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HomeMy WebLinkAboutMINUTES - 01072003 - C123-C126 TO: Beard of Supervisors CONTRA FROM: Silvana B. Marchesi, County Counsel COSTA By: Mary Ann McNett Mason, Deputy County Counsel f COUNTY A DATE: December 11, 2002 SUBJECT: Conflict of Interest Code of the East County Transportation Improvement Authority SPECIFIC REQUEST(S)OR RECOMMENDATION(S)&BACKGROUND AND JUSTIFICATION RECOMMENDATION(S): Approve amendments to the East County Transportation Improvement Authority Conflict of Interest Code to substitute the attached as said code, as shown on the attached Board Carder from the Authority. BACKGROUND/REASON(S) FOR RECOMMENDATION(Sl The East County Transportation Improvement Authority has amended its code and submitted the amended code to the Board for approval pursuant to Government Code section 87306 and 87306.5. CONTINUED ON ATTACHMENT: SIGNATURE: M014,ft— RECOMMENDATION OF COUNTY ADMINISTRATOR ,„RECOMMENDATIONOF BOARD COMMITTEE APPROVE OTHER SIGNATURE(S) ACTION OF B �/"ON January 7, 2003 APPROVED AS RECOMMENDED x OTHER VOTE OF SUPERVISORS: I HEREBY CERTIFY THAT THIS IS A x UNANIIvI0US (ABSENTNane TRUE AND CORRECT COPY OF AN AYES: NOES: _ ACTION TAKEN AND ENTERED ABSENT: ABSTAIN: ON THE MINUTES OF THE BOARD OF SUPERVISORS ON THE DATE SHOWN. ATTES'T'ED: January 7, 2003 JOHN SWEETEN, CLERK OF THE BOARD OF SUPERVISORS Contact: County Counsel AND COUNTY ADMINISTRATOR cc: Cleric, Board of Supervisors Lowell Tunison, East County Transportation Improvement Authority BY DEPUTY I:UOANN\ WM'\East Co.TIA bd order.wpd EAST COUNTY TRANSPORTATION IMPROVEMENT AUTHORITY DATE: November 14, 2002 TO: Board of Directors FROM: Lowell Tunison, Staff to the Authority lS SUBJECT: Approval of New Conflict of Interest Code Recommendation: RESCIND existing Conflict of Interest Code and ADOPT new code consistent with the most recent Fair Practices Political Commission model. The Contra Costa County Counsel's Office has requested the Authority rescind the existing conflict of interest code (code) and adopt a new, updated code that reflects the most recent requirements of the Fair Practices Political Commission (FPPC). County Counsel reviewed the existing code adopted by the Authority in February prior to its approval by the County Board of Supervisors, the designated code reviewing body for agencies in Contra Costa County. As part of this review, Counsel strongly recommended that the Authority adopt a new code that incorporated recent changes by the FPPC. The biggest change has been to the list of designated positions within the Authority of people who must complete a statement of economic interest. Consultants under contract with the Authority may also be required to file disclosure statements. Each consultant will be evaluated on an individual basis to determine if they must comply with FPPC disclosure requirements. The provisions of the new code will go into effect 30 days after the County Board of Supervisors approves it. All consultants affected by the change in designated filers will have to file a statement of economic interest before this date. The Board of Directors and staff members are not immediately affected and will file their annual statements _...-when-typically required. The proposed new conflict of interest code is attached. LT.NW:je G,iG pQalalTransEnp120021ECTlAIStsffpapodslStaffReportConfictoftntertrst02.doc ACTION OF BOARD ON { + APPROVED AS RECOMMENDED,`"BOTHER VO�PF DIRECTORS UNANIMOUS{ASSENT } AYES: NOES:. ABSENT: ABSTAIN: I hereby certify that this is a true and correct copy of an action taken and entered on the minutes of the Board of Directors on the date shown. ATTESTED creta Authority By De u CONFLICT OF INTEREST CODE OF THE EAST COUNTY TRANSPORTATION IMPROVEMENT AUTHORITY The Political Reform Act (Gov. Code § 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 Cal. Code of Regs. § 18730), which contains the terms of a standard conflict of interest code. 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 2 California Code of Regulations Section 18730 and any amendments to it duty adopted by the Fair Political Practices commission are hereby incorporated by reference. This regulation and the attached Appendix designating officials and employees and establishing disclosure categories, shall constitute the conflict of interest code of the East County Transportation Improvement Authority. Designated employees shall file their statements with clerk of the Contra Costa County Board of Supervisors who will make the statements available for public inspection and reproduction. (Gov. Code§ 81008.) Statements for all designated employees will be retained by the clerk of the Contra Costa County Board of Supervisors. Regulations of the f=air Political Practices Commission ***THIS DOCUMENT IS CURRENT THROUGH April 18, 2002*** TITLE 2.ADMINISTRATION DIVISION 6. CALIFORNIA CODE OF REGULATIONS 2 CCR 18730 (2002) § 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 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. 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, 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 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 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, 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 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 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 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 foreseeably can affect materially through the conduct of his or her office. (4) Section 4. Statements of Economic Interests: Place of filling. 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 shalt 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. 18730. Provisions of Conflict of Interest Codes Page 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 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 8. 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. (S) 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. (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: § 18730. Provisions of Conflict of Interest Codes Page 2 (A) Investments and Real Property disclosure. When an investment or an interest in real property3 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). (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 more in value, or fifty dollars ($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 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; 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, 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 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 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. § 18730. Provisions of Conflict of Interest Codes Page 3 (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 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 ledging and subsistence authorized by Government Code section 89506. (8.1) Section 8.1 Prohibition on Receipt 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 (g) 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 or over which the elected officer's agency has direction and control (g) 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 Vil of the Constitution shall, while he or she holds office, receive a personal loan from any officer, employee, member, or consultant of the state or local government agency in which the public official holds office or over which the public official's agency has direction and control. This subdivision shall not apply to loans made to a public official whose duties are solely secretarial, clerical, or manual. (C) No elected officer of a state or local government agency shall, from the date of his or her election to office through the date that he or she vacates office, receive a personal loan from any person who has a contract with the state or local government agency to which that elected officer has been elected or over which that elected officer's agency has direction and control. This subdivision shall not apply to loans made by banks or other financial institutions or to any indebtedness created as part of a retail installment or credit card transaction, if the loan is made or the indebtedness created in the lender's regular course of business on terms available to members of the public without regard to the elected officer's official status. (D) No public official who is exempt from the state civil service system pursuant to subdivisions (c), (d), (e), (f), and (g)of Section 4 of Article VII of the Constitution shall, while he or § 18730. Provisions of Conflict of Interest Codes Page 4 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 five hundred dollars ($500) or more, except when the loan is in writing and clearly states the terms of the loan, including the parties to the loan agreement, date of the loan, amount of the loan, term of the loan, date or dates when payments shall be due on the loan and the amount of the payments, and the rate of interest paid on the loan. (B) This section shall not apply to the following types of loans: 1. Loans made to the campaign committee of the elected officer. 2. Loans made to the elected officer by his or her spouse, child, parent, grandparent, grandchild, brother, sister, parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, or first cousin, or the spouse of any such person, provided that the person making the loan is not acting as an agent or intermediary for any person not otherwise exempted under this section. 3. Loans made, or offered in writing, before January 1, 1998. (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: § 18730. Provisions of Conflict of Interest Cosies Page 5 _._.. _. 1. If the loan has a defined date or dates for repayment, when the statuteof 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 subdivision (A), but on which the creditor, based on reasonable business considerations, has not undertaken collection action. Except in a criminal action, a creditor who claims that a loan is not a gift on the basis of this paragraph has the burden of proving that the decision for not taking collection action was based on reasonable business considerations. 5. A loan made to a debtor who has filed for bankruptcy and the loan is ultimately discharged in bankruptcy. (C) Nothing in this section shall exempt any person from any other provisions of Title 9 of the Government Code. (9) Section 9. Disqualification. No designated employee shall make, participate in making, or in any way attempt to use his or her official position to influence the making of any governmental decision which he or she knows or has reason to know will have a reasonably foreseeable material financial effect, distinguishable from its effect on the public generally, on the official or a member of his or her immediate family or on: (A) Any business entity in which the designated employee has a direct or indirect investment worth two thousand dollars ($2,000)or more; (S) Any real property in which the designated 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 to 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; §18730. Provisions of Conflict of Interest Codes Page 6 (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 $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. (9.3) Section 9.3. Legally Required Participation. No designated employee shall be prevented from making or participating in the making of any decision to the extent his or her participation is legally required for the decision to be made. The fact that the vote of a designated employee who is on a voting body is needed to break a tie does not make his or her participation legally required for purposes of this section. (9.5) Section 9.5. Disqualification of State Officers and Employees. In addition to the general disqualification provisions of section 9, no state administrative official shall make, participate in making, or use his or her official position to influence any governmental decision directly relating to any contract where the state administrative official knows or has reason to know that any party to the contract is a person with whom the state administrative official, or any member of his or her immediate family has, within 12 months prior to the time when the official action is to be taken: (A) Engaged in a business transaction or transactions on terms not available to members of the public, regarding any investment or interest in real property; or (B) Engaged in a business transaction or transactions on terms not available to members of the public regarding the rendering of goods or services totaling in value one thousand dollars ($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 Government Code section 83114 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, 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 may be set aside as void pursuant to Government Code section 91003. ------------ § 18730. Provisions of Conflict of Interest Codes Page 7 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 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 81004. 2. See Government Code section 31010 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 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. 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 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, 88502 and 39503, Government Code. 02/01/01 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 9150 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). § 18730. Provisions of Conflict of Interest Codes Page 8 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). 10. Amendment of subsection (b) (5.5) and now 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 Pair Political Practices Commission 9-21-93. 12. Change without regulatory effect redesignating Conflict of Interest Code for California Mental Health Planning Council as chapter 62, section 55100 filed 1-4-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 1). 13. Editorial correction adding History 11 and 12 and deleting duplicate section number(Register 94, No. 17). 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) S., new subsections (b) (8.2) - (b) (8.4) (C) and amendment of Note tiled 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). G:tGrpData\TransEng12 0ZECTIAI Conflict of Interest Cost Section 19730.doc § 18730. Provisions of Conflict of Interest Codes Page 9 EXHIBIT "A" Designated Positions Disclosure Cate Categoo!y (see Exhibit "B") Voting Directors 1,2 Authority Staff Executive Director 1,2 Management/Secretary 1,2 Supervising Civil Engineer 1,2 Senior Civil Engineer 1,2 Staff Engineer 1,2 *Consultants 1,2 or las specified *The Authority may determine in writing that a consultant is hired to perform a range of duties that is limited in scope and thus is not required to comply with disclosure requirements. The written determination is a public record and shall be retained for public inspection. § 18730. Provisions of Conflict of Interest Codes mage 10 _. .... EXHIBIT S' Disclosure Categories 1. Designated Employees in Category "1" must report: (a) All investments, interests in real property, and sources of income, and any business entity in which the employee is a director, officer, partner, trustee, employee, or holds any position of management. These financial interests are reportable only if located within eastern Contra Costa County or if the business entity is doing business or planning to do business in the jurisdiction of the Authority (and such plans are known by the designated employee) or has done business within the jurisdiction of the Authority at any time during the two years prior to the filing of the statement. (b) Investments in any business entity, income from any source and status as a director, officer, partner, trustee, employee, or holder of a position of management in any business entity, which has within the last two years contracted or foreseeably may contract with the Authority or agency members of the Authority, or with any public agency within the jurisdiction of the Authority, to provide services, supplies, materials, machinery or equipment to either party. 2. Designated Employees in Category "2" must report: Investments in any business entity, income from any source, and status as a director, officer, partner, trustee, employee, or holder of a position of management in any business entity, which has within the last two years contracted, or foreseeably may contract, with the Authority or the Authority's member agencies to provide services, supplies, materials, machinery or equipment to the Authority. § 18730. Provisions of Conflict of Interest Codes Page 11 Ila TO: Board of Supervisors CONTRA FROM: Silvano B. Marchesi,County Counsel COSTA By: Mary Ann McNett Mason,Deputy County Counsel COUNTY DATE: December 11, 2402 SUBJECT: Conflict of Interest Code of the East Contra Costa Regional Fee and Financing Authority SPECIFIC REQUEST(S)OR RECOMMENDATION(S)&.BACKGROUND AND JUSTIFICATION RECOMMENDATION(5): Approve amendments to the East Contra Costa Regional Fee and Financing Authority Conflict of Interest Code to substitute the attached as said code, as shown on the attached Board Order from the Authority. BACKGROUND/REASONJSl FOR RECOMMENDATION(S): The East Contra Costa Regional Fee and Financing Authroity has amended its code and submitted the amended code to the Board for approval pursuant to Government Code section 87306 and 87306.5. CONTINUED ON ATTACHMENT: SIGNATURE: RECOMMENDATION OF COUNTY ADMINISTRATOR „RECOMMENDATION OF BOARD COMMITTEE, APPROVE OTHER SIGNATURE(S):} �. ACTION OF B ON January 7, 2003 APPROVED AS RECOMMENDED x OTHER VOTE OF SUPERVISORS: I HEREBY CER'T'IFY THAT THIS IS A x UNANIMOUS (ABSENT one TRUE AND CORRECT COPY OF AN AYES: NOES: ACTION TAKEN AND ENTERED ABSENT: ABSTAIN: ON THE MINUTES OF THE BOARD OF SUPERVISORS ON THE DATE SHOWN. ATTESTED: January 7. 2003 JOHN SWEETEN, CLERK.OF THE BOARD OF SUPERVISORS Contact: County Counsel AND COUNTY ADMINISTRATOR cc: Clerk, Board of Supervisors Lowell Tunison, East Contra Costa Regional Fee&Financing v Authority BY DEPUTY I:UOANNMAKECCReg Fee&Fin.bd ord.wpd EAST CONTRA COSTA REGIONAL FEE AND FINANCING AUTHORITY DATE: November 94, 2002 TO. Board of Directors FROM: Lowell Tunison, Staff to the Authority SUBJECT: Approval of New Conflict of Interest Code Recommendation: RESCIND existing Conflict of Interest Code and ADOPT new code consistent with the most recent Fair Practices Political Commission model. The Contra Costa County Counsel's Office has requested the Authority rescind the existing conflict of interest code (code) and adopt a new, updated code that reflects the most recent requirements of the Fair Practices Political Commission (FPPC). County Counsel reviewed the existing code adopted by the Authority in February prior to its approval by the County Board of Supervisors, the designated code reviewing body for agencies in Contra Costa County. As part of this review, Counsel strongly recommended that the Authority adopt a new code that incorporated recent changes by the FPPC. The biggest change has been to the list of designated positions within the Authority of people who must complete a statement of economic interest. Consultants under contract with the Authority may ,also be required to file disclosure statements. Each consultant will be evaluated on an individual basis to determine if they must comply with FPPC disclosure requirements. The provisions of the new code will go into effect 30 days after the County Board of Supervisors approves it. All consultants affected by the change in designated filers will have to file a statement of economic interest before this date. The Board of Directors and staff members are not immediately affected and will file their annual statements when typically required. The proposed new conflict of interest code is attached. LTNW4e G:%TrensEngVOO tECCRFtAtStaffRoportsxStaffRepotCormictcflnterestdoc ACTION of BOARD ON o L, APPROVED AS RECOMMENCED C`16THER VOTES DIRECTORS t�' UNANIMOUS{ABSENT ) AYES: -_ NOES. ABSENT; ABSTAIN. l hereby certify that this is a'true and correct copy of an action taken and entered on the minutes of the Board of Directors on the date shown. ��tt ATTESTED Secretary to e'Authority By De CONFLICT OF INTEREST CODE OF THE EAST CONTRA COSTA REGIONA FEE AND FINANCING AUTHORITY The Political Reform Act (Gov. Code § 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 Cal. Code of Regs. § 18730), which contains the terms of a standard conflict of interest code. 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 2 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 regulation and the attached Appendix designating officials and employees and establishing disclosure categories, shall constitute the conflict of interest code of the Bast Contra Costa Regional Fee and Financing Authority. Designated employees shall file their statements with clerk of the Contra Costa County Board of Supervisors who will make the statements available for public inspection and reproduction. (Gov. Code § 81008.) Statements for all designated employees will be retained by the clerk of the Contra Costa County Board of Supervisors. Regulations of the hair Political Practices Commission *"*THIS DOCUMENT IS CURRENT THROUGH April 18,2002*** TITLE 2.ADMINISTRATION DIVISION 6. CALIFORNIA CODE OF REGULATIONS 2 CCR 18730 (2002) §318730. 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 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. 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, 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 in the Political Reform Act of 1974, regulations of the Fair Political Practices Commission (2 Cal. Code of Regs. sections 18100, etseq.), 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 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, 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 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 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 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 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. 18730. Provisions of Conflict of Interest Codes Paige 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 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. (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: § 18730. Provisions of Conflict of interest Codes Page 2 (A) Investments and Real Property disclosure. When an investment or an interest in real property3 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). (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 more in value, or fifty dollars ($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 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($100,004); 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,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 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 any position of management, a description of the business activity in which the business entityis 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. § 18730. Provisions of Conflict of Interest Codes Page 3 (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 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 89505. (8.1) Section 8.1 Prohibition on Receipt 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 (g) 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 or over which the elected officer's agency has direction and control. (13) No public official who is exempt from the state civil service system pursuant to subdivisions (c), (d), (a), (f), and (g)of Section 4 of Article VII of the Constitution shall, while he or she holds office,receive a personal loan from any officer, employee, member, or consultant of the state or local government agency in which the public official holds office or over which the public official's agency has direction and control. This subdivision shall not apply to loans made to a public official whose duties are solely secretarial, clerical, or manual. (C) No elected officer of a state or local government agency shall, from the date of his or her election to office through the date that he or she vacates office, receive a personal loan from any person who has a contract with the state or local government agency to which that elected officer has been elected or over which that elected officer's agency has direction and control. This subdivision shall not apply to loans made by banks or other financial institutions or to any indebtedness created as part of a retail installment or credit card transaction, if the loan is made or the indebtedness created in the lender's regular course of business on terms available to members of the public without regard to the elected officer's official status. (D) No public official who is exempt from the state civil service system pursuant to subdivisions (c), (d), (e), (f), and(g)of Section 4 of Article Vil of the Constitution shall, while he or § 18730. Provisions of Conflict of interest Codes Page 4 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 five hundred dollars ($500) or more, except when the loan is in writing and clearly states the terms of the loan, including the parties to the loan agreement, date of the loan, amount of the loan, term of the loan, date or dates when payments shall be due on the loan and the amount of the payments, and the rate of interest paid on the loan. (B) This section shall not apply to the following types of loans: 1. Loans made to the campaign committee of the elected officer. 2. Loans made to the elected officer by his or her spouse, child, parent, grandparent, grandchild, brother, sister, parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, or first cousin, or the spouse of any such person, provided that the person making the loan is not acting as an agent or intermediary for any person not otherwise exempted under this section. 3. Loans made,or offered in writing, before January 1, 1998. (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: §98730. Provisions of Conflict of Interest Codes Page 5 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 subdivision (A), but on which the creditor, based on reasonable business considerations, has not undertaken collection action. Except in a criminal action, a creditor who claims that a loan is not a gift on the basis of this paragraph has the burden of proving that the decision for not taking collection action was based on reasonable business considerations. 5. A loan made to a debtor who has filed for bankruptcy and the loan is ultimately discharged in bankruptcy. (C) Nothing in this section shall exempt any person from any other provisions of Title 9 of the Government Code. (9) Section 9. Disqualification. No designated employee shall make, participate in making, or in any way attempt to use his or her official position to influence the making of any governmental decision which he or she knows or has reason to know will have a reasonably foreseeable material financial effect, distinguishable from its effect on the public generally, on the official or a member of his or her immediate family or on: (A) Any business entity in which the designated employee has a direct or indirect investment worth two thousand dollars ($2,000)or more; (B) Any real property in which the designated 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 to 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; §18730. Provisions of Conflict of Interest Codes Page 6 (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 $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. (9.3) Section 9.3. Legally Required Participation. No designated employee shall be prevented from making or participating in the making of any decision to the extent his or her participation is legally required for the decision to be made. The fact that the vote of a designated employee who is on a voting body is needed to break a tie does not make his or her participation legally required for purposes of this section. (9.5) Section 9.5. Disqualification of State Officers and Employees. In addition to the general disqualification provisions of section 9, no state administrative official shall make, participate in making, or use his or her official position to influence any governmental decision directly relating to any contract where the state administrative official knows or has reason to know that any party to the contract is a person with whom the state administrative official, or any member of his or her immediate family has, within 12 months prior to the time when the official action is to be taken: (A) Engaged in a business transaction or transactions on terms not available to members of the public,regarding any investment or interest in real property; or (B) Engaged in a business transaction or transactions on terms not available to members of the public regarding the rendering of goods or services totaling in value one thousand dollars ($1,000)or more. (lit) 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 Government Code section 33114 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 few. 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 0 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 874501 has occurred may be set aside as void pursuant to Government Code section 91003. ------------ § 18730. Provisions of Conflict of interest Codes Page 7 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 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 81004. 2. See Government Code section 81010 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 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. 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 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. 02/01/01 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 9b0 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). § 18730. provisions of Conflict of Interest Codes page 8 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). 10. Amendment of subsection (b) (5.5) and now 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 Pair Political Practices Commission 9-21-93. 12. Change without regulatory effect redesignating Conflict of Interest Code for California Mental Health Planning Council as chapter 62, section 55100 filed 1-4-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 1). 13. Editorial correction adding History 11 and 12 and deleting duplicate section number(Register 94, No. 17). 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) S., 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 1143.4(d) (Register 99, No.20). G:tGrpDaW\TtansEnM200211;CCRFFAt Conflict of Interest Cost Section 18730.doc § 18730. Provisions of Conflict of Interest Godes Page 9 EXHIBIT "A" Designated Positions Disclosure Category Cate aory (see Exhibit "B") Voting Directors 1,2 Authority Staff Executive Director 1,2 Management/Secretary 1,2 Supervising Civil Engineer 1,2 Senior Civil Engineer 1,2 Staff Engineer 1,2 *Consultants 1,2 or as specified *The Authority may determine in writing that a consultant is hired to perform a range of duties that is limited in scope and thus is not required to comply with disclosure requirements. The written determination is a public record and shall be retained for public inspection. § 18730. Provisions of Conflict of Interest Codes Page 10 EXHIBITS' Disclosure Categories 1. Designated Employees in Category "1" must report: (a)All investments, interests in real property, and sources of income, and any business entity in which the employee is a director, officer, partner, trustee, employee, or holds any position of management. These financial interests are reportable only if located within eastern Contra Costa County or if the business entity is doing business or planning to do business in the jurisdiction of the Authority (and such plans are known by the designated employee) or has done business within the jurisdiction of the Authority at any time lduring the two years prior to the filing of the statement. (b) Investments in any business entity, income from any source and status as a director, officer, partner, trustee, employee, or holder of a position of management in any business entity, which has within the last two years contracted or foreseeably may contract with the Authority or agency members of the Authority, or with any public agency within the jurisdiction of the Authority, to provide services, supplies, materials, machinery or equipment to either party. 2. designated Employees in Category "2" must report: Investments in any business entity, income from any source, and status as a director, officer, partner, trustee, employee, or holder of a position of management in any business entity, which has within the last two years contracted, or foreseeably may contract, with the Authority or the Authority's member agencies to provide services, supplies, materials, machinery or equipment to the Authority. § 18730. Provisions of Conflict of Interest Cedes Page 11 TO: Board of Supervisors CONTRA FROM: Silvana B. Marchesi, County CounselCOSTA By: Mary Ann McNett Mason, Deputy County Counsel COUNTY b•7, DATE: December 13,2002 SUBJECT: Conflict of Interest Code of the Criminal Justice Agency of Contra Costa County SPECIFIC REQUEST(S)OR RECOMMENDATION(S)&BACKGROUND AND JUSTIFICATION RECOMMENDATION(S): Approve amendments to the Criminal Justice Agency of Contra Costa County Conflict of Interest Code to substitute the attached as said code, as shown on the attached memorandum from the Agency. BACKGROUND/REASON SM FOR RECOMMENDATION(S): The Criminal Justice Agency of Contra Costa County has amended its code and submitted the amended code to the Board for approval pursuant to Government Code section 87306 and 87306.5. CONTINUED ON ATTACHMENT: SIGNATURE: 0&z'vd'OL� Av � RECOMMENDATION OF COUNTY ADMINISTRATOR RECOMMENDATION OF BOARD CDM_ MITTEE _ APPROVE OTHER SIGNATURE(S).- ACTION OF B ON January 7, 2003 APPROVED AS RECOMMENDED x OTHER VOTE OF SUPERVISORS: I HEREBY CERTIFY THAT THIS IS A UNANIMOUS (ABSENTNone) TRUE AND CORRECT COPY OF AN AYES: NOES: ACTION TAKEN AND ENTERED ABSENT: ABSTAIN: ON THE MINUTES OF THE BOARD OF SUPERVISORS ON THE DATE SHOWN. ATTESTED: January7, 2003 JOHN SWEETEN, CLERK OF THE BOARD OF SUPERVISORS Contact: County Counsel AND COUNTY ADMINISTRATOR cc: Clerk, Board of Supervisors George Roemer, Criminal Justice Agency of Contra Costa County BY ;x-�a { £ , DEPUTY i:'JOANNWAMterim justice agency bd ord coi.upd CRIMINAL JUSTICE AGENCY OF CONTRA COSTA COUNTY County Administration Building 651 Pine Street, 10th Floor Martinez, CA 94553 Chair (925) 355-1055 Gary Yancey Executive Director Vice-Chair George Roemer Cecil Heden MEMORANDUM Date: December 6, 2002 To: GINA MARTIN Clerk of and From: G EMER Exec ' e Director Subject: AMENDED CONFLICT OF INTEREST CODE Attached is the amended Conflict of Interest Code for the Criminal Justice Agency of Contra Costa County, as approved by the Executive Committee of the Agency. Pursuant to our discussion, please take the necessary steps to put this on the Board of Supervisor's agenda. Amended on CONFLICT OF INTEREST CODE OF THE CRIMINAL JUSTICE AGENCY OF CONTRA COSTA COUNTY The Political Reform Act(Gov. Code § 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 Cal.Code of Regs. § 18730) which contains the terms of a standard conflict of interest code. 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 2 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 regulation and the attached Exhibits designating officials and employees and establishing disclosure categories, shall constitute the conflict of interest code of the Criminal Justice Agency of Contra Costa County. Designated employees shall file their statements with the Executive Director, Criminal Justice Agency who will make the statements available for public inspection and reproduction. (Gov. Code § 81008.) Statements for all designated employees will be retained by the Executive Director, Criminal Justice Agency. J11MAJOANNRvIWcoi-Criminal Just.Agncy.wpd .... ...... EXHIBIT "A" DISCLOSURE DESIGNATED POSITIONS CATEGORIES I Executive Director 1 & 2 Criminal Justice Agency 2. Criminal Justice Agency 2 Board members and alternates 3. Consultants 2 EXHIBIT "B" DISCLOSURE CATEGORIES DesignatedEmployeesin Group "I" Must Report: All investments, interests in real property, income, and any business entity in which the person is a director, officer, partner, trustee, employee, or holds any position of management. Financial interests are reportable only if located within Contra Costa County or if the business entity is ,doing business or planning to do business in the County(and such plans are known by the designated employee) or has done business within the County at any time during the two years prior to the filing of the statement. Designated Employees in Group "2" Must Report: Investments in any business entity, income from any source, and his or her status as a director, officer, partner, trustee, employee,or holder of a position of management in any business entity, which, within the last two years, has contracted, or in the future foreseeably may contract with the Criminal Justice Agency of Contra Costa County to provide services, supplies,materials, machinery or equipment to such Agency. *No disclosure obligation is established for County Supervisors, City Council Members, County Administrative Officer, City Manager, or District Attorney, all of whom file disclosure statements pursuant to Government Code section 87200. Persons serving in these positions are covered for disqualification purposes only. "The Executive Director may determine in writing that a consultant is hired to perform a range of duties that is limited in scope and thus is not required to comply with disclosure requirements. The written determination is a public record and shall be retained for public inspection. 3B:1(-.\JOANN%coi-exh-a2wpd.wpd C aliforhia Fair Political Practices Commission -- Regulations of the Fair PoliticalPractice:... Page I of 9 �.s Regulations of the Fair Political Practices Commission TITLE 2, DIVISION 8, CALIFORNIA CODE OF REGULATIONS FPPC Home Page (page updated April 18, 2002) Prop. 34 Commission gendas (Back to Regulations of the Fair Political Practices Commission) Candidates and Committees Lobbyists 18730. Provisions of Conflict of Interest Cordes Restrictions on Government Officials (a) Incorporation by reference of the terms of this regulation along with the and Employees designation of employees and the formulation of disclosure categories in the Ethics Orientation for Appendix referred.to below constitute the adoption and promulgation of a conflict State Officials of interest code within the meaning of Government Code section 87300 or the Conflicts of amendment of a conflict of interest code within the meaning of Government Code Interest/Form 700 section 87308 if the terms of this regulation are substituted for terms of a conflict Statement of Economic of interest code already in effect. A code so amended or adopted and Interests promulgated requires the reporting of reportable items in a manner substantially Enforcement equivalent to the requirements of article 2 of chapter 7 of the Political Reform Act, The Audit Program Government Code sections 81000, et seq.The requirements of a conflict of Press Center interest code are in addition to other requirements of the Political Reform Act, such as the general prohibition against conflicts of interest contained in Library and Government Code section 87100, and to other state or local laws pertaining to Publications conflicts of interest. The Political Reform Act Regulations of the Fair Political Practices (b)The terms of a conflict of interest code amended or adopted and promulgated Commission pursuant to this regulation are as follows: Newly Adopted or Amended Regulations Proposed Regulations (1)Section 1. Definitions.The definitions contained in the Political Reform Act of elected FPPC opinions 1974, regulations of the Fair Political Practices Commission(2 Cal. Code of Legislation Affecting the Regs. sections 18100, et seq.), and any amendments to the Act or regulations, Political Reform Act are incorporated by reference into this conflict of interest code. pl�FPPC Publications other Publications of Interest (2)Section 2. Designated Employees.The persons holding positions listed in the *Advice summaries Appendix are designated employees. It has been determined that these persons Forms make or participate in the making of decisions which may foreseeably have a Workshops and material effect on financial interests. Seminars Legislation (3)Section 3, Disclosure Categories. This code does not establish any disclosure Links obligation for those designated employees who are also specified in Government ]nternet Political Code section 87200 if they are designated in this code in that same capacity or if Practices the geographical jurisdiction of this agency is the same as or is wholly included LA Secession within the jurisdiction in which those persons must report their financial interests Privacy 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 is the same as or is wholly included within the jurisdiction of the other agency; http:/,'v^vw.fppc.ca.gov/index.htm]?ID=52&r—id=/Iegal/regs/I 8730.htm 9/10/02 Calif6ffiia Fair Political Practices Commission -- Regulations of the Fair Political Practice,... Page 2 of 9 (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 57200; 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 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 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 foreseeably can affect materially through 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. 2 (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 did not make or participate in the making of, or use his or her position to influence any decision and did not receive or become entitled to receive any form of payment as a result of his or her appointment. Such persons shall not file either an assuming or leaving office statement. (A)Any person who resigns a position within 30 days of the date of a notice from the filing officer shall do both of the following: (1) File a written resignation with the appointing power; and (2) File a written statement with the filing officer declaring under penalty of perjury that during the period between appointment and resignation he or she did not httto://vaA,,cn,.fbnc.ca.2ov/index.html`ID=52&r id=/legal/reqs/l8730.htm 9/10/02 Califdrhia Fair Political Practices Commission-- Regulations of the Fair PoliticalPractice;... Page 3 of 9 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. (S) 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 shell 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) 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 Pair 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 in real property-3 is required to be reported,A 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). (S)Personal Income Disclosure.When personal income is required to be reported,s 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 if the was a gift, and a general description of the business activity; if any, of each http://yrwrw.frpc.ca.gov/index.html?ED=52&r id=/legal/re€;s/18730.htrn 9/10/02 Califdmia Fair Political Practices Commission -- Regulations of the Fair PoliticalPractice!... Page 4 of 9 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 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; 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, 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 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 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 Government Code section 89509 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$320. littp-//vr,vw.fppc.ca.gov/index.html?ID=52&r—id=/Iegal/regs/iI 8730.htm 9/10/02 Cgliforn a Fair Political Practices Commission --Regulations of the Fair Political Practice%.. Page S of 9 (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 (g)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 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 subdivisions(c), (d), (e), (f), and (g)of Section 4 of Article VII of the Constitution shall,while he or she holds office, receive a personal loan from any officer, employee, member, or consultant of the state or local government agency in which the public official holds office or over which the public official's agency has direction and control. This subdivision shall not apply to loans made to a public official whose duties are solely secretarial, clerical, or manual. (C)No elected officer of a state or local government agency shall, from the date of his or her election to office through the date that he or she vacates office, receive a personal loan from any person who has a contract with the state or local government agency to which that elected officer has been elected or over which that elected officer's agency has direction and control. This subdivision shall not apply to loans made by banks or other financial institutions or to any indebtedness created as part of a retail installment or credit card transaction, if the loan is made or the indebtedness created in the lender's regular course of business on terms available to members of the public without regard to the elected officer's official status. (D)No public official who is exempt from the state civil service system pursuant to subdivisions(c), (d), (e), (f), and(g)of Section 4 of Article VI I 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 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 termsavailable 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 secretariat, clerical,or manual. (1=)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, http://www.fppe,ca.gov/index.html2ID=52&r—id=/Iegal/regs/18730.htin 9/10/02 Ca..lifornia Fair Political Practices Commission-- Regulations of the Fair Political Practice;... Page 6 of 9 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 five hundred dollars ($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. (8)This section shall not apply to the following types of loans: 1. Loans made to the campaign committee of the elected officer. 2. Loans made to the elected officer by his or her spouse, child, parent, grandparent, grandchild, brother, sister, parent-in-law, brother-in-law, sister-in- law, nephew, niece, aunt, uncle, or first cousin, or the spouse of any such 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, 1988. (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: http://www.fppc,ca.gov/index.html?ID=52&r—id=/Iegal/regs/1 8730.htm 9/10/02 California Fair Political Practices Commission --Regulations of the Fair Political Practice,... Page 7 of 9 1.A lean made to the campaign committee of an elected officer or a candidate 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 undersubdivision (A), but on which the creditor, based on reasonable business considerations, has not undertaken collection action. Except in a criminal action, a creditor who claims that a loan is not a gift on the basis of this paragraph has the burden of proving that the decision for not taking collection action was based on reasonable business considerations. 5. A loan made to a debtor who has filed for bankruptcy and the loan is ultimately discharged in bankruptcy. (C)Nothing in this section shall exempt any person from any other provisions of Title 9 of the Government Code. (9)Sections 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 lndirect investment worth two thousand dollars($2,000)or more; (t3)Any real property in which the designated 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 to officlal 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 ( )Any donor of, or any intermediary or agent for a donor of, a gift or 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. (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 its 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 http://vv-,vw.fppo.ca.gov/index.html?ID=52&r—id=/Iegal/regs/1 8730.htm 9/10/02 _. _._. Cajifornia Fair Political Practices Commission-- Regulations of the Fair Political Practice.... Page 8 of 9 shall make, participate in making, or use his or her official position to influence any governmental decision directly relating to any contract where the state administrative official knows or has reason to know that any party to the contract is a person with whom the state administrative official, or any member of his or her immediate family has,within 12 months prior to the time when the official action is to be taken: (A) Engaged in a business transaction or transactions on terms not available to members of the public, regarding any investment or interest in real property; or (B) Engaged in a business transaction or transactions on terms not available to members of the public regarding the rendering of goods or services totaling in va€ue one thousand dollars($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. 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 Government Code section 83114 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 87480 has occurred may be set aside as void pursuant to Government Code section 91003. 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 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 81004. 2. See Government Code section 81010 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 disquallfication), 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 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 ht1p://www.fppe.ca.gov/index.html?ID=52&r_id=/Iegal/regs/18730.htm 9/10/02 __ Cajifo-nia Fair Political Practices Commission -- Regulations of the Fair PoliticalPractice:... Page 9 of 9 dependent children own, in the aggregate, a direct, indirect or beneficial interest of 10 percent or greater. 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 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 tiler. NOTE:Authority cited: Section 83112, Government Code. Reference: Sections 87103(e), 87300-87302, 89501, 89502 and 89503, Government Code. 02/01/01 Copyright 2002 State of Caiifomia FPPC. All rights reserved. http://www.fppe.ca.gov/index.html?ID=52&r—id=/legal/regs/1 8730.htm 9./10/02