HomeMy WebLinkAboutStaff Report 4.A 09/24/2012 Ag-onxicuitemli #4.A
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DATE: September 24, 2012
TO: Honorable Mayor and Members of the City Council through City Manager
FROM: Claire Cooper, City Clerk 6)
SUBJECT: Resolution Repealing the City of Petaluma's Present Conflict of Interest
Code (Resolution No. 2010-165 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 (Attachment 1) Resolution Repealing
its Present Conflict of Interest Code (Resolution No. 2010-165 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.. _
BACKGROUND:
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 2010.
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 Economic
Interest. 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 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. 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 2012-2013 Budget. This document also reflects changes in titles for various
positions and has deleted those positions that were eliminated with adoption of the City's budget.
Agenda Revie City Attorney
) Finance Director City Manager
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:
1. Resolution of the City Council of the City of Petaluma, Repealing Its Present Conflict of
Interest Code (Resolution No. 2010-165 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 (2010) schedule)
• Exhibit C: Explanation of Disclosure Categories
1964277.1
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ATTACHMENT 1
Resolution No. 2012-XXX N.C.S.
of the City of Petaluma, California
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF PETALUMA,
REPEALING ITS PRESENT CONFLICT OF INTEREST CODE
(RESOLUTION NO. 2010-165 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 13, 2010, the City Council adopted Resolution 2010-165
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 2010-165 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 of 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.
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Section 2: 2010-165 N.C.S., adopted September 13, 2010 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 Fair 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
Fair Political Practices Commission and supplied by the City Clerk. Statements for all public
officials and designated employees will be retained by the City Clerk.
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 Petaluma at a Regular meeting on the 24th day of September, form:
2012,by the following vote:
City Attorney
AYES:
NOES:
ABSENT:
ABSTAIN:
ATTEST:
City Clerk Mayor
1964057.1
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Exhibit A
California Code of Regulations
Title 2. Administration
Division 6. Fair Political Practices Commission
Chapter 7. Conflicts of Interest
Article 2. Disclosure
§ 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 same 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:
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(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 same as that required under
article 2 of chapter 7 of the Political Reform Act, 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 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?
(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.
(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
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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 property and
business positions held on the effective date of the code and income received during the 12
months prior to the effective date of the code.
(B) Contents 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:
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(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,6 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 from 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
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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$420.
(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$420 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.
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(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:
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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.
(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 on 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.
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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 on 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;
(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$420 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
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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.
(10) 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.
(11) 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 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 Section 81004.
2See Section 81010 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.
3For the purpose of disclosure only (not disqualification), an interest in real property does not
include the principal residence of the filer.
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4Investments 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.
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.
6Income 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).
Certificate 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)(B)1. filed 1-26-83; 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).
8. 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).
14
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 1, section 100, California Code of
Regulations (Register 93, No. 48). Approved by Fair Political Practices Commission 9-21-93.
12. Change without regulatory effect re-designating 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).
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 filed 3-14-95;
operative 3-14-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 11).
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)(8.1)(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 11343.4(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 11343.4(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 11343.4(d) (Register 99,No. 20).
21. Amendment of subsections (b)(8.1)-(b)(8.1)(A) and (b)(9)(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 C010924, California Court of Appeal, Third Appellate District, non-
published decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative
Procedure Act rulemaking requirements) (Register 2001,No. 2).
15
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, non-published 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, non-
published 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)(B) (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)(9)(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 11-10-2005 (Register
2005,No. 41).
29. Amendment of subsections (a), (b)(1), (b)(3), (b)(8.1), (b)(8.1)(A) and (b)(9)(E)filed 12-18-
2006; operative 1-1-2007. Submitted to OAL 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 11-
30-2008. 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,
non-published 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).
31. Amendment of section heading and section filed 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 District, non-
published 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).
16
This database is current through 8/17/12 Register 2012, No. 33
17
Exhibit B
Exhibit B to Resolution 2012-XXX N.C.S.
Titles/Positions of
Persons Required to Submit Statements of Economic Interests
And Disclosure Categories
Positions Covered by Government Code Section 87200
The following positions ore 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 1
Finance Director 1
(Redevelopment Agency Abolished by State as of 2/1/2012) 1
Planning Commission Members 1
Elected and 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
(Committee Abolished Effective 10/21/2009) 4-
Technology Advisory Committee Members 1
(Committee Name Revised 6/6/2011)
Tree Advisory Committee Members 1
Transit Advisory Committee Members 1
Youth Commission Members 1
Designated Employees
Finance Department
Accountant 2
Accountant Analyst 2
Finance and Accounting Manager 2
18
Title/Position - Category
Finance Department, continued
Administrative Technician 5
Commercial Services Manager 2
Accounting Assistant II 5
Accounting Technician 5
Office Assistant II (General Services) 5
Senior Accountant 2
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 (Moved from CDD) 4, 5
Chief Building Official 1
(Position Abolished 9/15/2008; Reallocated Effective 11/14/2011; moved from CDD)
Permit Processing Technician (Moved from CDD) 2
Plans Examiner/Deputy Chief Building Official (Moved from CDD) 4, 5
Senior Building Inspector (Moved from CDD) 4, 5
Economic Development/Redevelopment
Economic Development/Redevelopment Manager 1
(Position Established 12/20/2010)
Housing Division
Housing Administrator(Moved from CDD) 1
Human Resources Division
Human Resources Manager 1
Information Technology/GIS Division
Geographic Information Systems Manager 2
Geographic Information Systems Analyst 2
Information Technology Specialist I, II, Ill 2
Information Technology Manager 2
Programmer Analyst 2
Recreation Services Division
Recreation Supervisor 2
Community Development Department
Assoc-late-Planner 4-5
(Position Abolished 4/13)2009)
guilding4ree4or4-14(Moved to City Manager) 4, 5•• - •-• • e - (Moved to City Manager) 2
• --•- - 5 - - - -•- -• .•- .= • • (Moved to City Manager) 4, 5
Senler-Bull-ding4nspeetor(Moved to City Manager) 4, 5
Fire Department
19
Battalion Chief 2
Battalion Chief/ EMS 2
Fire Chief 1
Fire Marshal 1
Police Department
Police Chief 1
Police Captain 1
Police Lieutenant 1
Police Sergeant 1
Police Officer 2
Public Safety Communications Manager 5
Neighborhood Preservation Coordinator 4,5
2
(Position Abolished 7/31/2012)
Public Works and Utilities Department (Public Works and Water Resources and Conservation Departments
Merged 6/1/2011)
Director of Public Works and Utilities 1
(Position Established 3/7/2011)
Public Works Supervisor(not a new position but should be added) 1
Airport,Transit& Marina Operations Division
Airport Division Manager 2
Transit Manager(not a new position but should be added) 1
Engineering Division
City Engineer 1
Engineering Manager 1
(Position Abolished 3/11/2011)
Division Manager 1
Project Manager 1
Senior Civil Engineer 1
Senior Planner 4, 5
Traffic Engineer 1
Traffic Manager 1
Inspection Services
Inspection Supervisor 4, 5
Public Works Inspector 2
Budget, Grants and Project Manager 1
Parks, Facilities & Landscape Maintenance Division
Parks and Landscape Manager 1
Park Maintenance Fore Worker 5
Water Resources and Conservation Department Division
�
(Position Abolished 3/11/2011)
Water Field Office
Engineering Manager 1
Senior Civil Engineer 1
20
Category
Associate Civil Engineer 4, 5
Utilities Operation and Maintenance
Utility Manager 1
Utility Supervisor 1
Ellis Creek Water Recycling Facility
Water Recycling Plant Operations Supervisor 1
Environmental Compliance Inspector 4,5
Environmental Services Supervisor 1
Senior-Environmental-Chemist 4.
(Position Abolished 12/20/2010)
Senior Laboratory Analyst 1
Position Established 12/20 2010
Consultants* 1
*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.
21
Exhibit C
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.
22
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
23