HomeMy WebLinkAboutAgenda Bill 3.B 09/20/2004M
CITY OF PETALUMA, CALIFORNIA
AGENDA BILL tj.on qn,
A20ida Title:.
ettin2 Vate:
RESOLUTION OF THE CITY OF'PETALUMA ADOPTING A
September 20, 2004
CONFLICT OF INTEREST CODE FOR PUBLIC OFFICIALS
AND DESIGNATED EMPLOYEES AS REQUIRED BY THE.
POLITICAL REFORM ACT AND REGULATIONS OF THE;
FAIR POLITICAL PRACTICES COMMISSION AND
REPEALING RESOLUTION 2002-,193 N.C.' S
Department:
D ar"tme
Contact Persont
Phone Number:
Office of the City Clerk
Director
Gayle Petersen
(707)
Gayle Pe 'ise n
Cost of Proposal:
Amount"136fteted: N/A
N/A
'Account Number: N/A
Attachments to Agenda Packet Item:
(1) City Clerk's Report;
(2) 'Resolution of the City of Petaluma, Adopting a Conflict Of Interest Code For'Public Officials and
Designated Employees As Required By The Political. Reform, Act And Regulations Of The Fair
Political Practices. Commission And Repealing Resolutioil,2002-193 N.C.S.;
(3) City of Petaluma Conflict of Interest Code (FPPC Regulation 2 California Code of Regulations,
Section 18730)
(4) Appendix "A" - Titles/Positiofis of Persons Required to Submi Statements of Economic Interest and
Disclosure Categories;
(5) Appendix "W-'Explanation of Cod'o , Categor.y. Designations;
(6) Copy of Resolution 2002-193 N.C.S. and attachments.
Summary Statement:
The City of Petaluma has an administrative practice to annually review : its Conflict of Interest Code for
Public Offi6i'als and amend or supplement the Code in order. to assure compliance with the Political.
. p
Reform, Act. The City's reorganization; during the last year, and a review of legislation that affects this
code are incorporated into this resolution.
Recommended City Council Action:
Adopt a Resolution, of . the . City of Petaluma,, Adopting a Conflict Of Interest Code ,for Public Officials
and Designated 'Employees As Required. By The Political Reforin Act And Regulations Of The Fair
Political Practices Repeal Resolution 2602-191N.C.S'.
Rt bv Fi . nance'D cloc
v iewed by City Attorney,*
Date•
Anuo City Manner:
Date:
Mal T
O t
Revision #' and Date Revised;-
File I Code:
#
V
0765-02
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•
•
CITY OF PETALUMA, CALIFORNIA
• Sept _ember 20, 2004
AGENDA REPORT
FOR
AMENDMENT TO THE CITY. OF PETALUMA'S
CONFLICT OF INTEREST CODE
EXECUTIVE SUMMARY
The City of Petaluma has '.adopted an administrative practice to annually 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. This resolution
incorporates revisions. that were made to the: Political. Reform Act, the City's
reorganization during the'lastyear, and a review of existing filing practices.
2. BACKGROUND
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
Statements of Econornic Interest (Form 700).. In. th 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 City Manager in order
to determine whether there is a need to modify the list of designated positions,
board, agency, committee, and commission members filing Form 700.. Appendix
"A" 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 reorganization rof, departments as' adopted in the City's 2004 -2005
Budget. Appendix'`'B'sets forth the 'disclosure category of filers, This document
also reflects changes in titles for various positions and deleted those positions
that were deleted through the adoption. of the City's budget.
The most .recent version of the State, FPPC Re,gula;tion 2 California Code of
Regulations; Section 18730 is also attached for adoption.
3. CONCLUSION
The Council is being requested to adopt (as The City of Petaluma's Conflict of
.Interest Code) FPP�C Regulation 2 California. Code of Regulations Section 18730
in its entirety'; and any amendments, duly adopted by;the Fair Political Practices
Commission, which arer hereby incorporated: by and approve the list
of Designated Employees as presented.
4. RECOMMENDATION
City 'Clerk. recommends that Council adopt a Resolution of the City of Petaluma,
Adopting a Conflict Of Interest Code For Public Officials and Designated
Employees As 'Required By The Political Reform Act And Regulations Of The Fair
Political Practices Commission And Repealing Resolution 2002 -193 N.C.S.
.RESOLUTION OF THE CITY RPETALUNIA
ADOPTING A CONFLICT , OF INTEREST' CODE
FOR PUBLIC OFFICIALS AND IDESIGNA'I'.EID EMPLOYEES
AS REQUIRE BY THE POLITICAL. REFORM ACT
AND REGULATIONS-OF THE FA , IR.POLIT.ICAL. PRACTICES COIV MISSION
,.AND. REPEALING RESOLUTION 20.02 -193 N.C.S.
WHEREAS, the State of California has adopted California Code of Regulations, Title 2, Division 6,
Section 18730 —Provisions for Conflict of Interest Code; and, .
WHEREAS, Government Code Section 87300 and related regulations allow local municipalities to
adopt the State Conflict of Interest Code, as amended from time to time by reference.
NOW, THEREFORE, the Council of the City "of Petaluma . does' resolve as follows:
SECTION 1. Resolution No. 2002 -193 N.CS. is hereby'repealed.
SECTION 2. The Conflict of Interest Code for the City of Petaluma is hereby adopted as
follows:
• CONFLICT OFINTEREST CODE' FOR THE CITY OF PETALUMA
The Political Reform Act, Government Code Section 81000 et seq.,. requires State and local government
agencies to adopt and promulgate 'Conflict of Interest Codes. The Fair- Political Practices Commission has
adopted a regulation , (2 California Code of Regulations Section 18730), which contains the' terms of a
standard Conflict of Interest Code. It cari'be `incorporated'by refererice' and after public notice and hearing it
may be amended by the Fair Political. Practices Commission to conform to amendments in the Political
Reform Act. Therefore, the terms of California Code of Regulations Section 18730 and any amendments to
it duly adopted by the Fair Politicai Practices- Commission are hereby 'incorporated by reference. This
resolution, the attached code, and Appendices "A" and "9" shall constitute the Conflict of Interest Code of
the City of Petaluma.
TITLE 2, DIVISION,z, ,CALIFORN, IA CODE OF: REGULATIONS
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 ih:the Appendix referred to below
constitute the adoption and promulgation of a,conflict of `interest code within the meaning of
Government Code section 87300 or the amendment of a conflict of interest code within the
meaning of Government CodeksOcii6n 87306'if'the terms ofthisregulation are substituted for
terms promulgated q ires the p g already in effect. A'code so amended or adopted and
conflict interest
ortin of�reportable items in manner substantially equivalent to the
requirements of article 2 of chapter 7 of the Political Reform Act, Government Code 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 Government: Code 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 irilhe Political Reform Act of 1974 regulations of the Fair Political
( orated b g reference into this confli� o and any amendments to
Practices Commission 2 Cal Code of Re s. sections 18100, et se
the Act or regulations, are incorp y f 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 financial interests.
(3) Section 3. Disclosure Categories:
This code does not establish any disclosure obligation for thosedesignated employees who are
also.specified in Government Code section 87200 if1hey are, designated in this code in that same
i g g p g y.' is wholly included
capacit or if the eo ra hical urisdiction of this a enc is the °sarrie.as or
within'i the
article 2 chapter 7 of the Political Reform Act, Government Code sections 87 pursuant to
jurisdiction in which those. 'ersons must report their financial interests
sections 8720Q, et seq.
of establish an disclosure obligation for any designated employees
In addition this code does. n y g
who are designated in a` conflict oUinterest 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 ( ) as'signed'in the code of the other agency is the same as that required under
article 2 of chapter 7 ofthb olitical Reform Act, Government -Code section 87200; and
(C) The filing officer is the' ;same for both agencies.'
Such persons are covered. by this code for disqualification purposes only. With respectto all other
designated employees, the disclosure..categories forth in the Appendix;specify which kinds of
financial interests are reportable.. Such a designated employee shall disclose in -his or"her
statement of economic interests those financial interests he -or she "has which are of the kind"
described in' the disclosure categories to which: he " she is,assigned in; the Appendix. It has, been
determined that the financial interestsiset forth in a, designated employee 's''disclosurecategories
are the kinds of financial 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 11 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`inte,rest code.
(5)`Section 5:- Statements of Economic Interests: Time of Filing.
(A) Initial. Statements..All designated employees employed by the agency on the effectived'afe of
this code, as.onginally adopted, promulgated and approved by the code reviewing' body,,shall file
statements within 30, da Y s after the effective date.of this code. Thereafter,, each person already in
a position when it isdesignated by an amendment to this code shall file an initial statement within
3or 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
(C) Annual Statements. All designated employees shall file statements no laterxthan April, 1.
(D) Leaving Office Statements. All persons who leave designated positions' shail "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 3:t) days the date of
notice 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 themakinIg of, or
use his or her position to influence any decision and did not receive or become. entitled to:receive
any-form of'payrnent a's a result of his.or'her;appointment. Such persons shall notfile eifheran
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 during1he
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 fhe position.
(6) Section6. 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 property and,
2.
• 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 Assu'ming Statements.
Assuming office statements shall disclose any reportable investments, interests in real property
and business positions held o_ n 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,' incdm6 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.
(D) Contents of Leaving Office Statements ;
Leaven office
g statements shall disclose reportable investments,, interests in real property, income
and business positions held or rb' de' ivied during the 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_byithe Fair Political
Practices Commission and supplied by the agency, and shall; contain the following .information:
(A) Investments and Real Property Disclosure.
When an investment or an interest, in real property 3 iSi required .t0 be reported , statement
shall contain the following.
1. A statement of the.naiure °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 jn 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 exceeds
two thousand dollars {$2;000), exceeds .ten thousand dollars. ($10,000), exceeds one hundred
thousand dollars ($100 or exceeds one million dollars ($1,000,000).
(B) Personal Income.Disclosure. When personal income is required to be reported, the statement
shall contain
1,. The name;and address'of, each source, of income aggregating five hundred dollars ($500) or
moreAn value, or`fifty dollars: ($50) o.r;mor& 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 ource, or in the case of a loan,
the highest amount wed',t&each source, was one thousand dollars,($1,000) or less, greater than
one thousand dollars ($;1,000), greater than ten thousand dollars ($,10,000), or greater than one
hundred thousand'dollars ($1 00,000);
3. A description of 'the consideration, if any, for which the income was received;
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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; and1he
'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) BusinessEntity'Income Disclosure.. When incomp:of`a business entity, including income'of a
sole proprietorship; ,is required to be reported., the'statement shall contain- '
1. The name, address, and a general description of the business activity, ofthe business entity;
2. The name of every person from whom the business entlty'receive.d payments if'.the filer's pro
ratashare of gross receipts from such person was equal'to or greater than ten thousand dollars
(D) BUSiness.Pbsltion Disclosure. When business positions are required to be reported, ,a
designated' employee shall list the name and address ofeach business entity-in which he or she
is a .director; officer partner, trustee, employee or in which h. a or she holds any. position of
management z description of the business activity;in which the business entity is engaged, and
thedesignated employee's position with the business entity.
(E) Acquisition or Disposal During Reporting Period. In the case of aril annual or leaving Office
statement, if an 'investment or an interest in real property was partiallyor °wholly acquired or•
disposed of during the period covered bythe.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
govementagency shall accept any honorarium from any source, if the member or'eni'ployee.
Would be required`to, report the receipt of income Or.gifts, from that source on his,or her - statement
- 'of °economid 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 Government Code 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 Government Code section 89506.
(8.1) Section 8.1 Prohibition on Receipt of Gifts in Excess of `$340.
0
(A) No member -of`a state board or commission, and no designated employee of'a stateor local
govemmenta,gency,, shall accept gifts with a'total value of more $340 in a year . '
from any single source, if the,member or employee .would be required to r"eport'the receipt
income lorgiftsfrom that source on his or herstatement,of economic interests This °section shall
not apply to any'�parttime member of the govern ing board of any public institution of higher
education, unless the. member is also an elected official.
Subdivisions (e), (f), and (g) of Government Qode section 89503; shall apply'to the peohibitions' n
this section:
(8.2) Section 8.2. Loans to Public Officials..
,(A) No officer of a state or local govern mentagency shall, from the date of his orher
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election to office through the date that he or she vacates office, receive a personal loan from any
officer, ern ployee, :member, orconsulta.nt 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 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 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 i6ans m ade by banks or other financials institutions or to any
indebtedness p t ent or credit card transaction, if the loan is made
orth nd btd ess the'rlender's egular 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 , 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' notapply`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 madb.or the ind'ebtednes "s created in the lender`s regular
course of business on terms- availableto members of'the public without regard to the elected
officer's official statusjhis subdivision, shall notapply 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- indbw, nephew,, niece; aunt, ur cle,' 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 83. "Loan Terms.
(A) Except.as set forth in sub:diuision (B), no elected officer of a.state or local government agency
shall, from the date of his or, her election to office through the'dbte he. or she vacates office,
receive a personal loan of five hundred dollars ($500) or more, except when the loan is In writing
and clearly states the'termsr`of the loan, including the parties'to the loan agreement, date of the
loan, amount'of�the loan, term W 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.
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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.
(G) Nothing in this section shall exempt any person from.,any other provision of Title 9 of fhe
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 becorhe ,gift to the designated employee for the purposes of this section in the following
circumstances:'
1. If the'loan hasp 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 elapsed from the
later of the following:,
a. The date the loan was made.
b. The date the last payment of one hundred dollars ($1.00) or more was made on the Loan. .
c. The date upon wh,ich,the..debtor has made payments on the aggregating to Less than two
,hundred fifty dollars ($250) during the previous 12 months.
(B) This section shall not apply to the.following types of loans:
1. A loan rnade 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'hasthe burden of proving that the. decision for not 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 orshe; knows
or has reason to know will have a reasonably foreseeable material financial effect, distinguishable.
0
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 whichlthe designated employee has a direct or indirect investment
worth two thousand dollars.($2 ,'000)' or more;
(B) Any real property'in which the d'es has a dir,,ect or indirect interest worth two
thousand. dollars ($2,000) or more;
(C) Any source of income, other than.giftsaancl other than loans by a commercial lending
institution in the regular course ofbusiness on terms available1P the publicwithout regard to
official status, aggregating °five hundred dollars, ($500) or'rnore, in value provided to, received by
or promised to the designated employee within `12 months prior the time when the decision is
made;
(D) Any business; entity in which the designated employee isz a directory officer, partner, trustee,
employee, or holds any position of` man agement;.or
(E) Any donor of„ or'any intermediary or agent for a donor of; a gift or gifts aggregating $340 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,pre,vented from making or participating in the making of any
decision to the extent his or he participation is legally: required for tte- 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 ofAhis section.
(9.5) Section 9.5.. Disqualification of,State Officers and Employees.
In ll i r
P p n l ma k ng g tion no state administrative official
shall make, artic ate P
disqualification
use, his or he provisions
al position to influence any governmental
decision directly relating to any cont'ract 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 investmento "r interest in -real property; or,
(B) Engagedi 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 one thousand dollars
($1,000), or more.
(10) Section 1'0. Disclosure of Disqualifying Interest.
Whe d _ ignated;empIoyee 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 maybe
accompanie_ d;by disclosure'of;the disqualifying interest.
Section 11. Assistance of the Gornmission and Counsel.
Any designated employee unsure of his or her duties under this code may request
assistance, from the Fair Political Practices Commission pursuant to dovernment Code section
83114 or from the attorney for his or her agency, provided that nothing in this section requires the
attorney for the to issue any formal or informal opinion.
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(11) Section,12. Violations. •
This code has: the. force and effect of law. D'esi'gnated employees violating any provision of this
code are subject to the administrative, criminal' and civil sanctions provided in the Political Reform
Act, Government;Code , 81000 91'015. In addition, a decision in relation to which a
violation of the disqualification provisions of this code o,r of Government Code section '87100 or
87450 has occurred may be set aside asvoid pursuant to Government Cod de section 9f003.
NOTE:, Authority'cited: Section 83112, Government Code. Reference: Sections 87103(e), 87300
8 j 89502 and,89503, Government Code.
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, snay:expand
theirstatement economic interests'fo cove' reportable interests in both jurisdictions, and file
copies;of this expanded statement:with both entities. in lieu of filing separate and distinct
statements, provided that each copy of such expanded statement filed in place of. an original is
signed and "verified by the designated employee as if it were an original. See Government Code
section 81'004.
2 `See Government Code section 81010 and 2 1CaL Code of Regs. ,section 18115 for the duties of
filing officerss and persons in +agencies who make and .retain copies of statements,and forward the
originals fothe rfili ng .officer.
For the purpose of disclosure only (no tdisqualification ), >an.interest in real property does not
include the principal residence of the filer.
4 Investments and interests in real property which have a fair m.arketvalue 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 jindividual include those held bythe .
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 ortrust in which the individual,'spouse >.and
dependent children,! own' in the!'aggregate, a direct, indirect.or interest of fO percent. or
greater.
5A 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.
s ' Income of;a business entity is reportable if the direct,';indirect or beneficial interest of.the -filer
and filer's spouse.inthe business entity,aggregates TO percent or greater interest. In
addition, the ( dissclosure of persons who are clients br!customers of. a business entity is required
only if'the clients or customers are within one of the disclosure: categories of the filer.
History
1. New section filed 4 -2 -80 as.an emergency; upon filing. Certificate of Compliance
included.
2. Amendment of subsection (b) filed 1 -9 -81„ effective _30 days thereafter.
3- Amendment of subsection (b)(7)(R)1. filed 1-26 effective. 30 days thereafter
4. Amendment of subsection (b)(7)(A) filed 11-10 -83 effective.:30 days thereafter.
5. Amendment filed 4 -13 -87 effective, 5= 13 =87.
6. Amendment of subsection (b)•filed 10 =21- ,'effective 11- 20 -88.
7. Amendment of subsections (b)(8,)(A)and (b)(8 )(b) and "numerous editorial changes filed 8 -28-
90; effective 9- 27 -90.
:
8. Amendment of subsections (b)(3), (b)(8) and renumbering of following subsections and
amendment of NOTE filed 8 -7 -92; effective 9 -7 -92.
9. Afriendrment filed 2 -4 -93; :effective upon filing.
10. Change without regulatory effect adopting COIGfor California Mental Health Planning
Council filed 11- 22 =93. Approved by FPPC 9- 21 -93
11. Change without regulatory effect redesignating COIC for California Mental Health Planning
Council filed 1 -4 -94.
12. Amendment filed and effective 3- 14 -95.
13. Amendment filed and effective 10- 23 -96.
14. Amendment filed', and effective 4 -9 -97.
15. Amendment filed and effective 8- 24 -98.
16. Amendment-filed and effective.5- 11 -99.
17. Amendment filed' 12 6 -2000; effective 1- 1- 2001_.,
1.8. Amendi 1-10- 2001; effective 2 -1- 2001
19. Amendment filed,and effective 2 -13- 2001,.
20. Amendment filed 1- 16 -03; effective 1- 01.03.
•
9
'
. .
, Titles/Positions
Persona@����e� ub.m of Econornic �Interests � - ��n�� � |�|sc]osune Categ `
APPENDIX "A"
` �`� � ' '�^ `.
� �.^ ` '� ` ddt6
Elected and AmpVointed,Officia|s '
Public Officials
Mayor....................... ................ =.................................................... ....................................................
l
CityCouncil Members ...................................................... .........
l
CityAttorney .................................. .....................................................
l
CityClerk ................................ ...... .......................... ...........................................................................
Y
CityManager ............................................................ ................... *-.
^
l
Appointed Officials '
�
AirportCommissioner .............. .................................................... ....................................................
l
Animal Services Advisory Committee Member .........................................................................
l
Building Board Of Appeals Mernber—^--_—_—
l
Historical and Cultural Preservat Committee Menlbers� .----.--.—'---------
l
Pedestrian and Bicycle Advisory Committee Member .......................... ...................................
l
Personnel Board Members . ............... '.......... ...................................... .......................................
l
�
Petaluma Community Development Commission (Same os City Council) �----.--.—
l
Planning Commiss ANembers-.' .................................................................................................. �
l
Recreation, Music and Parks Commissioners ....................................................................... ......
l
Site Plan and Anc Board Members ........... ._...__-------------
l
Tn*eA�vb�cy��onlrn�tee.k%ernbeo ................................................... . ........... ...................
l
YouMh ����o
(�orn nk�ero�e�'`-..^_------'^---�__--.—.------------
]
Designated EnlpNQyees
Admin|strative'sen/|cewDepartnmenf
Accountant................................ ......................................... .......................................................
2
AccountantAnalyst ................................................................. ............ ........... ...............
2
AccountinQMung0er ............................... . ...................................................................................
2
AirportManager ...............................................................................................................................
2
Budget; Grants dnd ��anogec—...----. _...,,_=^.-_-------_—.-----.
l
Conlrnerok�. /� �Manager ................................................................. ................. ...................
2
Finance Director ............................................................ '........ .
l
Finance Office Assisto'nt|L--_--'----'.-= .......................................................
5
�
General Services Office Assistant U...........................................................
5
HumanResources Analyst . ............................................... .............................................................
5
� � '
. - . �
, _ _ . _ Cse�y
S'enabze$ Departmen ' cmmfinued -
Human Resources Technician .... ....................................................................................................
5
�
Information Systems Analyst ............... . ....... -----._2
hlfUrn1ofkonSystems Manager ......................... ..................... ........................................................
2
Information Systems Technician .................
RiskMbnoger .................................................................................................................................
5
City e
�
Assbtant(�NvAMorney--.----......................................... ........................................................
2
CitwC|erk,s Office �
. Deputy City Clerk . .............. ...................................................................................... .=..................
3
--
Cx�»nandoerw�ff/c e
�
AnimalServices, Manager ....................................................................................... ,=,,":"..........
2
1, A �k��M�[ ---------___—._^,_____________________,.......
DirecMjrof General Plan Administration ...................................................... ....... ..........
1'5
' A��\�xnL
c^��uxv� '=..----------------.---------..---...-----.—
1'5
� Community Development Department
Assistant n�V cn�nfB�e�tor--------.----'_—^.—'-----^-
l
AssistantPlanner ............................................ ...... ............................................................. ............
te{�vU F�o�
*��»c/� Engineer ............................................................................ ............................
4,5
Associate Planheir ............................................... ....... ......................................... .............................
4'5
Building Inspector |'U ............................................................................................... .................. _—
4,5
,City Engineer ---'--_----_',_—._---_-----------------.,.--^^
T
- Enforcement Officer: ........................
4,5
ConlnnVnity nTent Director ................................................. ............................................
1'5
phkc. Information Syxhons,&4onager.................................................................................
2
Geographic Information Systems Technician 1/11 ........................................................................
7
HousingAdm ......................................... ........................................................... =...........
]
�
� Inspection Supervisor ----------------------------.—..'--------.
4^5
Permit Processing Technician ----'.—_.',_—^'-------------._--.`___'..
2.
Planning k ............................................................. ...........................................................
A,5
pkans,B\arnin 'Chief Building (lfficiai`------.-----~_---.------,
4^5
Public 0Vo,k"| `
�._.. rupecrgr—_—~=--_'_._,'—^—'—^--------------=-._—.--..
2
Senior Building Inspector ......................................... ...... '.....
4,5
Senior Planner ...................................... ................................................................................................
4,5
'
Economic Development -and Mt �
� Di of Development. and Redeve|opment—^-.'--^--,'—^------..
l
Fire Department �
BofbahonChief ...................................................................................................... �_^_----_—.
2
- '
'' - ' . Cg ory
' Fire
�
'
Fire Chief
Fire Marshal ' ^ ..... ............ ---------------------------^-'-------''--��
`
Parks and Re�rea �on0 �
Parks and Landscape Manager ............
l
Parks and Recreation Director ..................................... ---------------------'
l
Park Maintenance Lead Worker . .................................... ...............................................................
5
�
RecreationCOordihafor.............................................................. ................................................
2
�
Police Department �
PoliceChief ................................................................................. ........................................................
l
Police-Captain ... ---�.�--------------_------+-----~--------_.
l
PoliceLieutenant ..............................................................................................................................
l
�
Police Sergeanf ................. ............ ............ .............. ........... ........................................................
l
PoliceOfficer ........................
2
Public Safety Communications, Mapager.----
P k� '
u iC Safety Pr��,�t kd�Hog�r---.--.-'=-----'-----------.
5
Public SafetvTrohlin /\nolyst------------------------------.
2
,
Public FmcNtle$m S&yicei Department
Grants and Project Manager ---_-----._.------------------'
l
BuUdhno nc,ei.......... ....................................... .................................................
2
' ....................................................
Director ............................................................................ ...............
I
�
� Project kdmnager-_-__.= ._ _-_-----_-------------.`----------
`
l
Traffic Engineer .............. --~"="....................................................................................................
l
.VVater Resources and Conservation Department
Director ................................. ....................................................... ......................................................
l
Engineering � /�anoger--------.�-----'-----='=--------_--.-.--..
� ,
l
'Utility Manager .......................................................................................................................................
|
UtilitySupervisor ...................... ,=='................................. ......... ........................................................
|
� U
/�dinYenanceond Operations Supervisor ..........................................................................
*a ^'
l
Consultants* ........ ............... ......................................................................
l
contract shall require a particular consultant
h} file O5katenlentof� Economic. |nt&rests if the awarding authority finds that a consultant will:
"
A. to:
l-
' a "rate, rule or regulation.
2. Adopt 'crenhorce amka.
3. Issue, deny,- suspend or revoke any permit, license, application, certificate,
approval, order or similar authorization o r entitlement,
type of contract that requires City modify or .renew a contract, provided it is the
4. Authorize the, City to enter
5. Grant City approvaf to a contract requiring ;such ,aporbval Arid to which the City
is party,or the specificationstor 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 :t;he' City or for any
subdivision thereof.
B. Serve, in -d' °staff capacity with the City and in that capacity perform the same or
substantially all of the same dutiet'for the City that would otherwise be. performed by an
individual holding a positions
pecified in the City's Conflict of Interest Code
•
•
CITY OF,PETALUMA, CALIFORNIA
Conflict Of Interest Code
Appendix "B"
Disclosure Categories
Category 1
All designated employees in fihis 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 Fonn 700 Statement of Economic
Interests Fonn
Income - C, D, E, F
Interests in Real Property - B
Investments - A -1, A -2
Business Positions - C
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 emplovees in this cateWry must complete the followirisz schedules on the Form 700 Statement of
Economic Interests Form
Income - D
Investments - A -1, A -2
Business Positions - C
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 : entiti_es' which provide services; supplies materials, . machi n nery 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
Income= D
Investments A -1, A -2
Business Positions - C
Schedule ;B. does not apply to your-disclosure category.
Category 4
All designated' em lo_ 'es in this category shall disclose all investments s ness os ti ns n sources
P Y g rY , bu _ _. p o and so. ces
of income- from .business entities, and interests yin real property, which 'are subject 'to thel regulatory,
permit or licensing authority of the City of Petaluma, or which may receive grants from the City of
Petaluma:. ;
All :employees in this category must complete all schedules on the Form 700 Statement of Economic
Interests Form
Income - C D, .E, F
Interests in Real Property -- B
Investments - A -11, A =2
Business Positions:- C
Category 5
All designated employees .M 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::Stiatement of < Economic
Interests Form
Income - C D, E; F
Interests in Real Property - B
Investments.- A -1, A -2
Business Positions - C
Resolution No. 2002 -193 N.C.S.
of the City of Petaluma, California
RESOLUTION OF THE CITY OF PETALUMA
A.DOPTING CONFLICT'OFINTERES.T CODE
FOR PUBLIC OFFICIALS AND DESIGNATED EMPLOYEES
AS REQUIRED BY THE POLITICAL REFORM ACT
AND OF THE FAIR POLITICAL PRACTICES COMMISSION
AND REPEALING RESOLUTION 2000 -190 N.C.S.
WHEREAS, the ,State of California has adopted California Code of Regulations Title 2, Division
6, Section 18730 — Provisions for .Conflict of Interest Code; and',
WHEREAS, Government Code Section 87300 and related, regulations allow local municipalities to
adopt the State Conflict of Interest Code, as amended from time to time, by reference.
NOW, THEREFORE, the Council of the City of Petaluma does -resolve as follows:
SECTION 1. Resolution No. 2000 -190 N.C.S. is hereby repealed.
SECTION 2. The Conflict of Interest Code for the City ,of Petaluma is hereby adopted as
follows:
. CONFLICT OF INTEREST CODE FOR THE CITY OF PETALUMA
The Political Reform Act, Government 'Code; Section 8,1000 et seq. requires State and local government
agencies to adopt and promulgate Conflict of Interest Codes. The Fair Political Practices Commission has
adopted a regulation (2 California Code, of Regulations. Section 18730:), which contains the terms of a
standard Conflict of Interest Code. It can be ncorporated'by'reference and after public notice and hearing it
may be amended by the Fair Political Pfacti'ces Commission to corform to amendments in the Political
Reform Act. Therefore, the terms of California Code of Regulations Section 18730 and any amendments to
it duly adopted by the Fair. Political Practices Commission are 'hereby incorporated by .reference. This
resolution, the attached code, and Appendices "A" and "B" shall, constitute the Conflict of Interest Code of
the City of Petaluma.
Under the,power. and autliority conferred upon thisCouncil',by the :Charter of said City.
REFERENCE: I hereby,ce'rtify the foregoing Resolution was introduced and adopted by`the Approved as to
Council of the :City of Petaluma at a (Regular) (Adjourned) (Special) meeting form
on the ::... .1.611......... day of .......P901i?j?4r.... ....... 20.02, by the
. ..............
following vote: ...... f ,! .1.
Cite Attorney
AYES: CaderJhompson, vice Ma y Healy, Maguire, O'Brien, Mayor Thompson, Torliatt
N OES: None
ASSENT: Moy han
C.
ATTEST:....... .... ........... ....... ...............::.... .: ...............................
City.Clerk Mayor
Council File ..................... :.......
:.....
'Res. No. .......2QQ2r.193........N.C.S.
California Code of "Regulations
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 constituteAhe adoption and promulgation of a. of interest code within the
meaning of Government Code 'section 87300 or the amendment of a conflict of interest
code within the meaning of Government Code section 87306 if - the terms of this
regulation are substituted for terms of a conflict of interest 'code already in effect. Anode
so amended or adopted" and promulgated requires the reporting of 'reportable items in a
manner substantially equivalent to the requirements- of articlei '2 of chapter 7 of the
Political Reform Act, Government Code sections 81000, e"t, 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 Government
Code section 87100, and °to other state or local laws pertaining to conflicts of interest.
(b) The terms of a conflict jof 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 (2 Cal. Code of Regs. sections
18100, 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
financial interests.
(3) Section 3. Disclosure Categories. This code does not establish any disclosure
.obligation for those designated employees who are also specified in .Government Code
section 87200 if they are designated in this code in that same capacity or if the
geographical jurisdiction of this agency is the same' as or is wholly included within the
jurisdiction in which those ,persons must report their financial interests pursuant to article
2 of chapter 7 of the Political Reform Act, Government Code sections 87200 et seq. 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 i's "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 same as that required
under article 2 of chapter 7 of the Political Reform Act, Government'Code section 87200;
and
Resolution 2002 -193 N.C.S. Page 2
(C) The filing officer is the same .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 financial
interests are reportable. Such a designated" employee, shall disclose in his or1er statement
of economic interests those financial interests he or she has which are of the kind
described in the disclosure categoriess to which he ,or she is assigned in the, Appendix. It
has been determined that •the financial interests set forth in a.. designated employee's
disclosure categories are. the kinds of.financial interests which he or she forese_eably 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.reviewin'g body in the agency's conflict -of interest code.
(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.
J (C) Annual Statements. All designated employees shah file statements no dater than April
1.
(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 Por 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 bf -fice 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 1'eaving 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
Resolution2002 =193 N.C.S. Page3
(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,
in the making, or use the position to influence an decision of the agency participate g P Y g Y or
receive, or become entitled to 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,: property and business positions. held 'on the effective date of
the code and income received, during the12 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�heing 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:
(D) Contentg 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) Investments and' Real Property Disclosure. When an investment or an interest in real
:property is required'to be reported,' 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
exceeds two thousand dollars ($2,000) exceeds ten'thousand dollars ($10,000), exceeds
one hundred thousand dollars ($100,000), or exceeds one-million dollars ($1,000,000).
.Resolution 2002 -193 N.C.S. Page 4
(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, five hundred dollars
($500) or more. in value, or fifty dollars ($50) or more in value the income was a gift,
and a general description of the business activity, if ,any, of each source;
2.,A statement w hether :the aggregate value of income from each source, or in the case of
a loan, the highest amount owed to each source, 'was one thousand dollars ($1,000) or
less, greater than one thousand dollars ($,1,000), greater than ten thousand dollars
($10;000) or greater than one hundred thousand dollars- ($`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;.Ihe amount or
value of the gift; and'the date on which the gift was received;
5. In the case of aloan, 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, the statementshall 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 from such person was equal to or greater than ten
thousand dollars ($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 an
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 commission, and no. designated employee of a state or,
local governmenft agency shall accept any honorarium from any source, if the member or
Resolution 2002 -193 N,:C.S. Page 5
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 Government Code
section 89501 shall apply to prohibitions in this - section.
This section shall not'lirrii -or prohibit payments,, advances, or reimbursements for travel
and related lodging and subsistence authorized by Government Code section 89506.
(8.1) Section 8.1 Prohibition_ oniReceipt of Gifts in.Excess of $320.
(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 $320 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 (a) of Government Code 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 nor over whi'ch 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,
whi lo he o rnt of the s office, receive a personal loan from any officer, employee, member,
or 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.
.Resolution 2002 -193 N.C.S. Page 6
(D) No public official who is exempt from the state: civil service system pursuant to
ubdivisions (c), (d),. (e), (f), and (CO 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 whose duties solely
secretarial, clerical, ormanual.
(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 =, 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.
. Loans made, or:offered in writing: 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 agencyshall, from the dateo of his. or her election to office through the date he
or she vacates office, receive a personal loan of'five hundred dollars ($500); or more,
except when the loan is .in writing and clearly .states the terms of he 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 conunittee 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, nor the spouse of any such person, provided that the person
Resolution 2002 -193 N.C.S. Page:7
making the loan i not acting as an agent or intermediary `for any person not otherwise
exempted under thi's section.
3. Loans made, or offered in writing; before January 1, 1998.
(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 one hundred dollars ($100) or more was made on the
loan.
c. The date upon which the debtor has made payments-on, the loan °aggregating to less
than two hundred fifty dollars ,($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 subd (A), but on which
the creditor, based on reasonable business considerations, has not undertaken collection
action. Except 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 tatting
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.
Resolution 2002 -193 N.C.S: Page 8
(C) Nothing in this section shall exempt any person from any other provisions of Title 9
of the Government. Code.
(9) Section. 9. Disqualificati=on: No designated employee shall: make., participate 'in
making, or in any, way attempt to use his or her official .position to influence the malting
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 za direct or indirect
investment, worth, two thousand dollars ($2;000) or':more;
(B) Any real property in which the desi'gnated' employee has a direct or' indirect, interest
worth :two .thousand dollars ($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 on terms available to the public without
regard, official status,., aggregating' five hundred dollars ($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;
(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 br gifts aggregating
$320 or more provided to; received. by, or" promised to the designated employee within 12
months prior to the time when the decision is made.,
(91) 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 participaf on: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 maker lus
or her participation legally required for purposes of this section.
(9.5). Section 9.5. Disqualification of State Officers arid. Employees. In addition to the
general disqualification 'provisions of section 9 no state administrative ; official - shall.
make, participate in malting, 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 ',adniinistrative off'ici'al, 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
Resolution 2002 -193 N.C.S. Page, 9
(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 one thousand
dollars ($1,000) or more.
(10) Section 10. Disclosure, of Disqualifying Interest. When a designated employee
determines that he or„ shei 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.
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: Ito. Government Code section 831.14 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.
(11) 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, Government Code sections
81000 - 91015. In addition, a decision in relation to which a violation of the
disqualification provisions of this code or of Government Code section 87100 or 87450
has occurred maybe set aside;as void pursuant to GovernmentCode section 91.003.
ENDNOTES
1. 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 filing
separate and distinct statements, provided that each copy. such expanded statement
filed in place of an original is signed and verified by the designated employee as if it
were an original. See Government Code section 81004.
2. See Government Code section. 810;10 and 2 Cal. Code of Regs. section 18115 for the
duties of filing officers and persons in agencies who make and retain copies of statements
and forward the, originals to the filing officer.
3. For 'the 'purpose of disclosure only (not disqualification), an 'interest in real property
does not include 'the principal residence of the filer.
4. 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 ind'ividual'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.
Resolution 2002 -193 N.C.S. Page 10
5, 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.
6. Income Hof 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.
02/01/0'1
•
Resolution 2002 -193 N.C.S.
-
^ ' CITY OF PETALUMA, CALIFORNIA,
Conflict of Interest Code
Appendix � '
'
Of
P ersons to Submit of Economic Interests
R ^
. � And Disclosure Categories
Elected and Appointed Officials
'
Title/Position Category
Publ Offi
Mayor .............. ~--^...�.-.^.-..-~---,.._-.. }
City Council Members .......... ...................................................... ..........................
}
City Attorney ................................................. `^+—"'=-_^°,-� .....................................
l
` Cit»Clerk ........................ ----.—.-----.—..—,_,,-,_-_-_—.__........
l
City Manager ................ ........................................ .- . ................................................
}
,
Appoii Officials
'
}
Animal Services Advisory Com1ru Members l
' Board of ............................. l
' tbutoncadand Cultural Preservation '[omzoittee Members ........... l
` P and Bicycle Advisory Committee Members ............................. l
Personnel Board Members ... ...................... ........ .,-',_, .......... �................................... l
- Petaluma Community Development Commission (Same as City Council) ............ l
-'-_'_....................................... l`
-=--__-_- --� _ -- --_- `.-..--`,-,
Mu sic and Parks Commissioners ,'—.�'=-........................................... l
' and . .............................................. l
Tree Advisory Committee Members, ... ......... .......... ............... ................................ l
Youth _+_---'_—_.—_ ....................................... l
- `
DeuignauedEmpuoye6m
City Attorney's Office
Assistant ................................... l
City 'Office
City - .......................... _+....... ............................................ 3
�
�
'
Resolution 2OO2,lA3N.C.S. Page l2
*
� . `
CITY ----__-_., -_-_----_---
K`m�
�
- . _~�t Code
Appendix �9
9
,
City, Manager's Office
Gitewy
A ssistant City Manu�c�_.-"_-'_--_.'.--~-----^_---.--`==''~`},��
Uƒ General Plan --_._—.------.---,-._-._`,l,5
Executive Assistant ^'_-----'~-..._^^-',`.,' .................................... ' ........... 1
Information ................................................ ............
2'
G eographic Information Systems L_- ....................................... ,'..... 2
Information Systems Manager..... ... ........... = ............................................................. 2
Information.:Svst ems +""^z=` '�2
Director of Economic Development and Redevelopment .............................. 1,5,
--``''=--=--^----^'^^'^'-''—+`,.--`.- `-.
Community Development
A ssistant Planner ............. '_`.-.-----.--.-.--'---------.---.-.-... 4
Assistant ' iv8 Engineer .`_-._-_._^.__,~._____^_____'...,=_
A ssociate, Civil ............... ~-=-...... ``==.----.--^+..`�.---.-
�c ...................... 4,5
�
' _-._----^----^-_--.----^^_..--.-.°+`--`-.'-.. 4,5
. Chief BuildinOfficial ^-^_---'_`..----.....-----.-.--�---------'4 '
' 1-� w�N�
Commun De Di --------.-.---'--_..--°-`--.-^---,-
Permit.Processing Technician - _" ................
........................................................ 2
--.---.---.------.-.-----------. '' ��
. P lanni ng _--__ ---_.-= I,� _
� Plannina Technician ............................................................................................. 4
... ...................................... ^-------.----_^...-'^-.--45
� Principal Planner ' - .............................. ........................................... ,,......... ...... 4
PublicWorks, inspector .-------- ........................................................................ 2 '
Finance Departibent
S ernor Accountant ................................................. ..................................... --2
Buyer ............................................ 2
Controller ................................................... ...................... ...................................... }
Director .----'---'-----'--_-----_._----.---_.-.-----.l
Risk Manager ���.�..,���.��^�`��.�..^.......^^................^.........^............^. 5
_
Resolutiori 2002-193 N.C.S. Page 13
CITY OF PETALUMA, CAL IFORNIA
�
� . C of
"A '
Appendix ^�
T itle/Position
Fire Department �
Batt4l Chief -==- ........... -. .... ....................................................................... 2
'B -,--..--.= .
-�
Fire Chief . ........
........................................................................................................
l
�
Fire Marshal ....................... ........................................................................................ l
Housing
Housing ..��-."..-.-�--.----~---_-~------_--_. ......... l
Human Resources
Analyst ---.==�-___—.—..-------,,—�...�=`-^-�-':`--..._-._.5
Director _ ........................ ....... =_=,—==.......... .................. l
Personnel Technician .............................................................................. 5
Parks and Recreation
. `
^ . '
. - '^ ' ..............................
~~~^.^~�.'^--. -_.`-._- ' ----'.,^.' ---.. `.^ -- . 2
Director . ........... .
�.=.=.='�-_-_,--,'"��..-----'-_'�---_----�------..l
Park d Worker . .......................
.
Po Dep
Police Chief ........................... -........................................ ....... ...................................... I
'h-_ ............ ==........ ........... '................ .................... --.----..l
'Police Lieutenant ._.--=-..^`-'-..---.-------.. ; ......................................... l
-_.-_--_.-,__,'.-..--._'_-._-..`_-'l
......................... ........................ . .. ....................................... 2
Public Safety Tkaining/Grants Analyst -^'-''.-`- ................................. ` ................. 2
. ........................................................... 5
Services
5 Facilities and
Public
� A i rport --.---.------_^-'-----',---.-.-
Animal Servi es Manager `----.-~.,---............................................ 2
B oiding Maintenance Supervisor ---.-----._-.
---..--..—...-..._
_ Ma nag er
Resolution 2002-193 N.C.S. Page 14
CITY OF PETALUMA, CALIFORNIA
Con flict flict of Interest Code
n
Appendix "All
1 Civil Engineer ..................................................................................... I
Superv.IS',ng , 1_.;
Traffic Engineer ...................................
Engineer ..............................................................
Water ikesour I ces and Conservation
Director....... i. ....................................................... ........................................................
jieeri ng, Manager ............................................................................... ................ ;
Titility Manager ..................... .....................
............................................................
UtilitySupervisor .............................................................................. ..................
Utility Maintenance and Operations Supervisor; up-ervisor ................................................ ......
*The -award' i'mr authority of a particular consultant contract shall, require: a panticular consultant to
file a Statement :of Economic Interests if the awarding authority finds that a consultant will;
A. Make a decision to:,
1. Ap
prove 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. Grunt Cit y approval to a contract. mquiring'such approval `and :to which the City is
party or approval to the specifications for such a contract.
6. Grant City ap ign, ir nu term.
approval to a plan, des' _,port, study or similar
7. Adopt orb ant 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 fot City that would otherwise be; performed by an
individual holding a position SDecifiedin the City's Conflict of Interest. Code.
0
.Resolution 2002-193 N.C.S. Page l 15
•
•
CITY OF P'ETALUMA, CALIFORNIA
Conflict Of Interest Code
Appendix "B"
Disclosure 'Categories
Category 1
All designated employees in this category shall disclose gall .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
Income - C, D, E, F
Interests in Real Property - B
Investments - A -1, A -2
Business Positions - C
Cateaory 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 com lete the. following P
' p g� schedules on the Form 700 Statement of
Economic Interests 'Form
Income - D
Investments - A -1, A -2
Business Positions C
Schedule B does not apply to vour disclosure category.
Cateeory 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 bythe designated employee's department or. division.
All employee't in this cateory must complete the :followint schedules on the Form 700 Statement of
Economic Interests Form
Income - D
Investments: A -1; A -2
Business Positions - C
Schedule B does not apply to your disclosure category.
Resolution 2002 -193 N.C.S.
Page 16
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.
All, employees in this - .category must complete all; =schedul on the Form 700 Statement .of Economic
- Interests Form
Income - C, D, E, F
Interests'in. Real Property - B
Investments -A -1, A -2
Business Positions - C
Category 5
All designated employees in this category shall disclose all investrrients, business position 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
Income -'C, p, E, F
Interests in Real Property B
Investments - A -1, A -2
Business Positions - C
Resolution 2002 -1 -93 - N.C.S. Page 17