Resolution Number 04-12-07-02RESOLUTION NO. 04-12-07- 02
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN JUAN
CAPISTRANO, CALIFORNIA, REVISING ITS CONFLICT OF INTEREST
CODE AND INCORPORATING THE STANDARD CONFLICT OF
INTEREST CODE PROMULGATED BY THE CALIFORNIA FAIR
POLITICAL PRACTICES COMMISSION.
WHEREAS, the Political Reform Act of 1974, Government Code Sections 81000
et seq. (the "Act') requires a local governmental agency to adopt a conflict of interest
code pursuant thereto; and
WHEREAS, the City Council of the City of San Juan Capistrano has adopted
such a code by incorporating the provisions of Section 18730 of Title 2 of the California
Code of Regulations pursuant to the Act; and
WHEREAS, Government Code Section 87306 requires every local governmental
agency to amend its Conflict of Interest Code when changes are necessary, such as in
the creation of new positions which must be designated, the deletion of old positions,
and relevant changes in the duties assigned to existing designated positions; and
WHEREAS, the City Council of the City of San Juan Capistrano wishes to amend
its Conflict of Interest Code to reflect necessary changes thereto.
NOW, THEREFORE, the City Council of the City of San Juan Capistrano does
hereby RESOLVE as follows:
Section 1. The Code entitled "San Juan Capistrano Conflict of Interest Code,"
a copy of which is attached hereto and by reference incorporated herein, is hereby
approved and adopted for the City.
Section 2. Subject to Section 3 below, any and all resolutions adopted by the
City Council prior to this Resolution covering the same subject matter and/or in conflict
herewith, are hereby rescinded and repealed in their entirety.
Section 3. Any change provided for in this Conflict of Interest Code shall not
affect or excuse any offense or act committed or done or omission or any penalty or
forfeiture incurred or accruing under any other Conflict of Interest Code; nor shall it
affect any prosecution, suit, or proceeding pending or any judgment rendered in
connection with any other Conflict of Interest Code.
1 12-07-2004
PASSED AND ADOPTED, this 7th day of December 2004.
MAYOR:
ATTEST:4
P" _
R ARET R. MONAHAN, CITY CLERK
STATE OF CALIFORNIA )
COUNTY OF ORANGE ) ss.
CITY OF SAN JUAN CAPISTRANO )
I, MARGARET R. MONAHAN, appointed City Clerk of the City of San Juan Capistrano, do
hereby certify that the foregoing Resolution No. 04-12-0702 was duly adopted by the City
Council of the City of San Juan Capistrano at a regular meeting thereof, held the 7`h day of
December 2004, by the following vote:
AYES: COUNCIL MEMBERS: Allevato, Bathgate, Soto, Swerdlin & Mayor Hart
NOES: COUNCIL MEMBERS: None
ABSTAIN: COUNCIL MEMBERS: None
A GARET R. MONAHAN, City Clerk
SAN JUAN CAPISTRANO CONFLICT OF INTEREST CODE — EXHIBIT A
Table of Contents
Article 1.
Introduction 1
Article 2.
Adoption of Code and Incorporation of FPPC Regulation 18730 1
Article 3.
Designated Officials, Employees, and Consultants. I
Article 4.
Disclosure Categories. 2
Article 5.
Filing Officer. 2
Article 6.
Manner of Disqualification. 2
Article 7.
Effective Date of Code. 2
APPENDIX
A --DESIGNATED POSITIONS 1
APPENDIX
B --DISCLOSURE CATEGORIES i
APPENDIX
C --REGULATION 18730 OF THE FPPC 1
(1) Section 1. Definitions.
1
(2) Section 2. Designated Employees.
1
(3) Section 3. Disclosure Categories.
1
(4) Section 4. Statements of Economic Interests: Place of Filing.
2
(5) Section 5. Statements of Economic Interests: Time of Filing.
2
(A) Initial Statements.
2
(B) Assuming Office Statements.
3
(C) Annual Statements.
3
(D) Leaving Office Statements.
3
(5.5) Section 5.5. Statements for Persons Who Resign Prior to Assuming Office.
3
(6) Section 6. Contents of and Period Covered by Statements.
3
(A) Contents of Initial Statements.
3
(B) Contents of Assuming Office Statements.
3
(C) Contents of Annual Statements.
4
(D) Contents of Leaving Office Statements.
4
(7) Section 7. Manner of Reporting.
4
(A) Investments and Real Property Disclosure.
4
(B) Personal Income Disclosure.
5
(C) Business Entity Income Disclosure.
5
(D) Business Position Disclosure.
5
(E) Acquisition or Disposal During Reporting Period.
6
(8) Section 8. Prohibition on Receipt of Honoraria.
6
(8.1) Section 8.1 Prohibition on Receipt of Gifts in Excess of $340.
6
(8.2) Section 8.2. Loans to Public Officials.
6
(8.3) Section 8.3. Loan Terms.
7
(8.4) Section 8.4. Personal Loans.
8
(9) Section 9. Disqualification.
9
(9.3) Section 9.3. Legally Required Participation.
10
(9.5) Section 9.5. Disqualification of State Officers and Employees.
10
_ (10) Section 10. Disclosure of Disqualifying Interest.
10
(11) Section 11. Assistance of the Commission and Counsel.
10
(12) Section 12. Violations.
10
SAN JUAN CAPISTRANO CONFLICT OF INTEREST CODE
Article 1. Introduction.
The Political Reform Act of 1974 ("the Act") and subsequent amendments requires
each state and local agency to adopt a Conflict of Interest Code ("Code"). The purpose of
the Code is to provide reasonable assurance that all foreseeable potential conflicts of
interest of public officials and employees of the City of San Juan Capistrano ("City") will be
disclosed. The Code is designed to provide guidance to public officials and employees of
the City of their obligation to avoid conflicts of interest and to disclose relevant financial
interests.
Article 2. Adoption of Code and Incorporation of FPPC Regulation 18730.
The Fair Political Practices Commission ("FPPC") has adopted a regulation, 2 Cal.
Code of Regs. Section 18730, which contains the terms of a standard Conflict of Interest
Code, which can be incorporated by reference and which may be amended by the FPPC to
conform to amendments in the Act. Therefore, the terms of FPPC Regulation 18730 are
hereby incorporated by reference and, along with the designation of public officials and
employees, and the formulation of disclosure categories in the Appendices referred to
below, constitute the adoption and promulgation of the Conflict of Interest Code of the City
of San Juan Capistrano and within the meaning of Government Code Section 87300. A
Copy of Section 18730 is attached as Appendix C hereto. This Code so 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 Act, Government Code Sections 81000,
et seq. The requirements of this Conflict of Interest Code are in addition to other
requirements of the 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.
Article 3. Designated Officials. Employees, and Consultants.
(A) Public Officials and Employees. The persons holding positions listed in
Appendix A are designated officials and 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.
(B) Consultants. Disclosure by consultants is required whenever the consultant
is performing in a decision-making capacity for the City. Determination of whether a
consultant fits this criteria shall be made on a case-by-case basis. The determination of
necessity and level of disclosure shall be made by the City Manager in consultation with
the City Attorney.
so
Article 4. Disclosure Categories
This Code does not establish any disclosure obligation forthose designated officials
and employees specified in Government Code Section 87200. With respect to all other
designated officials and employees, the disclosure categories as set forth in Appendix B
specify which kind of financial interests are reportable.
Article 5. Filing Officer.
All designated officials and employees shall file their Statements with the City Clerk
to whom the City Council hereby delegates the authority to carry out the duties of Filing
Officer.
Article 6. Manner of Disqualification.
When a designated official or 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 must be accompanied by disclosure of the disqualifying interest.
In the case of a voting body, this determination and disclosure shall be made part of the
body's official record; in the case of a designated employee who is the head of an agency,
this determination and disclosure shall be made in writing to his or her appointing authority;
and in the case of other designated employees, this determination and disclosure shall be
made in writing to the designated employee's supervisor.
Article 7. Effective Date of Code.
This Code shall become effective 30 days after approval by the City Council.
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SAN JUAN CAPISTRANO CONFLICT OF INTEREST CODE
APPENDIX "A"
Designated Positions*
Disclosure
Category
Accounting Manager..........................................................1,
2, 3, 4
Administrative Services Manager.......................................1,
2, 3, 4
Administrative Services Director........................................1,
2, 3, 4
Assistant City Manager......................................................1,
2, 3, 4
Assistant to the City Manager............................................1,
2, 3, 4
Building and Grading Inspector..............................................1,
2, 3
Building and Grading Inspector, Senior.................................1,
2, 3
Engineering and Building Director......................................1,
2, 3, 4
CityClerk............................................................................1,
2, 3, 4
Code Enforcement Officer.....................................................1,
2, 3
Community Services Director..............................................1,
2, 3,4
Community Services Manager...........................................1,
2, 3, 4
Community Liaison...........................................................1,
2, 3, 4
Construction Inspector...........................................................1,
2, 3
Development Services Manager........................................1,
2, 3, 4
Deputy City Treasurer.....................................................1,
2, 3, 4**
Economic Development Manager......................................1,
2, 3, 4
Engineer, Senior Civil.............................................................1,
2, 3
Engineer, Associate..............................................................1,
2, 3
Engineer, Senior...................................................................1,
2, 3
Historic Preservation Manager...............................................1,
2, 3
Management Analyst I .......................................................1,
2, 3, 4
Management Analyst II......................................................1,
2, 3, 4
Management Analyst, Principal.........................................1,
2, 3, 4
Management Analyst, Senior............................................1,
2, 3, 4
Open Space Project Manager............................................1,
2, 3, 4
Human Resources Manager..............................................1,
2, 3, 4
Planner, Principal...................................................................1,
2, 3
Planner, Senior......................................................................1,
2, 3
Planning Director................................................................1,
2, 3, 4
Public Works Manager...........................................................1,
2, 3
Public Works Director........................................................1,
2, 3, 4
Water Engineering Manager..................................................1,
2, 3
Water Operations Manager....................................................1,
2, 3
Zoning Administrator...........................................................1,
2, 3**
* The City Council Members, City Manager, City Attorney, City Treasurer, Planning
Commissioners, and other public officials who manage public investments are
required to file Statements of Economic Interests pursuant to Government Code
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Section 87200 at seq., therefore, they are not included as designated positions in
this Exhibit.
** Position not classified, but referred to in the Municipal Code.
Designated City Commissions
The following Commissions perform duties and functions which are not solely
advisory under Government Code Section 82019 and disclosure is therefore
required of members appointed thereto.
City Commission
Disclosure
Category
Cultural Heritage Commission......................................1, 2, 3
Parks, Recreation and Equestrian Commission ...........1, 2, 3
Transportation Commission..........................................1, 2, 3
Water Advisory Commission.........................................1, 2, 3
Planning Commission (disclosure required by
Government Code Section 87200)
Non -Designated City Committees
The following committees perform duties and functions which are solely advisory
under Government Code Section 82019. Disclosure is required as a matter of City
policy to provide public information regarding advisory recommendations.
Disclosure
City Committees Category
Design Review Committee............................................1, 2, 3
Housing Advisory Committee........................................1, 2, 3
Consultants
The City Manager determines on a case-by-case basis, pursuant to Article 3 of the
San Juan Capistrano Conflict of Interest Code.
rz
SAN JUAN CAPISTRANO CONFLICT OF INTEREST CODE
APPENDIX B
DISCLOSURE CATEGORIES
1. Designated Officials and Employees in Disclosure Category 1 Must Report:
All interests in real property, as defined in Government Code Section 82033, within
the jurisdiction of the City, and any business positions in any business entity involving that
interest. Real property shall be deemed to be within the jurisdiction of the City if the
property or any part of it is located within or not more than 500 feet outside the boundaries
of the City. No disclosure need be made concerning the principal residence of the
designated official or employee.
2. Designated Officials and Emplovees in Disclosure Cateaory 2 Must Report:
All investments, as defined in Government Code Section 82034, and any business
positions in any business entity involving that investment. Financial interests are reportable
only if located within or subject to the regulatory, permit, or licensing authority of the
designated official's commission or employee's department, or if the business entity is
located, doing business, or planning to do business in the City, or has done business within
the City at any time during the two years prior to the filing of the statement.
3. Designated Officials and Employees in Disclosure CateaorV 3 Must Report:
All income, as defined in Government Code Section 82030, from any source located
or doing business within the City or expecting to do business within the City and any
business positions in any business entity involving that income.
Income received from a public agency need not be disclosed.
4. Designated Officials and Employees in Disclosure Category 4 Must Report:
Investments in, business positions in, or income from, any business entity if such
business entity manufactures or sells supplies, machinery or equipment of the type utilized
by the City, or if such business entity is a contractor or subcontractor engaged in the
performance of work or services of the type utilized by the City.
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SAN JUAN CAPISTRANO CONFLICT OF INTEREST CODE
APPENDIX C
REGULATION 18730 OF THE FAIR POLITICAL PRACTICES COMMISSION
2 CAL. CODE REGS. § 18730
TITLE 2, DIVISION 6, CALIFORNIA CODE OF REGULATIONS
18730. Provisions of Conflict of Interest Codes.
(a) Incorporation by reference of the terms of this regulation along with the
designation of employees and the formulation of disclosure categories in the Appendix
referred to below 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
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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.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
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 Kegs. 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.
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this code shall file an initial statement within 30 days after the effective date of the
amendment.
(B) Assuming Office Statements. All persons assuming designated positions after
the effective date of this code shall file statements within 30 days after assuming the
designated positions, or if subject to State Senate confirmation, 30 days after being
nominated or appointed.
(C) Annual Statements. All designated employees shall file statements no later than
April 1.
(D) Leaving Office Statements. All persons who leave designated positions shall file
statements within 30 days after leaving office.
(5.5) Section 5.5. Statements for Persons Who Resign Prior to Assuming
Office.
Any person who resigns within 12 months of initial appointment, or within 30 days of
the date of notice provided by the filing officer to file an assuming office statement, is not
deemed to have assumed office or left office, provided he or she did not make or
participate in the making of, or use his or her position to influence any decision and did not
receive or become entitled to receive 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.
(AA) 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.
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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:
(A) Investments and Real Property Disclosure.
When an investment or an interest in real property3 is required to be reported,4 the
statement shall contain the following:
1. A statement of the nature of the investment or interest;
2. The name of the business entity in which each investment is held, and a general
description of the business activity in which the business entity is engaged;
3. The address or other precise location of the real property;
4. A statement whether the fair market value of the investment or interest in real
property exceeds two thousand dollars ($2,000), exceeds ten thousand dollars ($10,000),
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.
Im
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,5
the statement shall contain:
1. The name and address of each source of income aggregating five hundred dollars
($500) or more in value, or fifty dollars ($50) or more in value 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 activityof the donor and any
intermediary through which the gift was made; a description of the gift; the amount orvalue
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,5 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
5 A designated employee's income includes his or her corum mity 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.
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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 89501 shall apply to the
prohibitions in this section.
This section shall not limit or prohibit payments, advances, or reimbursements for
travel and related lodging and subsistence authorized by Government Code section 89506.
(8.1) Section 8.1 Prohibition on Receipt of Gifts in Excess of $340.
(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 $340 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 to
subdivisions (c), (d), (e), (f), and (g) of Section 4 of Article VII of the Constitution shall,
while he or she holds office, receive a personal loan from any officer, employee, member,
F-2
_ or consultant of the state or local government agency in which the public official holds
office or over which the public official's agency has direction and control. This subdivision
shall not apply to loans made to a public official whose duties are solely secretarial,
clerical, or manual.
(C) No elected officer of a state or local government agency shall, from the date of
his or her election to office through the date that he or she vacates office, receive a
personal loan from any person who has a contract with the state or local government
agency to which that elected officer has been elected or over which that elected officer's
agency has direction and control. This subdivision shall not apply to loans made by banks
or other financial institutions or to any indebtedness created as part of a retail installment
or credit card transaction, if the loan is made or the indebtedness created in the lender's
regular course of business on terms available to members of the public without regard to
the elected officer's official status.
(D) No public official who is exempt from the state civil service system pursuant to
subdivisions (c), (d), (e), (f), and (g) of Section 4 of Article VII of the Constitution shall,
while he or she holds office, receive a personal loan from any person who has a contract
with the state or local government agency to which that elected officer has been elected or
over which that elected officer's agency has direction and control. This subdivision shall not
apply to loans made by banks or other financial institutions or to any indebtedness created
as part of a retail installment or credit card transaction, if the loan is made or the
indebtedness created in the lender's regular course of business on terms available to
members of the public without regard to the elected officer's official status. This subdivision
shall not apply to loans made to a public official whose duties are solely secretarial,
clerical, or manual.
(E) This section shall not apply to the following:
1. Loans made to the campaign committee of an elected officer or candidate for
elective office.
2. Loans made by a public official's spouse, child, parent, grandparent, grandchild,
brother, sister, parent -in-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, or
first cousin, or the spouse of any such persons, provided that the person making the loan is
not acting as an agent or intermediary for any person not otherwise exempted under this
section.
3. Loans from a person which, in the aggregate, do not exceed five hundred dollars
($500) at any given time.
4. Loans made, or offered in writing, before January 1, 1998.
(8.3) Section 8.3. Loan Terms.
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(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:
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:
In
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;
(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 $340 or more provided to, received by, or promised to the designated
employee within 12 months prior to the time when the decision is made.
M
(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.
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.
M141
NOTE: Authority cited: Section 83112, Government Code. Reference: Sections
87103(e), 87300 87302, 89501, 89502 and 89503, Government Code.
History
1. New section filed 4-2-80 as an emergency; effective upon filing. Certificate of
Compliance included.
2. Amendment of subsection (b) filed 1-9-81; effective 30 days thereafter.
3. Amendment of subsection (b)(7)(B)1. filed 1-26-83; effective 30 days thereafter.
4. Amendment of subsection (b)(7)(A) filed 11-10-83; effective 30 days thereafter.
5. Amendment filed 4-13-87; effective 5-13-87.
6. Amendment of subsection (b) filed 10-21-88; effective 11-20-88.
7. Amendment of subsections (b)(8)(A) and (b)(8)(B) and numerous editorial
changes filed 8-28-90; effective 9-27-90.
8. Amendment of subsections (b)(3), (b)(8) and renumbering of following
subsections and amendment of NOTE filed 8-7-92; effective 9-7-92.
9. Amendment filed 2-4-93; effective upon filing.
10. Change without regulatory effect adopting COIC for California Mental Health
Planning Council filed 11-22-93. Approved by FPPC 9-21-93.
11. Change without regulatory effect redesignating COIC for California Mental Health
Planning Council filed 1-4-94.
12. Amendment filed and effective 3-14-95.
13. Amendment filed and effective 10-23-96.
14. Amendment filed and effective 4-9-97.
15. Amendment filed and effective 8-24-98.
16. Amendment filed and effective 5-11-99.
17. Amendment filed 12-6-2000; effective 1-1-2001.
18. Amendment filed 1-10-2001; effective 2-1-2001.
19. Amendment filed and effective 2-13-2001.
20. Amendment filed 1-16-03; effective 1-01-03.
-11-
HISTORY OF SAN JUAN CAPISTRANO CONFLICT OF INTEREST CODE
Biennial report and amendments approved 6/16/92
Appendix A amendments:
1/18/83
1/22/85
2/17/87
3/3/87
1/17/89
2/6/90- to remove City Manager, City Attorney, City Treasurer to Form 721
filing. Added titles of Community Development Manager, Building &
Safety Manager, Planning Manager and Land Use Manager.
11/20/90- to reflect total reorganization of departments and removal of Deputy
City Treasurer to Form 721 filing. Added position of Senior Civil
Engineer and Senior Planner.
6/16/92- to reinstate Deputy City Treasurer position and add consultant
category, all management employees and all commissions and
committees.
10/13/93- added Senior Engineer; made employee and commission changes as
per Council reclassifications and commission restructuring
10/19/93- to reflect changes to classification plan and commission
reorganization
6/21/94- Appendix A revised to add Associate Engineer
2/7/95- Revise Titles and add Open Space Project Mgr
5/7/96- Added newly -created Economic Development Coordinator (title only
changed to Economic Development Administrator by Council action
8/20/96)
11/5/96 Deleted Assistant to the City Manager; added Assistant City Manager
and Housing Advisory Committee
3/18/97 To eliminate senior management analyst and add sr. mgmt analyst 1
and 2
8/05/97 eliminate mobile home park review committee; add administrative
services manager, district engineer, field superintendent; eliminate
PL&F Director and replace with Public Works director
01/20/98 Added Personnel Administrator
11/17/98 Miscellaneous modifications per FY 1998-99 Mgmt MOU
01/05/99 Miscellaneous modifications per FY 1998-99 Classified MOU
08/01/00 Delete Building Official; add Development Services Manager
12/07/04 Revised classifications based on current; added newly formed Design
Review Committee and Water Advisory Commission, simplified text
and referenced state code