
- categow'" for Schedules D, E, F and G.
Consult your disclosure calegoW. If it does not require the reporting of any of the general kinds
of inlerests covered by lbo form, lurn lo the summary page and for lhe schedule for that kh}d of
interest, check the box marked "Schedule not applicable to my disclosure categow.'" For
example, if your disclosure categow does noI requhe you lo report in~erests in real properly,
mark the box entitled "Not applicable to my disclosure c;,tegory" for Schedule B.
If you have not already checked Schedules C ;md G "'not ~pp!icabie" and if you, your sp)use
and dependent children do not collectively own 10% or more of a business entity or trust, ch~fck
Ihe box on the summary page marked "No reportable interests" for Scimdulcs C and G.
~our disgl~~~. If not, check It~e box on the Fum~:;zuy pag~ marked "No ~e[,ortable
inlerests." NOTE -- a) You must report h~vestments ;:md iate:t~sts in real property held at any
time during lhe period covered by this slalcment reg;rdless of whether they ere still hold eH
time of f'iling, b) You must report investments and int,~:rcsts in rc,~l prc~perly held by your si,ouse
and dependent children and your community prop~trty sh~re in your s[,ouse"S income, c) You musl
report only investments in business entities, sources of iacome (other than gifts) and re:d pro-
party which are Iocaled in or doing business or plannin9 to do busiuess in the gaographic;H ;~rea
subject to your agency's authorily. Real property is deemed lobe located v, ithin lbo geograph-
ical area subject lo the agency's authority if it is within two miles of the area subject to the
agency's authority or any land owned or used by lhe agency.
If you have reportable interests, you must complete the appropriate schedules. If there is no
change in the infom~ation on a previously filed schedule, you may make a copy of lhal sch(-dule
and allach H to your statement instead of lilliug out ~ v, hole new schedule. For each schedule
containing reportable inte~esls, mark the box on the bur;tmon, pu~e eatitled "Soho-dele completed
and attached."
Sign the verification and till in the 6~te and the c(ty where you did so.
SPECIAL REPORTING PROBLEMS
1. Reporting Rental Property: As a general rule, you must report the property on Schedule B,
the total amount of rents as income on Schedule D and any tenants who pay rents of which your pro rata
share is $10,000or more on Schedule G. It you own 10S[ or more of a business entity which ov.'ns rental
property, you should report the business entity on Schedule A, the property on Schedule C, the total
amount of rents as income on Sct~edule D, and tenants who pay reals of which your pro rata share is more
than $10,000 on Schedule G. If you own less than 10~.~ of a business entity v,.hich owns rent,~f properly,
you must report your inlerest in the business entity on Sch,zdule A and z.,ny income f~():nthe business
entity On Schedule D. You need not report either the property or the tan;.tnts.
2. Interest in a Trust: If you have set up a trust lor others or if you are a beneficiary of a trust,
including a blind trust, see your agency's filing officer or leg31 officer for repofling 'instructions.
APPENDIX C
NOTICE OF ACTION TAKEN
NOTICE IS HEREBY GIVEN that the Tustin Redevelopment
Agency has committed itself to the following courses of action:
NOTICE IS FURTHER GIVEN that in the event that any
person desires the Tus~in Redevelopment Agency to reconsider,
or disapprove of, said commitment on the ground of the existence
of a conflict of interest of a designated employee, a request
for said reconsideration or disapproval shall be submitted to
the Tustin Redevelopment Agency within thirty (30) days of the
date hereof.
DATED: , 1980
By:
Secretary