HomeMy WebLinkAbout09A Res SA-RDA 006 - Conflict of InterestJOINT CONSIDERATION
SUCCESSOR AGENCY TO THE
PALM DESERT REDEVELOPMENT AGENCY
WITH
PALM DESERT CITY COUNCIL
STAFF REPORT
REQUEST: REQUEST FOR ADOPTION OF A SUCCESSOR AGENCY TO THE
PALM DESERT REDEVELOPMENT AGENCY CONFLICT OF
INTEREST CODE PURSUANT TO THE POLITICAL REFORM ACT,
GOVERNMENT CODE SECTIONS 81000, ET SEQ.
SUBMITTED BY: Rachelle D. Klassen, Secretary
DATE: March 22, 2012
CONTENTS: • Staff Report
• Resolution No. SA-RDA o06
Recommendation
1) Waive further reading and adopt Resolution No. SA-RDA o06 , adopting a
Conflict of Interest Code Containing Designated Positions and Disclosure
Categories for the Successor Agency to the Palm Desert Redevelopment Agency.
2) As Code Reviewing Body, the City Council, by Minute Motion, approve the
Successor Agency to the Palm Desert Redevelopment Agency Conflict of Interest
Code and all associated actions to be taken in connection therewith.
Background
The Political Reform Act, Government Code Sections 81000, et seq., requires the Board of
Directors of the Successor Agency to the Palm Desert Redevelopment Agency to adopt a
Conflict of Interest Code and requires every local government agency to review its Conflict
of Interest Code biennially to determine if it is accurate and up-to-date. By the attached
Resolution, the Successor Agency is adopting a Conflict of Interest Code, which contains
designated positions and disclosure categories.
The Fair Political Practices Commission's Model Code is included in the attached
Resolution as Exhibit "A." Appendix A sets forth the designated positions and the
disclosure categories for each position of the Successor Agency and shall constitute the
Conflict of Interest Code for the Successor Agency.
Persons holding designated positions listed in Appendix A shall file Statements of
Economic Interest pursuant to Section 5 ofthe Conflict of Interest Code with the information
required for the disclosure category assigned to them, unless otherwise exempted from
doing so pursuant to Section 3 of the Conflict of Interest Code.
Staff Report - JOINT CONSIDERATION - Successor Agency Conflict of Interest Code
March 22, 2012
Page No. 2
The Successor Agency's Conflict of Interest Code is also hereby forwarded to the City
Council, as Code Reviewing Body for the Successor Agency, for its approval of the Code.
The City Council will also formally designate the City Clerk of the City as the filing officer
for reports required to be filed pursuant to the Conflict of Interest Code.
Fiscal Analysis
Adoption of this Resolution is necessary for the Successor Agency to comply with the
Political Reform Act. The City Clerk will incur additional time and expense in performing
duties as the filing officer for the Successor Agency. The dollar amount of that expense is
not anticipated to be significant and cannot be accurately estimated at this time.
Submitted by:
Reviewed:
�
� � �
-
�; ✓'��� ��i��►'' �'�- -� ' � „��.�
_ . - � . � ..-
Reviewed:
� �
�����
Paul S. Gibson, Director of Finance/City Treasurer
Approved:
r�� -
Jo,h�i M. Wohlmuth, City Manager
Attachments (as noted)
H:IWPdataIWPDOCSIOVERS/GHT BOARDIStaN Reportslstalf report-COI-SA-PDRDA. wpd
RESOLUTION NO. SA-RDA 006
A RESOLUTION OF THE BOARD OF DIRECTORS OF
THE SUCCESSOR AGENCY TO THE PALM DESERT
REDEVELOPMENT AGENCY, ADOPTING A CONFLICT
OF INTEREST CODE CONTAINING DESIGNATED
POSITIONS AND DISCLOSURE CATEGORIES
THE BOARD OF DIRECTORS OF THE SUCCESSOR AGENCY TO THE
PALM DESERT REDEVELOPMENT AGENCY DOES HEREBY FIND, RESOLVE,
AND ORDER AS FOLLOWS:
Section 1. The Political Reform Act, Government Code Section 81000, et se�c .,
(the "Political Reform AcY') requires the Successor Agency to the Palm Desert Redevelopment
Agency ("Agency") to adopt a conflict of interest code.
Section 2. The Fair Political Practices Commission has adopted a Model Conflict
of Interest Code (the "Model Code"). The Model Code, codified at 2 California Code of
Regulations Section 18730, can be incorporated by reference by the Agency as its conflict of
interest code. That Model Code will be amended by the Fair Political Practices Commission
from time to time to conform to amendments to the Political Reform Act.
Section 3. By this resolution the Agency is adopting a Conflict of Interest Code
which contains designated positions and disclosure categories.
Section 4. The Model Code, attached hereto as Exhibit "A" and any amendments
to it duly adopted by the Fair Political Practices Commission, and Appendix A which sets forth
the designated positions and the disclosure categories for each position of the Agency are hereby
incorporated by reference and shall constitute the Conflict of Interest Code for the Successor
Agency to the Palm Desert Redevelopment Agency.
Section 5. Persons holding designated positions listed in Appendix A shall file
Statements of Economic Interest pursuant to Section 5 of the Conflict of Interest Code with the
information required for the disclosure category assigned to them unless exempt from filing such
Statements pursuant to Section 3 of the Conflict of Interest Code.
Section 6. Pursuant to the Political Reform Act, a person holding a designated
position listed in this Conflict of Interest Code that violates any provisions of this Code is subject
to administrative, criminal and civil sanctions provided in the Political Reform Act. In addition,
if a person who holds a designated position makes, participates in making or otherwise attempts
to use his or her official position to influence a decision of the Agency in which he or she has a
financial interest, he or she may also be subject to additional administrative, criminal and civil
sanctions and the decision may be set aside and voided pursuant to Government Code Section
91003.
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RESOLUTION NO. SA-RDA 006
Section 7. The Secretary of the Agency shall certify to the passage and adoption
of this Resolution and shall submit a copy of this Code to the City Council for its approval as the
Code Reviewing Body for the Successor Agency to the Palm Desert Redevelopment Agency.
PASSED, APPROVED and ADOPTED this day of ,
2012, at a regular meeting of the Successor Agency to the Palm Desert Redevelopment Agency
Board of Directors by the following vote, to wit:
AYES:
NOES:
ABSENT:
ABSTAIN:
ROBERT A. SPIEGEL, CHAIR
ATTEST:
RACHELLE D. KLASSEN, SECRETARY
SUCCESSOR AGENCY TO THE
PALM DESERT REDEVELOPMENT AGENCY
-2-
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RESOLUTION NO. SA-RDA 006
EXHIBIT A
Conflict of Interest Code
(Re�ulations of the Fair Political Practices Commission, "fitle ?, f)ivision E3. California Code of
Regulations.)
§ 18730. f'rovisions ofConflict-o{=1nt�rest Codes.
(a) Ir�corporation by refeeence of t�he t�erins of this regulation along with the designation
of employees and the fonn�iiation of disciosure categories in the Appendix referred to below
constitute the adoption and promulgation of a contlict-of-interest cocle within the meaning of
Section 87300 or the amendment of a confliet-of-interest code within the meaning of Section
�7306 if the terms of tf�is regulation a�•e substituted for terms of a canflict-of=interest code
already in effect. A code so amended or adopted and promulgated requires the reporting of
repotrtable items in a manner substantially equivalent to the requirements of articie 2 of chapter 7
of the Poiitica) Refonn Act, Sections 81000, ei seq. The reyuiremei3ts of a conflict-of-interest
code are in adciition to other requirements of the Political Reform Act, such as the generaf
prohibition against conflicts of interest contained in Seetion 87100, and to other state or local
laws pertaining to contlicts of interest.
(b) The terms of a conflict-of=ititerest code amended or adopted and promulgated
pursuant to this regulation are as foliows:
(1) Section l. Definitions.
The detinitions contained in the Po(itical Reform Act of 197�1, regulations of the Fair
Political Practices Commission (Regulations 18110, et seq.), and any amend►nents to the Act or
re�„ul�tions, are incorporated by reference into this conflict-of=interest cc�de.
(2} Sectior7 2. Dcsignatcd EmployEes.
Exhibit A-1
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RESOLUTION NO. SA-RDA 006
1�hE pc:rsons holding positi��ns listed in the Appendix are ciesignited employees. It has
been dc.termined that these persons iY�ake or participate in the na��kin�� of ciccisi�ms which may
foreseeably have a material ei�cct on eeonomic intecests.
(3) Section ;. Uisclosut•e Categories.
'f'his code does not establish any disclos��re oblig�ttion for those designated eit�ployees
who are also specified in Section 87200 if they are designated in this code in that same capacity
or if the geographical jurisdiction of this ag�ncy is the same as or is whol(y inc(Lided tivithin the
jurisdietion in which those persons must repoi�t their economic interests pursuant to ar[icle 2 of
cha�ter 7 of the Political Reforrn Act, Sections 87200, et seq.
In addition, this code does not establish any disclosure obligatian for any designated
emp(oy�ees who are designated in a conftict-of interest code for another agency, if all of the
following apply:
(A) The geographical jurisdiction of this agency is the saane as ar is wholly included
within the jurisdiction of the other agency;
(B) "C'he disclosure assigned in the code of the other agency is the same as that required
under article 2 of cliapter 7 oFthe Politica) Reform Act, Section 87200; and
(C)'fhe filing officer is the same for both agencies.l'
Such persons are covered by this code for disqualification purposes only. With respect to
ail other designated employees, the disclostu•e categories set forth in the Appendix specify �vhich
kinds of economic interests are rerortable. Such a designated emplo�Jee shall disclose in his or
her statement of economic interests those economic interests he or she has �vhich are of the kind
described in the disclosure cate��ories to which he or she is assi�ned in the Appendit. It has been
determined that the economic interests set forth in a desi�nated employee's disclosure categories
Exhibit A-2
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RESOLUTION NO. SA-RDA 006
�1re the kinds of econ��mic interesu which he or she foreseeably can affect materially lhrou�.;h the
conduct ofhis or her affice.
(4) Section 4. Statements oF Economic Interests: Place of (=iling.
The code reviewing body shall instruct all designateci employees within its code Co til�
statements ofeconomic interests with the agency or ���ith the code reviewing body, as provided
liy the code reviewing body in the agency's cont7ict-of-interest code.'
(5) Section 5. Statements of Economic Interests: Time of �"iling.
(A) Initial Statemcnts. All designated employees employed by the agency on the eftective
ciate of this code, as originally adopted, promulgated and approved by the c�de reviewing body,
shall tile statements within 30 days after the effective date ofthis code. 7'hereafter, each person
already in a position when it is designated by an amendment to this code shall tile an initial
statement within 30 days atter the effective date of'the amendment.
(B) Assuming Office Statements. All persons assuming designated positions after the
effective date of this code shal! file statements within 30 days after assuming the designated
positions, or if subject to State Senate confirmation, 30 days after being nominated or aprointed.
(C) Annuai Statements. All designated employ�ees shall file statements no tater than April
�
(U) Leaving Oftice Statements. All persons who leave designated positions shal! file
statements within 30 days after leaving office.
(5.�) Section �.�_ Statements for Persons Who Resign Prior to Assuming Office.
Any �erson ��-ho resi`�ns ���ithin 12 months of initial appointrnent, or within 30 days of the
date of notice provided by the filing officer to file an assuming office statement, is not dee�ned to
have assumed oftice or IeFt office, provided he or she did not make or participate in the rnaking
Exhibit A-3
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RESOLUTION NO. SA-RDA 006
ofi; or use his or her p�sition to influence any decisic�n �nd did not receive or beeomc �ntitled to
receive any form t�f rayn7ent as a result ofhiti ur her appoinhnent. Such persi�ns shail nut file
either an assuming �r leaving oftice statement.
(A) Any person who resigns a position within 30 days of the date of a notice trom th�
filin�; officer shall c10 both ofthe following:
( I) F'ile a �vritten resignation with the appointing power; and
(2) File a written statement �vith the tilin�T ofticer cieclaring under penalty of perju�y that
during the period between appointment and resignation he or she did not make, participate in the
making, or use the position to influence any decision of ihe agency or receive, or become entitled
to receive, any form pf payment by virtue of being appointed to the positio».
(6) Section 6. Contents of and Period Covered by Statements of F,conomic lnterests.
(A) Cantcnts of Initial Statements.
Initial statements shall disclose any rep�rtable investments, interests in real property and
business positions held on the effective date of the code and income received during the 12
months prior to the effective date of the code.
(B) Contents ofAssuming Office Statements.
Ass�imine o�ce statements shall disclose 1ny reportable investtnents, interests in mal
property and business �ositions held on the date ot assurnin� office or, if subject to State Senate
eontirmation or appointment, on the date of nomination, and income received during the 12
months prior tc� the date c�t assurning aFfiice or the date of l�eing appointed or nominatec�.
respectively.
(C) Contents of Annual Statements. Annual statements shall disclose any repc�rtable
investments, interests in real property, income and business positions held or received during the
Exhibit A-4
ss000-oi�z�iazsa6a�i.ao�
RESOLUTION NO. SA-RDA 006
�revious calendar year �rovicled, however, that thc. �eriod coverecl bv �Yn employee's�first annual
statement sf�all begi�� c�n the efteetive d�te c�f�thr code or the date of assumin�� ��ftice �vhichever
is lat�r, or for a board or conu��ission mernber subject to Section $7302.6, the d�y atter the
cl�sing date af tl�e most recent statement tiled by the member pursuant tc� Regulation 18754.
(D) Contents of Leaving Office Staternents.
Leaving otifiice statements shall disclose reportable investments, interests in real property,
income and business positions held or received dw�ing the period between the clasing date of the
(ast statement tiled and the date of leaving office.
(7) Section 7. Manner of Reporting.
Statements of economic interests shall be made on forms prescribed by the Fair Political
Practices Commission and supplied by the agency, and shal! contain the following information:
(A) Investment and Real Property Disclosure.
When an investment or an interest in real property3 is required to be reported,� the
statement shall contain the followin�:
L A statement of the nature of the invesiment or interest;
2. The name of the business entity in which each investment is held, and a general
description ofthe business activity in �vhich the business entity is engaged;
3. "I'he address or other precise location of the reat property;
4. A state�nent whether the Fair market vali�ie of the investment or• interest in real property
equals or exceeds $2,000, exceeds $1 QOOQ eaceeds $100,000, or exceeds � 1,�00,000.
(Q) Personal tncome Disclosure. A�her� personal incoi��e is reqi�ired to be reported.' the
statement shall contain:
Exhibit A-5
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RESOLUTION NO. SA-RDA 006
1. 'fhE n�1me and address ot each sc�urce of incdrne aggregatin�� !�500 or more in value, �r
$iU c�r more in value ifthe income �-vas a�;i(t, and 1 general descriptian ot�the business activity,
if any, of each source;
2. A statement whether the aggre��ate vahie of income trom each s�urce, or in the case of'
a loan, the highest amvunt owed to tach source, was $I,00� or less, greater than $1,000, greate►•
than $10,000, or greater than $ I 00,000;
3. A description of the consideration, if any, for which the inco�l�e 4vas received;
4. [n the case of a gift, the name, address and business activity c�f the donor and any
intermediary through which the gift was made; a description of the gift; the amount or value of
the gift; and the date on which the gift was received;
�. In the case of a loan, the annLial interest rate and the security, if any, given for the loan
and the term of the loan.
(C) Business Entity lncome Uisclosure. When income of a business entity, including
income of a sole proprietorship, is required to be reported,6 the statement shall contain:
I."Che name, address, and a general description of the business activity of the business
entity;
2. The name of every person trom �vhom the business entity received payments if the
filer's pro rata share of gross receipts From such person was equal to or greater than $ t0,00d.
(D) Business Position Disclosure. When business p�sitions are required to be reported, a
designated employee shall list the name and address ofeach business entity in 4vhich he or she is
a director, officer, partner, trustee, employee, or in which he or she holds any position af
mana�ement, a description of the 6usiness activitv in which the business entity is engaged, and
the designated employee's positfon �vith the business entity.
Exhibit A-6
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RESOLUTION NO. SA-RDA 006
{E) ��ec��iisition or Disposa) D�iring Reportin� Period. In the e�se c�f �lr� annual or leavin��
olficc st�tement, if an investment oi• an inlerest in real property was partially or ��holly acquired
or ciisposed c7fduring the �eriod covered bv the statement, the staterncnt shall contain the date of
acquisition or disposal.
(8) Section 8. Prohibitic�n on Receipt of Honararia.
(A) No member of a state board or commission, and no designated employee of a state or
local aoveri�ment agency, shall accept an;�� honorarium from any sot►rce. if the �nember or
emp(oyee would be required to report the receipt of income or gifts from that source on his or her
statement of economic interests. T'his section shall not app(y to any part-time member of the
governing board of any public institution of higher education, unless the member is also an
elected oiticial.
Subdivisions (a), (b), and (c) of Section 89501 shall apply to the prohibitions in this
section.
This section shall not (irnit or prohibit payments, advances, or reimbursements for travel
and related lodging and subsistence authorized by Section $4506.
(8.1) Section 8.1. Prohibition on Receipt of Gifts in Excess of $420.
(A) No member of a state board or commission, and n� designated emptoyee of a state or
local �ove�•nment agency, sha11 accept gitts with a total value of more than $420 in a calendar
year from any single source, if the member or employee wouid be required to report the receipt
of income �r gifts from that saurce on his or her statement ofeconomic interests. This section
sh�ll nc�t apE�ly to any part-time i�tember of the governin� board of any pi�blic institution of
higher eciucation, unless the men�ber is also an elected official.
Exhibit A-7
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RESOLUTION NO. SA-RDA 006
Subdivisions (e}, (t), and (�) of Section 89�O i shall a�pl.� to the ��rohibitions in this
section.
($.2) Section 8.2. Loans to Public Ofticials.
(A) No elected officer of a state or loeai �overnment agencv shall. from the d�te e7f his or
her election to office through the date that he or she vacates ot'fice, receive a personal loan from
any otfcer, employea, member, c�r consultant of the state ar local govet-nment agency in which
the elected officer holds offiice or over which the elected oftieer's agency has direction and
controL
(B) No public official who is exempt from the state civil s�,�rvice system purs«ant to
subdivisions (c), (d), (e), (fl, and (g) of Section 4 of Article V(I of the Constitution shall, whi(e
he or she holds office, receive a personal loan from any off7cer, ernployee, member, or consultant
of the state or local government agency in which th� public ofticial holds offiice or over which
the public oft7cial's agency has direction and controL 7'his subdivision shal( not apply to loans
made to a public official whase duties are solely secretarial, clerical, or manua(.
(C) No eleeied officer oFa state or local government agency shall, frotn the date of his or
her election to offiee through the date tliat he or she vacates office, receive a personal loan from
any person who has a contract with the state ar local gover-nment abency to which that e(ected
officer has been elected or over which that elected officer's agei�cy has direction and control.
�his subdivision shall not apply t� loans made by banks or other financial institutions or to any
inciebtedness created as part of a retail installment or credit card transaction, if the loan is made
or the ir�debtedness cre�ted in the lender`s reQular course of business on tcrms avail161e to
members of the public without regard to the elected offiicer's official status.
Exhibit A-8
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RESOLUTION NO. SA-RDA 006
(I7) No public ���fficial who is exempt trom the st�ite civil service sysCem pursuant to
subdivisions (c), {d), (e). (I), anc! (��j of Section 4 of Article V II t�f tt�e Constitution sh111. tivhile
h� or she holcls oftice, receive a person�l loan from 1nv peis��n ���ho has a c�ntract �vith the state
or local government agencv to which that elected of€icer has been elected or over which lhat
elected ofticer's agency has direction and control. This subdivision shall nat apply to lo�u�s made
by banks or other financiai institutions or to any indebled��ess ereated as part of a retail
instailment or credit card transaction, if the loan is made oi• the indel�tedness created in the
lender's regular course of business on terms available to members of the public without regard to
thc electecl officer's ofticial status. This subdivision shall not apply ta loans made to a public
official whose duties are solely secretarial, clerical, or manual.
(E) This section shall i�ot apply to the following:
1. Loans made to the campaign c�mmittee of an elected ofticer or candidate for elective
ofifice.
2. Loans made by a public official's spouse, child, parent. grandparent, grandchi(d,
brother, sister, parent-in-law, brother-in-law, sister-in-law, nephe�v, niece, aunt, �incle, or first
cousin, or the spouse of any such persons, provideci that the person making the (oan is not acting
as an agent or intennediary for any person not otherwise eYempted under this section.
3. L��ans from a person which, in the aggregate, do not exceed five hundred dollars
($�00) at any Qiven time.
4. Loans made, or offered in �vriting, before January 1, ! 99R.
(8.3) Section $.3. I_oan "('erms.
(A} Except as set forth in subdivision (B), no e(ected ofticer of a state or local
bovernmenl aaency shali, from the date of his or her election to o�ttice through the date he or she
Exhibit A-9
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RESOLUTION NO. SA-RDA 006
vacates of`fice, receive a personal loan of $�00 or more, etcept �vhen the loan is in �vriting and
clearly states the tern��s of the Ic�an, including the parties to the lotm a�reement, date of the lo��n.
amount of the I�an, term oFthe loan, date or dates �vhen payments shall be due on the loan and
the amount of the payments, ancl the rate of interest paid on the loan.
(B) Th+s section shatl not apply to tE�e fo(lcnvin� types of loans:
1. Loans made to the campaign committee of the elected officer.
2. Loans made to the elected ofificer by his or her spouse, child, parent, grandparent,
grandchild, brother, sister, parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt,
uncle, or first cousin, or the spouse of any such person, provided that the person makin� the loan
is not acting as an agent or intermediary far any person not other�vise exempted under this
section.
3. L,oans made, or offerect in writing, before January 1, 1998.
(C) Nothing in this section shall exempt any person from any other provisian of 7�itle 9 of
the Government Code.
(8.4) Section $.4. Persona( Laans.
(A) Except as set forth in subdivision (B), a personal loan received by any designated
employee shal( become a gift to the designated emp(oyee for the purposes oFthis section in the
following circumstances:
1. lf the loan has a cietined date or dates for repayment, when the statute of limitations for
filing an action for defiault has expired.
2. If the loan has no detined date or dates for replyi�iei��t_ �vhei� onc year has e}apsEd fi-om
the later oFthe following:
a. The date the loan was made.
Exhibit A-10
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RESOLUTION NO. SA-RDA 006
b. The daie the last pa��ment of $100 or more w��s made or� the loan.
c. I'h� date Upon ���hich the debtor has made payn�ents c�n the loan aggre�atin�� to le�;s
than $2�0 during the previous 12 months.
(B) �(�his section sh�ll ��ot apply to the followi��g types of loans:
1. A loan made to the campaign committee of an eleeted otficer or a candid�te tbr
elective of�fice.
2. A loan that �vould other�vise not be a gift as defined in this title.
3. A loan that w�uld other�vise be a gitt as 5et forth under s�ibdivision (A), but on �vhicli
the creditor has taken reasonable action to coltect tt�e balance due.
4. A ioan that wc7uld otherwise be a gift as set forth under subdivision (A), but on which
the creditor, based on reasonable business c�nsiderations, has not undertaken collection action.
Except in a criminal action, a crediior who claims that a loan is not a gift on the basis of this
paragraph has the burden ot�proving that the decision for not taking collection action was based
on reasonable �iusiness considerations.
5. A loan made to a debtor who has filed for bankruptcy and the loan is uttimately
discharged in bankruptcy.
(C} Nothing in this sectian shall exempt any person firom any other provisions of Title 9
of the Government Cade.
(9) Section 9. Disqualif7cation.
No designated employee shall rnake, participate ip making, or in any way attempt to use
his or her official position to influence the making of any bovernmental decision which he or she
knows or has reason to kno�i� �vil( have a reasonably loreseeable material finlncial effect.
Exhibit A-11
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RESOLUTION NO. SA-RDA 006
disting�iishable fi�om its efitect on thc public 4eneraliv_ 0�7 tl�c otticia) or a memher of his or her
irnmediate family or on:
(A j Any business entity in �vhieh the designated employee; has a direct or indirect
investment ���orth $2,00O or more;
(Q) Any real prnperCy in which the designateci employee has a direct or indirect interest
worth $2,000 or mare;
(C) Any source of income, other than Qifts and other th�n loans by a com»�ercial lending
institutio�� in the reg�ilar course of business on terms available to the public without regard to
official status, aggregatin� $�00 or more in value provideci to, received by or promised to the
designated employee within 12 months prior to the time when the decision is made;
(D) f\ny business entity in which the designated employee is a director, officer, parmer.
trustee, employee, or holds a��y position of management; or
(E) Any donor of, or any intermediary or agent tor a donor of, a gift or gifts a�gregatin�
$420 or more provided to, received by, or promised to the desibnated employee within 12
months prior to the time �vhen the decision is made.
(9.3) Section 9.3. I.,egally Required Participation.
No designated employee shalt be prevented trom making or participating in the m��kin�
of any decision to the extent his or her par-ticipation is legaflv required for the decision to be
made. The fact that the v�te of a designated employee wlic� is on a voting body is needed to break
a tie does not make his or her participation legally required tor purposes of this sectio��.
(9.�) Section 9.5. Disqualiticatio�� ofState Officers anci F;ttlployees.
ln addition to the general disqualitication provisions of section 9, no state administrative
official shall make, participate in malcii�g, or use his or her ofticill positio�l to influ�:nce an��
Exhibit A-12
81000-0172\1428464v1.doc
RESOLUTION NO. SA-RDA 006
�overnmental decis+on ciirectly relating to any c�mtract where the st�te administr�tivc offici�il
ki�ows or has reason to kno��� Chat any party to the contr�ct is a person with �vhom the state
administrativc oi�ficial, or any member of�his or her immeciiate family has, �vithii� 12 ►nonths
prior to the time avhen the otficial actiori is to be t�iken:
(A) En�aged in a busii�ess transaction ar trans��ctions c�n tenns not available to members
o�t'the public, re�arding ai�y investment or interest in r�al property; or
(B) En�a�ed in a business transaction or transactions on terms not available to members
of the puhlic regarding the rendering of �oods or services totaling in value $1,000 or mare.
( I O) Section 10. Disclosure of llisqualifying Interest.
When a designated employee de�termines that he or she should not make a governmental
decisian because he or she has a disqualifyin�T interest in it, thc determination not to act may be
accompanied by ciisclosure of the disqualifying ii�terest.
(] 1) Section 1 1. Assistance of the Comm ission and Counse(.
Any designated employee who is unsure of his or her duties under this code rnay request
assistance from the F'air Political Practices Commission pursuant to Section 83114 and
Regt,ilations 18329 and 18329.5 or from the attorney For his or her agency, provided that nothing
in this section reqi�ires the attorney for the agency to issue any formal or informal opinion.
(12) Section 12. Violations.
This code has the force and effect of ta�v. [)esi�=natcd employees violating any provision
ofthis code are si.�bjecC to the administrative, criminal and civil s�nctions provided in the
Political Reform Act�, Sections 8 1 000-9 1 0 1 4. In �ddition, a decision in relatian to which a
violation of the disqualitication provisions of this code or of Section $7100 or �7��0 has
occurred may be set aside as void pursuant to Section 91 Q03.
Exhibit A-13
81000-0172\1428464v 1.doc
RESOLUTION NO. SA-RDA 006
' Uesi�:n�iteci �m�,�loyees ��ho are requ�red to tile staiemenls of�ecanomic interests under any other
�zgency's conflict-oi=interest code, or under article 2 for a diPferent jurisdietion, may e�pand their
statement of �conornic interests to cover reportable interests in both jurisdictions, anci tile copies
of this espanded statement wiCh bc�ih entities in lie�i c�t� tiling separate and distinct statements,
provi�ed Chat each c��py of such expanded statement tiled in place of an ori�inal is signed and
veritiecl bv the designated em�loye� as if it were an original. See Section 8 i OO�t.
`See Sectic�n 81 O10 and Regu(ation 181 I 5 for the cluties of filing officers and persons in agencies
who make and retain copies of statements and torward the originals to the tiling officer.
3For the }�urpose of disclosure oniy (not disqualitication), an interest in rea( propert�� does not
inc(ude the principal ►-esidence of the filer.
`'Invest�nent5 and interests in real property which have a fair market value ofi less than $2,OU0 are
not investments and interests in real property withi�� ttie meaning of the Political Reform Act.
However, investments or interests in real propert} of an individual inctude those held by the
individi�al's spouse and dependent children as ���ell as a pro rata share of any investment or
interest in real property of any business entity or trust in which the individual. spouse and
dependent children own, in the aggregate, a direct, indirect or beneficial interest of 10 percent or
greater.
'A designated crnployee's incotne includes his or her comm�mity property interest in the income
of his or her spouse b�rt does not include salary or reimbuesernent for expenses received from a
state, local or tedera! governmeni agencv.
f'Income of a business entity is reportable if the direct, indirect or beneficial interest of the filer
and the fiiler's spo�Ese in the b��siness entity aggreg�tes a!U percent or �reater interesl. (n
Exhibit A-14
81000-0172\1428464vi.doc
RESOLUTION NO. SA-RDA 006
additiim, die disclo�ur� of persons who are clients or customers c�f�a i�usin�ss entit�� is required
onlv if thc: clients or customers are within one ofth� disclosure cate��ories oi`�the filer.
Note: ��uthoritv cited: Section 831 12, Ciovernment Code. Keferei�ce: Sections 87103(e), $730U-
8730�, 89�U 1, R9502 and 89�03, Government C:ode.
HIS"T�ORY
1. Ne�v section tiled �-2-80 as an emergency; etfective upon tiling (Re�isCer 80, No. 14).
Certificate of Compliance included. �
2. Editorial correction (Register 80, No. 29).
3. Amendment of s�bsection (b) filed 1-9-81; effective thirtieth day thereal�ter (Register 81,
No.2). �
�. Amendment of subsection (b)(7)(13)1. tiled ]-2fi-83; effective thirtieth day thereafter (Re�ister
83, No. 5}.
5. Amendment of subsection (b}(7)(A} tiled I 1-i 0-83; effective thirtieth day thereafter (Register
83, No. 46).
6. Amenciment tiled 4-13-87; operative 5-13-87 (Register 87, Na 16).
7. Amendment �fsubsection (b) Fled 10-21-88; operative 1]-20-88 (Kegister 88, No. 46).
8. Amendment of subsections (b)($}(A) and (b)(8)(B) and numerous editorial changes filed
8-2&-90; operative 9-27-90 (Reg. 90, No. 42).
9. Ame��dment ofsubsections (b)(3), (b)(8) and renumbering of follo4vi��g subsections and
amendment ofNote filed 8-7-92; operative 9-7-92 (Register 92, No. 32).
l0. f�rnendrnet�t o�f�sobsectio►1 (b)(5.5) and nc��� subsections (b)(5.�)(A)-(,A)(2} filcd 2-4-93;
ope�rative 2-4-9� (Re�ister 93, No. 6).
Exhibit A-15
81000-0172\1428464v 1.doc
RESOLUTION NO. SA-RDA 006
i i. C��han��e witho�it re�ulatory effect adoptin� Cor�flict of lntc;rest C<ade t�ir California Mentaf
Hcalth Nl�nnino Cc�uncil tiled 1 I-22-93 pursuan�t tc� ti�tle 1, section 100. Califi�rnia Code of
Regulations (Register 93, No. �8). Approved by Fair Political Practices Gommission 9-21-93.
12. Change wid�out regulatory effect redesignatin�� Conflict of Interest Code for California
Mental Fieatth Planninb Counci) as chapter 6?, section �5100 filed I-�4-94 }�ursuank i:o title I,
section I U0. California Code of Regulatians (Register 94, No. I).
13. Editoriaf correction adding History I i and 12 and deleting duplicate sectic�n nutnber
(Register 94, No. 17). �
l4. Amendment of subsection (b)(8), designation of subsection (b)(8)(A), new subsection
(b)(8)(�3), anc{ amendment of subsections (b)(8. O-(b)(8.1)(E�), (b)(9)(E) and Note filed 3-14-95;
operative 3-14-95 pursuant to Government Code section 1 1343.4(d} (Register 95, No. 1 1).
i�. Editorial correction inserting inadvertently omitted language in footnote 4(Register 96,
No. 13).
�16. Arnendment of subsections (b)(8)(A)-(B) and (b)(8.1)(A), repealer of subsEction (b)(8.1)(B),
and amendment of subsection {b)(12) filed 10-23-96; operative 10-23-96 pursuant to
Government Code section 11343.4(dj (Register 96, No. 43).
17. Amendment oi�subsections (b)(8.1) and (9)(E) filed 4-9-97; operative 4-9-97 pursuant to
Government Code section 11343.4(d) (Re��ister 97. No. 1�).
18, Amendment of subsections (b)(7)(F3j�., new subsectians (b)(8.2)-(b)(8.�)(C') and amendment
of Note filed 8-2�-98; operative 8-24-�J8 pursuant to Government Code section I 1'343.4(d)
(Kegister 98. No. 35)_
19. E;ditorial correction of subsection (a) (Register 98, No. 47).
20. Amendn�ent o#�si�bsections (b)(8. t}. (!�)(8.1)(A) and (b)(9)(E} filed ?-1 I-99; operative
Exhibit A-16
81000-0172\1428464v 1.doc
RESOLUTION NO. SA-RDA 006
�-1 1-y9 �ursuant to Government Code section 1 1343.4(d) (Register 99, No. �(1).
21. Amendment ofsubsections (b)(8.1)-(b)(x.l)(A) and (b}(9)(E) tilec� 12-6-2(}00; o��erative 1-1-
200i pursuant to the 1974 version of Government Code section I 1380.2 ��nd �"itic 2, California
Code oF Regulations, section 1831?(d) and (e} (Register 20{�0, No. 49}_
22. Arnen�Jment of�subsections (b}(3) and (b)(10) filed 1-10-2001; operative 2-I-2001.
Submitted to (�AL for filing pursuant to Pair f'olitical P�•actices Cun�tnis,cion v. Office of'
Adrnir�istralive I.,aiv. 3 Civil C010924, Calit��rnia Court ofAppeal, `I�hirc) Appellate District,
nonpublished decision, ApriJ 27, 19�)2 (FPPC regulations only subject to 1974 Administrative
Procedlire Act rulemaking requirements) (Register 200t, No. 2).
23. Amendment of subsections (b}(7)(A)4., (b}(7)(B)1.-2., (b)(8.2)(E)3., (b)(9}(A)-(C) and
faotnote 4. filed 2-13-2001. Submitted to OA1., fbr filing pursuant to Fnir Political Praclices
Cofnmission v. O�ice ofAdminis�trutive I utiv, 3 C:ivil C410924, Calitortlia Co�irt of'Appeal, Third
Appellate District, nonpublished decision, Aprit 27, 1992 (FPPC regulations only subject to 1974
Administrative Procedure Act rulemaking requirements) (Register 2001, No. 7).
24. Ame��dmenC ofsubsections (b)($.I)-(b)(8.1)(A) filed 1-16-2003; operative 1-1-2003.
Submit�ed to OAL fc�r filing p�irst►ant to Farr Political F'ractices Comrnission v. Offiee of
�ldnainistrativ� Lativ, 3 Civi( C010924, California Court of Appeal, Third Appellate District,
nonpublisheil decision, April 27, 19)2 (FPPC regulations only subject to 1974 Administrative
Prucedure Act ru(emaking requirementsj (Register 2003, No. 3).
2�. F,ditorial cc�rrection of History 24 (Re�ister 2003, No. 12).
26. �ditc�rial correction removi�zg exreaneous phrase in s�ibsection (b)(9.5)(Q) (Register 2004,
N�. 33).
Exhibit A-17
81000-0172\1428464v1.doc
RESOLUTION NO. SA-RDA 006
27. Amendment ofsubsections (b)(2)-(3j, (b)(3j(C), (b)(6)CC�1. (b){R.I }-(b)i�•})(A), (b)(r)?(E) ai�d
(b)(i I)-(12) tiled 1-�-200�; opera�ive f-I-2OOS pursuant to Governn�ent Code seci�ion I 134 �.4
( Register 2005. No. '1).
28. Amendment ofsubsection (b){7)(;1)�. filed 10-i 1-200�; c��erative 1 I-10-200� (Register
20O�, No. �31). �
29. Amend►nent of subsections (a), (b)( I), (b)(3), (b)($.1), (b){8. I)(A) and (b)(9)(E) f led
I 2- I 8-2006; operative l- I-2007. Subm itted to OAL pursuant to f�'air Political Practice,s
Cornmissiorz v. (�jrce ofAdmiriistrative I,crw, 3 Civil C010924, California Court ofAppeal, Third
Appellate District, nonpublished decision, April 27, 1992 (FPPC: regul�tions only subject to 1974
Administrative Procedw•e Act rufemaking require►nents) {Register 2006, No. 51).
30. Amendment of subsections (b)(8.1)-(b)(8.1 }(A) and (b}('9)(E) filed 10-31-2008; operative 1 1-
30-20Q$. Submitted to OAL for fiiling pursuant to Fair Political Practices Commissio» v. Office
nf�Adrraini��tratii�e LaW�, 3 Civi! C0�(0924, California Court ofAppeal, Third Appellate District,
nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative
Yrocedure Act rulemaking requirements and not subject to pracedural or substantive review by
OAL) (Re�ister 2008, No. 44).
31. Amendment ofsection heading and section filed 11-15-2010; operative 12-1�-2010.
Submitted to OAL for tiling pursuant to Frrrr• Political Practices Cor»rrris.ciot� v. Office of
Ac%nini.s[rcr�ive Lcnv, 3 Civil C010924, Cali Fornia C:ourt of Appeal, Third Appellate District,
nonpublished decision, April 27, 1992 (FPPC regulations onlv subject to 1974 Administrative
Procedure Act ru(etnakin� requirements ancl not subject ta procedural or substantive revie�v by
OAL) (Register 2010, No. 47).
Exhibit A-18
81000-Q172\1428464v1.doc
RESOLUTION NO. SA-RDA 006
APPENDIX A
DESIGNATED POSITIONS AND DISCLOSURE CATEGORIES
FOR THE SUCCESSOR AGENCY TO THE PALM DESERT
REDEVELOPMENT AGENCY
Designated Positions
Agency Board Member
Executive Director
Agency Secretary
Agency General Counsel
Agency Assistant General Counsel
Assistant City Manager
Finance Officer
Director of Community Development
Director of Housing
Director of Public Works
Other Consultant(s)
Oversight Board Member
Disclosure Categories
1
1
2
1
3,4,5,6
2
1
2
2
2
7
8
Appendix A-1
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RESOLUTION NO. SA-RDA 006
Disclosure Cate�
Persons holding designated positions which are assigned a disclosure category of "1"
above are not required to report under this Conflict of Interest Code because they hold
positions within the City of Palm Desert, which are required to report pursuant to
California Government Code Section 87200. Persons in this category "1" are,
however, subject to the disqualification provisions of this Code when acting in their
official capacity for the Successor Agency to the Palm Desert Redevelopment
Agency.
2. Persons holding designated positions which are assigned a disclosure category of "2"
above are not required to prepare a Statement of Economic Interest (Form 700) for
their position with the Agency because they also hold positions which are already
required to disclose and report under the Conflict of Interest Code of the City of
Palm Desert. Persons in this category "2" are, however, subject to the
disqualification provisions of this Code when acting in their official capacity for the
Successor Agency to the Palm Desert Redevelopment Agency.
3. Reportable interests in real property in the jurisdiction. (Form 700, Schedule B.)
4. Reportable income and business positions. (Form 700, Schedule C).
5. Reportable investments. (Form 700, Schedules A-1 and A-2).
6. Reportable � and travel __gifts. (Form 700, Schedules D and E).
7. For consultants who serve in a staff capacity with the Agency, the consultant shall
disclose based on the disclosure categories assigned elsewhere in this Code for that
staff position.
The following disclosure categories shall be used for consultants who do not serve in a
staff capacity:
Persons required to disclose in this category shall disclose pursuant to categories 3, 4,
5 and 6 above unless the Executive Director determines in writing that a particular
consultant is hired to perform a range of duties that is limited in scope and thus is not
required to fully comply with the disclosure requirements in categories 3, 4, 5 and 6.
Such written determination shall include a description of the consultant's duties and,
based upon that description, a statement of the extent of disclosure requirements. The
Executive Director's determination is a public record and shall be retained for public
inspection in the same manner and location as this Code.
8. Oversight Board Members who serve in a position of the City of Palm Desert and
who are already required to report financial interests pursuant to the broadest
disclosure categories under the City's Conflict of Interest Code are not required to
prepare a Statement of Economic Interest (Form 700) for their position with the
Appendix A-2
81000-0172\1428464v1.doc
RESOLUTION NO. SA-RDA 006
Agency. Persons in this category "8" are, however, subject to the disqualification
provisions of this Code when acting in their official capacity for the Successor
Agency to the Palm Desert Redevelopment Agency.
Oversight Board Members who do not serve in another position with the City or who
serve in position with the City that is not required to disclose pursuant to the broadest
disclosure categories under the City's Conflict of Interest Code shall disclose
pursuant to categories 3, 4, 5 and 6 above.
Appendix A-3
81000-017 2\ 14 28464v l. d o c