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HomeMy WebLinkAbout010819 CC AgendaIn compliance with the Americans with Disabilities Act, if you need special assistance to participate in this meeting, please contact the office of the City Clerk (951) 694-6444. Notification 48 hours prior to a meeting will enable the City to make reasonable arrangements to ensure accessibility to that meeting [28 CFR 35.102.35.104 ADA Title II] AGENDA TEMECULA CITY COUNCIL REGULAR MEETING CITY COUNCIL CHAMBERS 41000 MAIN STREET TEMECULA, CALIFORNIA JANUARY 8, 2019 – 7:00 PM At approximately 9:45 P.M., the City Council will determine which of the remaining agenda items can be considered and acted upon prior to 10:00 P.M. and may continue all other items on which additional time is required until a future meeting. All meetings are scheduled to end at 10:00 P.M. 6:00 PM - The City Council will convene in Closed Session in the Canyons Conference Room on the third floor of the Temecula City Hall concerning the following matters: 1 CONFERENCE WITH REAL PROPERTY NEGOTIATORS. The City Council will meet in closed session pursuant to Government Code Section 54956.8 regarding the potential sale of real property consisting of approximately 30 acres northwest of Diaz Road and Dendy Parkway owned by the City (APN: 909-370-050 and 909-370-049). The potential buyer of the property in negotiations with the City is: The Stephen A. Bieri Company, Inc. Negotiators for the City of Temecula are: Aaron Adams, Greg Butler, Luke Watson and Peter Thorson. Under negotiation are price and terms of the potential sale of the property. 2. CONFERENCE WITH REAL PROPERTY NEGOTIATORS. The City Council will meet in closed session pursuant to Government Code Section 54956.8 regarding the potential acquisition of real property located at 29119 Margarita Rd. owned by the Orchard Church (APN: 921-300-006). The potential seller of the property in negotiations with the City is: Orchard Church. Negotiators for the City of Temecula are: Aaron Adams, Greg Butler, Luke Watson and Peter Thorson. Under negotiation are price and terms of the potential sale of the property. 3. CONFERENCE WITH LEGAL COUNSEL—PENDING LITIGATION. The City Council will meet in closed session with the City Attorney pursuant to Government Code Section 54956.9(d)(1) with respect to two matters of pending litigation: (1) City of Temecula v. JA Plaza, LLC, et al., Riverside County Superior Court Case No. MCC 1800578; and (2) City of Temecula v. Alicia Rigas, et al., Riverside County Superior Court Case No. MCC 1801082. Next in Order: Ordinance: 19-01 Resolution: 19-01 CALL TO ORDER: Mayor Mike Naggar Prelude Music: Susan Miyamoto Invocation: To Be Announced Flag Salute: Council Member Maryann Edwards 1 ROLL CALL: Edwards, Rahn, Schwank, Stewart, Naggar PRESENTATIONS/PROCLAMATIONS Presentation to Incoming/Outgoing Mayor and Incoming TCSD President Presentation of Certificate of Appreciation to Susan Miyamoto Presentation of Certificates of Achievement to Temecula Valley High School 2018 (CIF) California State Division 1 — Girls Volleyball Champions Presentation of Service Awards to Mike Naggar (20 Years), Gary Watts (10 Years), JR Richardson (5 Years), and Zak Schwank (5 Years) PUBLIC COMMENTS A total of 30 minutes is provided for members of the public to address the City Council on items that appear within the Consent Calendar or a matter not listed on the agenda. Each speaker is limited to three minutes. If the speaker chooses to address the City Council on an item listed on the Consent Calendar or a matter not listed on the agenda, a Request to Speak form may be filled out and filed with the City Clerk prior to the City Council addressing Public Comments and the Consent Calendar. Once the speaker is called to speak, please come forward and state your name for the record. For all Public Hearing or Council Business items on the agenda, a Request to Speak form may be filed with the City Clerk prior to the City Council addressing that item. Each speaker is limited to five minutes. CITY COUNCIL REPORTS Reports by the members of the City Council on matters not on the agenda will be made at this time. A total, not to exceed, 10 minutes will be devoted to these reports. CONSENT CALENDAR NOTICE TO THE PUBLIC All matters listed under Consent Calendar are considered to be routine and all will be enacted by one roll call vote. There will be no discussion of these items unless members of the City Council request specific items be removed from the Consent Calendar for separate action. 1 Waive Reading of Standard Ordinances and Resolutions RECOMMENDATION: 1.1 That the City Council waive the reading of the text of all standard ordinances and resolutions included in the agenda except as specifically required by the Government Code. 2 2 Approve the Action Minutes of December 11, 2018 RECOMMENDATION: 2.1 That the City Council approve the Action Minutes and Joint Meeting Action Minutes of December 11, 2018. 3 Approve the List of Demands RECOMMENDATION: 3.1 That the City Council adopt a resolution entitled: RESOLUTION NO. 19- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA ALLOWING CERTAIN CLAIMS AND DEMANDS AS SET FORTH IN EXHIBIT A 4 Approve the City Treasurer's Report as of October 31, 2018 RECOMMENDATION: 4.1 That the City Council approve and file the City Treasurer's Report as of October 31, 2018. 5 Approve the Second Amendment to the Agreement for Law Enforcement Services with the County of Riverside to Increase Patrol Coverage for the City RECOMMENDATION: 5.1 That the City Council approve the Second Amendment to the Agreement for Law Enforcement Services with the County of Riverside, adjusting the patrol coverage from 200 hours per day to 205 hours per day. 6 Approve Annual Legislative Platform for Calendar Year 2019 RECOMMENDATION: 6.1 That the City Council approve the annual Legislative Platform for calendar year 2019. 7 Receive Report Regarding Status of Existing Vacancies on the Community Services Commission RECOMMENDATION: 7.1 That the City Council receive the report regarding the status of the existing vacancies on the Community Services Commission. 3 8 Approve Annual Boards and Commissions Handbook for Calendar Year 2019 RECOMMENDATION: 8.1 That the City Council approve the annual Boards and Commissions Handbook for calendar year 2019. 9 Approve Annual Citywide Records Retention Schedule and Records Destruction for Calendar Year 2019 RECOMMENDATION: 9.1 That the City Council adopt a resolution entitled: RESOLUTION NO. 19- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA APPROVING REVISIONS TO THE ESTABLISHED CITYWIDE RECORDS RETENTION SCHEDULE, THEREBY AMENDING AND RESTATING THE RECORDS RETENTION POLICY, AND APPROVING THE DESTRUCTION OF CERTAIN RECORDS 10 Authorize the Mayor to Execute the Amendment to the Joint Powers Agreement of the Western Riverside Council of Governments (WRCOG) RECOMMENDATION: 10.1 That the City Council authorize the Mayor to execute the amendment to the Joint Powers Agreement of the Western Riverside Council of Governments (WRCOG). 11 Approve U.S. House of Representatives District Office Lease at the Temecula Civic Center RECOMMENDATION: 11.1 That the City Council approve U.S. House of Representatives District Office Lease until January 2, 2021 at the Temecula Civic Center, in substantially the form attached. 12 Approve the Amended Salary Schedule to Include the Classification of Water Safety Instructor RECOMMENDATION: 12.1 That the City Council approve the Amended Salary Schedule to be effective January 8, 2019. 13 Approve the First Amendment to the Agreement with Esgil for Plan Check Services for Fiscal Year 2018-19 RECOMMENDATION: 4 13.1 Approve the First Amendment to the Agreement with Esgil, in the amount of $150,000, for a total agreement amount of $350,000, for Plan Check Services for Fiscal Year 2018-19; 13.2 That the City Council approve an appropriation in the amount of $150,000. 14 Approve an Agreement with Fairview Ford Sales, Inc. for the Purchase of One (1) Ford F-550 XL Sign Truck RECOMMENDATION: 14.1 That the City Council approve an Agreement with Fairview Ford Sales, Inc., in the amount of $101,793.98, for the purchase of one (1) Ford F-550 XL Super Duty Chassis Cab and Utility Bed with Equipment. 15 Approve an Agreement for Maintenance Services with U.S. National Corp for Painting Maintenance Services RECOMMENDATION: 15.1 That the City Council approve an Agreement for Maintenance Services with U.S. National Corp, to provide annual Painting Maintenance Services for Fiscal Year 2018-19. 16 Approve an Agreement for Consultant Services with Michael Baker International, Inc., for the Traffic Signal and Park and Ride Access Improvements, PW18-11 RECOMMENDATION: 16.1 Approve an Agreement for Consultant Services with Michael Baker International, Inc. in the amount of $227,244, for the Traffic Signal and Park and Ride Access Improvements, PW18-11; 16.2 Authorize the City Manager to approve extra work authorizations not to exceed the contingency amount of $22,724.40, which is equal to 10% of the Agreement amount. 17 Award a Construction Contract to California Waters Development Inc., dba California Waters for Community Recreation Center (CRC) Pool Site Enhancements and Renovations, PW 18-02 RECOMMENDATION: 17.1 Award a Construction Contract to California Waters Development Inc., dba California Waters, in the amount of $1,282,400, for the Community Recreation Center (CRC) Pool Site Enhancements and Renovations, PW18-02; 17.2 Authorize the City Manager to approve Contract Change Orders not to exceed the contingency amount of $256,480, which is equal to 20% of the contract amount; 17.3 Make a finding that the Community Recreation Center (CRC) Pool Site Enhancements and Renovations, PW18-02, is exempt from Multiple Species Habitat Conservation Plan (MSHCP) fees. 5 18 Approve the First Amendment to the Agreement with Crosstown Electrical & Data, Inc., for On -Call Maintenance and Repair of Closed Circuit Television Cameras and Communication Equipment RECOMMENDATION: 18.1 That the City Council approve the First Amendment to the Agreement with Crosstown Electrical & Data, Inc., in the amount of $30,000, for On -Call Maintenance and Repair of Closed Circuit Television Cameras and Communication Equipment. ******************** RECESS CITY COUNCIL MEETING TO SCHEDULED MEETINGS OF THE TEMECULA COMMUNITY SERVICES DISTRICT, THE SUCCESSOR AGENCY TO THE TEMECULA REDEVELOPMENT AGENCY, THE TEMECULA HOUSING AUTHORITY, AND THE TEMECULA PUBLIC FINANCING AUTHORITY ******************** 6 TEMECULA COMMUNITY SERVICES DISTRICT MEETING Next in Order: Ordinance: CSD 19-01 Resolution: CSD 19-01 CALL TO ORDER: President James "Stew" Stewart ROLL CALL: DIRECTORS: Edwards, Naggar, Rahn, Schwank, Stewart CSD PUBLIC COMMENTS A total of 30 minutes is provided for members of the public to address the Board of Directors on items that appear within the Consent Calendar or a matter not listed on the agenda. Each speaker is limited to three minutes. If the speaker chooses to address the Board of Directors on an item listed on the Consent Calendar or a matter not listed on the agenda, a Request to Speak form may be filled out and filed with the City Clerk prior to the Board of Directors addressing Public Comments and the Consent Calendar. Once the speaker is called to speak, please come forward and state your name for the record. For all Public Hearing or District Business items on the agenda, a Request to Speak form may be filed with the City Clerk prior to the Board of Directors addressing that item. Each speaker is limited to five minutes. CSD CONSENT CALENDAR NOTICE TO THE PUBLIC All matters listed under Consent Calendar are considered to be routine and all will be enacted by one roll call vote. There will be no discussion of these items unless members of the Temecula Community Services District request specific items be removed from the Consent Calendar for separate action. 19 Approve the Action Minutes of December 11, 2018 RECOMMENDATION: 19.1 That the Board of Directors approve the Action Minutes and Joint Meeting Action Minutes of December 11, 2018. CSD DIRECTOR OF COMMUNITY SERVICES REPORT CSD GENERAL MANAGER REPORT CSD BOARD OF DIRECTORS REPORTS CSD ADJOURNMENT Next regular meeting: Tuesday, January 22, 2019, at 5:30 PM, for a Closed Session, with regular session commencing at 7:00 PM, City Council Chambers, 41000 Main Street, Temecula, California. 7 SUCCESSOR AGENCY TO THE TEMECULA REDEVELOPMENT AGENCY MEETING Next in Order: Ordinance: SARDA 19-01 Resolution: SARDA 19-01 CALL TO ORDER: Chairperson Mike Naggar ROLL CALL: DIRECTORS: Edwards, Rahn, Schwank, Stewart, Naggar SARDA PUBLIC COMMENTS A total of 15 minutes is provided for members of the public to address the Board of Directors on items that appear within the Consent Calendar or a matter not listed on the agenda. Each speaker is limited to three minutes. If the speaker chooses to address the Board of Directors on an item listed on the Consent Calendar or a matter not listed on the agenda, a Request to Speak form may be filled out and filed with the City Clerk prior to the Board of Directors addressing Public Comments and the Consent Calendar. Once the speaker is called to speak, please come forward and state your name for the record. For all Public Hearing or Agency Business items on the agenda, a Request to Speak form may be filed with the City Clerk prior to the Board of Directors addressing that item. Each speaker is limited to five minutes. SARDA CONSENT CALENDAR NOTICE TO THE PUBLIC All matters listed under Consent Calendar are considered to be routine and all will be enacted by one roll call vote. There will be no discussion of these items unless members of the Successor Agency to the Temecula Redevelopment Agency request specific items be removed from the Consent Calendar for separate action. 20 Approve the Action Minutes of December 11, 2018 RECOMMENDATION: 20.1 That the Board of Directors approve the action minutes of December 11, 2018. 21 Approve Recognized Obligation Payment Schedule and Administrative Budget for the Period of July 1, 2019 through June 30, 2020 (ROPS 19-20) RECOMMENDATION: 21.1 Adopt a resolution entitled: RESOLUTION NO. SARDA 19- A RESOLUTION OF THE BOARD OF DIRECTORS OF THE SUCCESSOR AGENCY TO THE TEMECULA REDEVELOPMENT AGENCY APPROVING A RECOGNIZED OBLIGATION PAYMENT SCHEDULE FOR THE PERIOD OF JULY 1, 2019 THROUGH JUNE 30, 2020 PURSUANT TO HEALTH AND SAFETY CODE SECTION 34177 AND TAKING CERTAIN ACTIONS IN CONNECTION THEREWITH 8 21.2 Adopt a resolution entitled: RESOLUTION NO. SARDA 19- A RESOLUTION OF THE BOARD OF DIRECTORS OF THE SUCCESSOR AGENCY TO THE TEMECULA REDEVELOPMENT AGENCY APPROVING THE PROPOSED ADMINISTRATIVE BUDGET PURSUANT TO HEALTH AND SAFETY CODE SECTION 34177 AND TAKING CERTAIN ACTIONS IN CONNECTION THEREWITH SARDA EXECUTIVE DIRECTOR REPORT SARDA BOARD OF DIRECTORS REPORTS SARDA ADJOURNMENT Next regular meeting: Tuesday, January 22, 2019, at 5:30 PM, for a Closed Session, with regular session commencing at 7:00 PM, City Council Chambers, 41000 Main Street, Temecula, California. 9 TEMECULA PUBLIC FINANCING AUTHORITY MEETING Next in Order: Ordinance: TPFA 19-01 Resolution: TPFA 19-01 CALL TO ORDER: Chairperson Mike Naggar ROLL CALL: DIRECTORS: Edwards, Rahn, Schwank, Stewart, Naggar TPFA PUBLIC COMMENTS A total of 15 minutes is provided for members of the public to address the Board of Directors on items that appear within the Consent Calendar or a matter not listed on the agenda. Each speaker is limited to three minutes. If the speaker chooses to address the Board of Directors on an item listed on the Consent Calendar or a matter not listed on the agenda, a Request to Speak form may be filled out and filed with the City Clerk prior to the Board of Directors addressing Public Comments and the Consent Calendar. Once the speaker is called to speak, please come forward and state your name for the record. For all Public Hearing or Authority Business items on the agenda, a Request to Speak form may be filed with the City Clerk prior to the Board of Directors addressing that item. Each speaker is limited to five minutes. TPFA PUBLIC HEARING Any person may submit written comments to the Board of Directors before a public hearing or may appear and be heard in support of or in opposition to the approval of the project(s) at the time of the hearing. If you challenge any of the project(s) in court, you may be limited to raising only those issues you or someone else raised at the public hearing or in written correspondence delivered to the City Clerk at, or prior to, the public hearing. 22 Adopt Resolutions Approving the Formation of Community Facilities District No. 19-01 (Municipal Services) for Cypress Ridge Development, Tri Pointe Homes, Inc. RECOMMENDATION: 22.1 That the Board of Directors adopt the following resolutions: RESOLUTION NO. TPFA 19- A RESOLUTION OF THE BOARD OF DIRECTORS OF THE TEMECULA PUBLIC FINANCING AUTHORITY OF FORMATION OF TEMECULA PUBLIC FINANCING AUTHORITY COMMUNITY FACILITIES DISTRICT NO. 19-01 (MUNICIPAL SERVICES), AUTHORIZING THE LEVY OF A SPECIAL TAX WITHIN THE DISTRICT, PRELIMINARILY ESTABLISHING AN APPROPRIATIONS LIMIT FOR THE DISTRICT, SUBMITTING LEVY OF THE SPECIAL TAX AND THE ESTABLISHMENT OF THE APPROPRIATIONS LIMIT TO THE QUALIFIED ELECTORS OF THE DISTRICT, AND PROVIDING FOR THE FUTURE ANNEXATION OF TERRITORY TO THE DISTRICT 10 RESOLUTION NO. TPFA 19- A RESOLUTION OF THE BOARD OF DIRECTORS OF THE TEMECULA PUBLIC FINANCING AUTHORITY CALLING SPECIAL ELECTION WITHIN COMMUNITY FACILITIES DISTRICT NO. 19-01 (MUNICIPAL SERVICES) RESOLUTION NO. TPFA 19- A RESOLUTION OF THE BOARD OF DIRECTORS OF THE TEMECULA PUBLIC FINANCING AUTHORITY DECLARING RESULTS OF SPECIAL ELECTION AND DIRECTING RECORDING OF NOTICE OF SPECIAL TAX LIEN — COMMUNITY FACILITIES DISTRICT NO. 19-01 (MUNICIPAL SERVICES) 22.2 Introduce and read by title only an ordinance entitled: ORDINANCE NO. TPFA 19 - AN ORDINANCE OF THE TEMECULA PUBLIC FINANCING AUTHORITY LEVYING SPECIAL TAXES WITHIN TEMECULA PUBLIC FINANCING AUTHORITY COMMUNITY FACILITIES DISTRICT NO. 19-01 (MUNICIPAL SERVICES) TPFA EXECUTIVE DIRECTOR REPORT TPFA BOARD OF DIRECTORS REPORTS TPFA ADJOURNMENT Next regular meeting: Tuesday, January 22, 2019, at 5:30 PM, for a Closed Session, with regular session commencing at 7:00 PM, City Council Chambers, 41000 Main Street, Temecula, California. 11 TEMECULA HOUSING AUTHORITY — No Meeting RECONVENE TEMECULA CITY COUNCIL CITY COUNCIL BUSINESS 23 Amend and Restate the City of Temecula Section 125 Cafeteria Plan RECOMMENDATION: 23.1 That the City Council adopt a resolution entitled: RESOLUTION NO. 19- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA AMENDING AND RESTATING THE CITY OF TEMECULA SECTION 125 CAFETERIA PLAN 24 Selection of 2019 City Council Committees RECOMMENDATION: 24.1 That the City Council consider and appoint members to serve on various City Council Committees for calendar year 2019. DEPARTMENTAL REPORTS 25 City Council Travel/Conference Report COMMISSION REPORTS PUBLIC SAFETY REPORT CITY MANAGER REPORT CITY ATTORNEY REPORT ADJOURNMENT Next regular meeting: Tuesday, January 22, 2019, at 5:30 PM, for a Closed Session, with regular session commencing at 7:00 PM, City Council Chambers, 41000 Main Street, Temecula, California. NOTICE TO THE PUBLIC The agenda packet (including staff reports and public Closed Session information) will be available for public viewing in the Main Reception area at the Temecula Civic Center (41000 Main Street, Temecula) after 4:00 PM the Friday before the City Council meeting. At that time, the agenda packet may also be accessed on the City's website — TemeculaCA.gov — and will be available for public viewing at the respective meeting. Supplemental material received after the posting of the Agenda Any supplemental material distributed to a majority of the City Council regarding any item on the agenda, after the posting of the agenda, will be available for public viewing in the Main Reception area at the Temecula Civic Center (41000 Main Street, Temecula, 8:00 AM — 5:00 PM). In addition, such material will be made available on the City's website — TemeculaCA.qov — and will be available for public review at the respective meeting. If you have questions regarding any item on the agenda for this meeting, please contact the City Clerk's Department, (951) 694-6444. 12 CITY COUNCIL CONSENT Item No. 1 Approvals City Attorney Director of Finance City Manager CITY OF TEMECULA AGENDA REPORT TO: City Manager/City Council FROM: Randi Johl, Director of Legislative Affairs/City Clerk DATE: January 8, 2019 SUBJECT: Waive Reading of Standard Ordinances and Resolutions PREPARED BY: Randi Johl, Director of Legislative Affairs/City Clerk RECOMMENDATION: That the City Council waive the reading of the text of all standard ordinances and resolutions included in the agenda except as specifically required by the Government Code. BACKGROUND: The City of Temecula is a general law city formed under the laws of the State of California. With respect to adoption of ordinances and resolutions, the City adheres to the requirements set forth in the Government Code. Unless otherwise required, the full reading of the text of standard ordinances and resolutions is waived. FISCAL IMPACT: None ATTACHMENTS: None Item No. 2 ACTION MINUTES TEMECULA CITY COUNCIL REGULAR MEETING CITY COUNCIL CHAMBERS 41000 MAIN STREET TEMECULA, CALIFORNIA DECEMBER 11, 2018 — 7:00 PM No Closed Session At 7:08 PM Mayor Rahn called the City Council meeting to order to consider the matters described on the agenda. CALL TO ORDER: Mayor Matt Rahn Prelude Music: Emily Schwank Invocation: Aaron Adams Flag Salute: Council Member James Stewart ROLL CALL: Comerchero, Edwards, Naggar, Stewart, Rahn PUBLIC COMMENTS The following individuals addressed the City Council on non-agendized items: • Randon Lane • Chelsea Hart • Carla Thomas • Rebecca Farnback • Teri Biancardi CITY COUNCIL REPORTS NOTICE TO THE PUBLIC 1 Waive Reading of Standard Ordinances and Resolutions - Approved Staff Recommendation (5-0); Motion by Edwards, Second by Naggar; and electronic vote reflected approval by Comerchero, Edwards, Naggar, Stewart and Rahn. RECOMMENDATION: 1.1 That the City Council waive the reading of the text of all standard ordinances and resolutions included in the agenda except as specifically required by the Government Code. 2 Approve the Action Minutes of November 27, 2018 - Approved Staff Recommendation (5-0); Motion by Edwards, Second by Naggar; and electronic vote reflected approval by Comerchero, Edwards, Naggar, Stewart and Rahn. RECOMMENDATION: Action Minutes 121118 1 2.1 That the City Council approve the action minutes of November 27, 2018. 3 Approve the List of Demands - Approved Staff Recommendation (5-0); Motion by Edwards, Second by Naggar; and electronic vote reflected approval by Comerchero, Edwards, Naggar, Stewart and Rahn. RECOMMENDATION: 3.1 That the City Council adopt a resolution entitled: RESOLUTION NO. 18-78 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA ALLOWING CERTAIN CLAIMS AND DEMANDS AS SET FORTH IN EXHIBIT A 4 Approve an Agreement with Questica LTD for a New Budgeting Software System - Approved Staff Recommendation (5-0); Motion by Edwards, Second by Naggar; and electronic vote reflected approval by Comerchero, Edwards, Naggar, Stewart and Rahn. RECOMMENDATION: 4.1 Approve the Software Subscription and Professional Services Agreement with Questica LTD in the amount of $102,571, for a New Budgeting Software System; 4.2 Authorize the City Manager to approve up to $12,000 in additional system/report customization; 4.3 Authorize the City Manager to approve contract change orders not to exceed $10,257, which is equal to 10% of the total contract amount. 5 Adopt the 2019 City of Temecula Emergency Operations Plan - Approved Staff Recommendation (5-0); Motion by Edwards, Second by Naggar; and electronic vote reflected approval by Comerchero, Edwards, Naggar, Stewart and Rahn. RECOMMENDATION: 5.1 That the City Council adopt a resolution entitled: RESOLUTION NO. 18-79 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA ADOPTING THE 2019 CITY OF TEMECULA EMERGENCY OPERATIONS PLAN 6 Approve the Fourth Amendment to the Agreement with Temecula Valley Unified School District for Joint Use of a Portion of Temecula Elementary School - Approved Staff Recommendation (4-0, Edwards abstain); Motion by Edwards, Second by Naggar; and electronic vote reflected approval by Comerchero, Naggar, Stewart and Rahn with Edwards abstaining. Action Minutes 121118 2 RECOMMENDATION: 6.1 That the City Council approve the Fourth Amendment to the Agreement with the Temecula Valley Unified School District for Joint Use of a Portion of Temecula Elementary School. 7 Approve the Purchase of 50 Hewlett Packard (HP) Desktop Computers from Newport West Computers, Inc. for Lifecycle Replacement - Approved Staff Recommendation (5-0); Motion by Edwards, Second by Naggar; and electronic vote reflected approval by Comerchero, Edwards, Naggar, Stewart and Rahn. RECOMMENDATION: 7.1 That the City Council authorize the purchase of 50 HP desktop computers from Newport West Computers, Inc., in the amount of $39,452.33, including sales tax and shipping. 8 Approve the Second Amendment to the Disposition and Development Agreement between the City of Temecula, Successor Agency to the Temecula Redevelopment Agency, and Town Square Marketplace Old Town, LLC - Approved Staff Recommendation (5-0); Motion by Edwards, Second by Naggar; and electronic vote reflected approval by Comerchero, Edwards, Naggar, Stewart and Rahn. RECOMMENDATION: 8.1 That the City Council adopt a resolution entitled: RESOLUTION NO. 18-80 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA APPROVING THE SECOND AMENDMENT TO THE DISPOSITION AND DEVELOPMENT AGREEMENT BY AND AMONG THE CITY OF TEMECULA, SUCCESSOR AGENCY TO THE TEMECULA REDEVELOPMENT AGENCY, AND TOWN SQUARE MARKETPLACE OLD TOWN, LLC CONVEYING APPROXIMATELY ONE ACRE OF PROPERTY LOCATED ON MAIN STREET WEST OF MERCEDES STREET 9 Approve a Modification to the Truax Hotel Project and Adopt Addendum to the Originally Prepared Subsequent Environmental Impact Report (SEIR) (Planning Application No. PA18-1463) - Approved Staff Recommendation (5-0); Motion by Edwards, Second by Naggar; and electronic vote reflected approval by Comerchero, Edwards, Naggar, Stewart and Rahn. RECOMMENDATION: 9.1 That the City Council adopt a resolution entitled: Action Minutes 121118 3 RESOLUTION NO. 18-81 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA ADOPTING AN ADDENDUM TO A PREVIOUSLY CERTIFIED SUBSEQUENT ENVIRONMENTAL IMPACT REPORT FOR THE PREVIOUSLY APPROVED TRUAX HOTEL PROJECT AND APPROVING A MODIFICATION APPLICATION FOR THE TRUAX HOTEL CONSISTING OF THE ADDITION OF THIRTY-FOUR GUEST ROOMS, VARIOUS EXTERIOR ELEVATION REVISIONS, AND THE ADDITION OF THREE - HUNDRED PARKING SPACES VIA AN AUTOMATED PARKING SYSTEM GENERALLY LOCATED ON THE NORTH AND SOUTH SIDES OF 3RD STREET BETWEEN OLD TOWN FRONT STREET AND MERCEDES STREET (APNS 922-043- 002, 922-043-004, 922-043-018, 922-043-024, 922-043-003, 922-043-015, 922-043-023, 922-043-025, 922-044-017, AND 922-044-020) 10 Approve Local Government Partnership Program Contract with South Coast Air Quality Management District, Agreement with ChargePoint, Inc., and Amendment to Fiscal Years 2019-23 Capital Improvement Program Budget for the Purchase and Installation of Electric Vehicle Charging Stations - Approved Staff Recommendation (5-0); Motion by Edwards, Second by Naggar; and electronic vote reflected approval by Comerchero, Edwards, Naggar, Stewart and Rahn. RECOMMENDATION: 10.1 Approve the AB2766/MSRC Local Government Partnership Program Contract with South Coast Air Quality Management District (SCAQMD), and authorize the City Manager to execute the agreement, as previously approved per Resolution No. 18-16, for regional Mobile Source Air Pollution Reduction Review Committee (MSRC) program funds, in the amount of $141,000; 10.2 Approve an Agreement with ChargePoint, Inc., for the Purchase and Installation of Electric Vehicle Charging Stations, in the amount of $120,000; 10.3 Approve an Amendment to Fiscal Years 2019-23 Capital Improvement Program Budget, for the Electric Vehicle Charging Stations project, to increase MSRC program funding to $141,000, and reduce AB2766 funds to $47,000, for a total project cost of $188,000. 11 Award a Construction Contract to L.C. Paving & Sealing, Inc., for the Pechanga Parkway Widening (From Via Gilberto to North Casino Drive), PW15-14 - Approved Staff Recommendation (4-0, Rahn abstain); Motion by Edwards, Second by Naggar; and electronic vote reflected approval by Comerchero, Edwards, Naggar, and Stewart with Rahn abstaining. RECOMMENDATION: 11.1 Award a Construction Contract to L.C. Paving & Sealing, Inc., in the amount of $2,931,500.10, for the Pechanga Parkway Widening (From Via Gilberto to North Casino Drive), PW15-14; Action Minutes 121118 4 11.2 Authorize the City Manager to approve change orders not to exceed the contingency amount of $293,150, which is equal to 10% of the Contract amount; 11.3 Authorize payment of up to $146,575, which is equal to 5% of the cost of construction for the Multiple Species Habitat Conservation Plan (MHSCP). 12 Award a Construction Contract to Mamco, Inc. dba Alabbasi for Butterfield Stage Road — Phase III, PW 15-11 - Approved Staff Recommendation (3-0, Comerchero and Naggar abstain); Motion by Edwards, Second by Naggar; and electronic vote reflected approval by Edwards, Stewart and Rahn with Comerchero and Naggar abstaining. RECOMMENDATION: 12.1 Award a Construction Contract to Mamco, Inc. dba Alabbasi, in the amount of $6,015,872, for Butterfield Stage Road — Phase III, PW15-11; 12.2 Authorize the City Manager to approve Contract Change Orders not to exceed the contingency amount of $601,587.20, which is equal to 10% of the contract amount; RECONVENE TEMECULA CITY COUNCIL CITY COUNCIL BUSINESS 16 Presentations to City Council Member Jeff Comerchero for 25 Years of Service to the City of Temecula — Receive and file only. JOINT MEETING OF THE CITY COUNCIL AND TEMECULA COMMUNITY SERVICES DISTRICT 17 Accept the November 6, 2018 General Municipal Election Declaration of Results and Conduct Swearing -In Ceremony - Approved Staff Recommendation (5-0); Motion by Naggar, Second by Stewart; and electronic vote reflected approval by Comerchero, Edwards, Naggar, Stewart and Rahn. RECOMMENDATION: 17.1 That the City Council adopt a resolution entitled: RESOLUTION NO. 18-82 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA RECITING THE FACT OF THE GENERAL MUNICIPAL ELECTION HELD ON NOVEMBER 6, 2018, DECLARING THE RESULTS AND SUCH OTHER MATTERS AS PROVIDED BY LAW 18 Appoint the Mayor and Mayor Pro Tem for Calendar Year 2019 - Approved Staff Recommendation (5-0); Motion by Rahn, Second by Edwards; and electronic vote reflected approval by Edwards, Naggar, Schwank, Stewart and Rahn. For the 2019 calendar year, Mayor Pro Tempore Mike Naggar was selected as Mayor and Council Member James Stewart was selected as Mayor Pro Tempore. Action Minutes 121118 5 RECOMMENDATION: 18.1 Appoint the Mayor, effective January 1, 2019, to preside until December 31, 2019; 18.2 Appoint the Mayor Pro Tem, effective January 1, 2019, to hold this office until December 31, 2019. 19 Appoint the President and Vice -President of the Temecula Community Services District for Calendar Year 2019 - Approved Staff Recommendation (5-0); Motion by Naggar, Second by Edwards; and electronic vote reflected approval by Edwards, Naggar, Schwank, Stewart and Rahn. For the 2019 calendar year, Council Member James Stewart was selected as TCSD President and Council Member Zak Schwank was selected as Vice -President. RECOMMENDATION: 19.1 Appoint the President, effective January 1, 2019, to preside until December 31, 2019; 19.2 Appoint the Vice -President, effective January 1, 2019, to hold this office until December 31, 2019. JOINT MEETING ADJOURNMENT COMMISSION REPORTS PUBLIC SAFETY REPORT CITY MANAGER REPORT CITY ATTORNEY REPORT ADJOURNMENT At 9:33 PM, the City Council meeting was formally adjourned to Tuesday, January 8, 2019, at 5:30 PM for Closed Session, with regular session commencing at 7:00 PM, City Council Chambers, 41000 Main Street, Temecula, California. Matt Rahn, Mayor ATTEST: Randi Johl, City Clerk [SEAL] Action Minutes 121118 6 Item No. 3 Approvals City Attorney Director of Finance City Manager CITY OF TEMECULA AGENDA REPORT TO: City Manager/City Council FROM: Jennifer Hennessy, Director of Finance DATE: January 8, 2019 SUBJECT: Approve the List of Demands PREPARED BY: Pascale Brown, Fiscal Services Manager Jada Shafe, Accounting Technician II RECOMMENDATION: That the City Council adopt a resolution entitled: RESOLUTION NO. 19- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA ALLOWING CERTAIN CLAIMS AND DEMANDS AS SET FORTH IN EXHIBIT A BACKGROUND: All claims and demands are reported and summarized for review and approval by the City Council on a routine basis at each City Council meeting. The attached claims represent the paid claims and demands since the last City Council meeting. FISCAL IMPACT: All claims and demands were paid from appropriated funds or authorized resources of the City and have been recorded in accordance with the City's policies and procedures. ATTACHMENTS: 1. Resolution 2. List of Demands RESOLUTION NO. 19- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA ALLOWING CERTAIN CLAIMS AND DEMANDS AS SET FORTH IN EXHIBIT A THE CITY COUNCIL OF THE CITY OF TEMECULA DOES HEREBY RESOLVE AS FOLLOWS: Section 1. That the following claims and demands as set forth in Exhibit A, on file in the office of the City Clerk, has been reviewed by the City Manager's Office and that the same are hereby allowed in the amount of $13,005,786.22. Section 2. The City Clerk shall certify the adoption of this resolution. PASSED, APPROVED, AND ADOPTED by the City Council of the City of Temecula this 8th day of January, 2019. Michael S. Naggar, Mayor ATTEST: Randi Johl, City Clerk [SEAL] STATE OF CALIFORNIA ) COUNTY OF RIVERSIDE ) ss CITY OF TEMECULA ) I, Randi Johl, City Clerk of the City of Temecula, do hereby certify that the foregoing Resolution No. 19- was duly and regularly adopted by the City Council of the City of Temecula at a meeting thereof held on the 8th day of January, 2019, by the following vote: AYES: COUNCIL MEMBERS: NOES: COUNCIL MEMBERS: ABSTAIN: COUNCIL MEMBERS: ABSENT: COUNCIL MEMBERS: Randi Johl, City Clerk CITY OF TEMECULA LIST OF DEMANDS 11/29/2018 TOTAL CHECK RUN: $ 1,378,558.51 12/06/2018 TOTAL CHECK RUN: 5,080,799.15 12/13/2018 TOTAL CHECK RUN: 5,463,176.48 11/29/2018 TOTAL PAYROLL RUN: 447,739.22 12/06/2018 TOTAL PAYROLL RUN: 94,012.74 12/13/2018 TOTAL PAYROLL RUN: 541,500.12 TOTAL LIST OF DEMANDS FOR 01/08/2019 COUNCIL MEETING: $ 13,005,786.22 DISBURSEMENTS BY FUND: CHECKS: CITY OF TEMECULA LIST OF DEMANDS 001 GENERAL FUND 125 PEG PUBLIC EDUCATION & GOVERNMENT 140 COMMUNITY DEV BLOCK GRANT 165 AFFORDABLE HOUSING 170 MEASURE A FUND 190 TEMECULA COMMUNITY SERVICES DISTRICT 192 TCSD SERVICE LEVEL B STREET LIGHTS 194 TCSD SERVICE LEVEL D REFUSE RECYCLING 195 TCSD SERVICE LEVEL R STREET ROAD MAINTENANCE 196 TCSD SERVICE LEVEL "L" LAKE PARK MAINT. 197 TEMECULA LIBRARY FUND 210 CAPITAL IMPROVEMENT PROJECTS FUND 300 INSURANCE FUND 305 WORKERS' COMPENSATION 310 VEHICLE AND EQUIPMENT FUND 320 INFORMATION TECHNOLOGY 330 CENTRAL SERVICES 340 FACILITIES 380 SARDA DEBT SERVICE FUND 395 2011 FINANCING LEASE CIVIC CENTER & CRC 396 2018 FINANCING LEASE MRC 472 CFD 01-2 HARVESTON A&B DEBT SERVICE 473 CFD 03-1 CROWNE HILL DEBT SERVICE FUND 474 AD03-4 JOHN WARNER ROAD DEBT SERVICE 475 CFD03-3 WOLF CREEK DEBT SERVICE FUND 476 CFD 03-6 HARVESTON 2 DEBT SERVICE FUND 477 CFD 03-02 RORIPAUGH DEBT SERVICE FUND 478 CFD 16-01 RORIPAUGH PHASE II 501 SERVICE LEVEL"C"ZONE 1 SADDLEWOOD 502 SERVICE LEVEL"C"ZONE 2 WINCHESTER CREEK 503 SERVICE LEVEL"C"ZONE 3 RANCHO HIGHLANDS 504 SERVICE LEVEL"C"ZONE 4 THE VINEYARDS 505 SERVICE LEVEL"C"ZONE 5 SIGNET SERIES 506 SERVICE LEVEL"C"ZONE 6 WOODCREST COUNTRY 507 SERVICE LEVEL"C"ZONE 7 RIDGEVIEW 508 SERVICE LEVEL"C"ZONE 8 VILLAGE GROVE 509 SERVICE LEVEL"C"ZONE 9 RANCHO SOLANA 510 SERVICE LEVEL"C"ZONE 10 MARTINIQUE 511 SERVICE LEVEL"C"ZONE 11 MEADOWVIEW 512 SERVICE LEVEL"C"ZONE 12 VINTAGE HILLS 513 SERVICE LEVEL"C"ZONE 13 PRESLEY DEVELOP. 514 SERVICE LEVEL"C"ZONE 14 MORRISON HOMES 515 SERVICE LEVEL"C"ZONE 15 BARCLAY ESTATES 516 SERVICE LEVEL"C"ZONE 16 TRADEWINDS 517 SERVICE LEVEL"C"ZONE 17 MONTE VISTA 518 SERVICE LEVEL"C"ZONE 18 TEMEKU HILLS 519 SERVICE LEVEL"C"ZONE 19 CHANTEMAR 520 SERVICE LEVEL"C"ZONE 20 CROWNE HILL 521 SERVICE LEVEL"C"ZONE 21 VAIL RANCH 522 SERVICE LEVEL"C"ZONE 22 SUTTON PLACE 523 SERVICE LEVEL"C"ZONE 23 PHEASENT RUN 524 SERVICE LEVEL"C"ZONE 24 HARVESTON 525 SERVICE LEVEL"C"ZONE 25 SERENA HILLS 526 SERVICE LEVEL"C"ZONE 26 GALLERYTRADITION 527 SERVICE LEVEL"C"ZONE 27 AVONDALE 528 SERVICE LEVEL"C"ZONE 28 WOLF CREEK 529 SERVICE LEVEL"C"ZONE 29 GALLERY PORTRAIT 700 CERBT CALIFORNIA EE RETIREE-GASB45 701 PENSION RATE STABILIZATION FUND $ 1,157,193.55 72,624.64 2,390.29 16,200.93 999,950.21 442,692.42 74,672.49 2,293.51 2,800.00 13,708.24 10,082.67 2,506,326.56 43,174.15 2,517.79 29,999.78 397,761.78 16,330.82 33,439.03 3,931,823.38 512,421.72 138,951.50 166.71 166.41 166.71 166.71 166.71 166.71 361.04 2,995.99 2,164.38 2,588.82 440.14 2,300.91 1,256.72 950.94 8,256.92 181.35 560.62 215.42 6,265.55 2,785.97 1,162.19 573.71 1,646.29 132.31 7,169.02 2,987.95 9,926.40 15,869.58 248.04 439.28 9,782.20 2,490.19 127.59 661.48 14,770.08 217.64 9,709.00 1,404,941.00 $ 11,922,534.14 CITY OF TEMECULA LIST OF DEMANDS 001 GENERAL FUND 140 COMMUNITY DEV BLOCK GRANT 165 AFFORDABLE HOUSING 190 TEMECULA COMMUNITY SERVICES DISTRICT 192 TCSD SERVICE LEVEL B STREET LIGHTS 194 TCSD SERVICE LEVEL D REFUSE RECYCLING 196 TCSD SERVICE LEVEL "L" LAKE PARK MAINT. 197 TEMECULA LIBRARY FUND 300 INSURANCE FUND 305 WORKERS' COMPENSATION 320 INFORMATION TECHNOLOGY 330 CENTRAL SERVICES 340 FACILITIES 472 CFD 01-2 HARVESTON A&B DEBT SERVICE 473 CFD 03-1 CROWNE HILL DEBT SERVICE FUND 474 AD03-4 JOHN WARNER ROAD DEBT SERVICE 475 CFD03-3 WOLF CREEK DEBT SERVICE FUND 476 CFD 03-6 HARVESTON 2 DEBT SERVICE FUND 477 CFD 03-02 RORIPAUGH DEBT SERVICE FUND 478 CFD 16-01 RORIPAUGH PHASE II 501 SERVICE LEVEL"C"ZONE 1 SADDLEWOOD 502 SERVICE LEVEL"C"ZONE 2 WINCHESTER CREEK 503 SERVICE LEVEL"C"ZONE 3 RANCHO HIGHLANDS 504 SERVICE LEVEL"C"ZONE 4 THE VINEYARDS 505 SERVICE LEVEL"C"ZONE 5 SIGNET SERIES 506 SERVICE LEVEL"C"ZONE 6 WOODCREST COUNTR 507 SERVICE LEVEL"C"ZONE 7 RIDGEVIEW 508 SERVICE LEVEL"C"ZONE 8 VILLAGE GROVE 509 SERVICE LEVEL"C"ZONE 9 RANCHO SOLANA 510 SERVICE LEVEL"C"ZONE 10 MARTINIQUE 511 SERVICE LEVEL"C"ZONE 11 MEADOWVIEW 512 SERVICE LEVEL"C"ZONE 12 VINTAGE HILLS 513 SERVICE LEVEL"C"ZONE 13 PRESLEY DEVELOP. 514 SERVICE LEVEL"C"ZONE 14 MORRISON HOMES 515 SERVICE LEVEL"C"ZONE 15 BARCLAY ESTATES 516 SERVICE LEVEL"C"ZONE 16 TRADEWINDS 517 SERVICE LEVEL"C"ZONE 17 MONTE VISTA 518 SERVICE LEVEL"C"ZONE 18 TEMEKU HILLS 519 SERVICE LEVEL"C"ZONE 19 CHANTEMAR 520 SERVICE LEVEL"C"ZONE 20 CROWNE HILL 521 SERVICE LEVEL"C"ZONE 21 VAIL RANCH 522 SERVICE LEVEL"C"ZONE 22 SUTTON PLACE 523 SERVICE LEVEL"C"ZONE 23 PHEASENT RUN 524 SERVICE LEVEL"C"ZONE 24 HARVESTON 525 SERVICE LEVEL"C"ZONE 25 SERENA HILLS 526 SERVICE LEVEL"C"ZONE 26 GALLERYTRADITION 527 SERVICE LEVEL"C"ZONE 27 AVONDALE 528 SERVICE LEVEL"C"ZONE 28 WOLF CREEK 529 SERVICE LEVEL"C"ZONE 29 GALLERY PORTRAIT 700 CERBT CALIFORNIA EE RETIREE-GASB45 $ 627,844.76 2,354.31 12,253.15 278,814.39 808.22 3,687.97 491.26 4,219.40 2,004.06 2,004.17 65,344.07 7,124.14 17,161.32 204.48 204.61 204.48 204.48 204.48 204.48 461.20 (9.43) 31.72 19.32 (7.54) 31.96 6.09 6.06 152.07 (9.32) (1.67) (8.79) 112.13 12.54 (2.97) (3.51) 14.83 (12.37) 107.73 49.25 139.52 255.04 (8.29) (3.34) 226.32 44.10 (9.59) (3.25) 325.64 (8.29) 56,006.69 1,083,252.08 TOTAL BY FUND: $ 13,005,786.22 apChkLst 11/29/2018 11:64:31AM Final Check List CITY OF TEMECULA Page: 1 Bank : union UNION BANK Check # Date Vendor 5239 11/20/2018 006887 UNION BANK OF CALIFORNIA 000867 WESTtN HOTEL, THE 013338 APPLE STORE 000867 WESTIN HOTEL, THE 013338 APPLE STORE 5252 11/21/2018 007282 AMAZON COM INC, SYNCB/AMAZON 5253 11/21/2018 006887 UNION BANK OF CALIFORNIA 006952 PAYPAL 004905 LIEBERT, CASSIDYAND WHITMORE 5254 11/21(2018 006887 UNION BANK OF CALIFORNIA 013338 APPLE STORE 015354 FACEBOOK.COM 015354 FACEBOOK.COM 019070 BECKY'S BAKESHOP 020906 TANYA LOPEZ, DBA CREATIVE CATERING 005690 MICHELLE'S PLACE WOMENS BREAST, CANCER RESOURCE CENTER 016098 CULTIVATING GOOD INC, DBA E A T MARKETPLACE 016098 CULTIVATING GOOD INC, DBA E A T MARKETPLACE 014885 TEMECULA CATERING Description MH '18 MISAC CONFERENCE MH IPAD REPLACEMENT FOR CHILDREN'S MH LODGING: MISAC CONF' HESLIN MH IPAD: THEATER: STRAWN, BILL MH BANK FEE: INFO TECH MISC OFC SUPPLIESCITY MGR MISC OFC SUPPLIES: CITY MGR fitness center bins MISC OFC SUPPLIES: HR JH VERISIGN PAYFLOW PRO TRANSACTION JH ONLINE EDUCATION: HENNESSY. J GB SVC: VIDEO INSTAGRAM STORY. ECO DEV GB FACEBOOK PROMOTING CITY GOVERNMENT GB FACEBOOK PROMOTING CITY GOVERNMENT GB RFRSHMNTS: WOMEN'S YOUTH MENTORSHIP GB RFRSHMNTS: MANUFACTURER'S EVENT GB SUPPLIES' NEW LOCATION OPENING EVENT GB RFRSHMNTS: COLLEGE FAIR GB RFRSHMNTS: COLLEGE FAIR GB RFSHMNTS:BROKERS PGRM Amount Paid Check Total 155.16 431 79 139.30 431 79 20.84 61.72 17.99 216.24 15.74 88.60 70.00 1.99 9.00 3.94 800.00 249.69 50 00 3,570.94 116.50 870.40 1,178.88 311 89 158.60 5,672.46 Page:1 apChkLst 11/29/2018 11:54: 31 A M Final Check List CITY OF TEMECULA Page: 2 Bank union UNION BANK (Continued) Check # Date Vendor 5255 11/21/2018 006887 UNION BANK OF CALIFORNIA 004905 LIEBERT, CASSIDY AND WHITMORE 005244 SOCIETY FOR HUMAN RESOURCE MGM, THE SHR M STORE 008668 WES FLOWERS 021004 VISTA PRINT 001054 CALIF BUILDING OFFICIALS. (CALBO) 000203 JOBS AVAILABLE INC 020497 YOURMEMBERSHIP.COM 004905 LIEBERT CASSIDY AND WHITMORE 017091 1800FLOWERS COM 5256 11/23/2018 006887 UNION BANK OF CALIFORNIA 008668 WES FLOWERS 001264 COSTCO TEMECULA 491 021003 CVS PHARMACY 020790 ZAZZLE COM 007987 WALMART 000305 TARGET BANK BUS CARD SRVCS 015496 SAN DIEGO AIRPORT PARKING 017091 1800FLOWERS COM 000254 PRESS ENTERPRISE COMPANY INC 018925 FIREHOUSE SUBS 5257 11/30/2018 014685 COMPASS BANK 5258 11/23/2018 007282 AMAZON COM INC, SYNCS/AMAZON Description IG LEGISLATIVE UPDATE WEBINAR IG MEMBERSHIP RENEWAL: GARIBAY, IG SUNSHINE FUND IG WORKFORCE PLAN FOLDERS IG ADVERTISING: BUILDING OFFICIAL IG ADVERTISING: BUILDING OFFICIAL IG ADVERTISING; BUILDING OFFICIAL IG WEBINAR: PAYROLL SYSTEM CHANGES IG SUNSHINE FUND 10 BANK FEES: HUMAN RESOURCES IG BANK FEES: HUMAN RESOURCES 10 SUNSHINE FUND IG COSTCO EM SUMMIT SUPPLIES IG SUPPLIES: SEPTEMBER EOQ IG TOTES: TEAM PACE MEMBERS IG SUPPLIES: TEAM PACE MEMBERS IG SUPPLIES. PRINTER ORGANIZER IG PARKING: NEOGOV CONF. CAMERON, G IG SUNSHINE FUND IG SUBSCRIPTION: RISK MANAGEMENT IG RFRSHMNTS YEPP & SUMMIT HELPERS '11 REFUNDING 01/08 CERT PART DEBT SVC misc office supplies: mall pd misc office supplies: mall pd misc office supplies: mall pd MISC SUPPLIES: ECO DEV: WORKFORCI MISC OFFICE SUPPLIES: MALL PD Amount Paid Check Total 70, 00 192 00 61.43 377.88 328.00 479 00 15000 70 00 80 79 22.69 19.44 61 43 111.83 54 95 116.51 260.74 43.49 52.00 69.53 118.97 245.51 512.421.72 13.59 14.32 13 49 31.83 90.25 1,851 23 1.134.96 512,421 72 163 48 Page2 apChkLst Final Check List 11/29/2018 11:54:31AM CITY OF TEMECULA Page: 3 Bank : union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 5259 11/19/2018 018858 FRONTIER CALIFORNIA INC OCT INTERNET SVCS-EOC 5261 11/13/2018 001212 SO CALIF GAS COMPANY OCT 098-255-9828 29119 MARGARITA RD 137,26 13726 56.72 56.72 5262 11/13/2018 001212 SO CALIF GAS COMPANY OCT 101-525-1560-6 27415 76.27 76 27 ENTERPRISE CIR 5263 11/13/2018 001212 SO CALIF GAS COMPANY OCT 117-188-6393-6 32131 S LOOP RD 87.98 87 98 5264 11/08/2018 001212 SO CALIF GAS COMPANY OCT 196-025-0344-3 42081 MAIN ST 8.33 8 33 5265 11/08/2018 001212 SO CALIF GAS COMPANY OCT 060-293-3315-7 28922 PUJOL ST 15.29 15.29 5266 11/08/2018 001212 SO CALIF GAS COMPANY OCT 101-525-0950 28818 PUJOL ST 17.14 17 14 5267 11/08/2018 001212 SO CALIF GAS COMPANY OCT 133-040-7373-0 43210 BUS PARK 19.92 19.92 DR 5268 11/08/2018 001212 SO CALIF GAS COMPANY OCT 028-025-1468-3 41375 MCCABE ST 20.85 20.85 5269 11/08/2018 001212 SO CALIF GAS COMPANY OCT 129-582-9784-3 43230 BUS PARK 30.13 30 13 DR 5270 11/08/2018 001212 SO CALIF GAS COMPANY OCT 026-671-2909-8 42051 MAIN ST 41.25 41.25 5271 11/08/2018 001212 SO CALIF GAS COMPANY OCT 181-383-8881-6 28314 MERCEDES 43.09 43.09 ST 5272 11/08/2018 001212 SO CALIF GAS COMPANY OCT 021-725-0775-4 41845 6TH ST 82.95 82 95 5273 11/08/2018 001212 SO CALIF GAS COMPANY OCT 129-535-4236-7 41000 MAIN ST 640.84 640.84 5274 11/08/2018 001212 SO CALIF GAS COMPANY OCT 091-024-9300-5 30875 RANCHO 1,171.16 1,171.16 VISTA 5275 11/09/2018 000537 SO CALIF EDISON OCT 2-31-936-3511 46488 PECHANGA 48.69 48.69 PKWY 5276 11/09/2018 000537 SO CALIF EDISON OCT 2-40-380-2424 40750 92 50 92 50 BUTTERFIELD STG Page3 apChkLst Final Check List 11/29/2018 11:54:31AM CITY OF TEMECULA Page: 4 Bank : union UNION BANK (Continued) Check iF Date Vendor 5277 11/09/2018 000537 SO CALIF EDISON 5278 11/09/2018 000537 SO CALIF EDISON Description Amount Palo Check Total OCT 2-29-657-2563 42902 194 28 194.28 BUTTERFIELD STG OCT 2-27-560-0625 32380 2,913.33 2913 33 DEERHOLLOW WAY 5279 11/13/2018 000537 SO CALIF EDISON OCT 2-41-072-5246 29429 TEM PKWY 118,835.16 118,835.18 5280 11/23/2018 000262 RANCHO CALIF WATER 3000112-REDHAWK PKWY 41,220 10 41,220.10 DISTRICT 5281 11/29/2018 010349 CALIF DEPT OF CHILD SUPPORT PAYMENT 899.07 899.07 SUPPORT 5282 11/29/2018 000194 I C MA RETIREMENT -PLAN ICMA-RC LOAN REPAYMENT PAYMENT 829.73 829.73 303355 5283 11/29/2018 000444 INSTATAX (EDD) STATE TAXES PAYMENT 21,478.59 21,478.59 5284 11/29/2018 000283 INSTATAX (IRS) FEDERAL TAXES PAYMENT 72,49845 72,498.45 5285 11/29/2018 000389 NATION%MDE RETIREMENT OBRA- PROJECT RETIREMENT 2,659 70 2,659 70 SOLUTION PAYMENT 5288 11/29/2018 000246 PERS (EMPLOYEES' PERS RETIREMENT PAYMENT 100,924.04 100,924.04 RETIREMENT) 5287 11/29/2018 006887 UNION BANK OF CALIFORNIA 001282 KNORR SYSTEMS INC PT AQUATICS OPERATOR TRAINING: 790 00 006952 PAYPAL PT SUPPLIES: PLASMA DISPLAYS AT 596.77 1,386 77 IWTCM 5286 11/15/2018 016564 IMPACT TELECOM OCT 800 SERVICES: CIVIC CENTER 57.63 57.63 5289 11/13/2018 018858 FRONTIER CALIFORNIA INC NOV INTERNET SVCS -THEATRE 148 98 148.98 5290 11/20/2018 018858 FRONTIER CALIFORNIA INC NOV INTERNET SVCS -LIBRARY 8.49 8.49 5291 11/20/2018 018858 FRONTIER CALIFORNIA INC NOV INTERNET SVCS -LIBRARY 8.49 8 49 5292 11/20/2018 018858 FRONTIER CALIFORNIA INC NOV INTERNET SVCS -SKATE PARK 43.94 43.94 Page:4 apChkLst 11/29/2018 11: 54:31 A M Final Check List CITY OF TEMECULA Page: 5 Bank : union UNION BANK (Continued) Check # Date Vendor 5293 11/20/2018 018858 FRONTIER CALIFORNIA INC 5294 11/20/2018 010276 TIME WARNER CABLE 5295 11/20/2018 010276 TIME WARNER CABLE 5296 11/20/2018 010276 TIME WARNER CABLE 5297 11/26/2018 010276 TIME WARNER CABLE 5298 11/26/2018 010276 TIME WARNER CABLE 5299 11/27/2018 010276 TIME WARNER CABLE 5300 11/29/2018 007282 AMAZON COM INC, SYNCB/AMAZON 192576 11/20/2018 020992 SCHARPEN FOUNDATION INC, THE 192577 11/29/2018 001517 AETNA BEHAVIORAL HEALTH LLC, DBAAETNA RESOURCES 192578 11/29/2018 003951 ALLAMERICAN ASPHALT 192579 11/29/2018 009374 ALLEGRO MUSICAL VENTURES, DBAALLEGRO PIANO SERVIC 192580 11/29/2018 006915 ALLIE'S PARTY EQUIPMENT RENTAL INC 192581 11/29/2018 013950 AQUA CHILL OF SAN DIEGO Description NOV INTERNET SVCS -STATION 95 NOV INTERNET SVCS -28922 PUJOL ST NOV INTERNET SVCS- 41845 6T1-1 ST NOV INTERNET SVCS -32380 DEER HOLLOW WAY NOV INTERNET SVCS -32364 OVERLAND TRL NOV INTERNET SVCS -40820 WINCHESTER RD NOV INTERNET SVCS -29119 MARGARITA RD MISC OFC SUPPLIES: TEMECULA PD MISC SUPPLIES:HUMAN SVCS PGRMS BOOKS/COLLECTIONS: U BRARY RELEASE SETTLEMENTAGRMNT PAYMENT DEC EMPLOYEE ASSISTANCE PRGM DEC EMPLOYEE ASSISTANCE PRGM:HR ASPHALT SUPPLIES: STREET MAINT ASPHALT SUPPLIES: PW STREET MAINT ASPHALT SUPPLIES: PW ST MAINT PIANO TUNING LIBRARY TABLE & CHAIR RENTALS-PECHANGA PUESKA NOV DRINKING WTR SYSTEM: CIV CTR NOV DRINKING WATER SVCS: INFO TEC NOV DRINKING WTR SYSTEM: JRC NOV DRINKING WTR SYSTEM: MPSC NOV WATER SVCS' POLICE STOREFROI NOV WATER SVCS POLICE STOREFROI NOV DRINKING WATER SYSTEM: PW Amount Paid Check Total 124 52 124 52 586.77 586 77 586.77 54 99 586.77 348.29 79.99 31.04 17 48 2,557.17 1,302.40 44.00 424.70 209 05 534.58 185.00 1,55028 183.71 28 28 28 28 34 75 28.28 56.57 28.28 586.77 586.77 586.77 54 99 586 77 348 29 128.51 2,557.17 1,346.40 1,16833 185.00 1,550 28 388 15 Page:5 apChkLst 11/29/2018 11:54:31AM Final Check List CITY OF TEMECULA Page: 6 Bank union UNION BANK (Continued) Check # Date Vendor 192582 11/29/2018 0'7149 B G P RECREATION INC 192583 11/29/2018 011954 BAKER AND TAYLOR INC 192584 11/29/2018 018101 BARN STAGE COMPANY INC, THE 92585 1'./29/2018 018408 BOB CALLAHAN'S POOL SERVICE 192586 11/29/2018 011348 BONCOR WATER SYSTEMS LLC, DBA SUNSHINE WATER SOFT 192587 11/29/2018 015834 BOYER WAYNE E, DBA MOTOPORT USA 192588 11/29/2018 003138 CAL MAT, DBA VULCAN MATERIALS CO 192589 11/29/2018 004248 CALIF DEPT OF JUSTICE-ACCTING 192590 11/29/2018 016688 CALIFORNIA WATERSHED ENG CORP, DBA CWE 192591 11/29/2018 004462 CDW LLC, DBA CDW GOVERNMENT LLC 192592 11/29/2018 000137 CHEVRON AND TEXACO, BUSINESS CARD SERVICES 192593 11/29/2018 019468 CHS EDUCATION FOUNDATION 192594 11/29/2018 020201 CIRCLE OF SAFE -T INC 192595 11/29/2018 000442 COMPUTER ALERT SYSTEMS Description TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS BOOK COLLECTIONS:LIBRARY BOOK COLLECTIONS:LIBRARY BOOK COLLECTIONS:LIBRARY BOOK COLLECTIONS:LIBRARY BOOK COLLECTIONS:LIBRARY BOOK COLLECTIONS:LIBRARY STTLMNT. CABARET AT THE MERC 11/25/18 NOV POOUFOUNTAIN MAINT: VARI LOCATIONS NOV POOUFOUNTAIN MAINT: VARI LOC/ NOV WATER TANK FILTER: STA 73 motor uniforms: temecula police ASPHALT SUPPLIES: STREET MAINT OCT FINGERPRINT SVCS: VARI DEPTS 6/1-9/30 DSGN SVCS: FLOOD CNTRL CHANNEL UPS REPLACEMENT:FOC & THEATER SMALL TOOLS & EQUIP:INFO TECH UPS REPLACEMENT:FOC & THEATER OCT 18 CITY VEHICLES FUEL: POLICE DEPT REFUND: SEC DEPOSIT TCC 11(16/18 SART EXAMS: TEMECULA POLICE SART EXAMS: TEMECULA POLICE SART EXAMS: TEMECULA POLICE CRC: SVC CALL :SECURITY EQUIP Amount Pald Check Total 3,465.00 1,386.00 4,709.25 9,560.25 30.39 131.36 49.75 122.13 10.27 993.49 1,337.39 756.00 756.00 950.00 1,100-00 2,05000 267 20 267.20 396.94 396.94 253.16 253.16 3,325.00 3,325.00 2,467.00 2,467.00 829.58 218 32 829.58 1,877 48 1,683.19 1,683.19 200.00 200.00 1,200.00 1,200.00 1,200.00 3,60000 88 05 88.05 Page.6 apChkLst 11129/2018 11: 54:31 A M Final Check List CITY OF TEMECULA Page: 7 Bank : union UNION BANK (Continued) Check N Date Vendor 192596 11/29/2018 011922 CORELOGIC INC, DBA CORELOGIC SOLUTIONS 192597 11/29/2018 010747 CORNERSTONE CHRISTIAN, BAPTIST CHURCH 192598 11/29/2018 004329 COSTCO TEMECULA491 192599 11/29/2018 020105 CUMBERBATCH, JAMAL 192600 11/29/2018 003272 DAISY WHEEL RIBBON CO INC DBA, DAISY IT SUPPLIES SALES 192801 11/29/2018 014580 DANCE THEATRE COLLECTIVE, OF SOUTHERN CALIFORNIA 192802 11/29/2018 001393 DATA TICKET INC, DBA REVENUE EXPERTS 192803 11/29/2018 012600 DAVID EVANS & ASSOCIATES INC 192604 11/29/2018 020997 DIAMOND, JILL 192605 11/29/2018 004192 DOWNS ENERGY FUEL 192606 11/29/2018 018098 ELITE CLAIMS MANAGEMENT INC 192607 11/29/2018 011292 ENVIRONMENTAL SCIENCE ASSOC 192608 11/29/2018 015090 EVAPCO PRODUCTS INC, DBA DOLPHIN W4TERCARE 192609 11/29/2018 015330 FAIR HOUSING COUNCIL, OF RIVERSIDE COUNTY INC Description Amount Paid Check Total OCT PROP ID SFTWR: CODE ENFORCEMENT REFUND: SEC DEPOSIT CRC 11/18/18 SUPPLIES:SISTER CITY EVENT SUPPLIES:SISTER CITY EVENT SUPPLIES:CULTURALARTS EVENTS TCSD INSTRUCTOR EARNINGS PRINTER & PLOTTER SUPPLIES:GIS/CIV CTR STTLMNT DANCEXCHANGE 11/20/18 OCT CITATION PROCESSING: POLICE SEP ENG SVCS - CIP REFUND: LIBRARY SMARTPAY FUEL FOR CITY VEHICLES: PUBLIC WORKS FUEL FOR CITY VEHICLES: BLDG & SAFi FUEL FOR CITY VEHICLES: CODE ENFOI FUEL FOR CITY VEHICLES: POLICE DEP DEC 18 3RD PARTY CLAIM ADMIN: WRKRS COM AUG CEQAANALYSIS:AFFORDABLE HOUSING OCT ADDENDUM EIR: UPTOWN JEFFER SEP CEQAANALYSIS:AFFORDABLE HOL NOV CIVIC CTR: CONDENSER H2O SYS MAINT OCT CDBG SUB -RECIPIENT: FAIR HOUSING SVC 32850 200 00 230.04 18 41 55.02 693.00 225.44 154.00 995 01 6,337.14 18.40 21283 228.07 157.62 50.38 1,250 00 8,260 60 270.00 220.16 618.30 328.50 200.00 301.47 693.00 225.44 154.00 995.01 8,337.14 18.40 648 90 1,250.00 8,750.78 618.30 1,137.90 1,137.90 Page:7 apChkLst Final Check List 11/29/2018 11:54:31AM CITY OF TEMECULA Page: 8 Bank union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 192610 11/29/2018 009953 FEDERAL CLEANING OCT JANITORIAL SVCS'POLICE MALL 922 50 CONTRACTORS, DBA FEDERAL OFC BLDG SERVICES 192611 11/29/2018 000165 FEDERAL EXPRESS INC 192612 11/29/2018 010804 FEHR & PEERS 192613 11/29/2018 000166 FIRST AMERICAN TITLE COMPANY 192614 11/29/2018 020921 FLETCHER, COURTNEY NOV JANITORIAL SVCS:POLICE MALL OF 922.50 1,845.00 11/02 EXP MAIL SVCS. POLICE & CODE 100.39 ENF 11/13 EXP MAIL SVCS: CITY CLERK 89 01 189.40 OCT OLD TOWN PARKING 21,413.94 STUDY:PLANNING SEP OLD TOWN PARKING STUDY:PLANN 1,958 01 23 369.95 PRELIMINARY TITLE REPORT 750 00 750.00 REIMB:SUPPLIES. DEDICATION 207.02 207.02 CEREMONY 192615 11/29/2018 002982 FRANCHISE TAX BOARD KRACH, GREE - CASE# 603016103 48.43 48.43 192616 11/29/2018 018858 FRONTIER CALIFORNIA INC VOID 0.00 NOV INTERNET SVCS'SKATE PARK & SR 0.00 NOV INTERNET SVCS -41000 MAIN ST 0.00 192617 11/29/2018 000177 GLENNIES OFFICE PRODUCTS MISC OFC SUPPLIES: CITY CLERK 83.50 INC 192618 11/29/2018 009608 GOLDEN VALLEY MUSIC SOCIETY, DBA CA CHAMBER ORCHESTRA MISC OFC SUPPLIES: CITY CLERK 36.02 MISC OFC SUPPLIES:CODE ENFORCEM 120.07 Table for Teen Room crc 439.95 MISC OFC SUPPLIES PW 66.39 OFFICE SUPPLIES: FOC -42.18 STTLMNT: CLASSICS AT THE MERC NOV'18 0.00 703.75 619 50 619 50 Page:8 apChkLst Final Check List 11/29/2018 11:54:31AM CITY OF TEMECULA Page: 8 Bank union UNION BANK (Continued) Check # Date Vendor 192619 11/29/2018 000186 HANKS HARDWARE INC 192620 11/29/2018 013749 HELIXSTORM INC 192621 11/29/2018 010210 HOME DEPOT SUPPLY INC; THE Description Amount Pald Check Total HARDWARE SUPPLIES - PREV & STA 140.22 95 MAINT SUPPLIES: CRC 5.92 MAINT SUPPLIES: AQUATICS 13 04 MAINT SUPPLIES: VARI PARKS 59.79 MAINT SUPPLIES: CRC 469.77 MAINT SUPPLIES: CIVIC CTR 130.28 MAINT SUPPLIES: CIVIC CTR 52.12 MAINT SUPPLIES: STREETS 66 23 Misc. small tools & equip: pw traffic 85.02 MAINT SUPPLIES: CRC 54 06 MAINT SUPPLIES: CRC 14.12 MAINTENANCE SUPPLIES. VARIOUS PAF 429.90 MAINTENANCE SUPPLIES: VARIOUS PAF 33 28 MAINT SUPPLIES: CRC 66.28 MAINT SUPPLIES: CIVIC CTR 65 14 MAINT SUPPLIES: VARI PARKS 167.16 MAINT SUPPLIES: VARI PARKS 92.09 MAINT SUPPLIES: STREET MAINT 318.86 MAINT SUPPLIES: CHILDREN'S MUSEUM 83.44 MAINT SUPPLIES: CMC CTR 34.30 MAINT SUPPLIES: CIVIC CTR 25.51 HARDWARE SUPPLIES - STA 95 14.53 MAINT SUPPLIES: OLD TOWN & GARAGE 15.49 MAINT SUPPLIES: TVM 10 41 HARDWARE SUPPLIES STA 12 34.19 MAINT SUPPLIES: CIVIC CTR 4 99 MAINT SUPPLIES: CIVIC CTR 43.35 MAINT SUPPLIES: CMC CTR 103.30 MAINT SUPPLIES: CRC 107 88 MAINT SUPPLIES: CRC 24.99 MAINT SUPPLIES: CRC 14.83 expansion of storage area network:info IT INFRASTRUCTURE SUPPORT:INFO TE HPE SUPPORT RENEVVAL:LIBRARY SER' HARD DRIVES FOR BLADES:INFO TECH CHILDREN'S MUSEUM' VARIOUS SUPPLIES CHILDREN'S MUSEUM: VARIOUS SUPPL SMALL TOOLS CIVIC CENTER 117,624.64 3,150.00 2,622.00 6,020.64 818 45 488 02 2,780 49 129,417 28 223.89 1,530.36 192622 11/29/2018 017334 HOUSE OF AUTOMATION INC OT GARAGE: PM GARAGE ROLL -UP 298 00 DOORS BAY DOORS REPAIR- STA 73 255.00 553.00 192623 11/29/2018 021002 J5 INFRASTRUCTURE REFUND PA18-0772APN 921-720-001 1,436.50 1,436.50 PARTNERS LLC Page9 apChkLst Final Check List 1112912018 11:54:31AM CITY OF TEMECULA Page: 10 Bank : union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 192624 11/29/2018 000820 K R W & ASSOCIATES OCT ENG PLAN CK & REVIEW PW 192625 11/29/2018 001091 KEYSER MARSTON AUG AFFORDABLE HOUSING ASSOCIATES INC ANALYSIS:COM DEV 192826 11/29/2018 017118 KRACH BREE 8, DBA TEMECULA TROPHY & DES 192627 11/29/2018 004905 LIEBERT, CASSIDYAND WHITMORE 427000 4,27000 2,750.63 2,75053 BROKERS RECOGNITION AWARDS: 193.71 ECO DEV CREDIT. TAX WITHHOLDING CASE 60301 -48.43 145 28 OCT HR LEGAL SVCS FOR 703 00 TE060-0000' OCT HR LEGAL SVCS FOR TE060-00016 2,225.00 OCT HR LEGAL SVCS FOR TE060-00011 3,058.00 5,986 00 192628 11/29/2018 011145 LODATO JILL CHRISTINE, DBA TCSD INSTRUCTOR EARNINGS 1,519.00 THE PARTY MOM TCSD INSTRUCTOR EARNINGS 2,499 00 192629 11/29/2018 015733 LOS ANGELES, COUNTY OF, CALIBRATION SVCS: TEM POLICE 100 00 AGRICULTURAL COMMISSIONER 192630 11/29/2018 013982 M C I COMM SERVICE NOV XXX -0346 GENERAL USAGE 33.99 NOV XXX -0714 GEN USAGE PD MALL AL 192631 11/29/2018 014365 MAILFINANCE INC 12/14-03/13 POSTAGE METER:LEASE 192632 11/29/2018 003782 MAIN STREET SIGNS, DBA ATHACO INC 4,018.00 100.00 35.54 69.53 1,224.94 1,224.94 MISC SIGNAGE: PARK & RIDE FACILITY 1,163.05 VARIOUS PARK SIGNS & SUPPLIES SIGN REPLACEMENT SUPPLIES:PW SIGN REPLACEMENT SUPPLIES:PW STF SIGN REPLACEMENT SUPPLIES:PW VARIOUS PARK SIGNS & SUPPLIES 192633 11/29/2018 013826 MALL MEDIA INC SUPPLIES HOLIDAY EVENTS 310 32 5,831 86 1,619.34 68.82 470.55 9,463.94 273,52 273.52 Page:10 apChkLst 11/29/2018 11:54:31AM Final Check List CITY OF TEMECULA Page: 11 Bank : union UNION BANK (Continued) Check # Date Vendor 192634 11/29/2018 015955 METRO FIRE & SAFETY INC 192635 11/29/2018 016445 MKB PRINTING & PROMOTIONAL INC, DBA MINUTEMAN PRESS 192636 11/29/2018 010990 MOORE IACOFANO GOLTSMAN INC, DBA M I G 192637 1'(29/2018 004040 MORAMARCO ANTHONY J, DBA BIGFOOT GRAPHICS 192638 V /29/2018 000209 NUTRIEN AG SOLUTIONS INC. DBA CROP PRODUCTION SRVCS 192639 11/29/2018 017148 OAKLEY SALES CORP 192640 11/29/2018 002105 OLD TOWN TIRE AND SERVICE 192641 11/29/2018 002105 OLD TOWN TIRE AND SERVICE 192642 11/29/2018 002105 OLD TOWN TIRE AND SERVICE 192643 11/29/2018 002105 OLD TOWN TIRE AND SERVICE 192644 11/29/2018 002734 PVP COMMUNICATIONS INC Description VAR FACILITIES: LIBRARY FIRE EXT INSPECTION. TCC FIRE EXT INSPECTION: CHILDREN'S MU FIRE EXT INSPECTION: MPSC FIRE EXT INSPECTION: TVM FIRE EXT INSPECTION: CRC FIRE EXT INSPECTION: PARKING GARAC FIRE EXT INSPECTION: TVE2 FIRE EXT INSPECTION: FOC FIRE EXT INSPECTION: WEST WING FIRE EXT INSPECTION: MRC FIRE EXT INSPECTION: THEATER FIRE EXT INSPECTION: CIVIC CTR PBSP:REPLACE HYDROTESTAMEREX( Business cards: Luke Watson OCT CONTRACT PLANNING SVCS: PLANNING TCSD INSTRUCTOR EARNINGS PARK MAINTENANCE: CHAINSAW CHAIN CREDIT: BALANCE ON ACCOUNT MOTOR GEAR AND ACCESSORIES: POLICE MOTOR GEAR AND ACCESSORIES: POLI CITY VEHICLE MAINT SVCS:BLDG & SAFETY CITY VEHICLE MAINT SVCS:PARKS/FACILITIES CITY VEHICLE MAINT SVCS:PARKS/FACI CITY VEHICLE MAINT SVCS:CODE ENF CITY VEHICLE MAINT SVCS POLICE MOTOR HELMET REPAIR:TEMCULA POLICE Amount Paid Check Total 8100 27.65 27.65 2765 35.55 144.20 161.01 92.85 61.25 23.70 61.25 82.95 193 55 395.00 142.40 540 00 56.00 445.86 -338 95 253.21 87.09 446.65 153.26 382.51 346.55 151 59 1,415.26 142.40 540.00 56.00 106.91 340.30 446.65 535.77 346.55 151.59 44.10 44 10 Page:11 apChkLst Final Check List 11129/2018 11:54:31AM CITY OF TEMECULA Page: 12 Bank : union UNION BANK (Continued) Check # Date Vendor 192645 11/29/2018 014379 PROFESSIONAL IMAGE ADVERTISING, DBA EXTREME SIGNSGRAPHICS Description Amount Pald Check Total BANNERS FOR CAREER FAIRS: HR 267.08 267 08 192648 11/29/2018 019308 PUBLIC RETIREMENT OCT 18 TO SEPT 19 SUBSCR:HR 250.00 250.00 JOURNAL, THE 192647 11/29/2018 010652 QUALITY CODE PUBLISHING MUNICIPAL CODE SERVICES: CITY 1,962 30 1,962 30 CLERK 192648 11/29/2018 014494 R & R CONTROLS, INC EPA ID/HAZARDOUS WASTE 612.00 61200 MANIFEST FEES 192649 11/29/2018 004457 R J NOBLE COMPANY RELEASE RETENTION:PAVEMENT 62,560.88 62,560.88 REHAB 1726 192650 11/29/2018 009066 RADAR SHOP INC, THE LIDAR SERVICE REPAIR: TEMECULA 109.00 109.00 PD 192851 11/29/2018 000947 RANCHO REPROGRAPHICS REPROGRAPHIC SRVCS:CRC POOL, 535.29 535 29 PW18-02 192652 11129/2018 020429 REMOTE SATELLITE SYSTEMS DEC '18 SATELLITE PHONE SRVS:EOC 280.00 280 00 INTL 192653 11/29/2018 000418 RIVERSIDE CO CLERK & RECORDER 192654 11/29/2018 012251 ROTH, DONALD J EXEMPTION NTC:CRC POOL ENHANCEMENTS 50.00 50.00 TCSD INSTRUCTOR EARNINGS 378.00 TCSD INSTRUCTOR EARNINGS 126.00 504.00 192655 11(29/2018 000278 SAN DIEGO UNION -TRIBUNE OCT PUBLIC NTCS:CITY 1,183 72 1,183.72 CLERK/PLNG/PW 192658 11/29/2018 009980 SANBORN GWYNETH A, CO COUNTRY LIVEI ® THE MERC 11/15/18 426 00 426.00 TEMECULA MUSIC ACADEMY 192657 11/29/2018 019817 SARKIS CONCEPTS INC, DBA REFRESHMENTS:SANTA ELEC 2,017,11 2,017 11 PAT & OSCARS - TEME PARADE 11/30 192658 11/29/2018 017699 SARNOWSKI SHAWNA M PHOTOGRAPHY SRVCS:PUESKA MTN 150.00 150.00 PRESTON DAY'18 192659 11/29/2018 009213 SHERRY BERRY MUSIC JAZZ © THE MERC 11/15/18 507.00 507.00 192660 11/29/2018 009746 SIGNS BY TOMORROW CHRISTMAS DECORATING CONTEST 153.43 153 43 SIGN Page:12 apChkLst 11/29/2018 11:54:31AM Final Check List CITY OF TEMECULA Page: 13 Bank union UNION BANK (Continued) Check # Date Vendor 192661 11/29/2018 019362 SOFTCHOICE CORPORATION 192662 11/29/2018 002503 SOUTH COAST AIR QUALITY, MANAGEMENT DISTRICT 192663 11/29/2018 000519 SOUTH COUNTY PEST CONTROL INC 192664 11/29/2018 000293 STADIUM PIZZA INC 192665 11/29/2018 008337 STAPLES BUSINESS CREDIT 192666 11/29/2018 020999 STAYMATES, ROBERTA 192667 11/29/2018 015648 STEIN ANDREW, DBA PARKINK 192668 11/29/2018 006145 STENO SOLUTIONS TRANSCRIPTION, SRVCS INC 192669 11/29/2018 016262 STEVE ADAMIAK GOLF INSTRUCTION, AKA STEVEN L ADAMIAK 192670 11/29/2018 013387 SWEEPING UNLIMITED INC 192671 11/29/2018 010679 TEMECULAAUTO REPAIR/RADIATOR, DBAAUTO ENTERPRISE INC 192672 11/29/2018 014552 TEMECULA CARRIAGE COMPANY, LLC 192673 11/29/2018 009948 TEMECULA PERFORMING ARTS CO Description Amount Paid Check Total MICROSOFT ENT LICENSE RENEWALINFO TECH MICROSOFT ENT LICENSE RENEWAL:IN FY 18/19 OPERATING FEES: FOC FY 18/19 EMISSIONS FEES. FOC FY 18/19 OPERATING FEES: STN 84 FY 18/19 EMISSIONS FEES STN 84 PEST CONTROL SRVCS:STA 95 PEST CONTROL. SRVCS:PBSP PEST CONTROL SRVCS:DUCK POND REFRESHMENTS:ECON DEV WORKFORCE 11/14 OFFICE SUPPLIES: THEATER OFFICE SUPPLIES: NPDES REFUND: LIBRARY SMARTPAY MISC SUPPLIES VARIOUS TCSD EVENTS OCT TRANSCRIPTION SRVCS:TEMECULA POLICE TCSD INSTRUCTOR EARNINGS NOV SWEEPING SRVCS:PRKG STRUCTURE VEH MAINTENANCE & REPAIR TCSD HORSE & CARRIAGE:O.T WINTER FEST. 11/23 CARRIAGE RIDES:CHRISTMAS EVENT, T "THE ADDAMS FAMILY" TCKT SALES 11/9-18 192674 11/29/2018 000919 TEMECULA VALLEY UNIFIED REFUND: SEC DEPOSIT CONF CTR SCHOOL, DISTRICT 11/14/18 79,978.42 41,184.00 406,79 131 79 120.26 138 38 80.00 70.00 49 00 70 24 88.44 23.20 26 99 1,946.21 487 53 420 00 540.00 468.07 850 00 250.00 16,574.32 121,162.42 797 22 199 00 70 24 111.64 26 99 1.946.21 487.53 420 00 540.00 468.07 1,100.00 16,574.32 200.00 200.00 Page:13 apChkLst Final Check List 11/29/2018 11:54:31AM CITY OF TEMECULA Page: 14 Bank union UNION BANK (Continued) Check # Date Vendor 192675 11/29/2018 003849 TERRYBERRY COMPANY Description SERVICE AWARDS: HR/SR SERVICE AWARDS: HR/IG SERVICE AWARDS: HR/CS SERVICE AWARDS: HR/LW SERVICE AWARDS: HR/JP SERVICE AWARDS: HR/JW SERVICE AWARDS HR/KH SERVICE AWARDS: HR/BR SERVICE AWARDS: HR/RC SERVICE AWARDS HR/TP SERVICE AWARDS HR/CV SERVICE AWARDS HR/AO SERVICE AWARDS HR/SF SERVICE AWARDS HR/MS SERVICE AWARDS HR/JS SERVICE AWARDS. HR/LW SERVICE AWARDS: HR/BO SERVICE AWARDS: HR/MR SERVICE AWARDS: HR/MB SERVICE AWARDS: HR/CC SERVICE PIN AWARDS HR Amount Paid Check Total 85 36 60 17 102.07 111 42 86 04 136.77 65.00 60 17 115.66 111.42 86 04 86.04 86.04 98.85 110.25 120 70 132.81 121.92 60.17 118.99 3,262.81 5,218.70 192676 11/29/2018 019549 THORESON, KATRINA REIMB: SUPPLIES FOR SISTER CITY 55.40 55 40 VISIT 192677 11/29/2018 017579 U S HEALTHWORKS MEDICAL. MEDICAL SCREENINGS: HR 55.00 GROUP PC MEDICAL SCREENINGS HR 31.00 MEDICAL SCREENINGS: HR 86.00 172.00 192678 11/29/2018 019389 US TRANSPORT & LOGISTICS TO/MNG SRVCS TEMECULA POLICE 500 00 INC, DBA DJ'S TOWING TOWING SRVCS: TEMECULA POLICE 500 00 1,000.00 192679 11/29/2018 020998 VEST, TESSA REFUND: LIBRARY SMARTPAY 25.99 25 99 192680 11/29/2018 002658 VOLLMUTH, MARY REIMB:TEAM PACE EVENT SUPPLIES 190.00 190 00 192681 11/29/2018 001890 VORTEX INDUSTRIES INC 192682 11/29/2018 020178 VP IMAGING, INC, DBA. DOCUNAV SOLUTIONS VARIOUS DOOR REPAIRS: CIVIC 761.40 761.40 CENTER PROF SRVCS:INFO TECH 1,200 00 1,200.00 192683 11/29/2018 003730 WEST COAST ARBORISTS INC 9/1-15/18 TREE MAINT:CITYIMDE R -O -W 5,133.40 5,133.40 Page:14 apChkLst Final Check List 11/29/2018 11:54:31AM CITY OF TEMECULA Page: 15 Bank . union UNION BANK (Continued) Check # Date Vendor Description 192684 11/29/2013 013286 WEST SAFETY SERVICES, INC. OCT ENTERPRISE 911 SVC. IT NOV ENTERPRISE 911 SVC: IT 192685 11/29/2018 000341 WLLDAN ASSOCIATES INC OCT TRAFENG SRVCS:REDHAWKNAIL RANCH Amount Pald Check Total 450.00 375.00 825.00 3,120.00 3,120.00 Grand total for UNION BANK: 1,378,558.51 Page:15 apChkLst Final Check List 11/29/2018 11:54:31AM CITY OF TEMECULA Page: 16 159 checks In this report. Grand Total All Checks. 1,378.558 51 Page:16 apChkLst Final Check List 12/06/2018 10:55:OOAM CITY OF TEMECULA Page: 1 Bank : union UNION BANK Check # Date Vendor Description Amount Paid Check Total 5301 11/30/2018 014685 COMPASS BANK '18 MARGARITA REC CENTER DEBT 138,951.50 138,951.50 SRVC 5302 12/06/2018 000444 INSTATAX (EDD) STATE TAXES PAYMENT 5,483.08 5,483.08 5303 12/06/2018 000283 INSTATAX (IRS) FEDERAL TAXES PAYMENT 15,822.07 15,822.07 5304 12/06/2018 001065 NATIONWIDE RETIREMENT NATIONWIDE RETIREMENT PAYMENT 3,150.00 3,150.00 SOLUTION 5305 12/06/2018 007282 AMAZON COM INC, MISC OFC SUPPLIES: CITY MGR 69.19 SYNCB/AMAZON 5306 11/29/2018 005460 U S BANK 5307 11/16/2018 000537 SO CALIF EDISON 5308 11/19/2018 000537 SO CALIF EDISON 5309 11/19/2018 000537 SO CALIF EDISON 5310 11/19/2018 000537 SO CALIF EDISON 5311 11/19/2018 000537 SO CALIF EDISON 5312 11/19/2018 000537 SO CALIF EDISON BOOKS/COLLECTIONS:LIBRARY 59.26 BOOKS/COLLECTIONS:LIBRARY -13.90 BOOKS/COLLECTIONS:LIBRARY 39.51 BOOKS/COLLECTIONS:LIBRARY 54.01 BOOKS/COLLECTIONS:LIBRARY 13.26 MISC SUPPLIES:HUMAN SVCS PRGM 111.82 SUPPLIES:TVM &ACE 56.54 BOOKS/COLLECTIONS:LIBRARY 114.97 BOOKS/COLLECTIONS:LIBRARY 291.18 BOOKS/COLLECTIONS:LIBRARY 13.40 MISC SUPPLIES:HUMAN SVCS PRGM 77.60 MISC SUPPLIES:HUMAN SVCS PRGM 84.55 MISC SUPPLIES:HUMAN SVCS PRGM 7.22 City fitness center items 86.14 1,064.75 FY18/19 CONTRIBUTION 1,404,941.00 1,404,941.00 PARS/PENSION TRUST NOV 2-30-608-9384 28582 HARVESTON 372.60 372.60 DR NOV 2-29-223-9571 30395 MURRIETA 51.96 51.96 HOT SPG NOV 2-33-237-4818 30499 RANCHO CAL 91.96 91.96 RD NOV 2-31-419-2659 26706 YNEZ RD 124.92 124.92 NOV 2-29-974-7568 26953 YNEZ RD 126.82 126.82 NOV 2-29-974-7899 26953 YNEZ RD 215.33 215.33 Page:1 apChkLst Final Check List 12/06/2018 10:55:OOAM CITY OF TEMECULA Page: 2 Bank : union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 5313 11/19/2018 000537 SO CALIF EDISON NOV 2-31-693-9784 26036 YNEZ RD 5314 11/19/2018 000537 SO CALIF EDISON NOV 2-28-171-2620 40820 WINCHESTER RD 5315 11/19/2018 000537 SO CALIF EDISON NOV 2-26-887-0789 40233 VILLAGE RD 5316 11/19/2018 000537 SO CALIF EDISON NOV 2-00-397-5059 33340 CAMINO PIEDRA 5317 12/06/2018 007282 AMAZON COM INC, SPACE HEATER: INFO TECH SYNCB/AMAZON 5318 12/03/2018 018858 FRONTIER CALIFORNIA INC NOV INTERNET SVCS:SKATE PARK & SR CENTER 5319 12/03/2018 018858 FRONTIER CALIFORNIA INC NOV INTERNET SVCS:41000 MAIN ST 2,540.06 2,540.06 5320 12/03/2018 018858 FRONTIER CALIFORNIA INC NOV INTERNET SVCS -41000 MAIN ST 5,083.41 5,083.41 375.17 375.17 420.59 420.59 1,566.12 1,566.12 9,410.37 9,410.37 30.69 30.69 206.75 206.75 5321 11/26/2018 018858 FRONTIER CALIFORNIA INC NOV INTERNET SVCS -EXTERNAL DMV 109.84 109.84 LINE 5322 11/26/2018 018858 FRONTIER CALIFORNIA INC NOV INTERNET SVCS- CHILDREN'S 128.98 128.98 MUSEUM 5323 12/03/2018 018858 FRONTIER CALIFORNIA INC NOV INTERNET SVCS -SENIOR 148.98 148.98 CENTER 5324 12/03/2018 018858 FRONTIER CALIFORNIA INC NOV INTERNET SVCS -CITY HALL 293.98 293.98 5325 11/28/2018 010276 TIME WARNER CABLE NOV INTERNET SVCS -41000 MAIN ST 3,430.62 3,430.62 5326 11/30/2018 010276 TIME WARNER CABLE NOV INTERNET SVCS -32211 WOLF 186.07 186.07 VALLEY RD 5327 11/29/2018 000262 RANCHO CALIF WATER DISTRICT 5328 11/26/2018 000537 SO CALIF EDISON 5329 11/26/2018 000537 SO CALIF EDISON 3002577-29119 MARGARITA RD 15,821.89 15,821.89 NOV 2-30-099-3847 29721 RYECREST 23.95 23.95 NOV 2-28-331-4847 32805 PAUBA RD 87.52 87.52 Page2 apChkLst Final Check List 12/0612018 10:55:OOAM CITY OF TEMECULA Page: 3 Bank : union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 5330 11/26/2018 000537 SO CALIF EDISON NOV 2-30-296-9522 46679 PRIMROSE AVE 5331 11/27/2018 000537 SO CALIF EDISON NOV 2-40-576-0232 44173 BUTTERFIELD STG 5332 11/27/2018 000537 SO CALIF EDISON NOV 2-41-072-5394 29429 TEMECULA PKWY 5333 11/27/2018 000537 SO CALIF EDISON NOV 2-33-357-5785 44747 REDHAWK PKWY 5334 11/27/2018 001212 SO CALIF GAS COMPANY OCT 091-085-1632-0 41951 MORAGA RD 298.89 298.89 5335 12/06/2018 007282 AMAZON COM INC, MISC OFC SUPPLIES:FINANCE 127.52 127.52 662.99 662.99 19.69 19.69 31.16 31.16 35.92 35.92 SYNCB/AMAZON 192686 11/29/2018 002185 U.S. POSTAL SERVICE 192687 12/06/2018 004973 ABACHERLI, LINDI POSTAGE:TCSD W/S '19 ACTIVITY 8,270.21 8,270.21 GUIDE TCSD INSTRUCTOR EARNINGS 210.00 210.00 192688 12/06/2018 014170 AHERN RENTALS INC DUCK POND: BOOM LIFT RENTAL 192689 12/06/2018 003951 ALL AMERICAN ASPHALT 1,453.41 1,453.41 ASPHALT SUPPLIES: STREET MAINT 465.70 ASPHALT MAINT: STREET MAINT 192690 12/06/2018 006915 ALLIES PARTY EQUIPMENT, RENTAL EQUIP:TEM PKWY RENTAL INC DEDICATION 537.04 1,002.74 1,647.54 1,647.54 192691 12/06/2018 009787 ALTEC INDUSTRIES INC BOOM TRUCK: ANNUAL INSPECTION 503.50 503.50 192692 12/06/2018 013015 ALWAYS RELIABLE backflow testings: var parks & medians 108.00 BACKFLOW, AKA NANETTE SEMAN BACKFLOW REPAIRS: FACILITIES 440.00 548.00 192693 12/06/2018 005037 AMERICAN ASPHALT SOUTH ENG SVCS: SLURRY SEAL: PW17-03 52,904.65 INC CITYWIDE SLURRY PRGRM: PW18-09 999,950.21 1,052,854.86 192694 12/06/2018 004240 AMERICAN FORENSIC NURSES PHLEBOTOMY SVCS:TEMECULA 165.00 AFN POLICE PHLEBOTOMY SRVCS:TEMECULA POLIC 470.00 635.00 192695 12/06/2018 000936 AMERICAN RED CROSS, LIFEGUARD TRAINING 72.00 72.00 HEALTH & SAFETY SERVICES ITEMS:AQUATICS Page:3 apChkLst 12/06/2018 10:55:OOAM Final Check List CITY OF TEMECULA Page: 4 Bank : union UNION BANK (Continued) Check # Date Vendor 192696 12/06/2018 018941 AZTEC LANDSCAPING INC 192697 12/06/2018 011954 BAKER AND TAYLOR INC 192698 12/06/2018 006254 BALLET FOLKLORICO, AKA LORENA HANCOCK 192699 12/06/2018 013482 BAS SECURITY 192700 12/06/2018 004262 BIO TOX LABORATORIES 192701 12/06/2018 017145 BOARD, MARGO 192702 12/06/2018 004248 CALIF DEPT OF JUSTICE-ACCTING 192703 12/06/2018 001610 CALTRANS, DEPT OF TRANSPORTATION 192704 12/06/2018 004228 CAMERON WELDING SUPPLY 192705 12/06/2018 021011 CAMERON, EUGENIA 192706 12/06/2018 004462 CDW LLC, DBA CDW GOVERNMENT LLC 192707 12/06/2018 004329 COSTCO TEMECULA 491 192708 12/06/2018 014501 COUNTYWIDE MECHANICAL SYSTEMS Description Amount Paid Check Total SEP POWER WASHING: VAR PARKS OCT POWER WASHING: VAR PARKS AUG POWER WASHING: VAR PARKS JUL POWER WASHING: VAR PARKS BOOK COLLECTIONS:LIBRARY BOOK COLLECTIONS:LIBRARY BOOK COLLECTIONS:LIBRARY BOOK COLLECTIONS:LIBRARY BOOK COLLECTIONS:LIBRARY TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS SECURITY SVCS:TCSD FACILITIES SECURITY SVCS: CITY FACILITIES TOXICOLOGY & LAB SVCS:TEMECULA PD TOXICOLOGY & LAB SVCS:TEMECULA P TOXICOLOGY & LAB SVCS:TEMECULA P REIMB: PERMIT TECH COURSE 10/23 OCT BLOOD & ALCOHOL ANALYSIS:TEM PD CONSTRUCTION COOP AGREEMENT WELDING SUPPLIES:PARK MAINT WELDING SUPPLIES:PARK MAINT REIMB: RECOGNITION PRGM MISC SMALL TOOLS & EQUIP:INFO TECH MISC SMALL TOOLS & EQUIP:INFO TECF SUPPLIES:VARIOUS SPECIAL EVENTS SUPPLIES:VARIOUS SPECIAL EVENTS SUPPLIES:INCLUSIVE SVCS CIVIC CENTER: MISC REPAIRS CIVIC CENTER: MISC REPAIRS CIVIC CENTER: MISC REPAIRS 1,072.50 1,072.50 1,072.50 1,072.50 28.71 10.72 120.99 37.18 175.50 117.60 249.90 73.50 2,064.00 1,652.40 1,402.00 1,267.00 904.00 288.00 665.00 707.68 25.47 25.47 160.90 184.45 48.43 389.28 282.62 534.04 266.16 1,580.06 4,290.00 373.10 441.00 3,716.40 3,573.00 288.00 665.00 707.68 50.94 160.90 232.88 1,205.94 604.39 2,450.61 Page.4 apChkLst 12/06/2018 10:55:OOAM Final Check List CITY OF TEMECULA Page: 5 Bank : union UNION BANK (Continued) Check # Date Vendor 192709 12/06/2018 010650 CRAFTSMEN PLUMBING & HVAC INC 192710 12/06/2018 020436 CRONBERG, RICHARD N 192711 12/06/2018 002990 DAVID TURCH AND ASSOCIATES 192712 12/06/2018 020977 DEBRA GAYLE SUT, DBA DEBRA GAYLE DESIGNS 192713 12/06/2018 008943 DEPT OF GENERAL SERVICES (DGS) 192714 12/06/2018 013812 DFIT SUBS LLC, DBA JERSEY MIKES 192715 12/06/2018 003945 DIAMOND ENVIRONMENTAL SRVCS 192716 12/06/2018 019720 DIVERSIFIED WATERSCAPES INC 192717 12/06/2018 004192 DOWNS ENERGY FUEL 192718 12/06/2018 020613 EAGLE PAVING COMPANY INC, DBA TORO ENGINEERING Description Amount Paid Check Total HARVESTON LAKE PARK: INSTALL FOUNTAIN CRC: CLEAR/REPAIR DRAIN Butterfield Stg Pk: Install light pole TCSD INSTRUCTOR EARNINGS NOV '18 FEDERAL LOBBYING SVCS Recognition:RL Plein Air Competition CASE FILINGS: HARDING, SHAREEN RFRSHMNTS: HIGH HOPES PORTABLE RESTROOM RENTAL: VAIL RANCH PORTABLE RESTROOM RENTAL: RIVERI PORTABLE RESTROOM RENTAL: LONG PORTABLE RESTROOM RENTAL: LA SER NOV VVIR QUALITY MAINT: VARI PARKS FUEL FOR CITY VEHICLES: PARKS MAINT. FUEL FOR CITY VEHICLES: CODE ENFOI FUEL FOR CITY VEHICLES: BLDG INSPEI FUEL FOR CITY VEHICLES: INFO TECH FUEL FOR CITY VEHICLES: STREETS FUEL FOR CITY VEHICLES: LAND DEV/NI FUEL FOR CITY VEHICLES: TRAFFIC DIV FUEL FOR CITY VEHICLES. TCSD OLD TOWN SIDEWALKS: PW17-04 2,207.04 214.48 3,500.00 280.00 3,500.00 50.00 100.00 645.98 55.88 55.88 55.88 55.88 6,766.00 695.29 100.24 289.90 48.47 660.77 129.75 281.46 370.12 141,681.22 OLD TOWN SIDEWALKS: PW17-04 37,975.96 OLD TOWN SIDEWALKS: PW17-04 5,921.52 280.00 3,500.00 50.00 100.00 645.98 223.52 6,766.00 2,576.00 65,834.90 245,492.08 Page:5 apChkLst Final Check List 12/06/2018 10:55:OOAM CITY OF TEMECULA Page: 6 Bank : union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 192719 12/06/2018 004068 ECALDRE MANALILI-DE VILLA, TCSD INSTRUCTOR EARNINGS 52.50 AILEEN TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS 192720 12/06/2018 020363 ELKS OF THE USA REFUND: SECURITY DEP CRC 12/1/18 162.75 227.50 299.25 220.50 224.00 63.00 110.25 189.00 220.50 189.00 315.00 2,273.25 150.00 150.00 192721 12/06/2018 011202 EMH SPORTS USA INC TCSD INSTRUCTOR EARNINGS 140.00 TCSD INSTRUCTOR EARNINGS 638.40 778.40 192722 12/06/2018 015966 ERGO SOLUTION INC ERGONOMIC EVAL & REPORT: 250.00 250.00 WOOSLEY, LAUREN 192724 12/06/2018 001056 EXCEL LANDSCAPE INC 192725 12/06/2018 000165 FEDERAL EXPRESS INC 192726 12/06/2018 002982 FRANCHISE TAX BOARD 192727 12/06/2018 016184 FUN EXPRESS LLC, SUBSIDIARY OF ORIENTAL TR NOV LDSCP MAINT: LEVEL C SLOPES NOV LANDSCAPE MAINT SRVC: MEDIAN NOV LDSCP MAINT SVCS: FACILITIES NOV LDSCP MAINT: LEVEL C SLOPES CROWNE HILL SLOPE: IRRIGATION REP/ VAIL RANCH SLOPE: IRRIGATION REPAIF IRRIGATION REPAIR: VAR LDSCP MEDIA PARKING GARAGE: IRRIGATION REPAIR: IRRIGATION REPAIRS: VARI SLOPES YNEZ RD MEDIAN:LDSCP IMPROVEMEN' NOV LDSCP MAINT SVC: PARKS NOV LNDSCP MAINT SVC: VARI PARKS LANDSCAPE MULCH: VAR PARKS/MEDIA HARVESTON COMM PK: FIELD RENOVA1 IRRIGATION REPAIRS: VARI SLOPES IRRIGATION REPAIRS: VARIOUS LOCATI( IRRIGATION REPAIRS: VARI PARKS 11/21 EXP MAIL SVCS: HR DEPT KRACH, BREE - CASE# 603016103 MISC SUPPLIES:MPSC MISC SUPPLIES:MPSC 23,981.43 20,497.82 12,307.63 38,671.35 175.64 1,935.82 433.68 186.46 1,501.24 30,393.00 54,827.34 57,149.37 4,500.00 8,240.00 1,855.89 494.18 1,056.96 258,207.81 18.67 18.67 23.38 23.38 131.14 38.93 170.07 Page6 apChkLst Final Check List 12/06/2018 10:55:OOAM CITY OF TEMECULA Page: 7 Bank : union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 192728 12/06/2018 003946 G T ENTERTAINMENT, AKA: ANNOUNCER SVCS:11/30-12/8 GEOFFREY GAIER 1,250.00 1,250.00 192729 12/06/2018 000177 GLENNIES OFFICE PRODUCTS MISC OFC SUPPLIES: CITY CLERK 24.16 INC MISC OFC SUPPLIES: WORKFORCE MISC OFC SUPPLIES: BC MISC OFC SUPPLIES: BC MISC OFC SUPPLIES: STA 95 MISC. OFC SUPPLIES: CITY CLERK Office Supplies -Building and Safety Office Supplies -Planning Office Supplies -Planning 192730 12/06/2018 019177 GOSCH FORD TEMECULA VEHICLE PURCHASE: PUBLIC WORKS 22.52 73.64 89.02 34.79 49.37 42.75 305.39 6.88 648.52 29,999.78 29,999.78 192731 12/06/2018 019721 GOVCONNECTION INC REPLACEMENT SCANNER 3,950.33 3,950.33 PRINTER:CASHIER 192732 12/06/2018 000186 HANKS HARDWARE INC 192733 12/06/2018 020628 HASA INC 192734 12/06/2018 015897 HENNESSY, JENNIFER 192735 12/06/2018 019017 HEWLETT PACKARD FINANCIAL, SERVICES COMPANY 192736 12/06/2018 020698 HICKS AND HARTWICK INC 192737 12/06/2018 001013 HINDERLITER DE LLAMAS & MISC SUPPLIES FOR PW STREET 26.09 MAINT MISC SUPPLIES FOR PW STREET MAINT 6.30 MAINT SUPPLIES: VARI PARKS 30.83 HARDWARE SUPPLIES: STA 95 26.90 HARDWARE SUPPLIES: BC 16.29 HARDWARE SUPPLIES: STA84 41.51 MAINT SUPPLIES: VARI PARKS 29.42 MAINT SUPPLIES: VARI PARKS 960.28 MAINT SUPPLIES: VARI PARKS 194.08 HARDWARE SUPPLIES: STA 95 193.92 1,525.62 Pool Sanitizing Chemicals:various pools 522.01 522.01 EE COMPUTER PURCHASE PRGM 2,000.00 2,000.00 LEASE/PURCH TECH 75,151.94 75,151.94 INFRASTRUCTURE:IT ENG PLAN CK SVCS: PW 8,000.00 ENG PLAN CHECK SVCS: PW 2,100.00 10,100.00 SVCS: MEASURE S SALES TAX AUDIT: 793.59 793.59 ASSOC 4TH QTR 192738 12/06/2018 009693 INLAND VALLEY CLASSICAL STTLMNT: THE NUTCRACKER BALLET BALLET 11/23-11/ 14,348.90 14,348.90 Page:7 apChkLst Final Check List 12/06/2018 10:55:OOAM CITY OF TEMECULA Page: 8 Bank : union UNION BANK (Continued) Check # Date Vendor 192739 12/06/2018 020673 INTEGRITY SUPPORT SERVICES INC, EMPLOYMENT SCREENING RESO Description Amount Paid Check Total Pre-employment screenings:HR 163.87 163.87 192740 12/06/2018 000501 INTL INSTITUTE OF MUNICIPAL, MEMBERSHIP RENEWAL: JOHL, RANDI 210.00 210.00 CLERKS 192741 12/06/2018 011020 JACK RAGLAND ATELIER Recognition:RL Plein Air Competition 200.00 200.00 192742 12/06/2018 017118 KRACH BREE B, DBA RECOGNITION PLAQUE: OSVOLD, 93.53 TEMECULA TROPHY & DES HEIDA CREDIT: TAX WITHHOLDING CASE 60301 -23.38 70.15 192743 12/06/2018 021009 KREISSIG, MYKAILAH REFUND: LIBRARY SMARTYPAY 19.95 19.95 192744 12/06/2018 014432 LANAIR GROUP LLC SHORETELANNUAL SUPPORT:IT 1,188.00 SHORETEL ANNUAL SUPPORT:IT 600.00 1,788.00 192745 12/06/2018 000482 LEIGHTON CONSULTING INC GEOTECH SVCS - 6TH ST SIDEWALKS: 2,049.40 PW17-05 GEOTECH SVCS & MATERIALS: PW06-09 2,098.10 GEOTECH SVCS: RANCHO CALIF: PW17- 954.00 GEOTECH SVCS: OVERLAND DR PW16-( 5,660.90 10,762.40 192746 12/06/2018 020978 LISAABMA-KAMMERT, DBA RFRSHMNTS:INTERCHANGE 1,050.00 1,050.00 THE BATTER UP BAKERY DEDICATION 192747 12/06/2018 015953 LLOYD'S DESIGNS DESIGN SVCS:TCSD 1,500.00 1,500.00 192748 12/06/2018 003782 MAIN STREET SIGNS, DBA ATHACO INC SIGN REPLACEMENT SUPPLIES:PW STREETS SIGN REPLACEMENT SUPPLIES:PW STF 122.64 107.64 SIGN REPLACEMENT SUPPLIES:PW STF 122.64 352.92 192749 12/06/2018 004141 MAINTEX INC CLEANING SUPPLIES: VARI FACILITIES 2,677.27 2,677.27 192750 12/06/2018 017427 MATCHETT, VIVIAN TCSD INSTRUCTOR EARNINGS 218.40 218.40 192751 12/06/2018 000944 MCCAIN TRAFFIC SUPPLY INC TRAFFIC SIGNAL EQUIPMENT 11,829.68 11,829.68 192752 12/06/2018 015259 MERCURY DISPOSAL RECYCLING FEES:CLASS II 267.52 267.52 SYSTEMS INC BATTERIES 192753 12/06/2018 015955 METRO FIRE AND SAFETY INC HOOD INSPECTIONS: PB SPORTS 205.00 205.00 PARK Page:8 apChkLst 12/0612018 10:55:OOAM Final Check List CITY OF TEMECULA Page: 9 Bank : union UNION BANK Check # Date Vendor 192754 12/06/2018 018314 MICHAEL BAKER INTERNATIONAL 192755 12/06/2018 013443 MIDWEST TAPE LLC 192756 12/06/2018 004951 MIKE'S PRECISION WELDING INC 192757 12/06/2018 012962 MILLER MISTY, DBA BOOT CAMP WITH A KICK 192758 12/06/2018 004043 MISSION ELECTRIC SUPPLY INC 192759 12/06/2018 004040 MORAMARCO, ANTHONY J, DBA BIGFOOT GRAPHICS 192760 12/06/2018 014391 NICHOLS, KELLIE D 192761 12/06/2018 019839 O'CONNOR, DENISE 192762 12/06/2018 003964 OFFICE DEPOT BUSINESS SVS DIV 192763 12/06/2018 002105 OLD TOWN TIRE AND SERVICE 192764 12/06/2018 002105 OLD TOWN TIRE AND SERVICE 192765 12/06/2018 019851 ORTIZ ENTERPRISES INC 192766 12/06/2018 021008 PAIT, GRETA (Continued) Description Amount Paid Check Total CIVIL ENG& DSGN SVCS: PW18-04 ENG SVCS: 6TH ST SIDEWALK: PW17-05 BOOKS/COLLECTIONS:LIBRARY BOOKS/COLLECTIONS:LIBRARY VARIOUS PARKS: ON-CALL WELDING SVCS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS ELECTRICAL SUPPLIES: OLD TOWN Temeku Hills:electrical pedestal parts TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS OFFICE SUPPLIES:HR OFFICE SUPPLIES:PW DEPTS CITY VEHICLE MAINT SVCS:BLDG & SAFETY CITY VEHICLE MAINT SVCS:PW PARKS CITY VEHICLE MAINT SVCS:PW PARKS PRGS PMT 18:ULT INTRCHG, PW04-08 REFUND: LIBRARY COMMUNITY ROOM 12/2/18 192767 12/06/2018 020991 POTTS, DEBORAH RECOGNITION:RL PLEIN AIR COMPETITION 4,212.99 7,146.68 199.28 88.17 325.00 266.00 239.40 90.51 1,253.72 420.00 315.00 70.00 84.00 428.40 453.60 453.60 453.60 384.49 453.60 140.00 26.51 278.80 1,196.86 26.75 37.05 1,421, 378.66 105.00 50.00 11,359 67 287.45 325.00 505.40 1,344.23 889.00 2,627.29 140.00 305.31 1,196.86 63.80 1,421,378.66 105.00 50.00 Page9 apChkLst Final Check List 12/06/2018 10:55:OOAM CITY OF TEMECULA Page: 10 Bank : union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 192768 12/06/2018 011549 POWER SPORTS UNLIMITED, VEH MAINT & REPAIR:TEMECULA 512.10 DBA BMW MOTORCYCLES OF POLICE NO 192769 12/06/2018 020127 QUINN COMPANY VEH MAINT & REPAIR:TEMECULA POLIC 241.86 753.96 GENERATOR REPAIR: STA84 115.25 115.25 192770 12/06/2018 019432 RCC CHAMBER SINGERS DICKENS CAROLERS:TEAM PACE 12/6 192771 12/06/2018 003591 RENES COMMERCIAL MANAGEMENT 192772 12/06/2018 005395 SAN BERNARDINOAND RIVERSIDE, COUNTY FIRE EQUIPMENT 200.00 200.00 HOMELESS ENCAMPMENT CLEAN-UP 3,890.00 11/22 APPLY PRE/POST-EMERG: CHANNEL SY 7,975.00 EXTINGUISHER SRVC:STN 12, BATT 15 217.43 EXTINGUISHER SRVC:STNS 84,73,92,95, 11, 865.00 760.82 978.25 192773 12/06/2018 017699 SARNOWSKI SHAWNA M PHOTOGRAPHY SRVCS:VETERANS 150.00 150.00 PRESTON PINNING/MPSC 192774 12/06/2018 015364 SEASIDE ICE LLC, DBA ICE DEPOSIT:18-19 SEASON ICE RINK AMERICA 21,538.00 21,538.00 192775 12/06/2018 013376 SECURITY SIGNAL DEVICES REPAIR & MAINT OF SECURITY 278.00 INC, SSD SYSTEMS SYSTEM:I.T. REPROGRAM FIRE PANEL:THEATER 338.00 616.00 192776 12/06/2018 020890 SHANE ADAM ANDERSON, DBA CATERING SRVCS:2018 BREAKFAST 3,718.00 3,718.00 ANDERSON CATERING SVC W/SANTA 192777 12/06/2018 020922 SHARP, ANISSA REIMB:TEAM PACE 12/6/18 472.08 472.08 192778 12/06/2018 013695 SHRED -IT US JV, LLC, DBA: SHRED -IT USA LLC 192779 12/06/2018 000645 SMART AND FINAL INC 192780 12/06/2018 000537 SO CALIF EDISON 10/15-11/12 DOC SHRED 57.45 SRVCS:POLICE 10/24-11/8 DOC SHRED SRVCS:VAR DEP 113.01 170.46 SUPPLIES:MPSC/SKIP/HIGH HOPES 270.34 270.34 PRGM PRGS #2/SCE UTILITY AGRMNT:ULT 66,432.71 66,432.71 INTRCHG 0 192781 12/06/2018 002503 SOUTH COAST AIR QUALITY, GENERATOR OPERATING PERMIT:STN MANAGEMENT DISTRICT 95 192782 12/06/2018 000519 SOUTH COUNTY PEST CONTROL INC PEST CONTROL SRVCS:MARGARITA SPLASH PARK PEST CONTROL SRVCS:TES POOL NOV PEST CONTROL SRVCS:CITY FACIL BEE REMOVAL SRVC:SIGNET SERIES 4,269.21 4,269.21 49.00 59.00 881.00 59.00 1,048.00 Page:10 apChkLst Final Check List 12/06/2018 10:55:OOAM CITY OF TEMECULA Page: 11 Bank : union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 192783 12/06/2018 020988 SPRUCE & GANDER SIDEWALKS:O.T.BOARDWALK ENHANCEMENT 192784 12/06/2018 000293 STADIUM PIZZA INC RFRSHMNTS: MPSC HOLIDAY PARTY 11/19 192785 12/06/2018 008337 STAPLES BUSINESS CREDIT 44,849.10 44,849.10 79.59 79.59 OFFICE SUPPLIES:THEATER 0.55 OFFICE SUPPLIES:T. MUSEUM 51.35 OFFICE SUPPLIES:TEMECULA POLICE N 165.48 OFFICE SUPPLIES:TEMECULA POLICE IV 3.80 OFFICE SUPPLIES:TEMECULA POLICE N 14.08 OFFICE SUPPLIES:THEATER 8.53 OFFICE SUPPLIES:PW DEPTS 47.08 192786 12/06/2018 016111 STOGNER, GREGORY L. RECOGNITION:RL PLEIN AIR COMPETITION 192787 12/06/2018 011424 STONE CREEK BIBLE CHURCH REFUND: SECURITY DEP TCC 12/1/18 192788 12/06/2018 000465 STRADLEY, KATHLEEN, KATHY RECOGNITION:RL PLEIN AIR STRADLEY FINE ART COMPETITION 192789 12/06/2018 003840 STRONGS PAINTING REPAINT PATIO/SHADE STRUCTURE:CIVIC CTR 290.87 50.00 50.00 200.00 200.00 500.00 500.00 2,500.00 2,500.00 192790 12/06/2018 012789 STUART, JENNIFER SARAH TCSD INSTRUCTOR EARNINGS 6,814.79 6,814.79 192791 12/06/2018 003677 TEMECULA MOTORSPORTS VEH REPAIR & MAINT:POLICE 226.82 226.82 LLC 192792 12/06/2018 005970 TEMECULA VALLEY PLAYERS ADVANCE,"A CHRISTMAS CAROL" 15,000.00 15,000.00 11/29-12/9 192793 12/06/2018 020827 TERRA MANOR INC, DBA HUGS REFUND: SECURITY DEP TCC 12/2/18 149.00 149.00 F.F.A. 192794 12/06/2018 000668 TIMMY D PRODUCTIONS INC DJ/ANNOUNCER:ELECTRIC LIGHT PARADE 3,635.00 3,635.00 192795 12/06/2018 013474 TOWN & COUNTRY TOWING TOWING SRVCS: TEMECULA POLICE 75.00 75.00 192796 12/06/2018 000161 TYLER TECHNOLOGIES, INC EDEN RENEWAL:INFO TECH 48,037.31 48,037.31 192797 12/06/2018 010169 UNITED TOWING SERVICE INC TOWING SRVCS: TEMECULA POLICE 249.00 249.00 Page:11 apChkLst Final Check List 12/06/2018 10:55:OOAM CITY OF TEMECULA Page: 12 Bank : union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 192798 12/06/2018 008977 VALLEY EVENTS INC RENTAL:ANN'L TREE LIGHTING 11/26 192799 12/06/2018 007208 VINCES SPAGHETTI EXPRESS REFRESHMENTS:HIGH HOPES PGRM 12/14 192800 12/06/2018 001890 VORTEX INDUSTRIES INC POWER DOOR REPAIR:CIVIC CNTR/MPSC 192801 12/06/2018 013010 WALKER, CHARLES REIMB:PENNYPICKLE'S WRKSHP LIGHTS 192802 12/06/2018 006248 WALKER, JESSICA TCSD INSTRUCTOR EARNINGS 192803 12/06/2018 018871 WONDER SCIENCE TCSD INSTRUCTOR EARNINGS 309.00 309.00 521.79 521.79 7,044.97 7,044.97 100.59 100.59 441.00 441.00 728.00 728.00 Grand total for UNION BANK: 5,080,799.15 Page:12 apChkLst Final Check List 12106/2018 10:55:OOAM CITY OF TEMECULA Page: 13 152 checks in this report. Grand Total All Checks. 5,080,799.15 Pagel 3 apChkLst 12/13/2018 9:14:44AM Final Check List CITY OF TEMECULA Page: 1 Bank : union UNION BANK Check # Date Vendor 5336 11/30/2018 006887 UNION BANK OF CALIFORNIA 021013 CASA DE LUCY 001264 COSTCO TEMECULA 491 007987 WALMART 009720 STARBUCKS CORPORATION 021014 NETWORK FOR GOOD 5337 11/16/2018 006887 UNION BANK OF CALIFORNIA 020886 NETFLIX.COM 000751 SKILLPATH INC 006952 PAYPAL 020597 LAZY DOG RESTAURANT 010210 HOME DEPOT SUPPLY INC, THE 000152 CALIF PARKS & RECREATION SOC,CPRS 000152 CALIF PARKS & RECREATION SOC,CPRS 000152 CALIF PARKS & RECREATION SOC,CPRS 000152 CALIF PARKS & RECREATION SOC,CPRS 011285 USS MIDWAY MUSEUM 013812 DFIT SUBS LLC, DBA JERSEY MIKES 000152 CALIF PARKS & RECREATION SOC,CPRS 020816 MIDWAY PARTNERS LLC, DBA FANTAIL CAFE 017736 FEAST CALIFORNIA CAFE, LLC, DBA CORNER BAKERY CAFE 020450 CALIFORNIA INLAND EMPIRE, COUNCIL 019825 GETTY IMAGES 021015 CPR TRAINING PROFESSIONALS 021016 LATEST CONCEPTS INC Description Amount Paid Check Total RG RFRSHMNTS: MEETING WITH POLICE DEPT RG RFRSHMNTS: OUTREACH EVENT RG SUPPLIES: OUTREACH EVENT RG RFRSHMNTS: COMMUNITY CLEAN UP EVENT RG TABLE SPONSORSHIP FOR FUNDRAISING KH MONTHLY CHARGE FOR SVC: CRC TEEN ROOM KH TRAINING: VARI TCSD EMPLOYEES KH VERISIGN PAYFLOW PRO TRANSACTION KH HOSPITALITY FOR THEATER PERFORMERS KH POINSETTIAS FOR CIVIC CTR KH AWARD SUBMITTAL: GLOBAL CITIZENS KH AWARD SUBMITTAL:CREATING COMMUNITY KH AWARD SUBMITTAL: MARKETING & KH AWARD SUBMITTAL:ACTIVITY GUIDE KH BUS TOUR:TVM ACTIVITY KH RFRSHMNTS: POOL TOURNAMENT: MPSC KH ENTRY FEE: AWARD OF EXCELLENCE KH RFRSHMNTS: BUS TOUR:TVM ACTIVITY KH RFRSHMNTS: FALLEN HEROES RIBBON KH REGISTRATION: POLARIS AWARDS BANQUET KH IMAGES FOR PROMOTIONAL FLYERS KH INSTRUCTOR COURSE: JUAREZ, L. KH PLAQUE: FALLEN HEROES MEMORIAL 92.65 9.98 70.09 33.90 1,000.00 7.99 356.00 176.70 119.00 556.10 70.00 70.00 70.00 70.00 306.00 132.00 70.00 133.00 135.00 195.00 70.00 250.00 995.43 1,206.62 Page:1 apChkLst Final Check List 12/13/2018 9:14:44AM CITY OF TEMECULA Page: 2 Bank : union UNION BANK (Continued) Check # Date Vendor 004432 ALBERTSONS GROCERY STORE 000152 CALIF PARKS & RECREATION Description Amount Paid Check Total KH SUPPLIES: HALLOWEEN CARNIVAL 125.00 KH MEMBERSHIP RENEWAL: 150.00 SOC, C P R S MARTINEZ, Y. 010897 RUBIO'S RESTAURANTS INC KH RFRSHMNTS: HOME DECORATING JUDGING 79.50 4,136.72 5338 11/27/2018 002390 EASTERN MUNICIPAL WATER OCT WATER: 32131 SOUTH LOOP RD 49.91 49.91 DIST 5339 11/27/2018 002390 EASTERN MUNICIPAL WATER OCT WATER: 39656 DIEGO DR 114.60 114.60 DIST 5340 11/27/2018 002390 EASTERN MUNICIPAL WATER OCT WATER: 32131 SOUTH LOOP RD 165.76 165.76 DIST 5341 11/27/2018 002390 EASTERN MUNICIPAL WATER OCT WATER: 32131 SOUTH LOOP RD 213.72 213.72 DIST 5342 11/27/2018 000537 SO CALIF EDISON NOV 2-34-624-4452 32131 S LOOP RD 1,281.36 1,281.36 5343 12/05/2018 010276 TIME WARNER CABLE DEC INTERNET SVCS -40820 1.60 1.60 WINCHESTER RD 5344 12/05/2018 010276 TIME WARNER CABLE DEC INTERNET SVCS -32131 S LOOP 485.02 485.02 RD 5345 12/06/2018 010276 TIME WARNER CABLE DEC INTERNET SVCS -41000 MAIN ST 1,138.58 1,138.58 5346 12/10/2018 010276 TIME WARNER CABLE DEC INTERNET SVCS -28816 PUJOL ST 586.77 586.77 5347 12/06/2018 018858 FRONTIER CALIFORNIA INC NOV INTERNET SVCS -LIBRARY 188.98 188.98 5348 12/06/2018 018858 FRONTIER CALIFORNIA INC NOV INTERNET SVCS -FIRE STATION 119.84 119.84 73 5349 12/06/2018 014486 VERIZON WIRELESS 10/11-11/10 CELLULAR/BROADBAND:CITYWIDE 5350 12/06/2018 000262 RANCHO CALIF WATER 3000355-30875 RANCHO VISTA RD DISTRICT 443.84 443.84 17, 309.17 17, 309.17 Page2 apChkLst 12/13/2018 9:14:44AM Final Check List CITY OF TEMECULA Page: 3 Bank : union UNION BANK (Continued) Check # Date Vendor 5353 12/13/2018 006887 UNION BANK OF CALIFORNIA 001264 COSTCO TEMECULA 491 021020 CRUZ TACOS 001264 COSTCO TEMECULA 491 000293 STADIUM PIZZA INC 001526 MICHAELS STORES INC 018925 FIREHOUSE SUBS 018925 FIREHOUSE SUBS 5354 12/13/2018 010349 CALIF DEPT OF CHILD SUPPORT 5355 12/13/2018 017429 COBRAADVANTAGE INC, DBA THE ADVANTAGE GROUP 5356 12/13/2018 000194 IC MA RETIREMENT -PLAN 303355 5357 12/13/2018 000444 INSTATAX (EDD) 5358 12/13/2018 000283 INSTATAX (IRS) 5359 12/13/2018 000389 NATIONWIDE RETIREMENT SOLUTION 5360 12/13/2018 001065 NATIONWIDE RETIREMENT SOLUTION 5361 12/13/2018 000245 PERS - HEALTH INSUR PREMIUM 5362 12/13/2018 000246 PERS (EMPLOYEES' RETIREMENT) 5363 11/15/2018 010276 TIME WARNER CABLE 5364 12/13/2018 007282 AMAZON COM INC, SYNCB/AMAZON Description Amount Paid Check Total CD RFRSHMNTS: STA 95 OPEN HOUSE CD RFRSHMNTS: ST JEAN CHURCH EVENT CD RFRSHMNTS: EXPLORERES EVENT AT CD RFRSHMNTS: FIRE EVENT ON 10/26 CD SUPPLIES: FIRE EVENTS CD RFRSHMNTS: ADULT CERT PRGM CD RFRSHMNTS: ADULT CERT PRGM SUPPORT PAYMENT REIMBURSEMENT FSA PAYMENT ICMA-RC RETIREMENT TRUST 457 PAYMENT STATE TAXES PAYMENT FEDERAL TAXES PAYMENT OBRA- PROJECT RETIREMENT PAYMENT NATIONWIDE RETIREMENT PAYMENT PERS HEALTH PAYMENT PERS HEALTH PAYMENT PERS RETIREMENT PAYMENT NOV INTERNET SVCS -28922 PUJOL ST misc office supplies: mall pd SUPPLIES:TVM &ACE SUPPLIES:TVM &ACE misc office supplies: temecula pd SUPPLIES:TVM &ACE 108.21 120.12 178.53 136.03 65.14 434.87 334.52 1,377.42 899.07 899.07 15,647.12 15,647.12 9,770.23 9,770.23 25,388.60 25,388.60 83,620.85 83,620.85 3,319.66 3,319.66 14,300.75 14,300.75 128, 767.60 102,016.19 128,767.60 0.00 102,016.19 214.41 4.55 175.91 165.01 150.24 37.96 214.41 533.67 Page:3 apChkLst Final Check List 12/13/2018 9:14:44AM CITY OF TEMECULA Page: 4 Bank : union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 5365 12/03/2018 018858 FRONTIER CALIFORNIA INC DEC INTERNET SVCS -SENIOR CENTER 5366 12/03/2018 018858 FRONTIER CALIFORNIA INC DEC INTERNET SVCS -CITY HALL 5367 12/05/2018 002390 EASTERN MUNICIPAL WATER OCT WATER: MURRIETA HOT SPRINGS DIST RD 5368 12/05/2018 002390 EASTERN MUNICIPAL WATER OCT WATER: MURRIETA HOT SPRINGS DIST RD 5369 12/05/2018 002390 EASTERN MUNICIPAL WATER OCT WATER: 39569 SERAPHINA RD DIST 148.98 148.98 293.98 293.98 41.00 41.00 138.00 138.00 320.36 320.36 5370 12/04/2018 001212 SO CALIF GAS COMPANY OCT 015-575-0195-2 32211 WOLF 75.13 75.13 VALLEY RD 5371 12/04/2018 001212 SO CALIF GAS COMPANY OCT 055-475-6169-5 32380 DEER 183.05 183.05 HOLLOW VW 5372 12/13/2018 005460 U S BANK 2017 TAX ALLOCATION BONDS DEBT 3,931,823.38 3,931,823.38 SRVC 5373 12/12/2018 000621 WESTERN RIVERSIDE NOV '18 TUMF PAYMENT 65,991.16 65,991.16 COUNCIL OF, GOVERNMENTS (WRCOG) 5374 11/29/2018 000537 SO CALIF EDISON NOV 2-35-164-3242 44270 MEADOWS PKWY 5375 11/29/2018 000537 SO CALIF EDISON NOV 2-35-164-3515 32932 LEENA WAY 5376 11/29/2018 000537 SO CALIF EDISON NOV 2-35-164-3663 42335 MEADOWS PKWY 5377 11/29/2018 000537 SO CALIF EDISON NOV 2-35-164-3770 43487 BUTTERFIELD STG 5378 11/30/2018 000537 SO CALIF EDISON 5379 11/30/2018 000537 SO CALIF EDISON 5380 11/30/2018 000537 SO CALIF EDISON 24.89 24.89 25.16 25.16 25.17 25.17 26.56 26.56 NOV 2-41-072-5246 29429 TEM. PKWY 15.50 15.50 NOV 2-21-981-4720 30153 TEM. PKWY 21.87 21.87 NOV 2-28-904-7706 32329 OVERLAND 131.59 131.59 TRL Page:4 apChkLst Final Check List 12/13/2018 9:14:44AM CITY OF TEMECULA Page: 5 Bank : union UNION BANK (Continued) Check # Date Vendor 5381 12/13/2018 007282 AMAZON COM INC, SYNCB/AMAZON 5382 12/04/2018 000537 SO CALIF EDISON 5383 12/04/2018 000537 SO CALIF EDISON 5384 12/04/2018 000537 SO CALIF EDISON 5385 12/04/2018 000537 SO CALIF EDISON 5386 12/04/2018 000537 SO CALIF EDISON Description Amount Paid Check Total MISC OFC SUPPLIES: MALL PD 7.76 City fitness center items 112.36 120.12 NOV 2-41-048-2012 30498 TEMECULA 87.01 87.01 PKWY NOV 2-25-393-4681 41951 MORAGA RD 517.84 517.84 NOV 2-35-664-9053 29119 MARGARITA 630.29 630.29 RD NOV 2-35-403-6337 41375 MCCABE CT 671.16 671.16 NOV 2-30-520-4414 32781 TEMECULA 998.14 998.14 PKWY 192804 12/13/2018 007186 AB MAILING SOLUTIONS MAILING SVCS:THEATER 1,330.00 1,330.00 192805 12/13/2018 001517 AETNA BEHAVIORAL HEALTH JAN BILLING ADJ: REDUCE 6 -26.40 LLC, DBAAETNA RESOURCES PARTICIPANTS JAN EMPLOYEE ASSISTANCE PRGM 1,302.40 1,276.00 192806 12/13/2018 003552 AFLAC PREMIUM HOLDING, AFLAC ACCIDENT INDEMNITY 3,850.98 3,850.98 C/O BNB BANK LOCKBOX PAYMENT 192807 12/13/2018 003951 ALLAMERICAN ASPHALT ASPHALT SUPPLIES: STREET MAINT 349.97 349.97 192808 12/13/2018 010905 ALLIED TRAFFIC & Misc. Supplies- various special events. 380.00 380.00 EQUIPMENT, RENTALS INC 192809 12/13/2018 004240 AMERICAN FORENSIC NURSES PHLEBOTOMY SRVCS:TEMECULA 195.00 AFN POLICE PHLEBOTOMY SRVCS:TEMECULA POLIC 110.00 192810 12/13/2018 000101 APPLE ONE INC NOV TEMP STAFFING:CLERK & 4,994.88 PLANNING 192811 12/13/2018 018941 AZTEC LANDSCAPING INC NOV RESTROOM POWER WASHING 192812 12/13/2018 017149 BGP RECREATION INC 192813 12/13/2018 019709 BAGDASARIAN, NADYA TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS 305.00 4,994.88 1,072.50 1,072.50 762.30 993.30 885.50 REIMB: TEAM PACE 195.87 REIMB: TEAM PACE SUPPLIES 2,641.10 121.92 317.79 Page:5 apChkLst Final Check List 12/13/2018 9:14:44AM CITY OF TEMECULA Page: 6 Bank : union UNION BANK (Continued) Check # Date Vendor 192814 12/13/2018 011954 BAKER AND TAYLOR INC 192815 12/13/2018 005889 BROWN, PASCALE Description Amount Paid Check Total BOOK COLLECTIONS:LIBRARY 808.73 BOOK COLLECTIONS:LIBRARY 170.23 978.96 REIMB: RFRSHMNTS: TYLER MUNIS 92.83 92.83 DEMO 12/4 192816 12/13/2018 003138 CAL MAT, DBA VULCAN ASPHALT SUPPLIES: STREET MAINT. MATERIALS CO 192817 12/13/2018 005321 CALIF ASSOC OF CODE, MEMBERSHIP RENEWAL: ROMINE, ENFORCEMENT OFFICERS MARIA MEMBERSHIP RENEWAL: COLE, TOM MEMBERSHIP RENEWAL: BAGDASARIAI 192818 12/13/2018 004073 CALIF DEPT OF HIGHWAY Construction zone enforce for I -15/79S PATROL 192819 12/13/2018 004462 CDW LLC, DBA CDW GOVERNMENT LLC 174.50 174.50 95.00 95.00 95.00 285.00 7,375.86 7,375.86 ADOBE CREATIVE CLOUD FOR TEAMS 845.55 ADOBE RENEWAL:INFO TECH 2,536.65 ADOBE RENEWAL:INFO TECH 192820 12/13/2018 009640 CERTIFION CORP DBA NOV ONLINE DATABASE ENTERSECT SUBSCR:POLICE 192821 12/13/2018 017429 COBRAADVANTAGE INC, DBA NOV FSA & COBRAADMIN: HR THE ADVANTAGE GROUP 192822 12/13/2018 004405 COMMUNITY HEALTH EMPLOYEE CHARITY DONATIONS CHARITIES PAYMENT 192823 12/13/2018 000442 COMPUTER ALERT SYSTEMS ALARM SVC CALL: TVM ALARM SVC CALL: MRC 845.55 4,227.75 164.95 164.95 527.50 527.50 4.00 4.00 80.00 80.00 160.00 192824 12/13/2018 002945 CONSOLIDATED ELECTRICAL electrical supplies, various facilities 295.15 DIST ELECTRICAL SUPPLIES, LIBRARY 309.39 192825 12/13/2018 014521 COSTAR GROUP DEC 18 WEB SUBSCRIPTION:ECO DEV 473.58 INFORMATION INC 192826 12/13/2018 010650 CRAFTSMEN PLUMBING & HVAC INC MISC REPAIRS: BIRDSALL CONCESSION MISC REPAIRS: CIVIC CTR MISC REPAIRS: OT 6TH STREET BATHRC 192827 12/13/2018 004194 D L T SOLUTIONS, LLC AUTOCAD RENEWAL:PUBLIC WORKS 450.00 260.00 604.54 473.58 350.00 1,060.00 2,450.52 2,450.52 192828 12/13/2018 001393 DATA TICKET INC, DBA NOV CITATION 200.00 200.00 REVENUE EXPERTS PROCESSING:TEMECULA POLICE Page: apChkLst Final Check List 12/13/2018 9:14:44AM CITY OF TEMECULA Page: 7 Bank : union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 192829 12/13/2018 004382 DEKRA LITE INC Holiday Lighting- Old Town 2018 Season 8,813.17 8,813.17 192830 12/13/2018 010461 DEMCO INC SUPPLIES:LIBRARY 465.78 465.78 192831 12/13/2018 008943 DEPT OF GENERAL SERVICES CASE FILINGS: HARDING, SHAREEN 2,310.00 2,310.00 (DGS) 192832 12/13/2018 003945 DIAMOND ENVIRONMENTAL SRVCS 192833 12/13/2018 004192 DOWNS ENERGY FUEL PORTABLE RESTROOMS: 30875 RANCHO VISTA PORTABLE RESTROOMS: 43230 BUS PAI PORTABLE RESTROOMS: 30875 RANCH( FUEL FOR CITY VEHICLES: POLICE FUEL FOR CITY VEHICLES: POLICE DEP' FUEL FOR CITY VEHICLES: LAND DEV/NI FUEL FOR CITY VEHICLES: PUBLIC WOR FUEL FOR CITY VEHICLES: TRAFFIC DIV FUEL FOR CITY VEHICLES: PARKS MAIN FUEL FOR CITY VEHICLES: STREETS MF FUEL FOR CITY VEHICLES: TCSD FUEL FOR CITY VEHICLES: TCSD FUEL FOR CITY VEHICLES: CODE ENFOI FUEL FOR CITY VEHICLES: BLDG INSPEI 192834 12/13/2018 020613 EAGLE PAVING COMPANY INC, SIDEWALKS -6TH STREET IMPROV: DBA TORO ENGINEERING PW17-05 SIDEWALKS -6TH STREET IMPROV: PW1 SIDEWALKS -6TH STREET IMPROV: PW1 192835 12/13/2018 004829 ELLISON WILSON ADVOCACY DEC STATE LOBBYING SVCS: CITY LLC MGR 192836 12/13/2018 017558 ENGRAVING & AWARDS OF RECOGNITION:KEY & DISPLAY CASE N.E. INC 192837 12/13/2018 011292 ENVIRONMENTAL SCIENCE ASSOC 192838 12/13/2018 001056 EXCEL LANDSCAPE INC JUL CEQAANALYSIS:PASEO DEL SOL TTM MAY CEQAANALYSIS:PASEO DEL SOL T AUG CEQAANALYSIS:PASEO DEL SOLT SEP CEQAANALYSIS:PASEO DEL SOL Tl IRRIGATION REPAIRS: VARIOUS PARKS RONALD REAGAN MEMORIAL: REPLACE WOLF CREEK TRAIL PK:LNDSCP IMPRO' WOLF CREEK:LANDSCAPE IMPROVEME irrigation repair: var landscape medians IRRIGATION REPAIRS: VARIOUS PARKS 47.88 47.88 -47.89 47.87 58.88 21.70 64.75 180.22 220.83 1,117.26 720.63 312.27 216.17 51.14 160.36 18,814.75 33,772.50 33,527.87 3,124.21 86,115.12 3,500.00 3,500.00 532.00 532.00 25,602.50 6,437.50 6,780.00 1,180.00 191.51 190.00 1,464.00 1,186.00 541.39 3,017.74 40,000.00 6,590.64 Page:7 apChkLst Final Check List 12113/2018 9:14:44AM CITY OF TEMECULA Page: 8 Bank : union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 192839 12/13/2018 017432 EYEMED VISION CARE VISION PLAN PAYMENT 1,639.46 192840 12/13/2018 019469 FALCON ENGINEERING NOV CNSTRCTN MGMNT SVCS: 149,716.38 SERVICES PW04-08 192841 12/13/2018 009953 FEDERAL CLEANING DEC JANITORIAL SVCS:POLICE MALL 1,088.50 CONTRACTORS, DBA FEDERAL OFC BLDG SERVICES 192842 12/13/2018 000165 FEDERAL EXPRESS INC 192843 12/13/2018 021006 FILEMAKER INC 192844 12/13/2018 003747 FINE ARTS NETWORK AKA THEATRE, CO AND BALLET THEATER OCT PRICE ADJ JANITORIAL SVC: POLIC NOV PRICE ADJ JANITORIAL SVC: POLIC 11/16 EXP MAIL SVCS: POLICE FILEMAKER LICENSING:PW TICKET SALES ADVANCE: NUTCRACKER BALLET 192845 12/13/2018 002982 FRANCHISE TAX BOARD SUPPORT PAYMENT 192846 12/13/2018 002982 FRANCHISE TAX BOARD KRACH, BREE - CASE# 603016103 KRACH, BREE - CASE# 603016103 1,639.46 149,716.38 166.00 166.00 1,420.50 14.06 14.06 1,620.00 1,620.00 12,000.00 12,000.00 740.32 740.32 8.16 1.70 192847 12/13/2018 014865 FREIZE UHLER KIMBERLY DBA, POLOS FOR WORKFORCE PLANNING: 349.04 CLEAR BLUE PROMOTIONS HR Formal polo shirts:brokers breakfast 2,389.24 192848 12/13/2018 016436 FRICK, TRACY REIMB: SUPPLIES: TV HISTORICAL 160.00 AUCTION 192849 12/13/2018 009608 GOLDEN VALLEY MUSIC SOCIETY, DBA CA CHAMBER ORCHESTRA STTLMNT: CANDLELIGHT CLASSIC: 805.00 DEC '18 STTLMNT: "GIFTS" 12/01 874.23 192850 12/13/2018 015451 GREATAMERICA FINANCIAL NOV LEASE FOR COPIERS:LIBRARY 793.89 SVCS 9.86 2,738.28 160.00 1,679.23 793.89 Page:8 apChkLst Final Check List 12/1312018 9:14:44AM CITY OF TEMECULA Page: 9 Bank : union UNION BANK (Continued) Check # Date Vendor 192851 12/13/2018 000186 HANKS HARDWARE INC 192852 12/13/2018 019732 HARC, INC. 192853 12/13/2018 001013 HINDERLITER DE LLAMAS & Description Amount Paid Check Total HDWR SUPPLIES: STA. 95 192.76 MAINTENANCE SUPPLIES, VARIOUS FAC 23.96 MAINTENANCE SUPPLIES, VARIOUS FAC 181.91 MAINT SUPPLIES: OLD TOWN 17.91 MAINT SUPPLIES: OLD TOWN 16.07 MAINT SUPPLIES: CRC 1.73 MAINT SUPPLIES: CRC 47.16 MAINT SUPPLIES: AQUATICS 7.60 MAINT SUPPLIES: CRC 81.53 MAINT SUPPLIES: CRC 20.68 MAINT SUPPLIES: CIVIC CTR 9.78 MAINT SUPPLIES: CIVIC CTR 21.50 MAINT SUPPLIES: CIVIC CTR 90.63 MAINT SUPPLIES: CRC 52.26 MAINT SUPPLIES: CHILDREN'S MUSEM 57.97 MAINT SUPPLIES: CHILDREN'S MUSEM 72.80 MAINT SUPPLIES: CIVIC CTR 47.48 MAINT SUPPLIES: CIVIC CTR 23.90 MAINT SUPPLIES: TCC 29.26 HDWR SUPPLIES: BC -6.53 HRDWR SUPPLIES: BC 18.48 HDWR SUPPLIES: STA. 73 45.22 SMALLTOOLS:VAR PARKS 42.59 MAINT SUPPLIES: CIVIC CTR 39.43 MAINT SUPPLIES: MPSC 15.21 MAINT SUPPLIES: CIVIC CTR 16.83 MAINT SUPPLIES: CIVIC CTR 31.52 MAINT SUPPLIES: CIVIC CTR 12.90 MAINT SUPPLIES: CIVIC CTR 39.67 MAINT SUPPLIES: CIVIC CTR 47.83 MAINT SUPPLIES: TCC 52.19 MAINT SUPPLIES: OLD TOWN 9.10 1,361.33 CONSULTING SVCS:PUBLIC 760.00 760.00 OUTREACH SALES TAX & RECOVERY SVCS: 4TH 8,366.42 8,366.42 ASSOC QTR 192854 12/13/2018 010530 I P C INDUSTRIES INC, DBA: PRESTIGE GOLF CARS 192855 12/13/2018 017651 I.E. INC. gold cart rentals:various special events 2,161.88 2,161.88 REFUND: 41959 SHOREWOOD CT 90.48 90.48 921-591-009 192856 12/13/2018 019903 IMS INFRASTRUCTURE PAVEMENT MGMNT PRGRM: PW17-02 MANAGEMENT, SERVICES LLC 3,350.30 3,350.30 Page9 apChkLst Final Check List 12/13/2018 9:14:44AM CITY OF TEMECULA Page: 10 Bank : union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 192857 12/13/2018 006914 INNOVATIVE DOCUMENT OCT COPIER MAINT/USAGE/REPAIR: 881.57 SOLUTIONS CITYWIDE OCT COPIER MAINT/USAGE/REPAIR: CIT 6,267.19 192858 12/13/2018 014386 INTL NAMEPLATE U S INC POLICE CAR DECALS: TEMECULA PD 1,498.65 192859 12/13/2018 012883 JACOB'S HOUSE INC EMPLOYEE CHARITY DONATIONS PAYMENT 7,148.76 1,498.65 40.00 40.00 192860 12/13/2018 020893 JEFF KATZARCHITECTURAL DSGN SVCS: CRC POOL: PW18-02 4,922.04 CORP DSGN SVCS: CRC POOL: PW18-02 33,775.50 192861 12/13/2018 020259 KAVEH ENGINEERING AND, CREDIT MEMO: INTEREST CHARGE -1,637.82 CONSTRUCTION, INC CONST.OF OVERLAND DR: PW16-06 198,176.15 192862 12/13/2018 020396 KINGDOM CAUSES, DBA CITY HOMELESS OUTREACH SVCS 12,540.56 NET HOMELESS OUTREACH SVCS HOMELESS COLLABORATIVE SVCS CIT' HOMELESS COLLABORATIVE SVCS CIT' HOMELESS OUTREACH SVCS 3,776.32 10,000.00 18,525.11 1,461.50 38,697.54 196, 538.33 46,303.49 192863 12/13/2018 017118 KRACH BREE B, DBA CREDIT: TAX WITHHOLDING CASE -1.70 TEMECULA TROPHY & DES 603016103 CREDIT: TAX WITHHOLDING CASE 60301 -8.16 NAME TAGS MEDALS AND AWARD: TVM 6.80 1-15 DEDICATION RECOGNITION PLATE 32.63 29.57 192864 12/13/2018 017946 LANDRUM, KAREN TCSD INSTRUCTOR EARNINGS 665.00 665.00 192865 12/13/2018 003726 LIFE ASSIST INC EMERGENCY MEDICAL: MEDIC 791.16 791.16 192866 12/13/2018 003782 MAIN STREET SIGNS, DBA SIGN REPLACEMENT SUPPLIES:PW 175.02 175.02 ATHACO INC STREETS 192867 12/13/2018 020302 MARIS IMAGING SOLUTIONS DOCUMENT IMAGING SVCS:CITY 12,635.40 12,635.40 LLC CLERK 192868 12/13/2018 014392 MC COLLOUGH JILL DENISE, DEC PLANTSCAPE SVCS: CIVIC CTR 500.00 DBA TEMECULA PLANTSCAPE DEC PLANTSCAPE SVCS: LIBRARY 200.00 700.00 192869 12/13/2018 006435 MCCONNELL, LISA REIMB: RECOGNITION AWARD 88.61 88.61 192871 12/13/2018 003076 MET LIFE INSURANCE DENTAL PAYMENT 11,091.97 11,091.97 COMPANY 192872 12/13/2018 018314 MICHAEL BAKER JUL CONSULTANT SVCS: PW17-17 4,865.99 4,865.99 INTERNATIONAL Page:10 apChkLst 12/1312018 9:14:44AM Final Check List CITY OF TEMECULA Page: 11 Bank : union UNION BANK (Continued) Check # Date Vendor 192873 12/13/2018 013443 MIDWEST TAPE LLC 192874 12/13/2018 013827 MIKO MOUNTAINLION INC 192875 12/13/2018 004043 MISSION ELECTRIC SUPPLY INC 192876 12/13/2018 016445 MKB PRINTING & PROMOTIONAL INC, DBA MINUTEMAN PRESS 192877 12/13/2018 019019 MUSIC CONNECTION LLC 192878 12/13/2018 002925 NAPA AUTO PARTS 192879 12/13/2018 018099 NATIONAL SAFETY COMPLIANCE, INC 192880 12/13/2018 015164 NATURES IMAGE INC 192881 12/13/2018 001323 NESTLE WATERS NORTH AMERICA, DBA READYREFRESH 192882 12/13/2018 003964 OFFICE DEPOT BUSINESS SVS DIV 192883 12/13/2018 002105 OLD TOWN TIRE AND SERVICE Description Amount Paid Check Total BOOKS/COLLECTIONS:LIBRARY RONALD REAGAN PK: RELOCATE K -RAIL LEIFER ROAD: REGRADING ELECTRICAL SUPPLIES: CIVIC CTR electrical supplie: various facilities generic business cards:front reception STTLMNT: SPEAKEASY AT THE MERC 12/8/18 JUMP BOX & SEAT COVERS: COMMERCIAL VEHIC JUMP BOX & SEAT COVERS: COMMERCI DOT TESTING: HR PECHANGA PKWY ENV MITIGATION:PW11-01 PECHANGA PKWY ENV MITIGATION:PW1 RETENTION RELEASE: FRENCH VALLEY 10/23-11/22 WTR DLVRY SVC: TESC POOL 10/23-11/22 WTR DLVRY SVC: TVM 10/23-11/22 WTR DLVRY SVC: LIBRARY 10/23-11/22 WTR DLVRY SVC: TCC 10/23-11/22 WTR DLVRY SVC: CRC 10/23-11/22 WTR DLVRY SVC: FOC 10/23-11/22 WTR DLVRY SVC: THEATER 10/23-11/22 WTR DLVRY SVC: SKATE PAF 10/23-11/22 WTR DLVRY SVC: PBSP 10/23-11/22 WTR DLVRY SVC: COUNCIL 10/23-11/22 WTR DLVRY SVC: MRC 10/23-11/22 DRINKING WTR: HELP CTR 10/23-11/22 WTR DLVRY SVCS: TVE2 OFFICE SUPPLIES:HR OFFICE SUPPLIES:HR CITY VEHICLE MAINT SVCS:PW STREET MAINT 43.49 4,939.60 2,800.00 90.18 22.84 72.59 226.80 184.86 227.53 240.69 400.26 400.26 920.34 9.78 25.98 120.72 26.47 168.47 172.52 52.21 8.61 47.80 38.11 37.09 4.45 34.86 13.04 14.00 43.49 7,739.60 113.02 72.59 226.80 412.39 240.69 1,720.86 747.07 27.04 446.74 446.74 Page:11 apChkLst Final Check List 12/13/2018 9:14:44AM CITY OF TEMECULA Page: 12 Bank : union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 192884 12/13/2018 002105 OLD TOWN TIRE AND SERVICE CITY VEHICLE MAINT SVCS:PARK RANGER 192885 12/13/2018 002734 P V P COMMUNICATIONS INC MOTOR HELMET & REPAIR:TEMCULA POLICE 192886 12/13/2018 018461 PACIFIC PRODUCTS & SIGN POSTS & ANCHORS:PW STREET SERVICE LLC MAINT 192887 12/13/2018 019334 PARK CONSULTING GROUP NOV CONSULTING & ENTERPRISE 10,286.50 10,286.50 INC SVCS: IT 192888 12/13/2018 019093 PEREZ, FRANK REIMB:CDBG WORKSHOP 11/29/18 94.26 94.26 81.75 81.75 1,015.26 1,015.26 3,130.00 3,130.00 192889 12/13/2018 000249 PETTY CASH PETTY CASH REIMBURSEMENT 997.56 997.56 192890 12/13/2018 001999 PITNEY BOWES 12/16/18-3/15/19 POSTAGE MTR:BC 77.48 77.48 192891 12/13/2018 010338 POOL AND ELECTRICAL VARIOUS SUPPLIES: AQUATICS 289.08 PRODUCTS, INC VARIOUS SUPPLIES: AQUATICS 231.82 520.90 192892 12/13/2018 011549 POWER SPORTS UNLIMITED, VEH MAINT & REPAIR: TEMECULA 1,264.75 1,264.75 DBA BMW MOTORCYCLES OF POLICE NO 192893 12/13/2018 005820 PRE -PAID LEGAL SERVICES PREPAID LEGAL SERVICES PAYMENT INC, DBA LEGALSHIELD 192894 12/13/2018 012583 PRICE, BLANCAY OCT LDSCP INSPECTION SVC: PLANNING 192895 12/13/2018 012904 PROACTIVE FIRE DESIGN NOV PLAN REVIEW SRVC: AND, CONSULTING PREVENTION 192896 12/13/2018 008605 PSOMAS 192897 12/13/2018 003591 RENES COMMERCIAL 266.10 266.10 4,860.00 4,860.00 4,932.60 4,932.60 8/24-9/27 CONSULT SRVCS:PECHANGA 390.00 PKWY 9/28-10/25 CONSULT SRVCS:PECHANGA 441.25 CLEAN-UP SRVCS:CHRISTMAS 3,875.00 MANAGEMENT PARADE 11/30 192898 12/13/2018 002412 RICHARDS WATSON AND OCT 2018 LEGAL SERVICES 158,010.74 GERSHON CREDIT/OCT 2018 LEGAL SERVICES -5,431.83 192899 12/13/2018 016869 RIGHTWAY SITE SERVICES INC PORTABLE RESTROOMS:CHRISTMAS 1,655.20 DBA, RIGHTWAY PORTABLE PARADE 11/3 TOILET 831.25 3,875.00 152,578.91 1,655.20 Page:12 apChkLst 12/13/2018 9:14:44AM Final Check List CITY OF TEMECULA Page: 13 Bank : union UNION BANK (Continued) Check */ Date Vendor 192900 12/13/2018 008739 ROSE CITY LABEL, AKA THE BADGER 192901 12/13/2018 021005 SACHA HOPE DBA, SACHA HOPE HEARTSTONE HOU 192902 12/13/2018 004274 SAFE AND SECURE LOCKSMITH SRVC 192903 12/13/2018 009980 SANBORN GWYNETH A, CO TEMECULA MUSIC ACADEMY 192904 12/13/2018 017699 SARNOWSKI SHAWNA M PRESTON 192905 12/13/2018 009213 SHERRY BERRY MUSIC 192906 12/13/2018 015674 SJ LINKING SYSTEMS 192907 12/13/2018 019756 SOCAL WATERSMART 192908 12/13/2018 012652 SOUTHERN CALIFORNIA, TELEPHONE COMPANY 192909 12/13/2018 009379 SOUTHWEST WOMEN'S CHORUS 192913 12/13/2018 007762 STANDARD INSURANCE COMPANY 192914 12/13/2018 012723 STANDARD INSURANCE COMPANY 192915 12/13/2018 002015 STAR WAY SYSTEMS CORPORATION, DBA SO CALIF SOUND 192916 12/13/2018 001547 TEAMSTERS LOCAL 911 192917 12/13/2018 010679 TEMECULA AUTO REPAIR/RADIATOR, DBAAUTO ENTERPRISE INC Description Amount Paid Check Total TEMECULA JUNIOR STAR OFFICER LABELS:PD 2ND PLACE -RL PLEIN AIR COMPETITION 11/3 LOCKSMITH SRVCS:CIVIC CENTER COUNTRY LIVE! @ THE MERC 12/1/18 PHOTOGRAPHY:CHRISTMAS TREE LIGHTING '18 PHOTOGRAPHY:0OUNCIL SISTER CITY I PHOTOGRAPHY:BRKFST SISTER CITY D 1-15 DEDICATION PHOTOGRAPHY SRVCI JAZZ @ THE MERC 12/6 JAZZ @ THE MERC 11/29 RADIO RENTALS:ELECTRIC LIGHT PARADE 11/3 REFUND PAL REBATES FOR SITES NOT UTILIZE DEC GEN USAGE: 0141,0839,2593,9306 "19TH ANN'L CHRISTMAS IN THE AIR" 12/1-2 BASIC LIFE INSURANCE PAYMENT VOLUNTARY SUPP LIFE INSURANCE PAYMENT LIGHT PARADE AUDIO:OLD TOWN 11/30 UNION MEMBERSHIP DUES PAYMENT VEH MAINT & REPAIR:TCSD 972.00 100.00 245.64 506.25 150.00 100.00 150.00 150.00 441.00 451.50 850.00 6,614.88 593.33 1,288.43 8,968.70 1,121.33 1,350 00 5,202.00 1,716.41 972.00 100.00 245.64 506.25 550.00 892.50 850.00 6,614.88 593.33 1,288.43 8,968.70 1,121.33 1,350.00 5,202.00 1,716.41 Page:13 apChkLst 12/13/2018 9:14:44AM Final Check List CITY OF TEMECULA Page: 14 Bank : union UNION BANK (Continued) Check # Date Vendor 192918 12/13/2018 003677 TEMECULA MOTORSPORTS LLC 192919 12/13/2018 000515 TEMECULA VALLEY CHAMBER OF, COMMERCE 192920 12/13/2018 000515 TEMECULA VALLEY CHAMBER OF, COMMERCE 192921 12/13/2018 000306 TEMECULA VALLEY PIPE & SUPPLY 192922 12/13/2018 016311 TIERCE, NICHOLAS 192923 12/13/2018 000161 TYLER TECHNOLOGIES, INC 192924 12/13/2018 002185 U.S. POSTAL SERVICE 192925 12/13/2018 007766 UNDERGROUND SERVICE ALERT, OF SOUTHERN CALIFORNIA 192926 12/13/2018 010169 UNITED TOWING SERVICE INC 192927 12/13/2018 008977 VALLEY EVENTS INC 192928 12/13/2018 020850 VARIABLE SPEED SOLUTIONS INC 192929 12/13/2018 000319 VARSITY BRANDS HOLDING CO INC, DBA BSNSPORTSTOMARKSPORTS 192930 12/13/2018 009101 VISION ONE, INC., DBA: ACCESSO SHOWARE 192931 12/13/2018 007511 VLAHOS, CHRIS 192932 12/13/2018 019371 VOLGISTICS, INC 192933 12/13/2018 018147 WADDLETON, JEFFREY L. Description Amount Paid Check Total VEH REPAIR & MAINT:POLICE FY18-19 SPONSORSHIP FUNDING 3RD QTR HOST FEE:TVCC MIXER 4/17/19 TVE2 IRRIG & PLUMBING SUPPLIES:VARIOUS PARKS GRAPHIC DSGN SRVCS: THEATER ENERGOV ON-SITE SUPPORT:INFO TECH BULK MAILING:THEATER MID-SEASON MAILER NOV UNDERGROUND UTILITY LOCATOR ALERTS:P TOWING SRVCS: TEMECULA POLICE RENTALS:ELECTRIC LIGHT PARADE 11/30 RENTALS:ELECTRIC LIGHT PARADE 11/3 INSTALL FOUNTAINS:HARVESTON LAKE PARK SPORTS EQUIPMENT:PARKS NOV SHOWARE TICKETING SRVCS:THEATER REIMB: FLOODPLAIN MGMT REVIEW COURSE ANN'L SRVC FEE:T.V.MUS. #597-623-992 DJ/ANNOUNCER SRVCS:ELECTRIC LIGHT PARADE TCSD INSTRUCTOR EARNINGS 73.59 43,750.00 600.00 371.10 3,120.00 1,054.08 5,056.59 166.75 249.00 5,061.00 8,750.00 5,600.00 4,143.43 4,207.60 44.36 204.00 995.00 73.59 43,750.00 600.00 371.10 3,120.00 1,054.08 5,056.59 166.75 249.00 13, 811.00 5,600.00 4,143.43 4,207.60 44.36 204.00 315.00 1,310.00 Page:14 apChkLst Final Check List 12/13/2018 9:14:44AM CITY OF TEMECULA Page: 15 Bank : union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 192934 12/13/2018 020275 WALLACE & ASSOC 10/1-11/4 CONSTR MGMT SRVCS:PARK CONSULTING INC & RIDE 192935 12/13/2018 001342 WAXIE SANITARY SUPPLY INC CLEANING SUPPLIES:O.T./CIVIC CNTR/PRKS 192936 12/13/2018 003730 WEST COASTARBORISTS INC 11/1-15/18 TREE MAINT:HARVESTON LAKE 11/1-15/18 TREE MAINT:CITY R -O -W 192937 12/13/2018 008402 WESTERN RIVERSIDE CO REG, CONSERVATION AUTHORITY 192938 12/13/2018 004567 WITCHER ELECTRIC, AKA TERRENCE KEVIN WITCHE 11/1-15/18 TREE MAINT:VINATGE HILLS 11/1-15/18 TREE MAINT:PARKS & MEDIAN NOV '18 MSHCP PAYMENT 13, 500.00 13, 500.00 3,119.77 3,119.77 828.00 2,310.90 413.60 3,076.15 6,628.65 10,520.00 10,520.00 ELECTRICAL REPAIRS: PBSP 1,560.00 INSTALL SECURITY LIGHTS: CRC 960.00 ELECTRICAL SRVCS: OLD TOWN ARCHE 1,600.00 4,120.00 Grand total for UNION BANK: 5,463,176.48 Page:15 apChkLst Final Check List 12/13/2018 9:14:44AM CITY OF TEMECULA Page: 16 180 checks in this report. Grand Total All Checks. 5,463,176.48 Page:16 Item No. 4 Approvals City Attorney Director of Finance City Manager CITY OF TEMECULA AGENDA REPORT TO: City Manager/City Council FROM: Jennifer Hennessy, Director of Finance DATE: January 8, 2019 SUBJECT: Approve the City Treasurer's Report as of October 31, 2018 PREPARED BY: Rudy J. Graciano, Fiscal Services Manager RECOMMENDATION: That the City Council approve and file the City Treasurer's Report as of October 31, 2018. BACKGROUND: Government Code Sections 53646 and 41004 require reports to the City Council regarding the City's investment portfolio, receipts, and disbursements respectively. Adequate funds will be available to meet budgeted and actual expenditures of the City for the next six months. Current market values are derived from the Local Agency Investment Fund (LAIF) reports, Union Bank of California trust and custody statements, and from US Bank trust statements. Attached is the City Treasurer's Report that provides this information. The City's investment portfolio is in compliance with the statement of investment policy and Government Code Sections 53601 and 53635 as of October 31, 2018. FISCAL IMPACT: None ATTACHMENTS: City Treasurer's Report as of October 31, 2018 Investments Managed Pool Accounts Retention Escrow Account Letter of Credit Trust Accounts Local Agency Investment Funds Federal Agency Callable Securities Federal Agency Bullet Securities Investments Portfolio Managment Treasury Report Portfolio Management Portfolio Summary October 31, 2018 City of Temecula 41000 Main Street P.O. Box 9033 Temecula, CA 92590 (951)694-6430 Par Market Book % of Days to YTM YTM Value Value Value Portfolio Term Maturity 360 Equiv. 365 Equiv. 43,422,673.66 43,422,673.66 43,422,673.66 35.89 1 1 2.031 2.059 1,396,933.32 1,396,933.32 1,396,933.32 1.15 1 1 0.163 0.165 2.00 2.00 2.00 0.00 1 1 0.000 0.000 7,756,578.97 7,756,578.97 7,756,578.97 6.41 1 1 2.150 2.180 33,414,459.60 33,342,030.55 33,414,459.60 27.62 1 1 2.115 2.144 25,000,000.00 24,590,580.00 25,000,000.00 20.66 1,312 660 1.697 1.720 10,000,000.00 9,908,160.00 10,000,000.00 8.27 997 391 1.712 1.735 120,990,647.55 120,416,958.50 120,990,647.55 100.00% 354 169 1.945 1.972 Cash Passbook/Checking (not included in yield calculations) Total Cash and Investments 6,713,099.39 6,713,099.39 6,713,099.39 1 1 0.000 0.000 127,703,746.94 127,130, 057.89 127,703,746.94 354 169 1.945 1.972 Total Earnings October 31 Month Ending Fiscal Year To Date Current Year Average Daily Balance Effective Rate of Return 199,417.57 129,898,604.29 1.81% Reporting period 10/01/2018-10/31/2018 Data Updated: SET_MTH: 12/11/2018 11:51 Run Date: 12/11/2018 - 11:51 371,637.73 125,042,943.98 0.88% Portfolio TEME NL! CP PM (PRF_PM1) 7.3.0 Report Ver. 7.3.6.1 CUSIP Investment • Managed Pool Accounts 233358001-6 233358006-6 233358000-6 276213009-6 276213008-6 276213006-6 164741002-6 164741008-6 164741006-6 164741000-6 164742002-6 164742000-6 229462007-6 229462002--6 229462009-6 229462006-6 229462000-6 94669921-6 94669911-6 94669917-6 94669916-6 94669000-6 276213002-6 276213000-6 94686001-6 94686005-6 94686000-6 94686006-6 276213022-6 276213023-6 276213029-6 276213028-6 276213026-6 276213020.6 218848001-6 218848008-6 Issuer Portfolio Managment Treasury Report Portfolio Management Portfolio Details - Investments October 31, 2018 Average Purchase Balance Date Pr Value 01-2 BOND F First Amer Govt Oblig Fund CI 01-2 REF RES First Amer Govt Oblig Fund CI 01-2 REF ST First Amer Govt Oblig Fund CI 03-02 COI First Amer Govt Oblig Fund CI 03-02 IMPR First Amer Govt Oblig Fund CI 03-02 RES First Amer Govt Oblig Fund CI 03-03 BOND F First Amer Govt Oblig Fund CI 03-03IMP First Amer Govt Oblig Fund CI 03-03RES First Amer Govt Oblig Fund CI 03-03SPEC First Amer Govt Oblig Fund CI 03-06 BOND F First Amer Govt Oblig Fund CI 03-06SPEC First Amer Govt Oblig Fund CI 03-1 2012 RF First Amer Govt Oblig Fund CI 03-1 BOND FD First Amer Govt Oblig Fund CI 03-1 COI First Amer Govt Oblig Fund CI 03-1 RESERV First Amer Govt Oblig Fund CI 03-1 SPECF First Amer Govt Oblig Fund CI 03-1ACQ11 First Amer Govt Oblig Fund CI 03-1 ACQA11 First Amer Govt Oblig Fund CI 03-1 RES First Amer Govt Oblig Fund CI 03-1 RESB11 First Amer Govt Oblig Fund CI 03-1 SPTAX11 First Amer Govt Oblig Fund CI 03-2 REFU First Amer Govt Oblig Fund CI 03-2 SPEC First Amer Govt Oblig Fund CI 03-4ADMIN11 First Amer Govt Oblig Fund CI 03-4PREP11 First Amer Govt Oblig Fund CI 03-4RED11 First Amer Govt Oblig Fund CI 03-4RES11 First Amer Govt Oblig Fund CI 16-01 BOND F First Amer Govt Oblig Fund CI 16-01 CAPINT First Amer Govt Oblig Fund CI 16-01 COI First Amer Govt Oblig Fund CI 16-01 IMP First Amer Govt Oblig Fund CI 16-01 RESERV First Amer Govt Oblig Fund CI 16-01 SPECF First Amer Govt Oblig Fund CI 2017A&B INT First Amer Govt Oblig Fund CI 2017ABPRIORP First Amer Govt Oblig Fund CI Data Updated: SET_MTH: 12/11/2018 11:49 Run Date: 12/11/2018 - 11:49 Stated Market Value Book Value fiats Page 1 YTM YTM Days to Maturity 380 385 Maturity Date 8,291.93 8,291.93 8,291.93 2.000 1.973 2.000 1 504,695.26 504,695.26 504,695.26 2.000 1.973 2.000 1 85,741.07 85,741.07 85,741.07 2.000 1.973 2.000 1 07/01/2018 0.00 0.00 0.00 0.000 0.000 1 552,605.94 552,605.94 552,605.94 2.000 1.973 2.000 1 744,782.67 744,782.67 744,782.67 2.000 1.973 2.000 1 0.03 0.03 0.03 1.800 1.775 1.800 1 270,580.71 270,580.71 270,580.71 2.000 1.973 2.000 1 397.23 397.23 397.23 2.000 1.973 2.000 1 207,468.16 207,468.16 207,468.16 2.000 1.973 2.000 1 0.00 0.00 0.00 1.630 1.608 1.630 1 18,434.90 18,434.90 18,434.90 2.000 1.973 2.000 1 42.00 42.00 42.00 2.000 1.973 2.000 1 7,278.92 7,278.92 7,278.92 2.000 1.973 2.000 1 0.00 0.00 0.00 0.000 0.000 1 4,276.56 4,276.56 4,276.56 2.000 1.973 2.000 1 95,816.04 95,816.04 95,816.04 2.000 1.973 2.000 1 0.00 0.00 0.00 0.870 0.858 0.870 1 07/01/2018 0.00 0.00 0.00 0.000 0.000 1 07/01/2018 0.00 0.00 0.00 0.000 0.000 1 0.00 0.00 0.00 0.000 0.000 1 0.00 0.00 0.00 0.000 0.000 1 7,758.87 7,758.87 7,758.87 2.000 1.973 2.000 1 49,998.42 49,998.42 49,998.42 2.000 1.973 2.000 1 518.45 518.45 518.45 2.000 1.973 2.000 1 13.26 13.26 13.26 1.960 1.933 1.960 1 60,057.58 60,057.58 60,057.58 2.000 1.973 2.000 1 34,103.50 34,103.50 34,103.50 2.000 1.973 2.000 1 39,709.74 39,709.74 39,709.74 2.000 1.973 2.000 1 0.00 0.00 0.00 0.870 0.858 0.870 1 07/01/2018 0.00 0.00 0.00 0.000 0.000 1 6,527,161.08 6,527,161.08 6,527,161.08 2.000 1.973 2.000 1 3,162,668.47 3,162,668.47 3,162,668.47 2.000 1.973 2.000 1 124,893.72 124,893.72 124,893.72 2.000 1.973 2.000 1 07/09/2018 16, 821.29 16, 821.29 16, 821.29 2.000 1.973 2.000 1 205,445.95 205,445.95 205,445.95 2.000 1.973 2.000 1 Portfolio TEME NL! CP PM (PRF_PM2) 7.3.0 Report Ver. 7.3.6.1 CUSIP Investment * Managed Pool Accounts 216848013-2 218848000-6 218848009-6 233358009-6 94434160-6 94434161-6 107886000-6 107886001-6 107886010-6 107886011-6 107886016-6 107886020-6 107886021-6 107886028-6 107886026-6 136343008-6 136343018-6 136343000-6 136343001-6 136343006-6 146161000-6 146161001-6 94669902-3 94434160-1 94434161-2 136343018-2 146161008-3 146161006-3 94669921-5 94669911-5 94669917-5 94669906-5 94669916-5 94669000-5 164742006-5 164742000-5 Issuer Portfolio Managment Treasury Report Portfolio Management Portfolio Details - Investments October 31, 2018 Average Salaries Purchase Date 2017B COI 2017B DS 2017B_PROJ 233358009-6 RDA-02INT RDA-02PRIN RDA-06AINT RDA06APRIN RDA06BINT RDA06BPRIN RDA06BRES RDA07INT RDA07PRIN RDA07PROJ RDAO7RES RDA10APROJ RDA10BPROJ RDA1 OINT RDA1OPRIN RDA1ORSRV RDA11AINT RDA11APRIN 03-1 BOND3 RDA 02 INT1 RDA 02 PRIN2 RDA 10B CIP2 RDA11APROJ RDA11ARSRV 03-01 ACQ11 03-01 ACQA11 03-01 RES 03-01 RESA11 03-01 RESB11 03-01 SPTAX11 03-06 RES 03-06 SPEC First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First Amer Govt Oblig Fund CI First American Treasury First American Treasury First American Treasury First American Treasury Federated Institutional Tax Fr Federated Institutional Tax Fr Federated Tax Free Obligations Federated Tax Free Obligations Federated Tax Free Obligations Federated Tax Free Obligations Federated Tax Free Obligations Federated Tax Free Obligations Federated Tax Free Obligations Federated Tax Free Obligations Data Updated: SET_MTH: 12/11/2018 11:49 Run Date: 12/11/2018 - 11:49 Page 2 Stated YTM YTM Days to Maturity Pr Value Market Value Book Value Ike 980 985 Maturity Dots 0.00 0.00 0.00 0.000 0.000 6,450.27 6,450.27 6,450.27 2.000 1.973 2.000 12,739,082.45 12,739,082.45 12,739,082.45 2.000 1.973 2.000 07/01/2018 0.00 0.00 0.00 0.000 0.000 0.00 0.00 0.00 0.000 0.000 0.00 0.00 0.00 0.000 0.000 0.00 0.00 0.00 0.000 0.000 0.00 0.00 0.00 0.000 0.000 0.00 0.00 0.00 0.000 0.000 0.00 0.00 0.00 0.680 0.671 0.680 0.00 0.00 0.00 0.940 0.927 0.940 0.00 0.00 0.00 0.000 0.000 0.00 0.00 0.00 0.930 0.917 0.930 0.00 0.00 0.00 0.940 0.927 0.940 0.00 0.00 0.00 0.940 0.927 0.940 0.00 0.00 0.00 0.000 0.000 0.00 0.00 0.00 0.000 0.000 0.00 0.00 0.00 0.000 0.000 07/01/2018 0.00 0.00 0.00 0.000 0.000 07/01/2018 0.03 0.03 0.03 0.000 0.000 0.00 0.00 0.00 0.000 0.000 0.00 0.00 0.00 0.000 0.000 07/01/2018 0.00 0.00 0.00 0.000 0.000 0.00 0.00 0.00 0.010 0.010 0.010 0.00 0.00 0.00 0.010 0.010 0.010 0.00 0.00 0.00 0.010 0.010 0.010 0.00 0.00 0.00 0.800 0.789 0.800 07/01/2018 0.00 0.00 0.00 0.000 0.000 0.00 0.00 0.00 0.250 0.247 0.250 0.00 0.00 0.00 0.250 0.247 0.250 07/01/2018 0.00 0.00 0.00 0.000 0.000 0.00 0.00 0.00 0.001 0.001 0.001 0.00 0.00 0.00 0.250 0.247 0.250 0.00 0.00 0.00 0.250 0.247 0.250 07/01/2018 0.00 0.00 0.00 0.000 0.000 0.00 0.00 0.00 0.250 0.247 0.250 Portfolio TEME NL! CP PM (PRF_PM2) 7.3.0 CUSIP Investment* Managed Pool Accounts 94669902-5 03-1bond fd 94686001-5 03-4 ADMIN11 94686005-5 03-4 PREP11 94686006-5 03-4 RES11 94669917-1 03-01-1 RES 276213008-1 03-02 IMP 164742006-1 03-06 RES -1 229462007-1 03-1 2012 RE 94669911-1 03-1 ACQ A2 94669921-1 03-1 ACQ B2 744727011-1 03-3 ACQ 2 164741006-1 0303-1 RES 107886028-1 RDA 07 PRO -1 107886026-1 RDA 07 RES -1 136343018-1 RDA 10B CIP1 229462020-0 03-01 CASH 233358050-1 01-2 SPECESC Issuer Portfolio Managment Treasury Report Portfolio Management Portfolio Details - Investments October 31, 2018 Average Bianca Federated Tax Free Obligations Federated Tax Free Obligations Federated Tax Free Obligations Federated Tax Free Obligations CA Local Agency Investment Fun CA Local Agency Investment Fun CA Local Agency Investment Fun CA Local Agency Investment Fun CA Local Agency Investment Fun CA Local Agency Investment Fun CA Local Agency Investment Fun CA Local Agency Investment Fun CA Local Agency Investment Fun CA Local Agency Investment Fun CA Local Agency Investment Fun USBANK U.S. Treasury Subtotal and Average 43,395,252.58 Page 3 Purchase Stated YTM YTM Days to Maturity Date Pr Value Market Value Book Value Rate 360 365 Maturity Date 07/01/2018 0.00 0.00 0.00 0.000 0.000 1 0.00 0.00 0.00 0.250 0.247 0.250 1 07/01/2018 0.00 0.00 0.00 0.000 0.000 1 0.00 0.00 0.00 0.250 0.247 0.250 1 0.00 0.00 0.00 2.144 2.115 2.144 1 15,361,373.26 15,361,373.26 15,361,373.26 2.144 2.115 2.144 1 317,874.39 317,874.39 317,874.39 2.144 2.115 2.144 1 794,686.01 794,686.01 794,686.01 2.144 2.115 2.144 1 0.00 0.00 0.00 2.144 2.115 2.144 1 0.00 0.00 0.00 2.144 2.115 2.144 1 0.00 0.00 0.00 2.144 2.115 2.144 1 1,473,025.81 1,473,025.81 1,473,025.81 2.144 2.115 2.144 1 0.00 0.00 0.00 2.144 2.115 2.144 1 0.00 0.00 0.00 2.144 2.115 2.144 1 0.00 0.00 0.00 2.144 2.115 2.144 1 619.69 619.69 619.69 0.000 0.000 1 0.00 0.00 0.00 0.360 0.355 0.360 1 43,422,673.66 43,422,673.86 43,422,673.66 2.031 2.059 1 Retention Escrow NOBEL COMPANY ARMY CORPS 218848050-0 218848060-0 218848070-0 218848080-0 229462020-2 Account Nobel Comp Army Corps 2002 ESCROW 2006AESCRO 2006BESCRO 2007ESCROW 03-01 ESCROW Banner Bank Union Bank USBANK USBANK USBANK USBANK U.S. Treasury Subtotal and Average 1,395,685.43 07/01/2018 07/01/2018 07/01/2018 07/01/2018 0.00 602,400.46 0.00 0.00 0.00 0.00 794,532.86 0.00 602,400.46 0.00 0.00 0.00 0.00 794,532.86 1,396,933.32 1,396,933.32 0.00 602,400.46 0.00 0.00 0.00 0.00 794,532.86 1,396,933.32 0.370 0.365 0.370 1 0.300 0.296 0.300 1 0.000 0.000 1 0.000 0.000 1 0.000 0.000 1 0.000 0.000 1 0.063 0.062 0.063 1 0.163 0.165 1 Letter of Credit 218848006-1 233358006-1 2017B RESER ASSURED GUARANTY MUNICIPAL COR 01-2 REFRESI ASSURANCE CO BOND INSURANCE Subtotal and Average Data Updated: SET_MTH: 12/11/2018 11:49 Run Date: 12/11/2018 - 11:49 07/01/2018 07/01/2018 1.00 1.00 2.00 2.00 1.00 1.00 2.00 1.00 1.00 2.00 0.000 0.000 1 0.000 0.000 1 0.000 0.000 1 Portfolio TEME NL! CP PM (PRF_PM2) 7.3.0 Portfolio Managment Treasury Report Portfolio Management Portfolio Details - Investments October 31, 2018 Page 4 CUSIP Investment ar Issuer Balance Purchase Stated YTM YTM Days to Maturity Balance Date Per Value Market Value Book Value Rate 360 385 Maturity pate Trust Accounts 6746058700 PARS Pension US Bank Trust 7,756,578.97 7,756,578.97 7,756,578.97 2.180 2.150 2.180 1 Subtotal and Average 8,083,311.11 7,756,578.97 7,756,578.97 7,758,578.97 2.150 2.180 1 Local Agency Investment Funds SYSCITY CITY CA Local Agency Investment Fun 15,753,393.21 15,719,246.22 15,753,393.21 2.144 2.115 2.144 1 SYSRDA RDA CA Local Agency Investment Fun 1,808.20 1,804.28 1,808.20 2.144 2.115 2.144 1 SYSTCSD TCSD CA Local Agency Investment Fun 17,659,258.19 17,620,980.05 17,659,258.19 2.144 2.115 2.144 1 Subtotal and Average 34,035,219.59 33,414,459.60 33,342,030.55 33,414,459.60 2.115 2.144 1 Federal Agency Callable Securities 3130A4G89 01207 Federal Home Loan Bank 03/24/2015 1,000,000.00 990,620.00 1,000,000.00 1.650 1.627 1.650 327 09/24/2019 3130AAME5 01226 Federal Home Loan Bank 01/30/2017 1,000,000.00 966,810.00 1,000,000.00 2.020 1.948 1.975 1,181 01/25/2022 3130AANA2 01227 Federal Home Loan Bank 01/30/2017 1,000,000.00 980,630.00 1,000,000.00 1.750 1.726 1.750 637 07/30/2020 3130AAW38 01228 Federal Home Loan Bank 03/22/2017 1,000,000.00 994,720.00 1,000,000.00 1.500 1.479 1.500 1,237 03/22/2022 3130AB3N4 01231 Federal Home Loan Bank 04/28/2017 1,000,000.00 987,480.00 1,000,000.00 1.550 1.529 1.550 362 10/29/2019 3130ABYY6 01235 Federal Home Loan Bank 08/24/2017 1,000,000.00 974,010.00 1,000,000.00 1.750 1.726 1.750 846 02/24/2021 3130ACN83 01238 Federal Home Loan Bank 10/30/2017 1,000,000.00 982,760.00 1,000,000.00 1.700 1.677 1.700 561 05/15/2020 3130ADFV9 01241 Federal Home Loan Bank 01/29/2018 1,000,000.00 983,460.00 1,000,000.00 2.250 2.219 2.250 820 01/29/2021 3134G8QB8 01219 Federal Home Loan Mtg Corp 03/29/2016 1,000,000.00 995,220.00 1,000,000.00 1.270 1.253 1.270 148 03/29/2019 3134G8PP8 01220 Federal Home Loan Mtg Corp 03/30/2016 1,000,000.00 973,160.00 1,000,000.00 1.500 1.661 1.684 699 09/30/2020 3134GAXX7 01224 Federal Home Loan Mtg Corp 11/30/2016 1,000,000.00 999,050.00 1,000,000.00 1.000 0.986 1.000 29 11/30/2018 3134GBAB8 01229 Federal Home Loan Mtg Corp 03/27/2017 1,000,000.00 984,030.00 1,000,000.00 1.670 1.647 1.670 512 03/27/2020 3134GBGZ9 01232 Federal Home Loan Mtg Corp 04/27/2017 1,000,000.00 968,210.00 1,000,000.00 2.000 1.964 1.991 1,183 01/27/2022 3134GBNK4 01234 Federal Home Loan Mtg Corp 05/30/2017 1,000,000.00 981,460.00 1,000,000.00 1.625 1.603 1.625 575 05/29/2020 3134GBL42 01237 Federal Home Loan Mtg Corp 09/28/2017 1,000,000.00 976,350.00 1,000,000.00 1.670 1.647 1.670 697 09/28/2020 3134GBR95 01239 Federal Home Loan Mtg Corp 10/30/2017 1,000,000.00 988,590.00 1,000,000.00 1.625 1.603 1.625 363 10/30/2019 3134GSGF6 01242 Federal Home Loan Mtg Corp 03/15/2018 1,000,000.00 987,250.00 1,000,000.00 2.625 2.589 2.625 1,049 09/15/2021 3134GSMF9 01246 Federal Home Loan Mtg Corp 05/30/2018 1,000,000.00 987,710.00 1,000,000.00 3.000 2.959 3.000 1,667 05/26/2023 3136G2EC7 01205 Federal National Mtg Assn 02/27/2015 1,000,000.00 996,290.00 1,000,000.00 1.300 1.282 1.300 118 02/27/2019 3136G2WT0 01216 Federal National Mtg Assn 01/27/2016 1,000,000.00 983,800.00 1,000,000.00 1.450 1.430 1.450 452 01/27/2020 3136G2XH5 01217 Federal National Mtg Assn 02/24/2016 1,000,000.00 981,940.00 1,000,000.00 1.400 1.381 1.400 480 02/24/2020 3136G3CL7 01218 Federal National Mtg Assn 03/24/2016 1,000,000.00 973,300.00 1,000,000.00 1.420 1.401 1.420 693 09/24/2020 3136G3TE5 01221 Federal National Mtg Assn 06/29/2016 1,000,000.00 974,140.00 1,000,000.00 1.250 1.233 1.250 606 06/29/2020 3136G3X59 01222 Federal National Mtg Assn 08/23/2016 1,000,000.00 987,470.00 1,000,000.00 1.100 1.085 1.100 295 08/23/2019 3136G4ST1 01247 Federal National Mtg Assn 06/28/2018 1,000,000.00 992,120.00 1,000,000.00 2.800 2.762 2.800 970 06/28/2021 Data Updated: SET_MTH: 12/11/2018 11:49 Run Date: 12/11/2018 - 11:49 Portfolio TEME NL! CP PM (PRF_PM2) 7.3.0 CUSIP Portfolio Managment Treasury Report Portfolio Management Portfolio Details - Investments October 31, 2018 Page 5 Average Purchase Stated YTM YTM pays to 6Aourity Investment A Issuer Balance Date Pr Value Markel Value Book Value Roe 090 385 Maturity Date Subtotal and Average 25,000,000.00 25,000,000.00 24,590,580.00 25,000,000.00 1.097 1.720 080 Federal Agency Bullet Securities 3133EEHU7 01202 Federal Farm Credit Bank 01/14/2015 1,000,000.00 998,250.00 1,000,000.00 1.410 1.391 1.410 74 01/14/2019 3133EGJ30 01225 Federal Farm Credit Bank 11/18/2016 1,000,000.00 983,050.00 1,000,000.00 1.100 1.085 1.100 382 11/18/2019 3130A5MH9 01211 Federal Home Loan Bank 06/26/2015 1,000,000.00 998,480.00 1,000,000.00 1.360 1.341 1.360 55 12/26/2018 3130A8ZV8 01223 Federal Home Loan Bank 08/23/2016 1,000,000.00 986,760.00 1,000,000.00 1.000 0.986 1.000 295 08/23/2019 3130ABDX1 01233 Federal Home Loan Bank 05/24/2017 1,000,000.00 993,570.00 1,000,000.00 1.400 1.381 1.400 204 05/24/2019 3130AC3F9 01236 Federal Home Loan Bank 08/10/2017 1,000,000.00 989,830.00 1,000,000.00 1.420 1.853 1.878 300 08/28/2019 3130ADEB4 01240 Federal Home Loan Bank 01/12/2018 1,000,000.00 982,350.00 1,000,000.00 2.125 2.096 2.125 803 01/12/2021 3130ADR79 01243 Federal Home Loan Bank 03/20/2018 1,000,000.00 992,730.00 1,000,000.00 2.300 2.268 2.300 505 03/20/2020 3130ADSJ2 01244 Federal Home Loan Bank 03/08/2018 1,000,000.00 989,600.00 1,000,000.00 2,460 2.426 2.460 858 03/08/2021 3130ADXU1 01245 Federal Home Loan Bank 04/09/2018 1,000,000.00 993,540.00 1,000,000.00 2.320 2.288 2.320 434 01/09/2020 Subtotal and Average 10,000,000.00 10,000,000.00 9,909,180.00 10,000,000.00 1.712 1.735 391 Total and Average 129,898,604.29 120,990,647.55 120,416,958.50 120,990,647.55 1.945 1.972 169 Data Updated: SET_MTH: 12/11/2018 11:49 Run Date: 12/11/2018 - 11:49 Portfolio TEME NL! CP PM (PRF_PM2) 7.3.0 CUSIP Portfolio Managment Treasury Report Portfolio Management Portfolio Details - Cash October 31, 2018 Average Purchase Stated YTM YTM Days to Investment 0 Issuer Balance Date Pr Value Market Value Book Value Rate 380 385 Maturity Passbook/Checking Accounts 1453718479 WORKERS COMP BANK OF AMERICA MERRILL LYNC 07/01/2018 10,956.33 10,956.33 10,956.33 0.000 0.000 1 SYSPetty Cash Petty Cash City of Temecula 07/01/2018 3,711.00 3,711.00 3,711.00 0.000 0.000 1 SYSGen Ck Acct Gen Ck Acct Union Bank of California 6,693,245.81 6,693,245.81 6,693,245.81 0.000 0.000 1 SYSParking Ck PARKING CITA Union Bank of California 07/01/2018 5,186.25 5,186.25 5,186.25 0.000 0.000 1 Average Balance 0.00 1 Page Total Cash and Investments 129,898,804.29 127,703,748.94 127,130,057.89 127,703,748.94 1.945 1.972 189 Data Updated: SET_MTH: 12/11/2018 11:49 Run Date: 12/11/2018-11:49 Portfolio TEME NL! CP PM (PRF_PM2) 7.3.0 Fund # Fund Name 001 GENERAL FUND 002 MEASURE S FUND 100 STATE GAS TAX FUND 102 RMRA-ROAD MAINTENANCE REHABILITATION ACT 103 STREETS MAINTENANCE FUND 120 DEVELOPMENT IMPACT FUND 125 PEG PUBLIC EDUCATION & GOVERNMENT 145 TEMECULA ENERGY EFFICIENCY ASSET TEAM 150 AB 2766 FUND 160 SUPPLEMENTAL LAW ENFORCEMENT SERVICES 161 TEMECULA MAJOR CRIMES REWARD FUND 165 AFFORDABLE HOUSING 170 MEASURE A FUND 190 TEMECULA COMMUNITY SERVICES DISTRICT 192 TCSD SERVICE LEVEL "B" STREET LIGHTS 194 TCSD SERVICE LEVEL "D" REFUSE/RECYCLING 195 TCSD SERVICE LEVEL "R" STREET/ROAD MAINT 196 TCSD SERVICE LEVEL "L" LAKE PARK MAINT. 197 TEMECULA LIBRARY FUND 198 PUBLIC ART 210 CAPITAL IMPROVEMENT PROJECT FUND 275 CFD 03-3 WOLF CREEK IMPROVEMENT FUND 277 CFD-RORIPAUGH 278 CFD-RORIPAUGH II 300 INSURANCE FUND 305 WORKER'S COMPENSATION 310 VEHICLES AND EQUIPMENT FUND 325 TECHNOLOGY REPLACEMENT FUND 330 CENTRAL SERVICES 340 FACILITIES 350 FACILITY REPLACEMENT FUND 380 SARDA DEBT SERVICE FUND 381 REDEVELOPMEN PROPERTY TAX TRUST 460 CFD 88-12 DEBT SERVICE FUND 472 CFD 01-2 HARVESTON A&B DEBT SERVICE 473 CFD 03-1 CROWNE HILL DEBT SERVICE FUND 474 AD 03-4 JOHN WARNER ROAD DEBT SERVICE 475 CFD 03-3 WOLF CREEK DEBT SERVICE FUND 476 CFD 03-6 HARVESTON 2 DEBT SERVICE FUND 477 CFD 03-02 RORIPAUGH DEBT SERVICE FUND 478 CFD-RORIPAUGH II 501 SERVICE LEVEL"C"ZONE 1 SADDLEWOOD 502 SERVICE LEVEL"C"ZONE 2 WINCHESTER CREEK 503 SERVICE LEVEL"C"ZONE 3 RANCHO HIGHLANDS 504 SERVICE LEVEL"C"ZONE 4 THE VINEYARDS 505 SERVICE LEVEL"C"ZONE 5 SIGNET SERIES 506 SERVICE LEVEL"C"ZONE 6 WOODCREST COUNTRY 508 SERVICE LEVEL"C"ZONE 8 VILLAGE GROVE 509 SERVICE LEVEL"C"ZONE 9 RANCHO SOLANA 510 SERVICE LEVEL"C"ZONE 10 MARTINIQUE 511 SERVICE LEVEL"C"ZONE 11 MEADOWVIEW 512 SERVICE LEVEL"C"ZONE 12 VINTAGE HILLS 513 SERVICE LEVEL"C"ZONE 13 PRESLEY DEVELOP 514 SERVICE LEVEL"C"ZONE 14 MORRISON HOMES 515 SERVICE LEVEL"C"ZONE 15 BARCLAY ESTATES 516 SERVICE LEVEL"C"ZONE 16 TRADEWINDS 517 SERVICE LEVEL"C"ZONE 17 MONTE VISTA 518 SERVICE LEVEL"C"ZONE 18 TEMEKU HILLS 519 SERVICE LEVEL"C"ZONE 19 CHANTEMAR 520 SERVICE LEVEL"C"ZONE 20 CROWNE HILL 521 SERVICE LEVEL"C"ZONE 21 VAIL RANCH 522 SERVICE LEVEL"C"ZONE 22 SUTTON PLACE 523 SERVICE LEVEL"C"ZONE 23 PHEASENT RUN 524 SERVICE LEVEL"C"ZONE 24 HARVESTON 525 SERVICE LEVEL"C"ZONE 25 SERENA HILLS 526 SERVICE LEVEL"C"ZONE 26 GALLERYTRADITION 527 SERVICE LEVEL"C"ZONE 27 AVONDALE 528 SERVICE LEVEL"C"ZONE 28 WOLF CREEK 530 SERVICE LEVEL"C"ZONE 30 FUTURE ZONES 701 PENSION RATE STABILIZATION FUND Grand Total: Cash and Investments Report CITY OF TEMECULA Through October 2018 Beainnina Balance Receipts Disbursements Fund Total $ 25,406,365.16 $ 7,474,611.03 $ 5,037,455.32 $ 27,843,520.87 2,905,260.02 144.45 2,905,115.57 386,055.29 354,741.02 386,036.10 176,609.02 373,324.71 134.23 17.41 350,116.82 127,032.58 88.97 1,789,408.79 1,793.15 1,862.97 308,402.36 831.82 9.48 190,655.90 422.67 6.59 132,486.34 91,201,12 94,860.93 91,196.59 113.72 1.30 26,064.20 1,617.15 26,935.81 745,659.30 546,293.20 231,050.06 3,780,558.25 208,291.05 921,696.17 836,088.70 4,332.24 74,027.15 54,305.02 50,416.67 5,540.99 251,858.95 315.60 1.34 27,041.04 1,036.22 10,663.54 322,367.97 10,496.99 27,361.36 436,639.97 913.45 1.62 32,595.31 2,113,137.73 5,455,368.17 23,796,017.28 408.57 270,580.71 84,525.99 48,965.86 16,052,097.80 9,855.90 324.04 6,526,837.04 83,714.00 28,930.23 206,815.28 204, 559.19 16,689.91 1,513,285.46 9,600.16 126.01 2, 534, 354.53 9,803.08 352,724.88 305,537.07 632.61 22,680.07 292,990.71 769.84 113,378.36 176,899.39 47.93 51,503.66 73,517.61 1,384,929.26 1,365,343.08 13,269,718.27 12,285.14 169.04 3,399,705.24 398.83 4.55 91,410.33 1,304.33 390.28 630,937.04 7,203.34 1,604.08 1,754,211.20 164.47 526.47 100,925.08 10,481.15 459.73 2,035,174.24 1,850.09 377.38 372,235.27 1,561.49 400.15 829,758.32 5,960.46 968.88 3,356,334.96 36.30 3,175.41 2,131.24 304.93 2,737.56 73,997.03 74.49 3,292.43 18,119.82 6.28 489.63 2,046.32 36.87 3,017.67 12,356.44 90.93 1,475.97 22,129.29 147.86 13,929.12 53,752.23 101.48 317.63 23,815.10 29.85 838.32 8,882.18 9.18 170.11 2,010.96 206.05 7,747.88 66,370.33 45.07 3,723.84 11,831.37 13.46 1,293.18 2,833.53 9.25 601.28 3,603.80 166.17 3,028.77 41,133.64 3.39 162.49 777.26 74.95 7,050.32 24,212.22 312.48 3,761.09 82,031.06 483.75 14, 573.55 138, 370.47 496.16 17,914.16 165,266.01 19.14 327.75 5,139.18 54.29 592.17 14,179.69 133.46 12,777.36 37,671.63 144.60 2,761.68 42,998.09 1.26 170.35 360.33 21.80 1,304.94 5,268.46 1,378.94 18,060.68 377,950.62 151.74 1.73 34,779.74 337,623.21 $ 7,756,578.97 354,721.83 196,715.69 350,000.00 1,662,465.18 308,472.18 189,833.56 132,070.26 94,856.40 25,951.78 770,977.96 3,465,315.11 1,549,493.82 123,999.93 206,983.27 26,726.78 331,995.29 453,504.34 31,683.48 27,138,247.72 270,172.14 16,016,537.67 6,517,305.18 152,031.51 1,325,416.18 2,524,880.38 648,458.87 315,038.17 289,507.91 124,973.34 13,250,132.09 3,387,589.14 91,016.05 630,022.99 1,748,611.94 101,287.08 2,025,152.82 370,762.56 828,596.98 3,351,343.38 5,270.35 76,429.66 21,337.76 2,529.67 15,337.24 23,514.33 67,533.49 24,031.25 9,690.65 2,171.89 73,912.16 15,510.14 4,113.25 4,195.83 43,996.24 936.36 31,187.59 85,479.67 152,460.27 182,684.01 5,447.79 14,717.57 50,315.53 45,615.17 529.42 6,551.60 394,632.36 34,629.73 $ 8,094,202.18 $ 126,278,179.28 $ 15,935,524.91 $ 15,083,646.30 $ 127,130,057.89 Journal Entries completed after September's Treasurer's Report was issued are reflected in the Receipts / Disbursements columns. Item No. 5 Approvals City Attorney Director of Finance City Manager CITY OF TEMECULA AGENDA REPORT TO: City Manager/City Council FROM: Jennifer Hennessy, Director of Finance Lisa McConnell, Chief of Police DATE: January 8, 2019 SUBJECT: Approve the Second Amendment to the Agreement for Law Enforcement Services with the County of Riverside to Increase Patrol Coverage for the City PREPARED BY: Tricia Hawk, Budget Manager RECOMMENDATION: That the City Council approve the Second Amendment to the Agreement for Law Enforcement Services with the County of Riverside, adjusting the patrol coverage from 200 hours per day to 205 hours per day. BACKGROUND: Measure S, approved by the voters on November 8, 2016, established a one -cent Transactions and Use Tax for the City. The measure was approved based on the commitment to maintain 9-1-1 emergency response times, prevent cuts to local paramedic, police, fire protection, school safety patrols, youth/after-school, senior and disabled services; improve freeway interchanges, reduce traffic and provide for other general services. The increase in patrol hours, funded by Measure S, will bring the Police Department to 112 sworn officers, maintaining the City's commitment of one officer per 1,000 residents, as described in the City's General Plan. Once approved by the City Council, the amended Agreement will be forwarded to the Riverside County Board of Supervisors for County approval. FISCAL IMPACT: The fully burdened annual cost of one police officer position is $342,161, and is included in the FY2018-19 Police Department Operating Budget. ATTACHMENTS: Second Amendment Original 1 of 3 SECOND AMENDMENT TO AGREEMENT FOR LAW ENFORCEMENT SERVICES BETWEEN THE COUNTY OF RIVERSIDE AND THE CITY OF TEMECULA IT IS MUTUALLY AGREED that the Agreement for Law Enforcement Services between the County of Riverside, a political subdivision of the State of California, on behalf of the Riverside County Sheriff's Department, and the City of Temecula, a General Law City, approved by the Board of Supervisors on April 5, 2016, for services effective July 1, 2015 through June 30, 2020, as amended on April 11, 2017, is hereby amended in the following respects, and all other terms and conditions of the Agreement remain in full force and effect: Attachment A is amended to read as follows: ATTACHMENT A CITY OF TEMECULA LEVEL OF SERVICE Average Patrol Services 205 supported hours per day. (Equivalent of forty-two (42) Deputy Sheriff positions @ 1,780 annual productive hours per position standard.) Dedicated Positions Two (2) Sheriff's Lieutenant positions Three (3) Sheriff's Sergeant positions Five (5) Deputy Sheriff (fully supported) positions - Special Enforcement Team Four (4) Deputy Sheriff (fully supported) positions - Mall Officers Seventeen (17) Deputy Sheriff (fully supported) positions - Traffic/Motorcycle Team Eight (8) Deputy Sheriff (fully supported) positions - POP Team Two (2) Deputy Sheriff. (fully supported) positions - K-9 Deputies One (1) Deputy Sheriff (fully supported) position - Pechanga Intergovernmental Agreement One (1) Deputy Sheriff (unsupported) position - Gang Task Force Two and One Half (2.5) Deputy Sheriff (unsupported) positions - School Resource Officers Seventeen (17) Community Service Officer II positions IN WITNESS WHEREOF, the City of Temecula, by minute order or resolution duly adopted by its City Council, has caused this Agreement to be signed by its Mayor and attested and sealed by its Clerk, and the County of Riverside, by order of its Board of Supervisors, has caused this Agreement to be subscribed by the Chairman of said Board and sealed and attested by the Clerk of said Board, all on the dates indicated below. CITY OF TEMECULA Date: By: Michael S. Naggar, Mayor Date: ATTEST: By: Randi Johl, City Clerk APPROVED AS TO FORM: By: Peter Thorson, City Attorney COUNTY OF RIVERSIDE By: Chuck Washington, Chairman Riverside County Board ofSupervisors ATTEST: APPROVED AS TO FORM: Kecia Harper-Ihem Greg P. Priamos Clerk of the Board County Counsel By: Deputy By: Susanna Oh Deputy County Counsel 2 Original 2 of 3 SECOND AMENDMENT TO AGREEMENT FOR LAW ENFORCEMENT SERVICES BETWEEN THE COUNTY OF RIVERSIDE AND THE CITY OF TEMECULA IT IS MUTUALLY AGREED that the Agreement for Law Enforcement Services between the County of Riverside, a political subdivision of the State of California, on behalf of the Riverside County Sheriff's Department, and the City of Temecula, a General Law City, approved by the Board of Supervisors on April 5, 2016, for services effective July 1, 2015 through June 30, 2020, as amended on April 11, 2017, is hereby amended in the following respects, and all other terms and conditions of the Agreement remain in full force and effect: Attachment A is amended to read as follows: ATTACHMENT A CITY OF TEMECULA LEVEL OF SERVICE Average Patrol Services 205 supported hours per day. (Equivalent of forty-two (42) Deputy Sheriff positions @ 1,780 annual productive hours per position standard.) Dedicated Positions Two (2) Sheriffs Lieutenant positions Three (3) Sheriffs Sergeant positions Five (5) Deputy Sheriff (fully supported) positions - Special Enforcement Team Four (4) Deputy Sheriff (fully supported) positions - Mall Officers Seventeen (17) Deputy Sheriff (fully supported) positions - Traffic/Motorcycle Team Eight (8) Deputy Sheriff (fully supported) positions - POP Team Two (2) Deputy Sheriff (fully supported) positions - K-9 Deputies One (1) Deputy Sheriff (fully supported) position - Pechanga Intergovernmental Agreement One (1) Deputy Sheriff (unsupported) position - Gang Task Force Two and One Half (2.5) Deputy Sheriff (unsupported) positions - School Resource Officers Seventeen (17) Community Service Officer II positions IN WITNESS WHEREOF, the City of Temecula, by minute order or resolution duly adopted by its City Council, has caused this Agreement to be signed by its Mayor and attested and sealed by its Clerk, and the County of Riverside, by order of its Board of Supervisors, has caused this Agreement to be subscribed by the Chairman of said Board and sealed and attested by the Clerk of said Board, all on the dates indicated below. CITY OF TEMECULA Dated: By: Michael S. Naggar, Mayor Date: ATTEST: By: Randi Johl, City Clerk APPROVED AS TO FORM: By: Peter Thorson, City Attorney COUNTY OF RIVERSIDE By: Chuck Washington, Chairman Riverside County Board ofSupervisors ATTEST: APPROVED AS TO FORM: Kecia Harper-Ihem Greg P. Priamos Clerk of the Board County Counsel By: By: Deputy Susanna Oh Deputy County Counsel 2 Original 3 of 3 SECOND AMENDMENT TO AGREEMENT FOR LAW ENFORCEMENT SERVICES BETWEEN THE COUNTY OF RIVERSIDE AND THE CITY OF TEMECULA IT IS MUTUALLY AGREED that the Agreement for Law Enforcement Services between the County of Riverside, a political subdivision of the State of California, on behalf of the Riverside County Sheriffs Department, and the City of Temecula, a General Law City, approved by the Board of Supervisors on April 5, 2016, for services effective July 1, 2015 through June 30, 2020, as amended on April 11, 2017, is hereby amended in the following respects, and all other terms and conditions of the Agreement remain in full force and effect: Attachment A is amended to read as follows: ATTACHMENT A CITY OF TEMECULA LEVEL OF SERVICE Average Patrol Services 205 supported hours per day. (Equivalent of forty-two (42) Deputy Sheriff positions @ 1,780 annual productive hours per position standard.) Dedicated Positions Two (2) Sheriff's Lieutenant positions Three (3) Sheriff's Sergeant positions Five (5) Deputy Sheriff (fully supported) positions - Special Enforcement Team Four (4) Deputy Sheriff (fully supported) positions - Mall Officers Seventeen (17) Deputy Sheriff (fully supported) positions - Traffic/Motorcycle Team Eight (8) Deputy Sheriff (fully supported) positions - POP Team Two (2) Deputy Sheriff (fully supported) positions - K-9 Deputies One (1) Deputy Sheriff (fully supported) position - Pechanga Intergovernmental Agreement One (1) Deputy Sheriff (unsupported) position - Gang Task Force Two and One Half (2.5) Deputy Sheriff (unsupported) positions - School Resource Officers Seventeen (17) Community Service Officer II positions 1 IN WITNESS WHEREOF, the City of Temecula, by minute order or resolution duly adopted by its City Council, has caused this Agreement to be signed by its Mayor and attested and sealed by its Clerk, and the County of Riverside, by order of its Board of Supervisors, has caused this Agreement to be subscribed by the Chairman of said Board and sealed and attested by the Clerk of said Board, all on. the dates indicated below. CITY OF TEMECULA Dated: By: Michael S. Naggar, Mayor ATTEST: By: Randi Johl, City Clerk APPROVED AS TO FORM: By: Peter Thorson, City Attorney COUNTY OF RIVERSIDE Date: By: Chuck Washington, Chairman Riverside County Board ofSupervisors ATTEST: APPROVED AS TO FORM: Kecia Harper -them Greg P. Priamos Clerk of the Board County Counsel By: Deputy By: Susanna Oh Deputy County Counsel 2 Item No. 6 Approvals City Attorney Director of Finance City Manager CITY OF TEMECULA AGENDA REPORT TO: City Manager/City Council FROM: Randi Johl, Director of Legislative Affairs/City Clerk DATE: January 8, 2019 SUBJECT: Approve Annual Legislative Platform for Calendar Year 2019 PREPARED BY: Randi Johl, Director of Legislative Affairs/City Clerk RECOMMENDATION: That the City Council approve the annual Legislative Platform for calendar year 2019. BACKGROUND: On May 12, 2015, the City Council approved the City's first Legislative Platform. The Platform is a compilation of general and City -specific policy statements. The general policy statements reflect commonly -accepted positions on matters pertaining to local governance of cities in the State of California. The City -specific policy statements reflect positions that the City of Temecula has directly and collectively taken in the past. All policy statements in the Platform are consistent with the policies outlined in the City of Temecula's governing documents (i.e., General Plan, Specific Plan, Quality of Life Master Plan, Trails and Bikeways Master Plan, Youth Master Plan, etc.) The Platform is adopted annually by the City Council at the beginning of each year and reflects legislative changes and positions taken in the prior year. The previous year was the second year of a two-year session. The only substantive change was the addition of the following bullet point to the general principles under Community Services on page three of the attachment: "Support legislation and funding associated with comprehensive strategies to solve homelessness consistent with the City's Responsible Compassion program." Given the number of bills that are expected on this topic next session, and the City's growing efforts with its own program, this bullet point will help facilitate efficient and effective response to related legislation. The City's state and federal lobbyists will receive the updated platform after adoption. FISCAL IMPACT: None ATTACHMENTS: 2019 Legislative Platform CITY OF TEMECULA 2019 STATE AND FEDERAL LEGISLATIVE PLATFORM Approved: January 8, 2019 The Legislative Platform is a tool to protect and promote the City's interests on priority issues and legislative/regulatory matters that may impact the City at the state and federal level. The guiding principles and policy statements below allow City staff and legislative advocates to address legislative and regulatory issues in a timely and directed manner, without precluding City Council consideration of additional legislative matters arising throughout the year. This platform supplements existing City Council established goals and policies in various documents including the City's General Plan and Quality of Life Master Plan (QLMP). GUIDING PRINCIPLES Preservation of Local Control Support measures that preserve and protect the City's general law powers and duties to enact legislation and policy direction concerning local affairs. Oppose measures that preempt local authority. II. Promotion of Fiscal Stability Support measures that promote fiscal stability, predictability, and financial independence. Support measures that preserve and promote the City's revenue base. Oppose measures that mandate costs with no guarantee of local reimbursement or offsetting benefit. Oppose measures that shift local funds to the county, state or federal government, without offsetting benefit. III. Support Funding Opportunities Support measures that allow the City to compete for its fair share of regional, state and federal funding including competitive grants and other funding programs. Support measures that promote dedicated funding streams at the regional, state and federal levels allowing the City to maximize local revenues, offset and leverage capital expenditures, and maintain City goals and standards. 1 POLICY STATEMENTS ADMINISTRATIVE SERVICES General Area of Review: Elections, Ralph M. Brown Act, Public Records Act, Political Reform Act, conflict of interest, insurance, tort reform and open and transparent government. General Policy Statements: • Supports legislation that recognizes the need to conduct the public's business in public. • Support legislation to allow alternative methods of meeting public notice requirements and enhancing them through the use of cost effective and innovative, technology friendly methods of communication. • Support legislation to improve and streamline the Political Reform Act and its implementation through regulations. • Support legislation that would allow a city presented with an allegation of a violation of the California Voter Rights Act (CVRA) to address the allegation before any person may file a lawsuit related to the alleged violation. • Support legislation to reduce unnecessary and costly procedures for conducting a municipal election. • Oppose legislation that mandates costly and unnecessary procedures related to the election process. • Support legislation providing city councils more flexibility to fill city council vacancies including extending the appointment period to fill a vacancy. • Support legislation to allow cities to conduct mail ballot elections when appropriate to reduce the cost of elections and increase voter turnout. • Support legislation that limits the exposure of local governments to lawsuits related to liability, including unimproved natural conditions and design immunity. City -Specific Policy Statements: • Resolution No. 03-22 — Support legislation that preserves the ability of public agencies to have a meaningful invocation as a free speech right during public meetings. • Resolution No. 04-41 — Oppose legislation that would prohibit or limit the ability of local government to conduct Closed Session consistent with the Ralph M. Brown Act. • Resolution No. 05-88 — Support legislation and funding that preserves and protects local authority over cable and video services ensuring the ability of local governments to meet their public, educational and government (PEG) access needs. • Resolution No. 09-50 — Support legislation that allows legal notices to be published electronically on the City's website. • Resolution No. 09-71 — Support legislation to apply the Ralph M. Brown Act to the State Legislature, including provisions requiring advance notice and publication of matters to be voted upon. • Resolution No. 11-49 — Support legislation that provides the City with an ability to be represented by one congressional district. • Resolution No. 12-40 — Support legislation to assist California businesses to comply with the Americans with Disability Act without frivolous lawsuits. • Minute Order (3/10/15) — Oppose legislation that broadly mandates district -based election systems in cities without analyzing the specific needs of a community. (2015 — oppose AB 278 (Hernandez): District Based Elections) 2 COMMUNITY SERVICES General Area of Review: Parks, recreation, libraries, cultural arts, youth, community and human services programs. General Policy Statements: • Support legislation and funding for the development and preservation of open space consistent with the City's General Plan, Trails and Bikeways Master Plan and other related policies. • Support legislation and funding for the construction, rehabilitation and maintenance of public facilities, parks and open space. • Support legislation and funding for overall youth programs consistent with the City's Youth Master Plan. • Support legislation and funding for policies and programs that promote the overall health and wellness of families, veterans, seniors and youth in the City. • Support legislation and funding for youth -related prevention and intervention programs, including after school educational and recreational programs. • Support legislation and funding associated with comprehensive strategies to solve homelessness consistent with the City's Responsible Compassion program. City -Specific Policy Statements: • Resolution Nos. 99-88 and 06-38 — Support legislation and funding for the construction and improvement of community libraries and the program services provided at library facilities. • Resolution No. 00-02 — Support legislation and funding for state and local park projects and allow urban areas to expand recreation facilities to serve youth, seniors and families. • Resolution No. 08-76 — Support legislation and funding to provide assistance to Vietnam veterans exposed to Agent Orange. • Resolution No. 09-80 — Oppose legislation that would bar or severely limit physician - owned hospitals or otherwise negatively impact health care access in our region. • Resolution No. 11-36 — Support legislation that extends qualified immunity to local public agencies that operate public skateboarding parks indefinitely. • Resolution No. 11-48 — Oppose legislation increasing notification requirements for cities that want to opt out of the county free library system to outsource the administration and operation of their libraries to a private for profit company. • Resolution No. 11-69 — Support legislation requiring private insurance companies to cover autism treatment. • Minute Order (6/10/14 and 3/10/15) — Support legislation that provides greater opportunities for higher education learning in the City. (2015 — Support AB 288 (Holden): College and Career Access Partnerships) EMPLOYEE RELATIONS General Area of Review: Labor relations, employee relations and other matters related to human resources. 3 General Policy Statements: • Support legislation that increases local control and limits additional financial burdens related to employee relations and collective bargaining that can be appropriately negotiated at the bargaining table. City -Specific Policy Statements: • Resolution No. 97-77 — Support legislation that preserves the ability of local, regional and state government to contract with private firms on a competitive basis to design projects. ENVIRONMENTAL QUALITY General Area of Review: Air, water and water quality, climate change, CEQA, integrated waste management, hazardous materials, coastal issues, and utilities. General Policy Statements: • Support legislation and funding to create a sustainable and stable water supply, encourage conservation of water resources and reduce urban runoff pollution. • Support legislation and funding for renewable energy and advanced technologies that reduce energy use while providing a public benefit that is greater than the cost of compliance. • Support legislation and funding for local government energy efficiency and renewable energy programs. • Support legislation and funding for recyclable materials markets while maintaining local authority and flexibility to regulate solid waste and recyclables. City -Specific Policy Statements: • Resolution No. 95-37 — Support legislation that provides adequate safeguards to ensure conservation of threatened and endangered wildlife resources while balancing significant quality of life and financial impacts on local communities. • Resolution Nos. 96-126 and 97-59 — Support legislation and funding for flood control and prevention programs, including those that affect Murrieta Creek and Temecula Creek. • Resolution Nos. 98-36 and 08-78 — Support legislation and funding for the development of new technology to promote clean fuel and combat air pollution while providing a public benefit that is greater than the cost of compliance. • Resolution No. 99-49 — Support legislation and funding for a safe, clean and reliable water supply for California. • Resolution No. 08-77 — Support legislation that reduces emissions from marine vessels affecting air quality while providing a public benefit greater than the cost of compliance. • Resolution No. 11-81 — Support legislation to expand wilderness areas that enhance local tourism and improve recreational opportunities for future generations. 4 HOUSING, COMMUNITY, ECONOMIC DEVELOPMENT General Area of Review: Land use, development, annexation and incorporation, building standards, economic development, redevelopment and enterprise zones, mobile home and sign regulations. General Policy Statements: • Support legislation and funding to strengthen the capability of local agencies to prepare, adopt and implement plans for responsible growth, development, zoning, and annexations. • Support legislation and funding for the adoption of effective state building codes to promote community building safety and mitigation of natural hazards. • Support legislation and funding for the adoption of effective and clear green building standards in the California Building Code while providing a public benefit that is greater than the cost of compliance. • Support legislation and funding programs that promotes the development and enhancement of safe, affordable, and accessible housing within the City for all economic segments of the population. • Support legislation and funding for improvements to housing element law to provide clear processes and flexibility to allow regional cooperation and establish realistic housing goals and performance standards. • Support legislation that promotes the fair and effective distribution of State infrastructure bond funds consistent with the needs of diverse local cities. • Support funding mechanisms that encourage and facilitate infrastructure development and economic development. • Support legislation that streamlines the redevelopment dissolution process with consistency and equitability. • Support legislation to retain existing fees on telecommunications services and for public, educational and governmental channels. • Oppose legislation to restrict the authority of cities to zone and plan for the deployment of telecommunications infrastructure. • Support legislation that promotes the ability of cities to maintain and manage the public right-of-way and receive compensation for its use. City -Specific Policy Statements: • Resolution No. 96-53 — Oppose legislation to prohibit the concurrent sale of fuel and alcohol negatively impacting local businesses. • Resolution No. 04-44 — Oppose legislation that limits the ability of local government to determine conditions for approval for local projects and transfers local land use authority to the State. • Resolution No. 04-83 — Support legislation exempting hot air balloons from PUC regulations that require accident liability insurance as commercial air operators and aircraft. • Resolution No. 10-64 — Support legislation that permits the shipment of wine directly to consumers without discrimination between in-state and out-of-state wine producers. 5 • Resolution No. 12-66 — Support legislation prohibiting bulk sales of real estate owned properties by the FHFA to investors converting them into rental properties. • Minute Order (8/23/11) — Oppose legislation for quarry projects within the City's boundaries or sphere of influence. PUBLIC SAFETY General Area of Review: Law enforcement, fire and life safety, emergency communications, emergency services, disaster preparedness, Indian gaming, and nuisance abatement. General Policy Statements: • Support legislation to provide a greater share of and increased latitude to spend asset forfeiture funds. • Support legislation to improve local law enforcement, fire suppression and prevention, hazardous materials mitigation, rescue, emergency medical services, and disaster preparedness. • Support legislation to reimburse the City for overtime costs paid to public safety personnel who are required to appear in State and/or County courts. • Support legislation to grant state and federal funding to supplement local law enforcement to increase staffing, equipment and capital improvements to maintain public safety. • Support legislation and funding to provide law enforcement/public safety agencies greater access to wireless communication necessary to support a national wireless broadband network capable of use by any public safety entity to serve and protect communities throughout the nation. • Support legislation and funding that promotes comprehensive and effective drug and alcohol education and rehabilitation programs. • Support legislation and funding to assist local law enforcement to reduce crimes related to illicit drugs, burglary, and assault, including domestic violence, and sobriety and driver's license checkpoints. • Support legislation to prohibit the manufacture, import, sale and use of dangerous synthetic substances that mimic marijuana, methamphetamine and heroin. • Support legislation that prevents juvenile access to alcohol and illegal drugs. • Support legislation to deter drivers from operating motor vehicles while under the influence of alcohol and drugs. • Oppose legislation to expand "early release" for low-risk serious and violent offenders without an increase in sustained funding to ensure responsible supervision by parole agents and for local agencies that provide post -release supervision. • Support legislation that provides frontline funding for police services associated with the "early release" of state prisoners as a result of state -mandated criminal justice realignment provisions. • Support legislation and funding to strengthen and enforce legal protections for all individuals who are victims of crime, including minors and victims of family violence and sexual assault. • Support legislation to maintain or increase funding for shelters, victim advocacy, trauma and crisis counseling and related mental health services, to assist victims of violent crime, especially minors and victims of family violence and sexual assault. 6 • Support legislation and funding to coordinate homeland security programs. training and emergency response efforts among federal, state, and local governments with clearly defined roles and responsibilities. • Support legislation and funding for Urban Area Security Initiative ("UASI") and other funding initiatives administered by the Department of Homeland Security to enhance the City's ability to respond to regional or national threats. • Support legislation and funding to secure adequate frequencies and communications systems for multi -jurisdictional connectivity for public safety and protect the frequencies from intrusion. • Support legislation to increase Emergency Management Performance grant funding retaining flexibility in use of funds for emergency preparedness training, disaster events and disaster communication efforts. • Support legislation and funding to treat and assist the needs of at -risk juvenile offenders and juveniles placed on court-ordered formal probation. • Support legislation and funding for programs that protect youth from tobacco, alcohol and drug use, and related prevention and intervention programs including gang prevention and after-school programs. City -Specific Policy Statements: • Resolution No. 97-87 — Support legislation and funding to promote and preserve the ability of local government to control public safety issues in their communities. (2015 — Oppose AB 718 (Chu): Vehicle Use for Human Habitation) • Resolution No. 02-71 - Support legislation and funding for the Emergency Alert System to inform the public of Amber Alerts and related information. • Resolution Nos. 02-73 and 04-22 — Support legislation and funding for public dissemination of information by the Department of Justice pursuant to Megan's Law. • Resolution No. 06-17 — Support legislation and funding to improve interactions between wireless service providers and law enforcement during emergency situations. • Minute Order (9/22/92) — Support legislation that provides municipal immunity for high speed pursuits. • Minute Order (1/11/94) — Support legislation that strengthens anti -pornography laws. • Minute Order (8/9/94) — Support legislation and funding for graffiti abatement programs. REVENUE AND TAXATION General Area of Review: Finance administration, taxation reform, general and special revenue and revenue sources at the federal, state and local levels. General Policy Statements: • Support legislation and funding for the preservation and enhancement of the City's ability to generate and retain sales and use tax revenue, and local point-of-sale revenue allocations. • Oppose legislation to reduce or remove tax-exempt status of municipal bonds. • Oppose legislation to alter the manner by which transient occupancy taxes are calculated and collected to the City's detriment. 7 • Support legislation and funding that preserves and enhances a positive business climate and maintains and grows the business tax base. City -Specific Policy Statements: • Resolution No. 91-26 — Support legislation that limits the ability to redistribute existing revenue sources amongst schools, cities, counties and special districts as a solution to address service levels. • Resolution No. 95-90 — Support legislation that ensures the equitable distribution of sales tax revenue between the state and local government, specifically cities. • Resolution No. 96-62 — Oppose legislation that restricts cities from generating new development revenues and erodes revenue generation and taxing authority of local government. • Resolution No. 02-26 — Oppose legislation limiting the ability of cities to decide how sales tax revenues are distributed for local vital and essential services, including police and fire protection, street repair and lighting, libraries, parks and other services. • Resolution No. 03-27 — Support legislation that preserves the ability to allocate revenue from the Indian Gaming Special Distribution Fund to local governments impacted by tribal gaming. • Resolution Nos. 91-41, 03-137, 08-82 and 10-22 — Support legislation that requires voter approval before the state can appropriate local tax funds to fund state operations and responsibilities or outwardly prohibits the borrowing or taking of such funds. • Resolution No. 04-64 — Oppose legislation diluting the amount of funds to counties and cities to mitigate impacts from tribal gaming. • Resolution Nos. 02-123 and 12-67 — Support legislation and funding that enhances or preserves current level of Vehicle License Fees (VLF) and protects VLF allocation to newly incorporated cities and cities with inhabited annexations that rely on VLF revenues. • Resolution No. 10-56 — Support legislation that provides tax benefits as an incentive for people to utilize public transit to commute to work. • Resolution Nos. 11-15 and 12-26 — Support legislation and funding that provides alternatives to the dissolution of redevelopment agencies in California. TRANSPORTATION, COMMUNICATION AND PUBLIC WORKS General Area of Review: Transportation, construction, telecommunications and general public works related areas. General Policy Statements: • Support legislation to ensure the City receives its fair share of transportation revenue and increase funding for local transportation and transit programs and projects. • Support legislation to protect dedicated transportation -related tax revenues and enhance the ability of local agencies to finance local transportation programs and facilities, including the gas tax and bond funds. • Support legislation that gives priority to self-help and "super" self-help counties when allocating bond funding and other transportation funding mechanisms. • Support legislation to improve access and funding to public transportation. • Support legislation and funding mechanisms that support and encourage the use of transit and non -motorized transportation. 8 • Support legislation that enhances the safety of city streets and arterials for vehicular, bicycle, and pedestrian traffic. • Support legislation that will reduce traffic congestion and support regional transportation programs. • Support legislation and funding opportunities for upgrades and/or separations for at - grade crossings. • Support legislation that increases local flexibility in the allocation of transportation capital funds. • Support legislation that encourages the use of design -build methods to facilitate a faster, stream -lined approach to project delivery. • Oppose legislation to eliminate or restrict the use of Riverside County State Improvement Transportation Funds, federal transportation funding, Measure A, or Gas Tax funding for local transportation projects City -Specific Policy Statements: • Resolution No. 90-56 — Support legislation that creates flexibility for the use of all available State revenues for the maintenance and improvement of highway and mass transit projects without reducing funds for other state programs. • Resolution No. 97-79 — Support legislation and funding that ensures trucks entering and traveling through California meet U.S. safety and environmental standards. • Resolution No. 99-66 — Support legislation to allow state and local government agencies to use private architects and engineers thereby supporting the Fair Competition and Taxpayer Savings Act. • Resolution No. 04-23 — Oppose legislation that will limit or impose restrictions on the City compromising its ability to properly control, operate and maintain SR 79N and SR 79S. • Resolution No. 04-54 — Support legislation and funding for federal transportation infrastructure and programs. (2015 — Support SB 16 (Beall): Transportation Funding) • Resolution No. 04-127 —Support legislation and funding to improve local, state and federal infrastructure including highways, bridges, railways, transit systems, airports, harbors, water, and wastewater systems. • Resolution 09-36 — Support legislation and funding for the Federal Safe Routes to School (SRTS) program pursuant to the Safe, Accountable, Flexible, Efficient Transportation Equity Act, including funding for crossing guards, engineering improvements around schools, traffic calming measures, improved street crossings, sidewalks, bike lanes, and walkways to create safer routes to school. • Resolution No. 07-26 — Support legislation providing expedited review of projects by the Department of Transportation where local funds have been contributed towards a state highway project by local or regional agencies. • Minute Order (3/25/14) — Support legislation and funding that provides for bicycle and pedestrian infrastructure. 9 Item No. 7 Approvals City Attorney Director of Finance City Manager CITY OF TEMECULA AGENDA REPORT TO: City Manager/City Council FROM: Randi Johl, Director of Legislative Affairs/City Clerk DATE: January 8, 2019 SUBJECT: Receive Report Regarding Status of Existing Vacancies on the Community Services Commission PREPARED BY: Randi Johl, Director of Legislative Affairs/City Clerk RECOMMENDATION: That the City Council receive the report regarding the status of the existing vacancies on the Community Services Commission. BACKGROUND: On December 11, 2018, a vacancy was created on the Community Services Commission when Council Member Schwank was sworn in as a new Council Member. In addition, on December 20, 2018 the City received a letter of resignation due to relocation from Commissioner Cecilie Nelson with an effective resignation date of December 31, 2018. When such unscheduled vacancies occur, Government Code Sections 54973 and 54974 require the posting of a special vacancy notice not earlier than 20 days before nor later than 20 days after the vacancy occurs. The relevant notice was posted on December 20, 2018 and published on December 22, 2018. The law also states that the legislative body may not make the final appointment to the commission for at least 10 working days after the notice is posted. Appointment is expected to be made at the January 22, 2019 regularly scheduled meeting. The City Council will consider all applications received during the new application period of December 26, 2018 — January 10, 2019, as well as applications received previously for the Community Services Commission during the October 2018 recruitment. FISCAL IMPACT: None ATTACHMENTS: None Item No. 8 Approvals City Attorney Director of Finance City Manager CITY OF TEMECULA AGENDA REPORT TO: City Manager/City Council FROM: Randi Johl, Director of Legislative Affairs/City Clerk DATE: January 8, 2019 SUBJECT: Approve Annual Boards and Commissions Handbook for Calendar Year 2019 PREPARED BY: Randi Johl, Director of Legislative Affairs/City Clerk RECOMMENDATION: That the City Council approve the annual Boards and Commissions Handbook for calendar year 2019. BACKGROUND: The City Council first approved the Boards and Commissions Handbook on February 26, 1991. The handbook was subsequently amended on April 25, 2006 to include additional appointment guidelines. On December 9, 2014, the City Council approved a wholesale update to the handbook to reflect changes in the law, current practices and procedures, and the general role and authority of board and commission members. The handbook is brought to the City Council annually at the beginning of each year ensuring that the document remains current while providing the City Council with an opportunity to consider any additional changes that may be desired. There are no substantive changes proposed to the 2019 handbook. Minor administrative changes include reference to the year and name/title changes for Council and staff. The 2019 Boards and Commissions Handbook will be distributed electronically to the City Council, Board and Commission Members and staff after final approval by the City Council. FISCAL IMPACT: None ATTACHMENTS: Handbook Cityof T Boards and Commissions Handbook OF T E11Tje Gti �e . 7.• , a 1. • 4 1989-‘ isiw o Updated January 8, 2019 TABLE OF CONTENTS Section 1 Letter of Welcome Section 2 Role & Authority Section 3 Policies and Procedures Section 4 Relevant Municipal Code Sections Section 5 AB 1234 Ethics Training Section 6 Statement of Economic Interest Section 7 Summary of Conflict of Interest Laws Section 8 Summary of Brown Act Laws Section 9 Summary of Public Records Laws Section 10 Resource List SECTION 1 City of Temecula 41000 Main Street • Temecula. CA 92590 Phone (951)694-6444 • Fax (951) 694-6449 • www.cityofemecula.org Dear Board or Commissioner Member: On behalf of the City Council and the citizens of Temecula, welcome to your new or continuing role in the community The City of Temecula is fortunate to have dedicated citizens like you who are willing to share their experience and knowledge through service on a City board or commission. The mission statement for the City of Temecula reads as follows: "The mission of the City of Temecula is to maintain a safe, secure, clean, healthy, and orderly community; to balance the utilization of open space, parks, trail facilities, quality jobs, public transportation, diverse housing, and adequate infrastructure; and to enhance and revitalize historic areas. The City will encourage programs for all age groups, utilize its human resources, and preserve its natural resources while stimulating technology, promoting commerce, and utilizing sound fiscal policy. It is the City Council's resolve that this mission will instill a sense of pride and accomplishment in its citizens and that the City will be known as a progressive, innovative, balanced, and environmentally sensitive community." As a board or commission member, you will play an important role in the achievement of this mission. Your ideas and advice on a variety of City issues will assist the City Council in fulfilling its responsibilities to our citizens. In addition, your service will give you an opportunity to increase your knowledge about municipal government operations and you will see the results of your work with fellow members put into action by the City Council, City Manager and City departments. Thank you for accepting this responsibility and challenge. Your service to our community is greatly appreciated. We hope that you will find your service as a board or commission to be both enjoyable and rewarding. Sincerely, Michael S. Naggar Mayor SECTION 2 THE COMMISSIONER'S ROLE AND AUTHORITY The primary role of the City boards and commissions is to encourage increased public input and citizen participation in the determination of City policies and procedures. City boards and commissions are not involved in the administration or operation of City departments. Board and commission members may not direct administrative staff to initiate programs, conduct major studies, or establish official policy without the approval of the City Council. However, City staff members are available to provide general staff assistance to boards and commissions. Despite boards and commissions differing tasks, all share some basic responsibilities. Members need to stay informed on subjects of interest to their specific board or commission. The City Council of the City of Temecula encourages and provides opportunities for continuing education to assist the members of City boards and commissions in the conduct of their duties. Conscientious attendance is also a fundamental responsibility, as irregular attendance lessens one's ability to study all aspects of items under consideration. Three unexcused, consecutive absences constitute a vacancy of office. Upon appointment to a board or commission, staff from the City Clerk's department will provide a formalized orientation to provide a thorough review of the Boards and Commissions Handbook; including the Brown Act and conflicts of interest. A more detailed orientation related to specific board and commission issues will be addressed by the lead department. Each member of a board or commission is encouraged to • Occasionally attend City Council meetings • Attend another board or commission meeting to better understand roles and develop relationships • Make presentations at board or commission meetings • Participate in subcommittee opportunities • Participate in a board or commission self-assessment once a year All members are expected to regularly attend their respective board or commission meetings, and attend and support City special events. Community Services Commissioners are also expected to regularly visit all park sites and City facilities being mindful of their intended service to the public. CS Commissioners are encouraged to be engaged with a "license to be creative". Planning Commissioners are also expected to have a firm understanding of the City's General Plan, the Zoning Code, and Standard Conditions of Approval. They are encouraged to visit properties that have submitted applications or are pending review. Planning Commissioners need to disclose their visits and observations at the public hearing on the matter in order so that the applicant has the opportunity to comment on whatever the Planning Commissioner may have observed. Old Town Local Review Board Members are also expected to have an understanding of the General Plan, as well as the Old Town Specific Plan, be familiar with the history of Old Town and regularly visit Old Town facilities Public/Traffic Safety Commissioners are also expected to exercise vigilance for traffic/safety hazards and reporting of graffiti; be proactive with respect to public safety and emergency management; become familiar with neighborhoods and communities; occasionally volunteer at DUI check points; and perform periodic inspections of and visits to City facilities. Incoming board and commissioner members are encouraged to utilize the following checklist in their first year of service to help them get more acquainted with the City, its values, operational structure, and their board or commission's primary area of focus: All Board or Commission Members: ✓ Attend at least four City Council Meetings ✓ Attend City Sponsored Special Events (i.e., Fourth of July Parade/Fireworks Celebration. Holiday Parade, Ribbon Cuttings/Dedication Ceremonies, etc.) ✓ Meet with the City Council Commission/Board Liaison to Review Role and Expectations ✓ Meet with the City Manager and/or Assistant City Manager to Review current City Priorities ✓ Meet with the City Clerk and/or Designee to Review Disclosure Filing and Ethics Training Requirements ✓ Attend an HOA Meeting ✓ Visit the Saturday Morning Old Town Farmer's Market Community Services Commission: ✓ Visit each of the City's Park Sites ✓ Visit each of the City's Community Service Facilities Planning Commission ✓ Attend a City Council Meeting that Includes an Item Pertaining to Planning Commission Review ✓ Visit a development project approved within the past two years to review how the Conditions of Approval are being implemented and report back to the Commission OId Town Local Review Board ✓ Attend Two or More OId Town Temecula Association (OTTA) Meetings ✓ Visit the Temecula History Museum ✓ Attend a Planning Commission Meeting that Includes an Item Pertaining to Old Town Public/Traffic Safety ✓ Observe a DUI check point 1 Visit each Fire Station ✓ Visit the Southwest Justice Center ✓ Visit Each Police Storefront/Substation RULES AND REGULATIONS FOR CITIZEN MEMBERS It is not appropriate for individual members to present their personal views or recommendations as representing the board or commission unless such body has voted to approve such action. Members expressing views not approved by the majority of the board or commission should indicate their opinions are viewed as "private citizens " Individual opinions must be identified as such. Public statements should not include promises that may be construed to be binding on the Committee, City Council, or City staff. When making a public statement, members should indicate that board or commission actions are recommendations and that final action will be taken by the City Council. Revised 1212018 2 Planning Commissioners should not express any views on projects that will come before the Planning Commission. The Planning Commission must provide due process for the applicants and this requires that Planning Commissions not express any bias or views on a project until all of the information on a project is presented to the Planning Commission at the public hearing and the applicant and the public have expressed their views on the project. Board or commission members may be selected on the basis of representing defined groups; however, each member should represent the overall "public good" and not an exclusive group or special interest. GUIDELINES, QUALITIES, AND ATTRIBUTES OF AN EFFECTIVE BOARD OR COMMISSION MEMBER • Be an informed citizen (knowledgeable about local affairs). • Have a good rapport with citizens. • Have a genuine concern for the community as a whole. • Be a good listener. • Relate well to other people, including other board or commission members The success or failure of board or commission efforts may be dependent upon the degree of cooperation evident among the individual members of the body. • Serve in another capacity prior to board or commission service (i.e. volunteer groups, non-profit organizations, service clubs, etc.) • Have the ability to accept decisions not of one's own personal view if that is the will of the majority. • In addition, each member should keep in mind these important points: Show respect for another's viewpoint. Allow others adequate tme to fully present their views before making comments. Be open and honest. Make new members welcome and help them become acquainted with their duties. Strive to minimize political action among members. ROLE, AUTHORITY, AND STAFFING OF BOARDS AND COMMISSIONS The City Council is empowered to establish boards and commissions and to appoint members to assist the City Council in the conduct of City business. Members usually represent a cross-section of the community. No member of any board or commission shall be a City employee, nor shall any person be a member of more than one board or commission at any one time. The primary role of any City board or commission member is to review and make recommendations to the City Council on matters within their scope of responsibility and to promote increased public input and citizen participation in the determination of City policies and program implementation. Revised 12./2018 3 The specific role of City boards and commissions is to serve in an advisory capacity to the City Council, focusing attention on specific program areas of the City. The City Council may authorize certain "Commissions" to take final actions in prescribed areas. For example, the Planning Commission is authorized to grant final approval of certain projects and is required to provide a recommendation to the City Council on other projects. In addition, staff may bring various projects to a board or commission for their review before taking that matter to the City Council for final approval. Boards and commissions serve as a principal reviewing body for specific matters referred to them by the City Council All decisions, however, are subject to review by the City Council Board and commission members are empowered by an appointment of the City Council and should represent the general interest of the City as whole and not specific program areas and their special interest groups. The City Council will appoint one Council Member to serve as Council Liaison to a particular board or commission. This Council person will be available to the board and commission members for individual consultation throughout the year. The Council liaison will attend at least one board or commission meeting annually to provide the board or commission opportunity to seek Council Liaison direction as a sitting body. Joint Meetings and Regular Reports to the City Council Each Board and/or Commission shall meet jointly with the City Council annually at a regularly scheduled City Council meeting as follows: 1st Meeting in February — Planning Commission and Old Town Local Review Board 2"d Meeting in February — Public Traffic / Safety Commission 1s' Meeting in March — Community Services Commission The annual joint meeting schedule may be adjusted from time to time depending upon the operational and organizational needs of the City and staff to include time sensitive items on the agenda. During the annual joint meeting, each board and/or commission shall provide an overview of the previous year highlights, anticipated activities for the upcoming year, and take further direction from the City Council as necessary. In addition to the report at the annual joint meeting, the Commission Members present at each City Council meeting shall provide a verbal report on the status of their respective commission as a routine item on the regular agenda of one City Council meeting of every month. Appointments and Removals Chapter 2.40.050 of the Temecula Municipal Code, City Commissions Generally provides that appointments are subject to the approval of a majority of the City Council. A majority of the City Council may remove an appointee for good cause. The following guidelines may be used in the appointment of board and commission members • Formal interview process with the Mayor and Council Liaison with standard core questions for both new candidates and incumbents. • Letters of recommendation and/or references with the application process are encouraged. • The Council Liaison will be encouraged to attend board or commission meetings to develop an overview of the incumbent board or commission member's performance. Reused 12/2018 4 Absentee record of all board or commission members will become part of the incumbent performance review, with the understanding that if three absences occur within a 12 month period, the Council Liaison to that board or commission will be notified for further review_ If these absences are not acceptable to the Council Liaison, a recommendation to the City Council will be made by the liaison for removal from the board or commission. This is in addition to the existing ordinance which stipulates that should any board or commission member be absent from any three consecutive meetings of the commission, without excuse acceptable to the City Council, that member shall vacate his or her seat on the commission. Additional guidelines for consideration of candidates who have served two full terms and apply for subsequent terms. Consideration of these candidates will be given only under the following guidelines: • The incumbent shall have served as Chair or Vice -Chair of their respective Board or Commission. • The incumbent shall have served on at least one sub -committee. or special project, of their respective Board or Commission. Rules of Procedure/By-Laws Rules of procedure or by-laws for the proper conduct of business should be adopted. Organization and Officers As set forth in the by-laws, there shall be an annual election of a chairperson and vice -chairperson. The position of chairperson and vice -chairperson should be rotated among members on an annual basis. The Chairperson The Chairperson is the key to the entire group process. The Chairperson must balance being strong enough to make certain the meeting is conducted in an orderly fashion and democratic enough to use the power and authority of the position wisely The Chairperson's ability to handle meetings will have a significant impact on morale, operation, and effectiveness. The Chairperson must make sure that discussions do not get sidetracked on minor issues and must have the ability to see the "whole picture". The most important duty of the Chairperson lies in his/her ability to find a common ground and achieve workable compromises if appropriate. The Chairperson must be able to represent the entire group to the City Council and community groups. Minutes Minutes shall be taken for all board and commission meetings. The Council has provided that these minutes shall be "action minutes" and not "verbatim" which briefly describe the issues and actions taken. Minority opinions of members may also be recorded in the minutes if desired. Comments by all members on every agenda item cannot practicably be included in the minutes. Also, members abstaining for legal conflict of interest requirements are required to state their reason for recordation in the minutes. Minutes must be approved at a subsequent meeting and then become part of the City's official records in the office of the City Clerk. Revised 12/2018 Development and Review of Board and Commission Goals and Department Policies The City of Temecula prepares and operates on an annual budget cycle. Boards and commissions are encouraged to annually review and comment on department programs and capital projects that may be related to their scope of interest. This evaluation is intended to focus attention on the overall program and service priorities and board and commission objectives: and is not intended to be an evaluation of the administration or operation of City departments. Involvement in Administrative Matters Boards and commissions should not become involved in the administrative or operational matters of City departments unless specifically provided in the prescribed powers and duties. Members may not direct staff to initiate major programs, conduct Targe studies or establish department policy without approval of the City Council. City staff assigned to furnish staff services shall be available to provide general staff assistance, such as preparation of agenda materials, general review of department programs and activities, to perform limited studies, program reviews and other services of a general staff nature. Boards and commissions may not establish department work programs or determine department program priorities unless specifically authorized in their prescribed powers and duties. The responsibility for setting policy and allocating City resources rests properly with the City's duly elected representatives, the City Council, and cannot be delegated to an outside group, however capable and interested it might be. Communication with the City Council To avoid possible compromising situations, during a City Council meeting the invitation to individual board or commission members to address the Council on matters relating to their official capacity rests solely with the City Council. It should be emphasized that when asked to address the Council on a matter, the member should represent the viewpoint of the board or commission as a whole (not a personal opinion); unless a proper qualification is made. Working with Other Members Members should make every effort to uphold their reputation for honesty, fairness, and openness with the citizens of the community. Each group will undoubtedly consist of diverse personalities, it is important that the board or commission work together to accomplish common goals. Working with Staff Board or commission members are individually appointed by the City Council. City staff assigned to work with the groups report to the City Manager, who in turn, reports to the City Council A department director or administrator usually arranges staff support for each group. If a board or commission member wishes to initiate a project that requires in depth staff involvement, it is necessary for the project to be placed on the board or commission agenda for discussion and recommendation to the City Council that the project be authorized. Staff may begin preparing the necessary reports and studies after the City Council has authorized the project. Providing in depth staff support may require operational adjustments. Members are encouraged to be cognizant of the time involved on the part of staff in preparing requested studies and reports. Individuals should make every attempt to clarify differences and make certain that clear communication is taking place. The public meeting should not be used to express anger or disagreement. If differences cannot be resolved by this method, the Councilmember serving as Board or Commission Liaison and/or City Manager should be consulted to resolve the matter Revised 12/2018 6 Staff Reports to Council on Board or Commission Actions On occasion, staff will be required to prepare an agenda report on either a board or commission action or appeal for City Council review. The staff member should present both the staff position and the board or commission's position in the report. The majority and minority viewpoints of the board or commission members should also be presented in the staff report. It is the desire of the City Council to have an opportunity to hear and consider all sides of an issue and altemative recommendations to assist in their decision-making process. Procedure for Handling Public or Appeal Hearings In some instances, commissions will have to conduct a public hearing, either on a major issue of concern to the community or on a permit application or appeal of a staff decision. It is recommended that the procedure established by the City Attorney be followed at all times during the conduct of these types of hearings. Legal Assistance Some boards or commissions require the presence of a City Attomey. When there is doubt concerning the legality of an issue, the attorney should advise members as to the legality of the proposed action. Great care must be taken in the maintenance of records of the proceedings. The direction of the City Attorney should be followed closely. When in doubt about the legality of a procedure, the board or commission should refrain from additional discussion and decision making until the legal opinion is rendered. If necessary, a hearing may be continued until matters can be clarified The attorney must control the circumstances surrounding a particular matter since he/she may be required to defend the action in court. Council Review of Action Most actions and recommendations of boards or commissions may be appealed to the City Council for review and approval. Certain actions are final with the commission with no right of appeal. Public Appearance of Members When a board or commission member appears in a non -official, non -representative capacity before any public or private body, the member shall not identify or disclose his/her membership on a board or commission. If a question of membership arises, the member shall indicate that he/she is appealing and speaking only as an individual. There are significant legal restrictions on the ability of a board or commission member to appear before any board or commission of the City, and particularly his or her own board or commission. The City Attorney should be consulted in advance of any such appearance. Members should take particular care to comply with provisions of the Brown Act that governs open public meetings. While the staff provides the appropriate notice and agendas for board and commission meetings, individual members need to be careful that they do not discuss City business with other board or commission members, either together or one at at time, outside of a properly noticed public meeting. A summary of the major provisions and requirements of the Ralph M Brown Act is included in this handbook. Rewsed 12/2016 7 Board or Commission Members Running for Elective Office Members of the City's boards or commissions shall be permitted to retain membership on such appointive bodies while seeking any elective office. Members of appointive bodies shall not, however, use the meetings, functions or activities of such bodies for purposes of campaigning for elective office. There are also significant conflict of interest rules relating to campaign contributions to a board or commission member who is running for any elective office. Unlike members of the City Council, campaign contributions to board or commission members are considered as income and the conflict of interest rules apply to any board or commission actions involving a campaign contributor. These rules are described in the Conflict of Interest Handbook and the City Attomey should be consulted by any board or commission member who decides to run for any elective office Board or Commission Positions on Ballot Proposals and Legislation Boards and commissions may review and make recommendations to the City Council on ballot proposals and legislation. The City Council shall review all such recommendations. Board or commission members shall only represent the majority position of the City Council on such matters unless speaking as an individual or indicating a minority opinion Revised 12/2018 8 SECTION 3 Purpose: CITY OF TEMECULA City Clerk's Office PROCEDURES FOR BOARDS AND COMMISSIONS The City of Temecula has one board (Old Town Local Review Board) and three commissions (Community Services Commission, Planning Commission, and Public/Traffic Safety Commission). The Municipal Code of the City of Temecula contains general provisions which govern the City's commissions. Chapter 2.40 is City Commissions and relates to the Planning Commission, Chapter 2.44 is Public/Traffic Commission, and Chapter 2.48 is Community Services Commission. The Planning Commission is also subject to statutory provisions pursuant to law. This document generally governs the City Clerk's office procedures regarding boards and commissions. 1. COMMUNITY SERVICES COMMISSION • The Community Services Commission meets on the second Monday of each month. The meetings are held at 6:00 PM in the Council Chambers at City Hall. The Community Services Commission reviews and makes recommendations to the City Council concerning the Parks and Recreation Element of the General Plan and works with the Temecula School District, other City Departments, and community groups to provide parks and recreation services and programs for the community. Members of this commission are required to be a resident of the City of Temecula and a registered voter_ The terms are three years each with staggering expiration dates. 2. PLANNING COMMISSION • The Planning Commission meets on the first and third Wednesday of each month. The meetings are held at 6:00 PM in the Council Chambers at City Hall. The Planning Commission serves as the designated planning agency for the City of Temecula and considers current planning matters such as subdivisions. specific plans, zone changes, plot plans and conducts public hearings as required by law. The Commission is also charged with preparation of the General Plan of the City and advising the City Council on all matters concerning City planning Members of this commission are required to be a resident of the City of Temecula and a registered voter. The terms are three years each with staggering expiration dates. 3. PUBLIC/TRAFFIC SAFETY COMMISSION • The Public/Traffic Safety Commission meets on the fourth Thursday of each month. The meetings are held at 6:00 PM in the Council Chambers at City Hall. The Public/Traffic Safety Commission makes recommendations to the City Council on traffic matters within the City such as speed zones, stop signs and signals, pavement markings, traffic design and engineering. The Commission also recommends traffic enforcement measures and 1 coordinates City activities with the CHP, Sheriff, County Road Department, and other regional traffic management and planning agencies. In addition, the commission makes recommendations to the City Council concerning law enforcement, fire suppression and prevention, and disaster planning for the City of Temecula. Members of this commission are required to be a resident of the City of Temecula and a registered voter. The terms are three years each with staggering expiration dates. 4. OLD TOWN LOCAL REVIEW BOARD • The Old Town Local Review Board meets on the second Monday of each month. The meetings are held at 9:00 AM in the Great Oak Conference Room at City Hall. The Old Town Local Review Board is established by the Old Town Specific Plan and has responsibility for serving as an advisory resource to all agencies of the City in matters pertaining to the historic significance and related architectural themes of the historic district. The board is also charged with encouraging public understanding and appreciation of the unique architectural, environmental, and cultural heritage of the district through educational and interpretive programs. Members of this board are required to be a registered voter. The terms are three years each with staggering expiration dates. 5. APPOINTMENT OF BOARD AND COMMISSION MEMBERS • The City Council is the appointing body for the City's board and commissions. When a vacancy occurs. whether it is by expiration of term, resignation or other circumstance, the City Council shall fill that vacancy through appointment. Scheduled Vacancy - Three months prior to a board or commission term expiring, a notice shall be published in a local newspaper of general circulation and posted at the City's designated posting locations (Temecula Library, Chamber of Commerce and Civic Center) pursuant to the Government Code. In addition, the vacancy shall be advertised on the City's website and PEG Channel. Flyers shall be available in the City Hall lobby and distributed at various City -affiliated events. Email lists, such as Constant Contact, press releases and social media shall also be used to promote the vacancy Unscheduled Vacancy - In the event of an unscheduled vacancy, occurring by resignation or other circumstance, the "Special Notice of Vacancy" shall be immediately posted and published pursuant to Government Code 54974_ In addition, the unscheduled vacancy shall be advertised utilizing the same methods as identified above for scheduled vacancies. • Unless otherwise indicated, a vacancy shall be advertised for no less than a thirty (30) day period from the date of publication. • If multiple vacancies occur on a board or commission within sixty (60) days of one another, the City Council may at its discretion consider those vacancies jointly without readvertisement. • The City Clerk shall provide incumbent commission member(s) with a notification letter advising of the upcoming expiration and inviting them to reapply. • Applications received will be processed in the following manner: Completed applications shall be submitted on the Application for Commission and Board Appointment, which will be available and accepted in the City Clerks Office until the dosing date as indicated on the notice. The City Clerk will provide a non -redacted set of qualified applications to the subcommittee of two council members, consisting of the mayor and the commission liaison for that particular commission, identifying the dates the recommendation is due and the City Council meeting at which the appointment will be considered. A non -redacted courtesy copy of all applications shall also be sent to the entire City Council. The subcommittee may conduct applicant interviews as they deem appropriate. The recommendation of the ad hoc subcommittee is then presented as an agenda item at a City Council Meeting where a majority vote is required for appointment. The general timeline for scheduled vacancies is as follows: June Vacancy March 1s' April 1 st May 1st May June Notice of Vacancy is Posted, Published and Advertised Application Packet to Subcommittee for Recommendation Recommendation Received from City Council Recommendation Considered/Appointment Made at 2`d City Council Meeting in May New Board or Commission Member Seated at Board/Commission Meeting Following Expiration of Prior Term October Vacancy July 13' Notice of Vacancy is Posted, Published and Advertised August 1st Application Packet to Subcommittee for Recommendation September 13' Recommendation Received from City Council September Recommendation Considered/Appointment Made at 2^d City Council Meeting in September October New Board or Commission Member Seated at Board/Commission Meeting Following Expiration of Prior Term • After the appointment is made, the City Clerk shall send a congratulatory letter to the new member(s) and coordinate new member orientation. The City Clerk shall also send a letter to the unsuccessful applicants notifying them of the appointment and inviting them to reapply for future vacancies. The City Clerk shall swear in the new member(s) at the next regularly scheduled board or commission meeting, present a Certificate of Appointment and have the new members) sign an Oath of Affirmation. • If an incumbent applies and is not reappointed, the City Clerk shall send a letter to the unsuccessful incumbent notifying them of the new appointment and inviting them to the next regularly scheduled City Council meeting for presentation of a Certificate of Appreciation thanking them for their service to the City. If desired, the Certificate of Appreciation may also be mailed to the incumbent. 6. ORIENTATION OF NEW BOARD OR COMMISSION MEMBERS • Each new board or commission member shall receive a new member orientation. The orientation shall be coordinated through the City Clerk and include the following: City Manager / City Council — Welcome on Behalf of the City and City Council City Clerk — General Review of Commission Handbook, Review and Completion of Statement of Economic Interests (Form 700), Review of AB 1234 Ethics Training Requirements o Human Resources — Review and Completion of Personnel -Related Materials City Department for Board/Commission — Introduction to Relevant Staff Members, Overview of Meetings and Board/Commission Makeup, Review of Pending Topics that Fall Under the General Jurisdiction of the Specific Board or Commission 7 REMOVAL OF BOARD AND COMMISSION MEMBERS • The City's Municipal Code, specifically Section 2.40.050, governs the removal process for any board or commission member and specifically states that a majority of the City Council may remove an appointee for good cause. In addition, under Section 2.40.090, a position is declared vacant when a member is absent from three consecutive meetings without excuse. 8. ANNUAL POSTING OF COMMISSIONERS • Pursuant to Government Code Section 54972 (Maddy Act), on or before December 31 of each year, the City Clerk's office shall prepare and post the Local Appointments List. The list shall be posted on the City Hall posting board and on the City's website. The list shall be periodically updated to reflect the appointment of new board and commission members. 9. TRAINING FOR BOARD AND COMMISSION MEMBERS • From time to time the City Clerk shall coordinate a citywide boards and commissions training in conjunction with the City Council, City Manager, City Attorney and Department Directors who serve as liaisons to the respective board and commissions. The training may cover a variety of topics, including but not limited to, the Commission Handbook, AB 1234 ethics training, conflicts of interest, Brown Act, and board and commission member roles. The training shall be noticed pursuant to the Brown Act. 10. RECOGNITION OF BOARD AND COMMISSION MEMBERS • The City Clerk's office shall coordinate an annual recognition event for board and commission members. Typically, the event shall occur in September and be held at the Conference Center. Procedure No.: 014 Last Revised: August 2017 4 SECTION 4 RELEVANT MUNICIPAL CODE SECTIONS fCurnent as ofaanuary 20191 Chapter 2.40 CITY COMMISSIONS GENERALLY 2.40.010 Commission established. There shall be established within the city a planning commission. For purposes of state planning law, the planning commission shall serve as the planning agency, unless another official or body is specifically designated to perform that function or make a particular decision as provided by ordinance of the city. Division of land use decisionmaking authority shall be as set forth in Ordinance No. 92-14. The city council may establish by ordinance and resolution such other commissions as it deems necessary. (Ord. 93-04 § 10: Ord. 90-02 § 1 (2.06.010)) 2.40.020 Number of members. Unless otherwise specifically provided, each commission shall consist of five members. (Ord. 90-02 § 1 (2.06.010)) 2.40.030 Qualifications. Unless otherwise specifically provided by law, or by ordinance or resolution of the city council, all members of commissions of the city shall, at all times during their incumbencies, be bona fide residents and registered voters of the city. No member of any commission shall be a city employee, nor shall any person be a member of more than one commission at any one time. (Ord. 96-08 § 2: Ord. 90-02 § 1 (2.06.030)) 2.40.040 Applications. The city clerk shall maintain all applications submitted to the city for commission positions for a period of two years. (Ord. 90-02 § 1 (2.06.040)) 2.40.050 Members—Appointment and removal. Members of each commission shall be nominated by an ad hoc committee of two council members subject to the approval of a majority of the city council. A majority of the council may remove an appointee for good cause. The chairperson and vice -chairperson of each commission shall be selected by a majority of the membership of that commission. (Ord. 2000-08 § 2: Ord. 90-02 § 1 (2.06.050)) 2.40.060 Tenn. The term of each commission member shall be three years with staggered terms. Initially, all five members may be selected at once. In order to achieve staggered terms, one member shall be appointed for a term of three years; two for terms of two years; and two for terms of one year; such terms to be determined by drawing lots. At the completion of any term, a commission member may be reappointed pursuant to the procedures set forth in Section 2.40.050. (Ord. 90-02 § 1 (2.06.060)) 2.40.070 Vacancies. If vacancies in any commission occur, other than by expiration of term. such vacancies shall be filled by appointment for the unexpired portion of the term. (Ord. 90-02 § 1 (2.06.070)) 2.40.080 Meetings/quorum. The city council shall establish meeting schedules for each commission by resolution. A quorum of three shall be required for the transaction of any business. (Ord. 90-02 § 1 (2.40.080)) 2.40.090 Absence from meetings. Should any commission member be absent from any three consecutive meetings of the commission, without excuse acceptable to the city council, that member shall vacate his or her seat on the commission. The vacancy shall be filled in the same manner as any other vacancy. (Ord. 90-02 § 1 (2.06.090)) 2.40.100 Compensation. City commissioners shall receive monthly compensation as follows: Community services commission $100.00 per meeting attended Planning commission $100.00 per meeting attended Public/traffic safety commission $100.00 per meeting attended Old Town local review board $100.00 per meeting attended (Ord. 18-07 § 1; Ord. 01-12 § 1; Ord. 01-11 § 1; Ord. 01-05 § 2, 2001; Ord. 99-09 § 1; Ord. 96-09 § 2; Ord. 90-02 § 1 (2.06.100)) Chapter 2.44 PUBLIC/TRAFFIC SAFETY COMMISSION 2.44.010 Established. Pursuant to Section 2.40.010, there is created an advisory commission to the city council which shall be known as the Temecula public/traffic safety commission. (Ord. 93-18 § 1 (12.01.010): Ord. 92-17 § 1 (12.01.010)) 2.44.020 Composition and membership. The publicltraftic safety commission shall consist of five members appointed by the city council pursuant to Section 2.40.050. No officers or employees of the city or person under an employment contract subject to the jurisdiction of the city council shall be members of such commission. (Ord. 93-18 § 1 (12.01.020): Ord. 92-17 § 1 (12.01.020)) 2.44.030 Terms of office. Terms of office for public/traffic safety commissioners shall be three years with staggered terms. Initially, all five members may be selected at once. In order to achieve staggered terms, one member shall be appointed for a term of one year; two members for terms of two years; and two members for terms of one year. such terms to be determined by the drawing of lots. At the completion of any term a commission member may be reappointed pursuant to the procedures set forth in Section 2.40.050. (Ord. 93-18 § 1 (12.01.030): Ord. 92-17 § 1 (12.01-.030)) 2.44.040 Time and place of meetings. The public/traffic safety commission shall establish a regular date, time and place for commission meetings, which shall be open to the public. Such meetings shall occur no less frequently than once a month. (Ord. 93-18 § 1 (12.01.050): Ord. 92-17 § 1 (12.01.050)) 2.44.050 Powers and duties. The public/traffic safety commission shall advise the city council on all matters subject to the jurisdiction of the council pertaining to the public and traffic safety. The duties of the public/traffic safety commission shall be established by resolution of the city council. (Ord. 93-18 § 1 (12.01.060): Ord. 92-17 § 1 (12.01.060)) 2.44.060 Public hearings. Whenever the commission determines, by a two-thirds majority of those members present, that its deliberations with respect to a particular matter or matters would be substantially aided by the presentation of testimony from the citizens of the city, or of a certain area of the city, the commission may direct a public hearing be held concerning such matter or matters. Notice of such a hearing shall be provided by publication in a newspaper of general circulation published in the city, and/or by posting the same in at least three public places, not later than seven days prior to the date of the hearing. Such hearings shall be conducted in accordance with the rules established for the conduct of hearings before the city council unless the council, by resolution, shall otherwise provide. (Ord. 93-18 § 1 (12.01.070): Ord. 92-17 § 1 (12.01.070)) 2.44.070 Staff assistance. The city manager shall ensure that adequate staff will be allocated to provide necessary technical and clerical assistance to the commission. (Ord. 93-18 § 1 (12.01.040): Ord. 92-17 § 1 (12.01.040)) Chapter 2.48 COMMUNITY SERVICES COMMISSION 2.48.010 Established. There is established a Temecula community services commission. (Ord. 93-06 § 1 (13.01.010): Ord. 90- 05§1(13.10.010)) 2.48.020 Time and place of meetings. The time and place of the meetings of the Temecula community services commission shall be established by resolution of the commission. (Ord. 93-06 § 1 (13.01.020): Ord. 90-05 § 1 (13.01.020)) 2.48.030 Powers and duties. The duties of the Temecula community services commission shall be established by resolution of the city council. (Ord. 93-06 § 1 (13.01.030): Ord. 90-05 § 1 (13.01.030)) SECTION 5 INSTITUTE FOR LOCAL GOVERNMENT PUBLIC SERVICE ETHICS State Ethics Training Requirements For Local Officials: Frequently Asked Questions (FAQs) 9/04/12 Edition Overview of Requirement 1. What requirements does AB 1234 create regarding ethics training for local officials? The basic thrust of AB 1234 is to require covered officials (see next question) to take two hours of training in ethics principles and laws every two years.' Who's Covered 2. Who must receive mandatory ethics training? Basically the requirement applies to those elected or appointed officials who are compensated for their service or reimbursed for their expenses.2 The specific trigger for this requirement is whether the agency either compensates or reimburses expenses for members of any of its Brown Act covered bodies; if it does, then all elected and appointed "local agency officials" (as defined) must receive this training.; "Local agency official" means any member of a legislative body or any elected local agency official who receives compensation or expense reimbursement.' "Local agency" means "a city, county, city and county, charter city, charter county, charter city and county, or special district."5 Thus the training requirement does not include agencies on which local officials serve (for example, redevelopment agency governing boards or joint powers agencies), although many such officials will likely be covered by virtue of their status with cities, counties and special districts. Note that it also does not include school districts. Note that local agencies also have the option of requiring certain employees to receive this training.6 1400 K Street, Suite 205 • Sacramento, CA 95814 • 916.658.8208 F 916.444.7535 • www.ca-itg.org State Ethics Training Requirements For Local Officials. FAQs September 2012 3. What if an agency has a number of board members and commissioners who could theoretically get reimbursed for such expenses but as a practical matter haven't been for a long time? Determining whether such officials should receive such training involves a judgment call in consultation with one's agency attorney. Some agencies are rethinking whether they want to reimburse the members of all their commissioners and board members or be more selective. Another consideration is whether the nature of such officials' duties are such that the official would benefit from such training and the agency would benefit from having this official be trained (in terms of reducing the likelihood of missteps). Another approach is for an agency to identify all commissioners and board members that have been reimbursed and/or compensated in the past year and notify them of their need to receive training. For others who haven't been reimbursed and/or compensated, the expense reimbursement forms required by AB 1234' could include an advisory which alerts board members and commissioners of the need to get training if they are seeking reimbursement for expenses. 4. What about those who serve on multiple local agency bodies? The official only has to satisfy the regsuirement once (within one year of taking office and every two years after that). Institute for Local Government www. ca-ilg.orq 2 State Ethics Training Requirements For Local Officials: FAQs September 2012 5. Can AB 1234's ethics training requirements constitutionally apply to charter cities? Many city attorneys are not convinced that AB 1234 contains the necessary findings to make it applicable to charter cities, although the bill purports to appl' to charter cities by including charter cities within the definition of local agency. However, a number of charter cities already have such training programs and/or think they would be helpful and hence, are voluntarily complying with the spirit of AB 1234. Such an approach may reflect well on a city and city officials should the local media inquire about city officials' compliance with AB 1234. Timing and Deadline Issues 6. By when must an official receive such training and how often again after that? • Officials in Service as of January 1, 2006. Except for officials whose term of office ends before January I, 2007, those in office on January 1, 2006 must receive the training before January 1, 2007.10 After that, they must receive the training at least once every two years. 11 Officials whose term of office ends before January 9, 2007 were excused. 12 • Those Beginning Service After January 1, 2006. Those who enter office after January 1, 2006 must receive the training within a year of starting their service. They must then receive the training every two years after that. 13 Reasonable attorneys disagree how the "every two years" requirement should be interpreted. One interpretation would be that, if an official received the required training on May 15, 2011, the official would need to receive training again on or before May 14, 2013. Another would be that this same official satisfied the requirement in 2011 and needs to again satisfy the requirement in 2013. Institute for Local Government .vww ca-ilg orq 3 State Ethics Training Requirements For Local Officials: FAQs September 2012 Compliance and Enforcement 7. How do officials demonstrate compliance with the mandatory ethics requirements? When local aency officials receive the training, they will be given proof of participation. ' Copies of these certificates must be provided to the agency's custodian of records and maintained as public records subject to disclosure to the media, the public and others for at least Live years.I` 8. What is the enforcement mechanism to assure that local officials receive such training? The new law is directory: there is no specific penalty for failing to complete the required training."' Presumably there will be a periodic public records requests by the media, candidates and others to verify which officials have and have not met the requirements. 17 Local agencies are using a variety of techniques to encourage compliance. Options include: 1. Circulate a List of Complying and Non -complying Officials within the Agency. Putting who has (and who has not) complied in writing along with a reminder that the agency is expecting media and other inquiries may be one way to encourage compliance. This list can be circulated to officials with a thank you to those who have satisfied the requirement and a list of options for compliance for those who have not. 2. Create a Financial Penalty. Another option for encouraging compliance is to adopt a policy that officials who have not complied with their AB 1234 training requirements will not be eligible to have their expenses reimbursed. 3. Make Compliance a Condition of Agency Service for Appointees. In situations where the non-compliant official is an appointee, a local policy could provide the appointment be either rescinded or that the non- complying individual is ineligible for re -appointment. 4. Post Certificates on Agency's Website. The agency can post scans of those within the agency who have complied with the requirement, which also lets the media and the public know how the official satisfied the training. Institute for Local Govemment www.ca-ilg orq 4 State Ethics Training Requirements For Local Officials: FAQs September 2012 Content Issues, Options for Satisfying the Requirement and Trainer Qualifications 9. Where can local officials get this training? Local agencies must provide covered officials with a list of options for satisfying this requirement at least once a year: R The training can occur in-person, online or on a self -study basis (read materials and take a test).19 Agencies are not required to provide the training themselves, although a number may choose to do so. A variety of organizations offer such training (including law firms and nonprofit organizations). In addition, there are self -study materials available from the Institute for Local Government's website (www.ca-ilg.org. ABI234compllance) as well as a free online course at http: Iocalethics.fppc.ca.gov or http:/,"www.localethics.fppc.ca.gov that the Institute developed in collaboration with the FPPC. The Institute also has materials for in-house counsel and others who are interested in offering such training. 10. How do people or organizations become certified as AB 1234 ethics trainers? Strictly speaking, they don't. The Attorney General and FPPC have adopted guidelines for course curriculum accuracy and sufficiency, but there is no trainer - certification requirement.20 The Attorney General's guidelines require that the ethics law portion of AB 1234 training be given only by attorneys licensed to practice law in California and knowledgeable about California's ethics laws. 11. What issues must AB 1234 ethics training programs address? The training must cover general ethics principles relating to public service and ethics Iaws.2' "Ethics laws" are defined as including: -2 • Laws relating to personal financial gain by public officials (including bribery and conflict of interest laws); • Laws relating to office -holder perks, including gifts and travel restrictions, personal and political use of public resources and prohibitions against gifts of public funds; Institute for Local Govemment www.ca-ily.orq 5 State Ethics Training Requirements For Local Officials: FAQs September 2012 • Governmental transparency laws, including financial disclosure requirements and open government laws (the Brown Act and Public Records Act); • Law relating to fair processes, including fair contracting requirements, common law bias requirements and due process. The Institute has materials to address these issues. The ILG resources can be found at www .ca-iIg.org'AB 1234conpliance. Given the breadth of the subjects that need to be covered, the goal of the training cannot be to teach local officials the law in each of these areas. Instead the goal needs to be to acquaint local officials with the fact that there are laws that govern their behavior in each of these areas, to motivate officials to comply with such laws (among other things by explaining the consequences of missteps) and to alert them on when they need to seek the advice of qualified legal counsel when issues arise with respect to such laws. Note that the Attorney General's Guidelines allow those who have taken the initial overview course to go deefer into certain aspects of ethics law in subsequent compliance efforts. 2 12. Can 1 get State Bar minimum continuing legal education (MCLE) credit for attending AB 1234 training? Yes. AB 1234 training is eligible for MCLE participatory credit,24 provided the training complies with MCLE requirements. It is not, however, eligible for MCLE legal ethics credit.25 Brown Act Compliance 13. Must an AB 1234 training session that will be attended by a quorum of a legislative body comply with the Brown Act? The consensus appears to be that the Brown Act applies and therefore, the meeting must be open to the public and properly noticed. The Brown Act requires regular "meetings" of "legislative bodies" of local public agencies be open and public.26 A "meeting" is "any congregation of a majority of the members of a legislative body at the same time and place to hear, discuss, or deliberate upon any item that is within the subject matter jurisdiction of the legislative body or the local agency to which it pertains."7 Theoretically, it is possible for a majority of the members of a legislative body to attend an AB 1234 training session without triggering the Brown Act provided that they neither hear Institute for Local Govemment www.ca-1Iq.orq 6 State Ethics Training Requirements For Local Officials: FAQs September 2012 nor discuss any topic that arguably comes within the legislative body's subject matter jurisdiction. The goal of AB 1234 training, however, is to acquaint local officials with the laws that govern their behavior and motivate them to comply with such laws. In light of this goal, it is highly likely that training attendees will ask questions related to matters within the legislative body's subject matter jurisdiction. Accordingly, the Institute believes that the best course of action is to comply with the Brown Act. Note that AB 1234 training that occurs at conference sessions are subject to the conference session exception to the Brown Act. 28 Cal. Gov't Code § 53235(a), (b). 2 The language is potentially confusing on this point. The new law says that if a local agency provides any type of compensation or reimbursement for members of its legislative bodies, then all "local agency officials" must receive training. See Cal. Gov't Code § 53235(a). But the definition of "local agency official" means "any member ofa local agency legislative body or any elected official who receives any type of compensation ...or reimbursement for actual and necessary expenses incurred in thc performance of official duties." See Cal. Gov't Code § 53234(c)(1). 3 Cal. Gov't Code § 53235(a) ("If a local agency provides any type of compensation, salary. or stipend to a member of a legislative body, or provides reimbursement for actual and necessary expenses incurred by a member of a legislative body in the performance of official duties. then all local agency officials shall receive training in ethics pursuant to this article"); § 53234(a) (defining legislative body by reference to the Brown Act, Government Code section 54952). 4 Cal. Gov't Code § 53234(c)(1). i Cal. Gov't Code § 53234(b). 6 Cal. Gov't Code § 53234(cX2). 7 Cal. Gov't Code § 53232.3(a). " See Cal. Gov't Code § 53235.1(c). 9 Cal. Gov't Code § 53234(b). '° See Cal. Gov't Code § 53235.1(a). See Cal. Gov't Code § 53235.1(a). 12 Cal. Gov't Code § 53235.1(a). 13 See Cal. Gov't Code § 53235.1(13). The law requires that subsequent training occur "at least once every two years." Some agencies interpret this to mean that training may occur in successive two year periods, not necessarily before the two year anniversary of the last training. This is an arca where substantial compliance based on the spirit of the law should be sufficient. 14 Cal. Gov't Code § 53235.1(e). 15 Cal. Gov't Code § 53235.2. 16 Cal. Gov't Code § 53235.2. 17 Note: in addition to maintaining records on compliance with the minimum standards imposed by AB 1234, local agencies may also want to maintain records of any additional training local agency officials received. This will enable those inquiring to ascertain thc agency's and individual's full scope of commitment to understanding the ethical and legal obligations associated with public service. 'x Cal. Gov't Code § 53235(f). 19 Cal. Gov't Code § 53235(d). 20 See Cal. Gov't Code § 53235(c). The FPPC adopted it's guidelines as a regulation'" and the Attorney General issued Gcncral ()aide lines on Course Accuracy and Sufficiency, which are available on the Department ofhrsticewebsite: http. caag.state.ca.us, ethics/ eth loc guide tinal.pdt. A summary of the state's guidelines for training is also available at w ww.ca-ilg org, AB 1234compllance. Institute for Local Govemment www.ca-ilq.orq 7 State Ethics Training Requirements For Local Officials: FAQs September 2012 21 Cal. Gov't Code § 53235(b). 22 Cal. Gov't Code § 53234(d). 27 See Attorney General Guidelines, bottom of page 3, available at http:i'oag.ca.go‘ sitesall-files-pdfsetht».eth Io guide tinat.gdl? 24 State Bar's response to an inquiry by the Institute, November 6, 2006. 25 Id. 26 Cal. Gov't Code § 54953. 27 Cal. Gov't Code § 54952.2 (emphasis added). 28 Cal. Gov't Code § 54952.2(cX2) (Conference must be open to the public and attendees must be mindful of restrictions on discussing items with colleagues). Institute for Local Govemment www.ca-iIa orq 8 SECTION 6 2017/2018 Statement of Economic Interests Form 700 A Public Document Also available on the FPPC website: • Form 700 in Excel format • Reference Pamphlet for Form 700 California Fair Political Practices Commission Email Advice: advice@fppc.ca.gov Toll-free advice line: 1 (866) ASK-FPPC • 1 (866) 275-3772 Telephone: (916)322-5660 • Website: www.fppc.ca.gov December 2017 Ud x'4 Ncw Gift Limit Increase The gift limit increased to S470 for calendar years 2017 and 2018. The gift limit during 2016 was $460. (U4 must file: • Elected and appointed officials and candidates listed in Government Code Section 87200 • Employees, appointed officials, and consultants filing pursuant to a conflict of interest code ("code filers") Obtain your disclosure categories, which describe the interests you must report, from your agency; they are not part of the Form 700 • Candidates running for local elective offices that are designated in a conflict of interest code (e.g., county sheriffs, city clerks. school board trustees, and water board members) Exception: Candidates for a county central committee are not required to file the Form 700. • Members of newly created boards and commissions not yet covered under a conflict of interest code • Employees in newly created positions of existing agencies See Reference Pamphlet. page 3, at www.fppc.ca.gov. t4/4 ,c to file: 87200 Filers State offices Judicial offices Retired Judges County offices City offices Multi -County offices Your agency The clerk of your court Directly with FPPC Your county filing official Your city clerk Your agency Code Filers — State and Local Officials, Employees. and Consultants Designated in a Conflict of Interest Code: File with your agency. board, or commission unless otherwise specified in your agency's code (e.g., Legislative staff files directly with FPPC). In most cases, the agency. board. or commission will retain the statements Members of Boards and Commissions of Newly Created Agencies: File with your newly created agency or with your agency's code reviewing body Employees in Newly Created Positions of Existing Agencies: File with your agency or with your agency's code reviewing body. See Reference Pamphlet, page 3. Candidates: File with your local elections office. How to file: The Form 700 is available at www.fppc.ca.gov. Form 700 schedules are also available in Excel format. All statements must have an original "wet" signature or be duly authorized by your filing officer to file electronically under Govemment Code Section 87500.2. Instructions, examples, FAQs, and a reference pamphlet are available to help answer your questions. W4124, to file: Annual Statements • March 1, 2018 - Elected State Officers - Judges and Court Commissioners - State Board and State Commission Members listed in Govemment Code Section 87200 • April 2, 2018 - Most other filers Individuals filing under conflict of interest codes in city and county jurisdictions should verify the annual filing date with their local filing officers. Statements postmarked by the filing deadline are considered filed on time. Assuming Office and Leaving Office Statements Most filers file within 30 days of assuming or leaving office or within 30 days of the effective date of a newly adopted or amended conflict of interest code. Exception: If you assumed office between October 1, 2017, and December 31, 2017, and filed an assuming office statement, you are not required to file an annual statement until March 1, 2019, or April 1, 2019, whichever is applicable. The annual statement will cover the day after you assumed office through December 31, 2018. See Reference Pamphlet, pages 6 and 7, for additional exceptions. Candidate Statements File no later than the final filing date for the declaration of candidacy or nomination documents. Amendments Statements may be amended at any time. You are only required to amend the schedule that needs to be revised. It is not necessary to amend the entire filed form. Obtain amendment schedules at www.fppc.ca.gov There is no provision for filing deadline extensions unless the filer is serving in active military duty. Statements of 30 pages or less may be faxed by the deadline as long as the originally signed paper version is sent by first class mail to the filing official within 24 hours. Introduction The Political Reform Act (Gov. Code Sections 81000- 91014) requires most state and local government officials and employees to publicly disclose their personal assets and income They also must disqualify themselves from participating in decisions that may affect their personal economic interests. The Fair Political Practices Commission (FPPC) is the state agency responsible for issuing the attached Statement of Economic Interests. Form 700, and for interpreting the law's provisions. Gift Prohibition Gifts received by most state and local officials, employees, and candidates are subject to a limit. During 2017 and 2018, the gift limit is $470 from a single source during a calendar year. In addition, state officials, state candidates, and certain state employees are subject to a $10 limit per calendar month on gifts from lobbyists and lobbying firms registered with the Secretary of State. See Reference Pamphlet. page 10. State and local officials and employees should check with their agency to determine if other restrictions apply. Disqualification Public officials are, under certain circumstances, required to disqualify themselves from making, participating in, or attempting to influence governmental decisions that will affect their economic interests. This may include interests they are not required to disclose (i.e., a personal residence is often not reportable, but may be disqualifying). Specific disqualification requirements apply to 87200 filers (e.g., city councilmembers, members of boards of supervisors, planning commissioners, etc.). These officials must publicly identify the economic interest that creates a conflict of interest and leave the room before a discussion or vote takes place at a public meeting. For more information, consult Govemment Code Section 87105, Regulation 18707, and the Guide to Recognizing Conflicts of Interest at www.fppc.ca.gov. Honorarium Ban Most state and local officials, employees, and candidates are prohibited from accepting an honorarium for any speech given, article published, or attendance at a conference, convention, meeting. or like gathering. See Reference Pamphlet, page 10 Loan Restrictions Certain state and local officials are subject to restrictions on loans. See Reference Pamphlet, page 14 Post -Governmental Employment There are restrictions on representing clients or employers before former agencies. The provisions apply to elected state officials, most state employees, local elected officials, county chief administrative officers, city managers, including the chief administrator of a city, and general managers or chief administrators of local special districts and JPAs. The FPPC website has fact sheets explaining the provisions. Late Filing The filing officer who retains originally -signed or electronically filed statements of economic interests may impose on an individual a fine for any statement that is filed late. The fine is $10 per day up to a maximum of $100. Late filing penalties may be reduced or waived under certain circumstances. Persons who fail to timely file their Form 700 may be referred to the FPPC's Enforcement Division (and, in some cases, to the Attomey General or district attorney) for investigation and possible prosecution. In addition to the late filing penalties, a fine of up to $5,000 per violation may be imposed. For assistance concerning reporting, prohibitions, and restrictions under the Act: • Email questions to advice@fppc.ca.gov. • Call the FPPC toll-free at (866) 275-3772. Form 700 is a Public Document Public Access Must Be Provided Statements of Economic Interests are public documents. The filing officer must permit any member of the public to inspect and receive a copy of any statement. • Statements must be available as soon as possible during the agency's regular business hours. but in any event not later than the second business day after the statement is received. Access to the Form 700 is not subject to the Public Records Act procedures. • No conditions may be placed on persons seeking access to the forms. • No information or identification may be required from persons seeking access. • Reproduction fees of no more than 10 cents per page may be charged. FPPC Form 700(2017/2018) FPPC Advice Email: adviceCDfppc.ca.gov FPPC Toil -Free Helpline: 866/275-3772 www.fppc.ca.gov Introduction Types of Form 700 Filings Assuming Office Statement: If you are a newly appointed official or are newly employed in a position designated, or that will be designated, in a state or local agency's conflict of interest code, your assuming office date is the date you were sworn in or otherwise authorized to serve in the position. If you are a newly elected official. your assuming office date is the date you were sworn in. • Investments, interests in real property. and business positions held on the date you assumed the office or position must be reported. In addition, income (including loans, gifts, and travel payments) received during the 12 months prior to the date you assumed the office or position is reportable. For positions subject to confirmation by the State Senate or the Commission on Judicial Performance, your assuming office date is the date you were appointed or nominated to the position. Example: Maria Lopez was nominated by the Govemor to serve on a state agency board that is subject to state Senate confirmation. The assuming office date is the date Maria's nomination is submitted to the Senate. Maria must report investments, interests in real property, and business positions she holds on that date, and income (including loans, gifts, and travel payments) received during the 12 months prior to that date. If your office or position has been added to a newly adopted or newly amended conflict of interest code, use the effective date of the code or amendment, whichever is applicable. Investments, interests in real property, and business positions held on the effective date of the code or amendment must be reported. In addition, income (including loans, gifts, and travel payments) received during the 12 months prior to the effective date of the code or amendment is reportable. Annual Statement: Generally, the period covered is January 1, 2017, through December 31, 2017. If the penod covered by the statement is different than January 1, 2017, through December 31, 2017, (for example, you assumed office between October 1, 2016, and December 31, 2016 or you are combining statements), you must specify the period covered. • Investments, interests in real property, business positions held, and income (including loans, gifts. and travel payments) received during the period covered by the statement must be reported. Do not change the preprinted dates on Schedules A-1, A-2, and B unless you are required to report the acquisition or disposition of an interest that did not occur in 2017. • If your disclosure category changes during a reporting period. disclose under the old category until the effective date of the conflict of interest code amendment and disclose under the new disclosure category through the end of the reporting period Leaving Office Statement: Generally, the period covered is January 1, 2017, through the date you stopped performing the duties of your position. If the penod covered differs from January 1, 2017, through the date you stopped performing the duties of your position (for example, you assumed office between October 1, 2016, and December 31. 2016, or you are combining statements), the period covered must be specified The reporting penod can cover parts of two calendar years. • Investments, interests in real property, business positions held, and income (including loans, gifts, and travel payments) received during the period covered by the statement must be reported. Do not change the prepnnted dates on Schedules A-1, A-2, and B unless you are required to report the acquisition or disposition of an interest that did not occur in 2017. Candidate Statement: If you are filing a statement in connection with your candidacy for state or local office, investments, interests in real property, and business positions held on the date of filing your declaration of candidacy must be reported. In addition, income (including loans, gifts, and travel payments) received during the 12 months prior to the date of filing your declaration of candidacy is reportable. Do not change the preprinted dates on Schedules A-1, A-2, and B. Candidates running for local elective offices (e.g., county sheriffs, city clerks. school board trustees, or water distract board members) must file candidate statements, as required by the conflict of interest code for the elected position. The code may be obtained from the agency of the elected position. Amendments: If you discover errors or omissions on any statement, file an amendment as soon as possible. You are only required to amend the schedule that needs to be revised; it is not necessary to refile the entire form. Obtain amendment schedules from the FPPC website at www.Ippc.ca.gov. FPPC Form 700 (2017/2018) FPPC Advice Email: adviceifppc.ca.gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov Types of Statements Instructions Cover Page Enter your name, mailing address, and daytime telephone number in the spaces provided Because the Form 700 is a public document, you may list your business/office address instead of your home address. Part 1. Office, Agency, or Court • Enter the name of the office sought or held, or the agency or court. Consultants must enter the public agency name rather than their private firm's name (Examples State Assembly: Board of Supervisors; Office of the Mayor: Department of Finance; Hope County Superior Court) • Indicate the name of your division, board, or district, if applicable. (Examples: Division of Waste Management: Board of Accountancy, District 45). Do not use acronyms. • Enter your position title. (Examples. Director; Chief Counsel; City Council Member, Staff Services Analyst) • If you hold multiple positions (i.e,, a city council member who also is a member of a county board or commission), you may be required to file statements with each agency. To simplify your filing obligations, you may complete an expanded statement. • To do this, enter the name of the other agency(ies) with which you are required to file and your position title(s) in the space provided Do not use acronyms. Attach an additional sheet if necessary. Complete one statement covering the disclosure requirements for all positions. Each copy must contain an original signature. Therefore. before signing the statement, make a copy for each agency. Sign each copy with an original signature and file with each agency. If you assume or leave a position after a filing deadline, you must complete a separate statement. For example, a city council member who assumes a position with a county special district after the April 1 annual filing deadline must file a separate assuming office statement. In subsequent years, the city council member may expand his or her annual filing to indude both positions Example: Scott Baker is a city council member for the City of Lincoln and a board member for the Camp Far West Irrigation District - a mufti -county agency that covers Placer and Yuba counties. Scott will complete one Form 700 using full disclosure (as required for the city position) and covering interests in both Placer and Yuba counties (as required for the multi -county position) and list both positions on the Cover Page. Before signing the statement, Scott will make a copy and sign both statements. One statement will be filed with City of Lincoln and the other will be filed with Camp Far West Irrigation District. Both will contain an original signature. Part 2. Jurisdiction of Office Check the box indicating the jurisdiction of your agency and, if applicable, identify the jurisdiction Judges, judicial candidates. and court commissioners have statewide jurisdiction All other filers should review the Reference Pamphlet, page 13, to determine their jurisdiction. • If your agency is a multi -county office, list each county in which your agency has jurisdiction. • If your agency is not a state office, court, county office, city office, or multi -county office (e.g., school districts, special districts and JPAs), check the "other" box and enter the county or city in which the agency has jurisdiction. Example: This filer is a member of a water district board with jurisdiction in portions of Yuba and Sutter Counties. 1 OM1*, Army, a Cwn •.V, WO 10•MIr oc._J Perim Reiff Imam= Omni Now krt. ]Mrrlrl. Ort 14104 •- Iffp• N. A Board Ncmhcc •• lb7 b•1M palm II lWr ria~ a P.gni •� WA Oran 1. Jeer/otloo el Office rear r Ant on 610 C SIM 041p AV COO Ctir4me- IWO Milo. Fr., Yuba i NAN Coon 0 Cro • Part 3. Type of Statement Check at least one box. The period covered by a statement is determined by the type of statement you are filing. If you are completing a 2017 annual statement, do not change the pre-printed dates to reflect 2018. Your annual statement is used for reporting the previous year's economic interests. Economic interests for your annual filing covering January 1, 2018, through December 31, 2018, will be disclosed on your statement filed in 2019. See Reference Pamphlet, page 4. Combining Statements. Certain types of statements may be combined. For example, if you leave office after January 1, but before the deadline for filing your annual statement, you may combine your annual and leaving office statements File by the earliest deadline Consult your filing officer or the FPPC. Part 4. Schedule Summary • Complete the Schedule Summary after you have reviewed each schedule to determine if you have reportable interests. • Enter the total number of completed pages including the cover page and either check the box for each schedule you use to disclose interests; or if you have nothing to disclose on any schedule, check the "No reportable interests" box. Please do not attach any blank schedules. Part 5. Verification Complete the verification by signing the statement and entering the date signed All statements must have an original "wet" signature or be duly authorized by your filing officer to file electronically under Govemment Code Section 87500.2. Instructions, examples. FAQs, and a reference pamphlet are available to help answer your questions When you sign your statement, you are stating, under penalty of perjury, that it is true and correct. Only the filer has authority to sign the statement. An unsigned statement is not considered filed and you may be subject to late filing penalties FPPC Form 700 (2017/20181 FPPC Advice Email: advicePfppc.ca.gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov Instructions - 1 CALIFORNIA FORM 700 FAIR POLITICAL PRACTICES COMMISSION A PUBLIC DOCUMENT Please type or pnnt in ink. STATEMENT OF ECONOMIC INTERESTS COVER PAGE Date Initial Filing Received Onry NAME OF FLEA (LAST) (QST) ramous 1. Office, Agency, or Court Agency Name (Do not use acronyms) Division, Board, Department District, if applicable Your Position ► If filing for multiple positions, fist below or on an attachment (Do not use acronyms) Agency Position 2. Jurisdiction of Office (Check at least one box) ❑ State ❑ Judge or Court Commissioner (Statewide Jurisdiction) ❑ Multi -County ❑ County of ❑ city of ❑Other 3. Type of Statement (Chat at least one box) ❑ Annual: The period covered is January 1, 2017 through ❑ Leaving Office: Date Left -J_1 December 31, 2017. (Check one) -or- The period covered is through 0 The period covered is January 1, 2017, through the date of leaving office -Of- 0 The period covered is _J through the date of leaving office December 31, 2017. O Assuming Office: Date assumed J_J ❑ Candidate: Date of Election and office sough, d different than Part 1 4. Schedule Summary (must complete) ► Total number of pages including this cover page: Schedules attached O Schedule A-1 - Investments - schedule attached ❑ Schedule A-2 - Investments - schedule attached ❑ Schedule B - Real Property - schedule attached -or- None - No reportable interests on any schedule C Schedule C - Income, Loans, & Business Positions - schedule attached ❑ Schedule D - Income - Gifts - schedule attached ❑ Schedule E • Income - Gifts - Travel Payments - schedule attached 5. Verification MAILING ADDRESS STREET (Roamers or Agency Address Rsoormwrdrd - Pubic Doalsnep CITY STATE LP CODE DAYTIME TELEPHONE NUMBER E-MAIL ADDRESS I have used all reasonable diligence in preparing this statement I have reviewed this statement and to the best of my knowledge the information contained herein and in any attached schedules is true and complete I acknowledge this is a public document. I certify under penalty of perjury under the laws of the State of California that the foregoing is true and correct. Date Signed Signature (month. day. year, FSM sored sfafarn r! arch rwr rrFy 0150al FPPC Form 700(2017/2018) FPPC Advice Email: advicel_Dfppc.ca.gov FPPC Toll -Free Helpline: 866/27S-3772 www.fppc.ca.gov Which Schedule Do I Use? Common Reportable Interests Schedule A-1 Stocks, including those held in an IRA or a 401 K Schedule A-2 Schedule B Schedule C Schedule D Schedule E Business entities (including certain independent contracting), sole proprietorships, partnerships, LLCs, corporations, and trusts Rental property in the jurisdiction, or within two miles of the boundanes of the jurisdiction Non-govemmental salaries of public official and spouse/registered domestic partner Gifts from businesses (such as tickets to sporting or entertainment events) Travel payments from third parties (not your employer) Common Non -Reportable Interests Schedule A-1 Insurance policies, government bonds, diversified mutual funds, certain funds similar to diversified mutual funds (such as exchange traded funds) and investments held in certain retirement accounts. See Reference Pamphlet, page 13, for detailed information. (Regulation 18237) Schedule A-2 Savings and checking accounts and annuities Schedule B A residence used exclusively as a personal residence (such as a home or vacation cabin) Schedule C Governmental salary (such as a school district) Schedule D Gifts from family members Schedule E Travel paid by your govemment agency Remember: 1 Mark the "No reportable interests' box on Part 4 of the Schedule Summary on the Cover Page if you determine you have nothing to disclose and file the Cover Page only. Make sure you carefully read all instructions to ensure proper reporting. ✓ The Form 700 is a public document Most individuals must consult their agency's conflict of interest code for reportable interests. Most individuals fi e the Form 700 with their agencies. FPPC Form 700 (2017/2018) FPPC Advice Email: advice@fppc.ca.gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov Instructions • 3 Questions and Answers General Q What is the reporting period for disclosing interests on an assuming office statement or a candidate statement? A. On an assuming office statement, disdose all reportable investments, interests in real property, and business positions held on the date you assumed office. In addition, you must disclose income (including loans, gifts and travel payments) received during the 12 months prior to the date you assumed office. On a candidate statement, disclose all reportable investments, interests in real property, and business positions held on the date you file your declaration of candidacy. You must also disclose income (including loans, gifts and travel payments) received during the 12 months prior to the date you file your declaration of candidacy. Q I hold two other board positions in addition to my position with the county. Must I file three statements of economic interests? A. Yes, three are required. However, you may complete one statement listing the county and the two boards on the Cover Page or an attachment as the agencies for which you will be filing. Report your economic interests using the largest jurisdiction and highest disclosure requirements assigned to you by the three agencies. Make two copies of the entire statement before signing it, sign each copy with an original signature, and distribute one original to the county and to each of the two boards. Remember to complete separate statements for positions that you leave or assume during the year. Q. I am a department head who recently began acting as city manager. Should I file as the city manager? A. Yes. File an assuming office statement as city manager. Persons serving as "along," "interim," or "alternate" must file as if they hold the position because they are or may be performing the duties of the position. Q As a designated employee, I left one state agency to work for another state agency. Must I file a leaving office statement? A Yes You may also need to file an assuming office statement for the new agency. Q My spouse and I are currently separated and in the process of obtaining a divorce. Must I still report my spouse's income, investments, and interests in real property? A. Yes A public official must continue to report a spouse's economic interests until such time as dissolution of marriage proceedings is final. However, if a separate property agreement has been reached poor to that time, your estranged spouse's income may not have to be reported. Contact the FPPC for more information. Investment Disclosure Q. I have an investment interest in shares of stock in a company that does not have an office in my jurisdiction. Must I still disclose my investment interest in this company? A. Probably. The definition of "doing business in the junsdiction' is not limited to whether the business has an office or physical location in your jurisdiction, See Reference Pamphlet, page 13. Q. My spouse and I have a living trust The trust holds rental property in my junsdiction, our pnmary residence, and investments in diversified mutual funds. I have full disclosure. How is this trust disclosed? A. Disclose the name of the trust, the rental property and its income on Schedule A-2. Your primary residence and investments in diversified mutual funds registered with the SEC are not reportable. Q. I am required to report all investments. I have an IRA that contains stocks through an account managed by a brokerage firm. Must I disclose these stocks even though they are held in an IRA and I did not decide which stocks to purchase? A. Yes. Disclose on Schedule A-1 or A-2 any stock worth $2,000 or more in a business entity located in or doing business in your jurisdiction. FPPC Form 700 (2017/2018) FPPC Advice Email: adviceefppc.ca.gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov Instructions - 4 Questions and Answers Continued Q. I am the sole owner of my business, an S -Corporation. I believe that the nature of the business is such that it cannot be said to have any "fair market value' because it has no assets. I operate the corporation under an agreement with a large insurance company. My contract does not have resale value because of its nature as a personal services contract. Must I report the fair market value for my business on Schedule A-2 of the Form 700? A. Yes. Even if there are no tangible assets, intangible assets, such as relationships with companies and clients are commonly sold to qualified professionals. The "fair market value" is often quantified for other purposes, such as marital dissolutions or estate planning. In addition, the IRS presumes that "personal services corporations" have a fair market value. A professional "book of business" and the associated goodwill that generates Income are not without a determinable value. The Form 700 does not require a precise fair market value; it is only necessary to check a box indicating the broad range within which the value falls. Q I own stock In IBM and must report this investment on Schedule A-1. I initially purchased this stock in the early 1990s; however, I am constantly buying and selling shares. Must I note these dates in the "Acquired" and "Disposed" fields? A. No. You must only report dates in the "Acquired" or "Disposed" fields when, during the reporting period, you initially purchase a reportable investment worth $2,000 or more or when you dispose of the entire investment. You are not required to track the partial trading of an investment. Q. On last year's filing I reported stock in Encoe valued at $2,000 - $10,000. Late last year the value of this stock fell below and remains at less than $2,000. How should this be reported on this year's statement? A. You are not required to report an investment if the value was less than $2,000 during the entire reporting penod. However, because a disposed date is not required for stocks that fall below $2,000, you may want to report the stock and note in the "comments" section that the value fell below $2,000. This would be for informational purposes only; it is not a requirement. Q. We have a Section 529 account set up to save money for our son's college education. Is this reportable? A. If the Section 529 account contains reportable interests (e.g., common stock valued at $2,000 or more), those interests are reportable (not the actual Section 529 account). If the account contains solely mutual funds, then nothing is reported. Income Disclosure Q. I reported a business entity on Schedule A-2. Clients of my business are located in several states. Must I report all clients from whom my pro rata share of income is $10,000 or more on Schedule A-2, Part 3? A No, only the clients located in or doing business on a regular basis in your jurisdiction must be disclosed. Q I believe I am not required to disclose the names of clients from whom my pro rata share of income is $10,000 or more on Schedule A-2 because of their right to privacy. Is there an exception for reporting clients' names? A. Regulation 18740 provides a procedure for requesting an exemption to allow a client's name not to be disclosed if disclosure of the name would violate a legally recognized privilege under Califomia or Federal law. This regulation may be obtained from our website at www.fppc.ca.gov. See Reference Pamphlet, page 14. Q. I am sole owner of a private law practice that is not reportable based on my limited disclosure category. However, some of the sources of income to my law practice are from reportable sources. Do I have to disclose this income? A. Yes, even though the law practice is not reportable, reportable sources of income to the law practice of $10,000 or more must be disclosed This information would be disclosed on Schedule C with a note in the "comments" section indicating that the business entity is not a reportable investment. The note would be for informational purposes only; it is not a requirement. FPPC Form 700 (2017/2018) FPPC Advice Email: advicegfppc.ca.gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov Instructions - 5 Questions and Answers Continued Q. I am the sole owner of my business. Where do I disclose my income - on Schedule A-2 or Schedule C? A. Sources of income to a business in which you have an ownership interest of 10% or greater are disclosed on Schedule A-2. See Reference Pamphlet, page 8, for the definition of "business entity." Q. My husband is a partner in a four -person firm where all of his business is based on his own billings and collections from various clients. How do 1 report my community property interest in this business and the income generated in this manner? A. If your husband's investment in the firm is 10% or greater, disclose 100% of his share of the business on Schedule A-2, Part 1 and 50% of his income on Schedule A-2, Parts 2 and 3. For example, a client of your husband's must be a source of at least $20,000 during the reporting period before the client's name is reported. Q. How do I disclose my spouse's or registered domestic partner's salary? A. Report the name of the employer as a source of income on Schedule C. Q. I am a doctor For purposes of reporting $10,000 sources of income on Schedule A-2, Part 3, are the patients or their insurance Garners considered sources of income? A. If your patients exercise sufficient control by selecting you instead of other doctors, then your patients, rather than their insurance carriers, are sources of income to you. See Reference Pamphlet, page 14, for additional information. Q. I received a loan from my grandfather to purchase my home. Is this loan reportable? A. No. Loans received from family members are not reportable. Q. Many years ago, I loaned my parents several thousand dollars, which they paid back this year. Do I need to report this loan repayment on my Form 700? A. No. Payments received on a loan made to a family member are not reportable Real Property Disclosure Q. During this reporting period we switched our principal place of residence into a rental. I have full disclosure and the property is located in my agency's jurisdiction, so it is now reportable. Because I have not reported this property before, do I need to show an "acquired" date? A. No, you are not required to show an "acquired' date because you previously owned the property. However, you may want to note in the "comments" section that the property was not previously reported because it was used exdusively as your residence. This would be for informational purposes only: it is not a requirement. Q. I am a city manager, and I own a rental property located in an adjacent city, but one mile from the city limit. Do I need to report this property interest? A. Yes. You are required to report this property because it is located within 2 miles of the boundaries of the city you manage. Q. Must !report a home that I own as a personal residence for my daughter? A. You are not required to disclose a home used as a personal residence for a family member unless you receive income from it, such as rental income. Q. I am a co-signer on a loan for a rental property owned by a friend. Since I am listed on the deed of trust, do I need to report my friend's property as an interest in real property on my Form 700? A. No. Simply being a co-signer on a loan for property does not create a reportable interest in real property for you. Gift Disclosure Q. If I received a reportable gift of two tickets to a concert valued at $100 each, but gave the tickets to a friend because I could not attend the concert, do I have any reporting obligations? A. Yes. Since you accepted the gift and exercised discretion and control of the use of the tickets. you must disclose the gift on Schedule D. FPPC Form 700 (2017/2018) FPPC Advice Email: advice@fppc.ca.gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov Instructions — 6 Questions and Answers Continued Q Mary and Joe Benson, a married couple. want to give a piece of artwork to a county supervisor Is each spouse considered a separate source for purposes of the gift limit and disclosure? A. Yes, each spouse may make a gift valued at the gift limit during a calendar year. For example, during 2017 the gift limit was $470, so the Bensons may have given the supervisor artwork valued at no more than $940. The supervisor must identify Joe and Mary Benson as the sources of the gift. Q. I am a Form 700 filer with full disclosure. Our agency holds a holiday raffle to raise funds for a local charity. I bought $10 worth of raffle tickets and won a gift basket valued at $120. The gift basket was donated by Doug Brewer, a citizen in our city. At the same event, I bought raffle tickets for. and won a quilt valued at $70. The quilt was donated by a coworker. Are these reportable gifts? A. Because the gift basket was donated by an outside source (not an agency employee), you have received a reportable gift valued at $110 (the value of the basket less the consideration paid). The source of the gift is Doug Brewer and the agency is disclosed as the intermediary. Because the quilt was donated by an employee of your agency, it is not a reportable gift. Q. My agency is responsible for disbursing grants. An applicant (501(c)(3) organization) met with agency employees to present its application. At this meeting, the applicant provided food and beverages. Would the food and beverages be considered gifts to the employees? These employees are designated in our agency's conflict of interest code and the applicant is a reportable source of income under the code. A. Yes. If the value of the food and beverages consumed by any one filer, plus any other gifts received from the same source during the reporting period total $50 or more, the food and beverages would be reported using the fair market value and would be subject to the gift limit. Q I received free admission to an educational conference related to my official duties. Part of the conference fees included a round of golf. Is the value of the golf considered informational material? A. No. The value of personal benefits, such as golf, attendance at a concert, or sporting event, are gifts subject to reporting and limits. FPPC Form 700 (2017/20181 FPPC Advice Email: advice@fppc.ca.gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov Instructions - 7 Instructions — Schedules A-1 and A-2 Investments "Investment" means a financial interest in any business entity (including a consulting business or other independent contracting business) that is located in, doing business in, planning to do business in, or that has done business during the previous two years in your agency's jurisdiction in which you, your spouse or registered domestic partner, or your dependent children had a direct, indirect. or beneficial interest totaling $2,000 or more at any time during the reporting period. See Reference Pamphlet, page 13 Reportable investments include: • Stocks, bonds, warrants, and options, including those held in margin or brokerage accounts and managed investment funds (See Reference Pamphlet, page 13 ) • Sole proprietorships • Your own business or your spouse's or registered domestic partner's business (See Reference Pamphlet, page 8, for the definition of "business entity.") Your spouse's or registered domestic partner's investments even if they are legally separate property Partnerships (e.g., a law firm or family farm) • Investments in reportable business entities held in a retirement account (See Reference Pamphlet, page 15.) • If you, your spouse or registered domestic partner. and dependent children together had a 10% or greater ownership interest in a business entity or trust (including a living trust), you must disclose investments held by the business entity or trust See Reference Pamphlet, page 15, for more information on disclosing trusts • Business trusts You are not required to disclose: Government bonds, diversified mutual funds, certain funds similar to diversified mutual funds (such as exchange traded funds) and investments held in certain retirement accounts. See Reference Pamphlet, page 13, for detailed information. (Regulation 18237) • Bank accounts, savings accounts, money market accounts and certificates of deposits • Insurance policies Annuities • Commodities • Shares in a credit union • Govemment bonds (including municipal bonds) • Retirement accounts invested in non -reportable interests (e g., insurance policies. mutual funds, or govemment bonds) (See Reference Pamphlet, page 15.) Reminders • Do you know your agency's jurisdiction? • Did you hold investments at any time during the period covered by this statement? • Code filers - your disclosure categories may only require disclosure of specific investments. Govemment defined -benefit pension plans (such as CaIPERS and CaISTRS plans) • Certain interests held in a blind trust (See Reference Pamphlet, page 16 ) Use Schedule A-1 to report ownership of less than 10°i° (e g , stock) Schedule C (Income) may also be required if the investment is not a stock or corporate bond See second example below Use Schedule A-2 to report ownership of 10% or greater (e.g., a sole proprietorship). To Complete Schedule A-1: Do not attach brokerage or financial statements. • Disclose the name of the business entity • Provide a general description of the business activity of the entity (e.g., pharmaceuticals, computers, automobile manufacturing, or communications). • Check the box indicating the highest fair market value of your investment during the reporting period If you are filing a candidate or an assuming office statement, indicate the fair market value on the filing date or the date you took office, respectively. • Identify the nature of your investment (e.g., stocks, warrants, options, or bonds). • An acquired or disposed of date is only required if you initially acquired or entirely disposed of the investment interest during the reporting period. The date of a stock dividend reinvestment or partial disposal is not required. Generally, these dates will not apply if you are filing a candidate or an assuming office statement_ Examples: John Smith holds a state agency position. His conflict of interest code requires full disclosure of investments. John must disclose his stock holdings of $2,000 or more in any company that is located in or does business in Califomia, as well as those stocks held by his spouse or registered domestic partner and dependent children. Susan Jones is a city council member. She has a 4% interest, worth $5,000, in a limited partnership located in the city. Susan must disclose the partnership on Schedule A-1 and income of $500 or more received from the partnership on Schedule C FPPC Form 700 (2017/2018) FPPC Advice Email: advice!fppc.ca.gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov Instructions — 8 SCHEDULE A-1 Investments Stocks, Bonds, and Other Interests (Ownership Interest is Less Than 1O%) Do not attach brokerage or financial statements. ► NAME OF BUSINESS ENTITY GENERAL DESCRIPTION OF THIS BUSINESS FAIR MARKET VALUE ❑ 52,000 - 510,000 O 5100.001 - 51.000,000 p 510,001 5100,000 ❑ Over 51.000,000 NATURE OF INVESTMENT ❑ Stock ❑ Other (Deem.) ❑ Partnership 0 Income Received of 50 - 5499 0 Income Received of 8500 or More (Repos on Schedule CI IF APPLICABI E. LIST DATF 1 17 ACQUIRED DISPOSED ► NAME OF BUSINESS ENTITY GENERAL DESCRIPTION OF THIS BUSINESS FAIR MARKET VALUE ❑ 82.000 - 810,000 ❑ 8100,001 81,000,000 ❑ 510,001 - 5100,000 ❑ Over 51,000,000 NATURE Of INVESTMENT 0 Stock ❑ Other (Describe) ❑ Partnership 0 Income Received of 50 - $499 Q Income Recerved of 8500 or More (Report or, Schetuie C) IF APPLICABLE, UST DATE ! 117 17 ACQUIRED DISPOSED ► NAME OF BUSINESS ENTITY GENERAL DESCRIPTION OF THIS BUSINESS FAIR MARKET VALUE 0 82.000 - 510,000 ❑ 5100,001 - 51,000,000 0 510,001 - 5100.000 ❑ Over 51,000,000 NATURE OF INVESTMENT ❑ stock ❑ Other (Describe) El Partnership 0 Income Received of 50 - 5499 0 Income Received of 5500 or More (Report on Schedule C) IF APPLICABLE LIST DATE / 17 / / 17 ACQUIRED DISPOSED CALIFORNIA FORM 700 FAIR POLITICAL PRACTICES COMMISSION Name ► NAME OF BUSINESS ENTITY GENERAL DESCRIPTION OF THIS BUSINESS FAIR MARKET VALUE 0 82,000 - 510.000 ❑ 8100.001 - 81.coo ,000 0 510,001.5100,000 ❑ Over 51,000,000 NATURE OF INVESTMENT ❑ Stock ❑ Other (D••uibe) U Partnership Q Income Received of 50 - 5499 0 Income Received of $500 or More (Report on Schedule C) IF APPLICABLE. LIST DATE / 17 A- CQUIRED DISPOSED ► NAME OF BUSINESS ENTITY GENERAL DESCRIPTION OF THIS BUSINESS FAIR MARKET VALUE ❑ :2,000 - 510.000 ❑ 5100.001 - st,000,000 0 510,001 - 5100,000 ❑ Over 51,000,000 NATURE OF INVESTMENT O Stock ❑ Other (Dsecnbe) O Partnership ()Income Received of 50 - $499 0 Income Received of $500 or More (Report or Scneduke CI IF APPLICABLE. LIST DATE 17 AC- QUIRED /J 17 DISPOSE D ► NAME OF BUSINESS ENTITY GENERAL DESCRIPTION OF THIS BUSINESS FAIR MARKET VALUE ❑ 52,000 - 510,000 ❑ 5100,001 - 51.000.000 ❑ 810,001 - 5100.000 ❑ Over 51,000.000 NATURE OF INVESTMENT O Stock ❑ Other (Deerxrbs) ❑ Partnership 0 Income Received of $0 - 5499 0 Income Received of 5500 or More (Report on SchedJ, C) IF APPLICABLE LIST DATE j 17 17 ACQUIREE DISPOSED Comments. FPPC Form 700 (2017/2018) Sch- A-1 FPPC Advice Email: adviceLDfppc.ca.gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov Instructions - Schedule A-2 Investments, Income, and Assets of Business Entities/Trusts Use Schedule A-2 to report investments in a business entity (including a consulting business or other independent contracting business) or trust (including a living trust) in which you, your spouse or registered domestic partner, and your dependent children, together or separately, had a 10% or greater interest, totaling $2,000 or more, during the reporting period and which is located in, doing business in, planning to do business in, or which has done business during the previous two years in your agency's jurisdiction See Reference Pamphlet, page 13 A trust located outside your agency's jurisdiction is reportable if it holds assets that are located in or doing business in the jurisdiction. Do not report a trust that contains non -reportable interests. For example, a trust containing only your personal residence not used in whole or in part as a business, your savings account, and some municipal bonds, is not reportable Also report on Schedule A-2 investments and real property held by that entity or trust if your pro rata share of the investment or real property interest was $2,000 or more during the reporting period To Complete Schedule A-2: Part 1. Disclose the name and address of the business entity or trust. If you are reporting an interest in a business entity, check "Business Entity" and complete the box as follows • Provide a general description of the business activity of the entity. • Check the box indicating the highest fair market value of your investment during the reporting period. • If you initially acquired or entirely disposed of this interest during the reporting period, enter the date acquired or disposed • Identify the nature of your investment. • Disclose the job title or business position you held with the entity, if any (i.e., if you were a director, officer, partner, trustee, employee, or held any position of management) A business position held by your spouse is not reportable Part 2. Check the box indicating your pro rata share of the gross income received by the business entity or trust This amount includes your pro rata share of the gross income from the business entity or trust, as well as your community property interest in your spouse's or registered domestic partner's share. Gross income is the total amount of income before deducting expenses, losses, or taxes Part 3. Disclose the name of each source of income that is located in, doing business in, planning to do business in, or that has done business during the previous two years in your agency's jurisdiction, as follows Disclose each source of income and outstanding loan to the business entity or trust identified in Part 1 if your pro rata share of the gross income (including your community property interest in your spouse's or registered domestic partner's share) to the business entity or trust from that source was $10,000 or more during the reporting period. See Reference Pamphlet, page 11, for examples. Income from governmental sources may be reportable if not considered salary. See Regulation 18232. Loans from commercial lending institutions made in the lender's regular course of business on terms available to members of the public without regard to your official status are not reportable. Disclose each individual or entity that was a source of commission income of $10.000 or more during the reporting period through the business entity identified in Part 1. See Reference Pamphlet, page 8, for an explanation of commission income. You may be required to disclose sources of income located outside your junsdiction. For example, you may have a client who resides outside your jurisdiction who does business on a regular basis with you Such a client, if a reportable source of $10,000 or more, must be disclosed. Mark "None" if you do not have any reportable $10,000 sources of income to disclose Using phrases such as "various clients" or "not disclosing sources pursuant to attorney-client pnvilege" may tngger a request for an amendment to your statement. See Reference Pamphlet. page 14, for details about requesting an exemption from disclosing pnvileged information. Part 4. Report any investments or interests in real property held or leased by the entity or trust identified in Part 1 if your pro rata share of the interest held was $2,000 or more during the reporting period. Attach additional schedules or use FPPC's Form 700 Excel spreadsheet if needed. • Check the applicable box identifying the interest held as real property or an investment. • If investment, provide the name and description of the business entity. • If real property, report the precise location (e.g., an assessor's parcel number or address). • Check the box indicating the highest fair market value of your interest in the real property or investment during the reporting period. (Report the fair market value of the portion of your residence claimed as a tax deduction if you are utilizing your residence for business purposes.) • Identify the nature of your interest • Enter the date acquired or disposed only if you initially acquired or entirely disposed of your interest in the property or investment during the reporting period. FPPC Form 700 (2017/2018) FPPC Advice Email: advice@fppc.ca.gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov Instructions - 10 SCHEDULE A-2 Investments, Income, and Assets of Business Entities/Trusts (Ownership Interest is 10% or Greater) ► 1. BUSINESS ENTITY OR TRUST Name Address (Business Address Acceptable) Check one 0 Trust. go to 2 0 Business Entity, complete the box, then go to 2 GENERAL DESCRIPTION OF THIS BUSINESS FAR MARKET VALUE IF APPLICABLE, LIST DATE ❑ so - $1.999 ❑ 52,000 - 510.000 / / 17 )_/ 17 ❑ st000t - $too,000 ACQUIRED DISPOSED ❑ 5100.001 - $1,000000 ❑ Over 51,000.000 NATURE OF INVESTMENT ❑ Partnership ❑ Sole Proprietorship 0 Other YOUR BUSINESS POSITION ► 2. IDENTIFY THE GROSS INCOME RECEIVED (INCLUDE YOUR PRO RATA SHARE OF THE GROSS INCOME IQ THE ENTITY!TRUST) 0 s0 sass 0 ssoo - st.000 ❑ $1,001 - sto,000 ❑ s10.001 - $100000 OVER 5100.000 S. 3 LIST 'HE NAME OF EACH REPORTABLE SINGLE SOURCE OF INCOME OF 510 000 OR MORE 'Attach • swims. stew r mammon( ❑ None or ❑ Names listed beiow P. 4. INVESTMENTS AND INTERESTS IN REAL PROPERTY HELD OR LEASED t y THE BUSINESS ENTITY OR TRUST Check one box ❑ INVESTMENT ❑ REAL PROPERTY Name of Business Entity. if Investment. iN Assessor's Parcel Number or Street Address of Real Property Description of Business Activity or City or Other Precise Location of Real Property FAIR MARKET VALUE IF APPLICABLE. LIST DATE ❑ $2,000 - sto,000 ❑ sto.00, - sio0.000 17 J ) 17 ❑ $100,001 - st,000,000 ACQUIRED DISPOSED ❑ Over 51,000,000 NATURE OF INTEREST ❑ Property Ownership/Deed of Trust ❑ Stock ❑ Partnership O Leasehold ❑ Other Yrs rorrsainag ❑ Check box If additional schedules reporting investments or real property are attached CALIFORNIA FORM 700 FAIR POLITICAL PRACTICES COMMISSION Name ► 1. BUSINESS ENTITY OR TRUST Address (Business Address Acceptable) Check one 0 T ust, go to 2 ❑ Business Entity. complete the box. then go to 2 GENERAL DESCRIPTION OF THIS BUSINESS FAIR MARKET VALUE IF APPLICABLE, LIST DATE so - $1,999 $2,000 - $10,000 /. / 17 ) / 17 $10.001 - $100,000 ACQUIRED DISPOSED $100,001 -51,000.000 Over 51,000,000 NATURE Of INVESTMENT ❑ Partnership 0 Sole Propnetorship ❑ Other YOUR BUSINESS POSITION 2. IDENTIFY THE GROSS INCOME RECEIVED (INCLUDE YOUR PRO RATA SHARE OF THE GROSS INCOME IQ THE ENTITY/TRUST) ❑so -5499 ❑ ssoo - 51 000 ❑ $Loot - slo,000 0 $10001 - $100,000 ❑ OVER 5100.000 3 LIST THE NAME OF EACH REPORTABLE SINGLE SOURCE OF INCOME OF 510 090 OR MORE m ixn a saps'$. sneer a necessary. None or 1 Names listed below ► 4 INVESTMENTS AND INTERESTS IN REAL PROPERTY HELD OR LEASED 5 THE BUSINESS ENTITY OR TRUST Check one box ❑ INVESTMENT ❑ REAL PROPERTY Name of Business Entity, H Investment, or Assessor's Parcel Number or Street Address of Real Property Description of Business Activity g City or Other Precise Location of Real Property FAIR MARKET VALUE IF APPLICABLE, LIST DATE ❑ 52.000 - $10.000 ❑ sto,00t - stoo,000 / 1 17 / / 17 ❑ $100,001 - s1,000.0oo ACQUIRED DISPOSED ❑ Over 51.000,000 NATURE OF INTEREST ❑ Property Ownership/Oeed of Trust ❑ Stock ❑ Partnership ❑ Leasehold ❑ Other Yrs roenrrsrg ❑ Check box :f additional schedules reporting Investments or real property are attached Comments: FPPC Form 700 (2017/2018) Sch. A-2 FPPC Advice Email: advice@fppc.ca-gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov Instructions — Schedule B Interests in Real Property Report interests in real property located in your agency's jurisdiction in which you. your spouse or registered domestic partner, or your dependent children had a direct, indirect, or beneficial interest totaling $2,000 or more any time during the reporting period. Real property is also considered to be '1lvithin the jurisdiction" of a local govemment agency if the property or any part of it is located within two miles outside the boundaries of the jurisdiction or within two miles of any land owned or used by the local govemment agency See Reference Pamphlet, page 13. Interests in real property include: An ownership interest (including a beneficial ownership interest) A deed of trust, easement, or option to acquire property • A leasehold interest (See Reference Pamphlet, page 14.) • A mining lease • An interest in real property held in a retirement account (See Reference Pamphlet, page 15.) An interest in real property held by a business entity or trust in which you, your spouse or registered domestic partner, and your dependent children together had a 10% or greater ownership interest (Report on Schedule A-2.) Your spouse's or registered domestic partner's interests in real property that are legally held separately by him or her You are not required to report: • A residence, such as a home or vacation cabin, used exclusively as a personal residence (However, a residence in which you rent out a room or for which you claim a business deduction may be reportable. If reportable, report the fair market value of the portion claimed as a tax deduction . ) Please note: A non -reportable residence can still be grounds for a conflict of interest and may be disqualifying. Interests in real property held through a blind trust (See Reference Pamphlet. page 16, for exceptions.) To Complete Schedule B: • Report the precise location (e.g., an assessor's parcel number or address) of the real property • Check the box indicating the fair market value of your interest in the property (regardless of what you owe on the property) • Enter the date acquired or disposed only if you initially acquired or entirely disposed of your interest in the property during the reporting period • Identify the nature of your interest. If it is a leasehold. disclose the number of years remaining on the lease. Reminders • Income and loans already reported on Schedule B are not also required to be reported on Schedule C. • Real property already reported on Schedule A-2, Part 4 is not also required to be reported on Schedule 8 • Code filers - do your disclosure categories require disclosure of real property? • If you received rental income, check the box indicating the gross amount you received. • If you had a 10% or greater interest in real property and received rental income, list the name of the source(s) if your pro rata share of the gross Income from any single tenant was $10,000 or more during the reporting period. If you received a total of $10,000 or more from two or more tenants acting in concert (in most cases, this will apply to married couples), disclose the name of each tenant. Otherwise, mark "None." • Loans from a private lender that total $500 or more and are secured by real property may be reportable Loans from commercial lending institutions made in the lender's regular course of business on terms available to members of the public without regard to your official status are not reportable. Mien reporting a loan: Provide the name and address of the lender Describe the lender's business activity. Disclose the interest rate and term of the loan For variable interest rate loans. disclose the conditions of the loan (e.g., Pnme + 2) or the average interest rate paid during the reporting period The term of a loan is the total number of months or years given for repayment of the loan at the time the loan was established. Check the box indicating the highest balance of the loan during the reporting period - Identify a guarantor, if applicable. If you have more than one reportable loan on a single piece of real property, report the additional loan(s) on Schedule C Example: Joe Nelson is a city planning commissioner. Joe received rental income of $12,000 dunng the reporting penod from a single tenant who rented property Joe owned in the city's jurisdiction. If Joe had received the $12,000 from two or more tenants, the tenants' names would not be required as long as no single tenant paid $10,000 or more A married couple would be considered a single tenant. • CO agar••.O 11000 211. e..w aro e11a.M•.•b raw ••••1, •.,. •1111 ••r M•., . MAIM A PAM 1111M00 iliaYMNI MIMEO ••••�:•d•"Am 011.11.• c 01111•1111, MIMIIINV. /OM MOM M.. U •.• uSO- Non i••M M..•. ep r•. .•••r J O.. MUM w.w•.•.•WOW •w— ,o• 1111.• Nowt IN r..• a •M .r N • • .r. •r•4 Wray INalla 11,411118 Mimeo MINIM ffibior....metrai 2121 Oho Sky v.k.ry, ers.•w.o .•No.• ••,•,.... • use., Ia.w•. Owner .n•�..•• '1•• ••.M.'.•O e _ 15 V.•. ,1111.r roma cum. ea -M• •.•m - NL, Mom • Mae Mas own Mum Odealma •,•1111• Gomments FPPC Form 700 (2017/2018) FPPC Advice Email: advice@fppc.ca.gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov Instructions - 12 SCHEDULE B Interests in Real Property (Including Renta Income) ASSESSOR'S PARCEL NUMBER OR STREET ADDRESS CITY FAIR MARKET VALUE IF APPLICABLE, LIST DATE. • 52.000 - 810,000 • 510.001 - 5100.000 1. / 17 / / 17 III 5100.001 - 51.000.000 ACQUIRED DISPOSED • Over 51,000,000 NATURE OF INTEREST • Ownership/Deed of Trust • Easement L. j Leasehold E Yrn rerrnrrq Other IF RENTAL PROPERTY. GROSS INCOME RECEIVED • 80 - 5499 U 5500 - 51,000 • 51,001 - 810,000 • 810,001 - 5100,000 • OVER 5100.000 SOURCES OF RENTAL INCOME If you own a 10% or greater interest, list the name of each tenant that is a single source of income of 510,000 a more II None CALIFORNIA FORM 700 PAIR POLITICAL PRACTICES COMMISSION Name ► ASSESSOR'S PARCEL NUMBER OR STREET ADDRESS CITY FAIR MARKET VALUE IF APPLICABLE, LIST DATE ❑ 52,000 - 510,000 0 810,001 - 5100,000 / / 17 ❑ 5100,001 - 51,000,000 ACQUIRED DISPOSED Over 51,000,000 NATURE OF INTEREST Ownership/Deed of Trust ❑ Easement 0 Leasehold Yrs. Minoring ONO IF RENTAL PROPERTY GROSS INCOME RECEIVED ❑ 80 - 5499 0 5500 - 51,000 0 51.001 - 510,000 0 510,001 - 5100,000 0 OVER 8100,000 SOURCES OF RENTAL INCOME If you own a 10% or greater interest, list the name of each tenant that is a single source of income of 510,000 or more ❑ None * You are not required to report loans from commercial lending institutions made in the lender's regular course of business on terms available to members of the public without regard to your official status. Personal loans and loans received not in a lender's regular course of business must be disclosed as follows. NAME OF LENDER' ADDRESS (Business Address Acceptable) BUSINESS ACTIVITY, IF ANY, OF LENDER INTEREST RATE TERM (Months/Years) % ❑ None HIGHFST BALANCE DURING REPORTING PERIOD ❑ 5500 - 81.o00 ❑ 510.001 - 5100,000 ❑ Guarantor it applicable ❑ 51,001 - 510,000 ▪ OVER 5100,000 NAME OF LENDER' ADDRESS (Business Address Acceptable. BUSINESS ACTIVITY, IF ANY. OF LENDER INTEREST RATE TERM (Months/Years) % ❑ None HIGHEST BALANCE DURING REPORTING PERIOD EI moo - 51,00o ❑ 510,001 - 5100.000 ❑ Guarantor, it applicable ❑ 51,001 - 510,000 ❑ OVER 5100,000 Comments: FPPC Form 700 (2017/2018) Sch. B FPPC Advice Email: advice@fppc.ca.gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov Instructions - Schedule C Income, Loans, & Business Positions (Income Other Than Gifts and Travel Payments) Reporting Income: Report the source and amount of gross income of $500 or more you received during the reporting period Gross income is the total amount of income before deducting expenses, losses, or taxes and includes loans other than loans from a commercial lending institution. See Reference Pamphlet, page 11 You must also report the source of income to your spouse or registered domestic partner if your community property share was $500 or more during the reporting period. The source and income must be reported only if the source is located in, doing business in, planning to do business in, or has done business during the previous two years in your agency's jurisdiction. See Reference Pamphlet, page 13, for more information about doing business in the jurisdiction Reportable sources of income may be further limited by your disclosure category located in your agency's conflict of interest code. Reporting Business Positions: You must report your job title with each reportable business entity even if you received no income during the reporting period. Use the comments section to indicate that no income was received Commonly reportable income and loans include: Salary/wages, per diem, and reimbursement for expenses including travel payments provided by your employer • Community property interest (50%) in your spouse's or registered domestic partner's income - report the employer's name and all other required information • Income from investment Interests, such as partnerships reported on Schedule A-1 • Commission income not required to be reported on Schedule A-2 (See Reference Pamphlet, page 8.) • Gross income from any sale, including the sale of a house or car (Report your pro rata share of the total sale price.) • Rental income not required to be reported on Schedule B • Prizes or awards not disclosed as gifts Payments received on loans you made to others An honoranum received pnor to becoming a public official (See Reference Pamphlet, page 10. concerning your ability to receive future honoraria ) • Incentive compensation (See Reference Pamphlet, page 12) Reminders • Code filers - your disclosure categories may not require disclosure of all sources of income • If you or your spouse or registered domestic partner are self-employed, report the business entity on Schedule A-2. • Do not disclose on Schedule C income, loans, or business positions already reported on Schedules A-2 or B You are pQj required to report: • Salary, reimbursement for expenses or per diem, or social security, disability, or other similar benefit payments received by you or your spouse or registered domestic partner from a federal. state, or local government agency. • Stock dividends and income from the sale of stock unless the source can be identified • income from a PERS retirement account. See Reference Pamphlet, page 11, for more exceptions to income reporting. To Complete Schedule C: Part 1. Income Received/Business Position Disclosure • Disclose the name and address of each source of income or each business entity with which you held a business position. • Provide a general description of the business activity if the source is a business entity • Check the box indicating the amount of gross income received • Identify the consideration for which the income was received. • For income from commission sales, check the box indicating the gross income received and list the name of each source of commission income of $10,000 or more See Reference Pamphlet, page 8 Note: If you receive commission income on a regular basis or have an ownership interest of 10% or more, you must disclose the business entity and the income on Schedule A-2. Disclose the job title or business position, if any, that you held with the business entity, even if you did not receive income during the reporting period Part 2. Loans Received or Outstanding During the Reporting Period • Provide the name and address of the lender • Provide a general description of the business activity if the lender is a business entity. Check the box indicating the highest balance of the loan during the reporting period. • Disclose the interest rate and the term of the loan. - For vanable interest rate loans, disclose the conditions of the loan (e.g , Prime + 2) or the average interest rate paid during the reporting period. The term of the loan is the total number of months or years given for repayment of the loan at the time the loan was entered into. • Identify the security, if any, for the loan. FPPC Form 700 (2017/2018) FPPC Advice Email: advice@fppc.ca.gov FPPC Toil -Free Helpline: 866/275-3772 www.fppc.ca.gov Instructions - 14 SCHEDULE C Income, Loans, & Business Positions (Other than Gifts and Travel Payments) ► 1 INCOME RECEIVED NAME OF SOURCE OF INCOME ADDRESS (8uainess Address Acceptable) BUSINESS ACTIVITY, IF ANY, OF SOURCE YOUR BUSINESS POSITION GROSS INCOME RECEIVED D moo - st,000 ❑ sloop - stoo.000 ❑ No Income - Business Position Only 0 $1,001 - $10.000 0 OVER S100.000 CONSIDERATION FOR WHICH INCOME WAS RECEIVED ❑ Salary ❑ Spouse's or rvyustered domestic partner's (For sett -employed use Schedule A-2 ) 0 Partnership (Less than IC% ownership For 10% or greater use Schedule A-2 ) DSale of (Heal property. car 0051etc) ncome ci Loan repayment ❑ CUmMISSAun or 0 Rental Income, psi each source 510.000 or more (Describe) ❑ Other (Du bel ► 1 INCOME RECEIVED CALIFORNIA FORM 700 FAIR POLITICAL PRACTICES COMMISSION Narne NAME OF SOURCE OF INCOME ADDRESS (Business Address Acceptable) BUSINESS ACTIVITY, IF ANY, OF SOURCE YOUR BUSINESS POSITION GROSS INCOME RECEIVED 0 5500 - S1.000 0 $10,001 - S100 000 ❑ No Income - Business Position Only ❑ s1 001 - S1o,000 ❑ OVER $100,000 CONSIDERATION FOR WHICH INCOME WAS RECEIVED ❑ salary ❑ Spouse's or registered domestic pa ner's income (For sett -employed use Schedule A-2.) ❑ Partnership (Less than 10% ownership For 10% or greater use Schedule A-2.) [1 Sale of (Red properly car, boar, etc.) ❑ l oar repayment ❑ Cornrnssim nr Rental tnCOme, pet each source ot $10,000 or more (Describe) (Describe) ► 2 LOANS RECEIVED OR OUTSTANDING DURING THE REPORTING PERIOD * You are not required to report loans from commercial lending institutions, or any indebtedness created as part of a retail installment or credit card transaction, made in the lender's regular course of business on terms available to members of the public without regard to your official status. Personal loans and loans received not in a lender's regular course of business must be disclosed as follows: NAME OF LENDER' ADDRESS (business Address Acceptable) BUSINESS ACTIVITY. IF ANY OF LENDER HIGHEST BALANCE DURING REPORTING PERIOD ❑ S500 . S1,000 ❑ $1,001 - slo,0o0 0 sio oo1 - s1oo,000 ❑ OVER 5100,000 INTEREST RATE % D None SECURITY FOR LOAN None fl Personal residence Real Property TERM (Months/Years) ❑ Guarantor Street eousess Cut, ❑ Other (Descnner Comments: FPPC Form 700 (2017/2018) Sch. C FPPC Advice Email. advicetfppc.ca.gov FPPC TollFreeHelpline: 866/275-3772 www.fppc.ca.gov Instructions - Schedule D Income - Gifts A gift is anything of value for which you have not provided equal or greater consideration to the donor A gift is reportable if its fair market value is $50 or more In addition, multiple gifts totaling $50 or more received during the reporting penod from a single source must be reported It is the acceptance of a gift, not the ultimate use to which it is put, that imposes your reporting obligation_ Except as noted below, you must report a gift even if you never used it or if you gave it away to another person. If the exact amount of a gift is unknown, you must make a good faith estimate of the item's fair market value. Listing the value of a gift as "over $50" or "value unknown" is not adequate disclosure. In addition, if you received a gift through an intermediary, you must disclose the name, address, and business activity of both the donor and the intermediary. You may indicate an intermediary either in the "source' field after the name or in the "comments" section at the bottom of Schedule D. Commonly reportable gifts include: • Tickets/passes to sporting or entertainment events • Tickets/passes to amusement parks • Parking passes not used for official agency business • Food, beverages, and accommodations, including those provided in direct connection with your attendance at a convention, conference, meeting, social event, meal, or like gathering • Rebates/discounts not made in the regular course of business to members of the public without regard to official status • Wedding gifts (See Reference Pamphlet, page 16) An honorarium received prior to assuming office (You may report an honorarium as income on Schedule C, rather than as a gift on Schedule 0, if you provided services of equal or greater value than the payment received. See Reference Pamphlet, page 10, regarding your ability to receive future honoraria.) • Transportation and lodging (See Schedule E.) • Forgiveness of a loan received by you You are pat required to disclose: • Gifts that were not used and that, within 30 days after receipt, were retumed to the donor or delivered to a charitable organization or government agency without Reminders • Gifts from a single source are subject to a $470 limit during 2017 See Reference Pamphlet, page 10 • Code filers - you only need to report gifts from reportable sources Gift Tracking Mobile Application . FPPC has created a gift tracking app for mobile devices that helps filers track gifts and provides a quick and easy way to upload the information to the Form 700. Visit FPPC's website to download the app. being claimed by you as a charitable contribution for tax purposes • Gifts from your spouse or registered domestic partner, child, parent, grandparent, grandchild, brother, sister, and certain other famly members (See Regulation 18942 for a complete list.). The exception does not apply if the donor was acting as an agent or intermediary for a reportable source who was the true donor. • Gifts of similar value exchanged between you and an individual, other than a lobbyist registered to lobby your state agency, on holidays, birthdays, or similar occasions • Gifts of informational matenal provided to assist you in the performance of your official duties (e g., books. pamphlets, reports, calendars, periodicals, or educational seminars) • A monetary bequest or inheritance (However, inherited investments or real property may be reportable on other schedules.) • Personalized plaques or trophies with an individual value of Tess than $250 • Campaign contributions • Up to two tickets, for your own use, to attend a fundraiser for a campaign committee or candidate, or to a fundraiser for an organization exempt from taxation under Section 501(cx3) of the Internal Revenue Code. The ticket must be received from the organization or committee holding the fundraiser • Gifts given to members of your immediate family if the source has an established relationship with the family member and there is no evidence to suggest the donor had a purpose to influence you. (See Regulation 18943.) • Free admission, food, and nominal items (such as a pen, pencil, mouse pad, note pad or similar item) available to all attendees. at the event at which the official makes a speech (as defined in Regulation 18950(b)(2)), so long as the admission is provided by the person who organizes the event. • Any other payment not identified above, that would otherwise meet the definition of gift, where the payment is made by an individual who is not a lobbyist registered to lobby the official's state agency, where it is clear that the gift was made because of an existing personal or business relationship unrelated to the official's position and there is no evidence whatsoever at the time the gift is made to suggest the donor had a purpose to influence you. To Complete Schedule D: • Disclose the full name (not an acronym), address, and, if a business entity, the business activity of the source. • Provide the date (month. day, and year) of receipt, and disclose the fair market value and descnption of the gift FPPC Form 700 (2017/2018) FPPC Advice Email: advice@fppc.ca.gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov Instructions — 16 SCHEDULE D Income - Gifts ► NAME OF SOURCE (Not an Acronym) ADDRESS (Business Address Acceptable) BUSINESS ACTIVITY, IF ANY, OF SOURCE DATE (mmldd/yy) VALUE DESCRIPTION OF GIFT(S) -/_L- S —/_1— i _J—J— s _1_1 ► NAME OF SOURCE (Not en Acronym) ADDRESS (Business Address Acceptable) BUSINESS ACTIVITY, IF ANY, OF SOURCE DATE (mrrddd/yy) VALUE DESCRIPTION OF GIFT(S) -!_/_ $ _1_1_ $ —/_1— S I. NAME OF SOURCE (Not an Acronym) ADDRESS (Business Address Acceptable) BUSINESS ACTIVITY, IF ANY, OF SOURCE DATE (mm/ddtyy) VALUE DESCRIPTION OF GIFT(S) S -/-/- $ _1_— _____I— S Comments CALIFORNIA FORM 700 FAIR POLITICAL PRACTICES COMMISSION Name ► NAME OF SOURCE (Not an Acronym) ADDRESS (Business Address Acceptable) BUSINESS ACTIVITY, IF ANY, OF SOURCE DATE (mm/dd/yy) VALUE DESCRIPTION OF GIFT(S) $ —/___1— $ _J—J— s _1_1 ► NAME OF SOURCE (Not an Acronym) ADDRESS (Business Address Acceptable) BUSINESS ACTIVITY, IF ANY, OF SOURCE DATE (mm/dd/yy) VALUE DESCRIPTION OF GIFT(S) $ —1-1— $ —_J—_— _J_____J— S ► NAME OF SOURCE (Not an Anonym) ADDRESS (Business Address Acceptable) BUSINESS ACTIVITY, IF ANY, OF SOURCE DATE (mm/dd/yy) VALUE DESCRIPTION OF GIFT(S) s _1-1_ S _1—/— _J—J $ FPPC Form 700 (2017/2018) Sch. D FPPC Advice Email: advicePfppc.ca.gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov Instructions — Schedule E Travel Payments, Advances, and Reimbursements Travel payments reportable on Schedule E include advances and reimbursements for travel and related expenses, including lodging and meals Gifts of travel may be subject to the gift limit. In addition, certain travel payments are reportable gifts, but are not subject to the gift limit To avoid possible misinterpretation or the perception that you have received a gift in excess of the gift limit, you may wish to provide a specific description of the purpose of your travel. See the FPPC fact sheet entitled "Limitations and Restrictions on Gifts. Honoraria, Travel, and Loans' at www.fppc.ca.gov. You are net required to disclose: • Travel payments received from any state, local, or federal government agency for which you provided services equal or greater in value than the payments received, such as reimbursement for travel on agency business from your govemment agency employer. • A payment for travel from another local, state, or federal govemment agency and related per diem expenses when the travel is for education, training or other inter -agency programs or purposes • Travel payments received from your employer in the normal course of your employment that are included in the income reported on Schedule C • A travel payment that was received from a non-profit entity exempt from taxation under Internal Revenue Code Section 501(c)(3) for which you provided equal or greater consideration, such as reimbursement for travel on business for a 501(cX3) organization for which you are a board member. Note: Certain travel payments may not be reportable if reported on Form 801 by your agency. To Complete Schedule E: • Disclose the full name (not an acronym) and address of the source of the travel payment. • Identify the business activity if the source is a business entity. • Check the box to identify the payment as a gift or income, report the amount, and disclose the date(s). - Travel payments are gifts if you did not provide services that were equal to or greater in value than the payments received. You must disclose gifts totaling $50 or more from a single source during the period covered by the statement. When reporting travel payments that are gifts, you must provide a description of the gift, the date(s) received, and the travel destination. Travel payments are income if you provided services that were equal to or greater in value than the payments received. You must disclose income totaling $500 or more from a single source during the period covered by the statement. You have the burden of proving the payments are income rather than gifts. When reporting travel payments as income, you must describe the services you provided in exchange for the payment. You are not required to disclose the date(s) for travel payments that are income. Example: City council member Rick Chandler is the chairman of a 501 (cX6) trade association and the association pays for Rick's travel to attend its meetings. Because Rick is deemed to be providing equal or greater consideration for the travel payment by virtue of serving on the board, this payment may be reported as income. Payments for Rick to attend other events for which he is not providing services are likely considered gifts. .SMEaSOURCE dtlaAvow/ Hss/i Soria* Trude Arodion ADORNS "Om AA•FYW 1230 K SYsst, Sults GIO art Mn ** SIMMIIIIID, CA 1M — in OMEemow MOM ACTWV. F MM CC soma Auoad, d HsMfssys Wotan a _1_1_ - i wr8150.00 mg" • wn CM.IX of = G! an * umnr Mp 9puuworrapwF PtlM . j A 1 r Hv.d. Dum„m, TrnN romburseneni$ for tir,. FPPC Form 700(2017/2018) FPPC Advice Email: advice@fppc.ca.gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov Instructions - 18 SCHEDULE E Income — Gifts Travel Payments, Advances, and Reimbursements CALIFORNIA FORM 700 FAIR POLITICAL PRACTICES COMMISSION Name • Mark either the gift or income box. • Mark the "501(c)(3)" box for a travel payment received from a nonprofit 501(c)(3) organization or the "Speech" box if you made a speech or participated in a panel. These payments are not subject to the gift limit, but may result in a disqualifying conflict of interest. • For gifts of travel, provide the travel destination. ► NAME OF SOURCE (Not en Acronym) ADDRESS (Business Address Acceptable) CITY AND STATE 0 501 (c(3) or DESCRIBE BUSINESS ACTIVITY. IF ANY. OF SOURCE DATE(S) _/_I - AMT $ —/_ (n g'ft) ► MUST CHECK ONE- • Gift or- • Income O Made a Speech/Participated in a Panel Q Other - Provide Description O Made a Speech/Participated in a Panel O Other - Provide Description i. If Gilt, Provide Travel Destination ► 11 Got, Provide Travel Destination ► NAME OF SOURCE (Nor an Acronym) ADDRESS (Business Address Acceptable) CITY AND STATE • 501 (c)(3) or DESCRIBE BUSINESS ACTIVITY, IF ANY, OF SOURCE • 501 (c)(3) or DESCRIBE BUSINESS ACTIVITY, IF ANY, OF SOURCE DATE(S)- ____/_/____ - —/_ AMT $ (If gift) . MUST CHECK ONE • Gift -or- • In ome O Made a Speech/Participated in a Panel Q Other - Provide Descnption O Made a Speech/Participated in a Panel O Other - Provide Description • If Gift, Provide Travel Destination ► If Gift Provide Travel Destination ► NAME OF SOURCE (Not an Acronym) ADDRESS (Business Address Acceptable) CITY AND STATE • 501 (cX3) or DESCRIBE BUSINESS ACTIVITY, IF ANY. OF SOURCE DATES) _/_I_ - _____i_i_ AMT $ (if gift) ► MUST CHECK ONE • Gift - 0 Income O Made a Speech/Participated in a Panel O Other - Provide Description ► 11 Got, Provide Travel Destination ► NAME OF SOURCE (Not an Acronym) ADDRESS (Business Address Acceptable) CITY AND STATE • 501 (c)(3) or DESCRIBE BUSINESS ACTIVITY, IF ANY, OF SOURCE DATE(S) - AMT $ _t______/ _J_/ Of gift) P. MUST CHECK ONE II Gift or- ❑ Income O Made a Speech/Participated in a Panel O Other - Provide Description ► If Gift Provide Travel Destination Comments: FPPC Form 700 (2017/2018)Sch.E FPPC Advice Email: advice@fppc.ca.gov FPPC Toll -Free Helpline: 866/275-3772 www.fppc.ca.gov SECTION 7 co Conflicts of Interest p HANDBOOK lINISummaryof the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations Updated including changes effective January 1, 2018 IIRWG RICHARDS WATSON GERSHON Table of Contents Page No. I. LAWS AND REGULATIONS AFFECTING DECISION-MAKING 1 A. The Political Reform Act 1 1. Disclosure Requirements under the Political Reform Act 2 2. Conflicts of Interest under the Political Reform Act 4 3. The FPPC's Test for Analyzing Conflicts of Interest 5 4. Abstention 22 5. Penalties for Violation 23 6. Seeking Advice on Conflict of Interest Questions 23 B. Government Code Section 1090 24 1. Three Principal Components of Section 1090 25 2. Exceptions to Section 1090 29 3. A Contract Made in Violation of Section 1090 is Void and Officials Violating Section 1090 Are Subject to Severe Penalties 31 4. Aiding and Abetting Section 1090 Violations 31 5. Seeking FPPC Advice on Section 1090 31 6. Statute of Limitations for Section 1090 Violations 32 C. Common Law Doctrine against Conflicts of Interest 32 II. OTHER SPECIALIZED CONFLICTS OF INTEREST LAWS AND REGULATIONS 34 A. Doctrine against Holding Incompatible Offices 34 1. The Common Law Doctrine against Holding Incompatible Offices 34 2. The Statutory Codification of the Common Law Doctrine of Incompatible Offices - Government Code Section 1099 36 B. Incompatible Outside Activities 37 C. Successor Agency and Oversight Board Conflicts 37 1. Form 700s for Successor Agency and Oversight Board Members 37 Summary of Principal Conficts of Interest Lows and Regulations ® 2018 Richards, Watson & Gershon 2178714 Page Toble of Contents 2. Obligation of Successor Agencies to Adopt Conflict of Interest Codes 38 3. City Councils are the Code Reviewing Bodies for the Successor Agency's Conflict of Interest Code 39 4. The City Council May Designate the City Clerk as the Filing Officer for the Successor Agency's Statements of Economic Interests 39 D. Discount Passes on Common Carriers 40 E. Conflicts upon Leaving Office - the "Revolving Door" 41 F. Laws Prohibiting Bribery 42 G. Campaign Contributions 43 1. Conflicts of Interests Arising on Appointed Boards and Commissions 43 2. Application of Federal Corruption Laws to the Offer or Solicitation of Illegal Campaign Contributions Tied to an Official Act 44 3. Ban on Local Agency Officials and Employees Soliciting Campaign Contributions from Officials and Employees of the Same Agency 45 4. Nepotism 45 III. LAWS AND REGULATIONS AFFECTING RECEIPT OF GIFTS, HONORARIA AND LOANS 47 A. Limitations on Receipt of Giffs 47 1. General Gift Limitation 47 2. Biennial Gift Limit Adjustment 47 3. Exceptions to Gifts 48 4. Gifts to an Agency 52 5. Gifts to an Official's Family 53 6. Invitation -Only Events 54 7. Tickets to Political and Charitable Fundraisers 55 8. Tickets and Passes to Events 56 9. Gifts from a Government Agency to an Official in That Agency 58 10. Wedding Gifts 58 11. Certain Gifts of Travel ... 58 B. Prohibitions on Receipt of Honoraria 63 Summary of Principal Conficts of Interest Laws and Regulations V 2018 Richards, Watson 8 Gershon 2178714 Page ii Table of Contents 1. Exceptions to the Prohibition on Honoraria 63 C. Prohibitions on Receipt of Certain Types of Loans 64 1. Prohibition on Loans Exceeding $250 from Other City Officials, Employees, Consultants and Contractors 64 2. Requirement for Loans of $500 or More from Other Persons and Entities to Be in Writing 65 3. Exceptions to Loan Limits and Documentation Requirements 65 4. Loans that Become Gifts are Subject to the Gift Prohibition 65 5. Exceptions - Loans that Do Not Become Gifts 66 IV. PROHIBITION AGAINST MASS MAILINGS 67 A. Test for Prohibited Mass Mailing 67 1. Delivery of Tangible Item 67 2. Features or Includes Reference to an Elected Official 68 3. Public Expense 68 4. More than 200 Copies of the Item 69 B. Exceptions to the Mass Mailing Prohibition 69 V. EXPENDITURES TO SUPPORT OR DEFEAT A BALLOT MEASURE 70 VI. PROHIBITION ON GIFTS OF PUBLIC FUNDS 74 VII. CONCLUSION 75 Summary of Principal Conficts of Interest Laws and Regulations ® 2018 Richards. Watson & Gershon 2178714 Page m INTRODUCTION This Handbook is prepared to provide you with a summary of the major provisions of California's principal conflicts of interest laws and regulations. The text of the laws and regulations referenced in this Handbook can be found on the websites for the California Legislature (http://leginfo.legislature.ca.gov/faces/codes.xhtml) and the Fair Political Practices Commission ("FPPC") (http://www.fppc.ca.gov/the-law.html). This Handbook is designed to familiarize city officials and staff with California's principal conflicts of interest laws and regulations. Because the laws and regulations change frequently, we recommend that you use this Handbook to become familiar with the basic principles of the conflict laws and regulations, but we also recommend that you contact your City Attorney as soon as you 'hink that you may have a potential conflict of interest. We would be glad to help you analyze a potential conflict of interest and/or contact the FPPC for guidance. We hope you find this Handbook useful. Should you have any questions about the information included in this Handbook, please do not hesitate to contact us. Richards, Watson & Gershon Summary of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards, Watson & Gershon 2178714 Page iv Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations IIRWG Surnnury of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards, Watson 8. Gershon 2178714 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations I. LAWS AND REGULATIONS AFFECTING DECISION-MAKING A. The Political Reform Act In 1974, California voters approved Proposition 9, a statewide initiative titled "the Political Reform Act" (the "Act" or the "PRA''). Gov't Code § 81000 et seq.' At the time, the measure was the most detailed disclosure law in the nation, and it included new requirements for reporting campaign and lobbying activities. Although the Act was initially written before the Watergate scandal broke, by the time Proposition 9 appeared on the ballot the drama had unfolded, and nationwide reform proposals were being drafted. The Act passed by an overwhelming majority, and one of its provisions created a new state agency called the Fair Political Practices Commission ("FPPC"). The FPPC was charged with interpreting and enforcing the Act, and pursuant to this authority, the agency drafted a series of regulations. Since the Act went into effect in 1975, the FPPC has issued new regulations and amendments to existing regulations almost every year. The Act covers numerous topics germane to ethical behavior in public office—financial data reporting obligations, lobbying restrictions, required campaign disclosures, limitations on campaign financing, proscriptions on mass mailings, restrictions on gifts and honoraria, and most significantly, prohibitions on conflicts of interest in the making of governmental decisions. The Act also contains reporting procedures for financial interests and campaign contributions, as well as disqualification requirements when certain financial interests or campaign contribution standards are satisfied. Please note that this Handbook is general in nature and may not cover all aspects of an actual conflicts of interest issue. Thus, it is not intended to constitute advice on specific conflicts of interest questions. In the event you have concerns about a possible conflict of interest, you should contact your city attorney or agency counsel for further advice. ' All statutory references are to the California Government Code unless otherwise indicated. Regulations of the FPPC are referred to as "Regulation." Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson 8. Gershon 2178714 Page 1 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 1. Disclosure Requirements under the Political Reform Act a. Statements of Economic Interests The Act requires public officials to disclose assets and income that may be materially affected by their official actions by filing a "Statement of Economic Interests" (also known as a "Form 700"). § 87202; Regulation 18115. The requirement applies to council members, judges, elected state officers, members of planning commissions, members of boards of supervisors, district attorneys, county counsels, city managers, city attorneys, city treasurers and other public officials who manage public investments, and to candidates for any of these offices at any election. § 87200. Officials must file the Form 700 within 30 days after assuming office, and candidates must file no later than the final filing date cf a declaration of candidacy. §§ 87201-02. An official must file annually thereafter until he or she leaves office, at which point he or she must file a final statement. §§ 87202-03. The required disclosures on the Form 700 include: • Investments in business entities (e.g., stock holdings, owning a business, a partnership) that are located or do business in the jurisdiction; Interests in real estate (real property) in the jurisdiction, but not including the official's home address; • Sources of personal income,2 including gifts, loans and travel payments:3 and • Positions of management or employment with business entities that do business in the jurisdiction. § 87203. If the official no longer holds certain investments and real property interests at the time of filing, but held them during the 12 months prior to filing, he or she must still disclose those interests on the Form 700. Id. The Form 700 is a public document open to inspection and duplication. For public officials not covered by the requirements of Section 87203, including employees of state and local government agencies, it is up to the agencies that employ them to decide what their disclosure requirements are. Each state and local agency must adopt a conflicts of interest code tailoring the disclosure requirements for each position within the agency to the types of governmental decisions a person holding that position would make. For example, an employee who approves contracts for goods or services purchased by his or her agency would not be required to disclose - In some instances, an official may need to discbse the sources of income to a business entity in which the official has an ownership interest if the official owns at least 10 percent of a business. In that case, the official would be required to disclose a source of income to the business os a source of income to the official if the official's pro rata share of gross receipts from that source exceeds $10,000 in aggregate during the reporting period. § 87207(b). In those cases, the official must report the name, address, and a general description of the business activity of the business entity, as well as the name of the source of income that aggregates to $10.000 or more. As of January 1, 2016, if an official receives a gift that is a hovel payment, advance, or reirnbursement valued at $50 or more the official must also disclose the travel destination. § 87207(c) (4). Surnmory of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards, Watson 8. Gershon 2178714 Page 2 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations real estate interests, but would be required to disclose investments in and income from individuals and entities that supply equipment, materials, or services to the agency. §§ 87301-02. A city that maintains an internet website must post a list of the elected officers who file a Form 700 with that city. A statement must also be posted on the website indicating that these Form 700s may be obtained by visiting the FPPC office or the city clerk's office. The statement must include the physical address for both the FPPC and the city clerk's office. Finally, a link to the FPPC website must be posted with a statement that indicates that Form 700 "for some state and local government agency elected officers may be available in electronic format" on the FPPC's internet website. § 87505. In 2013, the Legislature enacted Assembly Bill 409, which allows the FPPC and local agencies to develop an online system for filing Form 700s. Only a limited number of public agencies have received FPPC approval to establish an electronic filing system at this point. If a local agency elects to establish such a system, filers must submit their Form 700 electronically. § 87500.2. b. Behested Contributions There are also disclosure requirements for certain fundraising activities that elected officials perform for others. Elected officials who successfully solicit one or more contributions for "legislative, governmental, or charitable purposes" that equal or exceed $5,000 in the aggregate from the same source during a single calendar year must file a report with the official's agency (typically the city clerk) within 30 days of reaching the $5,000 threshold. § 84224(a). The report must contain the following information: • The contributor's name and address; • The amount of the contribution; • The date or dates on which the payments were made; • The name and address of the contribution recipient; • If goods or services were cortributed, a description of those goods and services; and • A description of the purpose or event for which the contribution was used. The statute does not define the term "legislative, governmental, or charitable purposes," but charitable purposes typically involve 501 (c)(3) organizations. Examples of "governmental" purposes include fundraising for a new city hall roof, an inaugural celebration committee,4 litigation expenses,5 a breakfast honoring public safety Sutton Advice Letter. No. A-05-256. 2005 WL 3693740 (2005) ' Stoen Advice Letter. No. A-03-185, 2004 WL 334564 (2004) Idistrict attorney's expenses in suing a private company when governing body withdrew funding for effort). Summary of Principal Conflicts of Interest Laws and Regulations lin 2018 Richards. Watson & Gershon 2178714 Page 3 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations personnel,' and youth conferences. The term "legislative purpose," in turn, refers to a 1996 FPPC opinion in which a state senator asked a private party to pay for a witness' airfare and expenses to testify at a legislative hearing.8 These reporting requirements also apply if the payment is "made at the behest of" the elected officer, even if the officer did not actively solicit contributions. The reporting requirement therefore applies when a fundraising solicitation "features" the elected officer, meaning the "item mailed includes the elected officer's photograph or signature, or singles out the elected officer by the manner of display of his or her name or office in the layout of the document, such as by headlines, captions, type size, typeface, or type color." Regulation 18215.3. This disclosure requirement does not apply to a behested payment made by a local, state, or federal governmental agency for a principally legislative or governmental purpose. § 84224(b)(4). 2. Conflicts of Interest under the Political Reform Act In addition to the disclosure requirements, the Act requires public officials to disqualify themselves from making, participating in making, or in any way attempting to use their official position to influence a governmental decision in which they know or have reason to know they have a financial interest. § 87100; Regulation 18700. An official has a disqualifying financial interest in a decision if the decision will have a reasonably foreseeable material financial effect, distinguishable from its effect on the public generally, directly on the official or a member of the official's immediate family, or on certain listed financial interests. The listed financial interests are: • Any business entity in which the public official has a direct or indirect investment worth $2,000 or mcre. • Any real property in which the public official has a direct or indirect interest worth $2,000 or more. • Any source of income, including commission income or incentive income, aggregating to at least $500 within 12 months prior to the time when the decision is made. The $500 must be provided or promised to, or received by, the official during the 12 months before the decision. • Any business entity (excluding nonprofit corporations) in which the public official is a director, officer, partner, trustee, employee, or holds any position of management. • Any donor of, or any intermediary or agent for a donor of, a gift or gifts aggregating $470 or more in value provided toreceived by, or promised • Gallegos Advice Letter. No. A-00-059 2000 WL 311 529 (2003) • Gallegos Advice Letter. No. A-98-192 1998 WL 67129 6 (1999). • Schmidt Advice Letter, No. A-96-098, 1996 WL 779579 (1996). Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards. Watson & Gershon 2178714 Page 4 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations to the public official within 12 months prior to the time when the decision is made. § 87103; Regulations 18700 and 18940.2. The FPPC regulations interpret and provide guidance for most of the terms used in the Act. The FPPC also provides standards for determining if each element of the Act's prohibitions has been satisfied. 3. The FPPC's Test for Analyzing Conflicts of Interest In the past few years, the FPPC has reorganized the conflict of interest regulations and revised the conflict of interest regulations in a comprehensive manner. Under the old regulations, a public official was advised to follow an eight -part test to analyze a potential conflict of interest. The newly revised regulations establish a new four-part test, as stated in Regulation 18700(d). The new FPPC four-part test assumes that an official already has determined whether he or she is a public official within the meaning of the Act. The new test also assumes that the official has identified the financial interests that may be affected by a particular governmental decision. Since these two steps are necessary for a complete analysis, we recommend that public officials follow the six steps described below, which incorporate these two initial steps as well as the FPPC's new four-part test. STEP ONE: IS A PUBLIC OFFICIAL INVOLVED? Determine whether the individual is a public official within the meaning of the Act. The Act applies only to "public officials." Regulation 18700(b). A "public official" is defined to include a "member, officer, employee, or consultant" of a state or local government agency. § 82048; Regulation 18700(c). The regulations define "member" and "consultant" as follows: • A "member" does not include an individual who performs duties as part of a committee, board, commission, group, or other body that does not have decision-making authority. A board or commission possesses decision-making authority if: (i) it may make a final governmental decision, (ii) it may compel or prevent a governmental decision by reason of an exclusive power to initiate the decision or by reason of a veto that may not be overridden, or (iii) it makes substantive recommendations, which, over an extended period of time, have been regularly approved without significant amendment or modification by another official or agency. Regulation 18700(c)(2). Summary of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards, Watson & Gershon 2178714 Page 5 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations • A "consultant"9 includes an individual who, pursuant to a contract with a state or local government agency, makes specific kinds of governmental decisions or serves in a staff capacity with the agency and either participates in governmental decisions or performs the same or substantially all of the same duties that would otherwise be performed by a person in a position listed in the agency's conflict of interest code. Regulation 18700.3. STEP TWO: WHAT ARE THE PUBLIC OFFICIAL'S FINANCIAL INTERESTS? Identify the public official's financial interests. A public official's financial interests include certain business entities, real property, sources of income, and donors of gifts (as well as intermediaries and agents of such donors). Regulation 18700(c)(6). More specifically, a public official has a financial interest in any of the following: • A business entity in which the official has a direct or indirect investment worth at least $2,000. (Note: In certain situations, this can include a parent, subsidiary, or otherwise related business entity.) • Any real property in which •he public official has a direct or indirect interest worth at least $2,000. Real property interests include all leases except month-to-month leases and leases with terms shorter than a month. Regulation 18233. • Any "source of income" of at least $500 that is provided or promised to the public official, or received by the public official within 12 months prior to a governmental decision, not including gifts and loans by banks available to the general public. Income is "promised to" the official if he or she has a "legally enforceable right to the promised income." Regulation 18700(c) (6) (C). The term "source of income" may include individuals, organizations, and businesses. If the "source of income" is a business that provides or promises the official at least $500 within 12 months prior to a governmental decision, the official also has a source -of - income interest in: (1) any individual owning at least a 50 percent interest in that business, and (2) any individual who has the power to direct or cause the direction of management and policies of the business. Regulation 18700.1(a)(2). • For more on who constitutes a "consultant' subject to the Act, see. e.g., Ennis Advice Letter, FPPC No. A-15-006 (2015). Summary of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards, Watson & Gershon 2178714 Page 6 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations • Any business entity in which the public official is a director, officer, partner, trustee, or employee, or holds any position of management. (Note: Again, this may include a parent, subsidiary, or otherwise related businesses entity.) • Any donor of gifts, or any intermediary or agent for a donor of gifts. amounting to at least $470 where that amount is provided to, received by, or promised to the official in the 12 months prior to a governmental decision. Regulation 18700(c)(6)(E). • The personal finances of the public official and immediate family. This is a sort of "catch-all" provision that is meant to address economic interests of a public official and his or her immediate family that do not qualify as investments, property, or business entities, but are nonetheless potentially affected by government decisions. §§ 82047, 87103; Regulations 18700, 18940.2. The terms "indirect investment" and "indirect interest" are used to indicate investments and interests owned by the spouse or dependent child of the public official, an agent of the public official, or a business entity in which the official, or his or her agent's spouse, or dependent children, has at least a ten percent ownership interest. Regulation 18700(c) (6) (F) . STEP THREE: IS IT REASONABLY FORESEEABLE THAT THE GOVERNMENTAL DECISION WILL HAVE A FINANCIAL EFFECT ON ANY OF THE OFFICIAL'S FINANCIAL INTERESTS? Determine whether the governmental decision will have a reasonably foreseeable financial effect on any of the public official's financial interests. Regulation 18701 draws a distinction between a financial interest that is "explicitly involved" in a decision, on the one hand, and a financial interest that is not "explicitly involved" in a decision, on the other hand. Financial interests are considered to be explicitly involved in a decision if the interest is a "named party in, or the subject of, a governmental decision before the official or the official's agency." Regulation 18701 (a). A financial interest is the "subject" of a proceeding "if the decision involves the issuance, renewal, approval, denial or revocation of any license, permit, or other entitlement to, or contract with the financial Summary of Principal Conflicts of Interest Laws and Regulations CO 2018 Richards. Watson K Gershon 2178714 Page 7 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations interest, and includes any governmental decision affecting a real property financial interest as described in Regulation 18702.2(a) (1) - (6)." Regulation 18701(a). In those cases, the financial effect is presumed to be reasonably foreseeable. Even if a financial interest is not explicitly involved in a decision, the effect may still be considered reasonably foreseeable. Regulation 18701 states that a financial effect need not be "likely" to be considered "reasonably foreseeable" for purposes of the FPPC's regulations. If the financial effect can be "recognized as a realistic possibility" and if the effect is "more than hypothetical or theoretical," it will be considered reasonably foreseeable. Regulation 18701(b). The financial effect will not be considered reasonably foreseeable if the "the financial result cannot be expected absent extraordinary circumstances" that are not subject to the official's control. The FPPC also provides the following list of non-exclusive factors that should be considered when determining whether a governmental decision will have a reasonably foreseeable effect on a financial interest that is not explicitly involved in the decision: • The extent to which the occurrence of the financial effect is contingent upon intervening events, not including future governmental decisions by the official's agency, or any other agency appointed by or subject to the budgetary control of the official's agency. • Whether the public official should anticipate a financial effect on his or her financial interest as a potential outcome under normal circumstances when using appropriate due diligence and care. • Whether the public official has a financial interest that is of the type that would typically be affected by the terms of the governmental decision or whether the governmental decision is of the type that would be expected to have a financial effect on businesses and individuals similarly situated to those businesses and individuals in which the public official has a financial interest. • Whether a reasonable inference can be made that the financial effects of the governmental decision on the public official's financial interest might compromise a public official's ability to act in a manner consistent with his or her duty to act in the best interests of the public. • whether the governmental decision will provide or deny an opportunity, or create an advantage or disadvantage for one of the official's financial interests, including whether the financial interest may be entitled to compete or be eligible for a benefit resulting from the decision. • Whether the public official has the type of financial interest that would cause a similarly situated person to weigh the advantages and disadvantages of the governmental decision on his or her financial interest in formulating a position. Summary of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards, Watson 8 Gershon 2178714 Page 8 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations Possession of a real estate, brokerage license, or other professional license does not automatically constitute a reasonably foreseeable effect on the official's financial interest. Regulation 18701.1. The official's likely business activity must be considered to determine whether the governmental decision will have a reasonably foreseeable effect on one of the official's financial interests. If it is not reasonably foreseeable that the governmental decision will have a financial effect on any of the official's financial interests, there is no conflict under the Act. If it is determined that it is reasonably foreseeable that the governmental decision will have a financial effect, however, the official must determine whether the effect is material. STEP FOUR: WILL THE REASONABLY FORESEEABLE EFFECT BE MATERIAL? Determine whether the reasonably foreseeable financial effect will be material. If the effect is "nominal, inconsequential, or insignificant," the financial effect will not be considered material. Regulation 18702(b). Otherwise, however, the provisions in Regulations 18702.1 through 18702.5 determine - for each type of financial interest - whether the effect is material. Regulation 18702(a). a. Business Entities Regulation 18702.1 provides that the reasonably foreseeable effect of a decision on a business entity in which the official has an investment interest or holds an employment or management position is material whenever the business entity: • Initiates the proceeding in which the governmental decision will be made by filing an application, claim, appeal, or request for other government action concerning the business entity; • Offers to make a sale of a service or a product to the official's agency; • Bids on or enters into a written contract with the official's agency; • Is the named manufacturer in a purchase order of any product purchased by the official's agency or the sales provider of any products to the official's agency that aggregates to $1,000 or more in any 12 - month period; • Applies for a permit, license grant, tax credit, exception, variance, or other entitlement that the official's agency is authorized to issue; Summary of Principal Conflicts of interest Laws and Regulations ® 2018 Richards, Watson & Gershon 2178714 'age 9 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations • Is the subject of any inspection, action, or proceeding subject to the regulatory authority of the official's agency; or • Is otherwise subject to an action taken by the official's agency, the effect of which is directed solely at the business entity in which the official has an interest. For government decisions that are not specifically identified in the list above, the financial effect is material if it falls under the catch-all provision. In those instances, the effect is material if "a prudent person with sufficient information would find it is reasonably foreseeable that the decision's financial effect would contribute to a change in the price of the business entity's publicly traded stock, or the value of a privately -held business entity." Regulation 18702.1(b). Regulation 18702.1(b) includes a list of examples of these types of decisions, including when an agency makes a decision to: • Authorize, prohibit, regulate or otherwise establish conditions for an activity in which the business entity is engaged; • Increase or decrease the amount of competition in the field in which the business entity is engaged; • Increase or decrease the need for the products or services that the business entity supplies; • Make improvements in the surrounding neighborhood such as redevelopment projects, traffic/road improvements, or parking changes that may affect, either temporarily or permanently, the amount of business the business entity receives; • Decide the location of a major development, entertainment facility, or other project that would increase or decrease the amount of business the entity draws from the location of the project; or • Increase or decrease the tax burden, debt, or financial or legal liability of the business entity. These materiality standards replace the previous materiality standards that determined materiality based on the size and type of the business entity. b. Real Property - Modified "500 -Foot Rule" and Other Criteria The new regulatory scheme largely replaces the traditional "500 -foot" rule with an extensive list of criteria that must be analyzed to determine whether a decision will have a material financial effect on an official's real property interest. Regulation 18702.2. There are now twelve materiality standards that must be evaluated when an official has an ownership interest in real property, and five materiality standards that must be evaluated when an official has a leasehold interest in real property. Summary of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards, Watson & Gershon 2178714 Page 10 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations Regulation 18702.2 now provides that the reasonably foreseeable financial effect of a governmental decision on an official's real property economic interest, other than a leasehold interest, is material whenever the governmental decision: • Involves the adoption of or amendment to a general or specific plan, and the parcel is located within the proposed boundaries of the plan; • Determines the parcel's zonirg or rezoning (other than a zoning decision applicable to all properties designated in that category), annexation or de -annexation, or inclusion in or exclusion from any city, county, district, or other local government subdivision, or other boundaries, other than elective district boundaries as determined by the California Citizen's Redistricting Commission or any other agency where the governmental decision is to determine boundaries for elective purposes; • Would impose, repeal, or modify any taxes, fees, or assessments that apply to the parcel; • Authorizes the sale, purchase, or lease of the parcel; • Involves the issuance, denial or revocation of a license, permit or other land use entitlement authorizing a specific use of or improvement to the parcel or any variance that changes the permitted use of, or restrictions placed on, that real property; • Involves construction of, or improvements to, streets, water, sewer, storm drainage or similar facilities, and the parcel in which the official has an interest will receive new or improved services that are distinguishable from improvements and services that are provided to or received by other similarly situated properties in the official's jurisdiction or where the official will otherwise receive a disproportionate benefit or detriment by the decision; • Would change the development potential of the parcel of real property: • Would change the income producing potential of the parcel of real property; • Would change the highest and best use of the parcel of real property in which the official has a financial interest; • Would change the character of the parcel of real property by substantially altering traffic levels or intensity of use, including parking, of property surrounding the official's real property parcel, the view, privacy, noise levels, or air quality, including odors, or any other factors that would affect the market value of the real property parcel in which the official has a financial interest; Summary of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards, Watson & Gershon 2178714 Page 1 1 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulotions • Would consider any decision affecting real property value located within 500 feet of the property line of the official's real property; or • Would cause a reasonably prudent person, using due care and consideration under the circumstances, to believe that the governmental decision was of such a nature that its reasonably foreseeable effect would influence the market value of the official's property. As noted above, Regulation 18702.2(0)(11) includes a modified version of the old "500 - foot rule" whereby the effect on an ownership interest in red property will be considered material if the decision affects real property value within 500 feet of the official's property. Nonetheless, the official may request a decision from the FPPC to allow the official to participate, even if the decision affects property value within 500 feet, if the FPPC finds that "there will be no reasonably foreseeable measurable impact on the official's property." The FPPC has relaxed the rules with respect to real property economic interests that stem from having an ownership interest in the common area of a common interest development. Previously, in addition to evaluating whether the decision concerned a project located within 500 feet of the public official's real property, it was necessary to evaluate whether the decision was within 500 feet of any homeowner association common area in which the official had an ownership interest. Now, Regulation 18702.2 excludes common areas in common interest developments from the definition of "real property" for the purpose of conducting a conflict of interest analysis. Thus, the proximity of homeowner association common areas to a project is no longer a factor in the conflict of interest analysis. With respect to an official's leasehold interests, Regulation 18702.2(b) now provides that the reasonably foreseeable financial effect of a governmental decision on an official's real property economic interest is material whenever the governmental decision will: • Change the termination date of the lease; • Increase or decrease the potential rental value of the property: • Increase or decrease the rental value of the property, and the official has a right to sublease the property; • Change the official's actual or legally allowable use of the real property: • Impact the official's use and enjoyment of the real property. There are a few exceptions by which the effect of a decision on an official's real property interest will not be considered material. The following decisions will not be considered to have a material effect on an official's real property interest: • The decision solely concerns repairs, replacement or maintenance of existing streets, water, sewer, storm drainage or similar facilities. Summary of Principol Conflicts of Interest Laws and Regulations ® 2018 Richards, Watson & Gershon 2178714 Page 12 Summary of the Major Provisions and Requirements of Principal Confficts of Interest Laws and Regulations • The decision solely concerns the adoption or amendment of a general plan and all of the following apply: ✓ The decision only identifies planning objectives or is otherwise exclusively one of policy. A decision will not qualify under this subdivision if the decision is initiated by the public official, by a person that is a financial interest to the public official, or by a person representing either the public official or a financial interest to the public official. ✓ The decision requires a further decision or decisions by the public official's agency before implementing the planning or policy objectives, such as permitting, licensing, rezoning, or the approval of or change to a zoning variance, land use ordinance, or specific plan or its equivalent. ✓ The decision does not concern an identifiable parcel or parcels or development project. A decision does not "concern an identifiable parcel or parcels" solely because, in the proceeding before the agency in which the decision is made, the parcel or parcels are merely included in an area depicted on a map or diagram offered in connection with the decision, provided that the map or diagram depicts all parcels located within the agency's jurisdiction and the economic interests of the official are not singled out. ✓ The decision does not concern the agency's prior, concurrent, or subsequent approval of, or change to, a permit, license, zoning designation, zoning variance, land use ordinance, or specific plan or its equivalent. These rules replace the old "500 -foot rule" tnat applied before 2014. Of special interest to many local public officials, these provisions appear to allow public officials to participate in most decisions relating to slurry sealing, asphalt paving, curb and sidewalk repairs, or tree replacement, even if the work occurs within 500 feet of their property, due to the exception for repairs and replacement of existing infrastructure. c. Sources of Income The FPPC regulations also provide materiality standards for sources of income. Regulation 18702.3. A "source of income," as discussed above, is any person from whom a public official has received at least $500 in the twelve months prior to the relevant govemmental decision. Regulation 18700.1. A "person" includes individuals, organizations, and business entities. § 82047. The regulations provide that any reasonably foreseeable financial effect on an individual, organization, or business entity that is a source of income to an official is deemed material if the public official receives or is promised the income to achieve a Summary of Principal Conflicts of Interest Lows and Regulations © 2018 Richards. Watson 8, Gershon 2178714 Page 13 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations goal or purpose that would be achieved, defeated, aided, or hindered by the governmental decision. Regulation 18702.3(c). In addition to this general standard, the regulations provide further guidance that separately analyzes a source of income depending on whether the income comes from the sale of goods or services or from the sale of personal or real property. Regulation 18702.3. If the income is received from the sale of goods or services in the ordinary course of business, a financial effect on a source of income is material if: • The source is a claimant, applicant, respondent, contracting party, or otherwise named or identified as the subject of the proceeding; • The source is an individual that will be financially affected under the standards applied to an official in Regulation 18702.5 (see Personal Finances below), or the official knows or has reason to know that the individual has an interest in a business entity or real property that will be financially affected under the standards applied to a financial interest in Regulation 18702.1 or 18702.2, respectively; • The source is a nonprofit that will receive a measurable financial benefit or loss, or the official knows or has reason to know that the nonprofit has an interest in real property that will be financially affected under the standards applied to a financial interest in Regulation 18702.2 (see Real Property - Modified "500 -Foot Rule" and Other Criteria above): or • The source is a business entity that will be financially affected under the standards as applied to a financial interest in Regulation 18702.1 (see Business Entities above). Regulation 18702.3(a). If the source of income is the "claimant, applicant, respondent, contracting party, or ... otherwise named or identified as the subject of the proceeding," the financial effect will be deemed material, regardless of whether the source of income is an individual, a nonprofit, or a business entity. If the source of income is not the "claimant, applicant, respondent, contracting party, or ... otherwise named or identified as the subject of the proceeding," the official will need to apply the other standards in Regulation 18702.3(0)(2) - (4), depending on whether the source of income is an individual, a nonprofit, or a business entity. If the income is from the sale of personal or real property belonging to either the official or the official's spouse, if the property is community property, the materiality of the financial effect will be determined as follows: ... the financial effect of the decision is material if the official knows or has reason to know that the source of income is a claimant, applicant, respondent, contracting party, or is otherwise named or identified as the subject of the proceeding, or has an interest in any business entity or real Summary of Principal Conflicts of Interest Lows and Regulations © 2018 Richards, Watson & Gershon 2178714 Page 14 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations property that will be financially affected under the standards applied to a financial interest in Regulation 18702.1 or 18702.2. Regulation 18702.3(b). The regulation also includes additional provisions to help officials who receive income from retail sales of a business entity in determining when a retail customer becomes a source of income. This new regulatory provision, which is intended to replace prior Regulation 18707.5, states: (d) Exception - Income from Retail Sales of a Business Entity: For purposes of applying the exception under Section 87103.5, the retail customers of a business entity constitute a significant segment of the public generally if the business is open to the public and the customers comprise a broad base of persons representative of the jurisdiction as a whole and not confined to any specialized interest. Income from an individual customer is not distinguishable from the amount of income received from other customers when the official is unable to recognize a significant monetary difference between the business provided by the individual customer and the general clientele of the business. An official is unable to recognize a significant monetary difference when either: (1) The business is of the type that sales to any one customer will not have a significant impact on the business' annual net sales; or (2) The business has no records that distinguish customers by amount of sales, and the official has no other information that the customer provides significantly more income to the business than an average customer. Regulation 18702.3(d). If you own 10 percent or more of a business entity that is engaged in the retail sale of goods or services, we recommend that you review this provision in order to determine whether individual retail customers will be considered sources of income to you for the purpose of analyzing conflicts under the Act. d. Sources of Gifts The FPPC regulations also provide materiality standards for sources of gifts. Regulation 18702.4. For the purpose of analyzing potential conflicts under the Political Reform Act, a donor becomes a "source of gifts" by providing a public official with gifts valued at $470 or more in the aggregate in the 12 months prior to a governmental decision. Regulations 18700(c)(6)(E), 18940.2. A person may also be a source of a gift by being an "intermediary or agent for a donor of" a similar gift. Regulation 18700(c)(6)(E). Under the FPPC regulations, a financial effect on a source of a gift is material if: • The source is a claimant, applicant, respondent, contracting party, or otherwise named or identified as the subject of the proceeding; Summary of Principal Conflicts of Interest Laws and Regulations Cd 2018 Richards, Watson & Gershon 2178714 Page ' 5 Summary of the Major. Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations • The source is an individual that will be financially affected under the standards applied to an official in Regulation 18702.5 (see Personal Finances below), or the official knows or has reason to know that the individual has an interest in a business entity or real property that will be financially affected under the standards applied to a financial interest in Regulation 18702.1 or 18702.2, respectively; • The source is a nonprofit that will receive a measurable financial benefit or loss, or the official knows or has reason to know that the nonprofit has an interest in real property that will be financially affected under the standards applied to a financial interest in Regulation 18702.2 (see Real Property - Modified "500 -Foot Rule" and Other Criteria above); or • The source is a business entity that will be financially affected under the standards as applied to a financial interest in Regulation 18702.1 (see Business Entities above). Regulation 18702.4. Like with sources of income, the analysis of materiality for sources of gifts may depend on whether the source is an individual, a nonprofit, or a business entity. If the source of a gift is the "claimant, applicant, respondent, contracting party, or ... otherwise named or identified as the subject of the proceeding," the financial effect will be deemed material, regardless of whether the source is an individual, a nonprofit, or a business entity. If the source of a gift is not the "claimant, applicant, respondent, contracting party, or ... otherwise named or identified as the subject of the proceeding," the official will need to apply the other standards in Regulation 18702.4(b) - (d), depending on whether the source of income is an individual, a nonprofit, or a business entity. e. Personal Finances Finally, the regulations provide materiality standards for effects on personal finances. Regulation 18702.5. A reasonably foreseeable financial effect on an official's or his or her immediate family's personal finances is considered material if the official or the official's immediate family member will receive a measurable financial benefit or loss from the decision. Regulation 18702.5. The following are not considered to be a material financial effect under Government Code Section 87103: 1) Any establishment of or change to benefits provided under an employment or retirement policy for employees or retirees if the financial effect of the decision applies equally to all employees in the same bargaining unit or other representative group. 2) Payment of any travel expenses, to the extent allowed by law, incurred while attending meetings as an authorizes representative of an agency. 3) Stipends received for attendance at meetings of any group or body created by law or formed by the official's agency for a special purpose, so long as the Summary of Pnncipol Conflicts of Interest Laws and Regulations C 2018 Richards, Watson & Gershon 2178714 Page 16 Summary of the Major Provisions and Requremenh of Principal Conflicts of Interest laws and Regulations selecting body posts on its website on a form provided by the Commission that includes: a list of each appointed position eligible for a stipend, the amount of the stipend for each position, the name of the public official who has been appointed to the position, the name of the public official, if any, who has been appointed as an alternate, and the term of the position. 4) The use of any government property, such as automobiles or other modes of transportation, mobile communication devices, or other agency provided equipment for carrying out the official duties of a position, including any nominal, incidental, negligible, or inconsequential personal use while on duty. 5) Any personal reward received by the official when using a personal charge card or membership rewards program, so long as the reward is no different from the reward offered to the public and is limited to charges made solely for the official's approved travel expenses. 6) A decision to fill a position on the body of which the official is a member. Regulation 18702.5(b). Any effect on the irterests noted above would not constitute a material effect on personal finances for the purpose of the Political Reform Act. Regulation 18702.5 clarifies that if a decision only affects a business entity or real property in which the official has a financial interest, the regulation regarding personal finances does not apply. Regulation 18702.5(c). Under those circumstances, the official should analyze the applicable materiality standards for those types of interests in Regulations 18702.1 and 18702.2 to determine whether a conflict exists. STEP FIVE: DOES THE "PUBLIC GENERALLY" EXCEPTION APPLY? Determine if the official can demonstrate that the material financial effect on the official's interest is indistinguishable from the decision's effect on the public generally. Once it is determined that it is reasonably foreseeable that a decision will have a material financial effect on an official's financial interest, it is necessary to evaluate whether an exception to the disqualification requirement is applicable. One exception, known as the "public generally" exception, provides that even if a governmental decision will have a reasonably foreseeable material financial effect on the official's financial interest, disqualification will not be required if the effect on the public official's financial interest is indistinguishable from the decision's effect on the financial interests of the public generally. Regulation 18703. Summary of Principol Conflicts of Interest Laws and Regulations © 2018 Richards. Watson & Gershon 2178714 Png' / Summary of the Major Provisions and Requrements of Principal Conflicts of Interest Laws and Regulations In order to use this exception, the official must be able to demonstrate two core elements. First, the governmental decision must affect a "significant segment" of the public in the jurisdiction of the public agency. Second, the governmental decision's effect on the official's financial interest must not be unique as compared to the effect on the significant segment. Regulation 18703. The FPPC has simplified the regulation to determine what constitutes a sufficiently "significant segment" of the public. Regulation 187O3(b). A significant segment of the public is "at least 25 percent of" any of the following: • All businesses or non-profit entities within the official's jurisdiction: • All real property, commercial real property, or residential real property within the official's jurisdiction; or • All individuals within the official's jurisdiction. Regulation 18703(b). To determine whether a decision's effect on the official's financial interest is "unique" as compared to the effect on the significant segment of the public, the FPPC requires that an official determine whether the decision has a "disproportionate" effect on: • The development potential or use of the official's real property or on the income producing potential of the official's real property or business entity. • An official's business entity or real property resulting from the proximity of a project that is the subject of a decision. • An official's interests in business entities or real properties resulting from the cumulative effect of the official's multiple interests'" in similar entities or properties that is substantially greater than the effect on a single interest. • An official's interest in a business entity or real property resulting from the official's substantially greater business volume or larger real property size when a decision affects all interests by the same or similar rate or percentage. • A person's income, investments, assets or liabilities, or real property if the person is a source of income or gifts to the official. • An official's personal finances or those of his or her immediate family. Regulation 187O3(c). Ownership of only two residential properties apparently would not constitute "multiple interests ... in properties that is substantially greater than the effect on a single interest." Wagner Advice Letter. FPPC No. A-15-227, 2015 WL 9680333 (2015). Summary of Principal Conflicts of Interest Laws and Regulations 0 2018 Richards, Watson & Gershon 2178714 Page 18 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations The official's "jurisdiction" for the purposes of this regulation constitutes the "jurisdiction of the state or local government agency as defined in Section 82035, or the designated geographical area the official was elected to represent, or the area to which the official's authority and duties are limited if not elected." Regulation 18703(d). Real property is considered to be within a "jurisdiction" if the "property or any part of it is located within or not more than two miles outside the boundaries of the jurisdiction or within two miles of any land owned or used by the local government agency." § 82035. The FPPC Regulations include a number of specialized "public generally" exceptions. Regulation 18703(e). The financial effect on an official's financial interest is deemed indistinguishable from that of the public generally if the official establishes: • The decision establishes or adjusts assessments, taxes, fees, or rates for water, utility, or other broadly provided public services or facilities that are applied equally, proportionally, or by the same percentage to the official's interest and other businesses, properties, or individuals subject to the assessment, tax, fee, or rate. • The decision affects the official's personal finances as a result of an increase or decrease to a general fee or charge, such as parking rates, permits, license fees, application fees, or any general fee that applies to the entire jurisdiction. • The decision affects residential real property limited to a specific location, and the decision establishes, amends, or eliminates ordinances that restrict on -street parking, impose traffic controls, deter vagrancy, reduce nuisance or improve public safety, provided the body making the decision gathers sufficient evidence to support the need for the action at the specific location. • The decision affects all renters of residential property within the official's jurisdiction and only interests resulting from the official's leasehold interest in his or her residence are affected. • The decision is made by a board or commission and the law that establishes the board or commission requires certain appointees have a representative interest in a particular industry, trade, or profession or other identified interest, and the public official is an appointed member representing that interest. This provision applies only if the effect is on the industry, trade, or profession or other identified interest represented and there is no unique effect on the official's interest. • The decision is made pursuant to an official proclamation of a state of emergency when required to mitigate against the effects directly arising out of the emergency and there is no unique effect on the official's interest. Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson & Gershon 2178714 Page I Y Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations The decision affects a federal, state, or local governmental entity in which the official has an interest and there is no unique effect on the official's interest. Regulation 18703(e). STEP SIX: MAY THE OFFICIAL MAKE OR PARTICIPATE IN MAKING A DECISION? Determine whether the public official will be making, participating in the making, or using or attempting to use his/her official position to influence a governmental decision. The Act applies when a public official is "making, participating in making, or using or attempting to use his/her official position to influence a governmental decision." Regulation 18704. If the official will be called upon to make, participate in making, or use his or her official position to influence a governmental decision in which the official has a financial interest, the official will have a prohibited conflict of interest. The FPPC regulations define each of these actions for purposes of applying the Act: • A public official "makes" a governmental decision when the official, authorizes or directs any action, votes, appoints a person, obligates or commits his or her agency to any course of action, or enters into any contractual agreement on behalf of his or her agency. Regulation 18704(a). " • A public official "participates in" a governmental decision when the official provides information, an opinion, or a recommendation for the purpose of affecting the decision without significant intervening substantive review. Regulation 18704(b). • A public official "uses his or her official position to influence" a decision if the official: (i) contacts or appears before any official in his or her agency or in an agency subject to the authority or budgetary control of his or her agency for the purpose of affecting a decision; or (ii) contacts or appears before any official in any other government agency for the purpose of affecting a decision, and the public official acts or purports to act within A public official's "determination not to act" does not constitute participating in "making" a governmental decision when the pubic official is abstaining from a decision due to a personal financial interest. Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards. Watson 8 Gershon 2178714 Page 20 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations his or her authority or on behalf of his or her agency in making the contact. Regulation 18704(c). There are limited exceptions to this rule. A public official is not making, participating in making, or influencing a government decision when the official acts in a solely ministerial, secretarial, or clerical manner. Regulation 18704(d)(1). In addition, an official is not making, participating in making, or influencing a government decision when the official appears before the public agency as a member of the general public to represent specific and limited "personal interests" or when the official negotiates his or her compensation or terms of employment. Regulation 18704(d). With respect to negotiating the terms of employment, however, "an official may not make a decision to appoint, hire, fire, promote, demote, or suspend without pay or take disciplinary action with financial sanction against the official or his or her immediate family, or set a salary for the official or his or her immediate family different from salaries paid to other employees of the government agency in the same job classification or position." Regulation 18704(d) (3). Making, participating in, or influencing a governmental decision also does not include communications to either the press or the general public. Regulation 18704(d)(4). Nor does it include academic decisions. Regulation 18704(d)(5). Limited actions in an official's professional capacity as an architect or engineer also are not considered to be making, participating in, or influencing a governmental decision. Regulation 18705(d)(6). Finally, an official who serves as a consultant will not be participating in a decision by making a recommendation regarding additional services if the agency has already contracted with the consultant - for an agreed upon price - to make recommendations concerning services of the type offered by the consultant. Regulation 18704(d)(7). STEP SEVEN: IS THE PUBLIC OFFICIAL'S PARTICIPATION LEGALLY REQUIRED? Determine if the public official's participation is legally required despite a conflict of interest. A public official also is permitted to participate in making a governmental decision, despite having a conflict of interest in the decision, if no alternative source of decision exists that would be consistent with the purposes and terms of the statute authorizing the decision. Regulation 18700(e), 18705(a). Summary of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards, Watson & Gershon 2178714 Page 21 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest laws and Regulations This exception is applied when a quorum of a legislative body cannot be convened due to the disqualifying conflicts of interests of its members. In that situation, as many members as are needed to create the minimum number for the quorum may be selected at random to participate. In these situations, stringent disclosure requirements apply, not only regarding the basis of the selected member's conflict of interest, but also the reason why there is no alternative source of decision-making authority. Regulation 18705(b). For the purposes of this section, a "quorum" means "the minimum number of members required to conduct business and when the vote of a supermajority is required to adopt an item, the "quorum" shall be that minimum number of members needed for that adoption." Regulation 18705(d). Note that this rule is construed narrowly and may not be invoked to permit an official who is otherwise disqualified to vote to break a tie or to vote if a quorum can be convened of other members of the agency who are not disqualified, whether or not such other members are actually present at the time of the decision. Regulation 18705(c). 4. Abstention When a public official has a conflict of interest under the Act, he or she is required to abstain from making, participating in making, or using or attempting to use his or her official position to influence the local agency's decision. Abstention avoids a violation of the conflict of interest provisions of the Act. The Act establishes specific procedures that most public officials must follow when they have a conflict of interest and are required to abstain from a decision. § 87105; Regulation 18707. Immediately prior to the consideration of the matter, the official must: (i) identify each financial interest that gives rise to the conflict in detail sufficient to be understood by the public (except that disclosure of the exact street address of a- residence is not required); (ii) publicly state his or her recusal from the matter; and (iii) leave the room until after the disposition of the matter unless the matter appears on a consent calendar, or other similar portion of an agenda for uncontested matters, or the official is speaking as a member of the public regarding an applicable personal interest. § 87105; Regulations 18707, 18704(d) (2). The FPPC recently clarified the procedure required and precise information that must be disclosed, as described in new Regulation 18707. This includes additional information regarding rules for closed sessions and matters on the consent calendar. The procedure stated in Regulation I8707(a) must be followed by all council members, judges, elected state officers, members of planning commissions, members of boards of supervisors, district attorneys, county counsels, city managers, city attorneys, city treasurers and other public officials who manage public investments, and to candidates for any of these offices at any election. §§ 87105, 87200. The Act does not require other public officials who must file financial disclosure forms under local conflict of interest codes to follow the same procedure, but the FPPC has now prescribed specific rules for those public officials. Regulation 18707(b). Summary of Principal Conflicts of Interest laws and Regulations ® 2018 Richards, Watson & Gershon 2178714 Page 22 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations Depending on the nature of his or her interest, a public official who must abstain from a decision may comment on the item as a member of the public during the public comment period on a matter related to his or her "personal interests." The term "personal interest" is defined to include an interest in real property or a business entity that is wholly owned by the official or his or her immediate family. Regulations 18704(d)(2)(A) and (B). It also includes business entities over which the official, or the official and his or her immediate family, exercise sole direction and control. Regulation 18704(d)(2)(C). If a public official wishes to speak on a matter related to his or her "personal interests," the official must publicly identify the financial interest (including all of the specific details required by the regulation). Regulation 18707(a) (1) (A). The public identification must be made orally and be included in the official public record. Regulation 18707(a)(1)(B). Subsequently, the official must recuse himself or herself and leave the dais to speak from the same area as the members of the public. Regulation 18707(a)(3)(C). Like other members of the public, the official may listen to the comments of other speakers on the matter. Regulation 18704(a)(3)(C). Note that when a public official abstains from a decision, his or her presence does not count toward achieving a quorum. Regulation 18707. Accordingly, if several officials must abstain from a decision under the Political Reform Act, there may not be sufficient members of the body present to consider a matter under the Brown Act. In such a circumstance, it may be possible to use the exception for legally required participation, as discussed above. 5. Penalties for Violation Administrative, civil and criminal penalties exist for violation of the conflict of interest provisions of the Act. The FPPC may levy administrative penalties after a hearing and may impose a fine of up to $5,000 per violation, a cease and desist order, and an order to file reports. § 83116. Civil penalties include injunctive relief that may be sought by the district attorney or any person residing in the jurisdiction. § 91003. In the event a court finds that the actions would not have been taken but for the action of the official with the conflict of interest, the court is empowered to void the decision. § 91003. Misdemeanor criminal penalties are provided in situations where a knowing or willful violation of the act occurs, and generally, persons convicted of violating the Act may not be a candidate for elective office or act as a lobbyist for four years after the conviction. §§ 91000, 91002. The statute of limitations for civil and criminal enforcement actions is four years from the date of the violation. §§ 91000(c), 9101 1 (b). The statute of limitations for administrative actions brought by the FPPC is five years from the date of the violation. § 91000.5. 6. Seeking Advice on Conflict of Interest Questions It is important to note that only a formal advice letter from the FPPC staff can immunize a public official from potential enforcement by the FPPC or the District Attorney in the event the public official participates in a decision and someone subsequently alleges the public official had a prohibited conflict of interest. A formal advice letter usually Summary of Principal Conflicts of Interest Lows and Regulations © 2018 Richards, Watson & Gershon 2178714 Page 23 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations takes the FPPC staff at least a month to prepare, is only provided if the request relates to prospective acts (as distinguished from past acts), and if it contains sufficient facts upon which the FPPC is able to render a decision. Informal written advice (without immunity from potential enforcement action) may also be requested from the FPPC staff as well as informal telephonic advice through their technical assistance division at 1 866 ASK FPPC (1 866 275 3772). Based on the time frames required to obtain formal or informal written advice from the FPPC, it is important for public officials to consult their city attorney or local agency counsel as early as possible so as to provide adequate time to gather all relevant facts, draft a letter to the FPPC, and respond to the advice once given. B. Government Code Section 1090 Government Code Section 1090 provides in relevant part: "[m]embers of the Legislature, state, county, district, judicial district, and city officers or employees shall not be financially interested in any contract made by them in their official capacity, or by any body or board of which they are members." The purpose of the prohibition contained in Section 1090 is to preclude a public official from using his or her position to obtain business or financial advantage through the approval of contracts by the public entities which he or she serves. As more fully explained below, the prohibition applies to not only preclude a member of the body or board that approves the contract from directly contracting with that same public entity, but it also applies when the public official has a financial or other specified relationship to the entity that seeks to contract with the public entity. The intent of the law is to remove the possibility of any personal influence that might bear on an official's decision-making activities on contracts executed by his or her public entity. Upon the enactment of the Act in 1974, questions arose as to whether that new law impliedly repealed or preempted the provisions of Section 1090. The California Attorney General addressed this issue first, concluding in a 1976 opinion that the PRA did not implicitly repeal or preempt Section 1090. 59 Ops. Cal. Att'y Gen. 604, 671 (1976). Since that time, the courts and the Attorney General have consistently considered Section 1090 as having continuing effect. For example, in People v. Honig, 48 Cal. App. 4th 289, 328-29 (1996), the defendant in a criminal case for violations of Section 1090 argued that the Act superseded Section 1090. The California Court of Appeal declined to so rule, holding instead that the term "financially interested" in Section 1090 has a different meaning than the term "material financial effect" in the Act. In another case, the California Court of Appeal again held that the Act and Section 1090 are "two different statutory schemes." City of Vernon v. Centra! Basin Mun. Water Dist., 69 Cal. App. 4th 508, 513 (1999); see also Fraser-Yamor Agency, Inc. v. County of Del Norte, 68 Cal. App. 3d 201 (1977); People v. Vallerga, 67 Cal. App. 3d 847 (1977); City Council v. McKinley, 80 Cal. App. 3d 204 (1978); City of Imperial Beach v. Bailey, 103 Cal. App. 3d 191 (1980); Thomson v. Call, 38 Cal. 3d 633 11985): Campagna v. City of Sanger, 42 Cal. App. 4th 533 (1996); 67 Ops. Cal. Att'y Gen. 369, 375 (1984); 69 Ops. Cal. Att'y Gen. 102 (1986); 70 Ops. Cal. Att'y Gen. 45, 47 (1987); 73 Ops. Cal. Att'y Gen. 191, 194-95 (1990). Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards. Watson & Gershon 2178714 Paye 24 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest laws and Regulations Both the Act and the common law (meaning court -made) doctrine against conflicts of interest require the public official with a conflict of interest to abstain from participation in the decision. Section 1090, by contrast, also prohibits the public entity from entering into a contract in which one of its officers or employees has a financial interest, unless certain exceptions apply. If the conflicted official is a member of a board or commission that executes the contract, he or she is conclusively presumed to be involved in the making of his or her agency's contracts. Thomson v. Ca/I, 38 Cal. 3d at 649. This absolute prohibition applies regardless of whether the contract is found to be fair and equitable or the official abstains from all participation in the decision. Thomson, 38 Cal. 3d at 649-50; Fraser-Yamor Agency, 68 Cal. App. 3d at 211-12; City of Imperial Beach, 103 Cal. App. 3d at 195. The only way a public entity could still enter into such a contract - i.e., in which an official has a financial interest - would be if that interest qualifies as a "remote interest" or "non-interest" within the meaning of specified provisions discussed below. 1. Three Principal Components of Section 1090 The prohibition contained in Section 1090 involves three principal components: (1) the person subject to the prohibition must be an officer or employee of one of the types of governmental entities listed in Section 1090; (2) the public officer or employee must be "financially interested" in a contract; and (3) the contract must be made by either the public official in his or her official capacity or by the body or board of which the official is a member. a. Officer or Employee of Listed Government Entity The first element is whether the person subject to the prohibition is a member of the Legislature or an officer or employee of the state, a county, a district, a judicial district, or a city. Virtually every officer or employee of a municipality or local governmental district is subject to the prohibition of Section 1090. In recent years, the courts also have concluded that consultants may be considered "employees" for the purpose of civil liability under Section 1090. In 2017, the California Supreme Court held that Section 1090 applies to independent contractors "when they have duties to engage in or advise on public contracting that they are expected to carry out on the government's behalf." People v. Superior Court (Sahlolbei), 3 Cal. 5th 230 (2017); see also, California Housing Finance Agency v. Hanover/California Management and Accounting Center, Inc., 148 Cal. App. 4th 682. 691 (2007); see also. Hub City Solid waste Services, Inc. v. City of Compton, 186 Cal. App. 4th 1 1 14, 1124- 1125 (2010). Moreover, the courts have held that even private companies may be subject to Section 1090 where the company has the potential to exert considerable influence over the agency's contracting decision. Davis v. Fresno Unified School District, 237 Cal. App. 4th 261 (2015); McGee v. Balfour Beatty Construction, LLC, 247 Cal. App. 4th 235, 261 (2016). As such, we advise that both public agencies and independent contractors carefully evaluate whether their duties and obligations include engaging in or advising on public Summary of Principal Conflicts of Interest Laws and Regulations J 2018 Richards, Watson & Gershon 2178714 Page 23 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations contracting. If so, their involvement in those contracting decisions must be evaluated for compliance with Section 1090. b. Financial Interest in a Contract The second element of the prohibition is the existence of a direct or indirect financial interest in a contract. The courts have interpreted the term "financially interested" as including any direct interest, such as that involved when a public official enters directly into a contract with the body of which he is a member. Thomson v. Call, 38 Cal. 3d 633 (1985). The courts have also interpreted "financially interested" as including indirect financial interests in a contract, where, for example, a public official has a business relationship with the entity that would be contracting with the public entity, or when the public official would gain something financially by the making of the contract. Fraser- Yamor Agency, 68 Cal. App. 3d 201 (1977); Finnegan v. Schrader, 91 Cal. App. 4th 572, 579 (2001). In Thomson v. Call, the California Supreme Court described the breadth of the statute this way: "Section 1090 forbids city officers ... from being 'financially interested in any contract made by them in their official capacity, or by any body or board of which they are members.' The proscribed interest certainly includes any direct interest, such as that involved when an officer enters directly into a contract with the body of which he is a member. California courts have also consistently voided such contracts where the public officer was found to have an indirect interest therein.... Neither the absence of actual fraud nor the possibility of a 'good faith' mistake on [the officer's] part can affect the conclusion that this contract violates section 1090 and is therefore void." 38 Cal. 3d at 645-46 (citations omitted) (emphasis added). In Thomson, a council member sold certain real property to a third party, knowing that the city was negotiating a deal to acquire multiple parcels of property in that area for a public park. The third party then conveyed the councilman's property to the city, in an apparent attempt to evade the provisions of Section 1090. The court essentially "unwound" and invalidated the entire transaction based on the council member's interest in the transaction. The court refused to focus on the isolated contract between the city and the third -party that bought the property from the council member, but rather viewed all of the successive contracts as one complex multi-party agreement. The court ordered the council member to disgorge all funds he received in the transaction and ordered that the city retain title to the property. The court noted that this type of severe remedy was necessary to discourage violations of Section 1090. Other decisions have followed this same broad reading of "indirect interests." In People v. Vallerga, the California Court of Appeal summarized court decisions addressing financial interests under Section 1090 as follows: "However devious and winding the chain may be which connects the officer with the forbidden contract, if it can be followed and the connection made, the contract is void." 67 Cal. App. 3d 847, 867 (1977); see also People v. Honig, 48 Cal. App. 4th 289, 315 (1996) (stating the same rule). Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards. Watson & Gershon 2178714 Page 26 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations The scope of indirect interests that could form a "devious and winding chain" back to a public contract is broad, but this reflects the judicial stance of vigilant enforcement of Section 1090. See, e.g., Thomson, 38 Cal. 3d at 652 (IT] he policy of strict enforcement of conflict-of-interest statutes ... provides a strong disincentive for those officers who might be tempted to take personal advantage of their public offices, and it is a bright - line remedy which may be appropriate in many different factual situations."); Berke v. Woodward, 125 Cal. 119, 128 (1899) (noting the need for "strict enforcement" of the conflict of interest statutes). Although Section 1090 traditionally has been interpreted broadly, a California appellate decision warned against an overly broad interpretation of the term "financial interest" for the purpose of Section 1090. See Eden Township Healthcare District v. Sutter Health, 202 Cal. App. 4th 208, 228 (2011). The court acknowledged the general principle that the "defining characteristic of a prohibited financial interest is whether it has the potential to divide an official's loyalties and compromise the undivided representation of the public interest the official is charged with protecting." ld. at 221. The court concluded that the salaried CEO of a non-profit medical center, who also served on the board of a hospital district, was not financially interested in contracts between the medical center and the hospital district, despite the clear potential effect on his employer. Id. at 222. The court noted that there was "nothing in the record to support the inference that the [agreements] bear any relationship to [the CEO's] continued employment" with the medical center. Id. at 223-224. Moreover, the court noted that there was "no evidence that [the CEO would] derive any financial benefit arising from the" agreements in question. Id. at 226. The court stated broadly: In our view, if the contract itself offers no benefit to the official, either directly or indirectly, then the official is not financially interested in the contract and any explicit legislative exemption for such a circumstance would be unnecessarily redundant. Id. at 228. The court distinguished the case of Miller v. City of Martinez, 28 Cal. App. 2d 364 (1938), in which the complaint alleged that a council member had a financial interest in a contract with a company thct employed him and in which he also held stock. Id. at 226. The ruling in Eden Township could be construed to suggest that an official is only "financially interested" in a contract that affects the official's compensation or continued employment': In light of subsequent FPPC advice letters, however, there is continued uncertainty regarding the application and interpretation of the court's holding in Eden Township.'1f As such, we recommend that public officials seek legal assistance whenever a potential Section 1090 conflict arises. See also, Ansolobehere Advice Letter, FPPC No. A -15-18C, 2015 WL 9680325 (2015); Devaney Advice Letter, FPPC NO. A-1.5-213, 2015 WL 7252462 (201 5): but cf. Carney Advice Letter. FPPC No. A-16-073, 2016 WL 3212417 and Dioz Advice Letter, FPPC No. A-16-214, 2016 WL 7033000. See, e.g.. Diaz Advice Letter FPPC No. A-16-214, 2016 WL 7033000 and Roy Advice Letter, FPPC No. A-16-157. 2016 WL 6565871. Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson & Gershon 2178714 Page 27 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations In addition to a "financial interest," there must be a contract in order for Section 1090 to apply, as described below. General contract principles apply to this determination and include such arrangements as purchase and service contracts as well as development agreements between a city and a developer (78 Ops. Cal. Att'y Gen. 230 (1995)); 82 Ops. Cal. Att'y Gen. 126, 129 n.4 (1999)), joint powers agreements (People v. Gnass, 101 Cal. App. 4th 1271, 1301 (2002)), and payments for conference attendance expenses (75 Ops. Cal. Att'y Gen. 20 (1992)). c. A Contract "Made" by the Official or by a Body or Board of which the Official Is a Member The third element necessary for a Section 1090 violation is that the contract has to be "made" either by the official or employee acting in his or her official capacity, or by any body or board of which the official is a member. The "making" of a contract is most commonly implicated by a city council's approval of a simple purchase order as part of the approval of a demand warrant registrar; this is likely to constitute the making of a contract within the scope of Section 1090. The courts have construed the term "made" as encompassing such elements in the formation of a contract as preliminary discussions, negotiations, compromises, reasoning, planning, and drawing of plans or specifications and solicitation for bids. Millbrae Ass'n for Residential Survival v. City of Millbrae, 262 Cal. App. 2d 222, 237 (1968). For example, in City Council of San Diego v. McKinley, 80 Cal. App. 3d 204, 212 (1978), a court of appeal found a Section 1090 violation when a city council entered into an agreement with a landscape architectural firm, of which the president, a stockholder, was also a member of the city's parks and recreation board. The board investigated and advised the city council on parks and recreation development issues, and it approved plans for a Japanese garden for which the board member's company ultimately received the development contract. Even though the board member was not a member of the city council, which awarded the contract to his company, the board member's participation in the planning for the garden was sufficient to constitute participation in "making" the contract: "[T]here is ample authority the negotiations, discussions, reasoning, planning, and give and take which go beforehand in the making of a decision to commit oneself must all be deemed to be a part of the making of an agreement in the broad sense. [Citation omitted.] Thus, the final execution of a contract, which is the time when the contract is technically made, is not the only time when a conflict of interest may be presented." 80 Cal. App. 3d at 212. Similarly, in Stigall v. City of Taft, 58 Cal. 2d 565, 569-70 (1962), the California Supreme Court held that an impermissible conflict existed in a contract with a plumbing company owned by a council member, even though the council member resigned before the plumbing company's bid was accepted. The court recognized that activities prior to the signing of a contract can be integral to the decision to accept the Summary of Principal Conflicts of Interest Lows and Regulations © 2018 Richards, Watson 8 Gershon 2178714 Page 28 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations contract. Id. at 569; see also Campagna v. City of Sanger, 42 Cal. App. 4th 533, 538 (1996) . 2. Exceptions to Section 1090 a. "Remote Interest" Exception There are two categories of exceptions to Section 1090. The first, encompassing what are commonly referred to as "remote interests," is set forth in Section 1091. If an official has only a remote interest in a contract, then the local agency may enter into the contract as long as the official abstains from participating in the decision in any way. Although this is not an exhaustive list of the "remote interest" exceptions, a few examples of "remote interest" exceptions include the following: • Remote interest exception for a compensated officer or employee of a nonprofit corporation (Section 1091 (b)(1)); • Remote interest exception for a person receiving a government salary, per diem, or reimbursement for expenses, even when the contract involves the department of the government entity that employs the board member (Section 1091 (b) (13)); and • Remote interest exception for a litigation settlement agreement between an officer that is party to litigation involving the body or board of which the officer is a member (Section 1091 (b) (15)). • Remote interest exception for the owner or partner of a firm who serves as an appointed member of an unelected board or commission of the contracting agency if the owner or partner recuses himself or herself from: (1) providing any advice to the contracting agency regarding the contract between the firm and the contracting agency; and (2) any participation in reviewing a project that results from that contract (Section 1091 (b)(17)). The "remote interest" exception applies only if the interest is disclosed to the body that approves the contract, the disclosure is noted in that body's official records, and the official abstains from voting. Further, members with a "remote interest" may not attempt to influence any other member of the body or board of which they are members to enter into the contract. b. "Non -Interest" Exception The second category of exceptions is found in Section 1091.5. These are called "non- interest" exceptions and apply to a type of interest that is completely exempt from Section 1090 and, if held by the official, does not require abstention. Unlike the "remote interest" exceptions in Section 1091, most of the "non-interest" exceptions listed in Section 1091.5 are available to both board members and employees who are covered Summary of Principal Conflicts of Interest Lows and Regulations C 2018 Richards. Watson & Gershon 2178714 Page ?9 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations by the general prohibition in Section 1090. Although this is not an exhaustive list, examples of some of those exceptions are listed below: • Non-interest exception for government salary, per diem, or reimbursement of expenses when the contract does not involve the department of the government entity that employs the officer or employee (Section 1091.5 (a)(9)); • Non-interest exception for government salary to an officer's or employee's spouse when the spouse was employed by the government entity for at least one year prior to the officer's or employee's election or appointment (Section 1091.5 (a)(6)); • Non-interest exception for a non -compensated officer of a non-profit corporation that supports the functions of the public entity or to which the public entity is required to give particular consideration (Section 1091.5 (a) (8)); • Non-interest exception for non -salaried members of a non-profit corporation (Section 1091.5 (a)(7)); and • Non-interest exception involving the receipt of public services on the same terms as would be provided if the officer were not a member of the governmental body or board (Section 1091.5(a)(3)); and • Non-interest exception for contracts for public services between a special district and its board members if the special district requires board members to be landowners or representatives of a landowner and the contract is made on the same terms and conditions granted to everyone else. (Section 1091.5(a) (14)). This exception was enacted in 2013. For purposes of the exception, "public services" include the powers and purposes generally provided pursuant to provisions of the Water Code relating to irrigation districts, California water districts, water storage districts, or reclamation districts. Summary of Principal Conflicts of Interest laws and Regulations © 2018 Richards, Watson & Gershon 2178714 Page iii Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 3. A Contract Made in Violation of Section 1090 is Void and Officials Violating Section 1090 Are Subject to Severe Penalties Finally, it is important to note the extreme consequences of a Section 1090 violation and thus the caution with which persons must act to ensure compliance with this law. A public official who willfully violates any of the provisions of Section 1090 "is punishable by a fine of not more than $1,000, or by imprisonment in the state prison, and is forever disqualified from holding any office in this state." § 1097. The civil fines applicable to Section 1090 violations now can be up to $10,000. § 1097.3(a). In addition, a contract made in violation of Section 1090 is void under Section 1092. People ex rel. State v. Drinkhouse, 4 Cal. App. 3d 931, 935 (1970) ("(Al contract in which a public officer is interested is void. rather than voidable as the statute indicates."). And as with the Political Reform Act, acting on the advice of counsel is not a defense to a Section 1090 violation. See People v. Chacon, 40 Cal. 4th 558 (2007): Chapman v. Superior Court, 130 Cal. App. 4th 261 (2005). Given these consequences, it is advisable for public officials to be very cautious in deciding whether they may participate in a contracting decision based on the existence of a "non-interest exception," whether they must abstain from those decisions based on the application of a "remote interest" exception, or whether their financial interest lies outside any exception and therefore precludes the public entity from entering into the contract altogether. 4. Aiding and Abetting Section 1090 Violations In 2014, the California Legislature adopted Senate Bill 952, which added a subsection (b) to Government Code Section 1090, which now reads: "An individual shall not aid or abet a Member of the Legislature or a state, county, district, judicial district, or city officer or employee in violating subdivision (a)" of Section 1090. The Legislature added a similar provision to Section 1093 such that a person "shall not aid or abet the Treasurer, Controller, a county or city officer, or their deputy or clerk" in purchasing or selling "warrants, scrip, orders, demands, claims, or other evidences of indebtedness" for personal gain. § 1093. The Legislature also added a penalty for these crimes to Section 1097, which applies when a person "willfully aids or abets an officer or person in violating" Section 1090 or certain other conflict provisions. In light of these new provisions, city officers and employees must be careful to avoid "aiding and abetting" a Government Code Section 1090 violation. 5. Seeking FPPC Advice on Section 1090 In 2013, the State Legislature adopted Assembly Bill 1090, which amended the enforcement provisions applicable to Government Code Section 1090. With the adoption of AB 1090, a person who is subject to the prohibition in Government Code Section 1090 may request advice and/or a formal opinion from the FPPC. § 1097.1(c). Such advice is admissible as evidence of good faith conduct by the requester if the requester truthfully disclosed all material facts and relied on the advice or opinion of the Summary of Principal Conflicts of Interest Laws and Regulations (0 2018 Richards, Watson & Gershon 2178714 Page 31 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations FPPC. § 1097.1(c). In addition, the FPPC is now authorized to enforce the prohibition in Government Code Section 1090 through administrative or civil actions. § 1097.1(a). 6. Statute of Limitations for Section 1090 Violations The statute of limitations for bringing a criminal prosecution under Section 1090 is three years from the discovery of the violation. People v. Honig, 48 Cal. App. 4th 289, 304 (fn. 1) (1996): Penal Code §§ 801, 803(c). However, under Government Code Section 1092, a four-year statute of limitations applies to actions brought under Section 1090 to invalidate a contract. This four-year statute of limitations begins to run from the date that the plaintiff has discovered the violation, or in the exercise of reasonable care, should have discovered the violation. A four-year statute of limitations also applies to civil actions brought by the FPPC. § 1097.3(c). C. Common Law Doctrine against Conflicts of Interest The common law doctrine against conflicts of interest constitutes the courts' expression of the public policy against public officials using their official positions for their private benefit. See Terry v. Bender, 143 Cal. App. 2d 198, 206 (1956). This doctrine provides an independent basis for requiring public officials and employees to abstain from participating in matters in which they have a financial interest. Violation of the doctrine can amount to official misconduct and can result in loss of office. Nussbaum v. Weeks, 214 Cal. App. 3d 1589 (1989). By virtue of holding public office, an elected official "is impliedly bound to exercise the powers conferred on him with disinterested skill, zeal, and diligence and primarily for the benefit of the public." Noble v. City of Palo Alto, 89 Cal. App. 47, 51 (1928). An elected official bears a fiduciary duty to exercise the powers of office for the benefit of the public and is not permitted to use those powers for the benefit of a private interest. Id. The common law doctrine against conflicts of interest has been primarily applied to require a public official to abstain from participation in cases where the official's private financial interest may conflict with his or her official duties. 64 Ops. Cal. Att'y Gen. 795, 797 (1981). However, the doctrine also applies when specific circumstances preclude a public official from being a disinterested, unbiased decision maker for a quasi-judicial matter. In one case, a council member who voted to deny permits for a condominium project near his house was deemed to have a common law conflict of interest (e.g., bias) due to his interest in preserving his ocean view and his personal animosity toward the applicants. Clark v. City of Hermosa Beach, 48 Cal. App. 4th 1 152 (1996). However, a more recent court decision creates some uncertainty as to whether the common law doctrine should be applied when statutory conflict of interest laws already address the particular situation. In BreakZone Billiards v. City of Torrance, 81 Cal. App. 4th 1205, 1233 (2000), the court declined to construe allegations of an official's bias in a decision to constitute a conflict of interest at common law when the applicable statutes already had been construed not to create a conflict of interest in that situation. In BreakZone, the court indicated, "(w)e continue to be cautious in Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson & Gershon 2178714 Page 32 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations finding common law conflicts of interest .... We reject the application of the doctrine in this case, assuming, arguendo, it exists." 81 Cal. App. 4th at 1233. Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards. Watson & Gershon 2178714 Page 33 Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations II. OTHER SPECIALIZED CONFLICTS OF INTEREST LAWS AND REGULATIONS A. Doctrine against Holding Incompatible Offices 1. The Common Law Doctrine against Holding Incompatible Offices In addition to Government Code Section 1099 (discussed below), a common law doctrine (that is, legal principles established over time by court decisions) applies to prevent public officials from holding multiple public offices simultaneously. The common law doctrine against incompatibility of offices arose from a concern that the public interest would suffer when one person holds two public offices which might possibly come into conflict. The California Supreme Court set forth the following test for incompatibility of offices in People ex rel. Chapman v. Rapsey, 16 Cal. 2d 636 (1940): "Two offices are said to be incompatible when the holder cannot in every instance discharge the duties of each. Incompatibility arises, therefore, from the nature of the duties of the offices, when there is an inconsistency in the functions of the two, where the functions of the two are inherently inconsistent or repugnant, as where antagonism would result in the attempt by one person to discharge the duties of both offices, or where the nature and duties of the two offices are such as to render it improper from considerations of public policy for one person to retain both." 16 Cal. 2d at 641-42. Incompatibility of offices is not measured only by conflicts which do exist, but also by those conflicts which might arise. Chapman, 16 Cal. 2d 636, 641-42 (1940); 66 Ops. Cal. Att'y Gen. 382, 384 (1983); 64 Ops. Cal. Att'y Gen. 288, 289 (1981). In order to determine whether two positions are in conflict, it is necessary to determine first whether the two positions are both public offices within the scope of the doctrine. No statutory definition is given to the term "public officer." However, in Chapman, the court stated: "[A] public office is said to be the right, authority, and duty, created and conferred by law — the tenure of which is not transient, occasional, or incidental — by which for a given period an individual is invested with power to perform a public function for public benefit ... One of the prime requisites is that the office be created by the Constitution or authorized by some statute. And it is essential that the incumbent be clothed with a part of the sovereignty of the state to be exercised in the interest of the public." 16 Cal. 2d at 640 (citation omitted). Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson & Gershon 2178714 Page 34 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations Incompatibility can be triggered if the duties of the two offices "overlap so that their exercise may require contradictory or inconsistent action, to the detriment of the public interest." People ex rel. Bagshaw v. Thomson, 55 Cal. App. 2d 147, 150 (1942). Only one significant clash of duties and loyalties is required to make offices incompatible. 37 Ops. Cal. Att'y Gen. 21, 22 (1961). The policy set forth in Chapman includes prospective as well as present dashes of duties and loyalties. 63 Ops. Cal. Att'y Gen. 623 (1980) . Abstention has not been recognized as a remedy for incompatible offices. The general rule provides: "The existence of devices to avoid ... [conflicts] neither changes the nature of the potential conflicts nor provides assurances that they would be employed. Accordingly, the ability to abstain when a conflict arises will not excuse the incompatibility or obviate the effects of the doctrine." 66 Ops. Cal. Att'y Gen. 176, 177 (1983) (citation omitted). The effect of the doctrine of incompatibility of offices is that a public official who enters into the duties of a second office is deemed to have automatically vacated the first office if the two are incompatible. Chapman, 16 Cal. 2d at 644. A list of some of the offices that the California Attorney General has found to be incompatible are as follows: • County board of supervisors member and community college board member. 78 Ops. Cal. Att'y Gen. 316 (1995). • Fire chief and board of supervisors member. 66 Ops. Cal. Att'y Gen. 176 (1983) . • Public utility district member and county board of supervisors member. 64 Ops. Cal. Att'y Gen. 137 (1981). • School district trustee and council member. 73 Ops. Cal. Att'y Gen. 354 (1990) . • School board member and council member. 65 Ops. Cal. Att'y Gen. 606 (1982). • County planning commissioner and council member. 63 Ops. Cal. Att'y Gen. 607 (1980). • Fire chief and council member. 76 Ops. Cal. Att'y Gen. 38 (1993) . • County planning commissioner and city planning commissioner. 66 Ops. Cal. Att'y Gen. 293 (1983). Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards. Watson & Gershon 2178714 Page 35 Surnrrary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations • County planning commissioner and county water district director. 64 Ops. Cal. Att'y Gen. 288 (1981). • City planning commissioner and school district board member. 84 Ops. Cal. Att'y Gen. 91 (1997). • City manager and school district board member. 80 Ops. Cal. Att'y Gen. 74 (1997). • School district board member and community services district board member. 75 Ops. Cal. Att'y Gen 112 (1992). 2. The Statutory Codification of the Common Law Doctrine of Incompatible Offices - Government Code Section 1099 Government Code Section 1099 is intended to create a statutory rule against holding incompatible offices. This section is not intended to expand or contract the common law rule and is intended to be interpreted based on precedent created through court decisions under the common law doctrine. Stats. 2005, c. 254 (S.B. 274), § 2. Section 1099 provides that a public officer, including but not limited to an appointed or elected member of a governmental board, commission, committee or other body, shall not simultaneously hold two public offices that are incompatible as defined by the statute. Section 1099 provides that offices are incompatible when: • Either of the offices may audit, overrule, remove members of, dismiss employees of, or exercise supervisory powers over the other office or body: • Based on the powers and jurisdiction of the offices, there is a possibility of a significant clash of duties and loyalties between the offices: or • Public policy considerations make it improper for one person to hold both offices. As is the case under the common law doctrine, Section 1099 provides that when two public offices are incompatible, a public officer shall be deemed to have forfeited the first office upon acceding to the second office. However, Section 1099 recognizes that certain state laws or local ordinances may expressly provide for the simultaneous holding of particular offices and that result would not be precluded by Section 1099. Section 1099 does not apply if one of the positions is an employment rather than an office. It also does not apply when one of the positions is a member of a legislative body that has only advisory powers. § 1099(c), (d). Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson & Gershon 2178714 Page 36 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest laws and Regulations B. Incompatible Outside Activities Government Code Section 1126(a) provides, in relevant part: "[A] local agency officer or employee shall not engage in any employment, activity, or enterprise for compensation which is inconsistent, incompatible, in conflict with, or inimical to his or her duties as a local agency officer or employee or with the duties, functions, or responsibilities of his or her appointing power or the agency by which he or she is employed...." The provisions of Section 1 126 prohibit officials and employees of a local government agency from engaging in outside employment or activities where any part of the employment or activity will be subject to approval by any other officer, employee, board or commission of the local agency. Exceptions are created to permit a public official to engage in outside employment by a private business, and to permit an attorney employed by a local agency in a non -elective position to serve on an appointed or elected governmental board of another agency. §§ 1 127, 1 128. However, the court in Mazzola v. City and County of San Francisco, 112 Cal. App. 3d 141 (1980) ruled that Section 1 126 provides only authorization to implement standards for incompatibility pursuant to paragraph (b) of Section 1126. The court ruled that the restrictions of Section 1 126 are not self-executing because existing and future employees should have notice that specific outside activities are or are not compatible with their duties as an officer or employee of the local agency. Thus, Section 1126 would not bar a public official from holding a position outside his or her public agency unless the public agency in which he or she serves as a public official adopts an ordinance in compliance with the requirements of Section 1126 that specifies that the two positions or activities are incompatible. Many cities have not adopted such ordinances. In light of the court's decision in Mazzola, the Attorney General ruled that Section 1 126 did not apply to any elected official, such as a council member, since elected officials do not have an "appointing power" that can promulgate guidelines for their activities pursuant to Section 1126. However, if a loco) agency adopts such guidelines, they can be made applicable to officers and employees subordinate to the legislative body of the local agency, including members of advisory boards and commissions. § 1 126(a). C. Successor Agency and Oversight Board Conflicts 1. Form 700s for Successor Agency and Oversight Board Members Regarding any city that adopted a resolution establishing a successor agency to the former redevelopment agency as a separate legal entity, an official who already files an annual Form 700 in his or her capacity as a city official does not need to file an Assuming Office Statement ("Assuming Office Form 700") within 30 days of assuming his or her position with the successor agency as long as these same city officials are Summary of Principal Conflicts of Interest laws and Regulations 2018 Richards, Watson & Gershon 2178714 Page 37 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Lows and Regulations already required to disclose all categories of economic interests. The successor agency official or employee will, however, have to file an Assuming Office Form 700 if he or she is not already required to disclose as a city official all categories of economic interests. With respect to those successor agency officers and employees who do have an obligation to file an Assuming Office Form 700, the 30 -day deadline for completing those filings is likely 30 days from the date he or she was appointed rather than 30 days after the officer or employee is sworn in to office or starts to perform duties. This means that if the successor agency was formed as a separate governmental entity, the date that the official was appointed to his or her position would be the date that the successor agency adopted its rules and regulations, established successor agency positions in those rules, and designated specific city officials to fill those positions. However, if the successor agency appointed certain city officials to those positions at a later point in time, that later date would be the date from which the 30 day period would commence to run. Members of an oversight board are subject to the Political Reform Act. This means oversight board members must comply with both the Act's conflict of interest disqualification and disclosure requirements. Oversight board members who do not also hold a concurrent city position need to file an Assuming Office Form 700 within 30 days of their appointment. For example, the appointees of the county, superintendent of schools, and other non -city representatives who do not concurrently hold a city position, should file an Assuming Office Form 700 as an oversight board member with the city clerk. Similarly, if one or both of the mayor's appointees do not concurrently hold a position with the city requiring disclosure of economic interests in all categories, they should file an Assuming Office Form 700 within 30 days of their appointment. However, if a person appointed by the mayor to represent the city on the oversight board or any other appointee to the oversight board concurrently holds a position with the city that is already required to broadly disclose in all categories, these persons would not be required to file an Assuming Office Form 700 under the FPPC staff rationale noted above. 2. Obligation of Successor Agencies to Adopt Conflict of Interest Codes The Act requires that local government agencies must adopt a conflict of interest code. An exception applies for those agencies where all of its officials and employees are already required to file Statements of Economic Interests as city officials. In the case of a successor agency, some members of its oversight board will not be city officials or employees. For example, the county, school district, county superintendent, and community college appointees are most likely not going to be current city officials or employees. Consequently, the successor agency must adopt a conflict of interest code that includes the oversight board. Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson & Gershon 2178714 Page 38 Summary of the Major Provisions and Requirements of Principal Conflicts of interest Laws and Regulations 3. City Councils are the Code Reviewing Bodies for the Successor Agency's Conflict of Interest Code Section 82011(c) provides that for "city agencies," the code reviewing body is the city council. The term "city agencies" is not defined in the Act but has been interpreted by the FPPC to mean local government agencies located solely within the boundaries of one city. In the past, the FPPC has interpreted a redevelopment agency as being a "city agency" and the city council as being the code reviewing body for the redevelopment agency. In the case of a successor agency of a former redevelopment agency that operates solely within the boundaries of one city, the successor agency will not have a jurisdictional boundary that extends beyond the boundary of the city. Consequently, the city council of the city in which the former redevelopment agency operated will be the code reviewing body for the successor agency. The city council, as the code reviewing body, is required to review and approve the successor agency's conflict of interest code not later than six months from the date the successor agency come into existence. § 87303. However, we recommend that this step be completed prior to that deadline for reasons mentioned below. Thus, it is appropriate to place the successor agency's conflict of interest code on a city council agenda for approval soon after the successor agency has adopted it. 4. The City Council May Designate the City Clerk as the Filing Officer for the Successor Agency's Statements of Economic Interests The term "filing officer" is defined in the Act to be the office or officer with whom any statement or report is required to be filed under this title. § 82027. In determining where Form 700s are to be filed for officials of a successor agency, the city council, as the code reviewing body, may designate whether the "agency" (successor agency) or the "code reviewing body" (city council) is to be the entity with which Form 700s are filed. § 87500(p). Once that designation is made, the duty to perform the functions of filing officer must be delegated to an individual in either entity such as the city clerk, pursuant to Regulation 18227. The person designated becomes the "filing officer." Regulation 18227 provides that every entity with whom forms are filed shall assign to a specific official the responsibility for receiving and forwarding reports filed pursuant to Section 87500 (including Form 700s). Once assigned, the filing officer has a duty to supply Form 700s, review submitted Form 7D0s for completeness, and notify all persons who have failed to file forms and report violations to appropriate agencies. See § 81010. Thus, the city clerk or the successor agency secretary will most likely be the filing officer for the successor agency but such designation will ultimately be determined by the city council when acting as the code reviewing body for the successor agency's conflict of interest code. In the action to approve the successor agency's conflict of interest code, the city council should approve the successor agency's designation of the city clerk or successor agency secretary to be the filing officer for the successor agency's officials. In the meantime, it is appropriate for the city clerk or successor agency Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson & Gershon 2178714 Page 39 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations secretary to begin performing the duties of the filing official for the successor agency even though such designation will not be finalized until approved by the city council as the code reviewing body. It is recommended that one of the first steps for the city clerk or successor agency secretary to undertake is to make a record of the appointment date for each officer of the successor agency and each member of the oversight board. With respect to those officials of the successor agency and oversight board that are not otherwise exempt from filing Assuming Office Form 700s for their position with the successor agency, city clerks should provide forms to those persons and facilitate the filing of those forms within the 30 -day time period required. D. Discount Passes on Common Carriers Article XII, Section 7 of the California Constitution states: "A transportation company may not grant free passes or discounts to anyone holding an office in this state; and the acceptance of a pass or discount by a public officer, other than a Public Utilities Commissioner, shall work a forfeiture of that office. A Public Utilities Commissioner may not hold an official relation to nor have a financial interest in a person or corporation subject to regulation by the commission." The Attorney General has explained this provision applies in the following manner: • The prohibition applies to public officers, both elected and non -elected, but not employees. • The prohibition applies to interstate and foreign carriers as well as domestic carriers, and to transportation received outside California. • The prohibition applies irrespective of whether the pass or discount was provided in connection with personal or public business. • Violation of the prohibition is punishable by forfeiture of office. There have only been a few decisions that address this constitutional prohibition. In one opinion, the Attorney General granted leave to sue two members of a city council who accepted free airline tickets to London given by Laker Airlines as part of the airline's promotion of its new Los Angeles to London service. Despite the fact that the council members were unaware of the prohibition, the Attorney General allowed a quo warranto suit that subsequently settled before judgment. See, e.g., 76 Ops. Cal. Atty. Gen. 1, 3 (1993). In another opinion, the mayor of a city received an upgrade from a coach seat to a first class seat on Hawaiian Airlines. 76 Ops. Cal. Atty. Gen. 1 (1993). There, the mayor's ticket was one of 20 first-class upgraded tickets that the airline was allowed to provide to "high profile, prominent members of the community." At issue was whether that Summary of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards, Watson & Gershon 2178714 Page 40 Summary of the Major Provisions and Requirements Df Principal Conflicts of Interest Laws and Regulations situation fit within an exception to the constitutional prohibition for situations when the free transportation or discount is provided to a public officer as a member of a larger group unrelated to the official's position. The Attorney General ruled that the facts did not satisfy the exception and that a violation of the prohibition had occurred. The exception considered in that opinion stemmed out of a 1984 opinion of the Attorney General which held that a public officer could accept first-class ticket upgrades by virtue of the airline's policy to do so for all persons on their honeymoon. In 67 Ops. Cal. Atty. Gen. 81 (1984), the Attorrey General concluded that a public officer, whose spouse was a flight attendant. could accept a free transportation pass or discount when such was offered to all spouses of flight attendants without distinction to the official status of the recipient. Consequently, if the pass or discount is provided to the official because of his or her position as a governmental official, the prohibition applies. If it is provided to the official as a member of a larger group that is not related to the functions of his or her office, the prohibition may not be applicable. E. Conflicts upon Leaving Office - the "Revolving Door" Former elected officials and former city managers are restricted from receiving compensation for lobbying their city for one year after they leave public office. This restriction also applies to elected county and district officials and their chief administrative officers or general managers, but not to department directors or other public officials and employees. § 87406.3(a). A violation of the statute constitutes a misdemeanor, and the FPPC is authorized to impose administrative fines and penalties for its violation. § 91000. The type of lobbying subject to the oan includes both formal and informal appearances before a local agency and making any oral or written communication to the agency. The statute proscribes the appearances and communications if they are made to influence administrative or legislative action, or affect the issuance, amendment, awarding or revocation of a permit, license, grant, or contract, or the sale or purchase of goods or property. § 87406.3(a). The term "administrative actions" within the scope of the lobbying ban includes "the proposal, drafting, development, consideration, amendment, enactment, or defeat by any local government agency of any mater, including any rule, regulation, or other action in any regulatory proceeding, whether quasi -legislative or quasi-judicial." However, matters that are "solely ministerial" are expressly excluded from the prohibition. § 87406.3(d) (1). The type of "legislative action" within the scope of the ban includes: "the drafting, introduction, modification, enactment, defeat, approval, or veto of any ordinance, amendment, resolJtion, report, nomination, or other matter by the legislative body of a local government agency or by any committee or subcommittee thereof, or by a member or employee of the legislative body of the local government agency acting in his or her official capacity." Summary of Principal Conflicts of Interest Laws and Regulaticns © 2018 Richards, Watson & Gershon 2178714 Page 41 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations § 87406.3(d) (2). The lobbying ban does not apply to any public official who is appearing or communicating on behalf of another local governing body or public agency of which the individual is a board member, officer or employee. § 87406.3(b)(1). Therefore, if such former elected city official or former city manager is contacting his or her city on behalf of the state, a county, a school district or some other governmental entity (in his or her capacity as a board member, officer, or employee), such activity is not precluded by the ban. Effective January 1. 2018. however, the lobbying ban does apply for the initial year if the former elected city official or former city manager serves another public agency as an independent contractor and appears or communicates on behalf of that agency in front of the agency that the person originally served. § 87406.3(b)(2). Such activity would be prohibited for the first year after leaving office or employment with the original agency. Some cities have their own preexisting "revolving door" ordinances that regulate the lobbying activities of their former public officials. This state law expressly does not preempt those ordinances or prevent cities from adopting additional ordinances on the subject in the future, provided those ordinances are more restrictive than the state law. § 87406.3(c). Thus, the law merely sets a new minimum standard applicable to all cities. F. Laws Prohibiting Bribery A number of state statutes prohibit bribery of public officials. Specifically, it is illegal to give or offer to give a bribe to a public official, or for a public official to ask for, receive, or agree to receive any bribe. Penal Code §§ 67, 68. Under a strict reading of these statutes, Penal Code Section 68 applies to bribery of a "ministerial officer, employee, or appointee," and Penal Code Section 67 applies only to bribery of an "executive officer in this state," but the courts have interpreted both statutes as having a broad scope applicable to public officials generally. People v. Haliner, 43 Cal. 2d 715, 717 (1954) (observing that Penal Code Section 67, despite its wording, is "all inclusive" and includes city officials, and that "[bjy the sixty-seventh section the offense defined is that of one who offers; by the sixty-eighth, that of one who receives a bribe"); People v. Stroh!, 57 Cal. App. 3d 347, 360 (1976) ("Numerous California Supreme Court and appellate court decisions since 1954 have held that 'executive officers' of various levels of local government, including the county level, as herein involved, come within [Penal Code] Section 67."). The Legislature also expressly made bribery of council members and supervising officials a crime, as well as solicitation of bribes by council members and supervisors. Penal Code § 165. Another statute makes it a crime for anyone to attempt to bribe "any person who may be authorized by law to hear or determine any question or controversy." Penal Code § 92. Considered together, these statutes cover the spectrum of public officials. The term "bribe" signifies anything of value or advantage, present or prospective, or any promise or undertaking to give any, asked, given, or accepted, with a corrupt intent to influence. unlawfully, the person to whom it is given, in his or her action, vote, or opinion, in any public or official capacity. Penal Code § 7(6). Note that under all of the bribery statutes, it is not only the actual giving or accepting of a bribe that is Summary of Principal Conflicts of Interest Lows and Regulations 2018 Richards, Watson & Gershon 2178714 Page 42 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations criminal; merely offering to give or receive a bribe constitutes a violation of law. See, e.g., People v. Piet (1982) 31 Cal. 3d 731, 739 (noting that a "meeting of the minds" is unnecessary for a bribery conviction). A public officer forfeits his office if he requests, receives, or agrees to receive a bribe. Penal Code § 68. In addition, every officer convicted of any crime defined in the Penal Code sections pertaining to bribery and corruption is forever disqualified from holding any office in the state. Penal Code § 98. Note also that bribery and soliciting bribery potentially violate not only the Penal Code, but also the conflict of interest statutes. For example, in Terry v. Bender, 143 Cal. App. 2d 198 (1956), a court of appeal held that a council member violated Government Code Section 1090 when he solicited and received a bribe from an attorney in exchange for the council member's vote to employ the attorney with the city. 143 Cal. App. 2d at 207 (observing that by accepting the bribe, the council member "had placed himself in a position of economc servitude" in violation of Section 1090). Because the bribe "restricted the free exercise of the discretion vested in him for the public good," there was an impermissible conflict of interest. G. Campaign Contributions 1. Conflicts of Interests Arising on Appointed Boards and Commissions The Political Reform Act contains restrictions on the receipt and solicitation of campaign contributions. Under a portion of the Act known as the "Levine Act," a public agency official may not participate in decisions affecting individuals or entities who have given the official more than $250 in campaign contributions within the past 12 months. § 84308. However, a city council is not considered an "agency" for purposes of the statute. § 84308(a)(3). This disqualification therefore does not apply to a council member when participating in a decision of the council. It also does not apply to a council member who sits on the board of another agency of the city if the governing board of that agency is made up entirely of members of the city council when that member is participating in a decision of that agency. Regulation 18438.1 (a) (1). However, it does apply to a council member when that person is serving on the board of a joint powers authority. Importantly, this prohibition applies to planning commissioners and other officers of the public entity who are not directly elected by the voters. Thus, planning commissioners must comply with the restrictions in Government Code Section 84308. The Act also classifies campaign contributions differently than other financial interests. As discussed previously, the Act requires that public officials abstain from government decisions in which they have a financial interest, with certain exceptions. § 87100. A public official generally has a proscribed financial interest in a decision if it is reasonably foreseeable that the decision will have a material financial effect on (among other things): (i) a source of income aggregating $500 or more in value during the 12 months prior to the decision; or (ii) a donor of a gift or gifts aggregating $470 or more in value Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson & Gershon 2178714 Page 43 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations during the 12 months prior to the decision. § 87103(c), (e); Regulations 18700, 18940.2. Campaign contributions, however, are not considered a "financial interest" for purposes of this disqualification because they are neither "income" nor a "gift" within the meaning of the statute. §§ 82028(b) (4), 82030(b) (1). This disqualification therefore is not triggered as a result of a council member's receipt of a campaign contribution. In other words, council members acting in their capacity as elected council members are not prohibited from acting on a matter which involves someone who has given them a political contribution. Regulation 18438.1(a). For example, the California Supreme Court ruled that Los Angeles City Council members were not disqualified from voting on a subdivision map by reason of receiving campaign contributions from the applicants and their agents. woodland Hills Residents Assn, Inc. v. City Council, 26 Cal. 3d 938, 945 (1980) ("Plaintiffs' accusation that receipt of a campaign contribution inevitably results in an appearance of bias or prevents a fair hearing is unwarranted."). Similarly, a court of appeal concluded that Torrance City Council members were not disqualified from voting on a conditional use permit application by reason of receiving campaign contributions from a party alleged to be in opposition to the application. BreakZone Billiards v. City of Torrance, 81 Cal. App. 4th 1205 (2000). Receipt of a campaign contribution can, however, disqualify a public official who serves on more than one public body. For example, under the Levine Act, a council member acting on behalf of an agency other than the city must abstain from a license, permit or other use entitlement decision involving an applicant, proponent or opponent who has made a contribution to the council member's campaign in excess of $250 within the preceding 12 months. The tact of the campaign contribution must also be disclosed prior to the abstention. This disqualification is inapplicable, however, if the campaign contribution is returned within 30 days of receipt. § 84308(c). 2. Application of Federal Corruption Laws to the Offer or Solicitation of Illegal Campaign Contributions Tied to an Official Act Another exception to the general rule that campaign contributions do not preclude an official from voting on a matter affecting a campaign contributor is the application of federal corruption laws to situations where the receipt of illegal, laundered or unreported campaign contributions are tied to an official act. In one recent case arising out of the City of San Diego, two council members were charged and convicted of wire fraud for conspiring to change the city's ordinance regulating adult-oriented businesses in exchange for campaign contributions from an adult-oriented business that had been illegally "laundered" through contributions made by residents of the city or which had been unreported and which constituted bribes. See United States v. Inzunza, 303 F. Supp. 2d 1041, 1043 (S.D. Cal. 2004) for a list of the charges; the case was referred to in the press as the San Diego "Strippergate" case. The charges included the alleged use of wire communications in interstate commerce in furtherance of the alleged conspiracy to defraud the public of their intangible right to honest service, in violation of 18 U.S.C. §§ 1951 (the Hobbs Act) and 1952 (Interstate Transportation in Aid of Racketeering). One of those convictions was later overturned. However, the case points out that direct connections between official acts and illegal or unreported Summary of Principal Conflicts of Interest Laws and Regulations C 2018 Richards Watson & Gershon 2178714 Page 44 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations campaign contributions may result in charges of bribery under California law and a violation of certain federal wire fraud and racketeering laws. 3. Ban on Local Agency Officials and Employees Soliciting Campaign Contributions from Officials and Employees of the Same Agency In an effort to avoid local agency public employees being drawn into local political campaigns or having their positions the subject of political reward or retribution, California law contains a prohibition on the solicitation of campaign contributions by a local agency official or employee of other officials or employees within the same local agency. Section 3205 prohibits an officer or employee of a local agency from soliciting political contributions from an officer or employee of that same local agency. The prohibition applies to incumbents seeking re-election and to non -incumbent candidates for local agency office. An exception exists for broad general public solicitations to a "significant segment of the public" that also include some local agency officials and employees of that agency. § 3205(c). No definition exists as to what constitutes a significant segment of the public. In the context of conflict of interest provisions in the Political Reform Act, that term is defined to include segments of the local agency population such as ten percent of all residents, and, in the absence of any court interpretation of the law, that standard provides some guidance on what may be a sufficiently broad solicitation to come with the scope of the exception. Violation of the prohibition is punishable as a misdemeanor and may be prosecuted only by the County District Attorney. § 3205(d). 4. Nepotism One other potential source of a conflict of interest is a governmental decision that affects a family member. If a public official's relative has an application before the government agency on which the public official serves, the public official would potentially have an improper incentive to approve the relative's application. Because the financial interests of a public official's spouse and dependent children (children under 18 years of age who are dependent financially on their parents) are attributed to the public official under the Political Reform Act and Section 1090, participation in decisions financially benefiting spouses and dependent children is limited. §§ 82030, 87103: Thorpe v. Long Beach Community College Dist., 83 Cal. App. 4th 655 (2000) (holding that Section 1090 prohibited a community college district board from voting to approve the promotion of the spouse of a board member). If the approval did not require a decision by the legislative body, however, the public entity could still potentially approve an application or make a decision if the related public official did not participate. With respect to adult children and more extended family members, the Political Reform Act and Section 1090 would not automatically apply in the absence of some financial relationship between the public official and the adult child or extended family members. Davies Advice Letter, No. 1-90-329, 1990 WL 698051 (1990). Currently, state law only prohibits such "extended family" interests for the governing boards of school districts. Educ. Code § 35107(e). Under that statute, a school board member must abstain from participating in personnel matters that uniquely affect his or her relative. Summary of Principal Conflicts of Interest Laws and Regulations (4) 2018 Richards, Watson & Gershon 2178714 Page 45 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations "Relative" is defined as an adult who is related to the official by blood or affinity within the third degree, or in an adoptive relationship within the third degree. There is no comparable statute for cities and counties, but some local governments have established similar restrictions through ordinances or policies. The issue of familial relations comes up more frequently in the context of personnel decisions, as when a public entity prohibits the hiring of relatives of public officials or employees. Such anti -nepotism policies are generally upheld by the courts. For example, in Parsons v. County of Del Norte, 728 F. 2d 1234 (9th Cir. 1984), the Ninth Circuit upheld a county policy prohibiting spouses from working in the same department. The Ninth Circuit held that the policy did not violate the Equal Protection and Due Process clauses of the U.S. Constitution and was rationally related to a legitimate government interest: avoidance of conflicts of interest and favoritism in employee hiring, supervision and allocation of duties. See also Kimura v. Roberts, 89 Cal. App. 3d 871, 875 (1979) (upholding c policy prohibiting spouses from serving on both the city council and planning commission, reasoning that "the finding of the mayor and the city council that an actual or implied conflict of interest existed, is eminently rational, practical and legally sound"). Note, however, that state law prohibits the application of anti -nepotism rules to spouses in some circumstances. The Fair Employment and Housing Act prohibits an employer from making an employment decision based on whether an employee or applicant has a spouse presently employed, except it two specific situations: • For business reasons of supervision, safety, security or morale, an employer may refuse to place one spouse under the direct supervision of the other spouse. • For business reasons of supervision, security or morale, an employer may refuse to place both spouses in the same department, division or facility if the work involves potential conflicts of interest or other hazards greater for married couples than for other persons. 2 C.C.R. § 7292.5(a) (emphasis added). Accordingly, any anti -nepotism policy that a city or county adopts must not apply to the hiring of spouses, except in cases of direct supervision, where greater conflicts or hazards occur for married persons, or where a conflict of interest statute applies. Summary of Principal Conflicts of Interest Laws and Regulations 0 2018 Richards. Watson & Gershon 2178714 Page 46 Summary of the Major Provisions and Requirements of Principal Conficts of Interest Laws and Regulations III. LAWS AND REGULATIONS AFFECTING RECEIPT OF GIFTS, HONORARIA AND LOANS The PRA provisions and other conflict of interest laws discussed above do not prohibit a public official from having an interest in a business or real property. Instead, they merely limit the official's ability to participate in governmental decisions that would materially affect those interests. There are additional restrictions in the PRA, however, with regard to certain gifts, honoraria and loans. The statute precludes local officials (including council members and planning commissioners) from receiving certain gifts, honoraria and loans. These prohibitions apply whether or not the source of the gift, honorarium or loan is or will ever be affected by a decision of the official's agency. This section outlines these prohibitions. A. Limitations on Receipt of Gifts 1. General Gift Limitation Government Code Section 89503(a) provides: "No elected state officer, elected officer of a local government agency, or other individual specified in Section 87200 shall accept gifts from any single source in any calendar year with a total value of more than [$470]." (The gift limit amount has been adjusted in accordance with Regulation 18940.2.) Officials listed in Section 87200, in turn, include mayors, council members, planning commissioners, city managers, city attorneys, city treasurers, chief administrative officers and other public officials who manage public investments, and candidates for any of these offices. A similar limitation prohibits a city employee designated in a local conflict of interest code from accepting gifts from a single source totaling more than $470 in value in any calendar year, if the gifts would be required to be reported on his or her statement of economic interests. § 89503(c). 2. Biennial Gift Limit Adjustment The Act authorizes the FPPC to make an inflationary adjustment of the gift limitations set forth in Section 89503 every two years. § 89503(f). The most recent adjustment became effective on January 1, 2017, wherein the gift limit increased to $470. Regulation 18940.2. This figure will be further adjusted in future odd -numbered years. Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson & Gershon 2178714 Page 47 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 3. Exceptions to Gifts None of the following is a gift and none is subject to any limitation on gifts (Regulation 18942) : a. informational Materials Informational materials such as books, reports, calendars, audio and video recordings, scale models, maps, free or discounted admission to informational conferences or seminars, and on-site demonstrations, tours or inspections that are provided to convey information for the purpose of assisting the official in the performance of official duties are not considered gifts. The cost of transportation for on-site demonstrations, tours or inspections may fall into this exception in particular situations. Regulations 18942(a) (1), 18942.1. b. Returned Gifts Except for passes and tickets as provided for in Regulation 18946.1, a gift that is not used and that, within 30 days of receipt, is returned, donated, or for which reimbursement is paid pursuant to Regulation 18941, is not a gift. The donation of a gift under this exception must be to either a 501(c)(3) charitable organization with which the official or a member of his or her family holds no position or to a government agency, without being claimed as a tax deduction. Regulation 18942(a) (2). c. Family Gifts A payment from an individual's family member is not subject to the gift limitations, unless the donor is acting as an agent or intermediary for any other person. The family members included in this exception are a spouse or former spouse, child or step -child, parent, grandparent, grandchild, brother, sister, current or former parent -in-law, current or former brother-in-law, current or former sister-in-law, nephew, niece, aunt, uncle, grand nephew, grand niece, grand aunt, grand uncle, first cousin or first cousin once removed, or the current or former spouse of any such person other than a former in-law. Regulation 18942(a)(3). d. Campaign Contributions Campaign contributions are not subject to gift limitations. However, an official is nonetheless required to report campaign contributions on his or her Form 700. Regulation 18942(a)(4). e. Jnherited Money or Property Devises or inheritances of any kind are exempt from gift limitations. Regulation 18942(a) (5). Summary of Principal Conflicts of Interest Lows and Regulations ® 2018 Richards, Watson 8 Gershon 2178714 Page 48 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Lows and Regulations f. Awards A personalized plaque or trophy with an individual value of less than $250 is not a gift. Regulation 18942(a)(6). g. Home Hospitality The cost of home hospitality is not considered a gift unless any part of the cost is paid directly or reimbursed by another person, any person deducts any part of the cost as a business expense on a tax return, or the host has an understanding with someone else that any amount of compensation the host receives from that person includes a portion to be utilized to provide gifts of hospitality. Regulation 18942(a)(7). "Home hospitality" is defined as any benefit received by the official, and the official's spouse and family members when accompanying the official, which is provided by an individual with whom the official has a relationship, connection, or association unrelated to the official's position and the hospitality is provided as part of that relationship, connection, or association in the individual's home when the individual is present. Home hospitality includes entertainment, occasional overnight lodging, and any food. including food provided by other guests at the event and benefits received by the official when the official serves as the host. In determining where this exception is available, the official is to presume that the cost of the hospitality is paid by the host unless the host discloses to the official or it is clear from the surrounding circumstances that someone other than the host paid the cost or part of the cost of the hospitality. Regulation 18942.2. A "home" includes a vacation home owned, rented, or leased by the irldividuul fur use as his or her residence, including in some cases a timeshare or a motor home or boat owned, rented, or leased by the individual for use as his or her residence. "Home" also includes any facility in which the individual has a right -to -use benefit by his or her home residency, such as a community clubhouse. Regulation 18942.2. h. Presents on Personal or Family Occasions Benefits commonly exchanged between an official and an individual, other than a lobbyist, on holidays, birthdays, or similar occasions are not gifts as long as the presents exchanged are not substantially disproportionate in value. For purposes of this exception, "benefits commonly exchanged" includes food, entertainment, and nominal benefits provided to guests at an event by an honoree or other individual, other than a lobbyist, hosting the event. Regulation 18942(a)(8)(A). i. Reciprocal Exchanges Reciprocal exchanges made in a social relationship between an official and another individual who is not a lobbyist and with whom the official participates in repeated social events are not gifts where the parties typically rotate payments on a continuing basis so that, over time, each party pays for approximately his or her share of the costs of the continuing activities. The repeated social events may include lunches, dinners, rounds of golf, attendance at entertainment or sporting events, or any other such event so long as the total value of payments received by the official within the year is not Summary of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards, Watson & Gershon 2178714 Page 49 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations substantially disproportionate to the amount paid by the official. If the official receives much more than what he or she paid, the official has received a gift for the excess amount. This exception does not apply to any single payment that is equal to or greater than $470. Regulation 18942(a) (8) (B). 1. Leave Credits Donated to an Official Leave credits, including vacation, sick leave, or compensatory time off, donated to an official in accordance with a bona fide catastrophic or similar emergency leave program established by the official's employer are not gifts as long as they are available to all employees in the same job classification or position. This exception does not include donations of cash. Regulation I8942(a) (9). k. Disaster Assistance Payments received under a government agency program or a program established by a 501(c) (3) organization designed to provide disaster relief or food, shelter, or similar assistance to qualified recipients are not gifts as long as such payments are available to members of the public regardless of official status. Regulation 18942(a)(10). I. Admission when "Speech" Made Payment of the official's admission by the organizer of an event is exempt from the gift limitations if the official makes a "speech" at the event. Regulation 18942(a)(11). This exemption applies if the official is "making a speech, participating on a panel, or making a substantive formal presentation at a seminar or similar event. Regulation 18950(b) (2). For the purpose of the exemption, the price of admission can include food and "nominal items" including things like pens, stress balls, note pads, etc. Regulation 18942(a) (1 1). m. Campaign Travel The payments made to an elected officer or candidate for his or her transportation, lodging, or subsistence provided in direct connection with campaign activities, including attendance at political fundraisers, are exempt from the gift limitations. Payments made during the six-month period prior to an election are considered "in direct connection" with the campaign activities if the payment is for necessary transportation, lodging, or subsistence and used for the officer's or candidate's participation in forums, debates or other speaking events or attendance at campaign strategy meetings with staff or consultants. Beyond this six-month period, the payment is considered a gift unless it is clear from the surrounding circumstances that the payment was made directly in connection with campaign activities. Regulations 18942(a) (12), 18950.4. n. Ticket for Ceremonial Role A ticket which is provided to an official and one guest of the official for his or her admission to an event where the official performs a ceremonial role on behalf of the agency is not a gift, so long as the agency reports the ticket on its Form 802. The term Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson & Gershon 2178714 Page 50 Summary of the Major Provisions and Requirements of Principal Conficts of Interest Laws and Regulations "ceremonial role" means an act performed at an event by the official as a representative of the official's agency at the request of the holder of the event where, for a period of time, the focus of the event is the act performed by the official. Examples include throwing out the first pitch at a baseball game, cutting a ribbon at a library opening, or presenting a certificate or award. A city may adopt specific policies to either limit or expand the permissible ceremonial roles for an official in that city, the full list of which must be forwarded to the FPPC. Any official who attends the event as part of his or her job duties to assist the official who is performing the ceremonial role has not received a gift or income by attending the event. Regulations 18942(a)(13), 18942.3. o. Prize or Award in Bona Fide Contest or Competition A prize or award received in a manner not related to the official's status in a bona fide contest, competition, or game of chance is not a gift. A prize or award that is not reported as a gift shall be reported as income unless the prize or award is received as a winning from the California State Lottery. Regulation 18942(a)(14). p• Weddings Benefits Benefits received as a guest attending a wedding or civil union are not gifts if the benefits are substantially the same as the benefits received by the other guests attending the event. Regulation 18942(a) (15). q. Bereavement Offerings Bereavement offerings typically provided in memory of and at the time of the passing of a spouse, parent, child, or sibling or other relative of the official are not gifts. Regulation 18942(a) (16). r. Acts of Neighborliness A service performed as an act of ordinary assistance consistent with polite behavior in a civilized society that would not normally be part of an economic transaction between like participants under similar circumstances is not a gift. Examples of such services include the loan of an item, an occasional needed ride, personal assistance in making a repair, bringing in the mail or feeding the cat while the official is away. Individuals need not be actual neighbors for this exception to apply. Regulation 18942(a)(17). s. Bona Fide Date or Dating Relationship Personal benefits commonly exchanged between people on a date or in a dating relationship are not gifts. However, such benefits are gifts if the individual providing the benefit to the official is a lobbyist or otherwise has particular interests in the official's role in the agency within 12 months of the date. Even if the benefit is from such an individual, the gift is still not reportable or subject to limits but the aggregate value is subject to the conflict of interest provisions if the value is $470 or greater. Regulation 18942(a)(18)(A). Summary of Principal Conflicts of Interest Luws and Reyululiar is C 2018 Richards. Watson & Gershon 21/8714 Paye 51 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations t. Acts of Human Comoossion Payments provided to an official or his or her family member by an individual to offset family medical or living expenses that the official can no longer meet without private assistance because of an accident, illness, employment loss, death in the family, or other unexpected calamity are not gifts. Payments provided to an official or his or her family member to defray expenses associated with humanitarian efforts such as the adoption of an orphaned child are also not gifts. However. under this exception, the source of the donation must be an individual who has a prior social relationship with the official of the type where it would be common to provide such assistance (such as a relative, long-term friend, neighbor, co-worker or former co-worker, member of the same local religious or other similar organization, etc.), or the payment must be made without regard to official status under other circumstances in which it would be common to receive community outreach. In any case, the individual providing the benefit to the official cannot be a lobby's' or otherwise have particular interests in the official's role in the agency within 12 months of the payment. Regulation 18942(a)(18)(8). u. Best Friends Forever A payment provided to an official by an individual with whom the official has a long term, close personal friendship unrelated to the official's position with the agency is not a gift. However, the individual providing the benefit to the official cannot be a lobbyist or otherwise have particular interests in the official's role in the agency within 12 months of the payment. Regulation 18942 (a) (18) (C). v. Catch -All Any other payment that would otherwise meet the definition of gift is not a gift where the payment is made by an individual who is not a lobbyist and it is clear that the payment was made because of an existing personal or business relationship unrelated to the official's position. Additionally, there can be no evidence whatsoever at the time the payment is made that the official makes or participates in the type of governmental decisions that may have a foreseeable material financial effect on the individual who is the source of the payment. Regulation 18942(a) (19). 4. Gifts to an Agency Regulation 18944 provides a narrow exception to the normal gift reporting requirements and value limitations for gifts made directly to a public agency. A payment made to a state or local government agency that is used for official agency business is not considered a gift or income to an individual public official who is the end recipient, even though the official receives an incidental personal benefit from the payment. As such, the gift does not have to be reported by the individual and is not subject to the annual value limitation. A payment shall be considered a gift to the public official's agency and not a gift to the public official if all of the following requirements are met: the payment must be Summary of Principal Conflicts of nterest Laws and Regulations ® 2018 Richards, Watson & Gershon 2178714 Page 52 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Lows and Regulations used for official agency business; the agency head must determine and control the agency's use of the payment, including the selection of the official who will use the payment; and the agency must report the payment on a Form 801. The Form 801, which must be signed by the agency head and maintained as a public record in accordance with Government Code Section 81008, must include the following information: • Donor Information: The reporting form requires not only the donor's name, but also his or her address, and must identify any other persons who contributed to the gift, as well as the amount each person contributed. If the donor is not an individual, the report must describe the business activity or nature of the entity giving the gift. • Description of Payment: The form requires a description of the payment, the date it was received, the intended purpose and the amount of the payment or the actual or estimated fair market value of the goods or services provided, if the amount is unknown. • Recipient Information: The form also requires that the agency specify the name, title, and department of the agency official who used the payment. Regulation 18944(c) (3). For any quarter year period in which the payments received by the agency aggregate to $2,500 or more since the last filing, a local agency must submit a copy of the form or a detailed summary of the information to its filing officer within 30 days after the close of the quarter. Thereafter, the filing officer must post a copy of the form or the information in a 'prominent fashion" on its website within 30 days after the close of the quarter. If the local agency does not maintain a website, the agency must send its Form 801 to the FPPC, which will post the document on its own website. Regulation 18944(d). 5. Gifts to an Official's Family Regulation 18943 governs gifts to an official's or candidate's family. This regulation was substantially revised in late 2009 and again in 2011. Regulation 18943 adds new definitions and requirements that public officials should carefully review. Regulation 18943 adds definitions for an official's "family member," which includes an official's spouse or registered domestic partner, a dependent child, and an official's child. "Dependent child" means a child (ircluding an adoptive child or stepchild) of a public official who is under 18 years old and whom the official is entitled to claim as a dependent on his or her federal tax return. Regulation 18229.1. An "official's child" (including an adoptive child or stepchild) means a child who meets all of the following criteria: • The child is at least 18 but no more than 23 years old and is a full-time or part-time student; Summary of Principal Conflicts of Interest Laws and Regulations C5) 2018 Richards. Watson 8 Gershon 2178714 Page 53 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations • The child has the same principal residence as the official. For purposes of this provision, a place, located away from the official's residence, at which the child resides for the purpose of attending school is not the child's "principal place of res dence"; and • The child does not provide more than one-half of his or her own support. Gifts to Both an Official and One or More Family Members. A single gift to both an official and one or more members of the official's family is a gift to the official for the full value of the gift. See "Wedding Gifts" section below for a particular exception to this rule. Gifts Solely to Family Members. A gift given solely to a member of an official's family is a gift to the official, when there is no established working, social, or similar relationship between the donor and the official's family member that would suggest an appropriate association for making such a payment. A gift given to a member of an official's family is also a gift to the official if there is evidence to suggest the donor had a purpose to influence the official, such as when: • The donor is a lobbyist, lobbying firm, lobbyist employer, or other similar person and is registered to lobby the official's state agency; • The donor is involved in an action or decision before the local or state government agency in which the official will reasonably foreseeably participate or in an action in which he or she has participated within the last 12 months; or • The donor has a contract with the official's agency or the donor engages in a business that regularly seeks contracts with, or licenses, permits or other entitlements from, anc the official may reasonably foreseeably make or participate in such a decision or has participated in such a decision within 12 months of the time the gift is made, unless the donor has less than 10 percent interest in the business contracting with or appearing before the agency. 6. Invitation -Only Events When an official and one of his or her guess attends an invitation -only event such as a banquet, party, gala, celebration, or other similar function, other than a non-profit or political fundraiser as set forth in Regulation 18946.4, the value received is the official's and the guest's pro -rata share of the cost of the food, catering services, entertainment, and any item provided to the official and guest that is available to all guests attending the event. Regulation 18946.2(b). A calculation of the pro -rata share means the total cost of the list expenses above, divided by the number of acceptances or the number of attendees at the event. Any other specific benefit provided to the official and guest at the event, such as golf green fees, is valued at fair market value. Regulation 18946.2(b) . Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards. Watson & Gershon 2178714 Page 54 Summary of the Major Provisions and Requirements Df Principal Conflicts of Interest Lows and Regulations a. Official or Ceremonial Functions When an official performs an official or ceremonial function at an invitation -only event in which the official is invited to participate by the event's sponsor or organizer to perform an official or ceremonial function, the value received is the pro -rata cost of any meal provided to the official and guest, plus the value of any specific item that is presented to the official and his or her guest at the event. Regulation 18946.2(d). b. Drop -In Visit Except for an event sponsored by a lobbyst, lobbying firm, or lobbyist employer, if an official attends an invitation -only event and does not stay for any meal or entertainment otherwise provided at the event, receiving only minimal appetizers or drinks, the value of the gift received is the value of any specific item, other than food, that is presented to the official and his or her guest at the event. For purposes of this regulation, "entertainment" means a feature show or performance intended for an audience and does not include music provided for background ambiance. Regulation 18946.2(e). c. lobbyists, lobbying Firms, and lobbyist EmDlovers Where an official attends an invitation -only event sponsored by a lobbyist, lobbying firm, or lobbyist employer, the value of the gift is the pro -rata share of the cost of the event. Regulation 18946.2(b), 18640. If the official notifies the lobbyist, lobbying firm, or lobbyist employer that the official attended the event but that he or she did not stay for any meal or entertainment, receiving only minimal appetizers and drinks, the value of the gift received is the value of any specific item (other than food) that is presented to the official and the official's guest at the event. Regulation 18640(b). Again, the term "entertainment" means a feature show or performance intended for an audience and does not include music provided for background ambiance. Regulation 18640. 7. Tickets to Political and Charitable Fundraisers Regulation 18946.4 provides special rules for tickets provided to public officials to fundraisers for nonprofit and political organizations. Such tickets are not considered gifts to a public official if certain requirements are met. This exception applies only to two tickets provided to an official, and only if it is provided directly by the charity or campaign committee; additional tickets are treated as gifts. The requirements vary depending on whether the organization is a 501(c)(3) nonprofit, a non -501(c)(3) nonprofit, or a political organization. a. Non -501(c)(3) Nonprofit Fundraiser Regulation 18946.4(a) provides that a ticket to a fundraising event for a nonprofit, tax- exempt organization that is neither a political campaign committee nor a 501(c) (3) nonprofit shall be valued as follows: Summary of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards. Watson & Gershon 2178714 Page 55 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations • Where the ticket to the fundraiser clearly states that a portion of the ticket price is a donation to the organization, or the organization provides information indicating the portion of the admission price that constitutes the donation, then the value of the gill is the face value of the ticket or admission reduced by the amount of the donation - i.e., the "nondeductible portion" of the price of admission. • If there is no ticket or other official information provided by the organization indicating the value of the nondeductible portion of admission, the value of the gift is the pro -rata share of the cost of any food, catering service, entertainment, and any other item provided to the official that is available to the other guests. A calculation of the pro -rata share means the total cost of the listed expenses, divided by the number of acceptances or the number of attendees. Any other specific benefit provided to the official at the event, such as golf green fees, is valued at fair market value. b. Fundraiser for a 501(c)(3) Religious, Charitable, Scientific, Literary or Educational Organization Where the event is a fundraising event for an organization exempt from taxation under Internal Revenue Code Section 501(c)(3), such an organization may provide two tickets per event to an official, and the ticket shall have no value. Regulation 18946.4(b). Any additional tickets or admissions provided by the 501(c)(3) organization, any tickets provided to or controlled by the official, and any tickets not provided directly by the 501 (c) (3) are valued as tickets from a non -501(c) (3) nonprofit. Regulation 18946.4(b). c. Political Fundraiser For the gift of a ticket, pass, or other admission privilege to a political fundraising event for a "campaign committee" or a comparable committee regulated under federal law or the laws of another state, the committee or candidate may provide two tickets per event to an official that shall be deemed to have no value. A "campaign committee" is any person or persons who directly or indirectly receives contributions totaling two thousand dollars ($2,000) or more in a calendar year (note: this was increased from $1,000 in 2015), makes independent expenditures totaling one thousand dollars ($1,000) or more in a calendar year, or makes contributions totaling ten thousand dollars ($10,000) or more in a calendar year to or at the behest of candidates or committees. Regulation 18406: § 82013. 8. Tickets and Passes to Events a. Exempt from Reporting Reauirements and Value Restrictions In 2010 and 2011, the FPPC completely revised the regulations regarding tickets and passes that provide admission or access to facilities. Regulation 18944.1 applies only to the benefits the official receives from tickets or passes given to an agency for admission to a facility, event, show or performance for an entertainment, amusement, Summary of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards, Watson & Gershon 2178714 Page 56 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Lows and Regulations recreational or similar purpose that are provided to all members of the public with the same class of ticket or pass. The regulation does not apply to: tickets to lunch or dinner events such as non-profit fundraisers where there is no recreation or entertainment; tickets provided in which the official performs a ceremonial role; or, admission provided to a school, college or university official, coach, athletic director or employee to attend an amateur event performed by students of that school, college or university. Accordingly, when a public official receives a ticket or pass from an agency and the official uses the ticket or pass, it does not have to be reported as a gift if one or more of the following exceptions apply: • Reimbursement. The ticket or pass is not considered a gift if the official reimburses the agency for the ticket. • Treated as Income. The ticket or pass is not considered a gift if the official treats the ticket or pass as income consistent with applicable state and federal income tax laws anc the agency reports the distribution of the ticket or pass as income on its Form 802. • Agency -Distributed Ticket or Pass from Outside Source. If a third party gives a ticket or pass to an agency, and the agency then distributes the ticket to an official for his or her use, it is not a gift so long as: the original source of the ticket or pass has not earmarked it for use by particular agency officials; the agency determines in its sole discretion who uses the ticket or pass; and the distribution of the ticket or pass by the agency is made in accordance with a legitimate policy adopted by the agency, as described below. • Agency -Provided Ticket or Pass. A ticket or pass that an agency (1) obtains pursuant to the terms of a contract for use of public property, (2) obtains or controls because the agency controls the event or venue, or (3) purchases at fair market value and distributes in accordance with a legitimate policy adopted by the agency, as described below, is not a gift. b. Written Policy for Distribution of Tickets. The distribution of tickets and passes described above must be made pursuant to a written policy approved by the agency's legislative or governing body and posted on the agency website and maintained as a public record, subject to inspection and copying. Regulation 18944.1(e). The policy must contain the following: (1) a provision setting forth the public purposes of the agency for which tickets or passes may be distributed, which may include supporting general employee morale, retention or to reward public service if tickets or passes are given to officials who are not elected; (2) a provision requiring that the distribution of any ticket or pass to, or at the behest of, an official accomplish a stated public purpose of the agency; and (3) a provision prohibiting the transfer of any ticket received by an agency official, except to his or her immediate family or no more than one guest. The agency's legislative or governing Summary of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards, Watson & Gershon 21/8/14 Page 57 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations body must determine whether the distribution of tickets or passes serves a legitimate public purpose of the agency, consistent with state law. c. Form 802 for Reporting Distribution of Tickets and Passes. Within 45 days of receiving a ticket or pass, the head of the agency must fill out and certify a Form 802 describing the distribution of tickets or passes to an official. The Form 802 requires: (1) the name of the official who received the ticket or pass, (2) a description and date of the event, (3) the face value of each ticket or pass, (4) the number of tickets or passes distributed to the official, (5) if the official gave the ticket or pass to another person, the name of that person, and (6) the specific public purpose under which the distribution was made or that the ticket or pass was distributed as income to the official. This form must be maintained as a public record, subject to inspection and copying. The agency must post the form, or a summary of its contents, on its website and send the FPPC, by e -mal, the agency's website link for posting on its website. Regulation 18944.1(f). 9. Gifts from a Government Agency to an Official in That Agency A payment by an agency that provides food, beverage, entertainment, goods or services of more than a nominal value to an official in that agency is a reportable gift to that official, unless the payment is a "lawful expenditure of public moneys." Regulation 18944.3. Several commentators have questioned the need or usefulness of this regulation because a public agency is already prohioited from making a payment that is not a "lawful expenditure of public moneys." Boiled down, the regulation states that it is illegal for an agency to give a gift unless the gift is legal. Until the FPPC issues some formal opinions or advice letters clarifying the regulation, or revises the text, its immediate application is unclear. 10. Wedding Gifts The value to an official of a wedding gift given to an official and his or her spouse or spouse -to -be is one-half of the gift's total value. Regulation 18946.3. This is an exception to the general rule, described above in "Gifts to an Official's Family," that a single gift to both an official and one or more members of the official's family is a gift to the official for the full value of the gift. The value of a wedding gift may exceed the gift limit, currently set at $470. Regulation 18942(b)(2). 11. Certain Gifts of Travel Payments for travel for a public official are generally subject to the annual gift limit, unless the payment is otherwise exempt. FPPC regulations state that a "payment for travel" includes "any payment that provides transportation to an official from one location to another location," as well as the cost of lodging and food connected with the travel. Regulation 18950(b). Summary of Principal Conflicts of Interest lows and Regulations C 2018 Richards, Watson & Gershon 2'78714 Page 58 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations For reporting purposes, payments of air travel are valued in accordance with FPPC regulation 18946.5, as follows. Air travel is valued as the price the carrier charges the public for the same class seat on the flight provided to the official in the case of a commercial flight. The value of all other air transportation is the value of the normal and usual charter fare or rental charge for a comparable airplane of comparable size, divided by the number of passengers aboard the flight. Exceptions for certain gifts of travel are found in both the Act and the FPPC regulations, which are discussed below. The FPPC regulations on this point were substantially revised in 2013. Public officials should review these exceptions closely and consult with the agency's legal counsel before relying on them. a. Travel payments related to speeches that serve a governmental purpose Section 89506(a)(1) exempts from the gift limit any payments, advances, and reimbursements for travel that are reasonably related to a legislative or governmental purpose or issue of public policy if made in connection with a speech made by the official in the U.S. § 89506(a)(1); Regulation 18950(b). These types of payments for travel are not subject to the gift limit, but they must still be reported on a public official's Form 700. § 89506(a) (1) ; Regulation 18950(a) . b. Travel payments related to a governmental purpose made by government agencies and certain non -profits Section 89506(a)(2) exempts from the gift limit any payments, advances, and reimbursements for travel that are reasonably related to a legislative or governmental purpose or issue of public policy if provided by a governmental agency, a 501 (c)(3) nonprofit, 14and a few other limited organizations/persons. § 89506(a)(2). These types of payments for travel are generally not subject to the gift limit, but they must still be reported on a public official's Form 700. § 89506(a)(2); Regulation 18950(a). However, Section 89506(f)(3) now clarifies that if a nonprofit is acting as an intermediary or agent of a donor, then the $470 gift limitation would apply and the original donor must be listed as the source of the gift to the official, as well as considered a financial interest for the purpose of conflicts analysis. § 89506(f)(3). c. Travel for education. training, or intra-aciencv purposes Any payment for travel and per diem expenses received from a state, local, or federal agency is not a gift or income if used by the official for "education, training, or other inter -agency programs or purposes." Regulation 18950(c)(2). With respect to nonprofit organizations that regularly organize and host travel for elected officials and who make payments. advances. or reimbursements totaling more than $10.000 tor a calendar year or $5,000 to an individual person, the Act now requires the nonprofits to disclose the names of donors responsible for funding the hovel costs. § 89506(f). An organization "regularly organizes and hosts trove!" if the organization's expenses for travel, study tours, or conferences constitutes more than one third of its total expenses. Id. In that case. the nonprofit must disclose the names of donors who contributed $1,000 or more to the nonprofit organization and who accompanied the elected official. either in person or through an agent. tor any portion of the travel. § 89506(f). Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson R Gershon 2178714 Page 59 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest laws and Regulations d. Travel in a vehicle or Diane owned by another official or agency Regulation 18950(c)(3) provides that "transportation provided to an official in a vehicle or aircraft owned by another official or agency when each official is traveling to or from the same location for an event as a representative of their respective offices" does not constitute a "payment" and therefore does not count as a gift. Regulation 18950(c)(3). e. Travel Made in Conjunction with Official Agency Business Regulation 18950.1 provides an exception for travel provided by sources other than local, state, or federal agencies if the travel is made in conjunction with certain types of official agency business. This exemption applies only to travel payments that meet all of the following requirements: • The payment is made directly to or coordinated with the government employer and not made to the employee; • The payment is used for official agency business; • The government employer determines which official will use the payment for travel; • The payment provides no personal benefit to the official who uses the payment; • The duration of travel is limited to that necessary to accomplish the purposes for which the travel was provided; and • The government employer reports the payment, as specified below. The second requirement above - that the payment be used for official agency business - is satisfied under any of the following circumstances: • The payment is made pursuant to a provision in a contract requiring the contracting party to pay ary expenses associated with any required governmental travel resulting from the government agency's participation in the contract and the payment is used for that purpose: • The payment is made for the travel expenses of an official for the purpose of performing a regulatory inspection or auditing function that the governmental employer is mandated to perform; • The payment is made for the travel expenses of an official and the official is attending solely for purposes of providing training or educational information directly related to the governmental employer's functions or duties under the laws that it administers for individuals who are affected by those laws, and the payment is made by an organization to provide such training for its members; Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson & Gershon 2178714 Page 6G Summary of the Major Provisions and Requirements of Principal Conflicts of Interest laws aril Regulations • The payment is made for the travel expenses of an official to an educational conference directly related to the governmental employer's functions or duties under the laws that it administers, the official is a named presenter at the conference, and the payment is made by the organizers of the event; • The payment is made for the travel expenses of an official for the purpose of receiving training directly related to the official's job duties and the payment is provided by an organization that commonly provides such training: • The payment is made for food provided to all attendees at a working group meeting in which the agency official participates as a representative of his or her agency in a working group meeting under his or her officially assigned job duties and the agency is authorized to provide an official to attend the meeting; or • The payment is for travel expenses that are required to attend a location to view an in place operation, structure, facility, or available product where the viewing would substantially enhance an official's knowledge and understanding in making an informed decision to enter into a contract regarding a similar operation, structure, facility or purchase of the product pursuant to the jurisdictional authority of the official's governmental employer. The third requirement above - that the payment is made directly to or coordinated with the agency - is satisfied if the government employer selects the public official who will use the payment for travel. If, however, the payment relates to an oral presentation to provide training or discuss policy and direction in implementing the agency's functions, the donor of the payment may request the official who is most qualified to make the presentation. Regulation 18950.1(d). The fourth requirement above - that the payment of travel does not provide a personal benefit to the official - is satisfied under Regulation 18950.1(e) if both of the following requirements are met: • The travel is for purposes approved by the governmental employer under the same requirements applicable to travel using its own funds, and the official is representing his or her governmental employer in the course and scope of his or her official duties. • Travel expenses are limited to no more than the expenses allowable for travel for agency business that would reasonably be paid at agency expense. The latter requirement does not apply to either of the following: • Payment for food where food is provided as part of the admission to the event. Otherwise, any payments for food must be made to the Summary of Principal Conflicts of Interest Laws arid Regulations (� 2018 Richards, Watson & Gershon 2178714 Page 61 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations government employer pursuant to the employer's per diem travel policy. Regulation 18950.1(b). • Payment for any lodging or food if the lodging and food is provided at a site where the official attends a widely attended meeting or conference and the value is substantially equivalent in value to the lodging or food typically made available to the other attendees. Regulation 18950.1(g). The sixth requirement above - that the payment is reported - is satisfied by the agency reporting the payment on a quarterly basis on a form prescribed by the FPPC. Regulation 18950.1(f). All such forms must be maintained as a public record and subject to inspection and copying under Government Code Section 81008. f. Travel in Connection with Bona Fide Business The FPPC regulations reiterate the general rule in Government Code Section 89506, whereby a payment made for transportation, lodging, or food, which is made in connection with a bona fide business trade, or profession, and which satisfies the criteria for federal income tax deductions for business expenses specified in Internal Revenue Code Sections 162 and 274, is not an honorarium or gift, unless the sole or predominant activity of the business, trade or profession is making speeches. Regulation 18950.2. g. Travel Paid from Campaign Funds A payment made to an official who is a candidate to cover his or her transportation, lodging or food, in connection with campaign activities, is a contribution to the campaign committee of that official. Regulation 18950.3(a). A payment made to an official by or at the behest of a committee for the official's actual travel expenses (including food and lodging), or for other actual and allowable campaign expenses, is neither income nor a gift to the official so ong as the expenses are reportable by the committee under the relevant sections of the Political Reform Act (Government Code Sections 84100 et seq.) or applicable federal law. Any other payment for travel from a committee to an official that is not covered by Regulation 18950.3(a) and (b) is income or a gift. Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson & Gershon 2178714 Page 62 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations B. Prohibitions on Receipt of Honoraria Government Code Section 89502 provides that an elected officer of a local government agency and any official listed in Section 87200 shall not accept an honorarium. This prohibition also applies to candidates for elective office in a local government agency. § 89502(b). An "honorarium" means any payment made in consideration for any speech given, article published, or attendance at any public or private conference, convention, meeting, social event, meal, or like gathering. § 89501. 1. Exceptions to the Prohibition on Honoraria a. Earned Income Exception "Honorarium" does not include income earned for personal services if: • The services are provided in connection with an individual's business or the individual's practice of or employment in a bona fide business, trade, or profession, such as teaching, practicing law, medicine, insurance, real estate, banking, or building contracting; and • The services are customarily provided in connection with the business, trade, or profession. Regulation 18932. b. Informational Materials "Honorarium" does not include informational materials such as books, calendars, videotapes, or free or discounted admission to educational conferences that are provided to assist the official in the performance of official duties. Regulation 18932.4(a). c. family Payments "Honorarium" does not include a payment received from one'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 person. However, a payment from any such person is an honorarium if the donor is acting as an agent or intermediary for any person not listed in this paragraph. Regulation 18932.4(b). d. Campaign Contributions "Honorarium" does not include a campaign contribution that is required to be reported. Regulation 18932.4(c). Summory of Principal Conflicts of Interest Laws and Regulations CO 2018 Richards. Watson & Gershon 2178714 Page 63 Summory of the Major Provisions and Requirements of Principal Confbcts of Interest Laws and Regulations e. Personalized Plaque or Trophy "Honorarium" does not include a personalized plaque or trophy with an individual value of less than $250. Regulation 18932.4(d). f. Admission and Incidentals at Place of Speech "Honorarium" does not include free admission, refreshments and similar non-cash nominal benefits provided to an official during the entire event at which the official gives a speech, participates in a panel or seminar, or provides a similar service, and actual intrastate transportation and any necessary lodging and subsistence provided directly in connection with the speech, panel, seminar, or service, including but not limited to meals and beverages on the day of the activity. Regulation 18932.4(e). g• Incidentals at Private Conference Likewise, "honorarium" does not include any of the following items, when provided to an individual who attends any public or private conference, convention, meeting, social event, meal, or like gathering without providing any substantive service: • Benefits, other than cash, provided at the conference, convention, meeting, social event, meal, or gathering; or • Free admission and food or beverages provided at the conference, convention, meeting, social event, meal, or gathering. However, the foregoing may be reportable as gifts. Regulation 18932.4(f). h. Travel that Is Exempt from Gifts Any payment made for transportation, lodging, and subsistence that is exempt by the gift exceptions listed in Section 89506 and Regulation 18950 et seq. also does not constitute an honorarium. Regulation 18932.4(g). C. Prohibitions on Receipt of Certain Types of Loans 1. Prohibition on Loans Exceeding $250 from Other City Officials, Employees, Consultants and Contractors Elected officials and other city officials specified in Section 87200, including council members, may not receive a personal loan that exceeds $250 at any given time from an officer, employee, member or consultant of their city or any local government agency over which their city exercises direction and control. § 87460(a), (b). In addition, elected officials and other city officials specified in Section 87200 may not receive a personal loan that exceeds $250 at any given time from any individual or entity that has a contract with their city or any agency over which their city exercises direction and control. § 87460(c), (d). Summary of Principal Conflicts of Interest Laws and Regulations 0 2018 Richards. Watson & Gershon 2178714 Page 64 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 2. Requirement for Loans of $500 or More from Other Persons and Entities to Be in Writing Elected local officials may not receive a personal loan of $500 or more unless the loan is made in writing and clearly states the terms of the loan. The loan document must include the names of the parties to the loan agreement, as well as the date, amount, interest rate, and term of the loan. The loan document must also include the date or dates when payments are due and the amount of the payments. § 87461. 3. Exceptions to Loan Limits and Documentation Requirements The following loans are not subject to the limits and documentation requirements specified in paragraphs 1 and 2 above: • Loans received from banks or other financial institutions, and retail or credit card transactions, made in the normal course of business on terms available to members of the public without regard to official status. • Loans received by an elected officer's or candidate's campaign committee. • Loans received from the elected or appointed 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 person unless he or she is acting as an agent or intermediary for another person not covered by this exemption. • Loans made, or offered in writing, prior to January 1, 1998. 4. Loans that Become Gifts are Subject to the Gift Prohibition Under the following circumstances, as stated in Government Code Section 87462, a personal loan received by any public official (elected and other officials specified in Section 87200, as well as any other local government official or employee required to file a Statement of Economic Interests) may become a gift and subject to gift and reporting limitations: • If the loan has a defined date or dates for repayment and has not been repaid, the loan will become a gift when the statute of limitations for filing an action for default has expired. • If the loan has no defined date or dates for repayment, the loan will become a gift if it remains unpaid when one year has elapsed from the later of: the date the loan was made; the date the last payment of $100 or more was made on the loan; or the date upon which the official has made payments aggregating to less than $250 during the previous 12 - month period. Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson & Gershon 2178714 Page 65 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 5. Exceptions - Loans that Do Not Become Gifts The following loans will not become gifts to an official: • A loan made to an elected officer's or candidate's campaign committee. • A loan on which the creditor has taken reasonable action to collect the balance due. • A loan described above on which the creditor, based on reasonable business considerations, has not undertaken collection action. (However, except in a criminal action, the creditor has the burden of proving that the decision not to take collection action was based on reasonable business considerations.) • A loan made to an official who has filed for bankruptcy and the loan is ultimately discharged in bankruptcy. • A loan that would not be considered a gift as outlined in paragraph 3 above (e.g., loans from family members). § 87462. Summary of Principal Conflicts of Interest Lows and Regulations ® 2018 Richards. Watson & Gershon 2178714 Page 66 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations IV. PROHIBITION AGAINST MASS MAILINGS The Political Reform Act also prohibits the sending of newsletters and other so-called "mass mailings" at public expense. §§ 89001, 89002.'5 A "mass mailing" is defined as the mailing or distribution at public expense of 200 or more items within a calendar month featuring the name, office, photograph or other reference to an elected officer of the agency. § 82041.5. The Government Code also prohibits a mass mailing from being sent within the 60 days preceding an election by or on behalf of a candidate whose name appears on the ballot. § 89003. The underlying intent of the Government Code provision and the implementing FPPC Regulation is to preclude elected officials from using newsletters as indirect campaign flyers for themselves. The law and regulations are intended to clamp down on prior abuses of newsletters so that elected officials cannot use publicly funded newsletters to bolster their name or accomplishments while in office. A. Test for Prohibited Mass Mailing The FPPC regulations previously included a four prong test to determine the legality of mass mailings. Under the statutory text, which now incorporates the requirements from the prior regulation, a mass mailing is prohibited if each of the following elements is present: • it includes the delivery of a tangible item, • it "features" an elected officer, or includes a reference to. an elected officer and is sent in cooperation with the elected officer, • it is sent at public expense, • a quantity of more than 200 substantially similar items are sent in a single calendar month. § 89002. Most public agencies that publish newsletters attempt to avoid the prohibition by ensuring that the newsletter does not meet the second element of the test. Each of the four elements is discussed in numerical order below. 1. Delivery of Tangible Item First, a court will determine whether any "item sent is delivered, by any means, to the recipient at his or her residence, place of employment or business, or post office box. The item delivered to the recipient must be a tangible item, such as a videotape, record, or button, or a written document." § 89002(a)(1). This means that if a city intends to deliver a written document, such as a city newsletter, by U.S. mail or by hand to residents or businesses, this element is satisfied. 5 Section 89002 incorporates Regulation 18901 into the statutory language to clarify the circumstances when a mailing would be prohibited by the general rule in Section 89001 and to identify certain situations when the prohibition would not apply. The FPPC recently decided to repeal Regulation 18901 now that the statute includes the same text. Summary of Principal Conflicts of Interest Laws and Regulations 69 2018 Richards. Watson & Gershon 2178714 Page 67 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 2. Features or Includes Reference to an Elected Official The second part of the test is the most important and requires that the item sent either: • Features an elected officer affiliated with the agency which produces or sends the mailing, or • Includes the name, office, photograph, or other reference to an elected officer affiliated with the agency which produces or sends the mailing, and is prepared or sent in cooperation. consultation, coordination, or concert with the elected officer. § 89002(a) (2). The term "features an elected officer" is defined to mean that "the item mailed includes the elected officer's photograph or signature or singles out the elected officer by the manner of display of his or her name or office in the layout of the document, such as by headlines, captions, type size, type face, or type color." § 89002(c) (2). And the term "elected officer affiliated with the agency" in this manner means "an elected officer who is a member, officer, or employee of the agency, or of a subunit thereof such as a committee, or who has supervisory control over the agency or appoints one or more members of the agency." § 89002(c)(1). This means that if the written document includes the photograph of a council member, even if it just shows the council member cutting a ribbon on a civic project or giving out a plaque to a member of the community, this element would be satisfied. It also precludes articles about an elected city official or articles in which they are "singled out" for discussion or reference. The other way this second part of the mass mailing test can be satisfied is if an elected city official's "name, office, photograph, or other reference" is included in a written document and the document, or any part of it "is prepared or sent in cooperation, consultation, coordination, or concert with the elected officer." This restriction presents elected officials with a choice. If the elected official involves him or herself in the preparation of the document, then even the official's name is excluded from appearing in the document pursuant to this second subpart. If, on the other hand, the elected official does not involve him- or herself in the preparation of the document, his or her name may appear in the document, but not in a way that it is "featured" by way of headlines, captions, type size, type face, or type color. 3. Public Expense The third part of the test is whether: • Any of the costs of distribution are paid for with public money; or • Costs of design, production, and printing exceeding $50 are paid with public money, and the design, production, or printing is done with the intent of sending the item other than as permitted by the statute. Summary of Principal Conflicts of Interest laws and Regulations 2018 Richards, Watson & Gershon 2178714 Page 68 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations § 89002(0)(3). This part of the test precludes the city from either paying the costs of mailing a mass mailing, or paying more than $50 of the cost of having it produced if another person or entity pays for the cost of distributing the mailing. 4. More than 200 Copies of the Item The fourth and final element of the test to determine whether a mass mailing is prohibited is whether "[mlore than 200 substantially similar items are sent in a single calendar month, excluding any item sert in response to an unsolicited request..." § 89002(a)(4). This means that if more than 200 copies of the same written document, such as a city newsletter, are sent to the public in the same month, this element will be satisfied, with minor exceptions discussed below. A city newsletter is particularly prone to violating the mass mailing proscriptions, especially the first, third and fourth elements of the test. The key to a lawful newsletter is to ensure that each issue of the newsletter fully avoids meeting the criteria of the second element of the test. This means that the newsletter cannot "feature" an elected city official and cannot include an elected official's name or reference if that official participates in the preparation of the newsletter, as discussed above. For example, many cities issue proclamations and awards at council meetings, and it is customary for an honoree to be photographed with the mayor. In order to comply with the mass mailing restrictions, the cities take two photographs: one of the honoree shaking the mayor's hand, for distribution to non -city publications such as a local newspaper, and one of the honoree standing alone, for publication in the city newsletter. B. Exceptions to the Mass Mailing Prohibition The statute now contains a list of certain types of documents that are exempt from the prohibition of mass mailings. The first of these documents is a letter on city letterhead where the elected official's name only appears in the letterhead along with a list of all other elected officers of the city and the letter does not contain other references to the elected official. § 89002(b)(1). Under this exemption, a non -elected official, such as the city manager, may send a letter on city letterhead at city expense to members of the community but an elected officer, such as the mayor. cannot do the same because the signature on the letter will be considered a separate reference to the elected official. If a letter signed by the mayor is to be sent to the community, a private individual or group would have to pay for the cost of producing and sending that letter. Other exemptions include press releases to the media, inter -agency communications, intra -agency communications, tax statements and bills, telephone directories, limited meeting or event announcements, and meeting agendas. § 89002(b). All of these items are subject to their own specific limitations, as set forth in the statutory text. Summary of Principal Conflicts of Interest Laws and Regulations Cil 2018 Richards. Watson & Gershon 2178714 Page 69 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations V. EXPENDITURES TO SUPPORT OR DEFEAT A BALLOT MEASURE A local government may not spend public funds to assist with the passage or defeat of an initiative or other ballot measure or to contribute to a campaign for or against a candidate. § 54964. Public monies may not be spent on commercials, announcements, banners or any other promotional materials. This is based on the theory that it would be unfair to voters with opposing views to use public funds in this way. The prohibition also serves to prevent elected officials from using government funds to promote themselves or their allies in office. Stanson v. Mott, 17 Cal. 3d 206, 217 (1976); League of Women Voters v. County -Wide Criminal Justice Coordinating Comm'n, 203 Cal. App. 3d 529 (1988). However, this section does not prohibit the expenditure of city funds to provide information to the public about the possible effects of the ballot measure on the activities, operations, or policies of the city, as long as these activities are otherwise allowed under California law, and the information is factual, accurate, fair, and impartial. § 54964(c). The leading California case setting forth the basic rule with respect to government involvement in political campaigns is Stanson v. Mott, 17 Cal. 3d 206 (1976). In Stanson, the California Supreme Court addressed the question of whether the State Director of Beaches and Parks was authorized to expend public funds in support of certain state bond measures for the enhancement of state and local recreational facilities. The court concluded that the Director lacked such authority and set forth the basic rule that "in the absence of clear and explicit legislative authorization, a public agency may not expend public funds to promote a partisan position in an election campaign." Only impartial "informational" communications would be permissible, such as a fair presentation of the facts in response to a citizen's request for information. The Stanson Court also recognized that the line between improper "campaign" expenditures and proper "informational" activities is not always clear. "[T]he determination of the propriety or impropriety of the expenditure depends upon a careful consideration of such factors as the style, tenor and timing of the publication; no hard and fast rule governs every case." Id. at 221-22. The Stanson test was recently reaffirmed by the California Supreme Court in Vargas v. City of Salinas, 46 Cal. 4th 1 (2009) . Prior to Vargas, courts attempting to interpret and apply Stanson used varying tests to determine the permissibility of expenditures. For example, in California Common Cause v. Duffy, an appellate court held that a local sheriff's use of public facilities and personnel to distribute postcards critical of then -Supreme Court Justice Rose Bird was "political" and not "informational" as permitted by Stanson because the cards presented only one side of Justice Bird's fitness to be retained in office. 200 Cal. App. 3d 730, 746-747 (1987). In another appellate decision, Schroeder v. City Council of Irvine, another court of appeal upheld Irvine's "Vote 2000" Program. 97 Cal. App. 4th 174 (2002). The program encouraged voter registration, without specifically advocating a particular position on any measure. Although the city had taken a public position in Summary of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards, Watson 8 Gershon 2178714 Page 70 Summary of the Major Provisions and Requirements of Principul Conflicts of Interest Laws and Regulations favor of the proposed ballot measure, the materials it distributed did not advocate any particular vote on the measure and rarely mentioned the measure at all. The Schroeder court held that the funds spent on the Vote 2000 program would be political expenditures and unlawful under Stanson only if the communications expressly advocated, or taken as a whole unambiguously urged, the passage or defeat of the measure. Because the city presented a neutral position on "Measure F," at least in the campaign materials, the court upheld the program as valid. However, in Vargas v. City of Salinas, the California Supreme Court decided that "express advocacy" is an insufficient standard. In Vargas, proponents of a local ballot initiative to repeal the city's utility users tax ("Measure 0') sued the city alleging improper government expenditures, the court held that even if a communication does not expressly advocate for either side of an issue, a Stanson analysis must nonetheless be conducted to determine whether the activity was for informational or campaigning purposes based on its style, tenor, and timing. Although the court did not specifically refer to the Schroeder analysis in its opinion, the court clearly stated that the "express advocacy" standard does not meaningfully address potential constitutional problems arising from the use of public funds for campaign activities that were identified in Stanson. Thus, local governments must look to Vargas rather than Schroeder for the proper standard to evaluate whether an expenditure is permissible. A variety of factors led to the Vargas court's conclusion that the communications were informational, including the fact that the publications avoided argumentative or inflammatory rhetoric and did not urge citizens to vote in a particular manner. The challenged expenditures were made pursuant to general appropriations in the city's regular annual budget pertaining to the maintenance of the city's website, the publication of the city's regular quarterly newsletter, and the ordinary provision of information to the public regarding the city's operations. The Supreme Court found that in posting on the city's website the minutes of city council meetings relating to the council's action along with reports prepared by various municipal departments and presented by officials at city council meetings, the city engaged in informational rather than campaign activity. Similarly, the city did not engage in campaign activity in producing a one-page document listing the program reductions that the city council voted to implement should Measure 0 be approved, or in making copies of the document available to the public at the city clerk's office and public libraries. The court reasoned that viewed from the perspective of an objective observer, the document dearly constituted an informational statement that merely advised the public of specific plans that the city council voted to implement should Measure 0 be approved. Finally, the court found that the city engaged in permissible informational activity by mailing to city residents the fall 2002 "City Round -Up" newsletter containing articles describing proposed reductions in city services. Although under some circumstances the mailing of material relating to a ballot measure to a large number of voters shortly before an upcoming election would constitute campaign activity, a number of factors supported the court's conclusion that the mailing of the newsletter constituted informational rather than campaign activity: it was a regular edition of the newsletter that was mailed to all city residents as a general practice, the style and tenor of the Summary of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards. Watson & Gershon 2178714 Page 71 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Lows and Regulations publication was entirely consistent with an ordinary municipal newsletter and readily distinguishable from traditional campaign material, and the article provided residents with important information about the tax in an objective and nonpartisan manner. The Supreme Court illustrated the insufficiency of the "express advocacy" standard by suggesting that if the city were to post billboards throughout the city prior to an election stating, "IF MEASURE 0 IS APPROVED, SIX RECREATION CENTERS, THE MUNICIPAL POOL, AND TWO LIBRARIES WILL CLOSE," it would defy common sense to suggest that the city had not engaged in campaign activity even though such advertisements would not have violated the express advocacy standard. Vargas and Stanson reflect that local agencies must exercise caution when communicating to voters about local measures. Unfortunately, there is no hard and fast rule to assist public officials in distinguishing improper partisan campaign expenditures from permissible expenditures for "informational activities." Whether a communication is permissible will be based on a combination of these factors, and public officials should therefore seek the advice of the city attorney on a case-by-case basis. Assistance may also be obtained from the FPPC. Last, public officials should also be aware of a fairly new mass mailing rule that regulates communications pertaining to candidates and ballot measures. In 2009, the FPPC adopted a new regulation to prohibit government agencies from paying for mass mailings that expressly advocate or "unambiguously urge" a particular result in an election. Regulation 18901.1 prohibits a mailing if all of the following criteria are met: • A delivery of a tangible item such as a written document, video tape, record, or button and is delivered to the recipient at his or her residence, place of employment or business, or post office box; • The item sent expressly advocates or unambiguously urges a particular result in an election; • The public agency (1 ) pays to distribute the item or (2) pays costs, exceeding $50, reasonably related to designing, producing, printing or formulating the content of the item including, but not limited to payments for polling or research and payments for the salary, expenses, or fees of the agency's employees, agents, vendors, or consultants with the intention of sending the item; and • More than 200 substantially similar items are sent during the course of the election including items sent during the qualification drive or in anticipation of an upcoming election. A mailing "unambiguously urges a particular result in an election" if the communication can be reasonably characterized as campaign material or activity and is not a fair presentation of facts serving only an informational purpose when taking into account the style, tenor, and timing of the communication. Summary of Principal Conflicts of Interest Laws and Regulations fl 2018 Richards Watson & Gershon 2178714 Page 72 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations There are exceptions to this rule, and the following are not considered campaign related mass mailings: (1) an agency report providing the agency's internal evaluation of a measure sent to a member of the public upon the individual's request; (2) a written argument sent to a voter in the voter information pamphlet; and (3) a communication clearly and unambiguously authorized by law. Essentially, this regulation utilizes the standards articulated by the Supreme Court in the Vargas case and provides that communications that violate those standards ore prohibited mass mailings. Summary of Principal Conflicts of Interest Laws and Regulations ® 2018 Richards, Watson S. Gershon 2178714 Page 73 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations VI. PROHIBITION ON GIFTS OF PUBLIC FUNDS Article XVI, Section 6 of the California Constitution prohibits state and local governments from making gifts of public funds or property. A transfer of property without consideration is a gift. Civ. Code § 1146. However, where property is transferred for a "public purpose" it will not be considered a gift of public funds. There, "[t]he benefit to the government from an expenditure for a 'public purpose' is in the nature of consideration and funds expended are therefore not a gift even though private persons are benefited therefrom." 69 Ops. Cal. Att'y Gen. 168 (1986) (citing California Employment Stabilization Comm'n v. Payne, 31 Cal. 2d 210, 216 (1947); Alameda County v. Janssen, 16 Cal. 2d 276, 281 (1940)). In determining whether a legislative body has made a gift of public funds, courts will look first at "whether the money is to be used for a public or private purpose." Oakland v. Garrison, 194 Cal. 298, 302 (1941). "If it is for a public purpose within the jurisdiction of the appropriating board or body, it is not, generally speaking, to be regarded as a gift." Id. As the California Court of Appeal explained in Board of Supervisors v. Dolan, lilt is settled that if a public purpose is served by the expenditure of public funds, the constitutional prohibition is not violated even though there may be incidental benefits to private persons." 45 Cal. App. 3d 237, 243 (1975). However, to avoid violating the constitutional prohibition, public financial assistance must be tailored or "directly related" to a public purpose. California Housing Finance Authority v. Elliott, 17 Cal. 3d 575 (1976). Thus, financial assistance that does not directly further the proffered public purpose may still be found to be unconstitutional. Courts defer to the legislative body's determination of what constitutes a "public purpose." The concept of public purpose has been "liberally construed by the courts," and a city council's determination of public purpose will be upheld unless it is "totally arbitrary." County of Alameda v. Carleson, 5 Cal. 3d 730, 746 (1971). Where a city acts pursuant to a state statute or in furtherance of a state statute, courts will defer to the state legislature in determining whether a public purpose exists. Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson & Gershon 2178714 Page 74 <t n r,(vi of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations VII. CONCLUSION More often than not, determining the application of conflicts of interest laws in particular circumstances requires complicated analysis. Because the consequences for a violation of these laws can be very serious, it is important that potential conflicts be identified as soon as possible to ensure that the appropriate analysis can be performed. To that end, we recommend that public agency staff prepare 500 feet radius maps of council member residences (and those of other public officials, such as planning commissioners) so that such officials may be alerted to projects that are located within 500 feet of their residence. Even though the materiality standards for real property interests have changed over the years, this is still an important starting point for a conflicts analysis. We encourage all public officials to keep in mind that it is the individual responsibility of each public official to determine whether he or she has a conflict in a particular decision. We encourage officials and staff to seek advice from the city attorney when in doubt about a conflicts of interest issue. Because only a formal, written opinion from the FPPC can immunize someone from prosecution, we strongly encourage officials and staff to seek advice from the city attorney as early as possible, so that, if necessary, the public agency may request a formal opinion from the FPPC prior to any participation in a decision where a public official may have a conflict. In addition, the Legislature has enacted a statute that requires public officials to take at least two hours of ethics training every two years if the local agency provides that official with any type of compensation, salary or stipend or provides reimbursement for necessary and reasonable expenses incurred by that official in the performance of their official duties. § 53235(a). Ethics training would also be required of any employee designated by the local agency to receive such training. § 53234(c). Please seek advice from the city attorney regarding further details about ethics training. Summary of Principal Conflicts of Interest Laws and Regulations © 2018 Richards, Watson & Gershon 2178714 Puge 75 Richards, Watson & Gershon delivers practical advice and solutions tailored to the unique needs of California public entities. About Working seamlessly across offices in Los AngeieL, San Francisco, Orange County, Temecula, and the Central Coast our dedicated team of experts provides the full -scope of public law services. We are the lowyers at choice for clients who seek reliable efficient and effective legal counsel. Richards. Watson & Gershon serves as city/town attorney. special counsel and general counsel to clients of all sizes and demographics. Our attorneys are proficient in areas of law only found in a firm with substantal experience in public agency representation. Local governments count on us for help with their most complex problems. Specialties Include: Administrative Law Airports, Rail & Transit Brown Act Cannabis CEQA Coastal Act Code Enforcement Conflicts of Interest Construction & Public Works ANGELES 5. Grand Avenu€ Floor s Angeles. CA 90071 N FRANCISCO Montgomery Street Ile 3800 Francisco. CA 94104 RANGE COUNTY Civic Center Circle O. Box 1059 ea. CA 92822 MEC ULA 1000 Main Street ite 309 mecuia. CA 92590 ENTRAL COAST t Monterey Street ire 201 Luis Obispo. CA 93401 •nce 1954 1 rwglaw.com Elections Eminent Domain Environment 3 Notural Resources Housing Labor & Employment Land Use & Planning Litigation Police Practices Public Finance Public Records Act Real Estate & Leasing Rent Control Subdivisions & Zoning Taxes. Fees & Assessments Telecommunications Solid Waste Stormwoter Compliance Water Rights & Water Law SECTION 8 Brown Act p HANDBOOK (11N1 Summaryof the Major Provisions and Requirements of the Ralph M. Brown Act Summary and Discussion of the Major Provisions of the Brown Act Text of the Ralph M. Brown Act Updated including changes effective January 1, 2018 RICHARDS WATSON GERSHON Table of Contents INTRODUCTION ii SUMMARY OF THE MAJOR PROVISIONS AND REQUIREMENTS OF THE RALPH M. BROWN ACT 1 APPLICATION OF BROWN ACT TO "LEGISLATIVE BODIES" 1 II. DEFINITION OF "MEETING" 2 III. EXCEPTIONS TO MEETING REQUIREMENT 2 A. The Individual Contact Exception 3 B. The Seminar or Conference Exception 3 C. The Community Meeting Exception 3 D. The Other Legislative Body Exception 3 E. The Social or Ceremonial Occasion Exception 4 F. The Standing Committee Exception 4 IV. PERMITTED LOCATIONS OF MEETINGS AND TELECONFERENCING 4 V. ADA COMPLIANCE 5 VL SIMULTANEOUS OR SUCCESSIVE MEETINGS 5 VII. SERIAL MEETINGS 5 A. Contacts with Staff 6 B. Contacts with Constituents, Developers and Lobbyists 7 C. Contacts with Fellow Members of the Same Legislative Body 7 VIII. NOTICE, AGENDA AND REPORTING REQUIREMENTS 8 A. Time of Notice and Content of Agenda 8 B. Action and Discussion on Non -agenda Items 10 C. Reporting of Actions 12 IX. PUBLIC PARTICIPATION 12 A. Regular Meetings 12 B. Public Comments at Special Meetings 13 C. Limitations on the Length and Content of Public Comments 13 D. Additional Rights of the Public 14 X. CLOSED SESSIONS 15 XI. ENFORCEMENT 16 XII. CONCLUSION 18 The Ralph M. Brown Act 19 Ralph M. Brown Act © 2018 Richards. Watson & Gershon 2178711 Pagel INTRODUCTION This Handbook is prepared to provide you with a summary of the major provisions of California's open meeting law for local governments - the Ralph M. Brown Act, including rules about calling and holding various types of meetings and closed sessions, as well as guidelines for how to avoid serial meetings. The second part contains the complete text of the Brown Act. This Handbook is designed for local government officials and staff and we hope you will find it useful. Should you have any questions about the information included in this Handbook, please do not hesitate to contact us. Richards, Watson & Gershon Ralph M. Brown Act © 2018 Richards. Watson & Gershon 2178711 Page ii Summary of the Major Provisions and Requirements of the Ralph M. Brown Act IIRWG Ralph M. Brown Act CO 2018 Richards. Watson & Gershon 2178711 Page 1 Summary of the Major Provisions and Requirements of the Ralph M. Brown Act The Ralph M. Brown Act, more commonly known as the "Brown Act," is California's "sunshine" law for local government. The Brown Act is found in the California Government Code commencing with Section 54950. In a nutshell, the Brown Act requires local government business to be conducted at open and public meetings, except in certain limited situations. This paper briefly summarizes and discusses the major provisions of the Brown Act. I. APPLICATION OF BROWN ACT TO "LEGISLATIVE BODIES" The requirements of the Brown Act apply to "legislative bodies" of local governmental agencies. The term "legislative body" is defined to include the governing body of a local agency (e.g., the city council or the board of supervisors) and any commission, committee, board, or other body of the local agency, whether permanent or temporary, decision making or advisory, that is created by formal action of a legislative body. § 54952(a) -(b). Standing committees of a legislative body, that have either "continuing subject matter jurisdiction" or a meeting schedule fixed by formal action of the legislative body, ore also subject to the requirements of the Brown Act. Some common examples include the finance, personnel, or similar policy subcommittees of a legislative body. Standing committees exist to make routine, regular recommendations on a specific subject matter. These committees continue to exist over time and survive resolution of any one issue or matter. They are also a regular part of the governmental structure. The Brown Act does not apply to "ad hoc" committees comprised solely of members of the legislative body that are less than a quorum of the body, provided these committees do not have a "continuing subject matter jurisdiction," or a meeting schedule fixed by formal action of the legislative body. Such ad hoc committees are purely advisory; they generally serve only a limited or single purpose, are not perpetual, and are dissolved when their specific task is completed. Advisory and standing committees, but not ad hoc committees, are required to have agendas, and to have their agendas posted at least 72 hours in advance of their meetings. If this is done, the meeting is considered to be a regular meeting for all purposes. If the agenda is not posted at least 72 hours in advance, the meeting must be treated as a special meeting, and all of the limitations and requirements for special meetings apply, as discussed later. Ralph M, Brown Act ® 2018 Richards, Watson & Gershon 2178711 Page 1 Summary of the Major Provisions of the Ralph M. Brown Act The governing boards of some private corporations, limited liability companies, and private entities may be subject to the Brown Act under certain circumstances. A private entity's governing board constitutes a legislative body within the meaning of the Brown Act if either of the following applies: (i) the private entity is created by an elected legislative body to exercise lawfully delegated authority of the legislative body; or (ii) the private entity receives funds from a local agency and its governing board includes a member of the legislative body of the local agency who was appointed by the legislative body to the governing board as a full voting member. § 54952(c). The Brown Act also applies to persons who are elected to serve as members of a legislative body of a local agency even before they assume the duties of office. § 54952.1. Under this provision, the statute is applicable to newly elected, but not -yet - sworn -in, city council members and members of county boards of supervisors. II. DEFINITION OF "MEETING" The central provision of the Brown Act requires that all "meetings" of a legislative body be open and public. The Brown Act defines the term "meeting" very broadly, § 54952.2, and encompasses almost every gathering of a majority of legislative body members, including: Any congregation of a majority of the members of a legislative body at the same time and location ... to hear, discuss, deliberate, or take action on any item that is within the subject matter jurisdiction of the legislative body. In plain English, this definition means that a meeting is any gathering of a majority of council members, board of directors, or other applicable legislative body, to hear, discuss or deliberate any item of local agency business or potential local agency business. III. EXCEPTIONS TO MEETING REQUIREMENT There are six types of gatherings that are not subject to the Brown Act. We commonly refer to these exceptions as: (1) the individual contact exception; (2) the seminar or conference exception; (3) the community meeting exception; (4) the other legislative body exception; (5) the social or ceremonial occasion exception; and (6) the standing committee exception. Unless a gathering of a majority of the members of a legislative body falls within one of the exceptions discussed below, even if a majority of members are merely in the same room listening to a discussion of local agency business, they will be participating in a meeting within the meaning of the Brown Act that requires notice, an agenda, and a period for public comment. Ralph M. Brown Act © 2018 Richords, Watson & Gershon 2178711 Page 2 Summary of the Major Provisions of the Ralph M. Brown Act A. The individual Contact Exception Conversations, whether in person, by telephone or other means, between a member of a legislative body and any other person do not constitute a meeting under the Brown Act. § 54952.2(c) (1). However, such contacts may constitute a "serial meeting" (discussed below) in violation of the Brown Act, if the individual also makes a series of individual contacts with other members of the legislative body, and communications with these other members are used to "discuss, deliberate, or take action on any item of business that is within the subject matter jurisdiction of the legislative body." B. The Seminar or Conference Exception Attendance by a majority of the legislative body at a seminar. conference, or similar educational gathering is generally exempted from Brown Act requirements. § 54952.2(c)(2). However, in order to qualify under this exception, the seminar or conference must be open to the public and must involve issues of general interest to the public or to local agencies. Attendance at a California League of Cities or California Contract Cities seminar is an example of an educational gathering that fulfills these requirements. However, as with many of the exceptions, this exception will not apply if a majority of legislative body members discuss among themselves items of specific business relating to their own local agency other than as part of the scheduled program. C. The Community Meeting Exception The community meeting exception allows a majority of legislative body members to attend privately sponsored neighborhood meetings, town hall forums, chamber of commerce lunches or other community meetings at which issues of local interest are discussed. § 54952.2(c)(3). In order to fall within this exception, however, the community meeting must satisfy specific criteria. First, the community meeting must be "open and publicized." Therefore, a homeowners' association meeting restricted to the residents of a particular development and only publicized to those residents cannot be attended by a majority of the legislative body without following the Brown Act requirements because the meeting does not qualify for the exception. And again, for those meetings that fall within the community meeting exception, a majority of legislative body members cannot discuss among themselves items of business of their own local agency other than as part of the scheduled program. D. The Other Legislative Body Exception This exception allows a majority of members of any legislative body to attend open and noticed meetings of other legislative bodies of their local agency, or of another local agency, without treating such attendance as a meeting of the body. § 54952.2(c)(4). Of course, the legislative body members are prohibited from discussing items of business of their local agency among themselves other than as part of the scheduled meeting. Ralph M. Brown Act © 2018 Richards. Watson B Gershon 2178711 Page 3 Summary of the Major Provisions of the Ralph M Brown Act E. The Social or Ceremonial Occasion Exception As has always been the case, the Browr Act does not apply to attendance by a majority of the legislative body members at purely social or ceremonial occasions. § 54952.2(c)(5). This exception only applies if a majority of legislative body members do not discuss among themselves items of business of their local agency. F. The Standing Committee Exception The standing committee exception allows members of a legislative body, who are not members of a standing committee of that body, to attend an open and noticed meeting of the committee without making the gathering a meeting of the full legislative body itself. § 54952.2(c)(6). If a majority of the legislative body is created by the attendance of the additional members, the legislative body members who are not members of the standing committee may attend only as "observers." This means that the noncommittee members of the legislative body should not speak at the standing committee's meeting, sit in their usual seat on the dais, or otherwise participate in the meeting. It is generally recommended that, if a standing committee meeting is likely to be attended by other legislative body members, then the meeting should be agendized as a meeting of the whole legislative body. This will allow full participation by all members of the legislative body. IV. PERMITTED LOCATIONS OF MEETINGS AND TELECONFERENCING The Brown Act generally requires all meetirgs of a legislative body to occur within the boundaries of the local agency. § 54954(b). There are exceptions to this rule, however, such as allowing meetings with a legislative body of another local agency in that agency's jurisdiction. Meetings held outside of a local agency's boundaries pursuant to an exception still must comply with agenda and notice requirements, as discussed below. "Teleconferencing" may be used by members of a legislative body as a way to participate fully in the meeting from remote locations. § 54953(b). If a member participates in a meeting via teleconferencing, the following requirements apply: (1) the remote location must be connected to the main meeting location by telephone, video or both; (2) the notice and agenda of the meeting must identify the remote location; (3) the remote location must be posted and accessible to the public; (4) all votes must be by roll call: and (5) the meeting must comply with the Brown Act, which includes allowing participation by members of the public present in remote locations. A quorum of the legislative body must participate from locations within the jurisdiction, but other members may participate from outside the jurisdiction. The teleconferencing rules only apply to members of the legislative body. Staff members, attorneys, or consultants may participate remotely without following the posting and public access requirements of the teleconferencing rules. Ralph M. Brown Act 2018 Richards. Watson & Gershon 2178711 Page 4 Summary of the Maior Provisions of the Ralph M. Brown Act V. ADA COMPLIANCE Pursuant to Section 54953.2, all meetings of a legislative body, other than closed session meetings or parts of meetings involving a closed session, are required to be held in a location and conducted in a manner that complies with the Americans with Disabilities Act of 1990. In addition, if requested, the agenda and documents in the agenda packet shall be made available in alternative formats to persons with a disability. § 54954.1. The agenda shall include information regarding how, to whom, and when a request for disability -related modification or accommodation, including auxiliary aids or services, may be made by a person with a disability who requires a modification or accommodation in order to participate in the meeting. § 54954.2. VI. SIMULTANEOUS OR SUCCESSIVE MEETINGS A legislative body that has convened a meeting and whose membership constitutes a quorum of any other legislative body may convene a meeting of that other legislative body, simultaneously or successively, only if a clerk or a member of the convened legislative body announces the following prior convening the simultaneous or successive meeting: 1) There is u subsequent legislalive body; 2) The compensation or stipend, if any, each member may receive as a result of the multiple meetings; and 3) The form of that compensation or stipend will be provided. The compensation and stipend is not required to be announced if it is listed in a statute without additional compensation authorized by the local agency, and in any case, the announced compensation must not incude amounts reimbursed for actual and necessary expenses incurred by a member in the performance of his or her official duties. § 54952.3. VII. SERIAL MEETINGS In addition to regulating all gatherings of a majority of the members of a legislative body, the Brown Act also addresses certain contacts between individual members of the legislative body. On the one hand, the Brown Act specifically provides that nothing in the Act is intended to impose requirements on individual contacts or conversations between a member of a legislative body and any other person. § 54952.2(c) (1). This provision even applies to individual contacts between two members of the legislative body (the individual contact exception to the "meeting" described above). Despite this exception, however, the Brown Act prohibits 'serial meetings.' § 54952.2(b) (1). Ralph M. Brown Act ® 2018 Richards, Watson & Gershon 2178711 Page 5 Summary of the Major Provisions of the Ralph M. Brown Act A serial meeting is a series of meetings or communications, either in person or by other means, between individual members of the legislative body in which ideas are exchanged among a majority of a legislative body. A serial meeting can occur even though a majority of legislative body members never gather in a room at the same time, and it typically occurs in one of two ways. The first is when a staff member, a legislative body member or some other person individually contacts a majority of legislative body members and shares ideas among the majority ("I've talked to members A and B and they will vote 'yes.' Will you?"). Alternatively, member A calls member B. who then calls member C, and so on, until a majority of the legislative body has discussed or deliberated or has taken action on the item of business. The prohibition against serial meetings does not, however, prohibit communications between staff and legislative body members for the purpose of answering questions or providing information regarding a matter that is within the subject matter jurisdiction of the local agency, as long as the staff person does not communicate, with other members of the legislative body, the comments or positions of any other member of the legislative body. § 54952.2(b)(2). Observing the following guidelines can avoid inadvertent violation of the serial meeting rule. A. Contacts with Staff Staff can inaavertently become a conduit among a majority of a legislative body in the course of providing briefings on items of local agency business. Originally, the California Court of Appeal, held that staff briefings of individual city council members do not constitute an illegal serial meeting under the Brown Act unless there was additional evidence that: (1) staff acted as a personal intermediary for other members of the legislative body; and (2) the meetings led to a collective concurrence among members of the legislative body. Following that decision, the state legislature amended Government Code Section 54952.2 in 2008, effective in 2009, to further clarify that staff briefings of individual city council members for the purpose of answering questions or providing information regarding an item of business do not constitute an illegal serial meeting under the Brown Act as long as a staff person does not communicate the comments or positions of a member of the legislative body to other members. Staff briefings must therefore be handled carefully. To avoid having a staff briefing become a serial meeting: • Staff briefings of members of the legislative body should be "unidirectional" when done on an individual basis for a majority of the legislative body. This means that information should flow from staff to the member, and the member's participation should be limited to asking questions and acquiring information. Otherwise, if multiple members separately give staff direction thereby causing staff to shape or modify their ultimate recommendations in order to reconcile the views of a majority of the members, a violation might occur. • A legislative body member should not ask staff to describe the views of any other members of the legislative body, and staff should not volunteer those views if known. Ralph M. Brown Act ® 2018 Richards. Watson & Gershon 2178711 Page 6 Summary of the Major Provisions of the Ralph M. Brown Act • Staff may present their views to a legislative body member during an individual contact, but staff should not ask for that member's views unless it is absolutely clear that staff is not discussing the matter with a majority of the legislative body. B. Contacts with Constituents, Developers and Lobbyists A constituent, developer, or lobbyist can also inadvertently become an intermediary among a majority of members of a legislative body thereby creating an illegal serial meeting in violation of the Brown Act. Such persons' unfamiliarity with the requirements of the Brown Act aggravate this potential problem because they may expect a legislative body member to be willing to commit to a position in a private conversation in advance of a meeting. To avoid violations arising from contacts with constituents, developers and lobbyists: • State the ground rules "up front." Ask if the person has talked, or intends to talk, with other members of the legislative body about the same subject. If the answer is "yes," then make it clear that the person should not disclose the views of other legislative body member(s) during the conversation. • Explain to the person that you will not make a final decision on a matter prior to the meeting. For example: "State law prevents me from giving you a commitment outside a noticed meeting. I will listen to what you have to say and give it consideration as I make up my mind." • Do more listening and asking questions than expressing opinions. If you disclose your thoughts about a matter, counsel the person not to share them with other members of the legislative body. C. Contacts with Fellow Members of the Same Legislative Body Direct contacts concerning local agency business with fellow members of the same legislative body - whether through face-to-face or telephonic conversations, notes, letters, online exchanges, e-mail with or to staff members - are the most obvious means by which an illegal serial meeting can occur. This is not to say that a member of a legislative body is precluded from discussing items of local agency business with another member of that legislative body outside of a meeting; as long as the communication does not involve a majority of the legislative body, no "meeting" has occurred. There is, however, always the risk that one participant in the communication will disclose the views of the other participant to a third or fourth legislative body member, creating the possibility of a discussion of an item of business outside a noticed public meeting. Therefore, avoid discussing city business with a majority of the members of your legislative body, and communicating the views of other legislative body members outside a meeting. Ralph M. Brown Act ® 2018 Richards, Watson & Gershon 21/8711 Page 7 Summary of the Major Provisions of the Ralph M. Brown Act These suggested rules of conduct may seem unduly restrictive and impractical, and may make acquisition of important information more difficult or time-consuming. Nevertheless, following them will help assure that your conduct comports with the Brown Act's goal of achieving open government. If you have questions about compliance with the Act in any given situation, you should seek advice from your city attorney. Adherence to the foregoing guidelines is not a substitute for securing advice from your legal counsel. VIII. NOTICE, AGENDA AND REPORTING REQUIREMENTS A. Time of Notice and Content of Agenda Two key provisions of the Brown Act which ensure the public's business is conducted openly are the requirements that legislative bodies publicly post agendas prior to their meetings, (§§ 54954.2, 54955, 54956, and 54957.5) and that no action or discussion may occur on items or subjects not listed on the posted agenda (§ 54954.2). The limited exceptions to the rule against discussing or taking action not on a posted agenda are discussed further below. Legislative bodies, except advisory committees and standing committees, are required to establish a time and place for holding regular meetings. § 54954(a). A "regular" meeting is a meeting that occurs on the legislative body's established meeting day. Agendas for a regular meeting must be publicly posted 72 hours in advance of the meeting in a place that is freely accessible to the public. Agendas must contain a brief general description of each item of business to be transacted or discussed at the meeting. § 54954.2(a). The description should inform the public of the "essential nature" of the matter, but need not exceed 20 words. San Diegans for Open Government v. City of Oceanside, 209 Cal. Rptr. 3d 305, 310 (Ct. App. 2016), as modified (Nov. 7, 2016). Courts will uphold a challenge to the sufficiency of an agenda item description when the description provides fair notice of what the agency will consider. The San Diegans for Open Government case provides an example of a sufficient agenda description that provides fair notice. In San Diegans for Open Government, the Oceanside City Council approved a subsidy agreement with a hotel developer using the following agenda item description: Adoption of a resolution to approve: 1. An Agreement Regarding Real Property (Use Restrictions) between the City of Oceanside and SD Malkin Properties Inc. to guarantee development and use of the property as a full service resort consistent with the entitlements for the project; 2. An Agreement Regarding Real Property to provide a mechanism to share Transit Occupancy Tax (TOT) generated by the Project; 3. A Grant of Easement to permit construction of a subterranean parking garage under Mission Avenue; 4. A report required by AB 562 prepared by Paul Marra of Keyser Marston and Ralph M. Brown Act 2018 Richards. Watson & Gershon 2178711 Page 8 Summary of the Major Provisions of the Ralph M. Brown Act Associates documenting the amount of subsidy provided to the developer, the proposed start and end date of the subsidy, the public purpose of the subsidy, the amount of the tax revenue and jobs generated by the project; and 5. A License Agreement to permit construction staging for the project on a portion of Lot 26. The court ruled that this agenda description complied with the requirements of Government Code Section 54954.2 because the agenda description expressly gave the public notice that the council would consider a fairly substantial development of publicly owned property as a hotel, that the City would share the transient occupancy tax generated by the project, and that the transaction would involve a subsidy by the City. Additional information, while helpful, was not necessary to provide fair notice of the essential nature of the action under state law. The Court found that the language of the agenda, considered as a whole, provided more than a "clue" that the City planned to provide the developer with a substantial and ongoing financial subsidy in exchange for the project. In contrast, in Hernandez v. Town of Apple Valley, No. E063721, 2017 WL 56338 (Cal. Ct. App. Jan. 5, 2017), the court held that the Apple Valley Town Council's agenda description was insufficient. There, the Apple Valley Town Council adopted three resolutions that called for a special election related to an initiative to adopt a commercial specific plan and the filing of arguments and rebuttal arguments for and against the initiative. In addition, the Town Council adopted a Memorandum of Understanding ("MOU") that authorized the acceptance of a gift from an interested party, Wal-Mart, to pay for the special election. The agenda description for the matter read "Wal-Mart Initiative Measure" and included a recommendation for action that read "jpjrovide direction to staff." The court reiterated that the Brown Act requires that each item of business be placed on the agenda. Specifically, the court highlighted that nothing in the agenda description, or even in the agenda packet, indicated hat the Town Council was going to consider an MOU to accept a gift from Wal-Mart to pay for a special election to pass the initiative. The court concluded that the City violated the Brown Act by omitting the MOU from the agenda description because the omission meant that the plaintiff was given no notice of the item of business. Agendas must also be posted on the local cgency's website, if one exists, for City Council meetings, and meetings of any other legislative body where some members are City Council members and are compensated for their appearance. While the language of the 72 hour posting requirement appears absolute, the California Attorney General recently opined that technical difficulties, such as a power failure, cyber attack, or other third -party interference that prevents a local agency from posting its agenda on its website for the full 72 hours will not necessarily preclude the legislative body from lawfully holding its meeting. 16 Cal. Daily Op. Serv. 937 (Jan. 19, 2016). Whether a public meeting may continue as scheduled requires a fact specific analysis, that turns on whether the local agency has otherwise "substantially complied" with the Brown Act's agenda posting requirements by properly posting a physical agenda and making other Ralph M. Brown Act 2018 Richards. Watson & Gershon 2178711 Page 9 Summary of the Major Provisions of the Ralph M. Brown Act "reasonably effective efforts" (such as making the agenda available on social media or some other alternative website) to notify the public of the meeting. Please note that the adoption of a CEQA document, such as an environmental impact report or a negative declaration, by a Planning Commission or a City Council is a distinct item of business separate from the item approving the project and must be expressly described in an agenda. A "special" meeting is a meeting that is held at a time or place other than the time and place established for regular meetings. For special meetings, the "call and notice" of the meeting and the agenda must be posted, including in some cases on the local agency's website, at least 24 hours prior to the meeting. § 54956. Additionally, each member of the legislative body must personally receive written notice of the special meeting either by personal delivery or by "any other means" (such as facsimile, e-mail or U.S. mail) at least 24 hours before the time of the special meeting, unless they have previously waived receipt of written notice. Members of the press (including radio and television stations) and other members of the public can also request written notice of special meetings and, if they have, then that notice must be given at the same time notice is provided to members of the legislative body. An "emergency" meeting may be called to address certain emergencies, such as a terrorist act or crippling disaster, without complying with the 24-hour notice requirement. Certain requirements apply for notifying the press and for conducting closed sessions as part of those meetings, and except as specified, all other rules governing special meetings apply. § 54956.5. Both regular and special meetings may be adjourned to another time. Notices of adjourned meetings must be posted on the door of the meeting chambers where the meeting occurred within 24 hours after the meeting is adjourned. § 54955. If the adjourned meeting occurs more than five days after the prior meeting, a new agenda for that adjourned meeting must be posted 72 hours in advance of the adjourned meeting. § 54954.2(b)(3). The Brown Act requires local agencies to mail the agenda or the full agenda packet to any person making a written request no Iarer than the time the agenda is posted or is delivered to the members of the body, whichever is earlier. A local agency may charge a fee to recover its costs of copying and mailing. Any person may make a standing request to receive these materials, in which event the request must be renewed annually. Failure by any requestor to receive the agenda does not constitute grounds to invalidate any action taken at a meeting. § 54954.1. B. Action and Discussion on Non -agenda Items The Brown Act also ensures the public's business is conducted openly by restricting a legislative body's ability to deviate from posted agendas. The statute affords a legislative body limited authority to act on or discuss non -agenda items at regular meetings, but forbids doing so at special meetings. Ralph M. Brown Act 19 2018 Richards, Watson & Gershon 2178711 Page 10 Summary of the Major Provisions of the Ralph M. Brown Act As a general rule, a legislative body may not act on or discuss any item that does not appear on the agenda posted for a regular meeting. § 54954.2. This rule does not, however, preclude a legislative body from acting on a non -agenda item that comes to the local agency's attention subsequent to the agenda posting which requires immediate action. In order to utilize this exception, the legislative body must make findings of both components of the exception by a two-thirds vote of those present (by unanimous vote if less than two-thirds of the body is present). This means that if four members of a five -member body are present. three votes are required to add the item; if only three are present, a unanimous vote is required. In addition, an item not appearing on an agenda may be added if the legislative body determines by a majority vote that an emergency situation exists. For purposes of this exception, the term "emergency situation" refers to work stoppages or crippling disasters that severely impair public health, safety, or both. Notwithstanding the two general exceptions set forth above, a legislative body may also discuss non -agenda items at a regular meeting under the following five additional exceptions: • Members of the legislative body or staff may briefly respond to statements made or questions posed by persons during public comment periods; • Members of the legislative body or staff may ask a question for clarification, make a brief announcement or make a brief report on their own activities; • Members of the legislative body may, subject to the procedural rules of the body, provide a reference to staff or other resources for factual information; • Members of the legislative body may, subject to the procedural rules of the body, request staff to report back to the legislative body at a subsequent meeting concerning any matter; and • Members of the legislative body may, subject to the procedural rules of the body, take action to direct staff to place a matter of business on a future agenda. Therefore, spending a few minutes to discuss whether a matter should be placed on a future agenda or asking staff procedural questions is permissible. Cruz v. City of Culver City, 2 Cal.App.5th 239 (2016). The legislative body may not, however, discuss non - agenda items to any significant degree. This means there should not be long or wide- ranging question and answer sessions on non -agenda items between the legislative body and the public, or between the legislative body and staff. It is important to follow these exceptions carefully and construe them narrowly to avoid tainting an important and complex action by a non-agendized discussion of the item. The Brown Act contains even more stringent regulations to restrict action on and discussion of non -agenda items at special meetings. In particular, the statute mandates that only business that is specified in the "call and notice" of the special meeting may be Ralph M. Brown Act CO 2018 Richards Watson & Gershon 2178711 Page 1 i Summary of the Major Provisions of the Ralph M. Brown Act considered by the legislative body. § 54956. Notwithstanding, a special meeting may not be called to discuss compensation of a local agency executive. § 54956(b). C. Reporting of Actions The Brown Act mandates the public reporting of individual votes or abstentions by members of legislative bodies on any given motion or action. This requirement may be satisfied in most situations by reporting the individual vote or abstention of each member in the minutes of a meeting. § 54953. As of January 1, 2017, the Brown Act also requires that the legislative body orally report a summary of recommendations made with respect to the salary, salary schedule, or compensation paid to a local agency executive. The legislative body must issue the report at the same meeting in which the final action on compensation is being considered. § 54953(c). IX. PUBLIC PARTICIPATION A. Regular Meetings The Brown Act mandates that every agenda for a regular meeting provide an opportunity for members of the public to directly address the legislative body on any matter that is within the subject matter jurisdiction of the legislative body. § 54954.3(a). In addition, the Brown Act requires the legislative body to allow members of the public to comment on any item on the agenda either before or during the body's consideration of that item. § 54954.3(a). Some local agencies accomplish both requirements by placing a general audience comment period at the beginning of the agenda where the public can comment on both agenda and non -agenda items. Others provide public comment periods as each item or group of items comes up on the agenda, and then leaves the general public comment period to the end of the agenda. Either method is permissible, though public comment on public hearing items must be taken during the hearing. The Brown Act allows a legislative body to preclude public comments on an agenda item in one situation - where the item was considered by a committee, composed solely of members of the body, that held a meeting where public comments on that item were allowed. So, if the legislative body has standing committees (which are required to have agendized and open meetings with an opportunity for the public to comment on agenda items), and the committee has previously considered an item, then at the time the item comes before the full legislative body. the body may choose not to take additional public comments on that item. However, if the version presented to the full legislative body is different from the version presented to, and considered by, the committee, then the public must be given another opportunity to speak on that item at the meeting of the full body. § 54954.3. Ralph M. Brown Act ® 2018 Richards. Watson 8 Gershon 2178711 Page 17 Summary of the Major Provisions of the Ralph M. Brown Aci B. Public Comments at Special Meetings The Brown Act requires that agendas for special meetings provide an opportunity for members of the public to address the legislative body concerning any item listed on the agenda before or during the body's consideration of that item. § 54954.3(a). Unlike regular meetings, though, the legislative body does not have to allow public comment on non -agenda matters at a special meeting. C. Limitations on the Length and Content of Public Comments A legislative body may adopt reasonable regulations limiting the total amount of time allocated to each person for public testimony. Typical time limits restrict speakers to three or five minutes. If an individual utilizes a translator to give testimony and simultaneous translation equipment is not used, the legislative body must allot at least twice the standard amount of time to the speaker. A legislative body may also adopt reasonable regulations limiting the total amount of time allocated for public testimony on legislative matters, such as a zoning ordinance or other regulatory ordinance. § 54954.3(b). However, setting total time limits per item for any quasi-judicial matter, such as a conditional use permit application, is not recommended because the time restriction could violate the due process rights of those who were not able to speak to the body during the time allotted. The Brown Act precludes a legislative body from prohibiting public criticism of the policies, procedures, programs, or services of the local agency or the acts or omissions of the body. § 54954.3(c). This restriction does not mean that a member of the public may say anything during public testimony. If the topic of the public's comments falls outside the subject matter jurisdiction of the local agency, the legislative body may stop a speaker's comments. A legislative body also may adopt reasonable rules of decorum that preclude a speaker from disrupting, disturbing or otherwise impeding the orderly conduct of its meetings. § 54954.3(b). The right to publicly criticize a public official does not include the right to slander that official, though the line between criticism and slander is often difficult to determine in the heat of the moment. Care must be given to avoid violating the free speech rights of speakers by suppressing opinions relevant to the business of the legislative body. Finally, in some circumstances, the use of profanity may serve as a basis for stopping a speaker. It will depend, however, upon what profane words or comments are made and the context of those comments. Therefore, no one should be ruled out of order for profanity unless the language both is truly objectionable and causes a disturbance or disruption in the proceeding. Ralph M. Brown Act UJ 2018 Richards. Watson & Gershon 2178711 Page 13 Summary of the Major Provisions of the Ralph M. Brown Act D. Additional Rights of the Public The Brown Act grants the public the right to videotape or broadcast a public meeting, as well as the right to make a motion picture or still camera record of such meeting. § 54953.5(a). A legislative body may prohibit or limit recording of a meeting, however, if the body finds that the recording cannot continue without noise, illumination, or view obstruction that constitutes, or would constitute, a disruption of the proceedings. § 54953.6. Any audio or videotape record of an open and public meeting that is made, for whatever purpose, by or at the direction of the local agency is a public record and is subject to inspection by the public consistent with the requirements of the Public Records Act. § 54953.5(b). The local agency must not destroy the tape or film record for at least 30 days following the date of the taping or recording. Inspection of the audiotape or videotape must be made available to the public for free on equipment provided by the local agency. The Brown Act requires written material distributed to a majority of the body by any person to be provided to the public without delay. This rule is inapplicable, to attorney- client memoranda, the confidentiality of which was affirmed by the California Supreme Court in Roberts v. City of Palmdale, 5 Cal 4th 363 (1993). However, if non -privileged material is distributed during the meeting and prepared by the local agency, it must be available for public inspection at the meeting. If it is distributed during the meeting by a member of the public, it must be made available for public inspection after the meeting. § 54957.5(c). If material related to an agenda item is distributed to a majority of the body less than 72 hours prior to an open session of a regular meeting, the writing must be made available at the same time for public inspection at a public office or location that has been designated in advance for such purpose. Each local agency must list the address of the designated office or location on the agendas for all meetings of the legislative body of that agency. § 54957.5(b). Although this Brown Act provision technically requires an agency to list the designated office address on closed session meeting agendas, it does not require an agency to make such closed session documents and materials available for public inspection. A local agency may also post all documents made available for public inspection pursuant to Section 54957.5(b) on the agency's Internet Web site. However, a local agency may not post the writings to its website in lieu of designating a public office or location for inspection of physical copies of the documents. We recommend that local agencies implement the following procedures to comply with Section 54957.5(b): • Place a binder at the agency's principal place of business next to the public counter agenda packet that identifies the contents as follows: "Disclosable public documents related to an open session agenda item on Ralph M. Brown Act © 2018 Richards, Watson & Gershon 2178711 Page 14 Summary of the Major Provisions of the Ralph M. Brown Act the Agenda Packet distributed by the [AGENCY] to a majority of the [LEGISLATIVE BODY] less than 72 hours prior to the meeting." • On the agenda template for all meetings, there should be a standard footer or statement that indicates the following: Any disclosable public writings related to an open session item on a regular meeting agenda and distributed by the [AGENCY] to at least a majority of the [LEGISLATIVE BODY] less than 72 hours prior to that meeting are available for public inspection at the Counter at [AGENCY'S PLACE OF BUSINESS] located at [ADDRESS] and [optional] the Counter at the Library located at [LIBRARY ADDRESS] during normal business hours. [Optional] In addition, the Agency may also post such documents on the Agency's Web site at [WEB SITE ADDRESS]. • On the [AGENCY'S] Web site, create a subfolder under the agenda packet folder that identifies the contents of the subfolder as follows: "Disclosable public documents related to an open session agenda item on the Agenda Packet distributed by the [AGENCY] to a majority of the [LEGISLATIVE BODY] less than 72 hours prior to the meeting." • On all documents made available for public inspection pursuant to Section 54957.5(b), make a notation of the date when distributed to at least a majority of the legislative body and placed in the binder at agency's place of business, [optional] the Library, or [optional] on the agency's Web silo. • Charge customary photocopying charges for copies of such documents. One problem left unaddressed by Section 54957.5(b) is what to do when written materials are distributed directly to a majority of the legislative body without knowledge of staff, or even without the legislative body members knowing that a majority has received it. The law still requires these materials to be treated as public records. Thus, it is a good idea for at least one member of the legislative body to ensure that staff gets a copy of any document distributed to members of the legislative body so that copies can be made for the local agency's records and for members of the public who request a copy. X. CLOSED SESSIONS The Brown Act allows a legislative body to convene a "closed session" during a meeting in order to meet privately with its advisors on specifically enumerated topics. Sometimes people refer to closed sessions as "executive sessions," which is a holdover term from the statute's early days. Examples of business that may be conducted in closed session include personnel evaluations, threats to public safety, labor negotiations, pending litigation, real estate negotiations, and consideration of a response to an audit report. §§ 54956.8, 54956.9, 54957, 54957.6, 54957.75. Political sensitivity of an item is not a lawful reason for a closed session discussion. Ralph M. Brown Act © 2018 Richards, Watson & Gershon 2178711 Page 15 Summary of the Major Prov sions of the Ralph M. Brown Act The Brown Act requires that closed session business be described on the public agenda. Moreover, there is a "bonus" of sorts for using prescribed language to describe closed sessions in that legal challenges to the adequacy of the description are precluded when such language is used. § 54954.5. This so-called "safe harbor" encourages many local agencies to use a very similar agenda format, especially in light of a California Court of Appeal ruling that a local agency substantially complied with the Brown Act's requirement to describe closed session agenda items even though the notice referred to the wrong subsection of Section 54956.9. Castaic Lake Water Agency v. Newhall County Water District, 238 Cal.App. 4th 1 196 (2015). Audio recording of closed sessions is not required unless a court orders such recording after finding a closed session violation. § 54960. Closed sessions may be started in a location different from the usual meeting place as long as the location is noted on the agenda and the public can be present when the meeting first begins. Moreover, public comment on closed session items must be allowed before convening the closed session. After a closed session, the legislative body must reconvene the public meeting and publicly report certain types of actions if they were taken, and the vote on those actions. § 54957.1. There are limited exceptions for specified litigation decisions, and to protect the victims of sexual misconduct or child abuse. Contracts, settlement agreements or other documents that are finally approved or adopted in closed session must be provided at the time the closed session ends to any person who has made a standing request for all documentation in connection with a request for notice of meetings (typically members of the media) and to any person who makes a request within 24 hours of the posting of the agenda, if the requestor is present when the closed session ends. § 54957.1. One perennial area of confusion is whether a legislative body may discuss the salary and benefits of an individual employee (such as a city manager) as part of a performance evaluation session under Section 54957. It may not. However, the body may designate a negotiator or negotiators, such as two members of a five -member legislative body, to negotiate with that employee, and then meet with the negotiator(s) in closed session under Section 54957.6 to provide directions on salary and compensation issues. The employee in question may not be present in such a dosed session. The Brown Act prohibits attendees from disclosing confidential information obtained during a closed session, unless the legislative body authorizes the disclosure. violations can be addressed through injunctions, disciplinary action, and referral to the grand jury. § 54963. XI. ENFORCEMENT There are both civil remedies and criminal misdemeanor penalties for Brown Act violations. The civil remedies include injunctions against further violations, orders nullifying any unlawful action, orders determining tat an alleged act violated the Brown Act, orders determining the validity of any rule to penalize or discourage the expression of a member of the legislative body, and remedies for breaching closed session confidences. §§ 54960, 54960.1, 54960.2, 54963. Ralph M Brown Act O 2018 RIchords. Watson & Gershon 2178711 Page 16 Summary of the Major Provisions of the Ralph M. Brown Act The procedures for claiming there was a Brown Act violation vary depending upon what the complaining party is seeking. If the complaining party is seeking to invalidate an action based on a violation of the Brown Act, the procedures for doing so are set forth in Section 54960.1, as summarized below. If the complaining party is merely seeking a determination that a Brown Act violation occurred or desires the court to impose an order preventing further violations, the procedures for doing so are set forth in Section 54960.2, also as summarized below. Under Section 54960.1, prior to filing suit to obtain a judicial determination that an action is null and void because of an alleged Brown Act violation, the complaining party must make a written demand on the legislative body to cure or correct the alleged violation. The written demand must be made within 90 days after the challenged action was taken. However, if the challenged action was taken in open session and involves a violation of the agenda requirements of Section 54954.2, then the written demand must be made within 30 days. The legislative body is required to cure or correct the challenged action and inform the party who filed the demand of its correcting actions, or its decision not to cure or correct, within 30 days. The complaining party must file suit within 15 days after receipt of the written notice from the legislative body, or if there is no written response, within 15 days after the 30 -day cure period expires. § 54960.1(b). Under Section 54960.2, prior to filing suit to obtain a judicial determination that an alleged Brown Act violation occurred after January 1. 2013, the district attorney or interested person must submit a cease and desist letter to the legislative body clearly describing the legislative body's past action and the nature of the alleged violation within nine months of the alleged violation. Second, the legislative body may respond within 30 days, including responding with an unconditional commitment to cease, desist from, and not repeat the past action that is alleged to violate the Brown Act. If the legislative agency responds with an unconditional commitment, that commitment must be approved by the legislative body in open session at a regular or special meeting as a separate item of business not on the consent calendar, and must be in substantially the form set forth in Section 54960.2(c)(1). Also, a legislative body may resolve to rescind an unconditional commitment with proper notice to the public and to each person to whom the unconditional commitment was made. Upon rescission, the district attorney or any interested person may file an action pursuant to Section 54960(a). Finally, Section 54960.2 provides further deadlines and requirements that must be met when filing an action in connection with an unconditional commitment. § 54960.2. A member of a legislative body will not be criminally liable for a violation of the Brown Act unless the member intends to deprive the public of information which the member knows or has reason to know the public is entitled to under the Brown Act. § 54959. This standard became effective in 1994 and is a different standard from most criminal standards. Until it is applied and interpreted by a court, it is not clear what type of evidence will be necessary to prosecute a Brown Act violation. Ralph M. Brown Act © 2018 Richards. Watson & Gershon 2178711 Page 17 Summary of the Major Provisions of the Ralph M. Brown Act XII. CONCLUSION The Brown Act's many rules and ambiguities can be confusing, and compliance with it can be difficult. In the event that you have any questions regarding any provision of the law, you should contact your legal counsel for advice. Ralph M. Brown Act ® 2018 Richards. Watson & Gershon 2178711 Page 18 The Ralph M. Brown Act Updated including changes effective January 1, 2018 Ralph M. Brown Act © 2018 Richards. Watson & Gershon 2178711 Page 19 Text of the Ralph M. Brown Act The Ralph M. Brown Act Government Code §§ 54950-54963 Section 54950. Declaration of public policy In enacting this chapter, the Legislature finds and declares that the public commissions, boards and councils and the other public agencies in this State exist to aid in the conduct of the people's business. It is the intent of the law that their actions be taken openly and that their deliberations be conducted openly. The people of this State do not yield their sovereignty to the agencies which serve them. The people, in delegating authority, do not give their public servants the right to decide what is good for the people to know and what is not good for them to know. The people insist on remaining informed so that they may retain control over the instruments they have created. Section 54950.5. Title of act This chapter shall be known as the Ralph M. Brown Act. Section 54951. "Local agency" As used in this chapter, "local agency" means a county, city, whether general law or chartered, city and county, town, school district, municipal corporation, district, political subdivision, or any board, commission or agency thereof, or other local public agency. Section 54952. "Legislative body" As used in this chapter, "legislative body" means: (a) The governing body of a local agency or any other local body created by state or federal statute. (b) A commission, committee, board, or other body of a local agency, whether permanent or temporary, decisionmaking or advisory, created by charter, ordinance, resolution. or formal action of a legislative body. However, advisory committees, composed solely of the members of the legislative body that are less than a quorum of the legislative body are not legislative bodies, except that standing committees of a legislative body, irrespective of their composition, which have a continuing subject matter jurisdiction, or a meeting schedule fixed by charter, ordinance, resolution, or formal action of a legislative body are legislative bodies for purposes of this chapter. (c) (1) A board, commission, committee, or other multimember body that governs a private corporation, limited liability company, or other entity that either: Ralph M. Brown Act ® 2018 Richards. Watson & Gershon 2178711 Page 20 Text of the Ralph M. Brown Act (A) Is created by the elected legislative body in order to exercise authority that may lawfully be delegated by the elected governing body to a private corporation, limited liability company, or other entity. (B) Receives funds from a local agency and the membership of whose governing body includes a member of the legislative body of the local agency appointed to that governing body as a full voting member by the legislative body of the local agency. (2) Notwithstanding subparagraph (8) of paragraph (1), no board, commission, committee, or other multimember body that governs a private corporation, limited liability company, or other entity that receives funds from a local agency and, as of February 9, 1996, has a member of the legislative body of the local agency as a full voting member of the governing body of that private corporation, limited liability company, or other entity shall be relieved from the public meeting requirements of this chapter by virtue of a change in status of the full voting member to a nonvoting member. (d) The lessee of any hospital the whole or part of which is first leased pursuant to subdivision (p) of Section 32121 of the Health and Safety Code after January 1, 1994, where the lessee exercises any material authority of a legislative body of a local agency delegated to it by that legislative body whether the lessee is organized and operated by the local agency or by a delegated authority. Section 54952.1. Conduct and treatment of electee Any person elected to serve as a member o' a legislative body who has not yet assumed the duties of office shall conform his or her conduct to the requirements of this chapter and shall be treated for purposes of enforcement of this chapter as if he or she has already assumed office. Section 54952.2. Specified communications of legislative body of local agency prohibited outside meeting thereof (a) As used in this chapter, "meeting" means any congregation of a majority of the members of a legislative body at the same time and location, including teleconference location as permitted by Section 54953, to hear, discuss, deliberate, or take action on any item that is within the subject matter jurisdiction of the legislative body. (b) (1) A majority of the members of c legislative body shall not, outside a meeting authorized by this chapter, use a series of communications of any kind, directly or through intermediaries, to discuss, deliberate, or take action on any item of business that is within the subject matter jurisdiction of the legislative body. (2) Paragraph (1) shall not be construed as preventing an employee or official of a local agency, from engaging in separate conversations or communications outside of a meeting authorized by this chapter with members of a legislative body in order to answer questions or provide information regarding a matter that is within the subject matter jurisdiction of the local agency, if that person does not communicate to members Ralph M. Brown Act © 2018 Richards. Watson & Gershon 2178711 Page 21 Text of the Ralph M. Brown Act of the legislative body the comments or position of any other member or members of the legislative body. (c) Nothing in this section shall impose the requirements of this chapter upon any of the following: (1) Individual contacts or conversations between a member of a legislative body and any other person that do not violate subdivision (b). (2) The attendance of a majority of the members of a legislative body at a conference or similar gathering open to the public that involves a discussion of issues of general interest to the public or to public agencies of the type represented by the legislative body, provided that a majority of the members do not discuss among themselves, other than as part of the scheduled program, business of a specified nature that is within the subject matter jurisdiction of the local agency. Nothing in this paragraph is intended to allow members of the public free admission to a conference or similar gathering at which the organizers have required other participants or registrants to pay fees or charges as a condition of attendance. (3) The attendance of a majority of the members of a legislative body at an open and publicized meeting organized to address a topic of local community concern by a person or organization other than the local agency, provided that a majority of the members do not discuss among themselves, other than as part of the scheduled program, business of a specific nature that is within the subject matter jurisdiction of the legislative body of the local agency. (4) The attendance of a majority of the members of a legislative body at an open and noticed meeting of another body of the local agency, or at an open and noticed meeting of a legislative body of another local agency, provided that a majority of the members do not discuss among themselves, other than as part of the scheduled meeting, business of a specific nature that is within the subject matter jurisdiction of the legislative body of the local agency. (5) The attendance of a majority of the members of a legislative body at a purely social or ceremonial occasion, prov ded that a majority of the members do not discuss among themselves business of a specific nature that is within the subject matter jurisdiction of the legislative body of the local agency. (6) The attendance of a majority of the members of a legislative body at an open and noticed meeting of a standing committee of that body, provided that the members of the legislative body who are not members of the standing committee attend only as observers. Section 54952.3. Simultaneous or serial order meetings authorized; Requirements: Compensation or stipend (a) A legislative body that has convened a meeting and whose membership constitutes a quorum of any other legislative body may convene a meeting of that other legislative body, simultaneously or in serial order, only if a clerk or a member of the Ralph M. Brown Act 19 2018 Richards, Watson & Gershon 2178711 Page 22 Text of the Ralph M. Brown Act convened legislative body verbally announces, prior to convening any simultaneous or serial order meeting of that subsequent legislative body, the amount of compensation or stipend, if any, that each member will be entitled to receive as a result of convening the simultaneous or serial meeting of the subsequent legislative body and identifies that the compensation or stipend shall be provided as a result of convening a meeting for which each member is entitled to collect compensation or a stipend. However, the clerk or member of the legislative body shall not be required to announce the amount of compensation if the amount of compensaton is prescribed in statute and no additional compensation has been authorized by a local agency. (b) For purposes of this section, compensation and stipend shall not include amounts reimbursed for actual and necessary expenses incurred by a member in the performance of the member's official duties, including, but not limited to, reimbursement of expenses relating to travel, meals, and lodging. Section 54952.6. "Action taken" As used in this chapter, "action taken" means a collective decision made by a majority of the members of a legislative body, a collective commitment or promise by a majority of the members of a legislative body to make a positive or a negative decision, or an actual vote by a majority of the members of a legislative body when sitting as a body or entity, upon a motion, proposal, resolution, order or ordinance. Section 54952.7. Copy of chapter A legislative body of a local agency may require that a copy of this chapter be given to each member of the legislative body and any person elected to serve as a member of the legislative body who has not assumed the duties of office. An elected legislative body of a local agency may require that a copy of this chapter be given to each member of each legislative body all or a majority of whose members are appointed by or under the authority of the elected legislative body. Section 54953. Requirement that meetings be open and public; Teleconferencing; Teleconference meetings by health authority (a) All meetings of the legislative body of a local agency shall be open and public, and all persons shall be permitted to attend any meeting of the legislative body of a local agency, except as otherwise provided in ths chapter. (b) (1) Notwithstanding any other provision of law, the legislative body of a local agency may use teleconferencing for the benefit of the public and the legislative body of a local agency in connection with any meeting or proceeding authorized by law. The teleconferenced meeting or proceeding shall comply with all requirements of this chapter and all otherwise applicable provisions of law relating to a specific type of meeting or proceeding. (2) Teleconferencing, as authorized by this section, may be used for all purposes in connection with any meeting within the subject matter jurisdiction of the legislative body. All votes taken during a teleconferenced meeting shall be by roilcall. Ralph M. Brown Act ® 2018 Richards. Watson & Gershon 2178711 Page 23 Text of the Ralph M Brown Act (3) If the legislative body of a local agency elects to use teleconferencing, it shall post agendas at all teleconference locations and conduct teleconference meetings in a manner that protects the statutory and constitutional rights of the parties or the public appearing before the legislative body of a local agency. Each teleconference location shall be identified in the notice and agenda of the meeting or proceeding, and each teleconference location shall be accessible to the public. During the teleconference, at least a quorum of the members of the legislative body shall participate from locations within the bourdaries of the territory over which the local agency exercises jurisdiction, except as provided in subdivision (d). The agenda shall provide an opportunity for members of the public to address the legislative body directly pursuant to Section 54954.3 at each teleconference location. (4) For the purposes of this section, "teleconference" means a meeting of a legislative body, the members of which are in different locations, connected by electronic means, through either audio or video, or both. Nothing in this section shall prohibit a local agency from providing the public with additional teleconference locations. (c) (1) No legislative body shall take action by secret ballot, whether preliminary or final. (2) The legislative body of a local agency shall publicly report any action taken and the vote or abstention on that action of each member present for the action. (3) Prior to taking final action, the legislative body shall orally report a summary of a recommendation for a final action on the salaries, salary schedules, or compensation paid in the form of fringe benefits of a local agency executive, as defined in subdivision (d) of Section 351 1.1, during the open meeting in which the final action is to be taken. This paragraph shall not affect the public's right under the California Public Records Act (Chapter 3.5 (commencing with Section 6250) of Division 7 of Title 1) to inspect or copy records created or received in the process of developing the recommendation. (d) (1) Notwithstanding the provisions relating to a quorum in paragraph (3) of subdivision (b), if a health authority conducts a teleconference meeting, members who are outside the jurisdiction of the authority may be counted toward the establishment of a quorum when participating in the telecorference if at least 50 percent of the number of members that would establish a quorum are present within the boundaries of the territory over which the authority exercises jurisdiction, and the health authority provides a teleconference number, and associated access codes, if any, that allows any person to call in to participate in the meeting and the number and access codes are identified in the notice and agenda of the meeting. (2) Nothing in this subdivision shall be construed as discouraging health authority members from regularly meeting at a common physical site within the jurisdiction of the authority or from using teleconference locations within or near the jurisdiction of the authority. A teleconference meeting for which a quorum is established pursuant to this subdivision shall be subject to all other requirements of this section. Ralph M. Brown Act ® 2018 Richards, Watson 8 Gershon 2178711 Page 24 Text of the Ralph M, Brown Act (3) For purposes of this subdivision, a health authority means any entity created pursuant to Sections 14018.7, 14087.31, 14087.35, 14087.36, 14087.38, and 14087.9605 of the Welfare and Institutions Code, any joint powers authority created pursuant to Article 1 (commencing with Section 6500) of Chapter 5 of Division 7 for the purpose of contracting pursuant to Section 14087.3 of the Welfare and Institutions Code, and any advisory committee to a county sponsored health plan licensed pursuant to Chapter 2.2 (commencing with Section 1340) of Division 2 of the Health and Safety Code if the advisory committee hos 12 or more members. (4) This subdivision shall remain in effect only until January 1, 2018. Section 54953.1. Grand jury testimony The provisions of this chapter shall not be construed to prohibit the members of the legislative body of a local agency from giving testimony in private before a grand jury, either as individuals or as a body. Section 54953.2. Meetings to conform to Americans with Disabilities Act All meetings of a legislative body of a local agency that are open and public shall meet the protections and prohibitions contained in Section 202 of the Americans with Disabilities Act of 1990 (42 U.S.C. Sec. 12132), and the federal rules and regulations adopted in implementation thereof. Section 54953.3. Registration of attendance A member of the public shall not be required, as a condition to attendance at a meeting of a legislative body of a local agency, to register his or her name, to provide other information, to complete a questionnaire, or otherwise to fulfill any condition precedent to his or her attendance. If an attendance list, register, questionnaire, or other similar document is posted at or near the entrance to the room where the meeting is to be held, or is circulated to the persons present during the meeting, it shall state clearly that the signing, registering, or completion of the document is voluntary, and that all persons may attend the meeting regardless of whether a person signs, registers, or completes the document. Section 54953.5. Recording proceedings (a) Any person attending an open and public meeting of a legislative body of a local agency shall have the right to record the proceedings with an audio or video recorder or a still or motion picture camera in the absence of a reasonable finding by the legislative body of the local agency that the recording cannot continue without noise, illumination, or obstruction of view that constitutes, or would constitute, a persistent disruption of the proceedings. (b) Any audio or video recording of an open and public meeting made for whatever purpose by or at the direction of the local agency shall be subject to inspection pursuant to the California Public Records Act (Chapter 3.5 (commencing with Section 6250) of Ralph M. Brown Act 2018 Richards, Watson & Gershon 2178711 Page 25 Text of the Ralph M Brown Act Division 7 of Title 1), but, notwithstanding Section 34090, may be erased or destroyed 30 days after the recording. Any inspection of an audio or video recording shall be provided without charge on equipment made available by the local agency. Section 54953.6. Restrictions on broadcasts of proceedings No legislative body of a local agency shall prohibit or otherwise restrict the broadcast of its open and public meetings in the absence of a reasonable finding that the broadcast cannot be accomplished without noise, illumination, or obstruction of view that would constitute a persistent disruption of the proceedings. Section 54953.7. Access to meetings beyond minimal standards Notwithstanding any other provision of law, legislative bodies of local agencies may impose requirements upon themselves whicn allow greater access to their meetings than prescribed by the minimal standards set forth in this chapter. In addition thereto, an elected legislative body of a local agency may impose such requirements on those appointed legislative bodies of the local agency of which all or a majority of the members are appointed by or under the authority of the elected legislative body. Section 54954. Rules for conduct of business: Time and place of meetings (a) Each legislative body of a local agency, except for advisory committees or standing committees, shall provide, by ordinance, resolution, bylaws, or by whatever other rule is required for the conduct of business by that body, the time and place for holding regular meetings. Meetings of advisory committees or standing committees, for which an agenda is posted at least 72 hours in advance of the meeting pursuant to subdivision (a) of Section 54954.2, shall be considered for purposes of this chapter as regular meetings of the legislative body. (b) Regular and special meetings of the legislative body shall be held within the boundaries of the territory over which the local agency exercises jurisdiction, except to do any of the following: (1) Comply with state or federal law or court order, or attend a judicial or administrative proceeding to which the local agency is a party. (2) Inspect real or personal property which cannot be conveniently brought within the boundaries of the territory over which the local agency exercises jurisdiction provided that the topic of the meeting is limited to items directly related to the real or personal property. (3) Participate in meetings or discussions of multiagency significance that are outside the boundaries of a local agency's jurisdiction. However, any meeting or discussion held pursuant to this subdivision shall take place within the jurisdiction of one of the participating local agencies and be noticed by all participating agencies as provided for in this chapter. Ralph M. Brown Act © 2018 Richards, Watson & Gershon 21787)1 Page 26 Text of the Ralph M. Brown Act (4) Meet in the closest meeting facility if the local agency has no meeting facility within the boundaries of the territory over which the local agency exercises jurisdiction, or at the principal office of the local agency if that office is located outside the territory over which the agency exercises jurisdiction. (5) Meet outside their immediate jurisdiction with elected or appointed officials of the United States or the State of California when a local meeting would be impractical, solely to discuss a legislative or regulatory issue affecting the local agency and over which the federal or state officials have jurisdiction. (6) Meet outside their immediate jurisdiction if the meeting takes place in or nearby a facility owned by the agency, provided that the topic of the meeting is limited to items directly related to the facility. (7) Visit the office of the local agency's legal counsel for a closed session on pending litigation held pursuant to Section 54956.9, when to do so would reduce legal fees or costs. (c) Meetings of the governing board of a school district shall be held within the district, except under the circumstances enumerated in subdivision (b), or to do any of the following: (1) Attend a conference on nonadversarial collective bargaining techniques. (2) Interview members of the public residing in another district with reference to the trustees' potential employment of an applicant for the position of the superintendent of the district. (3) Interview a potential employee from another district. (d) Meetings of a joint powers authority shall occur within the territory of at least one of its member agencies, or as provided in subdivision (b). However, a joint powers authority which has members throughout the state may meet at any facility in the state which complies with the requirements of Section 54961. (e) If, by reason of fire, flood, earthquake, or other emergency, it shall be unsafe to meet in the place designated, the meetings shall be held for the duration of the emergency at the place designated by the presiding officer of the legislative body or his or her designee in a notice to the local media that have requested notice pursuant to Section 54956, by the most rapid means of communication available at the time. Section 54954.1. Request for notice; Renewal; Fee Any person may request that a copy of the agenda, or a copy of all the documents constituting the agenda packet, of any meeting of a legislative body be mailed to that person. If requested, the agenda and documents in the agenda packet shall be made available in appropriate alternative formats to persons with a disability, as required by Section 202 of the Americans with Disabilities Act of 1990 (42 U.S.C. Sec. 12132), and the federal rules and regulations adopted in implementation thereof. Upon receipt of the Ralph M. Brown Act ® 2018 Richards Watson K Gershon 2178711 Page 27 Text of the Ralph M Brown Act written request, the legislative body or its designee shall cause the requested materials to be mailed at the time the agenda is posted pursuant to Section 54954.2 and 54956 or upon distribution to all, or a majority of all, of the members of a legislative body, whichever occurs first. Any request for mailed copies of agendas or agenda packets shall be valid for the calendar year in which it is filed, and must be renewed following January 1 of each year. The legislative body may establish a fee for mailing the agenda or agenda packet, which fee shall not exceed the cost of providing the service. Failure of the requesting person to receive the agenda or agenda packet pursuant to this section shall not constitute grounds for invalidation of the actions of the legislative body taken at the meeting for which the agenda or agenda packet was not received. Section 54954.2. Posting of agenda; Actions not on agenda (a) (1) At least 72 hours before a regular meeting, the legislative body of the local agency, or its designee, shall post an agenda containing a brief general description of each item of business to be transacted or discussed at the meeting, including items to be discussed in closed session. A brief general description of an item generally need not exceed 20 words. The agenda shall specify the time and location of the regular meeting and shall be posted in a location that is freely accessible to members of the public and on the local agency's Internet Web site, if the local agency has one. If requested, the agenda shall be made available in appropriate alternative formats to persons with a disability, as required by Section 202 of the Americans with Disabilities Act of 1990 (42 U.S.C. Sec. 12132), and the federal rules and regulations adopted in implementation thereof. The agenda shall include information regarding how, to whom, and when a request for disability -related modification or accommodation, including auxiliary aids or services, may be made by a person with a disability who requires a modification or accommodation in order to participate in the public meeting. (2) For a meeting occurring on and after January 1, 2019, of a legislative body of a city, county, city and county, special district, school district, or political subdivision established by the state that has an Internet Web site, the following provisions shall apply: (A) An online posting of cn agenda shall be posted on the primary Internet Web site homepage of a city, coLnty, city and county, special district, school district, or political subdivision established by the state that is accessible through a prominent, direct link to the current agenda. The direct link to the agenda shall not be in a contextual menu; however, a link in addilon to the direct link to the agenda may be accessible through a contextual menu. (B) An online posting of an agenda including, but not limited to, an agenda posted in an integrated agenda management platform, shall be posted in an open format that meets all of the following requirements: (i) Retrievable, downloadable, indexable, and electronically searchable by commonly used Internet search applications. (ii) Platform independent and machine readable. Ralph M. Brown Act CI 2018 Richards. Watson & Gershon 21 7871 1 Page 28 Text of the Ralph M. Brown Act (iii) Available to the public free of charge and without any restriction that would impede the reuse or redistribution of the agenda. (C) A legislative body of a city, county, city and county, special district, school district, or political subdivision established by the state that has an Internet Web site and an integrated agenda management platform shall not be required to comply with subparagraph (A) if all of the following are met: (i) A direct link to the integrated agenda management platform shall be posted on the primary Internet Web site homepage of a city, county, city and county, special district, school district, or political subdivision established by the state. The direct link to the integrated agenda management platform shall not be in a contextual menu. When a person clicks on the direct link to the integrated agenda management platform, the direct link shall take the person directly to an Internet Web site with the agendas of the legislative body of a city, county, city and county, special district, school district, or political subdivision established by the state. (ii) The integrated agenda management platform may contain the prior agendas of a legislative body of a city, county, city and county, special district, school district, or political subdivision established by the state for all meetings occurring on or after January 1, 2019. (iii) The current agenda of the legislative body of a city, county, city and county, special district, school district, or political subdivision established by the state shall be the first agenda available at the top of the integrated agenda management platform. (iv) All agendas posted in the integrated agenda management platform shall comply with the requirements in clauses (i), (ii), and (iii) of subparagraph (B). (D) For the purposes of this paragraph, both of the following definitions shall apply: (1) "Integrated agenda management platform" means an Internet Web site of a city, county, city and county, special district, school district, or political subdivision established by the state dedicated to providing the entirety of the agenda information for the legislative body of the city, county, city and county, special district, school district. or political subdivision established by the state to the public. (ii) "Legislative body" has the same meaning as that term is used in subdivision (a) of Section 54952. (E) The provisions of this paragraph shall not apply to a political subdivision of a local agency that was established by the legislative body of the city, county, city and county, special district, school district, or political subdivision established by the state. Ralph M. Brown Act *2018 Richards. Watson E. Gershon 2178711 Page 29 Text of the Ralph M. Brown Act (3) No action or discussion shall be undertaken on any item not appearing on the posted agenda, except that members of a legislative body or its staff may briefly respond to statements made or questions posed by persons exercising their public testimony rights under Section 54954.3. In addition, on their own initiative or in response to questions posed by the public, a member of a legislative body or its staff may ask a question for clarification, make a brief announcement, or make a brief report on his or her own activities. Furthermore, a member of a legislative body, or the body itself, subject to rules or procedures of the legislative body, may provide a reference to staff or other resources for factual information, request staff to report back to the body at a subsequent meeting concerning any matter, or take action to direct staff to place a matter of business on a future agenda. (b) Notwithstanding subdivision (a), the legislative body may take action on items of business not appearing on the posted agenda under any of the conditions stated below. Prior to discussing any item pursuant to this subdivision, the legislative body shall publicly identify the item. (1) Upon a determination by a majority vote of the legislative body that an emergency situation exists, as defined in Section 54956.5. (2) Upon a determination by a two-thirds vote of the members of the legislative body present at the meeting, or, if less than two-thirds of the members are present, a unanimous vote of those members present, that there is a need to take immediate action and that the need for action came to the attention of the local agency subsequent to the agenda being posted as specified in subdivision (a). (3) The item was posted pursuant to subdivision (a) for a prior meeting of the legislative body occurring not more than five calendar days prior to the date action is taken on the item, and at the prior meeting the item was continued to the meeting at which action is being taken. (c) This section is necessary to implement and reasonably within the scope of paragraph (1) of subdivision (b) of Section 3 of Article I of the California Constitution. (d) For purposes of subdivision (a), the requirement that the agenda be posted on the local agency's Internet Web site, if the 10:01 agency has one, shall only apply to a legislative body that meets either of the following standards: (1) A legislative body as that term is defined by subdivision (a) of Section 54952. (2) A legislative body as that term is defined by subdivision (b) of Section 54952, if the members of the legislative body are compensated for their appearance, and if one or more of the members of the legislative body are also members of a legislative body as that term is defined by subdivision (a) of Section 54952. Section 54954.3. Public testimony at regular meetings (a) Every agenda for regular meetings shall provide an opportunity for members of the public to directly address the legislative body on any item of interest to the public, Ralph M. Brown Act © 2018 Richards. Watson & Gershon 2178711 Page 30 Text of the Ralph M Brown Act before or during the legislative body's consideration of the item, that is within the subject matter jurisdiction of the legislative body, provided that no action shall be taken on any item not appearing on the agenda unless the action is otherwise authorized by subdivision (b) of Section 54954.2. However, the agenda need not provide an opportunity for members of the public to address the legislative body on any item that has already been considered by a committee, composed exclusively of members of the legislative body, at a public meeting wherein all interested members of the public were afforded the opportunity to address the committee on the item, before or during the committee's consideration of the item, unless the item has been substantially changed since the committee heard the item, as determined by the legislative body. Every notice for a special meeting shall provide an opportunity for members of the public to directly address the legislative body concerning any item that has been described in the notice for the meeting before or during consideraton of that item. (b) (1) The legislative body of a local agency may adopt reasonable regulations to ensure that the intent of subdivision (a) is carried out, including, but not limited to, regulations limiting the total amount of time allocated for public testimony on particular issues and for each individual speaker. (2) Notwithstanding paragraph ',1), when the legislative body of a local agency limits time for public comment, the legislative body of a local agency shall provide at least twice the allotted time to a member of the public who utilizes a translator to ensure that non-English speakers receive the same opportunity to directly address the legislative body of a local agency. (3) Paragraph (2) shall not apply if the legislative body of a local agency utilizes simultaneous translation equipment in a manner that allows the legislative body of a local agency to hear the translated public testimony simultaneously. (c) The legislative body of a local agency shall not prohibit public criticism of the policies, procedures, programs, or services of the agency, or of the acts or omissions of the legislative body. Nothing in this subdivision shall confer any privilege or protection for expression beyond that otherwise provided by law. Section 54954.4. legislative findings and declarations relating to reimbursements; Legislative intent; Review of claims (a) The Legislature hereby finds and declares that Section 12 of Chapter 641 of the Statutes of 1986, authorizing reimbursement to local agencies and school districts for costs mandated by the state pursuant to that actshall be interpreted strictly. The intent of the Legislature is to provide reimbursement for only those costs which are clearly and unequivocally incurred as the direct and necessary result of compliance with Chapter 641 of the Statutes of 1986. (b) In this regard, the Legislature directs all state employees and officials involved in reviewing or authorizing claims for reimbursement, or otherwise participating in the reimbursement process, to rigorously review each claim and authorize only those claims, or parts thereof, which represent costs which are clearly and unequivocally incurred as Ralph M. Brown Act © 2018 Richards. Watson & Gershor 2178711 Page 31 Text of the Ralph M. Brown Act the direct and necessary result of compliance with Chapter 641 of the Statutes of 1986 and for which complete documentation exists. For purposes of Section 54954.2, costs eligible for reimbursement shall only include the actual cost to post a single agenda for any one meeting. (c) The Legislature hereby finds and declares that complete, faithful, and uninterrupted compliance with the Ralph M. Brown Act (Chapter 9 (commencing with Section 54950) of Part 1 of Division 2 of Title 5 of the Government Code) is a matter of overriding public importance. Unless specifically stated, no future Budget Act, or related budget enactments, shall, in any manner, be interpreted to suspend, eliminate, or otherwise modify the legal obligation and duty of local agencies to fully comply with Chapter 641 of the Statutes of 1986 in a complete, faithful, and uninterrupted manner. Section 54954.5. Description of closed session items For purposes of describing closed session items pursuant to Section 54954.2, the agenda may describe closed sessions as provided below. No legislative body or elected official shall be in violation of Section 54954.2 or 54956 if the closed session items were described in substantial compliance with this section. Substantial compliance is satisfied by including the information provided below, irrespective of its format. (a) With respect to a closed session held pursuant to Section 54956.7: LICENSE/PERMIT DETERMINATION Applicant(s): (Specify number of applicants) (b) With respect to every item of business to be discussed in closed session pursuant to Section 54956.8: CONFERENCE WITH REAL PROPERTY NEGOTIATORS Property: (Specify street address, or if no street address, the parcel number or other unique reference, of the real property under negotiation) Agency negotiator: (Specify names of negotiators attending the closed session) (If circumstances necessitate the absence of a specified negotiator, an agent or designee may participate in place of the absent negotiator so long as the name of the agent or designee is announced at an open session held prior to the closed session.) Negotiating parties: (Specify name of party (not agent)) Under negotiation: (Specify whether instruction to negotiator will concern price, terms of payment, or both) (c) With respect to every item of business to be discussed in closed session pursuant to Section 54956.9: Ralph M. Brown Act ® 2018 Richards, Watson & Gershon 2178711 Page 32 Text of the Ralph M. Brown Act CONFERENCE WITH LEGAL COUNSEL -EXISTING LITIGATION (Paragraph (1) of subdivision (d) of Section 54956.9) Name of case: (Specify by reference to claimant's name, names of parties, case or claim numbers) or Case name unspecified: (Specify whether disclosure would jeopardize service of process or existing settlement negotiations) CONFERENCE WITH LEGAL COUNSEL - ANTICIPATED LITIGATION Significant exposure to litigation pursuant to paragraph (2) or (3) of subdivision (d) of Section 54956.9: (Specify number of potential cases) (In addition to the information noticed above, the agency may be required to provide additional information on the agenda or in an oral statement prior to the closed session pursuant to paragraphs {2) to (5), inclusive, of subdivision (e) of Section 54956.9.) Initiation of litigation pursuant to paragraph (4) of subdivision (d) of Section 54956.9: (Specify number of ootential cases) (d) With respect to every item of business to be discussed in closed session pursuant to Section 54956.95: LIABILITY CLAIMS Claimant: (Specify name unless unspecified pursuant to Section 54961) Agency claimed against: (Specify name) (e) With respect to every item of business to be discussed in closed session pursuant to Section 54957: THREAT TO PUBLIC SERVICES OR FACILITIES Consultation with: (Specify name of law enforcement agency and title of officer, or name of applicable agency representative and title) PUBLIC EMPLOYEE APPOINTMENT Title: (Specify description of position to be filled) PUBLIC EMPLOYMENT Title: (Specify description of position to be filled) PUBLIC EMPLOYEE PERFORMANCE EVALUATION Ralph M. Brown Act (� 2018 Richards, Watson & Gershon 2178711 Page 33 Text of the Ralph M. Brown Act Title: (Specify position title of employee being reviewed) PUBLIC EMPLOYEE DISCIPLINE/DISMISSAL/RELEASE (No additional information is required in connection with a closed session to consider discipline, dismissal, or release of a public employee. Discipline includes potential reduction of compensation.) (f) With respect to every item of business to be discussed in closed session pursuant to Section 54957.6: (g) CONFERENCE WITH LABOR NEGOTIATORS Agency designated representatives: (Specify names of designated representatives attending the closed session) (If circumstances necessitate the absence of a specified designated representative, an agent or designee may participate in place of the absent representative so long as the name of the agent or designee is announced at an open session held prior to the closed session.) Employee organization: (Specify name of organization representing employee or employees in question) or Unrepresented employee: (Specify position title of unrepresented employee who is the subject of the negotiations) With respect to closed sessions called pursuant to Section 54957.8: CASE REVIEW/PLANNING (No additional information is required in connection with a closed session to consider case review or planning.) (h) With respect to every item of business to be discussed in closed session pursuant to Sections 1461, 32106, and 32155 of the Health and Safety Code or Sections 37606 and 37624.3 of the Government Code: REPORT INVOLVING TRADE SECRET Discussion will concern: (Specify whether discussion will concern proposed new service, program, or facility) Estimated date of public disclosure: (Specify month and year) HEARINGS Ralph M. Brown Act ® 2018 Richards. Watson 8, Gershon 2178711 Page 34 Text of the Ralph M. Brown Act Subject matter: (Specify whether testimony/deliberation will concern staff privileges, report of medical audit committee, or report of quality assurance committee) (1) With respect to every item of business to be discussed in closed session pursuant to Section 54956.86: CHARGE OR COMPLAINT INVOLVING INFORMATION PROTECTED BY FEDERAL LAW (No additional information is required in connection with a closed session to discuss a charge or complaint pursuant to Section 54956.86.) (j) With respect to every item of business to be discussed in closed session pursuant to Section 54956.96: CONFERENCE INVOLVING A JOINT POWERS AGENCY (Specify by name) Discussion will concern: (Specify dosed session description used by the joint powers agency) Name of local agency representative on joint powers agency board: (Specify name) (Additional information listing the names of agencies or titles of representatives attending the dosed session as consultants or other representatives.) (k) With respect to every item of business to be discussed in closed session pursuant to Section 54956.75: AUDIT BY CALIFORNIA STATE AUDITOR'S OFFICE Section 54954.6. Public meeting on general tax or assessment: Notice (a) (1) Before adopting any new or increased general tax or any new or increased assessment, the legislative body of a local agency shall conduct at least one public meeting at which local officials shall allow public testimony regarding the proposed new or increased general tax or new or increased assessment in addition to the noticed public hearing at which the legislative body proposes to enact or increase the general tax or assessment. For purposes of this section, the term "new or increased assessment" does not include any of the following: (A) A fee that does not exceed the reasonable cost of providing the services, facilities, or regulatory activity for which the fee is charged. (B) A service charge, rate, or charge, unless a special district's principal act requires the service charge. rate. or charge to conform to the requirements of this section. Ralph M. Brown Act 2018 Richards, Watson & Gershon 2178711 Page 35 Text of the Ralph M. Brown Act (C) An ongoing annual assessment if it is imposed at the same or lower amount as any previous year. (D) An assessment that does not exceed an assessment formula or range of assessments previously specified in the notice given to the public pursuant to subparagraph (G) of paragraph (2) of subdivision (c) and that was previously adopted by the agency or approved by the voters in the area where the assessment is imposed. (E) Standby or immediate availability charges. (2) The legislative body shall provide at least 45 days' public notice of the public hearing at which the legislative body proposes to enact or increase the general tax or assessment. The legislative body shall provide notice for the public meeting at the same time and in the same document as the notice for the public hearing, but the meeting shall occur prior to the hearing. (b) (1) The joint notice of both the public meeting and the public hearing required by subdivision (a) with respect to a proposal for a new or increased general tax shall be accomplished by placing a display advertisement of at least one-eighth page in a newspaper of general circulation for three weeks pursuant to Section 6063 and by a first- class mailing to those interested parties who have filed a written request with the local agency for mailed notice of public meetings or hearings on new or increased general taxes. The public meeting pursuant to subdivision (a) shall take place no earlier than 10 days after the first publication of the joint notice pursuant to this subdivision. The public hearing shall take place no earlier than seven days after the public meeting pursuant to this subdivision. Notwithstanding paragraph (2) of subdivision (a), the joint notice need not include notice of the public meeting after the meeting has taken place. The public hearing pursuant to subdivision (a) shall take place no earlier than 45 days after the first publication of the joint notice pursuant to this subdivision. Any written request for mailed notices shall be effective for one year from the date on which it is filed unless a renewal request is filed. Renewal requests for mailed notices shall be filed on or before April 1 of each year. The legislative body may establish a reasonable annual charge for sending notices based on the estimated cost of providing the service. (2) The notice required by paragraph (1) of this subdivision shall include, but not be limited to, the following: (A) The amount or rate of the tax. If the tax is proposed to be increased from any previous year, the joint notice shall separately state both the existing tax rate and the proposed tax rate increase. (B) The activity to be taxed. (C) The estimated amount of revenue to be raised by the tax annually. (D) The method and frequency for collecting the tax. (E) The dates, times, and locations of the public meeting and hearing described in subdivision (a). Ralph M. &own Act C 2018 Richards. Watson & Gershon 2178711 Page 36 Text of the Ralph M. Brown Act (F) The telephone number and address of an individual, office, or organization that interested persons may contact to receive additional information about the tax. (c) (1) The joint notice of both the public meeting and the public hearing required by subdivision (a) with respect to a proposal for a new or increased assessment on real property or businesses shall be accomplished through a mailing, postage prepaid, in the United States mail and shall be deemed given when so deposited. The public meeting pursuant to subdivision (a) shall take place no earlier than 10 days after the joint mailing pursuant to this subdivision. The public hearing shall take place no earlier than seven days after the public meeting pursuant to this subdivision. The envelope or the cover of the mailing shall include the name of the local agency and the return address of the sender. This mailed notice shall be in at least 10 -point type and shalt be given to all property owners or business owners proposed to be subject to the new or increased assessment by a mailing by name to those persons whose names and addresses appear on the last equalized county assessment roll, the State Board of Equalization assessment roll, or the local agency's records pertaining to business ownership, as the case may be. (2) The joint notice required by paragraph (1) of this subdivision shall include, but not be limited to, the following: (A) In the case of an assessment proposed to be levied on property, the estimated amount of the assessment per parcel. In the case of an assessment proposed to be levied on businesses, the proposed method and basis of levying the assessment in sufficient detail to allow each business owner to calculate the amount of assessment to be levied against each business. If the assessment is proposed to be increased from any previous year, the joint notice shall separately state both the amount of the existing assessment and the proposed assessment increase. (B) A general description of the purpose or improvements that the assessment will fund. (C) The address to which property owners may mail a protest against the assessment. (D) The telephone number and address of an individual, office, or organization that interested persons may contact to receive additional information about the assessment. (E) A statement that a majority protest will cause the assessment to be abandoned if the assessment act used to levy the assessment so provides. Notice shall also state the percentage of protests required to trigger an election, if applicable. (F) The dates, times, and locations of the public meeting and hearing described in subdivision (a). (G) A proposed assessment formula or range as described in subparagraph (D) of paragraph (1) of subdivision (a) if applicable and that is noticed pursuant to this section. Ralph M. Brown Act © 2018 Richards. Watson & Gershon 2178711 Page 37 Text of the Ralph M. Brown Act (3) Notwithstanding paragraph (1), in the case of an assessment that is proposed exclusively for operation and maintenance expenses imposed throughout the entire local agency, or exclusively for operation and maintenance assessments proposed to be levied on 50,000 parcels or more, notice may be provided pursuant to this subdivision or pursuant to paragraph (1) of subdivision (b) and shall include the estimated amount of the assessment of various types. amounts, or uses of property and the information required by subparagraphs (8) to (G), inclusive, of paragraph (2) of subdivision (c). (4) Notwithstanding paragraph (I ), in the case of an assessment proposed to be levied pursuant to Part 2 (commencing with Section 22500) of Division 2 of the Streets and Highways Code by a regional park district, regional park and open -space district, or regional open -space district formed pursuant to Article 3 (commencing with Section 5500) of Chapter 3 of Division 5 of, or pursuant to Division 26 (commencing with Section 35100) of, the Public Resources Code, notice may be provided pursuant to paragraph (1) of subdivision (b) . (d) The notice requirements imposed by this section shall be construed as additional to, and not to supersede, existing provisions of law, and shall be applied concurrently with the existing provisions so as to not delay or prolong the governmental decisionmaking process. (e) This section shall not apply to any new or increased general tax or any new or increased assessment that requires an elec'ion of either of the following: (1) The property owners subject to the assessment. (2) The voters within the local agency imposing the tax or assessment. (1) Nothing in this section shall prohibit a local agency from holding a consolidated meeting or hearing at which the legislative body discusses multiple tax or assessment proposals. (g) The local agency may recover the reasonable costs of public meetings, public hearings, and notice required by this section from the proceeds of the tax or assessment. The costs recovered for these purposes, whether recovered pursuant to this subdivision or any other provision of law, shall not exceed the reasonable costs of the public meetings, public hearings, and notice. (h) Any new or increased assessment that is subject to the notice and hearing provisions of Article XIII C or XIII D of the California Constitution is not subject to the notice and hearing requirements of this section. Section 54955. Adjournment of meetings The legislative body of a local agency may adjourn any regular, adjourned regular, special or adjourned special meeting to a time and place specified in the order of adjournment. Less than a quorum may so adjourn from time to time. If all members are absent from any regular or adjourned regular meeting the clerk or secretary of the Ralph M. Brown Act © 2018 Richards. Watson 8 Gershon 2178711 Page 38 Text of the Ralph M. Brown Act legislative body may declare the meeting adjourned to a stated time and place and he shall cause a written notice of the adjournment to be given in the same manner as provided in Section 54956 for special meetings, unless such notice is waived as provided for special meetings. A copy of the order or notice of adjournment shall be conspicuously posted on or near the door of the place where the regular, adjourned regular, special or adjourned special meeting was held within 24 hours after the time of the adjournment. When a regular or adjourned regular meeting is adjourned as provided in this section, the resulting adjourned regular meeting is a regular meeting for all purposes. When an order of adjournment of any meeting fails to state the hour at which the adjourned meeting is to be held, it shall be held at the hour specified for regular meetings by ordinance, resolution, bylaw, or other rule. Section 54955.1. Continuance of hearing Any hearing being held, or noticed or ordered to be held, by a legislative body of a local agency at any meeting may by order or notice of continuance be continued or recontinued to any subsequent meeting of the legislative body in the same manner and to the same extent set forth in Section 54955 for the adjournment of meetings; provided, that if the hearing is continued to a time less than 24 hours after the time specified in the order or notice of hearing, a copy of the order or notice of continuance of hearing shall be posted immediately following the meeting at which the order or declaration of continuance was adopted or made. Section 54956. Special meetings; call; notice; meetings regarding local agency executive salaries, salary schedules, or compensation in form of fringe benefits; pOsting on Internet Web site (a) A special meeting may be called at any time by the presiding officer of the legislative body of a local agency, or by a majority of the members of the legislative body, by delivering written notice to each member of the legislative body and to each local newspaper of general circulation and radio or television station requesting notice in writing and posting a notice on the local agency's Internet Web site, if the local agency has one. The notice shall be delivered personally or by any other means and shall be received at least 24 hours before the time of the meeting as specified in the notice. The call and notice shall specify the time and place of the special meeting and the business to be transacted or discussed. No other business shall be considered at these meetings by the legislative body. The written notice may be dispensed with as to any member who at or prior to the time the meeting convenes files with the clerk or secretary of the legislative body a written waiver of notice. The waiver may be given by telegram. The written notice may also be dispensed with as to any member who is actually present at the meeting at the time it convenes. The call and notice shall be posted at least 24 hours prior to the special meeting in a location that is freely accessible to members of the public. (b) Notwithstanding any other law, a legislative body shall not call a special meeting regarding the salaries, salary schedules, or compensation paid in the form of fringe benefits, of a local agency executive, as defined in subdivision (d) of Section 3511.1. Ralph M. Brown Act © 2018 Richards, Watson & Gershon 2178711 Page 39 Text of the Ralph M. Brown Act However, this subdivision does not apply to a local agency calling a special meeting to discuss the local agency's budget. (c) For purposes of subdivision (a), the requirement that the agenda be posted on the local agency's Internet Web site, if the local agency has one, shall only apply to a legislative body that meets either of the following standards: (1) A legislative body as that term is defined by subdivision (a) of Section 54952. (2) A legislative body as that term is defined by subdivision (b) of Section 54952, if the members of the legislative body are compensated for their appearance, and if one or more of the members of the legislative body are also members of a legislative body as that term is defined by subdivision (a) of Section 54952. Section 54956.5. Emergency meetings; Notice (a) For purposes of this section, "emergency situation" means both of the following: (1) An emergency, which shall be defined as a work stoppage, crippling activity, or other activity that severely impairs public health, safety, or both, as determined by a majority of the members of the legislative body. (2) A dire emergency, which shall be defined as a crippling disaster, mass destruction, terrorist act, or threatened terro-ist activity that poses peril so immediate and significant that requiring a legislative body to provide one-hour notice before holding an emergency meeting under this section may endanger the public health, safety, or both, as determined by a majority of the members of the legislative body. (b) (1) Subject to paragraph (2), in the case of an emergency situation involving matters upon which prompt action is necessary due to the disruption or threatened disruption of public facilities, a legislative body may hold an emergency meeting without complying with either the 24-hour notice requirement or the 24-hour posting requirement of Section 54956 or both of the notice and posting requirements. (2) Each local newspaper of general circulation and radio or television station that has requested notice of special meetings pursuant to Section 54956 shall be notified by the presiding officer of the legislative body, or designee thereof, one hour prior to the emergency meeting, or, in the case of a d re emergency, at or near the time that the presiding officer or designee notifies the members of the legislative body of the emergency meeting. This notice shall be given by telephone and all telephone numbers provided in the most recent request of a newspaper or station for notification of special meetings shall be exhausted. In the event that telephone services are not functioning, the notice requirements of this Section shall be deemed waived, and the legislative body, or designee of the legislative body, shall notify those newspapers, radio stations, or television stations of the fact of the holding of the emergency meeting, the purpose of the meeting, and any action taken at the meeting as soon after the meeting as possible. (c) During a meeting held pursuant to this section, the legislative body may meet in closed session pursuant to Section 54957 if agreed to by a two-thirds vote of the members Ralph M. Brown Act kD 2018 Richards, Watson S. Gershon 2!78711 Page 40 Text of the Rah M. Brown Act of the legislative body present, or, if less than two-thirds of the members are present, by a unanimous vote of the members present. (d) All special meeting requirements, as prescribed in Section 54956 shall be applicable to a meeting called pursuant to this section, with the exception of the 24-hour notice requirement. (e) The minutes of a meeting called pursuant to this section, a list of persons who the presiding officer of the legislative body, or designee of the legislative body, notified or attempted to notify, a copy of the rollcall vote, and any actions taken at the meeting shall be posted for a minimum of 10 days it a public place as soon after the meeting as possible. Section 54956.6. Fees No fees may be charged by the legislative body of a local agency for carrying out any provision of this chapter, except as specifically authorized by this chapter. Section 54956.7. Closed sessions regarding application from person with criminal record Whenever a legislative body of a local agency determines that it is necessary to discuss and determine whether an applicant for a license or license renewal, who has a criminal record, is sufficiently rehabilitated to obtain the license, the legislative body may hold a closed session with the applicant and the applicant's attorney, if any, for the purpose of holding the discussion and making the determination. If the legislative body determines, as a result of the closed session, that the issuance or renewal of the license should be denied, the applicant shall be offered the opportunity to withdraw the application. If the applicant withdraws the application, no record shall be kept of the discussions or decisions made at the closed session and all matters relating to the closed session shall be confidential. If the applicant does not withdraw the application, the legislative body shall take action at the public meeting dufing which the closed session is held or at its next public meeting denying the application for the license but all matters relating to the closed session are confidential and shall not be disclosed without the consent of the applicant, except in an action by an applicant who has been denied a license challenging the denial of the license. Section 54956.75. Closed session for response to final draff audit report (a) Nothing contained in this chapter shall be construed to prevent the legislative body of a local agency that has received a confidential final draft audit report from the Bureau of State Audits from holding closed sessions to discuss its response to that report. (b) After the public release of an audit report by the Bureau of State Audits, if a legislative body of a local agency meets to discuss the audit report, it shall do so in an open session unless exempted from that requirement by some other provision of law, Ralph M. Brown Act fl 2018 Richards, Watson & Gershon 2178711 Page 41 Text of the Ralph M. Brown Act Section 54956.8. Closed sessions regarding real property negotiations Notwithstanding any other provision of this chapter, a legislative body of a local agency may hold a closed session with its negotiator prior to the purchase, sale, exchange, or lease of real property by or for the local agency to grant authority to its negotiator regarding the price and terms of payment for the purchase, sale, exchange, or lease. However, prior to the closed session, the legislative body of the local agency shall hold an open and public session in which it identifies its negotiators, the real property or real properties which the negotiations may concern. and the person or persons with whom its negotiators may negotiate. For purposes of this section, negotiators may be members of the legislative body of the local agency. For purposes of this section, "lease" includes renewal or renegotiation of a lease. Nothing in this section shall preclude a local agency from holding a closed session for discussions regarding eminent domain proceedings pursuant to Section 54956.9. Section 54956.81. Closed sessions regarding purchase or sale of pension fund investments Notwithstanding any other provision of this chapter, a legislative body of a local agency that invests pension funds may hold a dosed session to consider the purchase or sale of particular, specific pension fund investments. All investment transaction decisions made during the closed session shall be made by rollcall vote entered into the minutes of the closed session as provided in subdivision (a) of Section 54957.2. Section 54956.86. Closed session for health plan member Notwithstanding any other provision of this chapter, a legislative body of a local agency which provides services pursuant to Section 14087.3 of the Welfare and Institutions Code may hold a closed session to hear a charge or complaint from a member enrolled in its health plan if the member does not wish to have his or her name, medical status, or other information that is protected by federal law publicly disclosed. Prior to holding a closed session pursuant to this section, the legislative body shall inform the member, in writing, of his or her right to have the charge or complaint heard in an open session rather than a closed session. Section 54956.87. Disclosure of records and information: Meetings in closed session (a) Notwithstanding any other provision of this chapter, the records of a health plan that is licensed pursuant to the Knox -Keene Health Care Service Pian Act of 1975 (Chapter 2.2 (commencing with Section 1340) of Division 2 of the Health and Safety Code) and that is governed by a county board of supervisors, whether paper records, records maintained in the management information system, or records in any other form, that relate to provider rate or payment determinations, allocation or distribution methodologies for provider payments, formulas or calculations for these payments, and contract negotiations with providers of health care for alternative rates are exempt from Ralph M. Brown Act CO 2018 Richards, Watson & Gershon 2178711 Page a2 Text of the Ralph M. Brown Act disclosure for a period of three years after the contract is fully executed. The transmission of the records, or the information contained therein in an alternative form, to the board of supervisors shall not constitute a waiver of exemption from disclosure, and the records and information once transmitted to the board of supervisors shall be subject to this same exem ption. (b) Notwithstanding any other provision of law, the governing board of a health plan that is licensed pursuant to the Knox -Keene Health Care Service Plan Act of 1975 (Chapter 2.2 (commencing with Section 1340) of Division 2 of the Health and Safety Code) and that is governed by a county board of supervisors may order that a meeting held solely for the purpose of discussion or taking action on health plan trade secrets, as defined in subdivision (f), shall be held in closed session. The requirements of making a public report of action taken in closed session, and the vote or abstention of every member present, may be limited to a brief general description without the information constituting the trade secret. (c) Notwithstanding any other provision of law, the governing board of a health plan may meet in closed session to consider and take action on matters pertaining to contracts and contract negotiations by the health plan with providers of health care services concerning all matters related to rates of payment. The governing board may delete the portion or portions containing trade secrets from any documents that were finally approved in the closed session held pursuant to subdivision (b) that are provided to persons who have made the timely or standing request. (d) Nothing in this section shall be construed as preventing the governing board from meeting in closed session as otherwise provided by law. (e) The provisions of this section shall not prevent access to any records by the Joint Legislative Audit Committee in the exercise of its powers pursuant to Article 1 (commencing with Section 10500) of Chapter 4 of Part 2 of Division 2 of Title 2. The provisions of this section also shall not prevent access to any records by the Department of Corporations in the exercise of its powers pursuant to Article 1 (commencing with Section 1340) of Chapter 2.2 of Division 2 of the Health and Safety Code. (f) For purposes of this section, "health plan trade secret" means a trade secret, as defined in subdivision (d) of Section 3426.1 of the Civil Code, that also meets both of the following criteria: (1) The secrecy of the information is necessary for the health plan to initiate a new service, program, marketing strategy, business plan, or technology, or to add a benefit or product. (2) Premature disclosure of the trade secret would create a substantial probability of depriving the health plan of a substantial economic benefit or opportunity. Ralph M. Brown Act 2018 Richards. Watson & Gershon 2178711 Page 43 Text of the Ralph M. Brown Act Section 54956.9. Closed sessions concerning pending litigation: Lawyer -client privilege (a) Nothing in this chapter shall be construed to prevent a legislative body of a local agency, based on advice of its legal counsel, from holding a closed session to confer with, or receive advice from, its legal counsel regarding pending litigation when discussion in open session concerning those matters would prejudice the position of the local agency in the litigation. (b) For purposes of this chapter, all expressions of the lawyer -client privilege other than those provided in this Section are hereby abrogated. This Section is the exclusive expression of the lawyer -client privilege for purposes of conducting closed -session meetings pursuant to this chapter. (c) For purposes of this section, `litigation" includes any adjudicatory proceeding, including eminent domain, before a court, administrative body exercising its adjudicatory authority, hearing officer, or arbitrator. (d) For purposes of this section, litigation shall be considered pending when any of the following circumstances exist: (1) Litigation, to which the local cgency is a party, has been initiated formally. (2) A point has been reached where, in the opinion of the legislative body of the local agency on the advice of its legal counsel, based on existing facts and circumstances, there is a significant exposure to litigation against the local agency. (3) Based on existing facts and circumstances, the legislative body of the local agency is meeting only to decide whether a closed session is authorized pursuant to paragraph (2). (4) Based on existing facts and circumstances, the legislative body of the local agency has decided to initiate or is deciding whether to initiate litigation. (e) For purposes of paragraphs (2) and (3) of subdivision (d), "existing facts and circumstances" shall consist only of one of the following: (1) Facts and circumstances that might result in litigation against the local agency but which the local agency believes are not yet known to a potential plaintiff or plaintiffs, which facts and circumstances need not be disclosed. (2) Facts and circumstances, including, but not limited to, an accident, disaster, incident, or transactional occurrence that might result in litigation against the agency and that are known to a potential plaintiff or plaintiffs, which facts or circumstances shall be publicly stated on the agenda or announced. (3) The receipt of a claim pursuant to the Government Claims Act (Division 3.6 (commencing with Section 810) of Title 1 of 'he Government Code) or some other written Ralph M. Brown Act © 2018 Richards, Watson & Gershon 2178711 Page 44 Text of the Ralph M. Brown Act communication from a potential plaintiff threatening litigation, which claim or communication shall be available for public inspection pursuant to Section 54957.5. (4) A statement made by a person in an open and public meeting threatening litigation on a specific matter within the responsibility of the legislative body. (5) A statement threatening litigation made by a person outside an open and public meeting on a specific matter within the responsibility of the legislative body so long as the official or employee of the local agency receiving knowledge of the threat makes a contemporaneous or other record of the statement prior to the meeting, which record shall be available for public inspection pursuant to Section 54957.5. The records so created need not identify the alleged victim of unlawful or tortious sexual conduct or anyone making the threat on their behalf, or identify a public employee who is the alleged perpetrator of any unlawful or tortious conduct upon which a threat of litigation is based, unless the identity of the person has been publicly disclosed. (f) Nothing in this Section shall require disclosure of written communications that are privileged and not subject to disclosure pursuant to the California Public Records Act (Chapter 3.5 (commencing with Section 6250) of Division 7 of Title 1). (g) Prior to holding a closed session pursuant to this section, the legislative body of the local agency shall state on the agenda or publicly announce the paragraph of subdivision (d) that authorizes the closed session. If the session is closed pursuant to paragraph (1) of subdivision (d), the body shall state the title of or otherwise specifically identify the litigation to be discussed, un'ess the body states that to do so would jeopardize the agency's ability to effectuate service of process upon one or more unserved parties, or that to do so would jeopardize its ability to conclude existing settlement negotiations to its advantage. (h) A local agency shall be considered to be a "party" or to have a "significant exposure to litigation" if an officer or employee of the local agency is a party or has significant exposure to litigation concerning prior or prospective activities or alleged activities during the course and scope of that office or employment, including litigation in which it is an issue whether an activity is outside the course and scope of the office or em ployment. Section 54956.95. Closed sessions regarding liability (a) Nothing in this chapter shall be construed to prevent a joint powers agency formed pursuant to Article 1 (commencing with Section 6500) of Chapter 5 of Division 7 of Title 1, for purposes of insurance pooling, or a local agency member of the joint powers agency, from holding a closed session to discuss a claim for the payment of tort liability losses, public liability losses, or workers' compensation liability incurred by the joint powers agency or a local agency member of the joint powers agency. (b) Nothing in this chapter shall be construed to prevent the Local Agency Self - Insurance Authority formed pursuant to Chapter 5.5 (commencing with Section 6599.01) of Division 7 of Title 1, or a local agency member of the authority, from holding a closed Ralph M. Brown Act J 2018 Richards, Watson & Gershon 2178711 Page 45 Text of the Ralph M. Brown Act session to discuss a claim for the payment of tort liability losses, public liability losses, or workers' compensation liability incurred by the authority or a local agency member of the authority. (c) Nothing in this section shall be construed to affect Section 54956.9 with respect to any other local agency. Section 54956.96. Disclosure of specified information in closed session of joint powers agency; Authorization of designated alternate to attend closed session; Closed session of legislative body of local agency member (a) Nothing in this chapter shall be construed to prevent the legislative body of a joint powers agency formed pursuant to Article 1 (commencing with Section 6500) of Chapter 5 of Division 7 of Title 1, from adopting a policy or a bylaw or including in its joint powers agreement provisions that authorize either or both of the following: (1) All information received by the legislative body of the local agency member in a closed session related to the information presented to the joint powers agency in closed session shall be confidential. However, a member of the legislative body of a member local agency may disclose information obtained in a closed session that has direct financial or liability implicarions for that local agency to the following individuals: (A) Legal counsel of tha- member local agency for purposes of obtaining advice on whether the matter hos direct financial or liability implications for that member local agency. (B) Other members of the legislative body of the local agency present in a closed session of that member local agency. (2) Any designated alternate member of the legislative body of the joint powers agency who is also a member of the legislative body of a local agency member and who is attending a properly noticed meeting of the joint powers agency in lieu of a local agency member's regularly appointed member to attend closed sessions of the joint powers agency. (b) If the legislative body of a joint powers agency adopts a policy or a bylaw or includes provisions in its joint powers agreement pursuant to subdivision (a), then the legislative body of the local agency member, upon the advice of its legal counsel, may conduct a closed session in order to receive, discuss, and take action concerning information obtained in a closed session of the joint powers agency pursuant to paragraph (1) of subdivision (a). Section 54957. Closed session regarding public security, facilities, employees, examination of witness (a) This chapter shall not be construed to prevent the legislative body of a local agency from holding closed sessions with the Governor, Attorney General, district attorney, agency counsel, sheriff, or chief of police, or their respective deputies, or a Ralph M. Brown Act ®2018 Richards. Watson & Gershon 2178711 Page 46 Text of the Ralph M. Brown Act security consultant or a security operations manager, on matters posing a threat to the security of public buildings, a threat to the security of essential public services, including water, drinking water, wastewater treatment, natural gas service, and electric service, or a threat to the public's right of access to public services or public facilities. (b) (1) Subject to paragraph (2), this chapter shall not be construed to prevent the legislative body of a local agency from holding closed sessions during a regular or special meeting to consider the appointment, employment, evaluation of performance, discipline, or dismissal of a public employee or to hear complaints or charges brought against the employee by another person or employee unless the employee requests a public session. (2) As a condition to holding a closed session on specific complaints or charges brought against an employee by another person or employee, the employee shall be given written notice of his or her right to have the complaints or charges heard in an open session rather than a dosed session, which notice shall be delivered to the employee personally or by mail at least 24 hours before the time for holding the session. If notice is not given, any disciplinary or other action taken by the legislative body against the employee based on the specific complaints or charges in the closed session shall be null and void. (3) The legislative body also may exclude from the public or closed meeting, during the examination of a witness, any or all other witnesses in the matter being investigated by the legislative body. (4) For the purposes of this subdivision, the term "employee" shall include an officer or an independent contractor who functions as an officer or an employee but shall not include any elected official, member of a legislative body or other independent contractors. This subdivision shall not limit local officials' ability to hold closed session meetings pursuant to Sections 1461, 32106, and 32155 of the Health and Safety Code or Sections 37606 and 37624.3 of the Government Code. Closed sessions held pursuant to this subdivision shall not include discussion or action on proposed compensation except for a reduction of compensation that results from the imposition of discipline. Section 54957.1. Public report of action taken in closed session; Form; Availability; Actions for injury to interests (a) The legislative body of any local agency shall publicly report any action taken in closed session and the vote or abstention on that action of every member present, as follows: (1) Approval of an agreement concluding real estate negotiations pursuant to Section 54956.8 shall be reported after the agreement is final, as follows: (A) If its own approval renders the agreement final, the body shall report that approval and the substance of the agreement in open session at the public meeting during which the closed session is held. Ralph M. Brown Act 2018 Richards, Watson & Gershon 2178711 Page 47 Text of the Ralph M. Brown Act (B) If final approval rests with the other party to the negotiations, the local agency shall disclose the fact of that approval and the substance of the agreement upon inquiry by any person, as soon as the other party or its agent has informed the local agency of its approval. (2) Approval given to its legal counsel to defend, or seek or refrain from seeking appellate review or relief, or to enter as an amicus curiae in any form of litigation as the result of a consultation under Section 54956.9 sholl be reported in open session at the public meeting during which the closed session is held. The report shall identify, if known, the adverse party or parties and the substance of the litigation. In the case of approval given to initiate or intervene in an action, the announcement need not identify the action, the defendants, or other particulars, but shall specify that the direction to initiate or intervene in an action has been given and that the action, the defendants, and the other particulars shall. once formally commenced, be disclosed to any person upon inquiry, unless to do so would jeopardize the agency's ability to effectuate service of process on one or more unserved parties, or that to do so would jeopardize its ability to conclude existing settlement negotiations to its advantage. (3) Approval given to its legal counsel of a settlement of pending litigation, as defined in Section 54956.9, at any stage prior to or during a judicial or quasi-judicial proceeding shall be reported after the settlement is final, as follows: (A) If the legislative body accepts a settlement offer signed by the opposing party, the body shall report its acceptance and identify the substance of the agreement in open session at the public meeting during which the closed session is held. (B) If final approval rests with some other party to the litigation or with the court, then as soon as the settlement becomes final, and upon inquiry by any person, the local agency shall disclose the fact of that approval, and identify the substance of the agreement. (4) Disposition reached as to claims discussed in closed session pursuant to Section 54956.95 shall be reported as soon as reached in a manner that identifies the name of the claimant, the name of the local agency claimed against, the substance of the claim, and any monetary amount approved for payment and agreed upon by the claimant. (5) Action taken to appoint, employ, dismiss, accept the resignation of, or otherwise affect the employment status of a public employee in closed session pursuant to Section 54957 shall be reported at the public meeting during which the closed session is held. Any report required by this paragraph shall identify the title of the position. The general requirement of this paragraph notwithstanding, the report of a dismissal or of the nonrenewal of an employment contract shall be deferred until the first public meeting following the exhaustion of administrative remedies, if any. (6) Approval of an agreement concluding labor negotiations with represented employees pursuant to Section 54957.6 shall be reported after the agreement is final and Ralph M. Brown Act 2018 Richards. Watson & Gershon 2178711 Page 48 Text of the Ralph M. Brown Act has been accepted or ratified by the other party. The report shall identify the item approved and the other party or parties to the negotiation. (7) Pension fund investment transaction decisions made pursuant to Section 54956.81 shall be disclosed at the first open meeting of the legislative body held after the earlier of the close of the investment transaction or the transfer of pension fund assets for the investment transaction. (b) Reports that are required to be made pursuant to this Section may be made orally or in writing. The legislative body shall provide to any person who has submitted a written request to the legislative body within 24 hours of the posting of the agenda, or to any person who has made a standing request for all documentation as part of a request for notice of meetings pursuant to Section 54954.1 or 54956, if the requester is present at the time the closed session ends, copies of any contracts, settlement agreements, or other documents that were finally approved or adopted in the closed session. If the action taken results in one or more substantive amendments to the related documents requiring retyping, the documents need not be released until the retyping is completed during normal business hours, provided that the presiding officer of the legislative body or his or her designee orally summarizes the substance of the amendments for the benefit of the document requester or any other person present and requesting the information. (c) The documentation referred to in subdivision (b) shall be available to any person on the next business day following the meeting in which the action referred to is taken or, in the case of substantial amendments, when any necessary retyping is complete. (d) Nothing in this section shall be construed to require that the legislative body approve actions not otherwise subject to legislative body approval. (e) No action for injury to a reputational, liberty, or other personal interest may be commenced by or on behalf of any employee or former employee with respect to whom a disclosure is made by a legislative body in an effort to comply with this section. (f) This Section is necessary to implement, and reasonably within the scope of, paragraph (1) of subdivision (b) of Section 3 of Article I of the California Constitution. Section 54957.2. Minute book for closed sessions (a) The legislative body of a local agency may, by ordinance or resolution, designate a clerk or other officer or employee of the local agency who shall then attend each closed session of the legislative body and keep and enter in a minute book a record of topics discussed and decisions made at the meeting. The minute book made pursuant to this section is not a public record subject to inspection pursuant to the California Public Records Act (Chapter 3.5 (commencing with Section 6250) of Division 7 of Title 1), and shall be kept confidential. The minute book shall be available only to members of the legislative body or, if a violation of this chapter is alleged to have occurred at a closed session, to a court of general jurisdiction wherein the local agency lies. Such minute book may, but need not, consist of a recording of the closed session. Ralph M. Brown Act civ 2018 Richards. Watson 8. Gershon 21 7871 1 nage 49 Text of the Ralph M. Brown Act (b) An elected legislative body of a local agency may require that each legislative body all or a majority of whose members are appointed by or under the authority of the elected legislative body keep a minute book as prescribed under subdivision (a). Section 54957.5. Agendas and other writings as public records (a) Notwithstanding Section 6255 or any other law, agendas of public meetings and any other writings, when distributed to all. or majority of all, of the members of a legislative body of a local agency by any person in connection with a matter subject to discussion or consideration at an open meeting of the body, are disclosable public records under the California Public Records Act (Chapter 3.5 (commencing with Section 6250) of Division 7 of Title 1), and shall be made available upon request without delay. However, this section shall not include any writing exempt from public disclosure under Section 6253.5, 6254, 6254.3, 6254.7, 6254.15, 6254.16, 6254.22, or 6254.26. (b) (1) If a writing that is a public record under subdivision (a), and that relates to an agenda item for an open session of a regular meeting of the legislative body of a local agency, is distributed less than 72 hours prior to that meeting, the writing shall be made available for public inspection pursuant to paragraph (2) at the time the writing is distributed to all, or a majority of all, of the members of the body. (2) A local agency shall make any writing described in paragraph (1) available for public inspection at a public office or location that the agency shall designate for this purpose. Each local agency shall list the address of this office or location on the agendas for all meetings of the legislative body of that agency. The local agency also may post the writing on the local agency's Internet Web site in a position and manner that makes it clear that the writing relates to an agenda item for an upcoming meeting. (3) This subdivision shall become operative on July 1, 2008. (c) Writings that are public records under subdivision (a) and that are distributed during a public meeting shall be made available for public inspection at the meeting if prepared by the local agency or a member of its legislative body, or after the meeting if prepared by some other person. These writings shall be made available in appropriate alternative formats upon request by a person with a disability, as required by Section 202 of the Americans with Disabilities Act of 1990 (42 U.S.C. Sec. 12132), and the federal rules and regulations adopted in implementation thereof. (d) This chapter shall not be construed to prevent the legislative body of a local agency from charging a fee or deposit for a copy of a public record pursuant to Section 6253, except that a surcharge shall not be imposed on persons with disabilities in violation of Section 202 of the Americans with Disabilities Act of 1990 (42 U.S.C. Sec. 12132), and the federal rules and regulations adopted in implementation thereof. (e) This section shall not be construed to limit or delay the public's right to inspect or obtain a copy of any record required to be disclosed under the requirements of the California Public Records Act (Chapter 3.5 (commencing with Section 6250) of Division 7 Ralph M. Brown Act *2018 Richards, Watson & Gershon 2178711 Page 50 Text of the Ralph M. Brown Act of Title 1). This chapter shall not be construed to require a legislative body of a local agency to place any paid advertisement or any other paid notice in any publication. Section 54957.6. Closed sessions regarding employee matters (a) Notwithstanding any other provision of law, a legislative body of a local agency may hold closed sessions with the local agency's designated representatives regarding the salaries, salary schedules, or compensation paid in the form of fringe benefits of its represented and unrepresented employees, and, for represented employees, any other matter within the statutorily provided scope of representation. However, prior to the dosed session, the legislative body of the local agency shall hold an open and public session in which it identifies its designated representatives. Closed sessions of a legislative body of a local agency, as permitted in this section, shall be for the purpose of reviewing its position and instructing the local agency's designated representatives. Closed sessions, as permitted in this section, may take place prior to and during consultations and discussions with representatives of employee organizations and unrepresented employees. Closed sessions with the local agency's designated representative regarding the salaries, salary schedules, or compensation paid in the form of fringe benefits may include discussion of an agency's available funds and funding priorities, but only insofar as these discussions relate to providing instructions to the local agency's designated representative. Closed sessions held pursuant to this section shall not include final action on the proposed compensation of one or more unrepresented employees. For the purposes enumerated in this section, a legislative body of a local agency may also meet with a state conciliator who has intervened in the proceedings. (b) For the purposes of this section, the term "employee" shall include an officer or an independent contractor who functions as an officer or an employee, but shall not include any elected official, member of a legislative body, or other independent contractors. Section 54957.7. Disclosure of items to be discussed at closed session (a) Prior to holding any closed session, the legislative body of the local agency shall disclose, in an open meeting, the item or items to be discussed in the closed session. The disclosure may take the form of a reference to the item or items as they are listed by number or letter on the agenda. In the closed session, the legislative body may consider only those matters covered in its statement. Nothing in this section shall require or authorize a disclosure of information prohibited by state or federal law. Ralph M. Brown Act ® 2018 Richards. Watson 8 Gershon 2178711 Page 51 Text of the Ralph M. Brown Act (b) After any closed session, the legislative body shall reconvene into open session prior to adjournment and shall make any disclosures required by Section 54957.1 of action taken in the closed session. (c) The announcements required to be made in open session pursuant to this section may be made at the location announced in the agenda for the closed session, as long as the public is allowed to be present at that location for the purpose of hearing the announcements. Section 54957.8. Closed sessions of multijurisdictional drug law enforcement agencies (a) For purposes of this section, "multijurisdictional law enforcement agency" means a joint powers entity formed pursuant to Article 1 (commencing with Section 6500) of Chapter 5 of Division 7 of Title 1 that provides law enforcement services for the parties to the joint powers agreement for the purpose of investigating criminal activity involving drugs; gangs; sex crimes; firearms trafficking or felony possession of a firearm; high technology, computer, or identity theft; human trafficking; or vehicle theft. (b) Nothing contained in this chapter shall be construed to prevent the legislative body of a multijurisdictional law enforcement agency, or an advisory body of a multijurisdictional law enforcement agency, from holding closed sessions to discuss the case records of any ongoing criminal investigation of the multijurisdictional law enforcement agency or of any party to the joint powers agreement, to hear testimony from persons involved in the investigation, and to discuss courses of action in particular cases. Section 54957.9. Authorization to clear room where meeting willfully interrupted; Readmission In the event that any meeting is willfully interrupted by a group or groups of persons so as to render the orderly conduct of such meeting unfeasible and order cannot be restored by the removal of individuals who are willfully interrupting the meeting, the members of the legislative body conducting the meeting may order the meeting room cleared and continue in session. Only matters appearing on the agenda may be considered in such a session. Representatives of the press or other news media, except those participating in the disturbance, shall be allowed to attend any session held pursuant to this section. Nothing in this section shall prohibit the legislative body from establishing a procedure for readmitting an individual or individuals not responsible for willfully disturbing the orderly conduct of the meeting. Section 54957.10. Closed sessions regarding application for early withdrawal of deferred compensation plan funds Notwithstanding any other provision of law, a legislative body of a local agency may hold closed sessions to discuss a local agency employee's application for early withdrawal of funds in a deferred compensation plan when the application is based on Ralph M. Brown Act © 2018 Richards, Watson & Gershon 2178711 Page 52 Text of the Ralph M. Brown Act financial hardship arising from an unforeseeable emergency due to illness, accident, casualty, or other extraordinary event, as specified in the deferred compensation plan. Section 54958. Application of chapter The provisions of this chapter shall apply to the legislative body of every local agency notwithstanding the conflicting provisions of any other state law. Section 54959. Criminal penalty for violation of chapter Each member of a legislative body who attends o meeting of that legislative body where action is taken in violation of any provision of this chapter, and where the member intends to deprive the public of information to which the member knows or has reason to know the public is entitled under this chapter, is guilty of a misdemeanor. Section 54960. Proceeding to prevent violation of chapter; Recording closed sessions; Procedure for discovery of tapes (a) The district attorney or any interested person may commence an action by mandamus, injunction, or declaratory relief for the purpose of stopping or preventing violations or threatened violations of this chapter by members of the legislative body of a local agency or to determine the applicability of this chapter to ongoing actions or threatened future actions of the legislative body, or to determine the applicability of this chapter to past actions of the legislative body. subject to Section 54960.2, or to determine whether any rule or action by the legislative body to penalize or otherwise discourage the expression of one or more of its members is valid or invalid under the laws of this state or of the United States, or to compel the legislative body to audio record its closed sessions as hereinafter provided. (b) The court in its discretion may, upon a judgment of a violation of Section 54956.7, 54956.8, 54956.9, 54956.95, 54957, or 54957.6, order the legislative body to audio record its closed sessions and preserve the audio recordings for the period and under the terms of security and confidentiality the court deems appropriate. (c) (1) Each recording so kept shall be immediately labeled with the date of the closed session recorded and the title of the clerk or other officer who shall be custodian of the recording. (2) The audio recordings shall be subject to the following discovery procedures: (A) In any case in which discovery or disclosure of the audio recording is sought by either the district attorney or the plaintiff in a civil action pursuant to Section 54959, 54960, or 54960.1 alleging that a violation of this chapter has occurred in a closed session that has been recorded pursuant to this section, the party seeking discovery or disclosure shall file a written notice of motion with the appropriate court with notice to the governmental agency that has custody and control of the audio recording. The notice shall be given pursuant to subdivision (b) of Section 1005 of the Code of Civil Procedure. Ralph M. Brown Act © 2018 Richards, Watson & Gershon 2178711 Page 53 Text of the Ralph M. Brown Act (B) The notice shall include, in addition to the items required by Section 1010 of the Code of Civil Procedure, all of the following: (i) Identification of the proceeding in which discovery or disclosure is sought, the party seeking discovery or disclosure. the date and time of the meeting recorded, and the governmental agency that has custody and control of the recording. (ii) An affidavit that contains specific facts indicating that a violation of the act occurred in the closed session. (3) If the court, following a review of the motion, finds that there is good cause to believe that a violation has occurred, the court may review, in camera, the recording of that portion of the closed session alleged to have violated the act. (4) If, following the in camera review, the court concludes that disclosure of a portion of the recording would be likely to materially assist in the resolution of the litigation alleging violation of this chapter, the court shall, in its discretion, make a certified transcript of the portion of the recording a public exhibit in the proceeding. (5) This Section shall not permit discovery of communications that are protected by the attorney-client privilege. Section 54960.1. Proceeding to determine validity of action: Demand for correction (a) The district attorney or any interested person may commence an action by mandamus or injunction for the purpose of obtaining a judicial determination that an action taken by a legislative body of a local agency in violation of Section 54953, 54954.2, 54954.5, 54954.6, 54956, or 54956.5 is null and void under this section. Nothing in this chapter shall be construed to prevent a legislative body from curing or correcting an action challenged pursuant to this section. (b) Prior to any action being commenced pursuant to subdivision (a), the district attorney or interested person shall make a demand of the legislative body to cure or correct the action alleged to have been taken in violation of Section 54953, 54954.2, 54954.5, 54954.6, 54956, or 54956.5. The demand shall be in writing and clearly describe the challenged action of the legislative body and nature of the alleged violation. (c) (1) The written demand shall be made within 90 days from the date the action was taken unless the action was taken in an open session but in violation of Section 54954.2, in which case the written demand shall be made within 30 days from the date the action was taken. (2) Within 30 days of receipt of the demand, the legislative body shall cure or correct the challenged action and inform the demanding party in writing of its actions to cure or correct or inform the demanding party in writing of its decision not to cure or correct the challenged action. Ralph M. Brown Act (0 2018 Richards. Watson & Gershon 2178711 Page 54 Text of the Ralph M Brown Act (3) If the legislative body takes no action within the 30 -day period, the inaction shall be deemed a decision not to cure or correct the challenged action, and the 15 - day period to commence the action descrioed in subdivision (a) shall commence to run the day after the 30 -day period to cure or correct expires. (4) Within 15 days of receipt of the written notice of the legislative body's decision to cure or correct, or not to cure or correct, or within 15 days of the expiration of the 30 -day period to cure or correct, whichever is earlier, the demanding party shall be required to commence the action pursuant to subdivision (a) or thereafter be barred from commencing the action. (d) An action taken that is alleged to have been taken in violation of Section 54953, 54954.2, 54954.5, 54954.6, 54956, or 54956.5 shall not be determined to be null and void if any of the following conditions exist: (1) The action taken was in substantial compliance with Sections 54953, 54954.2, 54954.5, 54954.6, 54956, and 54956.5. (2) The action taken was in connection with the sale or issuance of notes, bonds, or other evidences of indebtedness or any contract, instrument, or agreement thereto. (3) The action taken gave rise to a contractual obligation, including a contract let by competitive bid other than compensation for services in the form of salary or tees for professional services, upon which a party has, in good faith and without notice of a challenge to the validity of the action, detrimentally relied. (4) The action taken was in connection with the collection of any tax. (5) Any person, city, city and county, county, district, or any agency or subdivision of the state alleging noncompliance with subdivision (a) of Section 54954.2, Section 54956, or Section 54956.5, because of any defect, error, irregularity, or omission in the notice given pursuant to those provisions, had actual notice of the item of business at least 72 hours prior to the meeting at which the action was taken, if the meeting was noticed pursuant to Section 54954.2, or 24 hours prior to the meeting at which the action was taken if the meeting was noticed pursuant to Section 54956, or prior to the meeting at which the action was taken if the meeting is held pursuant to Section 54956.5. (e) During any action seeking a judicial determination pursuant to subdivision (a) if the court determines, pursuant to a showing by the legislative body that an action alleged to have been taken in violation of Section 54953, 54954.2, 54954.5, 54954.6, 54956, or 54956.5 has been cured or corrected by a subsequent action of the legislative body, the action filed pursuant to subdivision (a) shall be dismissed with prejudice. (f) The fact that a legislative body takes a subsequent action to cure or correct an action taken pursuant to this section shall not be construed or admissible as evidence of a violation of this chapter. Ralph M. Brown Act © 2018 Richards, Watson & Gershon 2178711 Page 55 Text of the Ralph M. Brown Act Section 54960.2 Proceeding to determine the applicability of chapter to past actions of legislative body; Conditions; Cease and desist letter (a) The district attorney or any interested person may file an action to determine the applicability of this chapter to past actions of the legislative body pursuant to subdivision (a) of Section 54960 only if all of the following conditions are met: (1) The district attorney or interested person alleging a violation of this chapter first submits a cease and desist letter by postal mail or facsimile transmission to the clerk or secretary of the legislative body being accused of the violation, as designated in the statement pertaining to that public agency on file pursuant to Section 53051, or if the agency does not have a statement on file designating a clerk or a secretary, to the chief executive officer of that agency, clearly describing the past action of the legislative body and nature of the alleged violation. (2) The cease and desist letter required under paragraph (1) is submitted to the legislative body within nine months of the alleged violation. (3) The time during which the legislative body may respond to the cease and desist letter pursuant to subdivision (b) has expired and the legislative body has not provided an unconditional commitment pursuant to subdivision (c). (4) Within 60 days of receipt of the legislative body's response to the cease and desist letter, other than an unconditional commitment pursuant to subdivision (c), or within 60 days of the expiration of the time during which the legislative body may respond to the cease and desist letter pursuant to subdivision (b), whichever is earlier, the party submitting the cease and desist letter shall commence the action pursuant to subdivision (a) of Section 54960 or thereafter be barred from commencing the action. (b) The legislative body may respond to a cease and desist letter submitted pursuant to subdivision (a) within 30 days of receiving the letter. This subdivision shall not be construed to prevent the legislative body from providing an unconditional commitment pursuant to subdivision (c) at any time after the 30 -day period has expired, except that in that event the court shall award court costs and reasonable attorney fees to the plaintiff in an action brought pursuant to this section, in accordance with Section 54960.5. (c) (1) If the legislative body elects to respond to the cease and desist letter with an unconditional commitment to cease, desist from, and not repeat the past action that is alleged to violate this chapter, that response shall be in substantially the following form: To The [name of legislative body] has received your cease and desist letter dated [date] alleging that the following described past action of the legislative body violates the Ralph M. Brown Act: [Describe alleged past action, as set forth in the cease and desist letter submitted pursuant to subdivision (a) ] Ralph M. Brown Act © 2018 Richards, Watson & Gershon 2178711 Page 56 Text of the Ralph M. Brown Act In order to avoid unnecessary litigation and without admitting any violation of the Ralph M. Brown Act, the [name of legislative body] hereby unconditionally commits that it will cease, desist from, and not repeat the challenged past action as described above. The [name of legislative body] may rescind this commitment only by o majority vote of its membership taken in open session at a regular meeting and noticed on its posted agenda as "Rescission of Brown Act Commitment." You will be provided with written notice, sent by any means or media you provide in response to this message, to whatever address or addresses you specify, of any intention to consider rescinding this commitmert at least 30 days before any such regular meeting. In the event that this commitment is rescinded, you will have the right to commence legal action pursuant to subdivision (a) of Section 54960 of the Government Code. That notice will be delivered to you by the same means as this commitment, or may be mailed to an address that you have designated in writing. Very truly yours, [Chairperson or acting chairperson of the legislative body] (2) An unconditional commitment pursuant to this subdivision shall be approved by the legislative body in open session at a regular or special meeting as a separate item of business, and not on its consent agenda. (3) An action shall not be commenced to determine the applicability of this chapter to any past action of the legislative body for which the legislative body has provided an unconditional commitment pursuant to this subdivision. During any action seeking a judicial determination regarding the applicability of this chapter to any past action of the legislative body pursuant to subdivision (a), if the court determines that the legislative body has provided an unconditional commitment pursuant to this subdivision, the action shall be dismissed with prejudice. Nothing in this subdivision shall be construed to modify or limit the existing ability of the district attorney or any interested person to commence an action to determine the applicability of this chapter to ongoing actions or threatened future actions of the legislative body. (4) Except as provided in subdivision (d), the fact that a legislative body provides an unconditional commitment shall not be construed or admissible as evidence of a violation of this chapter. (d) If the legislative body provides an unconditional commitment as set forth in subdivision (c), the legislative body shall not thereafter take or engage in the challenged action described in the cease and desist letter, except as provided in subdivision (e). Violation of this subdivision shall constitute an independent violation of this chapter, without regard to whether the challenged action would otherwise violate this chapter. An action alleging past violation or threatened future violation of this subdivision may be Ralph M. Brown Act ® 2018 Richards. Watson & Gershon 2178711 Page 57 Text of the Ralph M. Brown Act brought pursuant to subdivision (a) of Section 54960, without regard to the procedural requirements of this section. (e) The legislative body may resolve to rescind an unconditional commitment made pursuant to subdivision (c) by a majority vote of its membership taken in open session at a regular meeting as a separate item of business not on its consent agenda, and noticed on its posted agenda as "Rescission of Brown Act Commitment," provided that not less than 30 days prior to such regular meeting, the legislative body provides written notice of its intent to consider the rescission to each person to whom the unconditional commitment was made, and to the district attorney. Upon rescission, the district attorney or any interested person may commence an action pursuant to subdivision (a) of Section 54960. An action under this subdivsion may be brought pursuant to subdivision (a) of Section 54960, without regard to the procedural requirements of this section. Section 54960.5. Costs and attorney fees A court may award court costs and reasonable attorney fees to the plaintiff in an action brought pursuant to Section 54960. 54960.1 or 54960.2 where it is found that a legislative body of the local agency has violated this chapter. Additionally, when an action brought pursuant to Section 54960.2 is dismissed with prejudice because a legislative body has provided an unconditional commitment pursuant to paragraph (1) of subdivision (c) of that Section at any time after the 30 -day period for making such a commitment has expired, the court shall award court costs and reasonable attorney fees to the plaintiff if the filing of that action caused the legislative body to issue the unconditional commitment. The costs and fees shall be paid by the local agency and shall not become a personal liability of any public officer or employee of the local agency. A court may award court costs and reasonable attorney fees to a defendant in any action brought pursuant to Section 54960 or 54960.1 where the defendant has prevailed in a final determination of such action and the court finds that the action was clearly frivolous and totally lacking in merit. Section 54961. Meeting place with discriminatory admission policies; Identification of victim of sexual or child abuse (a) No legislative body of a local agency shall conduct any meeting in any facility that prohibits the admittance of any person, or persons, on the basis of ancestry or any characteristic listed or defined in Section 11135, or which is inaccessible to disabled persons. or where members of the public may not be present without making a payment or purchase. This section shall apply to every local agency as defined in Section 54951. (b) No notice, agenda, announcement, or report required under this chapter need identify any victim or alleged victim of tortious sexual conduct or child abuse unless the identity of the person has been publicly disclosed. Ralph M. Brown Act ® 2018 Richards Watson 8 Gershon 2178711 Page 58 Text of the Ralph M. Brown Act Section 54962. Prohibition against closed sessions except as expressly authorized Except as expressly authorized by this chcpter, or by Sections 1461, 1462, 32106, and 32155 of the Health and Safety Code, or by Sections 37606, 37606.1, and 37624.3 of the Government Code as they apply to hospitals, or by any provision of the Education Code pertaining to school districts and community college districts, no closed session may be held by any legislative body of any local agency. Section 54963. Disclosure of confidential information acquired in closed session prohibited; Disciplinary action for violation (a) A person may not disclose confidential information that has been acquired by being present in a closed session authorized by Section 54956.7, 54956.8, 54956.86, 54956.87, 54956.9, 54957, 54957.6, 54957.8, or 54957.10 to a person not entitled to receive it, unless the legislative body authorizes disclosure of that confidential information. (b) For purposes of this section, "confidential information" means a communication made in a closed session that is specifically related to the basis for the legislative body of a local agency to meet lawfully in closed session under this chapter. (c) Violation of this section may be addressed by the use of such remedies as are currently available by law, including, but not limited to: (1) Injunctive relief to prevent the disclosure of confidential information prohibited by this section. (2) Disciplinary action against an employee who has willfully disclosed confidential information in violation of this section. (3) Referral of a member of a legislative body who has willfully disclosed confidential information in violation of this section to the grand jury. (d) Disciplinary action pursuant to paragraph (2) of subdivision (c) shall require that the employee in question has either received training as to the requirements of this Section or otherwise has been given notice of the requirements of this section. (e) A local agency may not take any action authorized by subdivision (c) against a person, nor shall it be deemed a violation of this section, for doing any of the following: (1) Making a confidential inquiry or complaint to a district attorney or grand jury concerning a perceived violation of law, including disclosing facts to a district attorney or grand jury that are necessary to establish the illegality of an action taken by a legislative body of a local agency or the potential illegality of an action that has been the subject of deliberation at a closed session if that action were to be taken by a legislative body of a local agency. (2) Expressing an opinion concerning the propriety or legality of actions taken by a legislative body of a local agency in closed session, including disclosure of the nature and extent of the illegal or potentially illegal action. Ralph M. Brown Act © 2018 Richards. Watson 8 Gershon 2178711 'age 59 Text of the Ralph M. Brown Act (3) Disclosing information acquired by being present in a closed session under this chapter that is not confidential information. (f) Nothing in this Section shall be construed to prohibit disclosures under the whistleblower statutes contained in Section 1 102.5 of the Labor Code or Article 4.5 (commencing with Section 53296) of Chapter 2 of this code. Ralph M. Brown Act C*r 2018 Richards. Watson & Gershon 21 7871 1 Page 60 Richards, Watson & Gershon delivers practical advice and solutions tailored to the unique needs of California public entities. About Working seamlessly across offices in Los Angeles, San Francisco. Orange County, Temecula, and the Central Coast our dedicated team of experts provides the full -scope of public law services. We are the lawyers of choice for clients who seek reliable. efficient. and effective legal counsel. Richards, Watson & Gershon serves as city/town attorney. special counsel and general counsel to clients of all sizes and demographics. Our attorneys are proficient in areas of law only found in a firm with substantial experience in public agency representation. Local governments count on us for help with their most complex prr- -Mems. Specialties Include: Administrative Law Airports, Rail & Transit Brown Act Cannabis CEQA Coastal Act Code Enforcement Conflicts of Interest Construction & Public Works ANGELES S S Gro, id A:renve Floor Angeles, CA 90071 N FRANCISCO Montgomery Street 3803 f► Franciscco. CA 94104 RANGE COUNTY Civic Center Otte 0. Box 1059 eo. CA 97822 MECUtA 000 Main Street ite 309 .meculo. Cit 97590 ENTRAL COAST 7 Monterey Street 201 Luis Obispo. CA 934x;' nce 1,954 I rW9law.com Elections Eminent Domain Environment & Natural Resources Housing Labor & Employment Land Use & Planning Litigation Police Practices Public Finance Public Records Act Real Estate & Leasing Rent Control Subdivisions & Zoning Taxes. Fees & Assessments Telecommunications Solid Waste Stormwater Compliance Water Rights & Water Law SECTION 9 00 Public Records Act o HANDBOOK NISummary of the Major Provisions and Requirements of the Public Records Act and Re aced Topics Electronic Records Text of the Public Records Act ) Updated including changes effective January 1, 2018 Table of Contents INTRODUCTION ii PART ONE. COMPLIANCE WITH THE PUBUC RECORDS ACT 1 I. WHAT IS THE PUBLIC RECORDS ACT? 1 II. WHAT RIGHTS DOES THE PUBLIC RECORDS ACT AFFORD TO THE PUBLIC? 2 III. IS THE PUBLIC RECORDS ACT RELATED TO THE FREEDOM OF INFORMATION ACT? 3 IV. TO WHICH LOCAL AGENCIES DOES THE PUBLIC RECORDS ACT APPLY? 3 V. WHAT ARE "PUBLIC RECORDS?" 3 VI. HOW DOES A LOCAL AGENCY DETERMINE THE SCOPE OF A PUBLIC RECORDS REQUEST? 5 VII. CAN A LOCAL AGENCY RELINQUISH ITS PUBUC RECORDS ACT OBLIGATIONS TO SOMEONE ELSE? 6 VIII. MUST A PUBLIC RECORDS ACT REQUEST BE MADE IN WRITING, OR MAY IT BE MADE ORALLY? 6 IX. WHAT PUBLIC RECORDS ARE EXEMPT FROM DISCLOSURE UNDER THE PUBLIC RECORDS ACT? 7 X. WHAT IS THE PROPER PROCEDURE FOR COMPLYING WITH A PUBLIC RECORDS ACT REQUEST? 24 XI. WHAT ARE THE PENALTIES FOR FAILURE TO COMPLY WITH THE PUBUC RECORDS ACT? 28 XII. CONCLUSION 28 PART TWO. ELECTRONIC RECORDS 29 I. EMAIL 32 II. DOCUMENTS CREATED USING WORD PROCESSORS, GIS AND OTHER SOFTWARE 45 III. CITY WEBSITES 54 IV. CONCLUSIONS 68 Public Records Act ® 2018 Richards, Watson & Gershon 2172263 Page i PART THREE. THE CALIFORNIA PUBLIC RECORDS ACT 71 Article 1 - General Provisions California Government Code Sections 6250-6270 72 Article 2 - Other Exemptions from Disclosure California Government Code Sections 6275-6276.48 129 Public Records Act ® 2018 Richards, Watson & Gershon 2172263 Page ii Introduction This Handbook, designed for City officials and staff, provides a summary of the major provisions of California's Public Records Act and related topics. Part One of the Handbook summarizes the basic provisions of the Public Records Act, including documents that are exempt from disclosure and the proper procedure for complying with the Ac`. Part Two highlights the unique issues raised by electronic records. Part Three contains the complete text of the Public Records Act. We hope you find this Handbook useful. Should you have any questions about the information included in this Handbook, please do not hesitate to contact our office. Richards, Watson & Gershon Public Records Act 0 2018 Richards. Watson & Gershon 2172263 Page iii PART ONE. COMPLIANCE WITH THE PUBLIC RECORDS ACT IIRWG LAW Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 1 COMPLIANCE WITH THE PUBLIC RECORDS ACT: KEY QUESTIONS AND ANSWERS The people have the right of access to information concerning the conduct of the people's business, and, therefore, the meetings of public bodies and the writings of public officials and agencies shall be open to public scrutiny. CAL. CONST. ART. 1, § 3(B). In enacting this chapter, the Legislature, mindful of the right of individuals to privacy, finds and declares that access to information concerning the conduct of the people's business is a fundamental and necessary right of every person in this state. GOV'T CODE § 6250. California's Public Records Act is a key part of the philosophy that government at all levels in this State must be open and accessible to all., Under the Public Records Act, a local government agency must disclose virtually any public document; only a statutory exemption or a need for confidentiality that clearly outweighs the public's right to access will legally justify withholding a public document. The purpose of this Handbook is to provide a general overview of the Public Records Act and recent amendments to it, along with a general road map for compliance. This Handbook addresses the questions most frequently asked of us by our local government clients. I. WHAT IS THE PUBLIC RECORDS ACT? The Public Records Act is a California statute that affords the public the right to inspect, and obtain a copy of, most of the information retained by State and local agencies in the course of business. The Public Records Act regulates the public's access to records and sets out the specific statutory circumstances under which particular records need not be disclosed. The Public Records Act states that public records are open to inspection at all times during the office hours of a local agency., Rogers v. SuperiorCt. (City of Burbank), 19 Cal. App. 4th 469 (2 Dist. 1993). 2 Gov't Code § 6253(a). Public Records Act ® 2018 Richards. Watson & Gershon 2172263 Page 1 Part One: Compliance with the Public Records Act The California Constitution also guarantees that public records are open to public scrutiny., It provides that a law, such as the Public Records Act, should be "broadly construed" if it furthers the people's right of access to public records, and "narrowly construed" if it limits the right of access. II. WHAT RIGHTS DOES THE PUBLIC RECORDS ACT AFFORD TO THE PUBLIC? Under the Public Records Act, every person has the right to inspect and to obtain a copy of any identifiable public record.^ It is irrelevant whether the person making the Public Records Act request already has possession of the public records requested.'> The term "person" includes individuals, and various types of business entities.6 A "person" need not be a citizen of California or of the United States to make use of the Public Records Act.' A local agency must supply an exact copy of the record on request, unless it is "impracticable" to make an exact copy.- The word "impracticable" in the Public Records Act does not necessarily refer to situations where a copying request would be "inconvenient" or time consuming to the agency. Rather, the term "impracticable" modifies the requirement that the agency provide an "exact" copy. If a requested document is subject to the Public Records Act, the agency must provide the best or most complete copy of that document reasonably possible.'' Any reasonably segregable portion must be made available after deletion of any portion exempt from disclosure. The requirements of the Public Records Act are the minimum standards which must be met by local agencies. The Public Records Act specifically provides that agencies may adopt procedures to allow greater access to records, except where the law otherwise prohibits access. The person who is the subject of a particular record does not have a specific right under the Public Records Act to prevent disclosure of any particular CAI. COMM. art. 1, § 3(b). 4 Gov't Code § 6253(0). (b). The motive of the requester seeking public records is immaterial: an individual akeady in possession of requested documents may seek the documents so he or she may publicly disseminate them without fear of liability for doing so. Caldecote V. Superior Court, 243 Col. App. 4th 212, 219 (4 Dist. 2015). 6 Both cities and City attorneys hove been deemed "persons" under the Act. Los Angeles Unified School Dist. v. Superior Court (City of Long Beach), 151 Cal. App. 41h 759 (2 Dist. 2007) (holding that City, as well os the City attorney were entitled to obtain records of school district relating to school construction project). 7 Gov't Code § 6252(c): Connell v, Superior Court (lntersource, Inc.) . 56 Cal. App. 4th 601 (3 Dist. 1997). 8 Gov't Code § 6253(b). 9 See Rosenthal v. Hansen, 34 Cal. App. 3d 754 (3 Dist. 1973) (holding that under the former Section 6256, an agency need not provide exact copies if doing so would be impracticable, but that this does not excuse a public entity from producing the records at all). *Gov't Code § 6253(0) Gov't Code § 6253)e). Public Records Act © 2018 Richards. Watson & Gershon 2172263 Page 2 Part One Compliance with the Public Records Act record. Even in cases where the subject of a particular record has argued that disclosure would violate the individual right to privacy guaranteed by the California Constitution, disclosure has been compelled.' III. IS THE PUBLIC RECORDS ACT RELATED TO THE FREEDOM OF INFORMATION ACT? Persons who request access to public records frequently reference the Freedom of Information Act ("FOIA") as the basis for their request. The FOIA is a federal statute that does not apply to local government agencies. However, the Public Records Act was modeled after the FOIA, and we recommend that agencies respond to otherwise valid records requests even if the requester cites the FOIA instead of the Public Records Act.14 IV. TO WHICH LOCAL AGENCIES DOES THE PUBLIC RECORDS ACT APPLY? The Public Records Act applies to all local government agencies. Under the Public Records Act, a "local agency" includes a county; city, whether general law or chartered; city and county; school district; municipal corporation; district; political subdivision; any board, commission or agency of any of these; and certain non-profit organizations of local agencies which are supported by public funds. V. WHAT ARE "PUBLIC RECORDS?" The Public Records Act defines "public records" as follows: 'Public records' includes any writing containing information relating to the conduct of the public's business prepared, owned, used, or retained by any state or local agency regardless of physical form or characteristics. The term "writing" means: any handwriting, typewriting, printing, photostating, photographing, photocopying, transmitting by electronic mail or facsimile, and every other means of recording upon any tangible thing any form of 2 LAPD v. Supenor Court (Church of Scientology). 65 Cal. App. 3d 661, 668 (2 Dist. 1977). 13 Poway Unified Sch. Dist. v. Superior Court (Copley Press), 62 Cal. App. 4th 1496 (4 Dist. 1998). 14 See ACLU v. Deukmejian. 32 Cal. 3d 440, 447 (1982) (Public Records Act modeled on FOIA. judicial construction and legislative history of federal act illuminate the interpretation of its California counterpart), Cook v. Craig, 55 Cal. App. 3d 773. 781 (3 Dist. 1976) (noting the similarity between the provisions of state and federal law) is Gov't Code § 62521a) . Public Records Act © 2018 Richards. Watson & Gershon 2172263 Page 3 Part One: Compliance with the Public Records Act communication or representation, including letters, words, pictures, sounds, or symbols, or combinations thereof, and any record thereby created, regardless of the manner in which the record has been stored.',, These definitions encompass much more than written or printed documents. Public records include computer data, and an agency must provide computer records in any electronic format in which the agency holds the information. If a requester asks for the records in a particular format, the agency must provide the records in that format, provided it is a format used by the agency to create copies for its own use or for provision to other agencies unless an exception applies.) • Note, however, that computer software developed by a local agency is not a "public record" subject to the Public Records Act.'4 On the other hand, a requester's rights under the Public Records Act are not unlimited. A local agency is not required to create a document or compile a list in response to a request under the Public Records Act.'' While these definitions are general, over the years the courts have both broadened and limited the scope of the definition of "public record." First, it is clear that the term "public records" encompasses more than simply those documents that public officials are required by law to keep as official records. Rather, courts have held that a public record is one that is kept because it is "necessary or convenient to the discharge of [an] official duty."20 Second, courts have observed that merely because the writing is in the possession of the local agency, it is not automatically a public record. It must relate to the conduct of the public's business.,Thus, personal notes and personal records, such as shopping lists or letters from friends that are totally void of public business, are not public records.*' In addition, it is important to note that a record need not be a "document" to fall within the ambit of the Public Records Act. A public record is subject to disclosure under the Public Records Act "regardless of its physical form or characteristics. Further, local agencies are obligated to determine whether a public records request seeks copies of disclosable public records in the "possession" of the 16 Gov't Code § 6252(e), (g). 1/ Gov't Code § 6253.9. For further discussion of the exception to this rule, see Port Two. Electronic Records, Section 11.8. "Metadata" of this Handbook. 'H Gov't Code § 6254.9, 19 Based upon the definition of "writing," Gov't Code § 6252(g) and the requirement that a requested record be "identifiable." Gov't Code § 6253(b). 20 Braun v. City of Taft, 154 Col. App. 3d 332, 340 (5 Dist. 1984): San Gabriel Tnbune v. Superior Court (City of West Covina), 143 Cal. App. 3d 762, 774 (2 Dist. 1983): People v. Tomalty, 14 Cal. App. 224, 231 (1 Dist. 1910). 21 Braun, 154 Cal. App. 3d at 340; San Gabriel Tribune, 143 Cal. App 3d at 774; Gov't Code § 6252(e). 22 San Gabriel rribune, 143 Cal. App. 3d at 774. 23 Gov't Code § 6252(e) . Public Records Act © 2018 Richards, Watson 8 Gershon 2172263 Page 4 Port One Compliance with the Public Records Act agency.24 On occasion, a local agency prepares, uses, or owns a document containing information related to the conduct of the public's business, but does not physically possess it, such as when a local agency hires a private consultant to conduct work on behalf of the agency. When the public record is in the possession of a private consultant or sub -consultant who does work for the local agency, the contractual relationship between the local agency and consultant or sub -consultant will likely determine whether the local agency is in possession of the documents.25 In Community Youth Athletic Center v. City of National City, the court found that under the contract between the City and its consultant, the City had the right to possess and control the record that was the subject of a public records request, even if that local agency had not previously enforced its ownership right.25 The court held that the City had an obligation "to make reasonable efforts to facilitate the location and release of the information."2' The City's failure to assert its contractual right to obtain the record from the consultant violated the Public Records Act? On the other hand, in Consolidated irrigation District v. Superior Court, the court found that the City had no control over a sub -consultant's records.29 The sub -consultant had been hired by the City's primary consultant, and based on the facts in that case, the City had no obligation under the Public Records Act to obtain and produce the records of the sub -consultant. VI. HOW DOES A LOCAL AGENCY DETERMINE THE SCOPE OF A PUBLIC RECORDS REQUEST? Most public records requests are straightforward. The public is familiar with records regularly kept by a local agency, such as meeting minutes, staff reports, financial reports, and other documents discussed at public meetings. Requests for those records are easy to fulfill. Many of these records may be available on a local agency's website, and the Public Records Act allows a local agency to satisfy a request for public records by directing the requester to that website.lri Sometimes, the public is unfamiliar with the types of records maintained by local agencies. The requester may not be able to provide the specificity necessary to identify a public record, or the request may be so broadly stated that a local agency cannot reasonably determine which records fall within the scope of the request. 24 Gov't Code § 6253(c). 25 Consolidated Irrigation District v. Superior Court (City of Selma), 205 Cal. App. 4th 697, 709 11 (5 Dist. 20121: Community Youth Athletic Center v. City of National City. 220 Cal. App. 4th 1385, 1427-29 (4 Dist. 2013): see olso Regents of the University of California v. Superior Court, 222 Cal. App. 4th 383, 398 (1 Dist. 2013). 26 Community Youth Athletic Center. 220 Cal. App. 4th at 1428. 271d. at 1429. 28 Id. 29 Consolidated Irrigation District, 205 Cal. App. 4th of 711. 30 Gov't Code § 6253. Pubbc Records Act © 2018 Richards, Watson & Gershon 2172263 Page 5 Port One: Compliance with the Public Records Act Under those circumstances, the Public Records Act imposes duties on both local agencies and requesters. Local agencies must assist a requester to formulate a "focused and effective request that reasonably describes an identifiable record or records," by following certain procedural requirements. Likewise, the requester is obligated to engage in this process, and communicate to the custodian of records the scope of the public information requested. Both the local agency and the requester must be reasonable in this process: VII. CAN A LOCAL AGENCY RELINQUISH ITS PUBLIC RECORDS ACT OBLIGATIONS TO SOMEONE ELSE? A local agency cannot sell or provide a public record subject to disclosure under the Public Records Act to a private entity in a manner that prevents the local agency from providing the record directly.i, For example, the county recorder cannot transfer all birth and death records to a private company and insist that the public obtain birth certificates from the private entity. Similarly, a local agency may not enter into a contract that allows another party to control the disclosure of information that is subject to the Public Records Act.. For example, a contract provision that requires the consent of a contractor before a local agency may release a public record prepared by the contractor violates the Public Records Act. Additionally, if a local agency enters into a contract that requires a private entity b review, audit, or report on any aspect of the local agency, that contract must be made available to the public upon request, unless the contract is exempt from disclosure pursuant to another exemption in the Public Records Act. VIII. MUST A PUBLIC RECORDS ACT REQUEST BE MADE IN WRITING, OR MAY IT BE MADE ORALLY? Nothing in the Public Records Act requires a member of the public to place his or her request for public records in writing.;,. While many local agencies provide forms on their website or at their offices for making a written Public Records Act request, a requester is not required to use the form offered. An oral request is sufficient to trigger the requirements of the Public Records Act. Additionally, an argumentative or disruptive requester cannot be permanently banned from the premises by a local agency or forced to make their requests in 31 Gov't Code § 6253.1. Further discussion of these procedural requirements is in Section X. below. 32 Community Youth Athletic Center v. National City. 220 Col. App. 4th 1385, 1427 (4 Dist. 2013). 33 Gov't Code § 6270(a(. 34 Gov't Code § 6253.3. 35 Gov't Code § 6253.31. 36 Los Angeles Times v. Alameda Corridor Transp. Authority, 88 Cal. App. 4th 1381, 1392 (2 Dist 2001) Public Records Act *2018 Richards, Watson & Gershon 2172263 Page 6 Part One: Compliance with the Pubic Records Act writing.37 However, the right to inspect public records is subject to the implied rule of reason that enables the custodian of public records to formulate regulations necessary to prevent interference with the orderly functioning of the agency's office.38 If faced with a loud or angry person who is making an oral request, and the records are not immediately available, it is advisable for staff to write down the request and tell the requester the agency will respond in writing within the time limits specified in the Public Records Act. Your City attorney can provide additional guidance in the event a member of the public is repeatedly abusive towards staff. IX. WHAT PUBLIC RECORDS ARE EXEMPT FROM DISCLOSURE UNDER THE PUBLIC RECORDS ACT? A. Disclosure of Exempt Records Waives Confidentiality The Public Records Act specifically exempts a number of categories of records from disclosure requirements. If documents are exempt from disclosure, it is important that confidentiality be maintained. Once an otherwise exempt record is knowingly released to any member of the public, disclosure constitutes a waiver of the exemption for that record, and the record must be provided to any subsequent requesting member of the public.39 This waiver ensures a public agency does not carry out "selective disclosure," wherein some members of the public are provided the right of access to specific records, while some requests for the same records are denied by the public agency for the same materials.4° There are a few situations where the knowing disclosure of an otherwise exempt record does not constitute a waiver of exemption. Exemptions are not waived when disclosures are made: • Through discovery procedures associated with lawsuits or in court proceedings; • Pursuant to a statute that limits disclosure for specified purposes; • When not required by law and prohibited by formal action of the elected legislative body of the local agency; or • To another government agency that agrees to treat the records as confidential.41 37 Golbiso v. Orosi Public Utility Distnct, 167 Cal. App. 4th 1063, 1088-89 (5 Dist. 2008). 38 Bruce v. Gregory. 65 Cal. 2d 666, 676 (1967): Rosenthal v. Hansen, 3.4 Cal. App. 3d 754. 761 (1973); 64 Ops. Cal. Atty. Gen. 317 (1981). 39 Gov't Code § 6254.5. 4° Black Panther Party v. Kehoe. 42 Cal. App. 3d 646. 658 (3 Dist. 1974). 41 Gov't Code § 6254.5. Additional exceptions apply to specific state agencies. Pubic Records Act ® 2018 Richards, Watson & Gershon 2172263 Page 7 Part One: Compliance with the Public Records Act Recently, the California Supreme Court held that a public agency's inadvertent disclosure resulting from human error does not waive an exemption.42 In Ardon v. City of Los Angeles, the City of Los Angeles inadvertently disclosed several attorney-client and attorney work product documents in response to a PRA request. The requester was an attorney actively involved in pending litigation against the City.43 After becoming aware of the inadvertent disclosure, the City filed a motion in court seeking the return of the privileged materials» The California Supreme Court held that the Public Records Act's waiver provision45 applied only to intentional and not inadvertent disclosure.46 The court justified this distinction by finding that the City of Los Angeles had not engaged in selective disclosure: "[gather, it seeks no disclosure; it is trying to force plaintiff's attorney to return the privileged documents unread."47 The California Supreme Court's decision in Ardon v. City of Los Angeles allows a public agency to argue that a disclosure was inadvertent and ask for return of exempt records that were released in error. However, nothing in the Public Records Act compels the requester to return the records. Instead, the public agency must go to court to obtain a judicial order directing the requester to return or destroy the inadvertently disclosed records.48 This presents a number of problems. First, the circumstances surrounding the dissemination of those materials would have to be evaluated on a case-by-case basis by the reviewing court.49 The court may not agree with the public agency's assertion that the disclosure was inadvertent. Second, if the exempt records were given wide- spread distribution before the error was found, a court may decide not to order return of the records. Once the information is in the public sphere, the bell cannot be unrung. Third, it is costly to go to court to seek injunctive relief. Consequently, public agencies should continue to conduct a thorough and exhaustive review of responsive documents before releasing any materials in response to a Public Records Act request. The California Supreme Court acknowledged that its decision was limited to "truly inadvertent disclosures and must not be abused to permit the type of selective disclosure" prohibited by the Public Records Act.50 Further, the California Supreme Court emphasized that a public agency's own characterization of its intent is not dispositive.s, The best 42 Ardor v. City of Los Angeles, 62 Cal. 4th 1 176 (2016). 43 Ardor, 62 Col. 4th at 1180-82. 44 Id. at 1 181. 45 Gov't Code § 6254.5. 46 Ardor, 62 Cal. 4th at 1180. 47 Id. at 1185-86. 48 See Newark Unified School District v. Superior Court, 245 Cal. App. 4th 887 (1 Dist. 2015). 49 id. at 910. 50 Ardon, 62 Cal. 4th at 1190. 511d. Public Records Act C 2018 Richards, Watson 8. Gershon 2172263 Page 8 Part One. Compliancewith the Public Records Act practice continues to be to complete a thorough review before releasing responsive records. B. Statutory Exemptions for Confidential Records The following is a list of the statutory exemptions. This list is not exhaustive. (1) Public agency employees' personal information. Gov't Code § 6254.3. Recent legislation has expanded protections for specified personal information of all public agency employees. The home addresses, personal cellular telephone numbers and birth dates of all public agency employees are not considered to be public records subject to disclosure, except in limited circumstances. The Public Records Act also requires local agencies to redact social security numbers from records before disclosing the records to the public in response to a Public Records Act request.». (2) Referendum, recall and initiative petitions and related material. Gov't Code § 6253.5. Election -related petitions and all memoranda prepared by the county elections officials in their examination of the petitions indicating which registered voters signed the petitions are strictly confidential. These materials may be viewed only by elections officials and their deputies. Other officials, including agency attorneys, must obtain a court order to view petitions. if the elections officials determine that a petition is legally insufficient, petition proponents and their representatives designated in writing must be permitted to review these materials. (3) The identity of persons who have requested bilingual ballots or ballot pamphlets_ Gov't Code § 6253.6. (4) Preliminary drafts. notes, or interagency or intra -agency memoranda. Gov't Code § 6254(a). 52 Gov't Code § 6254.29. Public Records Act © 2018 Richards. Watson & Gershon 2172263 Page 9 Part One: Compliance with the Public Records Act Public officials should be aware that preliminary drafts and notes, along with interagency and intra -agency memoranda, are exempt from disclosure as public records if those documents are not customarily retained by the local agency in the ordinary course of business and the public interest in withholding those records clearly outweighs the public interest in disclosure.5, In considering whether to use this exemption, agencies should determine whether the disclosure of a preliminary draft, note, or interagency or intra - agency memorandum would further the interest of the Act in open government. The fact that the document is merely a step in the process and does not provide important information about the public's business probably weighs in favor of nondisclosure. The key questions in this area generally may be boiled down to whether a draft, note, or interagency or intra -agency memorandum is one which: • Is not normally kept by the agency in the ordinary course of business; • Is not prepared or kept to document or memorialize the day-to-day transaction of the public's business; • Is merely a temporary step in the process of preparing a final document, reaching a final decision, or determining a course of action; and • Would expose the agency's decision-making process if disclosed,',° and the public interest in nondisclosure clearly outweighs the public interest in disclosure. If the document qualifies under all four categories above, the document probably is exempt from disclosure under the Public Records Act. Documents that do not satisfy one or more of the categories above probably are public records that must be disclosed unless another exemption applies. You should keep in mind, however, that any doubt or question in this regard likely will be decided in favor of disclosure of the record. In discussing whether a record has not been retained in the ordinary course of business, one court observed, "[i]f preliminary materials are not customarily discarded or have not in fact been discarded as is customary they must be 53 Gov't Code § 6254(a). 54 Citizens for a Better Environment v. Dep't of Food and Agriculture, 171 Cal. App. 3d 704, 715-16 (3 Dist. 1985) (concluding that ^(t)he interest in fostering robust agency debate" is the only public interest that can justify nondisclosure under Section 6254(011. Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 10 Part One: Compliance with the Pubfic Records Act disclosed."55 One of the purposes of this condition is to prevent "secret law," that is, an undisclosed collection of written rules guiding the agency's decisions.S6 Consequently, a record that must be retained pursuant to a local agency's records retention schedule, policies or customs does not fall within this exemption. For example, if a policy decision is made to retain drafts in order to document the bargaining history after an agreement is negotiated; those drafts likely are not exempt under Section 6254(a). Also, if it is permissible under an agency's records retention schedule to destroy preliminary documents, but the agency retained such a document after the final report is prepared, the preliminary document arguably is not exempt under Section 6254(a). (5) Records pertaining to pending litigation to which the agency is a party. Gov't Code § 6254(b). Under this exemption, records actually created by an agency for its own use in litigation are exempt from disclosure under the Public Records Act.S7 Previously created or disclosed records may not be retroactively re-classified as being exempt under this Section.58 Generally, courts will examine the "dominant purpose" behind the document's creation.59 Documents prepared "by a public entity for its own use in anticipation of litigation, which documents it reasonably has an interest in keeping to itself until litigation is finalized" are protected by the exemption.60 Thus, while documents created prior to the commencement of litigation appear to receive greater scrutiny to determine their dominant purpose, the exemption can apply to documents created before litigation has commenced, that is, before a claim has been made with the local agency under the Government Claims Act or a complaint filed with a court. Once litigation is concluded, however, the exemption will no longer apply 61 This exemption also applies to litigation -related documents, even if not created by an agency, when sought by persons or entities not a party to the litigation and which the parties to the litigation do not intend to be revealed outside the litigation. This exemption does not cover deposition transcripts because they 551d. at 714. 561d. 01 714 n.7. 57 Fairiey v. Superior Court (City of Long Beach), 66 Col. App. 4th 1414. 1421-22 (2 Dist. 1998). 58 City of Hemet V. Superior Court (Press -Enterprise CO.), 37 Cal. App. 4th 1411, 1420 & n.11 (4 Dist. 1995). 59 Fawley, 66 Cal. App. 4th at 1420. 60 Id. at 1421 (emphasis added). 61 City of Los Angeles v. Superior Court (Axelrod), 41 Col. App. 4th 1083, 1089 (2 Dist. 1996). Public Records Act ® 2018 Richards, Watson & Gershon 2172263 Page 11 Part One: Compliance with the Public Records Act are available to the public under another statute.62 And where a plaintiff generally is required to file a claim under the Government Claims Act to initiate litigation against a local agency, the actual claim form filed with the local agency is not exempt under this Section as "[t]here is no unfair disadvantage [in the pending litigation] to the public entity from disclosure of the mere claim form."63 (6) Personnel, medical or similar records. Gov't Code §§ 6254(c); 6254.3. When the disclosure of personnel, medical or similar files would constitute an unwarranted invasion of personal privacy, this exemption applies. In determining whether personnel records should be disclosed, courts first decide whether disclosure would compromise the individual's substantial privacy interest. If it does, the court determines whether the potential harm to those interests caused by disclosure outweighs the public interest in disclosure.64 As will be discussed below, the California Supreme Court has concluded that public employees in general have a significantly reduced expectation of privacy in their salaries, and that the strong public interest in knowing how the government spends its money justifies disclosure of salary information.65 And at least one appellate court has found that where the public employee is in a position of authority, such as a superintendent of a school district, the individual has "a significantly reduced expectation of privacy in the matters of his [or her] public employment."66 This exemption for personnel, medical or similar records does not justify withholding employment agreements. By statute, employment agreements between a local agency and any public official or public employee is a public record not subject to the exemptions of Sections 6254 or 6255 of the Government Code.6r 62 Board of trustees of California State Univ. v. Superior Court (Copley Press. Inc.). 132 Cal. App. 4th 889. 901-902 (4 Dist. 2005). 63 Poway Unified Sch. Dist. v. Superior Court (Copley Press), 62 Cal. App. 4th 1496, 1505 (4 Dist. 1998). 64 Versaci v. Superior Court (PalomarCmty. Coll. Dist.), 127 Cal. App. 4th 805, 818-820 (4 Dist. 2005). 65 International Federation of Professional and Technical Engineers, LOCAL 21, AFL-CIO, v. Superior Court, (Contra Costo Newspapers. Inc.), 42 Cal. 4th 319. 329-333 (2007)(Intemational Federation). 66 BRV, Inc. v. Superior Court (Dunsmuir Joint Union High School District), 143 Cal. App. 4th 742, 758 (3 Dist. 2006) (ordering reports investigating allegations of misconduct disclosed, as the public's interest in why the district entered into a termination agreement with the superintendent that appeared to the pubic to be a "sweetheart deal" outweighed the superintendent's interest in preventing discbsure of the reports). 67 Gov't Code § 6254.8. Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 12 Part One: Compliance with the Public Records Act Disclosure of Public Employee Salaries The California Supreme Court has held that salaries of public employees are not exempt from disclosure. In International Federation of Professional and Technical Engineers v. Superior Court, (Contra Costa Newspapers, Inc.),68 the California Supreme Court held that individually identifiable salary information is not exempt from disclosure under the Public Records Act, the California Constitution or the Penal Code. In this case, a newspaper sought disclosure from the City of Oakland of names, job titles and gross salaries of City employees earning $100,000 or more each year, including overtime. The City provided salary and overtime information for each job classification but refused to provide salary information linked to individual employees. The newspaper sued to obtain disclosure of the records under the Public Records Act. The Supreme Court held that a public entity's payroll expenditures are public records, and that disclosure of salary records for City employees earning $100,000 or more each year is not an unwarranted invasion of personal privacy.^, With regard to peace officers, the Supreme Court rejected the police union's argument that Penal Code Sections 832.7 and 832.8 bar disclosure of the amount of a peace officer's salary.', The Supreme Court ruled that salary information of peace officers does not constitute "personnel records" under Penal Code Sections 832.7 or 832.8, and is not information obtained from personnel records.- As such, the Penal Code does not mandate that peace officer salary information be excluded from disclosure under the Public Records Act. The Supreme Court also rejected the argument that each public records request must be evaluated on a case-by-case basis to evaluate the individual employee's privacy interests and the particular public interest at issue.! The Court stated that this would reverse the presumption of openness of public records mandated by the Public Records Act, and the public entity bears the burden of demonstrating that particular records are exempt. The Court, however, left open the possibility that a public entity may, on a case-by-case 68 international Federation, 42 Cal. 4th 319 (2007). 69 The Supreme Court also narrowed the precedential value of teamsters Local 856 v. Priceless, LLC., 112 Cal. App. 4th 1500 (2003). review denied (Jan. 22, 2004). The appellate court in Priceless held that names, job titles, and W 2 information of City employees was confidential information and not subject to discbsure under the Public Records Act because the City in question had a prior practice of treating that information as confidential. To the extent that Priceless could be read as holding that a City's practice of refusing to disclose certain information had created a privacy interest in those records. the California Supreme Court disagreed and refused to adopt that holding. International Federation, 42 Cal. 4th at 336. 70 Id., t 343. 71 Id. 72 Id. at 336. 731d. at 336-37 Pubic Records Act ® 2018 Richards, Watson & Gershon 2172263 Page 13 Part One Compliance with the Public Records Act basis, decline to release records pertaining to individual employees where anonymity is essential to their safety, such as undercover narcotics officers. Although this decision arose in the context of a public records request for the names and salaries of City employees earning more than $100,000 per year, the Supreme Court's reasoning may have general application to salary information for all City employees, regardless of level of salary. In a companion case, Commission on peace Officer Standards and Training v. Superior Court, the California Supreme Court addressed the confidentiality of certain non -salary information./4 In this case, the Commission refused to provide the names, employing departments, and hiring and termination dates of peace officers from its database. The Commission maintains the database to monitor participating law enforcement departments' compliance with Peace Officer Standards and Training ("POST") regulations. The California Supreme Court held that the names, employing departments, and hiring and termination dates of peace officers are not confidential under Penal Code Sections 832.7 and 832.8, and are not exempt from disclosure under the Public Records Act. The California Supreme Court, however, remanded the case to the lower courts to allow the Commission the opportunity to establish that information regarding particular officers or categories of officers should be excised from the disclosed records in order to protect the safety or efficacy of those peace officers. (7) Arrest records, complaint reports, investigatory and security files. Gov't Code § 6254(f). This exemption strictly limits the information required to be disclosed about arrests, complaints and investigations.'' Records of complaints to or investigations conducted by police agencies generally may be withheld. Investigatory or security files compiled by a local agency for law enforcement or licensing purposes are also covered by the exemption, provided "there is a concrete and definite prospect of criminal law enforcement proceedings."/6 This exemption extends indefinitely, even after investigations are concluded.'/ In 74 Commission on Peace Officer Standards and Training v. Superior Court, 42 Cal. 4th 278 (2007); see also. Long Beach Police Officers Assn. v. City of Long Beach, 59 Cal. 4th 59 (2014). 76 "Investigations" have been broadly construed. In Amencan Civil uberties Union of Southern California v. Superior Court, the California Supreme Court extended the meaning of 'investigation" to cover raw data obtained as part of a moss personal data collection, even though there was no targeted "investigation" into a particular criminal act. 3 Cal. 5th 1032. 104/ (2017) . On the other hand, the Court did not exempt anonymized or redacted data from discbsure under the PRA. Id. 76 Dixon v. Superior Court (Neves), 170 Cal. App. 4th 1271, 1277 (3 Dist. 2009) (internal quotation omitted). 77 Rackauckas v. Superior Court (Los Angeles Times Communications), 104 Cal. App. 4th 169, 174-178 (4 Dist. 2002). Public Records Act © 2018 Richards. Watson & Gershon 2172263 Page 14 Part One: Compliance with the Public Records Act most cases, agencies are required to disclose to the public7$ the full name, current address and occupation of every person arrested by the agency, including a general physical description, along with the date and time of arrest. This disclosure, however, is not required where it would endanger the safety of a person involved in an investigation or jeopardize the successful completion of the pending investigation or a related investigation. While investigations conducted by police agencies are generally not disclosable, investigations of police agencies may be subject to PRA requests. When releasing records pertaining to investigations of police agencies, the agency must redact or otherwise withhold any information that is port of a police officer's confidential personnel file.79 Counsel should be consulted to ensure that confidential information is not disclosed. In addition, local agencies are required to disclose to the public the time, substance and general location of all complaints and requests for assistance, and the time and nature of the agency's response. However, no disclosure may be made to any arrested person or defendant in a criminal action of the address and telephone number of any person who is a victim or witness in an alleged offense 8o Further, this disclosure is not required where it would endanger the safety of a person involved in an investigation or jeopardize the successful completion of the pending investigation or a related investigation. In all cases, the address of a victim of an alleged sex offense must be withheld.81 Additionally, the name of the victim of an alleged sex offense must be withheld if the victim or a minor victim's parent or guardian requests it be withheld. While the law refers to "sex offenses," the crimes listed in Section 6254(f) include sexual assault, child molestation, child abuse, hate crimes and stalking. The Public Records Act prohibits the commercial use of arrest and arrestee information, and requires that persons requesting such information sign a declaration, under penalty of perjury, that the request is made for a scholarly, journalistic, political, or governmental purpose, or for investigation by a licensed private investigator.82 This requirement, however, may have limited applicability given the outcome of litigation by United Reporting Publishing Corporation against the California Highway Patrol83 Subsequent to that case, the Attorney 78 Section 6254(f) also authorizes release of certain imited information to the victim of a crime and other interested parties, above and beyond that information released to the public generally. 79 Pasadena Police Officers Association v. City of Pasadena, 2018 WL 1755528 (2 Dist. April 12, 2018). 80 Penal Code § 841.5. 81 Penal Code § 293. 82 Gov't Code § 6254(f) (3). A commercial publisher of criminal records challenged the constitutionality of this limitation on disclosure. but the United States Supreme Court held that the statute did not violate the First Amendment to the U.S. Constitution. Los Angeles Police Dep'f v. United Reporting Publ'g Corp., 528 U.S. 32 (1999). 83 United Reporting Publ'g Corp. v. California Highway Patrol. No. 96 -CV -0888-8 (S.D. Cal. Aug. 13, 2001) (final judgment on consent) ("As appieed to United Reporting's activities as described in this lawsuit, section 6254(f) (3) violates United Public Records Act © 2018 Richards, Watson & Gershon 217226.3 Page 15 Part One: Compliance with the Public Records Act General issued an opinion that a law enforcement agency may not require that a requester present subscriber lists, copies of publications or other verification of a journalistic purpose and the requester is not required to monitor subscribers to prohibit them from using the information for commercial purposes.84 The foregoing is a brief overview of this detailed and complex exemption. Police and code enforcement staff should familiarize themselves with the complete requirements of this Section prior to responding to requests for arrest and complaint information. (8) Information required from any taxpayer in connection with the collection of local taxes. Gov't Code § 6254(i). This exemption applies to information that a city or other local agency requires from any taxpayer in connection with the collection of local taxes if that information is received in confidence and the disclosure of the information to other persons would result in unfair competitive disadvantage to the person supplying the information. One frequent example of this is the submittal of sales or income information under a business license tax requirement where the city has indicated in its business license tax ordinance that the financial information provided will be kept confidential. If the business license is required by ordinance to list the amount of tax paid and be posted at the place of business, however, the amount of tax paid arguably is not confidential. (9) Library circulation records. Gov't Code § 6254(j). While this exemption protects from disclosure library circulation records kept for the purpose of identifying the borrower of items available in libraries, it is not applicable to records of fines imposed on the borrowers. (10) Records exempt from disclosure under other laws including, but not limited to, the Evidence Code sections relating to privilege. Gov't Code § 6254(k). This provision of the Public Records Act exempts from disclosure every document held by a local agency that is legally privileged or confidential under some law Reporting's rights under the First Amendment to the United States Constitution by preventing United Reporting from engaging in its journalistic activities as described above.") 84 89 Ops. Cal. Att'y Gen. 97 (2006). Public Records Act © 2018 Richards, Watson 8 Gershon 2172263 Page 16 Part One: Compliance with the Public Records Act outside the Public Records Act. The most common example of this exemption protects documents subject to the attorney-client privilege or the attorney work - product doctrine. It is important to note that neither the Public Records Act nor the Brown Act abrogate those important privileges for communications between a local agency and its legal counsel.as For example, in Los Angeles County Board of Supervisors v. Superior Court, the Supreme Court ruled that the attorney-client privilege protects the confidentiality of invoices for legal work in pending and active legal matters.8,c The Court reasoned that such invoices are so closely related to attorney-client communications that they may reveal legal strategy or consultation. The Court emphasized, however, that the attorney-client privilege does not categorically shield everything in a billing invoice from PRA disclosure. This case also reaffirms the principle that the Public Records Act does not permit public agencies to withhold an entire document that contains both exempt and nonexempt information. On this point, the Supreme Court ruled that agencies must use "the equivalent of a surgical scalpel to separate those portions of a record subject to disclosure from privileged portions" unless records are not "reasonably segregable."8' Further, the Court stressed that any ambiguity must be construed in "whichever way will further the people's right of access."88 On remand, the Court of Appeal clarified that specific billing entries and descriptions of work contained in attorney invoices are not subject to disclosure under the PRA, whether they related to pending, ongoing or long -concluded legal matters. The Court further found that cumulative fee totals contained in attorney invoices for pending or ongoing legal matters are also protected from disclosure by the attorney-client privilege. And finally, it found that cumulative fee totals for matters concluded long ago may be subject to disclosure only if the cumulative fee totals do not reveal anything about the legal consultation or provide any insight into legal strategy.ei Whether or not any particular fee total must be disclosed is a factual inquiry for the trial court.90 While a full discussion of attorney-client privilege and attorney work product is outside the scope of this Handbook, it is worth noting that one court held that a city waived those privileges for communications it sent to a developer prior to approval of a development project under the California Environmental Quality 85 Roberts v. City of Palmdale, 5 Cal. 4th 363, 377 (1993). 86 Los Angeles County Board of Supervisors v. Superor Court. 2 Cal. 5th 282 (2016). 87 Id., at 292. 88 Id. (citing Ardon v. City of Los Angeles. 62 Cal. 4th 1176. 1 190 (2016) and Cal. Const. art. I, § 3. subd. (b) (2) ). 89 County of Los Angeles v. superior Court. 12 Cal.App. 5th 1264. 1274 (2 Dist. 2017) . gold. Public Records Act © 2018 Richards. Watson & Gershon 2172263 Page 17 Part One: Compliance with the Public Records Act Act (CEQA).9' The court held that the "common interest doctrine," which generally allows disclosure of privileged communications to third parties with a common interest in a legal matter, did not apply to prevent the city's waiver.92 As a result, the city was required to include its attorneys' communications with the developer in the administrative record it prepared. In Tight of this opinion, local agencies should be cautious in sharing documents and legal opinions prepared by the agency's attorney with a project developer, and recognize that in the event it does share such documents and opinions of its attorneys, those disclosures likely waive the agency's privilege. In Labor and Workforce Development Agency v. Superior Court, the Court of Appeal extended the protection afforded by Section 6254(k) to documents revealing the deliberative process of an agency, even going so far as to prevent the disclosure of the identities of persons with whom the agency confidentially communicated, and the general subject matter of the communications.,; Determining which other confidentiality laws are incorporated into the Public Records Act has always been difficult and time-consuming. In 1998, the Legislature attempted to address this problem by enacting a statute that lists most of the exemptions found in other laws.'" The list begins at Government Code Section 6276 and continues for more than 20 pages. Although the Public Records Act cautions that this list may not be complete, it is a helpful list. Two 1995 Court of Appeal decisions illustrate how documents made confidential by another law are exempt from disclosure under the Public Records Act. Both courts found that information relating to complaints against peace officers is confidential and a part of that peace officer's personnel file under Penal Code Section 832.7, and therefore exempt from disclosure under the Public Records Act. More recently, the Court of Appeal held these complaints, along with any other records generated in connection with possible administrative discipline, remain exempt from disclosure even when contained in a report investigating possible criminal wrongdoing and otherwise disclosable under the public records requests. 9i Citizens for Ceres v. Superior Court (City of Ceres), 217 Cal. App. 4th 889, 922 (5 Dist. 2013). 92 1d. at 914-921. 93 Labor and Workforce Development Agency v Superior Court. 19 Cal.App. 5th 12 (3 Dist. 2018). 9' Stats. 1997, c. 620 (5.8. 143 - Kopp). 95 City of Richmond v. Superior Court (San Francisco 8ay Guardian), 32 Cal. App. 4th 1430 11 Dist. 1995): Gty of Hemet. 37 Col. App. 4th 1411 (4 Dist. 1995): see also, Copley Press, Inc. v. Superior Court (County of San Diego), 39 Cal. 4th 1272 (2006) (holding that records of a civil service commission, relating to a peace officer's administrative appeal of a disciplinary matter. were not subject to disclosure pursuant to the Public Records Act and Penal Code Section 832 7) 96 Posodena Police Officers Association v. Superior Cour', 240 Cal App 4th 268. 290 (2 Dist. 2015) Public Records Act 2018 Richards, Watson & Gershon 2172263 Page 18 Part rine- Compliance with the Public Records Act (11) Personal financial information required of licensees. Gov't Code § 6254(n). When a local agency requires that applicants for licenses, certificates or permits submit personal financial data, that information is confidential. This exemption, however, does not apply to financial information filed by a franchisee to justify a rate increase, presumably because those affected by a rate increase have a right to know its basis.9' The term "license" was narrowly construed by the court in San Gabriel Tribune v. Superior Ct. to exempt financial information of applicants whose business with the agency is only public because they must comply with licensing requirements and regulations. To give effect to the Public Records Act policy that favors disclosure over secrecy in government, the court concluded that a franchisee is akin to a contractual relationship and is not an applicant for a license under Section 6254(n). (12) Terrorist assessment reports. Gov't Code § 6254(aa). A document prepared that assesses a local government's vulnerability to terrorist attacks or other criminal acts intended to disrupt the local agency's operations is exempt from disclosure if he document is prepared for distribution or consideration in a dosed session of the local agency. (13) Voter registration information. Gov't Code § 6254.4. The home address, telephone number, email address, precinct number and prior registration information shown on voter registration cards is confidential. Disclosure of that information is permitted only to candidates and campaigns, and to any person for election, scholarly, journalistic, or political purposes pursuant to Section 2194(a)(3) of the Elections Code. The driver's license number, social security number, and signature of the voter shown on the voter registration card are confidential and cannot be disclosed to any person. We believe that this exemption extends to any document that by law must include the information made confidential by this Section, including applications for absentee ballots and returned absentee ballot packages. Beginning January 1, 2014, however, voter registration information identified under Section 97 San Gabriel Tribune v. Superior Court (City of West Covina,, 143 Cal. App. 3d 762. 779.780 (2 Dist. 1983). Public Records Act © 2018 Richards, Watson 8. Gershon 217226.3 Page 19 Part One: Compliance with the Public Records Act 6254.4 of the Government Code must be made available to the public if it is at least one hundred years old."R (14) Utility customer information. Gov't Code § 6254.16. The name, credit history, utility usage data, home address, and telephone number of utility customers of local agencies are exempt from disclosure, except in certain circumstances. This information may be disclosed to authorized family members of the person to whom the information pertains or his or her agent, to an officer or employee of another governmental agency when necessary to perform official duties, or upon court order or the request of law enforcement for an ongoing investigation. In addition, the information may be disclosed if the utility customer has used the utility services in a manner inconsistent with applicable local utility usage policies. If the utility customer is a public official with authority to determine utility usage policies, the information may be disclosed except that the home address of an appointed official may not be disclosed without the official's consent. Lastly, the information may be disclosed if the public interest in disclosure of the information clearly outweighs the public interest in nondisclosure. (15) Unauthorized Internet posting of officials' addresses and telephone numbers. Gov't Code § 6254.21. The posting of the home address or telephone number of any elected or appointed official on the Internet by a local agency without that individual's written permission is prohibited. The definition of "elected or appointed officials" includes, but is not limited to, members of a City council, members of a board of supervisors, mayors, City attorneys, police chiefs and sheriffs. It is a misdemeanor for any person to post such information with the intent to cause bodily injury to the official, his or her spouse or child. The official may bring an action for damages under certain circumstances. If bodily injury occurs as a result of the posting, then the posting could become a felony. If a person, business, or association publicly posts on the Internet the home address or telephone number of any elected or appointed official, the official may make a written demand to have the information removed. An official may bring an action in court to seek injunctive relief in the event the posting is not removed or is posted again during the four years that the written demand is in effect. 99 Cal. Elec. Code § 2194.1: Stats. 2013. c. 118 (S.B. 112 - Monning) Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 20 'art One: Compliance with the Public Records Act (16) Social Security Numbers. Gov't Code § 6254.29. Local agencies must redact social security numbers from records before disclosing them to the public. (17) General public interest exemption. Gov't Code § 6255. In cases where a specific statutory exemption does not apply, a record still might be exempt from disclosure if: on the facts of the particular case the public interest served by not disclosing the record clearly outweighs the public interest served by disclosure of the record. - The numerous cases examining this "balancing test'make it clear that the burden is on the local agency to show that the public interest in confidentiality outweighs the public interest in disclosure. In fact, given the public policy involved, courts demand a demonstration of "clear overbalance" to justify non- disclosure.11x In practice, very few local agencies have been able to convince reviewing courts that the public interest in confidentiality outweighs the interest in disclosure. In the absence of a specific statutory exemption, this "catch-all" distinction rarely has been successfully relied upon to justify nondisclosure. Thus, local agencies must in good faith find a relatively rare "clear overbalance" to justify confidentiality on this ground, Two areas in which a public interest in nondisclosure has been upheld involve public records disclosure that would adversely affect the deliberative process of a local agency, or the personal security of a public official. In Times Mirror Co. v. Superior Court,102 for example, the State's refusal to release the Governor's schedule and appointment calendar out of concern for the Governor's personal safety was upheld. Additionally, the State asserted that the disclosure 99 Gov't Code § 6255. 100 City of Hemet. 37 Cal. App. 4th at 1421: see also Black Pcnther Party, 42 Cal. App. 3d at 657. 101 See, e.g., Michaelis, Montanan & Johnson v. Superior Ccurt (City of Los Angeles Dept. of Airports). 38 Cal. 4th 1065 (2006) (holding under "catch-all" exemption that proposals for lease and development of a hangar facility at public airport were exempt from discbsure until City had completed negotiations where negotiations were part of the competitive process). 102 See, e.g.. Michaelis, Montano& & Johnson v. Superior Court (City of LOS Angeles Dept. of Airports) 38 Cal. 4th 1065 (2006) (holding under "catch-all" exemption that proposals for lease and development of a hangar facility at public airport were exempt hom disclosure until City had completed negotiations where negotiations were part of the competitive process). Public Records Act ({ 2018 Richards, Watson & Gershon 2172263 Page 21 Part One: Compliance with the Public Records Act of appointment calendars and schedules would "chill the flow of information" to the Governor and inhibit the free exchange of ideas in private meetings. The breadth of the request, however, may affect the balancing of interests. The public interest in nondisclosure may be less where the request is carefully focused and confined to a few documents.' 1 The Governor's office won another Public Records Act case on the "deliberative process privilege" and the exemption for "correspondence of and to the Governor"it14 justifications in 1998 when the office refused to disclose applications submitted to the Governor for an appointment to a vacancy on a board of supervisors. On the local level, a city's refusal to disclose the telephone records of council members was upheld to protect the same "deliberative process privilege."'c Far more often, however, courts have found the public interest in disclosure outweighs the interest in confidentiality. Similarly, the Attorney General has issued several opinions favoring disclosure. Some illustrative cases and Attorney General opinions in this area include the following: • Connell v. Superior Court (Intersource, Inc.) Records relating to unpaid state warrants are public records and must be disclosed. The public interest in disclosure outweighs the public interest in preventing possible fraud that could be assisted through the release of too much information about the State's warrant system. The fact that the request was made solely for commercial purposes and profit did not affect the balancing test.ii13 • Copley Press, Inc. v. Superior Court (M.P.R. - a minor) As a matter of law, no compelling reason exists to seal the court records of a settlement reached between the insurer for a school district and a minor student who was sexually assaulted at school. The amount of settlement is a matter of public record. 1(X5 Id. at 1344-46. 104 Gov't Code § 6254(1). 105 California First Amendment Coalition v. Superior Court (Wilson), 67 Cal. App. 4th 159 (3 Dist. 1998); see also Wilson v. Superior Court (Los Angeles Times), 51 Cal. App 4th 1 136 (2 Dist. 1997), as modified. 106 Rogers v. Superior Court (City of Burbank), 19 Cal. App. 4th 469 (2 Dist. 1993). 107 56 Cal. App. 4th 601 (3 Dist. 1997). 1°8 Government Code Section 6257.5 states that the Public Records Act "does not allow limitations on access to a public record based upon the purpose for which the record is being requested, if the record is otherwise subject to disclosure " 1°9 63 Cal. App. 4th 367 (4 Dist. 1998). Public Records Act ® 2018 Richards, Watson & Gershon 2172263 Paye 22 Part One Compliance with the Public Records Act • CBS, Inc. v. Blo ck " The possibility that public disclosure of applications for concealed weapons permits would discourage the filing of new applications, or that such disclosure might increase applicants' vulnerability to attack, did not justify nondisclosure. • Braun v. City of Taft A City's nondisclosure of personnel records and letters appointing an employee and then rescinding the appointment was not justified by the theory that future applicants would not be candid if they knew personal information would be made public. • Humane Society of U.S. v. Superior Court (The Regents of the University of California) "2 A public university's nondisclosure of certain information relating to an academic study was justified because the interest in protecting the academic research process outweighed the interest in public disclosure. Disclosure would "fundamentally impair" the academic research process and the public would suffer because the "'quantity and quality' of . . . academic research on important issues of public interest would be adversely affected." 1 1 • Los Angeles Unified School District v. Superior Court (Los Angeles Times) 14 A school district's decision to redact the names of teachers in a statistical model measuring each teacher's effect on students' standardized test scores was proper because the detrimental interference with the district's ability to function properly clearly outweighed the interest in public disclosure. The scores had already been released to the public categorized by school, grade, subject and demographics; to require additional disclosure would sow discord among parents and teachers. • Long Beach Police Officers Assn. v. City of Long Beach In a request by a newspaper for the names of peace officers involved in a fatal shooting, the California Supreme Court held that vague safety concerns - which apply equally to all officers involved in shootings that result in severe injury or 110 42 Cal. 3d 646 (1986). 11' 154 Cal. App. 3d 332 (5 Dist. 1984). 112 214 Cal. App. 4th 1233 (3 Dist. 2013). 113Id. at 1263. 114 228 Col.App. 4th 222 (2 Dist. 2014) . 115 59 Cal. 4th 59 (2014). Public Records Act @ 2018 Richards, Watson & Gershon 2172263 Pulte 23 Part One: Compliance with the Public Records Act death - were outweighed by the public's interest in such incidents. The California Supreme Court held that in order for names of peace officers involved in such incidents to be exempt from disclosure, there must be a particularized showing of safety concerns regarding those officers. • 90 Ops. Cal. Att'y Gen. 40 (2007) County recorder's accounting records that include a payment receipt showing the documentary transfer tax amount is subject to inspection under the Public Records Act. While the statutory scheme allows the documentary transfer tax to appear on a separate paper rather than on the recorded property conveyance document, that procedure provides only limited privacy protection for property owners and does not make the documentary transfer tax amount confidential. • 81 Ops. Cal. Att'y Gen. 383 (1998) Claims for senior citizens' exemptions from assessment of a parcel tax levied by a school district are subject to inspection by members of the general public. The concern that the residents' privacy would be compromised by solicitors targeting senior citizens was insufficient to overcome the public interest in disclosure. X. WHAT IS THE PROPER PROCEDURE FOR COMPLYING WITH A PUBLIC RECORDS ACT REQUEST? The following is a brief outline of the proper response procedure, as required by Government Code Section 6253. A. The agency has ten calendar days to determine whether to grant the request. Grounds for refusing a request include: • The request does not seek records which are "reasonably segregable" from records which are exempt from disclosure: • The request does not reasonably describe an identifiable record; • The request would require the agency to create new records not currently in existence; or 18 • The request seeks records which are exempt from disclosure.119 116 Gov't Code § 6253(0). 117 Gov't Code § 6253(b). 118 Based upon the definition of "writing," Gov't Code § 6252(g), and the requirement that a requested record be "identifiable." Govt Code § 6253(bl 119 Gov't Code § 6253(b). Public Records Act ® 2018 Richards, Watson & Gershon 2172263 Page 24 Port One: Compliance with the Public Records Act Note, however, that the Public Records Act requires the disclosure of "reasonably segregable" portions of records. This means that if portions of a record are exempt and other parts of the same record are not, the non-exempt portions of the document must be disclosed. B. In "unusual circumstances" the agency may take up to an additional 14 calendar days to make the determination whether to grant the request. "Unusual circumstances" must be one of the following: • The need to search for and collect the requested records from field facilities or other locations separate from the office processing the request;', • The need to search for, collect and examine a voluminous amount of separate and distinct records demanded in a single request: 2 • The need for consultation with another agency having a substantial interest in the request or among two or more components of the agency having an interest in the subject matter of the request;1 2, or • The need to compile data, to write programming language or a computer program, or to construct a computer report to extract data.L If the agency intends to use this additional time to respond, the agency must provide written notification to the requester that the additional time is required, the reason for the delay and the date on which a determination will be given. C. When the agency has made a determination, the requester must be promptly notified of the agency's determination. This notification should be in writing and should include the following information: • Whether the request is being granted or denied; ''h • If the request is being granted, the estimated date and time when the records will be made available (or where the records are located on the agency's website);'27 12° Gov't Code § 6253(a). 121 Gov't Code § 6253(c)(I). 122 Gov't Code § 6253(c)(2). 123 Gov't Code § 6253(0(3). 124 Gov't Code § 6253(0(4). 125 Gov't Code § 6253(c). Ila Gov't Code § 6253(c). Public Records Act © 2018 Richards, Watson & Gershon 2172263 Paye 25 Pari One: Compliance with the Public Records Act • If the request was made in writing and is being denied, in whole or in part, the response must be in writing and include the extent and the reasons for the denial; • The name and title or position of the person responsible for the denial;l29 • The cost or an estimate of the cost of copying the records, if a copy is requested, and a request for pre -payment. Note that this is only the direct cost of duplication, or a statutory fee, if applicable, and does not include staff time to research, retrieve or compile the records.) However, if the document requested is in electronic form, the agency may charge the full cost of reproducing the document when the record is one that is produced only at otherwise regularly scheduled intervals, or the request would require data compilation, extraction, or programming to produce the record. ,11 • The option to inspect the requested records at a mutually convenient time during office hours.15 • If in response to a public records request the agency directs a member of the public to the location of that public record on its website, the agency must still promptly provide a copy of the record itself if the member of the public requests a copy due to his or her inability to access or reproduce the public record from the website.' D. In addition to the above requirements, if the local agency determines that the request should be denied and the reason for the denial is not solely because of a statutory exemption, the agency must also: • Assist the member of the public to identify records and information that are responsive to the request or to the purpose of the request, if stated; s^ 121 Gov't Code § 6253(c). 128 Gov't Code §§ 6255. 6253(c). 124 Gov't Code § 6253(d). 13° Gov't Code § 6253(b); North County Parents Organization v. Dept of Education, 23 Cal. App. 4th 144 (4 Dist. 1994) 131 Gov't Code § 6253.9(b). 132 Gov't Code § 6253(a). 133 Gov't Code § 6253(f), 134 Gov't Code § 6253.1(0) (1). Public Records Act © 2018 Richards. watson & Gershon 2172263 Page 26 Part One: Compliance with the Public Records Act • Describe the information technology and physical location in which the records exist:135 • Provide suggestions for overcoming any practical basis for denying access to the records or the information sought.136 Alternatively, a local agency may forego these requirements if it instead makes available an index of the record.137 E. Upon payment of the cost of duplication, the agency must make the records "promptly available." F. Please note that the agency may not use this procedure to "obstruct the inspection or copying" of public records. This provision previously read "delay access for the purposes of inspecting." The newer language appears to create slightly more flexibility for local agencies as a delay may naturally result from following the required procedures.., G. The local agency may provide guidelines for "faster, more efficient, or greater" access to records than provided by the Act. 135 Gov't Code § 6253.1(01(2). 136 Gov't Code § 6253.1 (a) (3). 137 Gov't Code § 6253. I (d) (3). 138 Gov't Code § 6253(b). 139 Gov't Code § 6253(d). 40 Gov't Code § 6253(e). Pubic Records Act © 2018 Richards, Watson & Gershon 2172263 Poge 27 Part One: Compliance with the Public Records Act Xl. WHAT ARE THE PENALTIES FOR FAILURE TO COMPLY WITH THE PUBLIC RECORDS ACT? Unlike other open government laws, the Public Records Act does not criminally penalize a local agency for its failure to comply with the Act. Nor does it subject a local agency to money damages for a violation.14' However, if a person requesting public records believes records have been improperly withheld, he or she may ask a court to compel a local agency to disclose the records.)a- Any person who prevails in enforcing his or her rights under the Act in court is entitled to receive court costs and reasonable attorney fees.', Courts have deemed a person to be the "prevailing party" for purposes of awarding costs and fees if filing of the lawsuit motivated the local agency to produce any documents.144 The production of just one document can be sufficient to trigger an award of costs and fees.145 In the past, where the court determined the litigation was not what ultimately motivated the release of records, costs and fees were denied.16 One court held that an award of attorney's fees was appropriate even though no additional records were produced as a result of the lawsuit.147 The local agency in that case had repeatedly refused to accept a requester's oral request to inspect public records and forced the requester to make her request in writing, constituting a general denial of access to all public records and justifying an award of attorney's fees under the circumstances. XII. CONCLUSION This Handbook provides a brief overview of some of the most important provisions of the Public Records Act that frequently arise for local government agencies. There are, however, many other provisions not covered by the scope of this Handbook. Additionally, each factual situation contains nuances specific to the particular situation that may impact the analysis. Because it is important to comply with the Public Records Act within a relatively short time frame, it is critical to seek the advice of counsel if there is any question as to the appropriate course of action. 14� County of Santa Clara v. Superior Court (Naymarkl• 171 Cal. App. 4th 119. 130 (6 Dist. 2009). 142 Gov't Code § 6258 143 Gov't Code § 6259(d). 144 Los Angeles Times v. Alameda Corridor Transportation Authority. 88 Cal. App. 4th 1381, 1391 (2 Dist. 2001): Rogers v. Superior Court, 19 Cal App. 4th 469, 482 (2 Dist 1993). 145 Los Angeles Times. 88 Cal. App. 4th at 1392. 1461d. at 1391: Crews v. Willows Unified School District 217 Cal App 4th 1368. 1381-82 (3 Dist. 2013) 147 Golbiso v. Orosi Public Utility District. 167 Cal. App. 4th 1063. 1086-1089 (5 Dist. 2008). Public Records Act © 2018 Richards. Watson & Gershon 2172263 Page 28 PART TWO. ELECTRONIC RECORDS Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 29 part Two: Electronic Records ELECTRONIC RECORDS Advances in computer technology have significantly altered the method of communication with and between public officials and employees, but technological developments have outpaced the legislation. Email, electronic documents created on word processors, and web pages do not readily fit into the categories of disclosure under decades -old laws. The courts have had to fit the round peg of electronic documents into the square hole of state law on several occasions. In Aguimatang v. California State Lottery, the Court of Appeal rejected a defendant's argument that the plaintiff's computer records "were not made at or near the time of the event" and therefore did not qualify as an admissible "writing" under the evidentiary rules for business records.14, The records were recorded on magnetic tape on the day the events of the case took place, but were not printed out until twenty-two months later. The court concluded that the magnetic tape, not just the printout, constituted a "writing" under the Evidence Code: Chanquin cites no authority holaing that the retrieval, rather than the entry, of computer data must be made at or near the time of the event. Thus, although to qualify as a business record the "writing" must be made at or near the time of the event, "writing" is not limited to the commonly understood forms of writing but is defined very broadly to include all "means of recording upon any tangible thing any form of communication or representation, including letters, words, pictures, sounds, or symbols, or combinations thereof." Evid. Code § 250. Here, the "writing" is the magnetic tape. The data entries on the magnetic tapes are made contemporaneously with the Lotto transactions, hence qualify as business records. The computer printout does not violate the best evidence rule, because a computer printout is considered an "original." Evid. Code § 255. 4, Similarly, in People v. Martinez, the California Supreme Court held that records from a state computer system of a defendant's prior criminal convictions were admissible as "official records" under the Evidence Code.' , In an attempt to catch up, in 2002 the Legislature enacted Assembly Bill 1962, modifying the definition of "writing" under the Public Records Act and the Evidence Code to include "photographing, photocopying, transmitting by electronic mail or facsimile, and every other means of recording upon any 148 Aguimatang v. California State Lottery. 234 Cal. App. 3d 169 (3 Dist. 1991). 1i9 Id. at 798 (emphasis added). 150 People v. Martinez. 22 Cal. 4th 106 (2000). Public Records Act © 2018 Richards, Watson & Gershon 2172263 I'oge .3u Part Two. Electronic Records tangible thing any form of communication or representation, including letters, words, pictures, sounds, or symbols, or combinations thereof," and clarified that the definition applied "regardless of the manner in which the record has been stored. The legislative reports cited to Aquimatang and Martinez to establish that the amendment was declaratory of existing law. The reports also observed that in an earlier case, a court of appeal stated that the definition of writing in the Public Records Act was "intended to cover every conceivable kind of record that is involved in the governmental process and will pertain to any new form of record-keeping instrument as it is developed. Under the 2002 legislation, emails and other electronic documents are records subject to disclosure and present their own unique issues for local governments. In 2009, the State Legislature enacted rules relating to the discovery of electronically stored information, similar to the rules enacted by the Federal Government in 2006. In 2006, the Federal Rules of Civil Procedure were revised to require parties in federal lawsuits to address the production and preservation of electronic records.15j Under the 2006 Rules, a public entity should have an electronic retention practice and policy that ensures that electronic documents relevant to federal litigation are appropriately preserved. Rule 37 of the Federal Rules of Civil Procedure authorizes federal courts to impose sanctions on parties and their attorneys who fail to comply with discovery obligations and court orders. City websites, in turn, raise questions about public rights of access. Websites are an important means of providing residents with access to information. An improperly framed policy on website use, however, could result in violations of the Brown Act, infringe upon residents' First Amendment rights, and even violate disability access laws. Consequently, it is important to establish clear policies governing website design and use. This Part 2 on Electronic Records will begin by discussing the types of email that are public records, and what exemptions under the Public Records Act might justify nondisclosure. Other unique issues raised by the use of email are also explored, such as emails sent or received by public officials and employees on nongovernmental accounts, email threads and the potential risk of using email to create an unlawful serial meeting under the Brown Act. We then look at the Public Records Act requirements for disclosure of other types of electronic records, including Geographic Information Systems. 151 Stats. 2002. c. 945 (A.B. 1962—Hollingsworth) (amending Gov't Code § 6252 and Evid. Code § 250). 152 Assembly Committee on Judiciary, Report on AB 1962, May 14. 2002 (citing San Gabriel tribune v. Superior Court, 143 Cal. App. 3d 762. 774 (1 Dist. 1983)) 153 Fed. R. Civ. P. 26. Public Records Act Cd 2018 Richards. Watson & Gershon 2172263 Page 31 Part Two: Electronic Records The discussion then turns to other concerns raised by electronic records, including litigation discovery and metadata. We close with a discussion of city websites, including some of the legal issues that a public entity should consider when establishing and running a website. I. EMAIL Given that email can be a public record under Government Code Section 6252, in most circumstances a public entity is under an obligation to disclose email upon request. However, there are a number of complications, and despite AB 1962's attempt to respond to the changed method of communication, the bill provided nothing in the way of specifics. A. Is the Email a Public Record? Under the Public Records Act, certain exemptions might apply to justify withholding an email. But a fundamental question - one that must be considered before determining whether an exemption applies - is whether the document qualifies as a "public record" of the local agency. (1) Personal Messages Documents disclosable under the Puolic Records Act must be "prepared, owned, used, or retained by any state or local agency," and must contain information "relating to the conduct of the public's business. Although this covers a very broad range of documents, it does not cover every document. For example, emails on entirely personal subjects unrelated to local agency business would not relate to the conduct of the public's business, and therefore would not constitute "public records" under Section 6252.1 A harder determination is whether a personal email that only mentions a city issue in passing would relate to the conduct of the public's business. Recently the California Supreme Court held the determination whether a particular email qualifies as a public record, particularly for emails kept in personal accounts, will involve the consideration of a number of factors and may not always be clear. 6 The court suggested examining the content and context of the email, the purpose for which it was written and to whom, and whether the email was prepared by an employee purporting to act within the scope of his or her employment. 154 Gov't Code § 6252. 155 City of San Jose v. Superior Court, 2 Cal. 5th 608 (2017). 150 Id, 151 Id. Public Records ACt © 2018 Richards, Watson & Gershon 2172263 Page 3 Part Two. Electronic Records (2) Emails Sent or Received Using Personal Devices and Personal Accounts Staff frequently asks whether emails sent or received on a nongovernmental account (such as personal Gmail, Yahoo Mail, or Hotmail accounts), from a home computer or smartphone and which pertain to local agency business, qualify as a public record. The California Supreme Court recently decided this very issue, and held in a unanimous decision that the presumptive right of access of the PRA extends to emails and texts sent or received on nongovernmental accounts, whether on private or government -issued devices, used by local agency employees or officials that relate to the business of that local agency. In City of San Jose v. Superior Court, a request for 32 categories of public records was filed with the City of San Jose, four of those categories included emails and text messages sent or received on private electronic devices used by the mayor, two City council members, and their staffs.',, The City argued such emails were outside the reach of the PRA; both because the emails were not directly accessible to the City and thus did not qualify as writings "prepared, owned, used or retained" by the City under the Section 6252 definition of "public records," and because neither employees or officials are included within the governmental entities listed in the definition of "local agency," also found under Section 6252. 6, The Court found neither argument persuasive when considering the legislative intent of the PRA and the constitutional directive to a broadly construed right of public access.' The California Supreme Court found no indication "the Legislature meant to allow public officials to shield communications about official business simply by directing them through personal accounts.m, The court did acknowledge the inherent balance that must be struck between the public's rights of access and an individual employee's or official's right of privacy, and sought to offer some limited guidance for how searches should be conducted for records sent or received on nongovernmental accounts that pertain to the public's business.'' Foremost, the California Supreme Court stated it is the local agency itself that is in the best position to adopt policies that will reduce the likelihood of public records being held in the private, nongovernmental accounts of local agency 158 Id. at 629. 159 Id. at 615. 160 Id. at 619-23. 161 Id.at621. 162 Id. 163 Id. at 627-29. Puolic Records Act © 2018 Richards. Watson & Gershon 2172263 "aye 33 Part Two: Electronic Records employees or officials that pertain to the public's business.[-, Barring such a policy, the court stated that a local agency's first step upon receiving a PRA request that implicates nongovernmental accounts should be to communicate the request to the individual or individuals in question. A local agency may then reasonably rely on those individuals "to search their own personal files, accounts and devices for responsive material." ,6 Citing both federal precedent under FOIA and a holding by the Washington Supreme Court under its state public records law, the California Supreme Court also discussed an employee or official submitting an affidavit that wou d give the local agency, requester, and ultimately the trial court reassurance that responsive records were appropriately searched on nongovernmental accounts:67 Such an approach must also strike "an appropriate balance" with the individual's right of privacy in their personal affairs. The California Supreme Court's ruling in City of San Jose v. Superior Court is likely to have far-reaching consequences for public agencies; however, a number of questions remain unanswered by the court's decision. Since the City of San Jose refused to produce any emails from a nongovernmental account in response to the original PRA request, disputes over the content of specific emails and whether or not they fall under the definition of "public record" will likely be decided in subsequent proceedings.»»U Similarly, the decision does not address at what point a suggested search in response to a PRA request would become an unwarranted invasion on the privacy of a local agency employee or official*, In responding to requests for communications sent or received on an individual's nongovernmental account, it is advisable to consult with your legal counsel. Counsel should also be consulted if an agency requires access to potentially responsive documents or communications that are on an employee's private device and not accessible to the agency (for example, documents saved on an employee's home computer hard drive). Our office is also available to help draft policies that seek to reduce the likelihood that public records will be held in an ogency employee's or official's private nongovernmental account, how to conduct searches into nongovernmental accounts when necessary, and how to work with employees so the employees properly search their private, nongovernmental computers and smartphones, when necessary. 1641d. a1628. 165 Id 166 Id. 167 Id 168 Id 1691dat618 I101d. at 627. 171 Private, nongovernmental devices should never be seized by the ogency, or accessed without the employee's consent, even it the agency believes the device contains material responsive to a PRA request. Public Records Act © 2018 Richards. Watson & Gershon 2172263 Page 34 Part Two: Electronic Records B. Some Email may be Protected by the Deliberative Process Privilege or Mental Process Principle Emails differ from traditional printed documents: they may be prepared quickly and sent without proofreading, they may be conversational, or they may substitute for face-to-face or telephone communications. As recently described by the California Supreme Court, "the ease and immediacy of electronic communication has encouraged a commonplace tendency to share fleeting thoughts and random bits of information, with varying degrees of import, often to broad audiences."i72 As a result, they often reflect preliminary ideas and concepts, and may be subject to the deliberative process privilege, which was mentioned earlier in the discussion on the Public Records Act;,' Alternatively, the mental process principle may provide a basis for withholding emails. Before applying the deliberative process privilege to emails sent to a legislative body member, you should familiarize yourself with the Brown Act requirements regarding disclosure, discussed below it Section G. The deliberative process privilege and the mental process principle are very similar, and sometimes courts blur the distinction. Generally speaking, the deliberative process privilege is targeted at protecting from disclosure the decision making process of governmental agencies. Without that protection, candid discussion may be discouraged within an agency, thus undermining its ability to perform its functions.' '4 It is sometimes referred to as the "executive privilege, but has been applied to records of both the executive branch (e.g., the governor) and the legislative branch (e.g., a City council).17 The mental process principle, on the other hand, appears to apply only to the members of an agency's legislative body when those members are enacting legislation, and protects from disclosure those records that would allow an inquiry into the "subjective motives or mental processes of legislators."177 The deliberative process privilege uses a balancing test, whereas the mental process principle does not, making the mental process principle exemption less subjective.17j (1) Deliberative Process Privilege Although the Public Records Act does not expressly contain a deliberative process exemption, the California Supreme Court held in 1991 that public 112 id. at 618. 173 See pages 21-24 of this Handbook. 174 Times Mirror Co. v. Superior Court. 53 Col. 3d 1325, 1342 (1991). 175 Suffer's Place v. Superior Court 161 Cal. App. 4th 1370, 1378 (6 Dist. 2008). 176 Times Mirror Co., 53 Cal. 3d 1325 (governor's calendars and schedule): Rogers v. Superior Court. 19 Cal. App. 4th 469 (2 Dist. 1993) (City council phone records). 177 Sutler's Place, 161 Cal. App. 4th at 1377. I/8 Id. Public Records Act © 2018 Richards. Watson & Gershon 2172263 Page 35 Part Two: Electronic Records records may be withheld on deliberative process grounds. The deliberative process privilege arises under the "catch-all" exemption contained in Section 6255 of the Government Code. Under the "catch-all" exemption, a public agency may justify nondisclosure by showing "that on the facts of the particular case the public interest served by not disclosing the record clearly outweighs the public interest served by disclosure of the record." To apply the deliberative process privilege: • First, consider whether the record falls within the scope of the privilege. Generally, records that are predecisional and deliberative (opinion) fall within the scope, but some courts have not strictly applied a predecisional requirement and have permitted purely factual material thaf exposes the deliberative process to fall within the privilege.,„' • Second, identify the public interest served by nondisclosure of the record. Four public interests that have been identified by the courts are: (1) Protection of the agency's decisionmaking process so that candid discussion within the agency is not discouraged;1M (2) Protection of certain limited communications with members of the public to ensure that the local agency receives the information it needs to make decisions and otherwise function;' (3) Protection against confusion caused by premature exposure of the public to internal agency discussions before a policy is finalized; 'ti, (4) Protection of the integrity of the decision-making process itself by confirming that "officials should be judged by what they decided, not for matters they considered before making up their minds. -"A • Third, identify the public interest served by disclosure of the record. Courts have emphasized that a primary benefit of disclosing a local 179 Times Mirror Co.. 53 Cal. 3d 1325. 180 Rogers, 19 Cal. App. 4th at 479 (rejecting a predecisional requirement and withholding from disclosure pure facts. that is. telephone numbers called by staff and City council members). 181 Times Mirror Co.. 53 Cal. 3d at 1343. 182 Id. at 1344 (disclosure of Governor's schedule and appointment calendar would "chill the flow of information” to the Governor and inhibit the free exchange of ideas in private meetings). 183 Colifomio First Amendment Coalition v. Superior Court 67 Col. App 4th 159. 170 (3 Dist. 1998). 184 ld. (internal quotations and citations omitted). Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 36 Port Two Electronic Records agency's records to the public is to promote government accountability. The public and the media have a legitimate need to know whether government officials are performing their duties in a responsible and diligent manner. N "Such access permits checks against the arbitrary exercise of official power and secrecy in the political process." • Fourth, balance the two, and withhold the record from disclosure only if the identified public interest justifying nondisclosure "clearly outweighs" the public interest justifying disclosure. In balancing the scales, the weight of an identified public interest in disclosure is "proportionate to the gravity of the governmental tasks sought to be illuminated and the directness with which the disclosure will serve to illuminate." '3' Because the public interest in nondisclosure must "clearly outweigh" the public interest in disclosure, if the interests are just about equal, the scales tip in favor of disclosure. In California First Amendment Coalition v. Superior Court (Wilson), the plaintiffs sought disclosure of records containing the names and qualifications of applicants for a temporary appointment to a local board of supervisors.' The Governor's office looked extensively into the applicants' backgrounds to determine whether they were qualified for the position. The court upheld nondisclosure of the records under the deliberative process privilege. It reasoned that if the deliberative process privilege did not apply, the Governor would never be able to perform background checks, which is an essential part of selecting an applicant for a government position.:89 In balancing the interests, the court concluded that the public's interest in disclosure of background information revealed in confidence by unsuccessful applicants was not significant and that the public interest in learning about the successful applicant's background would be satisfied after the appointment. The First Amendment Coalition case shows that the deliberative process privilege can apply to communications where the public interest in disclosure of deliberations prior to a decision is not significant and the outcome of those deliberations is a matter of public knowledge. For instance, the public could ultimately learn a council member's views about an item the City council is deliberating by attending the public meeting on the item. In such a case, 185 Times Mirror Co. 53 Cal. 3d at 1345. 184 CBS v. Block, 42 Cal. 3d 646, 651 (1986). 187 Citizens for a Better Environment v. Department of Food & Agriculture. 171 Cal. App. 3d 704, 715 (3 Dist. 1985). 188 California First Amendment Coalition, 67 Cal. App. 4th 01 159. 189 Id. at 171-72 (quoting rimes Mirror Co., 53 Cal. 3d 1325. 1345). 190 Id. at 173-74. Pubkc Records Act C 2018 Richards, Watson & Gershon 21/2263 Page 37 Part Two: Electronic Records emails discussing preliminary ideas and concepts about the item may be subject to the deliberative process privilege. Another example is provided by Times Mirror Co. v. Superior Court.'Q1 In that case, the Los Angeles Times sought copies of the governor's appointment calendars and argued that "in a democratic society, the public is entitled to know how [the Governor] performs his duties . . . ." Disclosure of who the Governor meets with reveals who is influencing his decisions. The Governor argued disclosure of his calendar would reveal his deliberative process, and could discourage certain people from meeting with him. In balancing these interests, the California Supreme Court concluded that nondisclosure was justified, reasoning that "if the public and the Governor were entitled to precisely the same information, neither would likely receive it." The court added that the "massive weight" of the request (five years' worth of calendars), outweighed whatever merit there was in favor of disclosure. The court noted, however, that there may be circumstances under which the public interest in specific information is more compelling, and such a specific, focused request might tip the scales in favor of disclosure.'94 Courts have emphasized the need for evidence in order to satisfy the local agency's burden of proof. In Citizens for Open Government v. City of Lodi, the City of Lodi withheld from the administrative record emails between City staff and the City's consultants regarding preparation of a revised EIR.j95 Citizen groups sued, challenging in part the administrative record. Lodi argued the emails were exempt from disclosure pursuant to the deliberative process privilege because disclosure would hamper "candid dialogue and a testing and challenging of the approaches taken."196 The Court of Appeal disagreed, finding that Lodi had failed to establish the conditions for creating the privilege. Lodi had done nothing more than cite the policy behind the deliberative process privilege without explaining why the facts in this particular case justified invocation of the privilege. However, because the Court of Appeal was deciding the case under the California Environmental Quality Act ("CEQA"), and not the Public Records Act, the Court found there was no prejudice and refused to reverse the lower court's ruling. In comparison, the public entity in Humane Society of the United States v. Superior Court, provided detailed declarations from employees and experts 191 times Mirror Co.. 53 Cal. 3d at 1344. 92 td 193 Id at 1345. 19414. at 1345-1346. 195 Citizens for Open Government v. City of Lodi. 205 Cal. App. 4th 296 (3 Dist. 2012) ("Lodi"). 196 Id. at 307. Public Records Act cp 2018 Richards, Watson & Gershon 2172263 Page :.a6 Port Two: Electronic Records explaining why disclosing certain research documents would harm the research process.197 The Humane Society sought disclosure of certain records and communications related to the preparation of a study by the University of California involving housing of egg -laying hens, and the University claimed various privileges including deliberative process. The detailed declarations of the research project director submitted by the University seemed to sway the court; the court quoted them at length in the decision.198 One declaration explained how researchers at the University tried new ideas and approaches, frequently brainstorming by email, using shorthand expressions of incomplete thoughts. To be efficient, the researchers did not keep detailed records of how they communicated, and some lines of inquiry that began in email were further discussed and dismissed as part of hallway conversations. Because of that, much of what they said in emails would be easily misinterpreted. Additionally, mistakes along the way are part of the research process. The quality and quantity of work would be stifled if researchers were aware that their informal communications would be made available broadly. While the Humane Society tried to characterize the declaration as mere speculation, the court credited the declarant as an expert in the field, giving the declaration great weight.l99 In balancing the public interests, the court concluded that disclosure of the emails "would fundamentally impair the academic research process." Given the pervasiveness of email today, the deliberative process privilege seems well-suited to protect predecisional email communications from disclosure. Nevertheless, California courts have approved the use of the deliberative process privilege sparingly, and require local agencies to provide particularized factual evidence in support of its use. Prior to invoking this privilege, it is advisable to consult your legal counsel. (2) Mental Process Principle The Public Records Act exempts from disclosure those records that are exempted or prohibited from disclosure pursuant to federal or state law.2'a, Under California state common law, a court is prohibited from inquiring into the motives or subjective mental processes of legislators in enacting a particular piece of legislation except as those motives may be disclosed on the face of the legislative acts, or inferred from their operation., This "mental process 197 Humane Society of the United States v. Superior Court /Regents of the University of California, real parties in interest/. 214 Cal. App. 4th 1233 (3 Dist. 2013). 198 id. at 1241-1244. 199 Id. at 1258. 200 Gov't Code § 6254(k). 201 Sutter's Place, 161 Cal. App. 4th at 1375. Public Records Act © 2018 Richards. Watson & Gershon 2172263 Page 39 Port Two. Electronic Records principle" permits a local agency to withhold public records that would reveal the mental processes or subjective motives of its legislative body members when they are acting in a legislative capacity. Unlike the deliberative process privilege, which relies on a balancing test,x,' records reflecting the "mental processes" of legislators are not subject to a balancing test.201 Under applicable circumstances, the mental process principle may be used to justify nondisclosure of emails of legislative body members, such as City council members. For example, emails sent or received by a City council member could arguably be withheld under the mental process principle when they: (1) discuss the reason the member voted for or against a particular ordinance, (2) involve the gathering of information on which the member based their legislative decision, or (3) expose the motives for the member's vote on a legislative matter. C. Exception for Notes, Drafts and Interagency/Infra-agency Memoranda The deliberative process privilege may help a local agency keep sensitive emails from public disclosure, but a far more effective tool is to simply have a policy in place to regularly purge intra -agency or interagency emails that are not subject to the local agency's records retention schedule. Under the Public Records Act, "[p]reliminary drafts, notes, or interagency or intra -agency memoranda that are not retained by the public agency in the ordinary course of business" are not subject to disclosure.2')^ A written policy of deleting emails more than 120 days old (or some similar duration) would help establish that emails are not retained "in the ordinary course of business." A software modification that automatically deletes older emails would ensure that they are not retained, provided staff is notified of the pending purge and takes steps to retain those emails that, based on their content, must be retained under the local agency's records retention schedule. There are a few caveats, however. First, note that deleting an email is not the end of the story. Popular email programs such as Microsoft Outlook have "deleted items" folders that retain messages for a time after "deletion," in order to give the user an opportunity to "undo" an accidental deletion. If a local agency received a request for an email that had been deleted, but was still on the computer in the "deleted items" folder, it technically would still be in the possession of the agency and may be subject to disclosure. To eliminate this 201 Gov't Code § 6255. 203 See Times Mirror Co.. 53 Cal. 3d at 1339 nn.9-10 (noting that these records are exempt under the mental process principle through operation of Section 6254(k)). 204 Gov't Code § 6254(a). For a discussion on the conditions that must be met to utilize Section 6254(a) see pages 11 12 of this Handbook. Public Records Act ® 2018 Richards, Watson & Gershon 2172263 Page 40 Part Two: Electronic Records potential issue from arising, an agency must ensure that the deletion becomes final and irreversible. If the agency desires or is required to save a copy of certain emails, then it should print and file such emails, or store them electronically in a location that is not subject to automatic purging. Second, note that the Section 6254(a) exemption is not absolute. The full text of the exemption provides that drafts, notes, and inter/intra-agency memoranda are nondisclosable "provided that the public interest in withholding those records clearly outweighs the public interest in disclosure." Accordingly, even emails "that are not retained by the public agency in the ordinary course of business" may be subject to disclosure, if the records were not deleted prior to receipt of the Public Records Act request, and a reviewing court concludes that the public interest in disclosure is not "clearly outweighed" by the interest in nondisclosure. This is a significant hurdle for a public agency to overcome. D. Additional Exemptions that may be Applicable to Email In addition to those described above, there are a number of other exemptions that may be applicable to emails exchanged between employees or officials of a public agency. For example, emails to and from legal counsel may be protected by the evidentiary privileges recognized under Section 6254(k); certain personal financial data may be exempt under Section 6254(n); and personnel and medical files may be withheld under Section 6254(c). The same care should be used in reviewing responsive emails as any other material that may be subject to disclosure, and Part One, Section IX (What Public Records are Exempt from Disclosure under the Public Records Act?) of this Handbook should be consulted for additional information. Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 41 Part Two Hectroric Record: E. The Problem with Threads Emails elicit a response. The response typically elicits another response. If multiple people received the message, responses from all of the recipients are common. And, in all of those responses, the original message is typically quoted, either in part or in full, generating a "thread" of messages. The question necessarily arises, when there is a thread of 20 messages, and one of them is responsive to a public records request, must the other 19 messages also be produced? For example, a resident makes a request for all emails discussing the possible construction of a new library and locates the following thread: Only the oldest two messages (sent at 12:00 and 12:05) refer to the study session on the library construction. The rest of the messages are on a different topic, a topic that may be politically sensitive. Nevertheless, all of the responses to the original message included a copy of the original message and every message that followed it, and so they all contain a reference to the library construction. As a result, it would be difficult to argue that only the 12:00 and 12:05 messages should be disclosed if this is the only copy of the email available. On the other hand, if an earlier version of the email containing only the oldest two messages is available, a local agency could argue that the thread containing all five messages may be withheld. So long as the earlier version of the two responsive emails is disclosed, the email discussing employee compensation is only a duplicate of the oldest two messages. The subsequent messages are not responsive to the request. The Public Records Act does not require disclosure of all duplicates of a responsive record. Keep in mind, however, two important considerations. First, while one appellate court has ruled that non-responsive information may be redacted from emails exchanged between two agency employees, if challenged in court, a public agency will Original Messaae From: City Clerk To: Joe Employee, lane Employee, City Manager Date: April 2, 2007 12:15 p.m. Subject: RE: Question More money and lots more money. Original From: To: Date: subject: Message City Manager Joe Employee, Jane Employee, City Clerk April 2, 2007 12:10 p.m. RE: Question I didn't know we were discussing compensation. what are the proposals' Original From: To: Date: Subject: Messaa City Clerk Joe Employee, ]ane Employee, City Manager April 2, 2007 12:05 p.m. RE: Question I think the study session on the new library is next month. It will be at the same meeting as we discuss Council compensation. Original Message From: Joe Employee TO: Jane Employee, City Clerk, City Manager Date: April 2, 2007 12:00 p.m. subject: Question Do you know when the Council is going to have a study session on possibly constructing a new library's Pubic Records Act © 2018 Richards, Watson & Gershon 2172263 Faye 42 Part Two Electronic Records have to explain in detail the information that was redacted., Second, in litigation, a different standard may apply and all versions of the email may have to be disclosed. One way to avoid the problem is to configure email so previous messages are not quoted in replies sent by staff. Under the example above, if the local agency did not allow quoted messages in replies, the first two messages mentioning the library construction would be disclosed as "stand-alone" emails, but the later messages regarding compensation would not because they would no longer be integrated into the prior emails. Accordingly, a city should balance its concern in avoiding unwanted disclosures against the usefulness of having an entire thread available, and may wish to consider configuring email programs to eliminate quoting emails in replies. F. Risk of Serial Meetings Beyond the Public Records Act concerns, the use of email presents a significant opportunity for "serial meetings" prohibited by the Brown Act. A serial meeting is a series of meetings or communications not held at a noticed, public meeting in which ideas are exchanged among a majority of a legislative body directly or through intermediaries to "discuss, deliberate, or take action on any item of business that is within the subject matter jurisdiction of the legislative body. In the past, the Brown Act specifically forbade the use of technological devices to conduct those communications. In interpreting the prior version of this Brown Act provision, the California Attorney General opined that email is one of these "technological devices."1o' The Brown Act provisions regarding serial meetings was amended effective January 1, 2009, and the phrase "technological devices" was removed when the provision was revised. It is unlikely that the legislature, in omitting the phrase "technological devices," intended to exclude email. The primary mechanism for creating serial meetings via email is through the use of "reply all." For example, if a public employee sends an email to an entire City council, and then one of those council members' replies to the entire list of recipients, then a communication would have taken place between a majority of the City council. If the purpose of the council member's reply was to "discuss, deliberate, or take action on any item of business that is within the subject matter jurisdiction of the legislative body," the communication would constitute a serial meeting in violation of the Brown Act.7)A Accordingly, public officials must endeavor to use "reply all" sparingly, if at all. A "reply all" congratulating a 205 American Civil liberties Union of Northern California v. Superior Court, 202 Col. App. 4th 55, 78-87 (I Dist. 20111. 206 Gov't Code § 54952.2(b) (1). 207 84 Ops. Col. Att'y Gen. 30 (2001). 208 Gov't Code § 54952.20)(1). Public Records Act © 2018 Richards, Watson & Gershon 2172263 Puye 43 Part Two: Electronic Records council member for receiving an award would be permissible; a "reply all" expressing an opinion about an issue within the subject matter jurisdiction of the City council would not. G. Disclosure Requirements for Documents at Meetings Although the deliberative process privilege may apply to many emails, note that even that privilege is unlikely to apply if an email concerns an issue under consideration by a legislative body and a majority of the body receive the email. The Brown Act states that notwithstanding the "catch-all" exception in the Public Records Act, "or any other law," any writings distributed to a majority of a legislative body in connection with a matter subject to discussion or consideration at an open meeting of the body are disclosable.' --a The statute goes on to clarify that it does not overrule the exceptions for drafts, documents related to pending litigation, personnel files, medical files, and a number of other exceptions, but it does expressly overrule the "catch-all" provision on which the deliberative process privilege is based. Note that Section 6254(k), under which the mental process principle is applied, is not overruled by the Brown Act, and still would be applicable. Unlike records disclosable under the Public Records Act, which gives public entities ten days to respond to a request and additional time to produce the documents, a public agency must produce documents under this section of the Brown Act "without delay."/In In addition, if the email is created by the public agency or a member of the legislative body, it must be made available for inspection at the meeting.21, Emails not drafted by the public agency or its legislative body must be made available after the meeting. This is particularly relevant to emails sent to council members on smartphones, iPads and similar devices, given that a council member could potentially send an email to other council members while a meeting is going on. Under this section of the Brown Act, an attentive member of the public could insist that they be provided a copy of that email, at the meeting, if the council member sent it to a majority of the other council members. Accordingly, members of a legislative body should consider care`ully the consequences of sending an email via smartphone, iPad or other device at a public meeting prior to doing so. The informality of emails makes them particularly prone to statements that would not be put into conventional written documents. The only certain means of 209 Gov't Code § 54957.5. 210 Gov't Code § 54957.5(a). 211 Gov't Code § 54957.5(c) Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 44 Part Two: Electronic Records avoiding unwanted disclosure, of course, is simply not to write the email in the first place. II. DOCUMENTS CREATED USING WORD PROCESSORS, GIS AND OTHER SOFTWARE A. Disclosure Requirements (1) Public Records Act Electronic records are subject to disclosure under the Public Records Act pursuant to Section 6253.9 of the Government Code. A public agency that has information constituting a public record in an electronic format must make that information available in electronic form upon request.212 An agency is not required to reconstruct an electronic record if it is no longer available in that format.2 ; An agency may inform a requester that a requested record is available in electronic format, but the agency is prohibited from adopting a policy of only making information available in electronic format.) 4 On the other hand, not every piece of data stored on a computer readily fits the definition of "record." Unlike word processing documents, information stored in a database or a spreadsheet, for example, may only be displayed in response to the user's entering a formula or query. For such data, there are special statutory provisions. With conventional (printed) documents, the public agency may only charge for the direct cost of duplication, not including staff time to research, retrieve or compile the records. For electronic records, however, the agency may charge the full cost of reproducing the document, if the record is one that is produced only at otherwise regularly scheduled intervals, or the request would require data compilation, extraction, or programming to produce the record.71, Many public agencies now possess Geographic Information Systems ("GIS") that allow them to collect, manage and analyze large volumes of geographically referenced information. Whether this electronic information is a public record that is subject to disclosure has been the subject of controversy, mainly because public agencies have charged licensing fees to businesses that wanted a copy. Public agencies have argued that the monies recovered from those licensing fees are necessary to support the development and maintenance of the GIS. "Gov't Code § 6253.9(a). 213 Gov't Code § 6253.9(c). 214 Gov't Code § 6253.9(d). (e). 215 Gov't Code § 6253(b) 216 Gov't Code § 6253.9(b). Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 45 Pari Two: Electronic Records In 2013, the California Supreme Court disagreed with that argument. In Sierra Club v. Superior Court, the Court held that a GIS -formatted database is a public record that, unless otherwise exempt from disclosure. must be produced upon request and the local agency may only charge the actual cost of duplication./ The County of Orange had argued that its GIS database was not a public record. The court disagreed that Section 6254.9 excluded from the Public Records Act's disclosure requirements a GIS database, and concluded that, because the County had not claimed any exemption to justify nondisclosure, the County of Orange could only charge the direct cost of duplication for its GIS database. Note, however, that the California Supreme Court was careful to distinguish the database from the software - the mapping system itself was exempt from disclosure under another provision in the Public Records Act'', The statute expressly exempts computer mapping systems, computer programs, and computer graphic systems, and states that nothing in the statute is intended to limit any copyright protections. Accordingly, a requester may not seek to obtain the software that creates the records, only the records themselves.,' The Public Records Act not only exempts computer software as discussed above, but also a public agency's information security record, if that record has the potential to reveal vulnerabilities or otherwise increase the possibility of an attack on that public agency's information technology system!... However, a bill signed into law in 2015, adding Section 6270.5 to the Public Records Act, requires local agencies (except local educational agencies) to create a catalog of "enterprise systems," that must be publicly available on the local agency's website by July 1, 2016. An enterprise system is defined as a "software application or computer system that collects, stores, exchanges and analyzes information" used by the local agency as a system of record, and acts either across multiple agency departments, or collects information about the public.221 While Section 6270.5 requires a city to list these enterprise systems as defined, it does not require a city to disclose the information collected, stored, exchanged and analyzed by the software application or computer system if that information is otherwise exempt under the Public Records Act. Further, a number of enterprise systems may be excluded from a local agency's listed catalog, such as systems related to 911 dispatch or emergency services, information technology security systems (including firewalls and other 217 Siena Club v. Superior Court, 57 Cal. 4th 157 (2013) 218 Gov't Code § 6254.9 ("Computer software developed by a state or tical agency is not itself a public record under this chapter."). 219 Sierra Club. 57 Cal. 4th at 170-171; see also Gov't Code § 6254.9(b). 220 Gov't Code § 6254.19. 221 Gov't Code § 6270.5(cl O (. Public Records Act C 2018 Richards, Watson & Gershon 2172263 Page 46 Part Two: Electronic Records cybersecurity systems) and infrastructure and mechanical control systems (for example, systems that manage water or sewage functions).22) (2) Federal Rule 26 In 2006, revisions to Rule 26 of the Federal Rules of Civil Procedure took effect that requires parties in federal court to address the production and preservation of electronic records during the discovery phase of litigation. These rule changes do not require a local agency to alter its routine management or storage of electronic information. They do, however, illustrate the importance of having formal written rules for retention of potentially relevant records and data when litigation occurs. It is firmly established that a duty to preserve evidence arises from the moment litigation is "reasonably anticipated."22; Once the duty to issue a legal hold is triggered, the party "must suspend its routine document retention/destruction policy and put in place a `litigation hold' to ensure the preservation of relevant documents.";24 Discovery is the process by which parties involved in litigation in either state or federal courts obtain information from other parties. Under Rule 26, parties in a federal lawsuit may obtain discovery regarding any matter that is relevant to a claim or defense, so long as it is not privileged. According to Rule 26(a) what can be discovered includes "documents," "tangible things," and "electronically stored information," which is broadly defined as "any type of information that is stored electronically." The 2006 changes to Rule 26 alter discovery in four major ways: a. Penalties (sanctions) on parties are now limited for electronic information lost in good faith as a result of the routine operation of computer systems, such as purging or overwriting information; b. Parties must address electronic discovery issues at the beginning of litigation, including the form in which electronic information will be produced to the other party, the preservation of electronic information, and claims of privilege for electronic information:, c. Parties must produce relevant information from electronic sources that are "reasonably accessible" but may not have to produce information from older or backup systems if it imposes an undue burden or cost. The requesting party can, however, overcome a showing of undue burden or cost if they can establish "good cause" for doing so; and 222 See pages 123-124 of this Handbook. 223 Zubuioke v. UBS warburg, LLC, 229 F.R.D. 422, 431 (S.D.N.Y. 2004). 224 Id. at 432; accord In re Napsfer Inc. Copyright Litig., 462 F. Supp 2d 1060, 1070 (N.D. Cal. 2006), 225 Fed. R. Civ. P. 26(f) (3) (C) Public Records Act 2018 Richards. Watson & Gershon 2172263 Page 47 Part Two: Electronic Records d. Privileges are retained for documents inadvertently disclosed. Such documents may be recalled by the disclosing party. In such cases, the privilege is not waived. The discovery rule changes do not require a local agency to alter its routine handling of electronically stored information prior to when litigation can reasonably be anticipated. The drafters of the rules recognized that electronic information might be routinely altered, purged or overwritten as part of a system's operation. Under the 2006 rev.sions to Rule 37(f), the routine purging of outdated electronic information, including the "alteration or overwriting of information...to meet the party's technical and business needs" continues to be permissible, so long as it is done in accordance with other laws, such as the records retention laws in Government Code Sections 34090-34090.8. These sections permit a city, for example, to destroy certain city records that are "no longer required" and are more than two years old if authorized by a City council resolution and the written consent of the City attorney. Records that may not be destroyed include: real property title records, court records, records required to be kept by statute, records less than two years old, and the minutes, ordinances, or resolutions of the legislative body, City board, or commissions. However, once litigation can be reasonably anticipated, a local agency has a duty to preserve potentially relevant information for discovery. In some cases, the local agency may have to suspend the routine operation of its information systems in order to preserve information potentially relevant to the litigation. In such cases, it must act in good faith and not sit idly by while potentially relevant information is purged from its systems; "[t]he good faith requirement of Rule 37(f) means that a party is not permitted to exploit the routine operation of an information system to thwart discovery obligations by allowing that operation to continue in order to destroy specific stored information that it is required to preserve."2» These rules on document preservation highlight the importance of having a written document retention policy. A written policy will show what operations are routine. This will help protect a local agency from sanctions if litigation occurs and allow its attorneys to discuss its routine computer operations with the court and other parties. Such a policy should set specific limits for how long information is retained and specific procedures for the routine destruction of electronic data. The policy should also address the steps that the agency will take to preserve potentially relevant information when litigation is reasonably anticipated. These policies should be n accordance with Government Code Sections 34090-34090.8 and any other applicable laws governing the preservation of city records. 226 Fed. R. Civ. P. 37(f) Advisory Committee Note. Public Records Act © 2018 Richards, Watson & Gershon 2172263 Nage 43 Pori iwo: Electronic Records The other discovery rule changes further illustrate how a written policy will aid a local agency in litigation. When litigation begins in federal court, Rule 26(f) requires the parties' lawyers to confer about "issues relating to disclosure or discovery of electronically stored information." No part of electronic discovery is more important for determining the scope of the preservation obligation than the pre -scheduling conference meet and confer provided under Rule 26(f). Rule 26(f) explicitly directs the parties to discuss the form in which electronic information will be produced, how it will be preserved, and how to address claims that certain information is privileged. The pre -scheduling conference meet and confer can be the single most important factor to reduce costs and burdens of discovery. In order for a local agency's counsel to be prepared to discuss these issues, the rules note that it is "important for counsel to become familiar with those systems before the conference." In some cases, counsel may have to identify and interview individuals with special knowledge of the agency's computer systems. Rule 26(b) requires the parties to identify whether "reasonably accessible" electronic sources can provide all of the relevant, non -privileged, information. Parties will need to distinguish these "reasonably accessible" sources from those that are not "reasonably accessible" because of undue burden or cost. Examples of information that might not be reasonably accessible include: • deleted items, • fragmented or damaged data, • information kept on some back-up tape systems for disaster recovery purposes, and • legacy data remaining from systems no longer in use. Under Rule 26(a), the parties must produce all of the relevant, non -privileged information from the "reasonably accessible" sources within 14 days of the initial conference during the "initial disclosure," a requirement unique to federal court where relevant information is disclosed at the outset of the civil discovery period. Discovery from sources that a party deems not "reasonably accessible" can still occur if the requesting party can show that there is no undue burden or cost or upon a showing of "good cause." Once discovery begins in federal court a local agency must now be prepared to explain how their electronic information systems work, which systems contain information potentially relevant to the litigation, how those systems are accessed, and the costs of accessing archival or older systems. Having a written policy in place will reduce the costs and staff time associated with Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 49 Part Two. Electronic Records complying with these discovery rules. It will also aid staff in familiarizing themselves with the operations of the agency's computer data and storage systems as well as any external storage and backup systems, and in explaining these operations to agency counsel and opposing parties. Finally, having a written policy will minimize the likelihood of destroying discoverable materials and thus dramatically reduce the chance that an agency will be hit with discovery sanctions during litigation. Taken together, the changes to the federal discovery rules make it advisable for a local agency to put in writing its procedures for managing electronic information. In light of these rules and obligations and as a first step to forming or maintaining an already -created written policy on electronically stored information, public agencies should review their operating systems to ensure they understand how electronic information is currently stored and retained. In addition, public agencies should examine their data recovery systems and archival data to determine the type of information contained in these systems, and to understand the costs associated with retrieving such data. Agencies should also regularly review their written policies once implemented to ensure that they remain up to date as new technologies and systems replace old ones. (3) AB 5 Amends the California Civil Discovery Act to Establish a Process for Electronic Discovery in State Court In 2009, the California Legislature adopted federal -style procedural rules to permit the discovery of electronically stored information in state court cases following the 2006 amendments to the Federal Rules of Civil Procedure. Electronically stored information is broadly defined by AB 52i' as any information that is stored in an electronic medium, including+- e-mails, documents, spread sheets and any other information stored in computers and other electronic devices.228 These rules make the creation of the above-mentioned written policy on electronically stored information just as applicable to state court litigation as federal court litigation. Similar to the Federal Rules, a safe harbor exists for spoliation caused by "routine, good faith operation of an electronic information system."229 AB 5 specifically provides that a court shall not impose sanctions on a party for failing to provide electronically stored information that has been lost, damaged, altered or overwritten as the result of the routine, good faith operation of an electronic 227 See Code of Civ. Proc. §§ 1985.8, 2016.020, and 2031.010 et seq. 228 Code of Civ. Proc. § 2016.020(e) 229 Code of Civ. Proc. § 2031.320(d). Public Records Act 2018 Richards. Watson & Gershon 2172263 Page 50 Part Two. Electronic Records information system.? Accordingly, public agencies should ensure electronically stored information is retained or deleted only in accordance with the adopted policy. Agencies should thus train employees to make sure the document retention policies are appropriately followed at all times.- i1 Further, as with federal court litigation, once state court litigation is reasonably anticipated, public agencies have a duty to stop automatic destruction processes and preserve potentially relevant electronically stored information in the format in which it currently exists, notwithstanding the normal document retention policy that might otherwise permit destruction. In the event litigation is reasonably anticipated, public agencies should ensure that "litigation holds" are applied to electronically stored information potentially relevant to the litigation, so that it is not deleted, whether intentionally or by automatic computer processes. The retention of information that may be potentially relevant to anticipated litigation should also be a part of the agency's written policy on electronically stored information. In light of a recent California Supreme Court decision outlining the broad scope of discovery, agencies are advised to consult legal counsel in determining the breadth of a litigation hold. Documents and information that the agency believes to be protected under a right to privacy argument should still be preserved, if even potentially relevant to the litigation. In Williams v. Superior Court, the Court stated that "the right to discovery in this state is a broad one, to be construed liberally so that parties may ascertain the strength of their case and at trial the truth may be determined."232 The Court determined that the defendant in Williams was obligated to disclose the personal information of individuals who may have had no bearing on or relation to the claims asserted by the plaintiff. It further stated that the party opposing discovery has the burden of showing that a privacy right exists that outweighs the potential relevance of the information requested. The same burden applies when the party opposing discovery argues undue hardship. In both instances, the burden is a high one. Agencies should therefore be mindful that they may have to produce a broader scope and larger volume of documents and electronically stored information than was required in prior years, and accordingly should, in consultation with counsel, broaden the scope of their document retention policy and litigation holds. When instituting a legal hold, or responding to discovery requests in litigation, attorneys and clients must work together to understand how and where electronic documents, records, and emails are maintained and to determine how best to locate, review, and retain responsive documents. 230 Code of Civ. Proc. § 2031.060(0(1). 231 Code of Civ. Proc. § 2031.060(i) (2) 232 Wiliams v. SuperorCourt, 3Cal. 5th 531, 537 (2017). Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 51 Port two: Electronic Records B. Metadata Word processing documents most readily fit the definition of "record," and they also present the greatest potential for inadvertent disclosures. A modern word processing document is comprised of far more than simple words on a page. Microsoft Word documents typically contain information about the author or editor, the author's organization, the time the document was created, modified or accessed, the amount of time spent editing the document, and even what earlier versions of the document looked like. This "metadata," which literally means data about data, is automatically attached to documents by modern word processors. For instance, some metadata appears in Microsoft Word under the "Nome" menu, by selecting "Properties." Documenll Properties General sexy Statrstas merits Tit*: letter to D. s. asiblect Author BenwNn B. Bkkelbasm PISsinecer Colodny. :By of Movie Cetggay Keywords: comments: base shin TemC/ete. Normal —,. Sews crewel,. pct ie Ca i Cancel 1 Although metadata can be useful information, it can also result in unwanted disclosures. For instance, as the dia'og box above shows, Microsoft Word automatically inserts the name and company of the author of the document, and there are numerous other fields that can be filled in. If a local agency does not want this sort of information disclosed as a general rule, the word processor should be configured to not record this information. More significantly, many word processors have a "tracked changes" function. When public officials and employees work with multiple drafts of a document, especially when multiple people work on the same document, they frequently make use of a feature that highlights every change made to the document. That way, when a party to a proposed contract wants to delete a provision or insert a line, it is easy for the other party to see the change. It is simple to turn this feature on and off, but it is also simple to turn the display of tracked changes on and off, while still having the word processor keep track of the changes. As a result, it is not uncommon for documents to be transmitted electronically with changes tracked, without the knowledge of the author. If the author deleted a paragraph, the person reviewing the tracked changes could restore that paragraph. The implications become particularly significant if the author had deleted the text because it was deemed inaccurate or sensitive. Moreover, recall that drafts are only nondisclosable if it is the public agency's policy to not retain them in the course of business. If a city routinely saves Public Records Act D 2018 Richards. Watson & Gershon 2172263 Prig > 57 Port Two: Electronic Records documents with changes tracked, then arguably it has preserved the earlier drafts of the document. This could thwart a city's policy to avoid preserving drafts. Consequently, it should be common practice to remove any tracking from a document upon finalization, or better yet, to not use tracking in the first place. Similarly, most word processors have an "undo" button, which is useful for correcting typos or to recover inadvertently deleted text. Many word processors can "undo" a string of actions, and can even "undo" actions repeatedly until the document is a blank page. If a city official sends that document to someone making a public records request, the individual could click on "undo" repeatedly to see every step that the author took in drafting the document. This presents the same problems as with "tracked changes" - sensitive or inaccurate information that the author meant to delete could be included in the metadata. Accordingly, in using word processors, public agencies should ensure that they are configured to eliminate the "undo" trail when a document is saved. In addition to all of the above strategies, there are several programs available that can remove metadata after a document has been completed, or at the time it is emailed. However, the use of such programs on documents that are subject to a public records request would be of questionable legality. Under the Public Records Act, a request for a public document must include the exact document, and on the face of it, stripping metadata from a document that is requested in electronic form potentially would violate this requirement.2,3 Depending on your document retention schedule, you may be able to strip metadata from some older documents upon archiving them, but deleting metadata from documents that the city is required to retain may violate document retention requirements. If the requester does not expressly ask that the document be provided in electronic format, the statute does not prohibit the agency from supplying it in printed form. Accordingly, a local agency may wish to adopt a policy of providing electronic records in printed form unless a requester expressly asks for an electronic version, and providing records in pdf format when requesters ask for electronic versions. If the requester expressly asks for the original document format, the City attorney should be consulted. It is unclear how the new federal electronic document discovery rules would apply to metadata. Rule 26 does not specifically address metadata, but the comment to the revision mentions metadata and states that '[w]hether this information should be produced may be among the topics discussed in the Rule 233 See Gov't Code § 6253 (b) ("Upon request, an exact copy shah be provided unless impracticable to do so."): Rosenthal v. Hansen, 34 Cal. App. 3d 754 (3 Dist. 1973). Public Records Act ® 2018 Richards, Watson & Gershon 2172263 Page 53 Port two Elechonic Records 26(f) conference." Consequently, there is the potential for the disclosure of metadata in litigation, which further highlights the importance of establishing standard practices for creating and handling metadata. During litigation, it is often advisable to maintain sources of electronically stored information in native formats with metadata, to preserve the ability to produce the data if necessary. III. CITY WEBSITES With the rapid integration of the internet into American culture, a significant percentage of California cities now provide at least basic information about their government on city -run websites. Posting certain commonly requested information on a web page is a way to reduce the staff time necessary to respond to public records requests. City websites also provide a method to increase public participation in local government, such as more recent requirements for posting of public meeting agendas electronically. However, city website practices may have legal ramifications, and it is advisable for a city to draft and implement a policy on the permitted uses of its website to avoid violating legal restrictions such as those related to mass mailings and use of public funds for "express advocacy," and also to avoid creating a "public forum". A. Websites and the "Mass Mailing" Prohibitions The Political Reform Act prohibits the sending of newsletters and other so-called "mass mailings" at public expense. A "mass mailing" is defined as the mailing or distribution at public expense of 200 or more items within a calendar month featuring the name, office, photograph or other reference to an elected officer of the agency.23' The underlying intent is to preclude elected officials from using newsletters as indirect campaign flyers for themselves. In brief, the California Fair Political Practices Commission (the "FPPC") Regulations provide a four -prong test to determine the legality of mass mailings. A mass mailing is prohibited if each of the following elements is present: a. a delivery of a tangible item, b. that "features" or includes reference to, an elected official, c. distributed at public expense regardless of the cost, or produced at public expense where the cost of production exceeds $50.00, 234 Gov't Code § 89001. 235 2 C.C.R. § 18901 Public Records Act © 2018 Richards, Watson & Gershon 2172263 Pcc;e 34 Part Two: Electronic Records d. in a quantity of 200 or more.?36 On the face of it, the regulation would not apply to web pages, because they would not constitute "a delivery of a tangible item." The FPPC, which interprets the Political Reform Act, has yet to render an official opinion on the applicability of the mass mailing rule to websites. However, several advice letters issued by the FPPC have concluded that the prohibitions on publicly funded mass mailings contained in Government Code Section 89001 and FPPC Regulation 18901 do not apply to websites or web pages. In 1998, the FPPC responded to an inquiry as to whether a committee, advocating the passage of a bond measure expected to be placed on the ballot by a school board, may obtain a link from a "school district website to a web page" advocating the passage of the bond measure. The FPPC advised that, According to Regulation 18901(a) (1), a publicly -funded mailing is a prohibited mass mailing if it is delivered as a tangible item to the recipient at his or her residence, place of employment or business, or post office box. Consistent with Regulation 18901, the ban is applicable to tangible items only. Since distribution over the Internet is not a distribution of a tangible item, Internet pages are not prohibited mass mailings under the [Political Reform] Act.• Even though providing a Zink to an express advocacy website may not qualify as a "mass mailing," it could violate other laws, as will be discussed below in Section B. A second advice letter similarly concluded that web pages are not covered under the mass mailing prohibitions of the Political Reform Act. That advice letter was issued by the FPPC in 1999 in response to a request for advice by the County of Lake. The inquiry was whether the County could include on its web page photographs and a short biography for each member serving on its board of supervisors.),, The FPPC letter reiterated that FPPC Regulation 18901 did not apply to the actions listed above because "web pages are not considered tangible items" and not subject to Regulation 18901(a) (1).=3° In 2013, the FPPC again confirmed its conclusion that distribution of information over the Internet, including websites, is not distribution of tangible items. A City attorney requested advice whether the mass mailing provisions prohibit City staff 236 2 C.C.R. § 18901. 237 Foote Advice Letter, No. A-98- 114 1998 WL 289895 (1998) (citation omitted). 238 Peterson Advice Letter, No. A-99-013. 1999 WL 100857 (1999). 239 Id. Public Records Act ® 2018 Richards. Watson & Gershon 2172263 Page 55 Part Iwo: Electroni, Records from listing the mayor's bed -and -breakfast business on the city's website along with other places of lodging in the city. The FPPC advised that the mass mailing provision does not prohibit the listing of the mayor's business on the city's website because providing information over the Internet is not distribution of a tangible item.24o The FPPC also recommended a review of laws pertaining to use of public resources.24 Given the foregoing, city web pages provide a unique opportunity for elected officials to communicate with their constituents. Council members could each maintain their own page on the website, drawing attention to issues of interest to the community. There are, however, some limitations on what the web pages can contain, as discussed below. B. Avoiding Express Advocacy Although websites and web pages are not currently covered under the mass mailing restrictions of FPPC Regulation Section 18901, public agencies must still be mindful of other regulations and laws that might be violated by its decisions to permit (inks from official websites. For example, the Political Reform Act prohibits the use of public moneys for election campaigns.',, Consequently, a city's web page must not indicate support or approval of, or advocate for, a candidate for elective office. The leading California case setting forth the basic rule with respect to government involvement in political campaigns is Stanson v. Mott.%4+ In Stanson, the California Supreme Court addressed the question of whether the State Director of Beaches and Parks was authorized to expend public funds in support of certain state bond measures for the enhancement of state and local recreational facilities. The court concluded that the Director of Beaches and Parks lacked such authority and set forth the basic rule that "in the absence of clear and explicit legislative authorization, a public agency may not expend public funds to promote a partisan position in an election campaign. ^, Only impartial "informational" communications would be permissible, such as a fair presentation of the facts in response to a citizen's request for information.24' The Stanson Court also recognized that the line between improper "campaign" expenditures and proper "informational" activities is not always clear. "[T]he determination of the propriety or impropriety of the expenditure depends upon 240 Pierik Advice Letter. No. A -13-0I 2 (2013). 241 Id, 242 Gov't Code § 85300. 243 Stanson v. Mott, 17 Cal. 3d 206 (1976). 244 Id. at 209-10. 245 Id. at 221. Public Records Act @ 2018 Richards, Watson & Gershon 2172263 Pude 56 Part Two: Electronic Records a careful consideration of such factors as the style, tenor and timing of the publication; no hard and fast rule governs every case. The California legislature also codified the holding of Stanson in Government Code Section 54964.>4; The Stanson test was recently reaffirmed by the California Supreme Court in Vargas v. City of Salinas. )48 Prior to Vargas, courts attempting to interpret and apply Stanson used varying tests to determine the permissibility of expenditures. For example, in California Common Cause v. Duffy, an appellate court held that a local sheriff's use of public facilities and personnel to distribute postcards critical of then -Supreme Court Justice Rose Bird was "political" and not "informational" as permitted by Stanson because the cards presented only one side of Justice Bird's fitness to be retained in office. 4 In another appellate decision, Schroeder v. City Council of Irvine, Irvine's "Vote 2000" Program was upheld.,s,' The program encouraged voter registration, without specifically advocating a particular position on any measure. Although the City had taken a public position in favor of the proposed ballot measure, the materials it distributed did not advocate any particular vote on the measure and rarely mentioned the measure at all. The Schroeder court held that the funds spent on the Vote 2000 program would be political expenditures and unlawful under Stanson only if the communications expressly advocated, or taken as a whole unambiguously urged, the passage or defeat of the measure.-' Because the City presented a neutral position on "Measure F," at least in the campaign materials, the court upheld the program as valid. However, in Vargas v. City of Salinas, the California Supreme Court decided that "express advocacy" is an insufficient standard. In Vargas, proponents of a local ballot initiative to repeal the City's utility users tax ("Measure 0") sued the City alleging improper government expenditures. The court held that even if a communication does not expressly advocate for either side of an issue, a Stanson analysis must nonetheless be conducted to determine whether the activity was for informational or campaigning purposes based on its style, tenor, and timing.2 Although the court did not specifically refer to the Schroeder analysis in its opinion, the court clearly stated that the "express advocacy" 246 id. at 222 (citations omitted), 247 Government Code Section 54964 prohibits the expenditure of public funds "to support or oppose the approval or rejection of o ballot measure. or the election or defeat oto candidate. by the voters." The statute does not prohibit expenditures to provide information to the public about the possible effects of a ballot measure on the activities, operations, or policies of the tical agency. if the informational activities are not otherwise prohibited by the Constitution or state law and the information provided constitutes an accurate, fair, and impartial presentation of relevant facts to aid the voters in reaching an informed judgment regarding the ballot measure. 248 Vargas v. City of Salinas, 46 Cal. 4th 1 (2(X)9). 249 California Common Cause v. Duffy, 200 Cal. App 3d 730 746-747 (4 Dist. 1987). 250 Schroeder v. City Council of Ervine, 97 Col. App. 4th 174 (4 Dist. 2002). 251 Id. of 187-188. 252 Vargas. 46 Col. 4th at 1. Public Records Act 2018 Richards, Watson & Gershon 2172263 Page 57 Port Two: Electronic Records standard does not meaningfully address potential constitutional problems arising from the use of public funds for campaign activities that were identified in Stanson. Thus, local governments must look to Vargas rather than Schroeder for the proper standard to evaluate whether an expenditure is permissible. A variety of factors led to the Vargas court's conclusion that the communications were informational, including the fact that the publications avoided argumentative or inflammatory rhetoric and did not urge citizens to vote in a particular manner. The challenged expenditures were made pursuant to general appropriations in the City's regular annual budget pertaining to the maintenance of the City's website, the publication of the City's regular quarterly newsletter, and the ordinary provision of information to the public regarding the City's operations. The Supreme Court found that the City engaged in informational rather than campaign activity when it posted on the City's website the minutes of City council meetings relating to the council's action along with reports prepared by various municipal departments and presented by officials at City council meetings.;',. Similarly, the City did not engage in campaign activity in producing a one-page document listing the program reductions that the City council voted to implement should Measure 0 be approved, or in making copies of the document available to the public at the City clerk's office and public Iibraries.254 The court reasoned that viewed from the perspective of an objective observer, the document clearly constituted an informational statement that merely advised the public of specific plans that the City council voted to implement should Measure 0 be approved. Finally, the court found that the City engaged in permissible informational activity by mailing to City residents the fall 2002 "City Round -Up" newsletter containing articles describing proposed reductions in City services. Although under some circumstances the mailing of material relating to a ballot measure to a large number of voters shortly before an upcoming election would constitute campaign activity, a number of factors supported the court's conclusion that the mailing of the newsletter constituted informational rather than campaign activity: it was a regular edition of the newsletter that was mailed to all City residents as a general practice, the style and tenor of the publication was entirely consistent with an ordinary municipal newsletter and readily distinguishable from traditionacampaign material, and the article provided residents with important information about the tax in an objective and nonpartisan manner. 253 id, at 37. 254 Id. at 37-38 (stating, "not only [did] the document not advocate or recommend how the electorate should vote on the balbt measure, but its style and tenor [was) not at all comparable to traditional campaign material") The fact that the City only made the document available at the City clerk's office and in public libraries to people who sought it out reinforced the document's informational nature. Public Records Act ® 2018 Richards, Watson & Gershon 2172263 Page 58 Part Two: Electronic Records The Supreme Court illustrated the insufficiency of the "express advocacy" standard by suggesting that if the City of Salinas were to post billboards throughout the City prior to an election stating, "'IF MEASURE 0 IS APPROVED, SIX RECREATION CENTERS, THE MUNICIPAL POOL, AND TWO LIBRARIES WILL CLOSE,' it would defy common sense to suggest that the City had not engaged in campaign activity even though such advertisements would not have violated the express advocacy standard. Vargas and Stanson reflect that local agencies must exercise caution when communicating to voters about local measures. The same prohibitions on the use of public moneys to support or oppose a ballot measure or a candidate for political office would likely also apply to public agency websites. This is because the time and expense of maintaining a website and adding links to other websites may result in a form of "in kind" contribution from the public agency to the particular candidate or campaign committee. "Professional services, including the creation and maintenance of a website for a candidate, could conceivably result in a contribution from the county to the candidate."256 Public officials must ensure that there is no inclusion of information or links on their websites that contain words of express advocacy or that unambiguously promote or suggest a particular position in a campaign. Public officials must also avoid any actions which, based on their "style, tenor and timing", may lead to a determination that a city website contains impermissible advocacy. Unfortunately, there is no hard and fast rule to assist public officials in distinguishing improper partisan campaign expenditures from permissible expenditures for "informational activities." Whether a communication is permissible will be based on a combination of these factors, and public officials should therefore seek the advice of the City attorney on a case-by-case basis. Assistance may also be obtained from the FPPC. Note also that public officials could potentially face personal liability if a court concluded that they used public funds for a partisan campaign. The Stanson opinion concluded that public officials "may properly be held to a higher standard than simply the avoidance of "fraud, corruption or actual malice" in their handling of public funds."?,,, Instead, public officials must exercise "'due care,' i.e., reasonable diligence, in authorizing the expenditure of public funds, and may be subject to personal liability for improper expenditures made in the absence of such due care."258 If public officials published a web page that conveyed a partisan slant, a court could conclude that the officials failed to exercise this due care. 255 id. at 32. 256 Peterson Advice Letter, No. A-99-013. 1999 WL 100857 (1999(. 257 Stanson. 17 Col. 3d at 226 258 Id. at 226-27. Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 59 Part Iwo: Electronic Records C. Public Forum In addition to the mass mailing and express advocacy considerations, the existence of city websites also raises the issue of whether a website constitutes a "public forum" in which any member of the public would have a right to post information or links, or engage in debate or discourse. The decisions of public agencies on what sort of content to include on web pages, whether to allow external links to be posted, and what type of links to permit, have the potential to infringe upon rights guaranteed by the First Amendment of the United States Constitution, the California Constitution's "Liberty of Speech Clause," and other legal principles. In relevant part, the First Amendment provides that, "Congress shall make no law ... abridging the freedom of speech. Similarly, the "Liberty of Speech Clause" provides that, "A law may not restrain or abridge liberty of speech or press.") , The United States Supreme Court uses the "public forum" doctrine to evaluate the constitutionality of government regulation of private speech on public property. This doctrine classifies public property according to three categories of public forum status: (1) traditional public forums - areas traditionally used for expressive activity such as streets, sidewalks and parks; (ii) designated public forums areas dedicated by the government for expressive activity, either generally or for limited purposes: and (iii) nonpublic forums. "Public forum" status directly impacts the degree to which a public agency may regulate private expression on public property. For example, if a public agency's website were deemed a "nonpublic forum," then the agency would have considerable discretion in determining which applications for website links to accept. By contrast, if a public agency's website was deemed a "traditional public forum" or a "designated public forum," then the agency's discretion would be substantially diminished. Two cases addressing whether city websites constitute public forums are discussed below. D. Putnam Pit, Inc. v. City of Cookeville The case of Putnam Pit, Inc. v. City of Cookeville provides an example of how the First Amendment may limit a public agency's authority to control external links on its website. Putnam Pit is a federal case discussing the validity of a 259 U.S. CONST. amend I. 260 CAI. CONST. ort. 1, § 2(a). Public Records Act 2018 Richards. Watson & Gershon 2172263 Page 60 Part Two: Electronic Records website link policy under the First Amendment.» This case involved a free speech claim by a small, free website newspaper publisher, against the City of Cookeville, Tennessee. The case arose from Cookeville's refusal to establish a link from its website to the website of the publisher's on-line newspaper, the "Putnam Pit." The "Putnam Pit" website focused on commentary critical of the City of Cookeville and its officials and staff. At the time that the publisher initially requested and was denied the link, "several for-profit and non-profit entities were linked to the .. [Cookeville] Website, including a local technical college, two Internet service providers, a law firm, a local computer club, a truck product manufacturer and distributor, and a site with information about Cookeville."?2 However, prior to the publisher's request, Cookeville "had no stated policy" on who could be linked to the City's website.»' Upon learning of the publisher's request, the City manager decided to permit links only "from the Cookeville Website to other sites, which would promote the economic welfare, tourism, and industry of the City."?,a Pursuant to this policy, the City manager subsequently denied the publisher's request for a Zink from the Cookeville website to the "Putnam Pit" website and then removed several links to other websites from the Cookeville website.265 The Sixth Circuit Court of Appeals ruled that based on the facts presented, the City's website was a nonpublic forum under the First Amendment, and that the City could impose reasonable restrictions but could not engage in viewpoint discrimination.— The court also ruled the publisher was entitled to a trial regarding whether Cookeville discriminated against him based upon viewpoint when the City manager denied him a Zink on the website. Facts that could potentially constitute viewpoint discrimination included statements by the City manager that he thought the "Putnam Pit" consisted only of the publisher's "opinions," "which he didn't care for" and actions by the City manager who indicated to the publisher that he would not be permitted a link even if the "Putnam Pit" were a non-profit entity."" 261 Putnam Pit, Inc. v. City of Cookeville, 221 F.3d 834 (6th Cir. 2000[. 2621d. at 841. 263 Id. 264 Id. 265 Id. 266 Id. at 843-845. 267 The court turther concluded that, "[tike City's actions, some of which appear to be tied to the City's interests, and others which appear less clearly relevant to the purpose of the City's Website, lead us to REVERSE the district court's grant of summary judgment because [the publisher[ has •wised a material issue of fact regarding whether the City discriminated against him and his Website based upon viewpoint." Putnam Pit, Inc. 221 F.3d at 846. Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 61 Port Two: Electronic Records E. Vargas v. City of Salinas In Vargas v. City of Salinas, the California Supreme Court also considered whether a city website constituted a public forum.,, In Vargas, City residents placed an initiative on the ballot to repeal the City's long-standing utility users tax. The City staff prepared a series of reports addressing the impact the loss of the tax would have on the City's budget, including the reduction and elimination of services and programs, and posted those reports on the City's web page. The initiative supporters contended that they had a right to provide their own information on the web page, which the City rejected. The Supreme Court concluded that the City's web page was not a public forum because the City had not opened its website to permit others to post material of their choice.2ha F. Public Forum Analysis The Putnam Pit and Vargas courts applied the public forum analysis of the First Amendment to the City's action with respect to the website, treating the website as analogous to physical public property. As previously mentioned, the United States Supreme Court has established that, for such analyses, the extent of permissible government restrictions on expressive activity are governed by whether the activity occurs in (i) a traditional public forum; (ii) a designated public forum; or (iii) a nonpublic forum.210 (1) Traditional public forum Traditional public forums are "places which by long tradition or by government fiat have been devoted to assembly and debate." Typically such places have included public streets, sidewalks and parks.211 Government regulations that restrict the "content" of expressive activity in such forums "must withstand strict scrutiny."2' This means that if the government wishes to restrict expressive activity based on content, such restrictions must serve a "compelling state interest" and must be "narrowly tailored" to serve that interest. However, if the government imposes content -neutral restrictions on the "time, place and manner" of expressive activity in public forums, then such restrictions must serve a "significant public interest," must be "narrowly tailored" to that interest and must leave open "alternative avenues of communication.")*+ 268 Vargas, 46 Cal. 4th at I 269 Id. at 37, n.18. 270 Perry Ed. Ass v. Perry Locol Ed. Ass'n, 460 U.S. 37 (198.3). 271 Putnam Pit, Inc.. 221 F.3d al 842 (citing Perry, 460 U.S. at 45). 272 Id. at 843. 273 Id. (citing Perry, 460 U.S. at 45(. Public Records Act © 2018 Richards, Watson 8 Gershon 21/2263 Page 62 Part Two. Electronic Records (2) Designated public forum The Supreme Court has held that "[i]rl a designated public forum, the government 'intentionally opens a nontraditional public forum for public discourse."' '^ An example of a designated public forum is the public comment session at a City council meeting. In a designated public forum, the government may restrict the content of the expressive activity to that which is within the scope of the public forum. For example, in the case of a City council meeting, the government may restrict speech to only permit discussion of city business.21,, Once the government opens a nontraditional public forum to a class of persons, the restrictions applicable to those to whom the forum is opened must also withstand strict scrutiny. Thus, as in the case of public forums, regulations governing designated speakers in designated public forums must serve a "compelling state interest" and must be "narrowly tailored" to serve that interest.276 Accordingly, it is important for a city to avoid creating a designated public forum on its website so as not to establish rights where none previously existed, or at least to have a clear policy on who may post on the city's website. (3) Nonpublic forum Nonpublic forums are those places that are not typically used for public debate or the free exchange of ideas. Accordingly, "the First Amendment does not forbid a viewpoint -neutral exclusion of speakers who would disrupt a nonpublic forum and hinder its effectiveness for its intended purpose."2 Y Examples of nonpublic forums include highway rest areas and advertising on a municipal bus.2'8 In a nonpublic forum government may prohibit speech or expressive activity, so long as such restrictions are reasonable in light of the government's interest and do not attempt to suppress the speaker's activity based on disagreement with the speaker's views.2" (4) Public entity websites as nonpublic forums The Sixth Circuit Court of Appeals in Putnam Pit concluded that the City of Cookeville's website was a "nonpublic" forum under the First Amendment because the website was not open to the public, and before and after the City 274 Id. (citing Cornelius v. NAACP Legal Defense & Educ. Fund. Inc., 473 U.S. 788, 802 (198511. 275 See 'White v. City of Norwalk, 900 F.2d 1421, 1425 (9th Cir. 1990) (concluding that City councils have authority to limit speech through the imposition of agendas and rules of order and decorum). 276 Perry, 460 U.S. at 46. 277 Putnam Pit, 221 F.3d of 845 (citing Cornelius, 473 U.S. at 811). 278 Jacobson v 8onine, 123 F.3d 1272 (9th Cir. 1997): Children of the Rosary v. City of Phoenix, 154 F.3d 972 (9th Cir. 1998) 279 Perry, 460 U.S. at 46. Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 63 Part Two: Electronic Records adopted a website link policy, links had been established on an individualized basis.2s This determination is significant because a government entity, as previously discussed, has more discretion to regulate public expression in a nonpublic forum than it does in a "traditional public forum" (such as a park) or in a "designated public forum" (a place expressly opened for free speech by the public). The court also emphasized that the City had legitimate interests "in keeping links that are consistent with the purpose of the site—providing information about City services, attractions and officials,"hl Despite the fact that the court in Putnam Pit determined that the City's website was a nonpublic forum, giving the City broad discretion to limit access to its website links, the court stated that the City could not deny links "solely based on the controversial views" the publisher espouses,282 The court concluded that the City's "requirement that websites eligible to be linked to the City's site promote the City's tourism, industry and economic welfare gives broad discretion to City officials, raising the possibility of discriminatory application of the policy based on viewpoint."283 Accordingly, the court remanded the case to the district court for further proceedings on the issue of whether the City improperly exercised its authority to restrict access to links on its website in a discriminatory manner in violation of the publisher's First Amendment rights. The Vargas court also concluded that the City's website was a nonpublic forum, and the City could exclude the initiative proponents from posting information on the site.)84 In contrast to Putnam Pit, in Vargas the City did not permit access to the web page by either proponents or opponents of the ballot initiative. --- Limiting use of a city website only to city -related activities may result in a court finding that the public forum analysis is not appropriate under the facts, and that the issue should be evaluated instead under the doctrine of governmental speech. -H' The U.S. Supreme Court has ruled that the Free Speech clause does not apply to government speech, because the Free Speech Clause restricts government regulation of private speech and does not regulate government speech.B' Under the government speech doctrine, the government has the right to speak for itself and a government entity may exercise this same freedom 280 Putnam Pit, Inc., 221 F.3d at 844. 28{ Id. at 845. 282 Id. 283 Id. at 845-46 (citations omitted}. 284 Vargas. 46 Cal. 4th at 37 n.18. 285 See Id. 286PIeasant Grove City v. Summum, 555 U.S. 460. 467 (2009(. 281 Id. Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 64 Part Two Electronic Records to express its views when it receives assistance from private sources for the purpose of delivering a government -controlled message.' In Sutliffe v. Epping School District, an advocacy group challenged the Town of Epping after the town refused to include the group's hyperlink on the town's website.»»? The group wanted to present opinions countering the town's budget proposals regarding town and school activities. The group contended its hyperlink should have been allowed because the town had included a hyperlink to a one -day event put on by "SUE", which was part of a state university -sponsored program and was to be held among town residents to foster community spirit, civic discourse, and the organization of community - defined projects and action groups. By unwritten practice, the town had previously allowed only hyperlinks that would promote providing information about the town, and did not permit links that were political or advocated for certain candidates. A written policy established after the group's request limited hyperlinks to those for governmental agencies or events and programs coordinated or sponsored by the town. The federal appeals court ruled in Sutliffe that a government entity has the right to express itself on means of communication that the government owned. The town engaged in government speech because the town created the website and selected which hyperlinks to place on its website to convey information about the town to its citizens and the outside world and, by choosing only certain hyperlinks to place on that website, communicated an important message about itself.' Hyperlinks were added only with approval by the Board of Selectmen. The court also rejected the group's claim that the town engaged in viewpoint discrimination, because the SUE event was a town -sponsored and financially -supported event, and nonpartisan. vt The court also concluded that a public forum analysis did not apply under the facts, because the town's website is not a traditional public forum, and the website was not a designated public forum because there was no evidence that the town intentionally opened a nontraditional public forum for public discourse.? Accordingly, in drafting and administering website link policies, a public agency should be mindful that "nonpublic forum status 'does not mean that the government can restrict speech in whatever way it likes'."293 A public agency may not deny requests to post information and links simply because they do not agree with a requesting party's views or the views espoused on the requesting 288 Id. at 468. 289 Sutliffe v. Epping School District, 584 F.3d 314 (1st Cir. 2009) 29°1d. at 291 Id. at 331-332. 292 Id. at 333-334. 293 Putnam Pit Inc.. 221 F.3d at 846 (citations omitted). Public Records Act © 2018 Richards. Watson 8 Gershon 2172263 Page 65 Port Two: Electronic Records party's website, but an across-the-board policy that does not discriminate on the basis of viewpoint should withstand judicial scrutiny. Reserving the website only for the public agency's activities and purposes may also help the public agency demonstrate that it is engaging in government speech, and has not created a public forum. G. Chat Rooms and Forums Note that the conclusion would have likely been different in Vargas if the website had contained a chat room. -he term "chat room" generally refers to an area of a website that allows for a real-time interactive discussion between whoever wishes to participate, with every participant seeing what every other participant types in. Chat rooms allow visitors to access web pages to state their views on a topic of discussion, and in unmoderated chat rooms, to say anything about any subject. In Vargas, the California Supreme Court did not address chat rooms. However, in the prior appellate court decision, which was superseded on other grounds by the California Supreme Court, the appellate court had little trouble concluding that a chat room on a city web page would constitute a public forum: As noted above, "electronic communication media may constitute public forums. Websites that are accessible free of charge to any member of the public where members of the public may read the views and information posted, and post their own opinions, meet the definition of a public forum ...."%U^ Ampex Corp. v. Cargle and Computer)press, Inc. v. Jackson, were "anti-SLAPP" motions brought by defendants in defamation and libel actions, which are motions to strike a "strategic lawsuit against public participation." In order to have a viable anti-SLAPP motion, the statements at issue must be made in a public forum, and both opinions concluded that chat rooms on the websites were public forums. A similar conclusion would result when evaluating a "forum" or "message board" on a city web page, which are similar to chat rooms but do not occur in real-time; instead, people post messcges one at a time that are typically grouped by topic and preserved on the web page in chronological order. for anyone to read. As their names suggests, a "forum" or "message board" on a city web page would potentially constitute a "public forum." ?9' Vargas V. City of Salinas. 37 Cal. Rpt. 3d 506, 527 (2005) (citing Ampex Corp. v. Cargle, 128 Cal. App. 4th 1569 1576 (I Dist. 2005); ComputerXpress, Inc. v. Jackson, 93 Col. App. 4th 993. 1006-07 (4 Dist. 2001)). Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 66 Part Two: Electronic Records H. Accessibility Requirements One other concern in designing a local agency's website is whether it is accessible to individuals with disabilities. Under the Americans with Disabilities Act (the "ADA"), local governments must ensure that they provide qualified individuals with disabilities equal access to their programs and services, including by making reasonable modifications to rules, policies or practices, removing architectural, communication or transportation barriers, or providing auxiliary aids or services, unless doing so would fundamentally alter the nature of their programs or services or would impose an undue burden.,- Local governments must take appropriate steps to ensure that their communications with applicants, participants, members of the public and companions are as effective as communications with others, and furnish appropriate auxiliary aids and services where necessary to afford individuals with disabilities an equal opportunity to participate in and enjoy the benefits of a government service, program or activity.29, Based on these requirements, local agency websites must be designed to be accessible to individuals with disabilities.29; In designing and maintaining an agency's web page to ensure compliance with First Amendment and Brown Act requirements, an agency should make sure it is designed for accessibility as well. In 2010, the U.S. Department of Justice issued advance notices of proposed rulemaking to consider revising the regulations of Title II of the ADA to establish federal technical requirements to make accessible the services, programs or activities offered by state and local governments to the public by websites,,' but in late 2017 withdrew those rulemaking actions.29' Even without specific technical standards applicable to local governments, there are a number of regulations and guidelines that may be used to design accessible public websites. These include: • The Federal Information and Communications Technology (ICT) Final Standards and Guidelines, set forth at 36 C.F.R. parts 1 193 and 1 194;;°° and 295 42 U.S.C. § 12131 el seq. 296 28 C.F.R. 35.I60(a) and (b)(l ). 297 See U.S. Dept of Justice, Accessibility of State and Local Government Websites to People with Disabilities (available at http;//www,gda.aov/w 1es2 him or Mips //www oda.gov/websites2 ornt pdt• U.S. Dept of Justice, ADA Best Practices Tool Kif for State and Local Governments, Chapter 5, "Website Accessibility Under Title 11 of the ADA" (available at httos://www.oda.gpv/ocatoolkit/chao5tookit.htm or httos://www.ado.gov/ocatoolkit/chi toolkit.Ddf). See Border v. City of Sacramento. 292 F.3d 1073 1076-1077 (9th Cir. 2002) (holding that the ADA must be construed broadly to apply to normal functions of a municipal entity in order to effectively implement the ADA's fundamental purpose of providing a clear and comprehensive national mandate for the elimination of discrimination against individuals with disabilities). 298 See 75 Fed. Reg. 43460 (July 26, 2010) and 81 FR 28658 (Way 9, 2016). 299 82 Fed. Reg. 60932 (December 26. 2017). 300 82 Fed. Reg. 5790-01 (I/18/17). 2017 WL 168818 as amended 83 Fed. Reg. 2912 (1/22/18). 2018 WL 488398. These federal regulations were enacted pursuant to Section 508 of the Workforce Rehabilitation Act of 1973, as amended Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 67 Port Two: Electronic Records • The World Wide Web Consortium (W3C) Web Content Accessibility Guidelines.' While these sources do not expressly apply to city websites, they provide various methods of ensuring that o web page is accessible, including providing text equivalents for graphics, ensuring that information conveyed with color is also available without color, and using high contrast color choices. Many state and local agencies have incorporated the federal requirements into the design of their information technology systems, including their websites.;')/ In addition, other federal laws may impose accessibility requirements on local government websites, depending on the circumstances. For example, Section 504 of the Rehabilitation Act of 1973 prohibits discrimination based on disability by federal agencies and recipients of federal assistance, and consequently recipients of federal funds may need to meet federal accessibility requirements.303 Providing accommodations for persons with disabilities to use public websites is not particularly onerous; in fact, the Department of Justice has stated that "implementing accessibility features is not difficult and will seldom change the layout or appearance of web pages. IV. CONCLUSIONS The law related to electronic documents continues to evolve as computer technology advances and public officials respond and adapt to those advances. The advent of email, text messages and other forms of social media has expanded the opportunities for collaboration greatly, but has simultaneously expanded the potential for inadvertent Brown Act violations, as well as unwanted disclosure of preliminary or sensitive information when emails and text messages must be disclosed in response to a Public Records Act request. When using email, public officials should refrain from using "reply all" to avoid serial meetings, and should be aware of the disclosure requirements of the Brown Act for documents related to items discussed at a public meeting. Public officials (29 U.S.C. § 794d), and the Telecommunications Act of 1996 (47 U.S.C. §§ 153 and 255). Section 508 requires programs and activities funded by federal agencies to be accessible to people with disabilities. including federal employees and members of the public, and covers ICT developed. procured. maintained, or used by federal agencies. The Telecommunications Act requires in part that telecommunications products and services be accessible to people with disabilities. 301 Available at htto://www,w3,org). The revised Section 508 standards contained in the federal regulations are based on WCAG 2.0 developed by the World Wide Web Consortium (W3C1 3°7 In California, state websites must meet both the web accessibility standards in California Government Code § 1 1135, which adopted the Section 508 standards and the Priority 1 and 2 level checkpoints of the Web Content Accessibility Guidelines 2.0 (WCAG 2.0 "AA" Conformance Level) developed by the World Wide Web Consortium (W3C). 333 29 U.S.C. § 794. 304 U.S. Dep't of Justice, Accessibility of State and Local Government websites to People with Disabilities, httro://www.ada.goviwebsites2.htrn. Public Records Act m 2018 Richards, Watson & Gershon 2172263 Page 68 Part Two: Electronic Records should also be sensitive to the risk that the Public Records Act may require disclosure of emails or text messages in which they discuss public business, and not treat them as casual conversation. While the deliberative process privilege may apply to protect some such emails or text messages, the doctrine has been applied sparingly by California courts. A clear policy regarding the deletion of emails and text messages will also help to reduce unwanted exposure, although an agency must be able to suspend its usual deletion procedures to preserve electronic records potentially relevant to state or federal litigation. Although the state of the law continues to develop, electronic documents and information other than emails (for example, posts on social media websites, such as Facebook or Twitter, that relate to an agency's public business) may be subject to disclosure under the California Public Records Act, California discovery rules, and Federal Rules of Civil Procedure 26(a). An agency must make electronic records available in an electronic format if requested in response to a Public Records Act request. An agency may also have to disclose electronic records in litigation and even metadata may be discoverable. Thus, it is important to avoid the automatic creation of metadata, to the extent possible. Public officials should also consult with their information technology departments to ensure that metadata is not inadvertently inserted into electronic records when they are created. With respect to websites, caution must be taken to ensure a public agency's website does not indicate support or approval of, or promote or advocate for, a candidate for elective office. Likewise, a public agency website cannot be used to advocate for or against an initiative election. In addition to avoiding express advocacy that unambiguously suggests a particular position in a campaign, public officials must also avoid any actions which, based on their "style, tenor and timing", may lead to a determination that a public agency website contains impermissible advocacy. The content of a website link policy, and the manner in which such a policy is implemented, are critical in a public agency's ability to regulate the information and links that will be permitted on its website. It is important that a public agency does not arbitrarily discriminate in denying requests for website links. The establishment and adherence to a specific written policy regarding website links would likely assist a public agency in avoiding the litigation challenges faced by the City of Cookeville in the Putnam Pit case, and should assist generally in avoiding violations of the First Amendment. A uniform policy, such as that upheld in the Vargas opinion, may serve as a viable defense to such challenges. We have several recommendations for drafting website policies. First, the website Zink policy should contain a "statement of purpose" indicating that Public Records Act 2018 Richards, Watson & Gershon 2172263 Page 69 Port Two: Electronic Records neither the public agency's website nor its links list are "forums" for expressive activity by the public. The following is our suggested language for that portion of the policy, for the hypothetical City of Anytown: This policy governs the establishment cf external links on the City of Anytown's official website. For purposes of this policy, an 'external link' is a hyperlink from the City of Anytown's website to a website maintained by another party. Neither the City of Anytown's website nor the external links listed on such website constitute a forum for expressive activity by members of the public. Rather, the purpose of the City of Anytown's website and the external links list is to provide information about officials, services and attractions related to City of Anytown. This policy is declaratory of the City of Anytown's existing administrative practice regarding the establishment of external links on its website. Second, the website link policy should specifically designate the types of organizations that are eligible to have a link established to their website. We think eligibility may be limited to non-profit entities (as Cookeville chose to do), but it does not have to be so restricted. We also recommend that the website specifically exclude links to sites that have as their purpose the election or defeat of specific candidates or the passage or defeat of specific ballot measures, regardless of political position. In our opinion, implementation of these suggestions will strengthen a public agency's position if it ever becomes necessary to defend a decision to deny a request for a Zink from a public agency's website. Finally, the agency should ensure that its web page complies with the accessibility requirements of the ADA, such as providing text equivalents for graphics, ensuring that information conveyed with color is also available without color, and using high contrast color choces. Pubic Records Act © 2018 Richards. Watson 8. Gershon 2172263 Pnjr, 7) PART THREE. THE CALIFORNIA PUBLIC RECORDS ACT Article 1 - General Provisions California Government Code Sections 6250-6270.5 Article 2 - Other Exemptions from Disclosure California Government Code Sections 6275-6276.48 Pubic Records Act ® 2018 Richards, Watson & Gershon 2172263 Page 71 Dart Three. The Caifornia Public Records Act The California Public Records Act ARTICLE 1 - GENERAL PROVISIONS CALIFORNIA GOVERNMENT CODE SECTIONS 6250-6270 Section 6250. Legislative findings and declarations In enacting this chapter, the Legislature, mindful of the right of individuals to privacy, finds and declares that access to information concerning the conduct of the people's business is a fundamental and necessary right of every person in this state. Section 6251. Short title This chapter shall be known and may be cited as the California Public Records Act. Section 6252. Definitions As used in this chapter: (a) "Local agency" includes a county; City, whether general law or chartered; City and county; school district; municipal corporation; district; political subdivision; or any board, commission or agency thereof; other local public agency; or entities that are legislative bodies of a local agency pursuant to subdivisions (c) and (d) of Section 54952. (b) "Member of the public" means any person, except a member, agent, officer, or employee of a federal, state, or local agency acting within the scope of his or her membership, agency, office, or employment. (c) "Person" includes any natural person, corporation, partnership, limited liability company, firm, or association. (d) "Public agency" means any state or local agency. (e) "Public records" includes any writing containing information relating to the conduct of the public's business prepared, owned, used, or retained by any state or local agency regardless of physical form or characteristics. "Public records" in the custody of, or maintained by, the Governor's office means any writing prepared on or after January 6, 1975. (f) (1) "State agency" means every state office, officer, department, division, bureau, board, and commission or other state Pubic Records Act ® 2018 Richards, Watson & Gershon 2172263 Poge 72 Part Three. The California Public Records Act (g) body or agency, except hose agencies provided for in Article IV (except Section 20 thereof) or Article VI of the California Constitution. (2) Notwithstanding paragraph (1) or any other law, "state agency" shall also mean the State Bar of California, as described in Section 6001 of the Business and Professions Code. "Writing" means any handwriting, typewriting, printing, photostating, photographing, photocopying, transmitting by electronic mail or facsimile, and every other means of recording upon any tangible thing any form of communication or representation, including letters, words, pictures, sounds, or symbols, or combinations thereof, and any record thereby created, regardless of the manner in which the record has been stored. Section 6252.5. Elected member or officer of state or local agency Notwithstanding the definition of "member of the public" in Section 6252, an elected member or officer of any state or local agency is entitled to access to public records of that agency on the same basis as any other person. Nothing in this section shall limit the ability of elected members or officers to access public records permitted by law in the administration of their duties. This section does not constitute a change in, but is declaratory of, existing law. Section 6252.6. Disclosure of name, date of birth, and date of death of foster child to county child welfare agency Notwithstanding paragraph (2) of subdivision (a) of Section 827 of the Welfare and Institutions Code, after the death o' a foster child who is a minor, the name, date of birth, and date of death of the child shall be subject to disclosure by the county child welfare agency pursuant to this chapter. Section 6252.7. Authority of legislative body or local agency members to access a writing of the body or agency Notwithstanding Section 6252.5 or any other provision of law, when the members of a legislative body of a local agency are authorized to access a writing of the body or of the agency as permitted by law in the administration of their duties, the local agency, as defined in Section 54951, shall not discriminate between or among any of those members as to which writing or portion thereof is made available or when it is made available. Pubic Records Act ® 2018 Richards, Watson & Gershon 2172263 'acje /3 Part Three: The California Public Records Act Section 6253. Public records open to inspection; agency duties: time limits (a) Public records are open to inspection at all times during the office hours of the state or local agency and every person has a right to inspect any public record, except as hereafter provided. Any reasonably segregable portion of a record shall be available for inspection by any person requesting the record after deletion of the portions that are exempted by law. (b) Except with respect to public records exempt from disclosure by express provisions of law, each state or local agency, upon a request for a copy of records that reasonably describes an identifiable record or records, shall make the records promptly available to any person upon payment of fees covering direct costs of duplication, or a statutory fee if applicable. Upon request, an exact copy shall be provided unless impracticable to do so. (c) Each agency, upon a request for a copy of records, shall, within 10 days from receipt of the request, determine whether the request, in whole or in part, seeks copies of disclosable public records in the possession of the agency and shall promptly notify the person making the request of the determination and the reasons therefor. In unusual circumstances, the time limit prescribed in this section may be extended by written notice by the head of the agency or his or her designee to the person making the request, setting forth the reasons for the extension and the date on which a determination is expected to be dispatched. No notice shall specify a date that would result in an extension for more than 14 days. When the agency dispatches the determination, and if the agency determines that the request seeks disclosable public records, the agency shall state the estimated date and time when the records will be made available. As used in this section, "unusual circumstances" means the following, but only to the extent reasonably necessary to the proper processing of the particular request: The need to search for and collect the requested records from field facilities or other establishments that are separate from the office processing the request. (2) The need to search for, collect, and appropriately examine a voluminous amount of separate and distinct records that are demanded in a single request. (3) The need for consultation, which shall be conducted with all practicable speed, with another agency having substantial interest in the determination of the request or among two or more Public Records Act ® 2018 Richards. Watson & Gershon 2172263 Paye 74 Part Three The California Public Records Act components of the agency having substantial subject matter interest therein. (4) The need to compile data, to write programming language or a computer program, or to construct a computer report to extract data. (d) Nothing in this chapter shall be construed to permit an agency to delay or obstruct the inspection or copying of public records. The notification of denial of any request for records required by Section 6255 shall set forth the names and titles or positions of each person responsible for the denial. (e) Except as otherwise prohibited by law, a state or local agency may adopt requirements for itself that allow for faster, more efficient, or greater access to records than prescribed by the minimum standards set forth in this chapter. (f) In addition to maintaining public records for public inspection during the office hours of the public agency, a public agency may comply with subdivision (a) by posting any public record on its Internet Web site and, in response to a request for a public record posted on the Internet Web site, directing a member of the public to the location on the Internet Web site where the public record is posted. However, if after the public agency directs a member of the public to the Internet Web site, the member of the public requesting the public record requests a copy of the public record due to an inability to access or reproduce the public record from the Internet Web site, the public agency shall promptly provide a copy of the public record pursuant to subdivision (b). Section 6253.1. (a) Assistance to members of the public regarding requests to inspect a public record or obtain a copy; duties of the public agency When a member of the public requests to inspect a public record or obtain a copy of a public record, the public agency, in order to assist the member of the public make a focused and effective request that reasonably describes an identifiable record or records, shall do all of the following, to the extent reasonable under the circumstances: (1) Assist the member of the public to identify records and information that are responsive to the request or to the purpose of the request, if stated. (2) Describe the information technology and physical location in which the records exist. Public Records Ad ® 2018 Richards, Watson & Gershon 2172263 Pi e15 Part Three. The California Public Records Act (3) Provide suggestions for overcoming any practical basis for denying access to the records or information sought. (b) The requirements of paragraph (1) of subdivision (a) shall be deemed to have been satisfied if the public agency is unable to identify the requested information after making a reasonable effort to elicit additional clarifying information from the requester that will help identify the record or records. (c) The requirements of subdivision (a) are in addition to any action required of a public agency by Section 6253. (d) This section shall not apply to a request for public records if any of the following applies: (1) The public agency makes available the requested records pursuant to Section 6253. (2) The public agency determines that the request should be denied and bases that determination solely on an exemption listed in Section 6254. (3) The public agency makes available an index of its records. Section 6253.2. Disclosure of information for in-home supportive services, personal care services, or Community First Choice Option Notwithstanding any other provision of this chapter to the contrary, information regarding persons paid by the state to provide in-home supportive services pursuant to Article 7 (commencing with Section 12300) of Chapter 3 of Part 3 of Division 9 of the Welfare and Institutions Code, or services provided pursuant to Section 14132.95, 14132.952, or 14132.956 of the Welfare and Institutions Code, is not subject to public disclosure pursuant to this chapter, except as provided in subdivision (b). (b) Copies of names, addresses, home telephone numbers, and personal cellular telephone numbers of persons described in subdivision (a) shall be made available, upon request, to an exclusive bargaining agent and to any labor organization seeking representation rights pursuant to Section 12301.6 or 12302.25 of the Welfare and Institutions Code or the In -Home Supportive Services Employer -Employee Relations Act (Title 23 (commencing with Section 110000)). This information shall not be used by the receiving entity for any purpose other than the employee organizing, representation, and assistance activities of the labor organization. (a) Public Records Act ® 2018 Richards, Watson & Gershon 2172263 Page 76 Part three: The California Public Records Act (c) This section applies solely to individuals who provide services under the In - Home Supportive Services Program (Article 7 (commencing with Section 12300) of Chapter 3 of Part 3 of Division 9 of the Welfare and Institutions Code), the Personal Care Services Program pursuant to Section 14132.95 of the Welfare and Institutions Code, the In -Home Supportive Services Plus Option pursuant to Section 14132.952 of the Welfare and Institutions Code, or the Community First Choice Option pursuant to Section 14132.956 of the Welfare and Institutions Code. (d) Nothing in this section is intended to alter or shall be interpreted to alter the rights of parties under the In -Home Supportive Services Employer - Employee Relations Act (Title 23 (commencing with Section 110000)) or any other labor relations law. (e) This section shall be inoperative if the Coordinated Care Initiative becomes inoperative pursuant to Section 34 of the act that added this subdivision. Section 6253.2. Disclosure of information for in-home supportive services or personal care services (a) Notwithstanding any other provision of this chapter to the contrary, information regarding persons paid by the state to provide in-home supportive services pursuant to Article 7 (commencing with Section 12300) of Chapter 3 of Part 3 of Division 9 of the Welfare and Institutions Code or personal care services pursuant to Section 14132.95 of the Welfare and Institutions Code, is not subject to public disclosure pursuant to this chapter, except as provided in subdivision (b). (b) Copies of names, addresses, and telephone numbers of persons described in subdivision (a) shall be made available, upon request, to an exclusive bargaining agent and to any labor organization seeking representation rights pursuant to subdivision (c) of Section 12301.6 or Section 12302.25 of the Welfare and Institutions Code or Chapter 10 (commencing with Section 3500) of Division 4 of Title 1. This information shall not be used by the receiving entity for any purpose other than the employee organizing, representation, and assistance activities of the labor organization. (c) This section applies solely to individuals who provide services under the In - Home Supportive Services Program (Article 7 (commencing with Section 12300) of Chapter 3 of Part 3 of Division 9 of the Welfare and Institutions Code) or the Personal Care Services Program pursuant to Section 14132.95 of the Welfare and Institutions Code. Public Records Act © 2018 Richards, Watson 8 Gershon 2172263 Paye 77 Port Three. The California Public Records Art (d) Nothing in this section is intended to alter or shall be interpreted to alter the rights of parties under the Meyers-Milias-Brown Act (Chapter 10 (commencing with Section 3500) of Division 4) or any other labor relations law. (e) This section shall be operative only if Section 1 of the act that added this subdivision becomes inoperative pursuant to subdivision (e) of Section 1. Section 6253.3. Disclosure of information; control A state or local agency may not allow another party to control the disclosure of information that is otherwise subject to disclosure pursuant to this chapter. Section 6253.31. Contract requirements; public disclosure Notwithstanding any contract term to the contrary, a contract entered into by a state or local agency subject to this chapter, including the University of California, that requires a private entity to review, audit, or report on any aspect of that agency shall be public to the extent the contract is otherwise subject to disclosure under this chapter. Section 6253.4. Agency regulations and guidelines (a) Every agency may adopt regulations stating the procedures to be followed when making its records available in accordance with this section. The following state and local bodies shall establish written guidelines for accessibility of records. A copy of these guidelines shall be posted in a conspicuous public place at the offices of these bodies, and a copy of the guidelines shall be available upon request free of charge to any person requesting that body's records: Department of Motor Vehicles Department of Consumer Affairs Transportation Agency Bureau of Real Estate Department of Corrections and Rehabilitation Division of Juvenile Justice Department of Justice Department of Insurance Department of Business Oversight Department of Managed Health Care Secretary of State State Air Resources Board Pubic Records Act m 2018 Richards, Watson & Gershon 2172263 Pude 73 Part Three: The California Public Records Act Department of Water Resources Department of Parks and Recreation San Francisco Bay Conservation and Development Commission State Board of Equalization State Department of Health Care Services Employment Development Department State Department of Public Health State Department of Social Services State Department of State Hospitals State Department of Developmental Services Public Employees' Retirement System Teachers' Retirement Board Department of Industrial Relations Department of General Services Department of Veterans Affairs Public Utilities Commission California Coastal Commission State Water Resources Control Board San Francisco Bay Area Rapid Transit District All regional water quality control boards Los Angeles County Air Pollution Control District Bay Area Air Pollution Control District Golden Gate Bridge, Highway and Transportation District Department of Toxic Substances Control Office of Environmental Health Hazard Assessment (b) Guidelines and regulations adopted pursuant to this section shall be consistent with all other sections of this chapter and shall reflect the intention of the Legislature to make the records accessible to the public. The guidelines and regulations adopted pursuant to this section shall not operate to limit the hours public records are open for inspection as prescribed in Section 6253. Section 6253.5. Initiative, referendum, recall petitions, and petitions for reorganization of school districts or community college districts deemed not public records; examination by proponents Notwithstanding Sections 6252 and 6253, statewide, county, City, and district initiative, referendum, and recall petitions, petitions circulated pursuant to Section 5091 of the Education Code, petitions for the reorganization of school districts submitted pursuant to Article 1 (commencing with Section 35700) of Chapter 4 of Part 21 of the Education Code, petitions for the reorganization of community college districts submitted pursuant to Part 46 (commencing with Public Records Act m 2018 Richards. Watson & Gershon 2172263 FogE, 79 Part Three The California Public Records Act Section 74000) of the Education Code and all memoranda prepared by the county elections officials in the examination of the petitions indicating which registered voters have signed particular petitions shall not be deemed to be public records and shall not be open to inspection except by the public officer or public employees who have the duty of receiving, examining or preserving the petitions or who are responsible for the preparation of that memoranda and, if the petition is found to be insufficient, by the proponents of the petition and the representatives of the proponents as may be designated by the proponents in writing in order to determine which signatures were disqualified and the reasons therefor. However, the Attorney General, the Secretary of State, the Fair Political Practices Commission, a district attorney, a school district or a community college district attorney, and a City attorney shall be permitted to examine the material upon approval of the appropriate superior court. If the proponents of a petition are permitted to examine the petition and memoranda, the examination shall commence not later than 21 days after certification of insufficiency. (a) As used in this section, "petition" shall mean any petition to which a registered voter has affixed his or her signature. (b) As used in this section "proponents of the petition" means the following: For statewide initiative and referendum measures, the person or persons who submit a draft of a petition proposing the measure to the Attorney General with a request that he or she prepare a title and summary of the chief purpose and points of the proposed measure. (2) For other initiative and referenda on measures, the person or persons who publish a notice of intention to circulate petitions, or, where publication is not required, who file petitions with the elections official. (3) For recall measures, the person or persons defined in Section 343 of the Elections Code. (4) For petitions circulated pursuant to Section 5091 of the Education Code, the person or persons having charge of the petition who submit the petition to the county superintendent of schools. (5) For petitions circulated pursuant to Article 1 (commencing with Section 35700) of Chapter 4 of Part 21 of the Education Code, the person or persons designated as chief petitioners under Section 35701 of the Education Code. Pubic Records Act 2018 Richards, Watson & Gershon 2172263 F'(]qe 2 ) Part Three: The Califania Public Records Act (6) For petitions circulated pursuant to Part 46 (commencing with Section 74000) of the Education Code, the person or persons designated as chief petitioners under Sections 74102, 74133, and 74152 of the Education Code. Section 6253.6. Bilingual ballot or ballot pamphlet requests not deemed public records (a) Notwithstanding the provisions of Sections 6252 and 6253, information compiled by public officers or public employees revealing the identity of persons who have requested bilingual ballots or ballot pamphlets, made in accordance with any federal or state law, or other data that would reveal the identity of the requester, shall not be deemed to be public records and shall not be provided to any person other than public officers or public employees who are responsible for receiving those requests and processing the same. (b) Nothing contained in subdivision (a) shall be construed as prohibiting any person who is otherwise authorized by law from examining election materials, including, but not limited to, affidavits of registration, provided that requests for bilingual ballots or ballot pamphlets shall be subject to the restrictions contained in subdivision (a). Section 6253.8. Enforcement orders; Internet website (0i Every final enforcement order issued by an agency listed in subdivision (b) under any provision of law tha• is administered by an entity listed in subdivision (b), shall be displayed on the entity's Internet website, if the final enforcement order is a public record that is not exempt from disclosure pursuant to this chapter. (b) This section applies to the California Environmental Protection Agency and to all of the following entities within the agency: (1) The State Air Resources Board. (2) The California Integrated Waste Management Board. (3) The State Water Resources Control Board, and each California regional water quality control board. (4) The Department of Pesticide Regulation. (5) The Department of Toxic Substances Control. Pubic Records Act 2018 Richards, Watson & Gershon 2172263 Page t; I Port Three: The California Public. Records Act (c) (1) Except as provided in paragraph (2), for purposes of this section, an enforcement order is final when the time for judicial review has expired on or after January 1, 2001, or when all means of judicial review have been exhausted on or after January 1, 2001. (2) In addition to the requirements of paragraph (1), with regard to a final enforcement order issued by the State Water Resources Control Board or a California regional water quality control board, this section shall apply only to a final enforcement order adopted by that board or a regional board at a public meeting. (d) An order posted pursuant to this section shall be posted for not less than one year. (e) The California Environmental Protection Agency shall oversee the implementation of this section. (f) This section shall become operative April 1, 2001. Section 6253.9. Information in an electronic format; costs; application; availability (a) Unless otherwise prohibited by law, any agency that has information that constitutes an identifiable public record not exempt from disclosure pursuant to this chapter that is in an electronic format shall make that information available in an electronic format when requested by any person and, when applicable, shall comply with the following: (1) The agency shall make the information available in any electronic format in which it holds the information. (2) Each agency shall provide a copy of an electronic record in the format requested if the requested format is one that has been used by the agency to create copies for its own use or for provision to other agencies. The cost of duplication shall be limited to the direct cost of producing a copy of a record in an electronic format. (b) Notwithstanding paragraph (2) of subdivision (a), the requester shall bear the cost of producing a copy of the record, including the cost to construct a record, and the cost of programming and computer services necessary to produce a copy of the record when either of the following applies: (1) In order to comply with the provisions of subdivision (a), the public agency would be required to produce a copy of an electronic Public Records Act © 2018 Richards. Watson & Gershon 217226.3 Page 82 Part Three The California Public Records Act record and the record is one that is produced only at otherwise regularly scheduled intervals. (2) The request would require data compilation, extraction, or programming to produce the record. (c) Nothing in this section shall be construed to require the public agency to reconstruct a record in an electronic format if the agency no longer has the record available in an electronic format. (d) If the request is for information in other than electronic format, and the information also is in electronic format, the agency may inform the requester that the information is available in electronic format. (e) Nothing in this section shall be construed to permit an agency to make information available only in an electronic format. (f) (g) Nothing in this section shall be construed to require the public agency to release an electronic record in the electronic form in which it is held by the agency if its release would jeopardize or compromise the security or integrity of the original record or of any proprietary software in which it is maintained. Nothing in this section shall be construed to permit public access to records held by any agency to which access is otherwise restricted by statute. Section 6253.10. Public record posts on Internet Resource; open format requirements If a local agency, except a school district, maintains an Internet Resource, including, but not limited to, an Internet Web site, Internet Web page, or Internet Web portal, which the local agency describes or titles as "open data," and the local agency voluntarily posts a public record on that Internet Resource, the local agency shall post the public record in an open format that meets all of the following requirements: (a) Retrievable, downloadable, indexable, and electronically searchable by commonly used Internet search applications. (b) Platform independent and machine readable. (c) Available to the public free of charge and without any restriction that would impede the reuse or redistr bution of the public record. Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 83 Part Three The California Public Records Act (d) Retains the data definitions and structure present when the data was compiled, if applicable. Section 6254. Exemption of particular records Except as provided in Sections 6254.7 and 6254 13, nothing in this chapter shall be construed to require disclosure of records that are any of the following: (a) Preliminary drafts, notes, or interagency or intra -agency memoranda that are not retained by the public agency in the ordinary course of business, if the public interest in withholding those records clearly outweighs the public interest in disclosure. (b) Records pertaining to pending litigation to which the public agency is a party, or to claims made pursuant to Division 3.6 (commencing with Section 810), until the pending litigation or claim has been finally adjudicated or otherwise settled. (c) Personnel, medical, or similar files, the disclosure of which would constitute an unwarranted invasion of personal privacy. (d) Records contained in or related to any of the following: (1) Applications filed with any state agency responsible for the regulation or supervision of the issuance of securities or of financial institutions, including, but not limited to, banks, savings and loan associations, industrial loan companies, credit unions, and insurance companies. (2) Examination, operating, or condition reports prepared by, on behalf of, or for the use of, any state agency referred to in paragraph (1). Preliminary drafts, notes, or interagency or intra -agency communications prepared by, on behalf of, or for the use of, any state agency referred to in paragraph (1). (3) (4) Information received in confidence by any state agency referred to in paragraph (1). (e) Geological and geophysical data, plant production data, and similar information relating to utility systems development, or market or crop reports, that are obtained in confidence from any person. (f) Records of complaints to, or investigations conducted by, or records of intelligence information or security procedures of, the office of the Attorney General and the Department of Justice, the Office of Pubic Records Act © 2018 Richards, Watson & Gershon 217226,3 Fuge ria Part Three: The California Public Records Act Emergency Services, and any state or local police agency, or any investigatory or security files compiled by any other state or local police agency, or any investigatory or security files compiled by any other state or local agency for correctional, law enforcement, or licensing purposes. However, state and local law enforcement agencies shall disclose the names and addresses of persons involved in, or witnesses other than confidential informants to, the incident, the description of any property involved, the date, time, and location of the incident, all diagrams, statements of the parties involved in the incident, the statements of all witnesses, other than confidential informants, to the victims of an incident, or an authorized representative thereof, an insurance carrier against which a claim has been or might be made, and any person suffering bodily injury or property damage or loss, as the result of the incident caused by arson. burglary, fire, explosion, larceny, robbery, carjacking, vandalism, vehicle theft, or a crime as defined by subdivision (b) of Section 13951, unless the disclosure would endanger the safety of a witness or other person involved in the investigation, or unless disclosure would endanger the successful completion of the investigation or a related investigation. However, this subdivision does not require the disclosure of that portion of those investigative files that reflects the analysis or conclusions of the investigating officer. Customer lists provided to a state or local police agency by an alarm or security company at the request of the agency shall be construed to be records subject to this subdivision. Notwithstanding any other provision of this subdivision, state and local law enforcement agencies shall make public the following information, except to the extent that disclosure of a particular item of information would endanger the safety of a person involved in an investigation or would endanger the successful completion of the investigation or a related investigation: (1) The full name and occupation of every individual arrested by the agency, the individual's physical description including date of birth, color of eyes and hair, sex, height and weight, the time and date of arrest, the time and date of booking, the location of the arrest, the factual circumstances surrounding the arrest, the amount of bail set, the time and manner of release or the location where the individual is currently being held, and all charges the individual is being held upon, including any outstanding warrants from other jurisdictions and parole or probation holds. Pubic Records Act © 2018 Richards, Watson & Gershon 2112263 Page 85 Part Three' The California Public Records Act (2) (A) Subject to the restrictions imposed by Section 841.5 of the Penal Code, the time, substance, and location of all complaints or requests for assistance received by the agency and the time and nature of the response thereto, including, to the extent the information regarding crimes alleged or committed or any other incident investigated is recorded, the time, date, and location of occurrence, the time and date of the report, the name and age of the victim, the factual circumstances surrounding the crime or incident, and a general description of any injuries, property, or weapons involved. The name of a victim of any crime defined by Section 220, 236.1, 261, 261.5, 262, 264, 264.1, 265, 266, 266a. 266b, 266c, 266e, 266f, 266j, 267, 269, 273a, 273d, 273.5, 285, 286, 288, 288a, 288.2, 288.3 (as added by Chapter 337 of the Statutes of 2006), 288.3 (as added by Section 6 of Proposition 83 of the November 7, 2006, statewide general election), 288.4, 288.5, 288.7, 289, 422.6, 422.7, 422.75, 646.9 or 647.6 of the Penal Code may be withheld at the victim's request, or at the request of the victim's parent or guardian if the victim is a minor. When a person is the victim of more than one crime, information disclosing that the person is a victim of a crime defined in any of the sections of the Penal Code set forth in this subdivision may be deleted at the request of the victim, or the victim's parent or guardian if the victim is a minor, in making the report of the crime, or of any crime or incident accompanying the crime, available to the public in compliance with the requirements of this paragraph. (6) Subject to the restrictions imposed by Section 841.5 of the Penal Code, the names and images of a victim of human trafficking, as defined in Section 236.1 of the Penal Code, and of that victim's immediate family, other than a family member who is charged with a criminal offense arising from the same incident, may be withheld at the victim's request until the investigation or any subsequent prosecution is complete. For purposes of this subdivision, "immediate family" shall have the same meaning as that provided in paragraph (3) of subdivision (b) of Section 422.4 of the Penal Code. (3) Subject to the restrictions of Section 841.5 of the Penal Code and this subdivision, the current address of every individual arrested by the agency and the currert address of the victim of a crime, if the requester declares under penalty of perjury that the request is made for a scholarly, journalistic, political, or governmental Public Records Act m 2018 Richards, Watson & Gershon 2172263 Page 86 Port Three: The California Public Records Act (g) purpose, or that the request is made for investigation purposes by a licensed private investigator as described in Chapter 11.3 (commencing with Section 7512) of Division 3 of the Business and Professions Code. However, the address of the victim of any crime defined by Section 220, 236.1, 261, 261.5, 262, 264, 264.1, 265, 266, 266a, 266b, 266c, 266e, 266f, 2661, 267, 269, 273a, 273d, 273.5, 285, 286, 288, 288a, 288.2, 288.3 (as added by Chapter 337 of the Statutes of 2006), 288.3 (as added by Section 6 of Proposition 83 of the November 7, 2006, statewide general election), 288.4, 288.5, 288.7, 289, 422.6, 422.7, 422.75, 646.9, or 647.6 of the Penal Code shall remain confidential. Address information obtained pursuant to this paragraph shall not be used directly or indirectly, or furnished to another, to sell a product or service to any individual or group of individuals, and the requester shall execute a declaration to that effect under penalty of perjury. This paragraph shall not be construed to prohibit or limit a scholarly, journalistic, political, or government use of address information obtained pursuant to this paragraph. Test questions, scoring keys, and other examination data used to administer a licensing examination, examination for employment, or academic examination, except as provided for in Chapter 3 (commencing with Section 99150) of Part 65 of Division 14 of Title 3 of the Education Code. (h) The contents of real estate appraisals or engineering or feasibility estimates and evaluations made for or by the state or local agency relative to the acquisition of property, or to prospective public supply and construction contracts, until all of the property has been acquired or all of the contract agreement obtained. However, the law of eminent domain shall not be affected by this provision. (i) Information required from any taxpayer in connection with the collection of local taxes that is received in confidence and the disclosure of the information to other persons would result in unfair competitive disadvantage to the person supplying the information. (j) Library circulation records kept for the purpose of identifying the borrower of items available in libraries, and library and museum materials made or acquired and presented solely for reference or exhibition purposes. The exemption in this subdivision shall not apply to records of fines imposed on the borrowers. Public Records Act © 2018 Richards. Watson & Gershon 2112263 Page 87 Pari Three: The Calitorria Public Records Act (k) Records, the disclosure of which is exempted or prohibited pursuant to federal or state law, including, but not limited to, provisions of the Evidence Code relating to privilege. (I) Correspondence of and to the Governor or employees of the Governor's office or in the custody of or maintained by the Governor's Legal Affairs Secretary. However, public records shall not be transferred to the custody of the Governor's Legal Affairs Secretary to evade the disclosure provisions of this chapter. (m) In the custody of or maintained by the Legislative Counsel, except those records in the public database maintained by the Legislative Counsel that are described in Section 10248. (n) Statements of personal worth or personal financial data required by a licensing agency and filed by an applicant with the licensing agency to establish his or her personal qualification for the license, certificate, or permit applied for. (0) Financial data contained in applications for financing under Division 27 (commencing with Section 44500) of the Health and Safety Code, where an authorized officer of the California Pollution Control Financing Authority determines that disclosure of the financial data would be competitively injurious to the applicant and the data is required in order to obtain guarantees from the United States Small Business Administration. The California Pollution Control Financing Authority shall adopt rules for review of individual requests for confidentiality under this section and for making available to the public those portions of an application that are subject to disclosure under this chapter. (p) (1) Records of state agencies related to activities governed by Chapter 10.3 (commencing with Section 3512), Chapter 10.5 (commencing with Section 3525), and Chapter 12 (commencing with Section 3560) of Division 4, that reveal a state agency's deliberative processes, impressions, evaluations, opinions, recommendations, meeting minutes, research, work products, theories, or strategy, or that provide instruction, advice, or training to employees who do not have full collective bargaining and representation rights under these chapters. This paragraph shall not be construed to limit the disclosure duties of a state agency with respect to any other records relating to the activities governed by the employee relations acts referred to in this paragraph. (2) Records of local agencies related to activities governed by Chapter 10 (commencing with Section 3500) of Division 4, that Pubic Records Act © 2018 Richards, Watson & Gershon 2172263 Page 88 Pori Three: The California Public Records Act reveal a local agency s deliberative processes, impressions, evaluations, opinions, recommendations, meeting minutes, research, work products, theories, or strategy, or that provide instruction, advice, or training to employees who do not have full collective bargaining and representation rights under that chapter. This paragraph shall not be construed to limit the disclosure duties of a local agency with respect to any other records relating to the activities governed by the employee relations act referred to in this paragraph. (q) (1) Records of state agencies related to activities governed by Article 2.6 (commencing with Section 14081), Article 2.8 (commencing with Section 14087.5), and Article 2.91 (commencing with Section 14089) of Chapter 7 of Part 3 of Division 9 of the Welfare and Institutions Code, that reveal the special negotiator's deliberative processes, discussions, communications, or any other portion of the negotiations with providers of health care services, impressions, opinions, recommendations, meeting minutes, research, work product, theories, or strategy, or that provide instruction, advice, or training to employees. (2) Except for the portion of a contract containing the rates of payment, contracts for inpatient services entered into pursuant to these articles, on or after April 1, 1984, shall be open to inspection one year after they are fully executed. If a contract for inpatient services that is entered into prior to April 1, 1984, is amended on or after April 1, 1984, the amendment, except for any portion containing the rates of payment, shall be open to inspection one year after it is fully executed. If the California Medical Assistance Commission enters into contracts with health care providers for other than inpatient hospital services, those contracts shall be open to inspection one year after they are fully executed. (3) Three years after a contract or amendment is open to inspection under this subdivision, the portion of the contract or amendment containing the rates of payment shall be open to inspection. (4) Notwithstanding any other provision of law, the entire contract or amendment shall be open to inspection by the Joint Legislative Audit Committee and the Legislative Analyst's Office. The committee and that office shall maintain the confidentiality of the contracts and amendments until the time a contract or amendment is fully open to inspection by the public. Pubic Records Act ® 2018 Richards. Watson & Gershon 2172263 Poge 8Y Ncirt Three the(cli'orrnn P,hlicRe._ords A; ' (r) Records of Native American graves, cemeteries, and sacred places and records of Native American places, features, and objects described in Sections 5097.9 and 5097.993 of the Public Resources Code maintained by, or in the possession of, the Native American Heritage Commission, another state agency, or a local agency. (s) A final accreditation report of the Joint Commission on Accreditation of Hospitals that has been transmitted to the State Department of Health Care Services pursuant to subdivision (b) of Section 1282 of the Health and Safety Code. (t) Records of a local hospital district, formed pursuant to Division 23 (commencing with Section 32000) of the Health and Safety Code, or the records of a municipal hospital, formed pursuant to Article 7 (commencing with Section 37600) or Article 8 (commencing with Section 37650) of Chapter 5 of Part 2 of Division 3 of Title 4 of this code, that relate to any contract with an insurer or nonprofit hospital service plan for inpatient or outpatient services for alternative rates pursuant to Section 10133 of the Insurance Code. However, the record shall be open to inspection within one year after the contract is fully executed. (u) (1) Information contained in applications for licenses to carry firearms issued pursuant to Section 26150, 26155, 26170, or 26215 of the Penal Code by the sheriff of a county or the chief or other head of a municipal police department that indicates when or where the applicant is vulnerable to attack or that concerns the applicant's medical or psychological history or that of members of his or her family. (2) The home address and to ephone number of prosecutors, public defenders, peace officers, judges, court commissioners, and magistrates that are set forth in applications for licenses to carry firearms issued pursuant to Section 26150, 26155, 26170, or 26215 of the Penal Code by the sheriff of a county or the chief or other head of a municipal police department. (3) (v) (1) The home address and to ephone number of prosecutors, public defenders, peace officers, judges, court commissioners, and magistrates that are set forth in licenses to carry firearms issued pursuant to Section 26150, 26155, 26170, or 26215 of the Penal Code by the sheriff of a county or the chief or other head of a municipal police department. Records of the Managed Risk Medical Insurance Board and the State Department of Health Care Services related to activities Pubic Records Act ® 2018 Richards. Watson & Gershon 217226.3 Noae VU Part Three' The California Public Records Act governed by Part 6.3 (commencing with Section 12695), Part 6.5 (commencing with Section 12700), Part 6.6 (commencing with Section 12739.5), or Part 6.7 (commencing with Section 12739.70) of Division 2 of the Insurance Code, or Chapter 2 (commencing with Section 15810) or Chapter 4 (commencing with Section 15870) of Part 3.3 of Division 9 of the Welfare and Institutions Code, and that reveal any of the following: (A) The deliberative processes, discussions, communications, or any other portion of the negotiations with entities contracting or seeking to contract with the board or the department, entities with which the board or the department is considering a contract, or entities with which the board is considering or enters into any other arrangement under which the board or the department provides, receives, or arranges services or reimbursement. (B) The impressions, opinions, recommendations, meeting minutes, research, work product, theories, or strategy of the board or its staff or the department or its staff, or records that provide instructions, advice, or training to their employees. (2) (A) Except for the portion of a contract that contains the rates of payment, contracts entered into pursuant to Part 6.3 (commencing with Section 12695), Part 6.5 (commencing with Section 12700), Part 6.6 (commencing with Section 12739.5), or Part 6.7 (commencing with Section 12739.70) of Division 2 of the Insurance Code, or Chapter 2.2 (commencing with Section 15850 of Division 9 of the Welfare and Institutions Code, on or after July 1, 1991, shall be open to inspection one year after their effective dates. (3) (8) If a contract that is entered into prior to July 1, 1991, is amended on or after July 1, 1991, the amendment, except for any portion containing the rates of payment, shall be open to inspection one year after the effective date of the amendment. Three years after a contract or amendment is open to inspection pursuant to this subdivision, the portion of the contract or amendment containing the rates of payment shall be open to inspection. (4) Notwithstanding any other law, the entire contract or amendments to a contract shall be open to inspection by the Joint Legislative Pubic Records Act ® 2018 Richards, Watson & Gershon 2172263 Page 91 Port Three: The California Public Records Act (w) (1) Audit Committee. The committee shall maintain the confidentiality of the contracts and amendments thereto, until the contracts or amendments to the contracts are open to inspection pursuant to paragraph (3). Records of the Managed Risk Medical Insurance Board related to activities governed by Chapter 8 (commencing with Section 10700) of Part 2 of Division 2 of the Insurance Code, and that reveal the deliberative processes, discussions, communications, or any other portion of the negotiations with health plans, or the impressions, opinions, recommendations, meeting minutes, research, work product, theories, or strategy of the board or its staff, or records that provide instructions, advice, or training to employees. (2) Except for the portion of a contract that contains the rates of payment, contracts for health coverage entered into pursuant to Chapter 8 (commencing with Section 10700) of Part 2 of Division 2 of the Insurance Code, on or after January 1, 1993, shall be open to inspection one year after they have been fully executed. Notwithstanding any other law, the entire contract or amendments to a contract shall be open to inspection by the Joint Legislative Audit Committee. The committee shall maintain the confidentiality of the contracts and amendments thereto, until the contracts or amendments to the contracts are open to inspection pursuant to paragraph (2). (3) (x) Financial data contained in applications for registration, or registration renewal, as a service contractor filed with the Director of Consumer Affairs pursuant to Chapter 20 (commencing with Section 9800) of Division 3 of the Business and Professions Code, for the purpose of establishing the service contractor's net worth, or financial data regarding the funded accounts held in escrow for service contracts held in force in this state by a service contractor. (y) (1) Records of the Managed Risk Medical Insurance Board related to activities governed by Part 6.2 (commencing with Section 12693) or Part 6.4 (commencing with Section 12699.50) of Division 2 of the Insurance Code, and that reveal any of the following: (A) The deliberative processes, discussions, communications, or any other portion of the negotiations with entities contracting or seeking to contract with the board, entities with which the board is considering a contract, or entities with which the board is considering or enters into any other arrangement Public Records Act ® 2018 Richards, Watson & Gershon 2172263 PngF, 0? Part Three: The California Public Records Act under which the board provides, receives, or arranges services or reimbursement. (B) The impressions, opinions, recommendations, meeting minutes, research, work product, theories, or strategy of the board or its staff, or records that provide instructions, advice, or training to employees. (2) (A) Except for the portion of a contract that contains the rates of payment, contracts entered into pursuant to Part 6.2 (commencing with Section 12693) or Part 6.4 (commencing with Section 12699.50) of Division 2 of the Insurance Code, on or after January 1, 1998, shall be open to inspection one year after their effective dates. (3) (B) If a contract entered into pursuant to Part 6.2 (commencing with Section 12693) or Part 6.4 (commencing with Section 12699.50) of Division 2 of the Insurance Code is amended, the amendment shall be open to inspection one year after the effective date of the amendment. Three years after a contract or amendment is open to inspection pursuant to this subdivision, the portion of the contract or amendment containing the rates of payment shall be open to inspection. (4) Notwithstanding any other law, the entire contract or amendments to a contract shall be open to inspection by the Joint Legislative Audit Committee. The committee shall maintain the confidentiality of the contracts and amendments thereto until the contract or amendments to a contract are open to inspection pursuant to paragraph (2) or (3). (5) The exemption from disclosure provided pursuant to this subdivision for the contracts, deliberative processes, discussions, communications, negotiations, impressions, opinions, recommendations, meeting minutes, research, work product, theories, or strategy of the board or its staff shall also apply to the contracts, deliberative processes, discussions, communications, negotiations, impressions, opinions, recommendations, meeting minutes, research, work product, theories, or strategy of applicants pursuant to Part 6.4 (commencing with Section 12699.50) of Division 2 of the Insurance Code. Public Records Act ® 2018 Richards. Watson & Gershon 2172263 Pane 93 Part Three: The California Public Records Act (z) Records obtained pursuant to paragraph (2) of subdivision (c) of Section 2891.1 of the Public Utilities Code. (aa) A document prepared by or for a state or local agency that assesses its vulnerability to terrorist attack or other criminal acts intended to disrupt the public agency's operations and that is for distribution or consideration in a closed session. (ab) Critical infrastructure information, as defined in Section 131(3) of Title 6 of the United States Code, that is voluntarily submitted to the Office of Emergency Services for use by that office, including the identity of the person who or entity that voluntarily submitted the information. As used in this subdivision, "voluntarily submitted" means submitted in the absence of the office exercising any legal authority to compel access to or submission of critical infrastructure information. This subdivision shall not affect the status of information in the possession of any other state or local governmental agency. (ac) All information provided to the Secretary of State by a person for the purpose of registration in the Advance Health Care Directive Registry, except that those records shall be released at the request of a health care provider, a public guardian, or the registrant's legal representative. (ad) The following records of the State Compensation Insurance Fund: (1) Records related to claims pursuant to Chapter 1 (commencing with Section 3200) of Division 4 of the Labor Code, to the extent that confidential medical information or other individually identifiable information would be disclosed. (2) Records related to the discussions, communications, or any other portion of the negotiations with entities contracting or seeking to contract with the fund, and any related deliberations. (3) Records related to the impressions, opinions, recommendations, meeting minutes of meetings or sessions that are lawfully closed to the public, research, work product, theories, or strategy of the fund or its staff, on the development of rates, contracting strategy, underwriting, or competitive strategy pursuant to the powers granted to the fund in Chapter 4 (commencing with Section 11770) of Part 3 of Division 2 of the Insurance Code. (4) Records obtained to provide workers' compensation insurance under Chapter 4 (commencing with Section 11770) of Part 3 of Division 2 of the Insurance Code, including, but not limited, to, any Pubic Records Act 2018 Richards, Watson & Gershon 2172263 'uye 94 Port Three. The California Public Records Act (5) medical claims information, policyholder information provided that nothing in this paragraph shall be interpreted to prevent an insurance agent or broker from obtaining proprietary information or other information authorized by law to be obtained by the agent or broker, and information on rates, pricing, and claims handling received from brokers. (A) Records that are trade secrets pursuant to Section 6276.44, or Article 11 (commencing with Section 1060) of Chapter 4 of Division 8 of the Evidence Code, including without limitation, instructions, advice, or training provided by the State Compensation Insurance Fund to its board members, officers, and employees regarding the fund's special investigation unit, internal audit unit, and informational security, marketing, rating, pricing, underwriting, claims handling, audits, and collections. (B) Notwithstanding subparagraph (A), the portions of records containing trade secrets shall be available for review by the Joint Legislative Audit Committee, California Auditor's Office, Division of Workers' Compensation, and the Department of Insurance to ensure compliance with applicable law. (6) (A) Internal audits containing proprietary information and the following records that are related to an internal audit: (i) Personal papers and correspondence of any person providing assistance to the fund when that person has requested in writing that his or her papers and correspondence be kept private and confidential. Those papers and correspondence shall become public records if the written request is withdrawn, or upon order of the fund. (ii) Papers, correspondence, memoranda, or any substantive information pertaining to any audit not completed or an internal audit that contains proprietary information. (B) Notwithstanding subparagraph (A), the portions of records containing proprietary information, or any information specified in subparagraph (A) shall be available for review by the Joint Legislative Audit Committee, California State Auditor's Office, Division of Workers' Compensation, and the Public Records Act m 2018 Richards, Watson & Gershon 2172263 Page YS Part Three: The California Public Records Act (7) Department of Insurance to ensure compliance with applicable law. (A) Except as provided in subparagraph (C), contracts entered into pursuant to Chapter 4 (commencing with Section 1 1770) of Part 3 of Division 2 of the Insurance Code shall be open to inspection one year after the contract has been fully executed. (B) If a contract entered into pursuant to Chapter 4 (commencing with Section 1 1770) of Part 3 of Division 2 of the Insurance Code is amended, the amendment shall be open to inspection one year after the amendment has been fully executed. (C) Three years after a contract or amendment is open to inspection pursuant to this subdivision, the portion of the contract or amendment containing the rates of payment shall be open to inspection. (D) Notwithstanding any other law. the entire contract or amendments to a contract shall be open to inspection by the Joint Legislative Audit Committee. The committee shall maintain the confidentiality of the contracts and amendments thereto until the contract or amendments to a contract are open to inspection pursuant to this paragraph. (E) This paragraph is not intended to apply to documents related to contracts with public entities that are not otherwise expressly confidential as to that public entity. (F) For purposes of this paragraph, "fully executed" means the point in time when all of the necessary parties to the contract have signed the contract. This section does not prevent any agercy from opening its records concerning the administration of the agency to public inspection, unless disclosure is otherwise prohibited by law. This section does not prevent any health facility from disclosing to a certified bargaining agent relevant financing information pursuant to Section 8 of the Notional Labor Relations Act (29 U.S.C. Sec. 158). Pubic Records Act O 2018 Richards, Watson & Gershon 2172263 Page 9 Port Three: The California Public Records Act Section 6254.1. Disclosure of residence, mailing address or results of test for competency to safely operate motor vehicle (a) Except as provided in Section 6254.7, nothing in this chapter requires disclosure of records that are the residence address of any person contained in the records of the Department of Housing and Community Development, if the person has requested confidentiality of that information, in accordance with Section 18081 of the Health and Safety Code. (b) Nothing in this chapter requires the disclosure of the residence or mailing address of any person in any record of the Department of Motor Vehicles except in accordance with Section 1808.21 of the Vehicle Code. (c) Nothing in this chapter requires the disclosure of the results of a test undertaken pursuant to Section 12804.8 of the Vehicle Code. Section 6254.2. Pesticide safety and efficacy information. public disclosure; limitations; procedures (a) Nothing in this chapter exempts from public disclosure the same categories of pesticide safety and efficacy information that are disclosable under paragraph (1) of subsection (d) of Section 10 of the federal Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. Sec. 136h(d) (1)), if the individual requesting the information is not an officer, employee, or agent specified in subdivision (h) and signs the affirmation specified in subdivision (h). (b) The Director of Pesticide Regulation, upon his or her initiative, or upon receipt of a request pursuant to this chapter for the release of data submitted and designated as a trade secret by a registrant or applicant, shall determine whether any or all of the data so submitted is a properly designated trade secret. In order to assure that the interested public has an opportunity to obtain and review pesticide safety and efficacy data and to comment prior to the expiration of the public comment period on a proposed pesticide registration, the director shall provide notice to interested persons when an application for registration enters the registration evaluation process. (c) If the director determines that the data is not a trade secret, the director shall notify the registrant or applicant by certified mail. (d) The registrant or applicant shall have 30 days after receipt of this notification to provide the director with a complete justification and Public Records Act 2018 Richards. Watson & Gershon 2172263 Page 97 Part Three: The California Pubic Records Act statement of the grounds on which the trade secret privilege is claimed. This justification and statement shall be submitted by certified mail. (e) The director shall determine whether the data is protected as a trade secret within 15 days after receipt of the justification and statement or, if no justification and statement is filed, within 45 days of the original notice. The director shall notify the registrant or applicant and any party who has requested the data pursuant to this chapter of that determination by certified mail. If the director determines that the data is not protected as a trade secret, the final notice shall also specify a date, not sooner than 15 days after the date of mailing of the final notice, when the data shall be available to any person requesting information pursuant to subdivision (a) (f) (g) "Trade secret" means data that is nondisclosable under paragraph (1) of subsection (d) of Section 10 of the federal Insecticide, Fungicide, and Rodenticide Act. This section shall be operative only so long as, and to the extent that, enforcement of paragraph (1) of subsection (d) of Section 10 of the federal Insecticide, Fungicide, and Rodenticide Act has not been enjoined by federal court order, and shall become inoperative if an unappealable federal court judgment or decision becomes final that holds that paragraph invalid, to the extent of the invalidity. (h) The director shall not knowingly disclose information submitted to the state by an applicant or registrant pursuant to Article 4 (commencing with Section 1281 1) of Chapter 2 of Division 7 of the Food and Agricultural Code to any officer, employee, or agent of any business or other entity engaged in the production, sale, or distribution of pesticides in countries other than the United States or in countries in addition to the United States, or to any other person who intends to deliver this information to any foreign or multi -national business or entity, unless the applicant or registrant consents to the disclosure. To implement this subdivision. the director shall require the following affirmation to be signed by the person who requests such information: Public Records Act m 2018 Richards, wotson & Gershon 2172263 Puge9h Part Three' The California Public Records Act AFFIRMATION OF STATUS This affirmation is required by Section 6254.2 of the Government Code. I have requested access to information submitted to the Department of Pesticide Regulation (or previously submitted to the Department of Food and Agriculture) by a pesticide applicant or registrant pursuant to the California Food and Agricultural Code. I hereby affirm all of the following statements: (1) I do not seek access to the information for purposes of delivering it or offering it for sale to any business or other entity, including the business or entity of which I am an officer, employee, or agent engaged in the production, sale, or distribution of pesticides in countries other than the United States or in countries in addition to the United States, or to the officers, employees, or agents of such a business or entity. (2) I will not purposefully deliver or negligently cause the data to be delivered to a business or entity specified in paragraph (1) or its officers, employees. or agents. I am aware that I may be subject to criminal penalties under Section 118 of the Penal Code if I make any statement of material facts knowing that the statement is false or if I willfully conceal any material fact. Name of Requester Nome of Requester's Organization Signoture of Requester Address of Requester Date Request No. Telephone Number of Requester Name, Address and Telephone Number of Requester's Client, if the Requester has requested access to the information on behalf of someone other than the Requester or the Requester's address listed above (1) (j) Notwithstanding any other provision of this section, the director may disclose information submitted by an applicant or registrant to any person in connection with a public proceeding conducted under law or regulation, if the director determines that the information is needed to determine whether a pesticide, or any ingredient of any pesticide, causes unreasonable adverse effects on health or the environment. The director shall maintain records of the names of persons to whom data is disclosed pursuant to this section and the persons or organizations they Public Records Act ® 2018 Richards. Watson & Gershon 2172263 Page 99 Part Three: The California Public Records Act represent and shall inform the applicant or registrant of the names and the affiliation of these persons. (k) Section 118 of the Penal Code applies to any affirmation made pursuant to this section. (I) Any officer or employee of the state or former officer or employee of the state who, because of this employment or official position, obtains possession of, or has access to, material which is prohibited from disclosure by this section, and who, knowing that disclosure of this material is prohibited by this section, willfully discloses the material in any manner to any person not entitled to receive it, shall, upon conviction, be punished by a fine of not more than ten thousand dollars ($10,000), or by imprisonment in the county jail for not more than one year, or by both fine and imprisonment. For purposes of this subdivision, any contractor with the state who is furnished information pursuant to this section, or any employee of any contractor, shall be considered an employee of the state. (m) This section does not prohibit any person from maintaining a civil action for wrongful disclosure of trade secrets. (n) The director may limit an individual to one request per month pursuant to this section if the director determines that a person has made a frivolous request within the past 12 -month period. Section 6254.3. Public agency employees; home addresses, phone numbers, and birth dates as public records; disclosure (a) The home addresses, home telephone numbers, personal cellular telephone numbers, and birth dates of all employees of a public agency shall not be deemed to be public records and shall not be open to public inspection, except that disclosure of that information may be made as follows: (1) To an agent, or a family member of the individual to whom the information pertains. (2) To an officer or employee of another public agency when necessary for the performance of its official duties. (3) To an employee organization pursuant to regulations and decisions of the Public Employment Relations Board, except that the home addresses and any phone numbers on file with the employer of Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 00 Part Three: The California PJbic Records Act employees performing law enforcement -related functions, and the birth date of any employee, shall not be disclosed. (4) To an agent or employee of a health benefit plan providing health services or administering claims for health services to public agencies and their enrolled dependents, for the purpose of providing the health services or administering claims for employees and their enrolled dependents. (b) Upon written request of any employee, a public agency shall not disclose the employee's home address, home telephone number, personal cellular telephone number, or birth date pursuant to paragraph (3) of subdivision (a) and an agency shall remove the employee's home address, home telephone number, and personal cellular telephone number from any mailing list maintained by the agency, except if the list is used exclusively by the agency to contact the employee. Section 6254.4. Voter registration information; confidentiality (a) The home address, telephone number, email address, precinct number, or other number specified by the Secretary of State for voter registration purposes, and prior registration information shown on the affidavit of registration, is confidential and shall not be disclosed to any person, except pursuant to Section 2194 of the Elections Code. (b) For purposes of this section, "home address" means street address only, and does not include an individual's City or post office address. (c) The California driver's license number, the California identification card number, the social security number, and any other unique identifier used by the State of California for purposes of voter identification shown on an affidavit of registration, or added to the voter registration records to comply with the requirements of the federal Help America Vote Act of 2002 (42 U.S.C. Sec. 15301 et seq.), are confidential and shall not be disclosed to any person. (d) The signature of the voter that is shown on the affidavit of registration is confidential and shall not be disclosed to any person. Public Records Act C 2018 Richords. Watson & Gershon 2172263 Page 101 Part Three: The California Public Records Act Section 6254.4.5. Disclosure of video or audio recording created during commission or investigation of the crime of rape, incest, sexual assault, domestic violence, or child abuse in which the face, intimate body part, or voice of a victim is depicted; inspection of video or audio recording by the victim (0) This chapter does not require disclosure of a video or audio recording that was created during the commission or investigation of the crime of rape, incest, sexual assault, domestic violence, or child abuse that depicts the face, intimate body part, or voice of a victim of the incident depicted in the recording. An agency shall justify withholding such a video or audio recording by demonstrating, pursuant to Section 6255, that on the facts of the particular case, the public interest served by not disclosing the recording clearly outweighs the public interest served by disclosure of the recording. (b) When balancing the public interests as required by this section, an agency shall consider both of the following: (1) The constitutional right to privacy of the person or persons depicted in the recording. (2) Whether the potential harm to the victim caused by disclosing the recording may be mitigated by redacting the recording to obscure images showing intimate body parts and personally identifying characteristics of the victim or by distorting portions of the recording containing the victim's voice, provided that the redaction does not prevent a viewer from being able to fully and accurately perceive the events captured on the recording. The recording shall not otherwise be edited or altered. (c) A victim of a crime described in subdivision (a) who is a subject of a recording, the parent or legal guardian of a minor subject, a deceased subject's next of kin, or a subject's legally authorized designee, shall be permitted to inspect the recording and to obtain a copy of the recording. Disclosure under this subdivision does not require that the record be made available to the public pursuant to Section 6254.5. (d) Nothing in this section shall be construed to affect any other exemption provided by this chapter. Public Records Act © 2018 Richards, Watson & Gershon 2172263 Page 102 Part Three: The California Public Records Act Section 6254.5. Disclosures of public records; waiver of exemptions; application of section Notwithstanding any other provisions of law, whenever a state or local agency discloses a public record which is otherwise exempt from this chapter, to any member of the public, this disclosure shall constitute a waiver of the exemptions specified in Sections 6254, 6254.7, or other similar provisions of law. For purposes of this section, "agency" includes a member, agent, officer, or employee of the agency acting within the scope of his or her membership, agency, office, or employment. This section, however, shall not apply to disclosures: (a) Made pursuant to the Information Practices Act (commencing with Section 1798 of the Civil Code) or discovery proceedings. (b) Made through other legal proceedings or as otherwise required by law. (c) Within the scope of disclosure of a statute which limits disclosure of specified writings to certain purposes. (d) Not required by law, and prohibited by formal action of an elected legislative body of the local agency which retains the writings. (e) Made to any governmental agency which agrees to treat the disclosed material as confidential. Only persons authorized in writing by the person in charge of the agency shall be permitted to obtain the information. Any information obtained by the agency shall only be used for purposes which are consistent with existing law. (f) Of records relating to a financial institution or an affiliate thereof, if the disclosures are made to the financial institution or affiliate by a state agency responsible for the regulation or supervision of the financial institution or affiliate. (g) Of records relating to any person that is subject to the jurisdiction of the Department of Business Oversight, if the disclosures are made to the person that is the subject of the records for the purpose of corrective action by that person, or if a corporation, to an officer, director, or other key personnel of the corporation for the purpose of corrective action, or to any other person to the extent necessary to obtain information from that person for the purpose of an investigation by the Department of Corporations. Public Records Act ® 2018 Richards, Watson 8. Gershon 2172263 Page 103 Part Three: The California Public Records Act (h) Made by the Commissioner of Business Oversight under Section 450, 452, 8009, or 18396 of the Financial Code. (i) Of records relating to any person that is subject to the jurisdiction of the Department of Managed Health Care, if the disclosures are made to the person that is the subject of the records for the purpose of corrective action by that person, or if a corporation, to an officer, director, or other key personnel of the corporation for the purpose of corrective action, or to any other person to the extent necessary to obtain information from that person for the purpose of an investigation by the Department of Managed Health Care. Section 6254.6. Private industry wage data from federal bureau of labor statistics; identity of employers; confidentiality Whenever a City and county or a joint powers agency, pursuant to a mandatory statute or charter provision to collect private industry wage data for salary setting purposes, or a contract entered to implement that mandate, is provided this data by the federal Bureau of Labor Statistics on the basis that the identity of private industry employers shall remain confidential, the identity of the employers shall not be open to the public or be admitted as evidence in any action or special proceeding. Section 6254.7. (a) Air pollution data; public records; notices and orders to building owners; trade secrets; data used to calculate costs of obtaining emission offsets All information, analyses, plans, or specifications that disclose the nature, extent, quantity, or degree of air contaminants or other pollution which any article, machine, equipment, or other contrivance will produce, which any air pollution control district or air quality management district, or any other state or local agency or district, requires any applicant to provide before the applicant builds, erects, alters, replaces, operates, sells, rents, or uses the article, machine, equipment, or other contrivance, are public records. (b) AH air or other pollution monitoring data, including data compiled from stationary sources, are public records. (c) All records of notices and orders directed to the owner of any building of violations of housing or building codes, ordinances, statutes, or regulations which constitute violations of standards provided in Section 1941.1 of the Civil Code, and records of subsequent action with respect to those notices and orders, are public records. Public Records Act ® 2018 Richards, Watson & Gershon 2172263 Page 104 Part Three The California Public Records Ac' (d) Except as otherwise provided in subdivision (e) and Chapter 3 (commencing with Section 99150) of Part 65 of the Education Code, trade secrets are not public records under this section. "Trade secrets," as used in this section, may include, but are not limited to, any formula, plan, pattern, process, tool, mechanism, compound, procedure, production data, or compilation of information which is not patented, which is known only to certain individuals within a commercial concern who are using it to fabricate, produce, or compound an article of trade or a service having commercial value and which gives its user an opportunity to obtain a business advantage over competitors who do not know or use it. (e) (f) Notwithstanding any other provision of law, all air pollution emission data, including those emission data which constitute trade secrets as defined in subdivision (d), are public records. Data used to calculate emission data are not emission data for the purposes of this subdivision and data which constitute trade secrets and which are used to calculate emission data are not public records. Data used to calculate the costs of obtaining emissions offsets are not public records. At the time that an air pollution control district or air quality management district issues a permit to construct to an applicant who is required to obtain offsets pursuant to district rules and regulations, data obtained from the applicant consisting of the year the offset transaction occurred, the amount of offsets purchased, by pollutant, and the total cost, by pollutant, of the offsets purchased is a public record. If an application is denied, the data shall not be a public record. Section 6254.8. Employment contracts between state or local agency and public official or employee; public record Every employment contract between a state or local agency and any public official or public employee is a public record which is not subject to the provisions of Sections 6254 and 6255. Section 6254.9. Computer software; status as public record; sale, lease, or license authorized; limitations (a) Computer software developed by a state or local agency is not itself a public record under this chapter. The agency may sell, lease, or license the software for commercial or noncommercial use. (b) As used in this section, "computer software" includes computer mapping systems, computer programs, and computer graphics systems. Public Records Act 2018 Richards, Watson & Gershon 2172263 Page l05 Part Three: The California Public Records Au' (c) This section shall not be construed to create an implied warranty on the part of the State of California or any local agency for errors, omissions, or other defects in any computer software as provided pursuant to this section. (d) Nothing in this section is intended to affect the public record status of information merely because it is stored in a computer. Public records stored in a computer shall be disclosed as required by this chapter. (e) Nothing in this section is intended to limit any copyright protections. Section 6254.10. Disclosure of records relating to archaeological site information and specified reports not required Nothing in this chapter requires disclosure of records that relate to archaeological site information and reports maintained by, or in the possession of, the Department of Parks and Recreation, the State Historical Resources Commission, the State Lands Commission, the Native American Heritage Commission, another state agency, or a local agency, including the records that the agency obtains through a consultation process between a California Native American tribe and a state or local agency. Section 6254.11. Volatile organic compounds or chemical substances information Nothing in this chapter requires the disclosure of records that relate to volatile organic compounds or chemical substances information received or compiled by an air pollution control officer pursuant to Section 42303.2 of the Health and Safety Code. Section 6254.12. Broker-dealer license information; disciplinary records Any information reported to the North American Securities Administrators Association/Financial Industry Regulatory Authority and compiled as disciplinary records which are made available to the Department of Business Oversight through a computer system, shall constitute a public record. Notwithstanding any other provision of law, the Department of Business Oversight may disclose that information and the current license status and the year of issuance of the license of a broker-dealer upon written or oral request pursuant to Section 25247 of the Corporations Code. Public Records Act © 2018 Richards. Watson & Gershon 2172263 Page IO! Port Three: The California Public Records Act Section 6254.13. Statewide testing program; test questions or materials; disclosure to Member of Legislature or Governor; confidentiality Notwithstanding Section 6254, upon the request of any Member of the Legislature or upon request of the Governor or his or her designee, test questions or materials that would be used to administer an examination and are provided by the State Department of Education and administered as part of a statewide testing program of pupils enrolled in the public schools shall be disclosed to the requester. These questions or materials may not include an individual examination that has been administered to a pupil and scored. The requester may not take physical possession of the questions or materials, but may view the questions or materials at a location selected by the department. Upon viewing this information, the requester shall keep the materials that he or she has seen confidential. Section 6254.14. Health care services contract records of the Department of Corrections and Rehabilitation or the California Medical Assistance Commission (a) (1) Except as provided in Sections 6254 and 6254.7, nothing in this chapter shall be construed to require disclosure of records of the Department of Corrections and Rehabilitation that relate to health care services contract negotiations, and that reveal the deliberative processes, discussions, communications, or any other portion of the negotiations,