HomeMy WebLinkAboutStaff Report 3.E 12/01/2014DATE: December 1, 2014
TO: Honorable Mayor and Members of the City Council
FROM: Claire Cooper, City Clerk
Agenda Item #3.9
SUBJECT: Resolution Repealing the City of Petaluma's Conflict of Interest Code (Resolution
No. 2012-140 N.C.S.) And any Conflicting Resolutions and Adopting by
Reference the Model Conflict of Interest Code Set Forth in Title 2, Section 18730
of the California Code of Regulations and Taking Related Actions.
RECOMMENDATION
It is recommended that the City Council adopt the attached Resolution Repealing the City of
Petaluma's Conflict of Interest Code (Resolution No. 2012-140 N.C.S.) and Any Conflicting
Resolutions and Adopting by Reference the Model Conflict of Interest Code Set Forth in Title 2,
Section 18730 of the California Code of Regulations and taking related actions.
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The Political Reform Act. California Government Code Section 81000 et seq.. requires every
local government agency biennially to review its Conflict of Interest Code for Public Officials
and amend or supplement the Code in order to assure compliance with the Political Reform Act.
The City of Petaluma last reviewed its Code in September 2012.
DISCUSSION
Each year Public Officials and Designated Employees. in accordance with the City's Conflict of
Interest Code and requirements of the Fair Political Practices Commission, are required to
complete and submit to the Office of the City Clerk FPPC Form 700: Statement of Econoanic
h7terest. Exhibit "A" to the resolution is the most recent version of the State, FPPC Regulation 2
California Code of Regulations, Section 18730. When changes occur during the year, as
positions are being created or deleted, the list of Designated Employees is to be reviewed by the
City Clerk, City Attorney, and the Human Resources Director in order to determine whether
there is a need to modify the list of designated positions, board, agency, committee, and
commission members filing Fonn 700. Exhibit `B" to the attached resolution lists the
Titles/Positions of persons required to submit Statements of Economic Interest and Disclosure
Categories, which has been updated to reflect the most current organization of departments as
adopted in the City's 2014-2015 Budget. This document also reflects changes in titles for various
positions and has deleted those positions that have been eliminated during the current fiscal year,
and adds some specific positions doing business for the City on a contract or consultant basis.
Exhibit "C" sets forth the disclosure category of filers.
FINANCIAL IMPACTS
Staff time is estimated at 240 hours per year, which is valued at $10,606.00. Almost all notices
and forms are now distributed electronically to those required to file Form 700, so costs for paper
and postage are minimal.
ATTACHMENTS
Resolution of the City Council Repealing the City of Petaluma's Conflict of Interest
Code (Resolution No. 2012-140 N.C.S.) and Any Conflicting Resolutions and Adopting
by Reference the Model Conflict of Interest Code Set Forth in Title 2, Section 18730 of
the California Code of Regulations.
• Exhibit A: Title 2, Section 18730, California Code of Regulations.
• Exhibit B: Titles/Positions of Persons Required to Submit Statements of Economic
Interest (Exhibit B is redlined to show changes from existing (2012) schedule)
• Exhibit C: Explanation of Disclosure Categories
Attachment 1
Resolution No. 2014 -XXX N.C.S.
of the City of Petaluma, California
RESOLUTION REPEALING THE CITY OF PETALUMA's CONFLICT OF INTEREST
CODE (RESOLUTION NO. 2012-140 N.C.S.) AND ANY CONFLICTING
RESOLUTIONS AND ADOPTING BY REFERENCE THE MODEL CONFLICT OF
INTEREST CODE SET FORTH IN TITLE 2, SECTION 18730 OF THE
CALIFORNIA CODE OF REGULATIONS AND TAKING RELATED ACTIONS
WHEREAS, pursuant to Section 87300 et seq. of the California Government Code, the
City of Petaluma is required to adopt and promulgate a Conflict of Interest Code; and,
WHEREAS, pursuant to Government Code Section 87302, the City's Conflict of Interest
Code must specifically enumerate the positions within the City, other than those specified in
Government Code Section 87200, that involve the making or participating in making decisions
that may foreseeably have a material effect on any financial interest, and, for each such
enumerated position, the Conflict of Interest Code must state the specific types of investments,
business positions, interests in real property and sources of income that are reportable; and,
WHEREAS, on September 24, 2012, the City Council adopted Resolution 2012-140
N.C.S., adopting a Conflict of Interest Code for public officials and designated employees; and,
WHEREAS, the City Council at this time wishes to repeal the Conflict of Interest Code
adopted by 2012-140 N.C.S. and adopt a revised Conflict of Interest Code establishing the City's
conflict policy and defining the circumstances requiring disqualification; and.
WHEREAS, Title 2, Section 18730 of the California Code of Regulations contains the
terms of a Model Conflict of Interest Code developed by the Fair Political Practices Commission
("FPPC-) that cities can adopt by reference, which may be amended from time -to -time by the
FPPC after public notice and hearing to conform to amendments in the Political Reform Act
and,
WHEREAS, adopting by reference the terms of the FPPC's Model Conflict of Interest
Code set forth in the California Code of Regulations, and amendments thereto. as the Conflict of
Interest Code of the City oi'Petaluma will meet the statutory requirements for adopting such a
code and save the City time and resources by minimizing the actions required to keep the Code
in conformity with the Political Reform Act; and
WHEREAS, the City Council is further required biennially to review and update as
warranted the list of designated positions required to submit Statements of Economic Interest and
the disclosure categories for such positions.
NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF PETALUMA
DOES RESOLVE AS FOLLOWS:
Section 1: The above recitals are true and correct and are incorporated herein by
reference.
Section 2: 2012-140 N.C.S., adopted September 24, 2012 and any other resolution in
conflict with the Conflict of Interest Code adopted by this Resolution, is hereby repealed.
Section 3: The Model Conflict of Interest Code set forth in Title 2, Section 18730 of the
California Code of Regulations, which is attached hereto and incorporated herein as Exhibit "A"
to this Resolution, and any amendments to the Model Conflict of Interest Code subsequently
adopted by the Pair Political Practices Commission, is hereby adopted, as amended, by the City
of Petaluma as its Conflict of Interest Code, along with the attached "Exhibit `B" enumerating
positions within the City in addition to those set forth in Government Code Section 87200 that
are subject to the provisions of the Conflict of Interest Code and their disclosure categories and
the attached "Exhibit C" explaining the conflict of interest form filing requirements for various
categories. This Resolution and the attached Exhibits A, B and C together constitute the Conflict
of Interest Code of the City of Petaluma.
Section 4: Pursuant to Section 4 of the Model Conflict of Interest Code adopted hereby,
public officials and designated employees and consultants shall file Statements of Economic
Interest with the City Clerk.
Section 5: The effective date of the Conflict of Interest Code shall be the date the code
is originally approved and adopted by the City Council.
Section 6: Statements of Economic Interest shall be made on forms prescribed by the
Pair Political Practices Commission and supplied by the City Clerk. Statements for all public
officials and designated employees will be retained by the City Cleric.
Section 7: If any provision, sentence, clause, section or part of this Resolution is found
to be unconstitutional, illegal or invalid, such finding shall affect only such provision, sentence,
clause, section or part, and shall not affect or impair any of the remaining parts.
Under the power and authority conferred upon this Council by the Charter of said City.
REFERENCE: I hereby certify the foregoing Resolution was introduced and adopted by the Approved as to
Council of the City of I'etalum at a Regular meeting on the I" day of December, form:
2014, by the following vote:
City Attorney
AYES:
NOES:
ABSENT:
ABSTAIN:
ATTEST:
City Clerk Mayor
Exhibit A to Resolution
2 CA ADC § 18730BARCLAYS OFFICIAL CALIFORNIA CODE OF REGULATIONS
Barclays Official California Code of Regulations
Title 2. Administration
Division 6. Fair Political Practices Commission
Chapter 7. Conflicts of Interest
Article 2. Disclosure (Refs & Annos)
2 CCR § 18730
§ 18730. Provisions of Conflict of Interest Codes.
(a) 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 Section 87300 or the amendment
of a conflict of interest code within the meaning of Section 87306 if the terms of this regulation are
substituted for terms of a conflict of interest code already in effect. A code so amended or adopted
and promulgated requires the reporting of reportable items in a manner substantially equivalent to the
requirements of article 2 of chapter 7 of the Political Reform Act, Sections 81000, et seq. The
requirements of a conflict of interest code are in addition to other requirements of the Political Reform
Act, such as the general prohibition against conflicts of interest contained in Section 87100, and to other
state or local laws pertaining to conflicts of interest.
(b) The terms of a conflict of interest code amended or adopted and promulgated pursuant to this
regulation are as follows:
(1) Section 1. Definitions.
The definitions contained in the Political Reform Act of 1974, regulations of the Fair Political Practices
Commission (Regulations 18110, et seq.), and any amendments to the Act or regulations, are
incorporated by reference into this conflict of interest code.
(2) Section 2. Designated Employees.
The persons holding positions listed in the Appendix are designated employees. it has been determined
that these persons make or participate in the making of decisions which may foreseeably have a
material effect on economic interests.
(3) Section 3. Disclosure Categories.
This code does not establish any disclosure obligation for those designated employees 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 agency is the some as or is wholly included within the jurisdiction in
which those persons must report their economic interests pursuant to article 2 of chapter 7 of the
Political Reform Act, Sections 87200, et seq .
In addition, this code does not establish any disclosure obligation for any designated employees who
are designated in a conflict of interest code for another agency, if all of the following apply:
(A) The geographical jurisdiction of this agency is the same as or is wholly included within the jurisdiction
of the other agency;
(B) The disclosure assigned in the code of the other agency is the some as that required under article 2
of chapter 7 of the Political Reform Act, Section 87200; and
(C) The filing officer is the some for both agencies.'
Such persons are covered by this code for disqualification purposes only. With respect to all other
designated employees, the disclosure categories set forth in the Appendix specify which kinds of
economic interests are reportable. Such a designated employee shall disclose in his or her statement of
economic interests those economic 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
economic interests set forth in a designated employee's disclosure categories are the kinds of
economic interests which he or she foreseeably can affect materially through the conduct of his or her
office.
(4) Section 4. Statements of Economic Interests: Place of Filing.
The code reviewing body shall instruct all designated employees within its code to file statements of
economic interests with the agency or with the code reviewing body, as provided by the code
reviewing body in the agency's conflict of interest code.z
(5) Section 5. Statements of Economic Interests: Time of Filing.
(A) Initial Statements. All designated employees employed by the agency on the effective date of this
code, as originally adopted, promulgated and approved by the code reviewing body, shall file
statements within 30 days after the effective date of this code. Thereafter, each person already in a
position when it is designated by an amendment to this code shall file an initial statement within 30 days
after the effective date of the amendment.
(B) Assuming Office Statements. All persons assuming designated positions after the effective date of
this code shall file statements within 30 days after assuming the designated positions, or if subject to
State Senate confirmation, 30 days after being nominated or appointed.
(C) Annual Statements. All designated employees shall file statements no later than April 1. If a person
reports for military service as defined in the Servicemember's Civil Relief Act, the deadline for the annual
statement of economic interests is 30 days following his or her return to office, provided the person, or
someone authorized to represent the person's interests, notifies the filing officer in writing prior to the
applicable filing deadline that he or she is subject to that federal statute and is unable to meet the
applicable deadline, and provides the filing officer verification of his or her military status.
(D) Leaving Office Statements. All persons who leave designated positions shall file statements within 30
days after leaving office.
(5.5) Section 5.5. Statements for Persons Who Resign Prior to Assuming Office.
Any person who resigns within 12 months of initial appointment, or within 30 days of the date of notice
provided by the filing officer to file an assuming office statement, is not deemed to have assumed
office or left office, provided he or she did not make or participate in the making of, or use his or her
position to influence any decision and did not receive or become entitled to receive any form of
payment as a result of his or her appointment. Such persons shall not file either an assuming or leaving
office statement.
(A) Any person who resigns a position within 30 days of the date of a notice from the filing officer shall
do both of the following:
(1) File a written resignation with the appointing power; and
(2) File a written statement with the filing officer declaring under penalty of perjury 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 the agency or receive, or become entitled to receive, any
form of payment by virtue of being appointed to the position.
(6) Section 6. Contents of and Period Covered by Statements of Economic Interests
(A) Contents of Initial Statements.
Initial statements shall disclose any reportable investments, interests in real properly 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 of Assuming Office Statements.
Assuming office statements shall disclose any reportable investments, interests in real property and
business positions held on the date of assuming office or, if subject to State Senate confirmation or
appointment, on the date of nomination, and income received during the 12 months prior to the date
of assuming office or the date of being appointed or nominated, respectively.
(C) Contents of Annual Statements. Annual statements shall disclose any reportable investments,
interests in real property, income and business positions held or received during the previous calendar
year provided, however, that the period covered by an employee's first annual statement shall begin
on the effective date of the code or the date of assuming office whichever is later, or for a board or
commission member subject to Section 87302.6, the day after the closing date of the most recent
statement filed by the member pursuant to Regulation 18754.
(D) Contents of Leaving Office Statements.
Leaving office statements shall disclose reportable investments, interests in real property, income and
business positions held or received during the period between the closing date of the last statement
filed 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 shall contain the following information:
(A) Investment and Real Property Disclosure.
When an investment or an interest in real property3 is required to be reported,4 the statement shall
contain the following:
1. A statement of the nature of the investment or interest;
2. The name of the business entity in which each investment is held, and a general description of the
business activity in which the business entity is engaged;
3. The address or other precise location of the real property;
4. A statement whether the fair market value of the investment or interest in real property equals or
exceeds $2,000, exceeds $10,000, exceeds $100,000, or exceeds $1,000,000.
(B) Personal Income Disclosure. When personal income is required to be reported,5 the statement shall
contain:
1. The name and address of each source of income aggregating $500 or more in value, or $50 or more
in value if the income was a gift, and a general description of the business activity, if any, of each
source;
2. A statement whether the aggregate value of income from each source, or in the case of a loan, the
highest amount owed to each source, was $1,000 or less, greater than $1,000, greater than $10,000, or
greater than $100,000;
3. A description of the consideration, if any, for which the income was received;
4. In the case of a gift, the name, address and business activity of 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;
5. In the case of a loan, the annual interest rate and the security, if any, given for the loan and the term
of the loan.
(C) Business Entity Income Disclosure. When income of a business entity, including income of a sole
proprietorship, is required to be reported,b the statement shall contain:
1. The name, address, and a general description of the business activity of the business entity;
2. The name of every person from whom the business entity received payments if the filer's pro rata
share of gross receipts frorn such person was equal to or greater than $10,000.
(D) Business Position Disclosure. When business 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.
(E) Acquisition or Disposal During Reporting Period. In the case of an annual or leaving office statement,
if an investment or an 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.
(8) Section 8. Prohibition on Receipt of Honoraria.
(A) No member of a state board or commission, and no designated employee of a state or local
government agency, shall accept any honorarium from any source, if the member or employee would
be required to report the receipt of income or gifts from that source on his or her statement of
economic interests. This section shall not apply to any part-time member of the governing board of any
public institution of higher education, unless the member is also an elected official.
Subdivisions (a), (b), and (c) of Section 89501 shall apply to the prohibitions in this section.
This section shall not limit or prohibit payments, advances, or reimbursements for travel and related
lodging and subsistence authorized by Section 89506.
(8.1) Section 8.1. Prohibition on Receipt of Gifts in Excess of $440.
(A) No member of a state board or commission, and no designated employee of a state or local
government agency, shall accept gifts with a total value of more than $440 in a calendar year from any
single source, if the member or employee would be required to report the receipt of income or gifts
from that source on his or her statement of economic interests. This section shall not apply to any part-
time member of the governing board of any public institution of higher education, unless the member is
also an elected official.
Subdivisions (e), (f), and (g) of Section 89503 shall apply to the prohibitions in this section.
(8.2) Section 8.2. Loans to Public Officials.
(A) No elected officer of a state or local government agency shall, from the date of his or her election
to office through the date that he or she vacates office, receive a personal loan from any officer,
employee, member, or consultant of the state or local government agency in which the elected officer
holds office or over which the elected officer's agency has direction and control.
(B) No public official who is exempt from the state civil service system pursuant to subdivisions (c), (d),
(e), (f), and (g) of Section 4 of Article VII of the Constitution shall, while he or she holds office, receive a
personal loan from any officer, employee, member, or consultant of the state or local government
agency in which the public official holds office or over which the public official's agency has direction
and control. This subdivision shall not apply to loans made to a public official whose duties are solely
secretarial, clerical, or manual.
(C) No elected officer of a state or local government agency shall, from the date of his or her election
to office through the date that he or she vacates office, receive a personal loan from any person who
has a contract with the state or local government agency to which that elected officer has been
elected or over which that elected officer's agency has direction and control. This subdivision shall not
apply to loans made by banks or other financial institutions or to any indebtedness created as part of a
retail installment or credit card transaction, if the loan is made or the indebtedness created in the
lender's regular course of business on terms available to members of the public without regard to the
elected officer's official status.
(D) No public official who is exempt from the state civil service system pursuant to subdivisions (c), (d),
(e), (f), and (g) of Section 4 of Article VII of the Constitution shall, while he or she holds office, receive a
personal loan from any person who has a contract with the state or local government agency to which
that elected officer has been elected or over which that elected officer's agency has direction and
control. This subdivision shall not apply to loans made by banks or other financial institutions or to any
indebtedness created as part of a retail installment or credit card transaction, if the loan is made or the
indebtedness created in the lender's regular course of business on terms available to members of the
public without regard to the elected officer's official status. This subdivision shall not apply to loans
made to a public official whose duties are solely secretarial, clerical, or manual.
(E) This section shall not apply to the following:
1. Loans made to the campaign committee of an elected officer or candidate for elective office.
2. Loans made by a public official's 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 persons, provided that the person making the loan is not acting as an agent or intermediary
for any person not otherwise exempted under this section.
3. Loans from a person which, in the aggregate, do not exceed five hundred dollars ($500) at any given
time.
4. Loans made, or offered in writing, before January 1, 1998.
(8.3) Section 8.3. Loan Terms.
(A) Except as set forth in subdivision (B), no elected officer of a state or local government agency shall,
from the date of his or her election to office through the date he or she vacates office, receive a
personal loan of $500 or more, except when the loan is in writing and clearly states the terms of the
loan, including the parties to the loan agreement, date of the loan, amount of the loan, term of the
loan, date or dates when payments shall be due on the loan and the amount of the payments, and the
rate of interest paid on the loan.
(B) This section shall not apply to the following types of loans:
1. Loans made to the campaign committee of the elected officer.
2. Loans made to the elected officer 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 making the loan is not acting as an agent or
intermediary for any person not otherwise exempted under this section.
3. Loans made, or offered in writing, before January 1, 1998.
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(C) Nothing in this section shall exempt any person from any other provision of Title 9 of the Government
Code.
(8.4) Section 8.4. Personal Loans.
(A) Except as set forth in subdivision (B), a personal loan received by any designated employee shall
become a gift to the designated employee for the purposes of this section in the following
circumstances:
1. If the loan has a defined date or dates for repayment, when the statute of limitations for filing an
action for default has expired.
2. If the loan has no defined date or dates for repayment, when one year has elapsed from the later of
the following:
a. The date the loan was made.
b. The date the last payment of $100 or more was made an the loan.
c. The date upon which the debtor has made payments on the loan aggregating to less than $250
during the previous 12 months.
(B) This section shall not apply to the following types of loans:
1. A loan made to the campaign committee of an elected officer or a candidate for elective office.
2. A loan that would otherwise not be a gift as defined in this title.
3. A loan that would otherwise be a gift as set forth under subdivision (A), but on which the creditor has
taken reasonable action to collect the balance due.
4. A loan that would otherwise be a gift as set forth under subdivision (A), but on which the creditor,
based on reasonable business considerations, has not undertaken collection action. Except in a criminal
action, a creditor who claims that a loan is not a gift on the basis of this paragraph has the burden of
proving that the decision for not taking collection action was based on reasonable business
considerations.
5. A loan made to a debtor who has filed for bankruptcy and the loan is ultimately discharged in
bankruptcy.
(C) Nothing in this section shall exempt any person from any other provisions of Title 9 of the
Government Code.
(9) Section 9. Disqualification.
No designated employee shall make, participate in making, or in any way attempt to use his or her
official position to influence the making of any governmental decision which he or she knows or has
reason to know will have a reasonably foreseeable material financial effect, distinguishable from its
effect on the public generally, on the official or a member of his or her immediate family or on:
(A) Any business entity in which the designated employee has a direct or indirect investment worth
$2,000 or more;
(B) Any real property in which the designated employee has a direct or indirect interest worth $2,000 or
more;
(C) Any source of income, other than gifts and other than loans by a commercial lending institution in
the regular course of business an terms available to the public without regard to official status,
aggregating $500 or more in value provided to, received by or promised to the designated employee
within 12 months prior to the time when the decision is made;
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(D) Any business entity in which the designated employee is a director, officer, partner, trustee,
employee, or holds any position of management; or
(E) Any donor of, or any intermediary or agent for a donor of, a gift or gifts aggregating $440 or more
provided to, received by, or promised to the designated employee within 12 months prior to the time
when the decision is made.
(9.3) Section 9.3. Legally Required Participation.
No designated employee shall be prevented from making or participating in the making of any
decision to the extent his or her participation is legally required for the decision to be made. The fact
that the vote of a designated employee who is on a voting body is needed to break a tie does not
make his or her participation legally required for purposes of this section.
(9.5) Section 9.5. Disqualification of State Officers and Employees
In addition to the general disqualification provisions of section 9, no state administrative official shall
make, participate in making, or use his or her official position to influence any governmental decision
directly relating to any contract where the state administrative official knows or has reason to know that
any party to the contract is a person with whom the state administrative official, or any member of his or
her immediate family has, within 12 months prior to the time when the official action is to be taken:
(A) Engaged in a business transaction or transactions on terms not available to members of the public,
regarding any investment or interest in real property; or
(B) Engaged in a business transaction or transactions on terms not available to members of the public
regarding the rendering of goods or services totaling in value $1,000 or more.
If 0) Section 10. Disclosure of Disqualifying Interest.
When a designated employee determines that he or she should not make a governmental decision
because he or she has a disqualifying interest in it, the determination not to act may be accompanied
by disclosure of the disqualifying interest.
(1 1) Section 11. Assistance of the Commission and Counsel.
Any designated employee who is unsure of his or her duties under this code may request assistance
from the Fair Political Practices Commission pursuant to Section 83114 and Regulations 18329 and
18329.5 or from the attorney for his or her agency, provided that nothing in this section requires the
attorney for the agency to issue any formal or informal opinion.
(12) Section 12. Violations.
This code has the force and effect of law. Designated employees violating any provision of this code
are subject to the administrative, criminal and civil sanctions provided in the Political Reform Act,
Sections 81000-91014. In addition, a decision in relation to which a violation of the disqualification
provisions of this code or of Section 87100 or 87450 has occurred may be set aside as void pursuant to
Section 91003.
Designated employees who are required to file statements of economic interests 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 statement with both
entities in lieu of fling 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 Section
81004.
2 See Section 8 10 10 and Regulation 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.
3 For the purpose of disclosure only (not disqualification), an interest in real property does not include the principal
residence of the filer.
' Investments and interests in real property which have a fair market value of less than $2,000 are not investments
and interests in real property within the meaning of the Political Reform Act. However, investments or interests in real
property of an individual include those held by the individual's spouse and dependent children as well 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 employee's income includes his or her community property interest in the income of his or her
spouse but does not include salary or reimbursement for expenses received from a state, local or federal
government agency.
G Income of a business entity is reportable if the direct, indirect or beneficial interest of the filer and the filer's spouse
in the business entity aggregates a 10 percent or greater interest. In addition, the disclosure of persons who are
clients or customers of a business entity is required only if the clients or customers are within one of the disclosure
categories of the filer.
Note: Authority cited: Section 83112, Government Code. Reference: Sections 87103(e), 87300-87302,
89501, 89502 and 89503, Government Code,
HISTORY
1. New section filed 4-2-80 as an emergency; effective upon filing (Register 80, No. 14). Certificoie of Compliance
included.
2. Editorial correction (Register 80, No. 29).
3. Amendment of subsection (b) filed 1-9-81; effective thirtieth day thereafter (Register 81, No. 2).
4. Amendment of subsection (b)(7) (8)1. filed I-26-83; effective thirtieth day thereafter (Register 83, No. 5).
5. Amendment of subsection (b) (7)(A) filed 11-10-83; effective thirtieth day thereafter (Register 83, No. 46).
6. Amendment filed 4-13-87; operative 5-13-87 (Register 87, No, 16).
7. Amendment of subsection (b) filed 10-21-88; operative 11-20-88 (Register 88, No. 46).
S. Amendment of subsections (b) (8) (A) and (b) (8) (B( and numerous editorial changes filed 8-28-90; operative 9-27-
90 (Reg. 90, No. 42).
9. Amendment of subsections (b) (3), (b) (8) and renumbering of following subsections and amendment of Note filed
8-7-92; operative 9-7-92 (Register 92, No. 32).
10. Amendment of subsection (b)(5.5) and new subsections (b)(5.5) (A) -(A) (2) filed 2-4-93; operative 2-4-93 (Register
93, No. 6).
11. Change without regulatory effect adopting Conflict of Interest Code for California Mental Health Planning
Council filed 11-22-93 pursuant to title I, section 100, California Code of Regulations (Register 93, No. 48). Approved
by Fair Political Practices Commission 9-21-93.
12. Change without regulatory effect redesignating Conflict of Interest Code for California Mental Health Planning
Council as chapter 62, section 55100 filed 1-4-94 pursuant to title 1, section 100, California Code of Regulations
(Register 94, No. 1).
13. Editorial correction adding History 11 and 12 and deleting duplicate section number (Register 94, No. 17).
12
14. Amendment of subsection (b)(8), designation of subsection (b)(8)(A), new subsection (b)(8)(B), and
amendment of subsections (b) (8.1)-(b) (8.1)(B), (b)(9)(E) and Note fled 3-14-95; operative 3-14-95 pursuant to
Government Code section 11343.4(d) (Register 95, No. I I ).
15. Editorial correction inserting inadvertently omitted language in footnote 4 (Register 96, No. 13).
16. Amendment of subsections (b)(8)(A)-(B) and (b)(8.1)(A), repealer of subsection (b)f8.1) (B), and amendment of
subsection (b) (12) filed 10-23-96; operative 10-23-96 pursuant to Government Code section 11343.4(d) (Register 96,
No. 43).
17. Amendment of subsections (b) (8.1) and (9) (E) filed 4-9-97; operative 4-9-97 pursuant to Government Code
section I I343.4(d) (Register 97, No. 15).
18. Amendment of subsections (b) (7) (B)5., new subsections (b) (8.2)-(b) (8.4) (C) and amendment of Note filed 8-24-
98; operative 8-24-98 pursuant to Government Code section 1 1343.4(d) (Register 98, No. 35).
19. Editorial correction of subsection (a) (Register 98, No. 47).
20. Amendment of subsections (b)(8.1), (b)(8.1)(A) and (b)(9)(E) filed 5-11-99; operative 5-11-99 pursuant to
Government Code section I I343.4(d) (Register 99, No. 20),
21. Amendment of subsections (b)(8.1)-(b)(8.1)(A) and (b)19) (E) filed 12-6-2000; operative 1-1-2001 pursuant to the
1974 version of Government Code section 11380.2 and title 2, California Code of Regulations, section 18312(d) and
(e) (Register 2000, No. 49).
22. Amendment of subsections (b)(3) and (b)(10) filed 1-10-2001; operative 2-1-2001. Submitted to OAL for filing
pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil 0010924, California Court of
Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974
Administrative Procedure Act rulemaking requirements) (Register 2001, 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 footnote 4. filed 2-13-2001.
Submitted to OAL for filing pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil
C010924, California Court of Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations
only subject to 1974 Administrative Procedure Act rulemaking requirements) (Register 2001, No. 7).
24. Amendment of subsections (b)(8.1)-(b) (8.1) (A) filed 1-16-2003; operative 1-1-2003. Submitted to OAL for filing
pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of
Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974
Administrative Procedure Act rulemaking requirements) (Register 2003, No. 3).
25. Editorial correction of History 24 (Register 2003, No. 12).
26. Editorial correction removing extraneous phrase in subsection (b) (9.5) (8) (Register 2004, No. 33).
27. Amendment of subsections (b)(2)-(3), (b)(3)(C), (b)(6)(C), (b)(8.1)-(b)(8.1)(A), (b)19)(E) and (b)(11)-(12) filed 1-4-
2005; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 1).
28. Amendment of subsection (b)(7)(A)4. filed 10-11-2005; operative 1 I-10-2005 (Register 2005, No. 41).
29. Amendment of subsections (a), (b)(1), (b)(3), (b)18.1), (b)(8.1)(A) and (b)(9)(E) filed 12-18-2006; operative 1-1-
2007. Submitted to CAL pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil
C010924, California Court of Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations
only subject to 1974 Administrative Procedure Act rulemaking requirements) (Register 2006, No. 51).
30. Amendment of subsections (b)(8.1)-(b)(8.1)(A) and (b)(9)(E) filed 10-31-2008; operative I1-30-2008. Submitted to
OAL for filing pursuant to Fair Political Practices Commission v. Office of Administrative Low, 3 Civil C010924,
California Court of Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only
subject to 1974 Administrative Procedure Act rulemaking requirements and not subject to procedural or substantive
review by OAL) (Register 2008, No. 44).
13
31. Amendment of section heading and section fled 11-15-2010; operative 12-15-2010. Submitted to OAL for filing
pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of
Appeal, Third Appellate Districi, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974
Administrative Procedure Act rulemaking requirements and not subject to procedural or substantive review by OAL(
(Register 2010, No. 47).
32. Amendment of section heading and subsections (a)-(b) (1), (b) (3)-(4), Ib) (5) (C), (b) (8.1)-(b) (8.1) (A) and (b) (9) (E)
and amendment of footnote 1 filed 1-8-2013; operative 2-7-2013. Submitted to OAL for filing pursuant to Fair Political
Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate
District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act
rulemaking requirements and not subject to procedural or substantive review by OAL) (Register 2013, No. 2).
This database is current through 10/24/14 Register 2014, No. 43
2 CCR § 18730, 2 CA ADC § 18730
14
Exhibit B to Resolution
Titles/Positions of
Persons Required to Submit Statements of Economic Interests
and Disclosure Categories
Positions Covered by Government Code Section 87200
The following positions are NOT covered by the City's Conflict of Interest Code because they must file under
Section 87200 and therefore, are listed for informational purposes only.
Mayor 1
City Council Members 1
City Attorney 1
City Manager l
Finance Director 1
Planning Commission Members 1
Appointed Officials
Public Officials
City Clerk 1
Appointed Officials
Airport Commissioners 1
Animal Services Advisory Committee Members 1
Building Board of Appeals Members 1
Historic and Cultural Preservation Committee Members 1
Pedestrian and Bicycle Advisory Committee Members 1
Personnel Board Members 1
Petaluma Community Development Successor Agency 1
Public Art Committee Members 1
Recreation, Music, and Parks Commissioners 1
Senior Advisory Committee Members 1
Technology Advisory Committee Members 1
Tree Advisory Committee Members 1
Transit Advisory Committee Members 1
Youth Commission Members(Adult Members)(Language added for clarification) 1
Designated Employees
Finance Department
Accountant 2
Accountant Analyst 2
Accounting Assistant II 5
Accounting Technician 5
Administrative Technician 5
Commercial Services Manager 2
Finance and Accounting Manager 2
Office Assistant II (General Services) 5
Principal Financial Analyst(Established 10/13) 2
Senior Accountant 2
15
City Attorney's Office
Assistant City Attorney 2
City Clerk's Office
Deputy City Clerk 3
City Manager's Office
Executive Assistant to the City Manager 1, 5
Assistant City Manager 1
Senior Planner 4,5
Building Services Division
Building Inspector I, II 4, 5
Chief Building Official 1
Permit Processing Technician 2
Plans Examiner/Deputy Chief Building Official 4, 5
Senior Building Inspector 4, 5
Economic Development/Redevelopment
Economic Development/Redevelopment Manager 1
Housing Division
Housing Administrator 1
(Replaced by Human Resources Department- 2/14)
44411143-n-Resowees-Mona ger(Replaced by Human Resources Director- 2/14) 4-
information Technology/GIS Division
Geographic Information Systems Manager 2
_ - _ _ _ _ _ - _ _ _ - •• - - (Abolished - 9/08) 2
Information Technology Specialist I, 11, 111 2
Information Technology Manager 2
Programmer Analyst 2
Recreation Services Division
Recreation Supervisor 2
Human Resources Department(Became Department when Human Resources Director reestablished - 2/14)
Human Resources Director(Position reestablished - 2/14) 1
Fire Department
Battalion Chief 2
Battalion Chief/EMS Fire Administration (Title changed - 10/14) 2
Fire Chief 1
Fire Marshal 1
Police Department
Police Chief 1
Police Captain 1
Police Lieutenant 1
Police Sergeant 1
Police Officer 2
(Abolished - 10/08) 6
Abandoned Vehicle Abatement Officer(Established - 10/14) 4,5
Neighborhood Preservation Coordinator 4,5
16
Title/Position Category
Public Works and Utilities Department
Administration
Director of Public Works and Utilities
Development Engineering Division
City Engineer 1
Traeic Engineer(Abolished - 10/08)
rrvrrr�.—c-r gyri�....,
1-
Traffic Manager 1
Inspection Supervisor 4, 5
Capital Projects Engineering Division
Deputy Director of Public Works and Utilities (Established - 11/14) 1
Engineering-Manager(Abolished - 11/14) }
(Title does not exist) 1
Project Manager 1
Senior Civil Engineer 1
Associate Civil Engineer 4, 5
Public Works Inspector 2
Budget, Grants and Project Manager 1
Senior Civil Engineer 1
Operations Division
Operations Manager(Established - 5/13) 1
Assistant Operations Manager(Established - 11/14) 1
Airport Manager 2
Utility Manager(Abolished - 11/14) 1-
Wility-Supervisor(Abolished - 11/14)—
Transit Division
Transit Manager 1
Environmental Services Division
Environmental Services Manager(Established - 5/13) 1
Water Recycling Plant Operations Supervisor 1
Environmental Compliance Inspector 4,5
Environmental Services Supervisor 1
Senior Laboratory Analyst 1
Parks and Facilities Maintenance Division
fid- ager Parks and Facilities Maintenance Manager(Title changed - 11/14) 1
Park Maintenance Fore Worker 5
Consultants* 1
Planning Manager, Contract 1
Senior Planner, Contract 1
Risk Manager, Contract 1
Assistant Risk Manager, Contract 1
Animal Services Manager, Contract 1
Assistant Animal Services Manager, Contract 1
17
*The awarding authority of a particular consultant contract shall require a particular consultant to file a
Statement of Economic Interests if the awarding authority finds that a consultant will:
A. Make a government decision to:
1. Approve a rate, rule or regulation.
2. Adopt or enforce a rule.
3. Issue, deny, suspend or revoke any permit, license, application, certificate, approval, order or
similar authorization or entitlement.
4. Authorize the City to enter into, modify or renew a contract, provided it is the type of contract
that requires City approval.
5. Grant City approval to a contract requiring such approval and to which the City is party or
approval to the specifications for such a contract.
6. Grant City approval to a plan, design, report, study or similar term.
7. Adopt or grant approval of policies, standards or guidelines for the City or for any subdivision
thereof.
B. Serve in a staff capacity with the City and in that capacity perform the same or substantially all of the
same duties for the City that would otherwise be performed by an individual holding a position specified
in the City's Conflict of Interest Code.
18
Exhibit C to Resolution]
Explanation of
Disclosure Categories
Category 1
All designated employees in this category shall disclose all sources of income, all interests in real
property, and all investments and business positions in business entities.
All employees in this category must complete all schedules on the Form 700 Statement of
Economic Interests Form.
Investments- A-1, A-2
Real Property- B
Income, Loans, and Business Positions- C
Income-Gifts-D
Income-Gifts-Travel Payments- E
Category 2
All designated employees in this category shall disclose investments, business positions and sources
of income from business entities which provide services, supplies, materials, machinery or
equipment of the type utilized by the City of Petaluma.
All employees in this category must complete the following schedules on the Form 700 Statement
of Economic Interests Form.
Investments- A-1, A-2
Income, Loans, and Business Positions- C
Income-Gifts- D
Income-Gifts-Travel Payments- E
Schedule B does not apply to your disclosure category.
Category 3
All designated employees in this category shall disclose investments, business positions and
sources of income from business entities which provide services, supplies, materials, machinery or
equipment of the type utilized by the designated employee's department or division.
All employees in this category must complete the following schedules on the Form 700 Statement
of Economic Interests Form.
Investments- A-1, A-2
Income, Loans, and Business Positions- C
Income-Gifts-D
Income-Gifts--Travel Payments- E
Schedule B does not apply to your disclosure category.
Category 4
All designated employees in this category shall disclose all investments, business positions and
sources of income from business entities, and interests in real property, which are subject to the
regulatory, permit or licensing authority of the City of Petaluma, or which may receive grants from
the City of Petaluma.
19
All employees in this category must complete all schedules on the Form 700 Statement of
Economic Interests Form.
Investments- A-1, A-2
Real Property- B
Income, Loans, and Business Positions- C
Income-Gifts-D
Income-Gifts-Travel Payments- E
Category 5
All designated employees in this category shall disclose all investments, business positions and
sources of income from business entities which engage in land development, construction or the
acquisition or sale of real property, and all interests in real property.
All employees in this category must complete all schedules on the Form 700 Statement of
Economic Interests Form.
Investments- A-1, A-2
Real Property- B
Income, Loans, and Business Positions- C
Income-Gifts-D
Income-Gifts-Travel Payments- E
20