- Appendix "A" County Officers & Employees Required to File Conflict of Interest Statement
FILING CATEGORY - DEPARTMENT
1 - Agricultural Commissioner and Sealer of Weights and Measures
1 - Assistant Agricultural Commissioner and Assistant Sealer of Weights and Measures
AIRPORT LAND USE COMMISSION
1 - Commissioners (as to all gifts and loans and only real property interests within the planning boundaries of the land use plan)
1 - Assessor
1 - Assistant Assessor
1 - Senior Appraiser
1 - Appraiser
1 - Administrative Assistant
1 - Office Technician (employee that makes change in ownership decisions)
BOARD OF SUPERVISORS
1 - Supervisors – Districts 1 – 5 (Filing required by Gov. Code § 87200)
1 - County Administrative Officer (Filing required by Gov. Code § 87200)
CHILD SUPPORT SERVICES AGENCY
1 - Director
1 - Assistant Director
1 - County Clerk-Recorder
1 - Assistant Clerk-Recorder
1 - Administrative Assistant
1 - Supervising Office Technician
1 - County Counsel (Filing required by Gov. Code § 87200)
DEPARTMENT OF FINANCE
1 - Finance Director (Filing required by Gov. Code § 87200)
1 - Assistant Finance Director
1 - Internal Auditor
1 - District Attorney (Filing required by Gov. Code § 87200)
1 - Assistant District Attorney
HEALTH & HUMAN SERVICES AGENCY
1 - Health and Human Services Agency Director
1 - Health and Human Services Agency Deputy Director
1 - Health Officer
1 - Health and Human Services Agency Administration Manager
1 - Health and Human Services Agency Fiscal Manager
1 - Health and Human Services Agency Program Manager
1 - Public Authority Manager
1 - Compliance and Quality Improvement Manager
1 - Environmental Health Director
1 - Community Development Director
1 - Administrative Services Analyst III
1 - Information Systems Analyst II
1 - Supervising Accountant
LOCAL AGENCY FORMATION COMMISSION
1 - Commissioners
1 - Executive Officer
OFFICE OF EMERGENCY SERVICES
1 - Director
1 - Deputy Director
1 - Personnel Director
PLANNING AND PUBLIC WORKS AGENCY
1 - Planning Commissioners – Districts 1 – 5 (Filing required by Gov. Code § 87200)
1 - Planning and Public Works Agency Director
1 - Deputy Director of the Planning and Public Works Agency
4 - Public Works Program Manager
4 - Fleet Operations Manager
1 - Staff Services Manager I
6 - Development Manager
4 - Facilities Manager
5 - Senior Planner
4 - Facilities Maintenance Supervisor
4 - Public Works Maintenance Supervisor
4 - Engineering Technician IV
1 - Chief Probation Officer/Juvenile Hall Superintendent
1 - Public Guardian/Administrator
1 - Assistant Public Guardian/Administrator
1 - Sheriff-Coroner/Animal Control Officer
1 - Undersheriff
SUPERINTENDENT OF SCHOOLS
1 - Members, Board of Education
1 - Superintendent of Schools
VETERANS SERVICE OFFICE
1 - Veterans Service Officer
*Persons who qualify as "consultants" may be required by the agency head to make disclosure under the appropriate category.
County of Glenn
STATEMENT OF ECONOMIC INTEREST REPORTING DISCLOSURE CATEGORIES
Pursuant to the Political Reform Act (Act), individuals who make or participate in making governmental decisions that could affect their personal economic interest shall file a Statement of Economic Interest. Each conflict of interest code must provide a description of the financial interests that each designated employee must disclose. Reg. 18730 contains a description of each type of disclosable financial interest: real property, investments, income (including gifts and loans) and business positions. However, disclosure categories describe the specific types of financial interests that an individual or class of employee to whom the category is assigned must disclose.
STANDARD DISCLOSURE CATEGORIES
The County of Glenn has seven standard disclosure categories that departments may assign to positions and classes of positions in appropriate combinations in order to ensure that adequate economic disclosure is made by each designated employee in accordance with the FPPC. The categories currently read as follows:
CATEGORY 1. Full Disclosure
Persons in this category shall disclose all interests in real property within the jurisdiction or within two miles of the boundaries of the jurisdiction or within two miles of any land owned or used by the agency, as well as investments (1), business positions (2) and sources of income (3), including gifts, loans and travel payments. Persons are not required to disclose property used primarily as their residence or for personal recreational purposes.
CATEGORY 2. Full Disclosure (excluding interests in real property)
Persons in this category shall disclose all investments, business positions and sources of income, including gifts, loans and travel payments.
CATEGORY 3. Interests in Real Property
Persons in this category shall disclose all interests in real property located within the jurisdiction or within two miles of the boundaries of the jurisdiction or within two miles of any land owned or used by the agency.
CATEGORY 4. General Contracting & Consultants Categories
GENERAL CONTRACTING (Two Models)
(Note: The first model can be used for an individual who contracts for the entire agency. The second model is for an individual who has contracting authority for a specific department).
(1) Persons in this category shall disclose all investments, business positions and income, including gifts, loans and travel payments, from sources that provide leased facilities, goods, equipment, vehicles, machinery or services, including training or consulting services, of the type utilized by the County; or
(2) Persons in this category shall disclose all investments, business positions and income, including gifts, loans and travel payments, from sources that provide leased facilities, goods, equipment, vehicles, machinery or services, including training or consulting services, of the type utilized by the employee’s department or area of authority.
Individuals who perform under contract the duties of any designated position shall be required to file Statements of Economic Interests disclosing reportable interests in the categories assigned to that designated position. In other words, a consultant is someone who, under contract, makes or participates in making agency decisions affecting a financial interest. A consultant, then, is treated just like an agency employee who has similar authority.
In addition, individuals who, under contract, participate in decisions which affect financial interests by providing information, advice, recommendations or counsel to the agency which could affect financial interests shall be required to file Statements of Economic Interests, unless they fall within the Political Reform Act's exceptions (5) to the definition of consultant. The level of disclosure shall be as determined by the Department Head and/or County Counsel.
CATEGORY 5. Regulatory, Permit or Licensing Agency
(Two models - The first model can be used by an agency that licenses or regulates. The second model can be used by an agency that licenses occupations, as well as approves classes or curricula to obtain, or maintain an occupational license).
(1) Persons in this category shall disclose all investments, business positions and income, including gifts, loans and travel payments, from sources that are subject to the regulatory, permit or licensing authority of, or have an application for a license or permit pending before, the County of Glenn.
(2) Persons in this category shall disclose all investments, business positions and income, including gifts, loans and travel payments, from sources that either contract to provide education or training required by the County of Glenn to qualify for or maintain a license, or entities that provide education or training services which courses or curricula are approved by the County of Glenn.
CATEGORY 6. Grant/Service Providers/Agencies that Oversee Programs
(Two models - The first model can be used by an agency that awards monies or grants to organizations or individuals. The second model is for an agency that also approves programs for rehabilitative services).
(1) Persons in this category shall disclose all investments, business positions and income, including gifts, loans and travel payments, or income from a nonprofit organization, if the source is of the type to receive grants or other monies from or through the County of Glenn.
(2) Persons in this category shall disclose All investments, business positions and income, including gifts, loans and travel payments, or income from a nonprofit organization, if the source is of the type to offer or provide consulting, rehabilitative or educational services concerning the prevention, treatment or rehabilitation of persons suffering from (alcohol related problems/drug abuse).
CATEGORY 7. New Positions (Positions Not Yet Covered Under a Conflict-of-Interest Code)
Effective January 1, 2010, an individual hired for a position not yet covered under an agency’s conflict-of-interest code must file Form 700 if the individual serves in a position that makes or participates in making governmental decisions. These individuals must file under the broadest disclosure category until the code is amended to include the new position unless the agency has provided in writing a limited disclosure requirement. Such individuals are referred to as “code filers.” See Regulation 18734 and 18219 below.
REGULATIONS RELATING TO CATEGORIES 4 & 7, CONSULTANTS, NEW POSITIONS & DESIGNATED EMPLOYEES
§ 18734. Designated Employees and Consultants - Positions Pending Code Amendment.
(a) New Positions and Consultants - Interim Disclosure: Consultants and newly created positions as set forth in Regulation 18219 that make or participate in the making of decisions that may foreseeably have a material effect on any financial interest shall file interim disclosure under this category.
§ 18219. Designated Employees.
For purposes of Section 82019 the term “designated employee” includes a consultant as defined under Regulation 18701(a)(2) and an employee in a newly created position that makes or participates in the making of decisions and whose specific position is not yet listed in an agency's conflict-of-interest code.
(1) "Investment" means any financial interest in or security issued by a business entity, including but not limited to common stock, preferred stock, rights, warrants, options, debt instruments and any partnership or other ownership interest owned directly, indirectly or beneficially by the public official, or other filer, or his or her immediate family, if the business entity or any parent, subsidiary or otherwise related business has an interest in real property in the jurisdiction, or does business or plans to do business in the jurisdiction, or has done business in the jurisdiction at any time during the two years prior to the time any statement or other action is required under this title. No asset shall be deemed an investment unless its fair market value equals or exceeds one thousand dollars [now $2,000 in the Act]. The term "investment" does not include a time or demand deposit in a financial institution, shares in a credit union, any insurance policy, interest ill a diversified mutual fund registered with the Securities and Exchange Commission under the Investment Company Act of 1940 or a common trust fund which is created pursuant to Section 1564 of the Financial Code, or any bond or other debt instrument issued by any government or government agency. Investments of an individual includes a pro rata share of investments of any business entity, mutual fund, or trust in which the individual or immediate family owns directly, indirectly or beneficially, a 10-percent interest or greater.
(2) A “Business Position” is a position of director, officer, partner, trustee, employee or any position of management in any organization or enterprise operated for profit, including but not limited to a proprietorship, partnership, firm, business trust, joint venture, syndicate, corporation or association.
(3) "Income" means a payment received, including but not limited to any salary, wage, advance, dividend, interest, rent, proceeds from any sale, gift, including any gift of food or beverage, loan forgiveness or payment of indebtedness received by the filer, reimbursement for 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 the income of a spouse. Income also includes an outstanding loan. Income of an individual also includes a pro rata share of any income of any business entity or trust in which the individual or spouse owns, directly, indirectly or beneficially, a 10-percent interest or greater.
(4) Those assigned to file under the “Consultant” category are only persons who qualify as "consultants" under the Political Reform Act. "Consultant" is defined in Fair Political Practices Commission Regulation 18701 - Public Official,
Definitions - as follows:
(2) "Consultant" means an individual who, pursuant to a contract with a state or local government agency:
(A) Makes a governmental decision whether to:
1. Approve a rate, rule, or regulation;
2. Adopt or enforce a law;
3. Issue, deny, suspend, or revoke any permit, license, application, certificate, approval, order, or similar authorization or entitlement;
4. Authorize the agency to enter into, modify, or renew a contract provided it is the type of contract that requires agency approval;
5. Grant agency approval to a contract that requires agency approval and to which the agency is a party, or to the specifications for such a contract;
6. Grant agency approval to a plan, design, report, study, or similar item;
7. Adopt or grant agency approval of, policies, standards, or guidelines for the agency, or for any subdivision thereof; or
(B) Serves in a staff a capacity with the agency and in that capacity participates in making a governmental decision as defined in Regulation 18702.2 or performs the same or substantially all the same duties for the agency that would otherwise be performed by an individual holding a position specified in the agency's 'Conflict of Interest Code under Government Code Section 87302.
(5) Exemptions from Disclosure: The Political Reform Act exempts from disclosure employees whose duties are secretarial, clerical or ministerial, because they do not exercise judgment in performing their duties. The same exemption applies to members of boards and commissions that serve solely in an advisory capacity.
However, one of the difficulties of code review and analysis lies in identifying those individuals who do exercise judgment and whose decisions or input to agency decisions may foreseeably have a material effect on a financial interest. It is not always easy to identify who should be exempted from making disclosure and who should be included in a code.
Analysts will find that agencies suffer from a very common misconception with regard to who should be included in a code when it comes to positions that have any kind of duties related to money. Very frequently, an agency will propose to include budget staff, including budget supervisors and even managers, who have no decision making authority with respect to purchasing and contracting or any other agency decision that might affect a specific financial interest. The belief is that, because these individuals "hold the purse strings", they must make disclosure. However, this is not the case. Even though they may have a significant role in developing the agency's budget, they are not in a position by which they could feather their own nests by directing funds of the agency to a specific financial interest.
Also, agencies will frequently propose to include accounting staff, including accounting supervisors and managers. They firmly believe that, because these individuals are in a position to "cook the books", they should make disclosure. What they often do not understand is that accounting does not involve the exercise of discretion that would direct payments to a business or other type of financial interest. This decision is made by others in the agency. The accountants merely keep a record of where the money went, when it went, and how much money went there. This is an important job, to be sure, but not one that triggers disclosure under the Political Reform Act.
This raises an important point: The Political Reform Act was never intended to, and is not structured to prevent embezzlement or other forms of actual theft. It is intended to prevent conflicts of interest from arising when public officials make decisions affecting financial interests.