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HomeMy WebLinkAbout01182022 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 11]. AGENDA TEMECULA CITY COUNCIL SPECIAL MEETING COUNCIL CHAMBERS 41000 MAIN STREET TEMECULA, CALIFORNIA JANUARY 18, 2022 - 7:00 PM CALL TO ORDER: Mayor Matt Rahn PRELUDE MUSIC: Susan Miyamoto INVOCATION: Sylvester Scott of Baha'is of Temecula FLAG SALUTE: Mayor Matt Rahn ROLL CALL: Alexander, Edwards, Rahn, Schwank, Stewart PRESENTATIONS Presentation Regarding Incoming/Outgoing Mayor and President Presentation Regarding Years of Service for Council Member James Stewart (5) and Commissioners Bradley Sullivan (5), Robert Carter (10) and Bob Hagel (15) Presentation of Proclamation for National Mentoring Month to Big Brothers and Big Sisters of Inland Empire BOARD / COMMISSION REPORTS Community Services Commission, Planning Commission, and Race, Equity, Diversity and Inclusion Commission PUBLIC SAFETY REPORT Riverside County Sheriffs Department PUBLIC COMMENTS - NON -AGENDA ITEMS A total of 30 minutes is provided for members of the public to address the City Council on matters not listed on the agenda. Each speaker is limited to three minutes. Public comments may be made in person at the meeting by submitting a speaker card to the City Clerk or Deputy City Clerk or by submitting an email to be read aloud into the record at the meeting. Email comments must be submitted to CouncilComments@temeculaca.gov. Speaker cards for in -person comments will be called in the order Page 1 City Council Agenda January 18, 2022 received by the City Clerk or Deputy City Clerk and then, if time remains, email comments will be read. Email comments on all matters must be received prior to the time the item is called for public comments. All public participation is governed by the Council Policy regarding Public Participation at Meetings adopted by Resolution No. 2021-54. 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, ten minutes will be devoted to these reports. CONSENT CALENDAR 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. A total of 30 minutes is provided for members of the public to address the City Council on items that appear on the Consent Calendar. Each speaker is limited to three minutes. Public comments may be made in person at the meeting by submitting a speaker card to the City Clerk or Deputy City Clerk or by submitting an email to be read aloud into the record at the meeting. Email comments must be submitted to CouncilComments@temeculaca.gov. Speaker cards for in -person comments will be called in the order received by the City Clerk or Deputy City Clerk and then, if time remains, email comments will be read. Email comments on all matters must be received prior to the time the item is called for public comments. All public participation is governed by the Council Policy regarding Public Participation at Meetings adopted by Resolution No. 2021-54. 1. Waive Reading of Standard Ordinances and Resolutions Recommendation Attachments 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. Agenda Report 2. Approve Action Minutes of December 14, 2021 Recommendation: That the City Council approve the action minutes of December 14, 2021. Attachments: Action Minutes 3. Approve List of Demands Recommendation: That the City Council adopt a resolution entitled: RESOLUTION NO. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA ALLOWING CERTAIN CLAIMS AND DEMANDS AS SET FORTH IN EXHIBIT A Page 2 City Council Agenda January 18, 2022 4. 5. 6. 7. Attachments: Agenda Report Resolution List of Demands Approve Annual Citywide Records Retention Schedule and Records Destruction for Calendar Year 2022 Recommendation: That the City Council adopt a resolution entitled: RESOLUTION NO. 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 Attachments: Agenda Report Resolution Exhibit A Approve Annual Legislative Platform for Calendar Year 2022 Recommendation: That the City Council approve the annual legislative platform for calendar year 2022. Attachments: Agenda Report 2022 Legislative Platform Approve Annual Boards and Commissions Handbook for Calendar Year 2022 Recommendation: That the City Council approve the annual boards and commissions handbook for calendar year 2022. Attachments: Agenda Report Boards and Commissions Handbook Annrove Second Amendment to the Agreement with Placeworks Inc. for the Creation of Objective Design Standards Recommendation: That the City Council approve the second amendment to the agreement for consultant services with Placeworks Inc., in the amount of $3,000, for Fiscal Year 2021-2022. Attachments: Agenda Report Amendment Page 3 City Council Agenda January 18, 2022 8. Adopt Resolution Approving Purchase and Sale Agreement for the Purchase of an Approximate 325 Square Foot Permanent Easement on the Real Property Located South of Nicolas Road and West of Butterfield Stage Road (APN's 957-130-003 and 957-130-013) in Connection with Drainage, Flood Control, and Flood Channel Improvements Along the Santa Gertrudis Creek Recommendation: That the City Council adopt a resolution entitled: RESOLUTION NO. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA APPROVING THAT CERTAIN PURCHASE AND SALE AGREEMENT, SETTLEMENT AGREEMENT, GENERAL RELEASE, AND JOINT ESCROW INSTRUCTIONS BETWEEN THE CITY OF TEMECULA AND 3270 W. LINCOLN LLC (RIVERSIDE COUNTY TAX ASSESSOR'S PARCEL NUMBERS 957-130-003 AND 957-130-013) Attachments: Agenda Report Resolution Purchase and Sale Agreement Map of Subject Property 9. Establish All -Way Stop Control at the Intersection of Roripaugh Road and Swallow Court Recommendation: That the City Council adopt a resolution entitled: RESOLUTION NO. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA, ESTABLISHING AN ALL -WAY STOP CONTROL AT THE INTERSECTION OF RORIPAUGH ROAD AND SWALLOW COURT AND FINDING THAT THE ACTION IS EXEMPT FROM CEQA UNDER SECTION 15301(c) OF THE CEQA GUIDELINES Attachments: Agenda Report Resolution Location Map Multi -Way Stop Warrant Analysis 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/OR THE TEMECULA PUBLIC FINANCING AUTHORITY Page 4 City Council Agenda January 18, 2022 TEMECULA COMMUNITY SERVICES DISTRICT MEETING CALL TO ORDER: President James Stewart ROLL CALL: Alexander, Edwards, Rahn, Schwank, Stewart CSD PUBLIC COMMENTS - NON -AGENDA ITEMS 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 Community Services District request specific items be removed from the Consent Calendar for separate action. A total of 30 minutes is provided for members of the public to address the Board of Directors on items that appear on the Consent Calendar. Each speaker is limited to three minutes. Public comments may be made in person at the meeting by submitting a speaker card to the City Clerk or Deputy City Clerk or by submitting an email to be read aloud into the record at the meeting. Email comments must be submitted to CouncilComments@temeculaca.gov. Speaker cards for in -person comments will be called in the order received by the City Clerk or Deputy City Clerk and then, if time remains, email comments will be read. Email comments on all matters must be received prior to the time the item is called for public comments. All public participation is governed by the Council Policy regarding Public Participation at Meetings adopted by Resolution No. 2021-54. CSD CONSENT CALENDAR 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 Community Services District request specific items be removed from the Consent Calendar for separate action. A total of 30 minutes is provided for members of the public to address the Board of Directors on items that appear on the Consent Calendar. Each speaker is limited to three minutes. Public comments may be made in person at the meeting by submitting a speaker card to the City Clerk or Deputy City Clerk or by submitting an email to be read aloud into the record at the meeting. Email comments must be submitted to CouncilComments@temeculaca.gov. Speaker cards for in -person comments will be called in the order received by the City Clerk or Deputy City Clerk and then, if time remains, email comments will be read. Email comments on all matters must be received prior to the time the item is called for public comments. All public participation is governed by the Council Policy regarding Public Participation at Meetings adopted by Resolution No. 2021-54. 10. Approve Action Minutes of December 14, 2021 Recommendation: That the Board of Directors approve the action minutes of December 14, 2021. Attachments: Action Minutes CSD DIRECTOR OF COMMUNITY SERVICES REPORT CSD GENERAL MANAGER REPORT CSD BOARD OF DIRECTOR REPORTS Page 5 City Council Agenda January 18, 2022 CSD ADJOURNMENT The next regular meeting of the Temecula Community Services District will be held on Tuesday, January 25, 2022, at 5:30 p.m., for a Closed Session, with regular session commencing at 7:00 p.m., at the Council Chambers located at 41000 Main Street, Temecula, California. Page 6 City Council Agenda January 18, 2022 SUCCESSOR AGENCY TO THE TEMECULA REDEVELOPMENT AGENCY CALL TO ORDER: Chair Matt Rahn ROLL CALL: Alexander, Edwards, Rahn, Schwank, Stewart SARDA PUBLIC COMMENTS - NON -AGENDA ITEMS A total of 30 minutes is provided for members of the public to address the Board of Directors on matters not listed on the agenda. Each speaker is limited to three minutes. Public comments may be made in person at the meeting by submitting a speaker card to the City Clerk or Deputy City Clerk or by submitting an email to be read aloud into the record at the meeting. Email comments must be submitted to CouncilComments@temeculaca.gov. Speaker cards for in -person comments will be called in the order received by the City Clerk or Deputy City Clerk and then, if time remains, email comments will be read. Email comments on all matters must be received prior to the time the item is called for public comments. All public participation is governed by the Council Policy regarding Public Participation at Meetings adopted by Resolution No. 2021-54. SARDA CONSENT CALENDAR 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 Redevelopment Agency request specific items be removed from the Consent Calendar for separate action. A total of 30 minutes is provided for members of the public to address the Board of Directors on items that appear on the Consent Calendar. Each speaker is limited to three minutes. Public comments may be made in person at the meeting by submitting a speaker card to the City Clerk or Deputy City Clerk or by submitting an email to be read aloud into the record at the meeting. Email comments must be submitted to CouncilComments@temeculaca.gov. Speaker cards for in -person comments will be called in the order received by the City Clerk or Deputy City Clerk and then, if time remains, email comments will be read. Email comments on all matters must be received prior to the time the item is called for public comments. All public participation is governed by the Council Policy regarding Public Participation at Meetings adopted by Resolution No. 2021-54. 11. Approve Recognized Obligation Payment Schedule and Administrative Budget for the Period of July 1, 2022 Through June 30, 2023 (ROPS 22-23) Recommendation: That the Board of Directors 1. Adopt a resolution entitled: RESOLUTION NO. SARDA 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, 2022 THROUGH JUNE 30, 2023 PURSUANT TO HEALTH AND SAFETY CODE SECTION 34177 AND TAKING CERTAIN ACTIONS IN CONNECTION Page 7 City Council Agenda January 18, 2022 THEREWITH 2. Adopt a resolution entitled: RESOLUTION NO. SARDA 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 Attachments: Agenda Report Resolution - ROPS Exhibit A - ROPS Resolution - Budget Exhibit A - Budget SARDA EXECUTIVE DIRECTOR REPORT SARDA BOARD OF DIRECTOR REPORTS SARDA ADJOURNMENT The next regular meeting of the Successor Agency to the Redevelopment Agency will be held on Tuesday, January 25, 2022, at 5:30 p.m., for a Closed Session, with regular session commencing at 7:00 p.m., at the Council Chambers located at 41000 Main Street, Temecula, California. Page 8 City Council Agenda January 18, 2022 TEMECULA HOUSING AUTHORITY - NO MEETING TEMECULA PUBLIC FINANCING AUTHORITY - NO MEETING RECONVENE TEMECULA CITY COUNCIL BUSINESS Any member of the public may address the City Council on items that appear on the Business portion of the agenda. Each speaker is limited to five minutes. Public comments may be made in person at the meeting by submitting a speaker card to the City Clerk or Deputy City Clerk or by submitting an email to be read aloud into the record at the meeting. Email comments must be submitted to CouncilComments@temeculaca.gov. Speaker cards for in -person comments will be called in the order received by the City Clerk or Deputy City Clerk and then, if time remains, email comments will be read. Email comments on all matters must be received prior to the time the item is called for public comments. All public participation is governed by the Council Policy regarding Public Participation at Meetings adopted by Resolution No. 2021-54. 12. Consider Appointments to Citv Council Committees for Calendar Year 2022 Recommendation: That the City Council appoint members to serve on committees for calendar year 2022 and approve related City Council Committee Appointments List. Attachments: Agenda Report Draft Council Committee Assignment List 13. Consider State and Federal Legislative Mandates (At the Request of Mayor Rahn) Recommendation: That the City Council consider state and federal legislative mandates and provide general direction regarding the same. Attachments: Agenda Report DEPARTMENTAL REPORTS 14. Police Department Monthly Report Attachments: Agenda Report Incident Summaries CITY MANAGER REPORT CITY ATTORNEY REPORT Page 9 City Council Agenda January 18, 2022 ITEMS FOR FUTURE CITY COUNCIL AGENDAS Any Council Member, including the Mayor, may request an item be placed on a future agenda. Any such request will be discussed under this section. In making the request, a Council Member may briefly describe the topic of the proposed agenda item and any timing associated with the placement of the item on the agenda. This description shall not exceed three (3) minutes unless extended by a majority vote of the City Council. No substantive discussion on the subject of the motion may occur. General discussion amongst the City Council on items listed under this section of the agenda shall be limited to 15 minutes. Items may only be placed on the agenda by Council Members pursuant to policy or by the City Manager based on administrative or operational needs of the City. Public comments on the placement of these agenda items shall be limited to a maximum of 30 minutes. Individual comments shall not exceed three (3) minutes. All public participation is governed by the Council Policy regarding Public Participation at Meetings and Agenda Placements by Council Members adopted by Resolution No. 2021-54. A. Recognition for Supervisor Chuck Washington (At the Request of Mayor Pro Tempore Schwank) B. Medal of Bravery for Extraordinary Courage (At the Request of Council Member Alexander) C. Term Limits for City Council Members (At the Request of Council Member Alexander) ADJOURNMENT The next regular meeting of the City Council will be held on Tuesday, January 25, 2022, at 5:30 p.m., for a Closed Session, with regular session commencing at 7:00 p.m., at the Council Chambers located at 41000 Main Street, Temecula, California. NOTICE TO THE PUBLIC The full agenda packet (including staff reports, public closed session information, and any supplemental material available after the original posting of the agenda), distributed to a majority of the City Council regarding any item on the agenda, will be available for public viewing in the main reception area of the Temecula Civic Center during normal business hours at least 72 hours prior to the meeting. The material will also be available on the City's website at TemeculaCa.gov. and available for review at the respective meeting. If you have questions regarding any item on the agenda, please contact the City Clerk's Department at (951) 694-6444. Page 10 Item No. 1 CITY OF TEMECULA AGENDA REPORT TO: City Manager/City Council FROM: Randi Johl, Director of Legislative Affairs/City Clerk DATE: January 18, 2022 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 COUNCIL CHAMBERS 41000 MAIN STREET TEMECULA, CALIFORNIA DECEMBER 14, 2021 - 7:00 PM CALL TO ORDER at 7:01 PM: Mayor Maryann Edwards INVOCATION: Chaplain Buck Longmore, Retired Firefighter FLAG SALUTE: Mayor Pro Tem Matt Rahn ROLL CALL: Alexander, Edwards, Rahn, Schwank, Stewart PRESENTATIONS Presentation to John Squares and Jayden Michael Squares BOARD / COMMISSION REPORTS Community Services Commission, Planning Commission, Public/Traffic Safety Commission PUBLIC SAFETY REPORT California Department of Forestry and Fire Protection PUBLIC COMMENTS - NON -AGENDA ITEMS The following individual(s) submitted an electronic comment on a non -agenda item(s): • Kay Singh • Dario Bianchi PUBLIC COMMENTS - AGENDA ITEMS The following individual(s) addressed the City Council on agenda item(s): • Bob Kowell (Item # 10) • Rick Reiss (Item # 10) The following individual(s) submitted an electronic comment on agenda item(s): • Rick Reiss (Item #10) • Tonya Carlson (Item #24) • Don & Rosina Baylor (Item #24) • Dr. Vincent M. Soto (Item #24) • Christian A. Ariowinoto (Item #24) • Rodney Taylor (Item #24) • Dr. Philiphia Rouse Minor (Item #24) • Kelly Hallmark(Item #24) • Julie Gant (Item #24) • Aaron Q. Seibert (Item #24) • Sandy Hlkavac (Item #24) • Rolando Rangel (Item #24) • Rodney Jay (Item #24) • Antoinette M. Derby (Item #24) • Rolando (Rolo) Abeldano (Item #24) • Pablo Rivera (Item #24) • Ken Carlisle (Item #24) • Barry N. Floyd (Item #24) • Tracy Thompkins (Item #24) • Carol L. Merricks (Item #24) • Cy Sibounma (Item #24) • Bradford A. Simmons (Item #24) • Dennis Recker (Item #24) 0 Carlos Chiu (Item #24) • Paul Johnson (Item #24) • Al Rigual (Item #24) • Don Baylor (Item #24) CITY COUNCIL REPORTS CONSENT CALENDAR • Gerard C. Chiu (Item #24) • Tania McLean -Nicholas (Item #24) Unless otherwise indicated below, the following pertains to all items on the Consent Calendar. Approved the Staff Recommendation (5-0): Motion by Rahn, Second by Schwank. The vote reflected unanimous approval. 1. Waive Reading of Standard Ordinances and Resolutions 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. 2. Approve Action Minutes of November 23 and November 30, 2021 Recommendation: That the City Council approve the action minutes of November 23 and November 30, 2021. 3. Approve List of Demands Recommendation: That the City Council adopt a resolution entitled: RESOLUTION NO. 2021-64 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA ALLOWING CERTAIN CLAIMS AND DEMANDS AS SET FORTH IN EXHIBIT A 4. Approve City Treasurer's Report as of August 31, 2021 Recommendation: That the City Council approve and file the City Treasurer's Report as of August 31, 2021. 5. Adopt Ordinance 2021-05 Amending Article I and Article XIV of Chapter 8.20 of the Temecula Municipal Code Pursuant to SB1383 Regulations (Second Reading) Recommendation: That the City Council adopt an ordinance entitled: ORDINANCE 2021-05 AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF TEMECULA AMENDING ARTICLE I, DEFINITIONS, OF CHAPTER 8.20 OF THE TEMECULA MUNICIPAL CODE AND AMENDING ARTICLE XIV, MANDATORY ORGANIC WASTE 2 DISPOSAL REDUCTION, OF THE TEMECULA MUNICIPAL CODE, AND MAKING A DETERMINATION OF EXEMPTION UNDER CEQA GUIDELINES SECTIONS 15061(B)(3) AND 15308 Approved the Staff Recommendation (4-1): Motion by Rahn, Second by Schwank. The vote reflected unanimous approval with Alexander opposing. 6. Adopt Ordinance 2021-06 Amending the Municipal Code Relatingto o Adjustment of Council District Boundaries to Comply with Amendments to Elections Code Sections 21600 to 21609 (Second Reading) Recommendation: That the City Council adopt an ordinance entitled: WA 8. 9. ORDINANCE NO. 2021-06 AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF TEMECULA AMENDING SECTION 2.08.028 OF THE TEMECULA MUNICIPAL CODE RELATING TO THE ADJUSTMENT OF COUNCIL DISTRICT BOUNDARIES PURSUANT TO THE REQUIREMENTS OF ELECTIONS CODE SECTIONS 21600 TO 21609 Approve Cancellation of the Regularly Scheduled Meeting of December 28, 2021 Recommendation: That the City Council approve the cancellation of the regularly scheduled meeting of December 28, 2021. Adopt Resolution Regarding . Settlement of National Opioid Litigation _ Recommendation: That the City Council adopt a resolution entitled: RESOLUTION NO. 2021-65 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA AUTHORIZING THE CITY TO ENTER INTO THE SETTLEMENT AGREEMENTS WITH MCKESSON CORPORATION, CARDINAL HEALTH, INC., AMERISOURCEBERGEN CORPORATION, JOHNSON & JOHNSON, JANSSEN PHARMACEUTICALS, INC., ORTHO-MCNEIL-JANSSEN PHARMACEUTICALS, INC., AND JANSSEN PHARMACEUTICA, INC., AGREE TO THE TERMS OF THE MEMORANDUM OF UNDERSTANDING ALLOCATING SETTLEMENT PROCEEDS, AND AUTHORIZE ENTRY INTO THE MEMORANDUM OF UNDERSTANDING WITH THE ATTORNEY GENERAL AND AUTHORIZE THE CITY MANAGER TO TAKE ALL ACTIONS NECESSARY AND CONVENIENT TO IMPLEMENT THE SETTLEMENTS Authorize the Mavor to Execute the Amendment to the Joint Powers of the Western 3 Riverside Council of Governments Recommendation: That the City Council authorize the Mayor to execute the amendment to the Joint Powers Agreement of the Western Riverside Council of Governments. 10. Authorize Purchase of Additional Cameras for the Flock Automated License Plate Recoanitio System Recommendation: That the City Council approve the additional services agreement with Flock Group, Inc., to increase the amount of the contract in the amount of $5,500, for additional cameras to be installed as part of the Flock Automated License Plate Recognition System ("Flock System"), for a total agreement amount of $143,000. Approved the Staff Recommendation (4-1): Motion by Rahn, Second by Schwank. The vote reflected unanimous approval with Alexander opposing. 11. Approve Assignment and Assumption Agreement for Transfer of Rights and Obligations of Development Agreement Between City of Temecula and Temecula West Village, LLC and Settlement Agreement from Temecula Valley West, LLC to SBT Altair, LLC Recommendation: That the City Council approve an Assignment and Assumption Agreement for Transfer of Rights and Obligations of Development Agreement between City of Temecula and Temecula West Village, LLC and Settlement Agreement from Temecula Valley West, LLC to SBT Altair, LLC. 12. Approve Memorandum of Understanding Between the City of Temecula and the Wolf Creek Maintenance Corporation Recommendation: That the City Council approve the Memorandum of Understanding between the City of Temecula and Wolf Creek Maintenance Corporation (MOU) and authorize the City Manager to execute the memorandum. 13. Approve Agreement with Aztec Landscape, Inc. d/b/a Aztec Janitorial, Inc., for Janitorial Services for Park Restrooms for Fiscal Year 2021-2023 Recommendation: That the City Council: 1. Approve the Minor Maintenance Agreement for Janitorial Services for Park Restrooms with Aztec Landscaping, Inc., d/b/a Aztec Janitorial, Inc., in the amount of $54,589.32 for Fiscal Year 2021-2022 and $109,178.64 for Fiscal Year 2022-2023, for a total contract amount of $163,767.96; and 2. Approve contingency for extra work in the amount of $16,377, which is approximately 10% of the agreement amount. 14. Approve Agreement for Consultant Services with Jeff Katz Architecture for Community Recreation Center Splash Pad and Shade Structures, PW21-07 15. 16. 17. Recommendation: That the City Council: 1. Approve the Agreement for Consultant Services with Jeff Katz Architecture in the amount of $152,790 for the Community Recreation Center Splash Pad and Shade Structures; and 2. Authorize the City Manager to approve additional work not to exceed the contingency amount of $15,279, which is approximately 10% of the agreement amount. Approve First Amendment to Agreement for Minor Maintenance Services with TWM Roofing Inc. Recommendation: That the City Council approve the First Amendment for Minor Maintenance Services with TWM Roofing, Inc. to increase payment for an additional $180,000, for a total agreement amount of $360,000. Award Construction Contract to Baker Electric, Inc., for Pedestrian Signal 1 Equipment Upgrade - Citywide, PW19-10 Recommendation: That the City Council: 1. Award a construction contract to Baker Electric, Inc., in the amount of $773,060 for the Pedestrian Signal Equipment Upgrade - Citywide, PW19-10; and 2. Authorize the City Manager to approve change orders not to exceed the contingency amount of $77,306, which is equal to 10% of the contract amount; and 3. Make a finding that the Pedestrian Signal Equipment Upgrade - Citywide, PW19-10, is exempt from Multiple Species Habitat Conservation Plan (MSHCP) fees. Approve Utility Agreement with Southern California Edison Company for I-15/French Valley Parkway Improvements - Phase II, PW 16-01 Recommendation: That the City Council approve an agreement with Southern California Edison Company (SCE), in the amount of $972,540, to relocate utilities for the I-15/French Valley Parkway Improvements - Phase II project. 18. Approve Purchase and Sale Agreement for the Partial Acquisition on Assessor's Parcel Number 916-400-054 in Connection with I-15/French Valley Parkway Improvements - Phase II, PW 16-01 Recommendation: That the City Council take the following actions: 1. Adopt a resolution entitled: RESOLUTION NO. 2021-66 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA APPROVING THAT CERTAIN PURCHASE AND SALE AGREEMENT AND JOINT ESCROW INSTRUCTIONS BETWEEN CITY OF TEMECULA AND HOEHN ENTERPRISE 4 TEMECULA LLC IN CONNECTION WITH THE I-15/FRENCH VALLEY PARKWAY IMPROVEMENTS - PHASE II (PORTIONS OF APN 916-400-054) 2. Authorize the City Manager to approve and execute all necessary documents, including those in substantially the form attached to the Agenda Report, and take all necessary actions to effectuate the purchase of the approximate 10,114 square foot partial fee acquisition on the real property located at 40955 Temecula Center Drive, Temecula (portions of Assessor's Parcel Number 916-400-054). 19. Approve Purchase and Sale Agreement for the Partial Acquisition on Assessor's Parcel Number 916-400-061 in Connection with I-15/French Valley Parkway Improvements - Phase II, PW 16-01 Recommendation: That the City Council take the following actions: 1. Adopt a resolution entitled: RESOLUTION NO. 2021-67 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA APPROVING THAT CERTAIN PURCHASE AND SALE AGREEMENT AND JOINT ESCROW INSTRUCTIONS BETWEEN CITY OF TEMECULA AND HOEHN ENTERPRISE 5 TEMECULA LLC IN CONNECTION WITH THE I-15/FRENCH VALLEY PARKWAY IMPROVEMENTS - PHASE II (PORTIONS OF APN 916-400-061) 2. Authorize the City Manager to approve and execute all necessary documents, including those in substantially the form attached to the Agenda Report, and take all necessary actions to effectuate the purchase of the approximate 6,428 square foot partial fee acquisition on the real property located on Temecula Center Drive, west of Ynez Road in the City of Temecula (portions of Assessor's Parcel Number 916-400-061). RECESS: At 8:04 PM, the City Council recessed and convened as the Temecula Community Services District Meeting. At 8:13 PM the City Council resumed with the remainder of the City Council Agenda. 6 RECONVENE TEMECULA CITY COUNCIL PUBLIC HEARING 21. Recommended Adoption of Resolution of Necessity for the Acquisition by Eminent Domain of Certain Real Property Interests for Public Purposes on Assessor's Parcel Number 910-281-001 and Certain Interests in Dominant Estate Interest in APN 910-271-002 in Connection with the I-I5/French Valley Parkway IMprovements — Phase II Recommendation: That the City Council take the following actions: 1. Consider the following Resolution, which is a Resolution of Necessity of the City of Temecula, declaring certain real property interests necessary for public purposes and authorizing the acquisition thereof in connection with the I-15/French Valley Parkway Improvements — Phase II: RESOLUTION NO. 2021-68 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA DECLARING CERTAIN REAL PROPERTY INTERESTS NECESSARY FOR PUBLIC PURPOSES AND AUTHORIZING THE ACQUISITION THEREOF IN CONNECTION WITH THE I-15/FRENCH VALLEY PARKWAY IMPROVEMENTS — PHASE II (CERTAIN PROPERTY INTERESTS ON APN 910-281-001 AND CERTAIN INTERESTS IN DOMINANT ESTATE INTEREST ON APN 910-271-002) 2. Open and conduct a hearing on the adoption of the proposed Resolution of Necessity, receive from City Staff the evidence stated and referred to in this Agenda Report ("Report"), take testimony from any person wishing to be heard on issues A, B, C, and D below, and consider all evidence to determine whether to adopt the proposed Resolution of Necessity. 3. If the City Council finds, based on the evidence contained and referred to in this Report, the testimony and comments submitted to the City Council, that the evidence warrants the necessary findings with respect to the proposed Resolution of Necessity, then City Staff recommends that the City Council, in the exercise of its discretion, adopt proposed Resolution No. 2021-68, ("Resolution of Necessity"), which requires a 4/5ths vote of the entire City Council, authorizing the acquisition by eminent domain of the Subject Property Interests summarized below and described more particularly in the Exhibits to the Resolution of Necessity: (i) BRE 26201 Ynez Owner, LLC, a Delaware limited liability company — Certain Real Property Interests in Connection with APN 910-281-001 and Certain Interests in Dominant Estate Interest in APN 910-271-002 • A fee interest in an approximate 177 square foot portion of APN 910-281-001 identified as Caltrans Parcel 25216-1, and described more particularly on Exhibit "A- I" to Resolution No. 2021-68. • A permanent footing easement on an approximate 500 square foot portion of APN 910-281-001 identified as Caltrans Parcel 25216-2, and described more particularly on Exhibit "A-2" to Resolution No. 2021-68. • An approximate 822 square foot temporary construction easement with a term of twenty-eight (28) months to help facilitate the City's construction of Phase II on the portion of APN 910-281-001 identified as Caltrans Parcel 25216-3, and described more particularly on Exhibit "A-3" to Resolution No. 2021-68. • Interest of BRE 26201 Ynez Owner, LLC in and to (a) an approximate 10 square foot portion of the footing easement on the access and parking easement (dominant estate) that benefits APN 910-281-001 located on the portion of the adjacent real property identified as APN 910-271-002, which is owned by Ynez Acres II, a California general partnership, included within the legal description of Caltrans Parcel 24616-2 and (b) an approximate 215 square foot portion of the temporary construction easement with a term of twenty-eight (28) months on the access and parking easement (dominant estate) portion of APN 910-271-002 included within the legal description of Caltrans Parcel 24616-3 that the City seeks to acquire on the Ynez Acres II Parcel. Caltrans Parcel 24616-2 is described on Exhibit "A-4" to Resolution No. 2021-68. Caltrans Parcel 24616-3 is described on Exhibit "A-5" to Resolution No. 2021-68. The above real property interests required from the BRE 26201 Ynez Owner, LLC Parcel and the interests of BRE 26201 Ynez Owner, LLC in and to the approximate 10 square foot portion of BRE 26201 Ynez Owner's dominant estate in the footing easement on APN 910-271-002 and the approximate 215 square foot portion of the temporary construction easement required from BRE 26201 Ynez Owner's dominant estate interest in APN 910-271-002 are referred to collectively below as the "Subject Property Interests". 4. If the City Council adopts the proposed Resolution of Necessity, authorize the City Attorney's Office to file and prosecute eminent domain proceedings for the acquisition of the Subject Property Interests by eminent domain. 5. Authorize the City Manager to execute all necessary documents. 6. Authorize the City Clerk to certify the adoption of the Resolution of Necessity. Approved the Staff Recommendation (5-0): Motion by Stewart, Second by Alexander. The vote reflected unanimous approval. 22. Recommended Adoption of Resolution of Necessitv for the Acauisition by Eminent Domain of Interests in Billboards Identified as Sian Number 33321 and Sian Number 33322 Located on Portions of the Real Properties Identified as Assessor's Parcel Numbers 910-060-002 and 910-060-004 for Public Purposes in Connection with the I-15/French Valley Parkway Improvements — Phase II, PW16-01 Recommendation: That the City Council take the following actions: 1. Consider the following Resolution, which is a Resolution of Necessity of the City of Temecula, declaring certain real property interests necessary for public purposes and authorizing the acquisition thereof in connection with the I-15/French Valley Parkway Improvements — Phase II, PW 16-01: RESOLUTION NO. 2021-69 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA DECLARING CERTAIN REAL PROPERTY INTERESTS NECESSARY FOR PUBLIC PURPOSES AND AUTHORIZING THE ACQUISITION THEREOF IN CONNECTION WITH THE I-15/FRENCH VALLEY PARKWAY IMPROVEMENTS — PHASE II (CERTAIN REAL PROPERTY INTERESTS IN CONNECTION WITH OUTDOOR ADVERTISING STRUCTURES/BILLBOARDS IDENTIFIED AS SIGN NUMBER 33321 AND SIGN NUMBER 33322, LOCATED ON PORTIONS OF THE REAL PROPERTIES IDENTIFIED AS APNS 910-060-002 & 910-060-004) 2. Open and conduct a hearing on the adoption of the proposed Resolution of Necessity, receive from City Staff the evidence stated and referred to in this Agenda Report ("Report"), take testimony from any person wishing to be heard on issues A, B, C, and D below, and consider all evidence to determine whether to adopt the proposed Resolution of Necessity. 3. If the City Council finds, based on the evidence contained and referred to in this Report, the testimony and comments submitted to the City Council, that the evidence warrants the necessary findings with respect to the proposed Resolution of Necessity, then City Staff recommends that the City Council, in the exercise of its discretion, adopt proposed Resolution No. 2021-69, ("Resolution of Necessity"), which requires a 4/5ths vote of the entire City Council, authorizing the acquisition by eminent domain of the Subject Property Interests summarized below and described more particularly in the Exhibits to the Resolution of Necessity: 9 (i) Lamar Central Outdoor, Inc. — Interests in Outdoor Advertising Structures/Billboards Identified as Sign Number 33321 and Sign Number 33322 located on portions of the real properties identified as Riverside County Tax Assessor's Parcel Numbers 910-060-002 and 910-060-004 • Certain real property interests of Lamar Central Outdoor, Inc. ("Lamar") consisting of the interests of Lamar in and to the outdoor advertising structures/billboards identified as Sign Number 33321 and Sign Number 33322, leasehold interests in connection with Sign Number 33321 and Sign Number 33322, easement interests, if any, in connection with the use of the portions of APNs 910-060-002 and 910-060-004 on which Sign Number 33321 and Sign Number 33322 are located, and goodwill relating to said outdoor advertising structures/billboards located on portions of the real properties identified as APNs 910-060-002 and 910-060-004 depicted on the Exhibits to Resolution No. 2021-69. The above interests of Lamar in and to Sign Number 33321 and Sign Number 33322, interests of Lamar in and to said structures, and leasehold interests in connection with said structures, any easement interests in connection with Sign Number 33321 and Sign Number 33322 and use of portions of APNs 910-060-002 and 910-060-004 in connection with Sign Number 33321 and Sign Number 33322 are referred to below as the "Subject Property Interests". 4. If the City Council adopts the proposed Resolution of Necessity, authorize the City Attorney's Office to file and prosecute eminent domain proceedings for the acquisition of the Subject Property Interests by eminent domain. 5. Authorize the City Manager to execute all necessary documents. 6. Authorize the City Clerk to certify the adoption of the Resolution of Necessity. Approved the Staff Recommendation (5-0): Motion by Stewart, Second by Alexander. The vote reflected unanimous approval. 23. Recommended Adoption of Resolution of Necessity for the Acquisition by Eminent Domain of Certain Real Property Interests for Public Purposes on Assessor's Parcel Numbers 910-020-077, 910-060-002, 910-060-003, 910-060-009, & 910-060-015 in Connection with the I- I 5/FrenchValley Parkway Improvements — Phase II Recommendation: That the City Council take the following actions: 1. Consider the following Resolution, which is a Resolution of Necessity of the City of Temecula, declaring certain real property interests necessary for public purposes and authorizing the acquisition thereof in 10 connection with the I-15/French Valley Parkway Improvements — Phase II: RESOLUTION NO. 2021-70 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA DECLARING CERTAIN REAL PROPERTY INTERESTS NECESSARY FOR PUBLIC PURPOSES AND AUTHORIZING THE ACQUISITION THEREOF IN CONNECTION WITH THE I-15/FRENCH VALLEY PARKWAY IMPROVEMENTS — PHASE II (CERTAIN PROPERTY INTERESTS ON APNS 910-020-077, 910-060-002, 910-060-003, 910-060-009, & 910-060-015) 2. Open and conduct a hearing on the adoption of the proposed Resolution of Necessity, receive from City Staff the evidence stated and referred to in this Agenda Report ("Report"), take testimony from any person wishing to be heard on issues A, B, C, and D below, and consider all evidence to determine whether to adopt the proposed Resolution of Necessity. 3. If the City Council finds, based on the evidence contained and referred to in this Report, the testimony and comments submitted to the City Council, that the evidence warrants the necessary findings with respect to the proposed Resolution of Necessity, then City Staff recommends that the City Council, in the exercise of its discretion, adopt proposed Resolution No. 2021-70, ("Resolution of Necessity"), which requires a 4/5ths vote of the entire City Council, authorizing the acquisition by eminent domain of the Subject Property Interests summarized below and described more particularly in the Exhibits to the Resolution of Necessity: (i) Larchmont Park, LLC — Certain Real Property Interests on APNs 910-020-077, 910-060-002, 910-060-003, 910-060-009, & 910-060-015 • An approximate 52,090 square foot fee portion of APNs 910-020-077, 910-060-002, 910-060-003, 910-060-009, & 910-060-015 described more particularly on Exhibit "A" and roughly depicted on Exhibit `B" to Resolution No. 2021-70. • Any and all interests of Larchmont Park, LLC in and to the outdoor advertising structure/billboard and lease interests relating to said structure located on portions of APN 910-060-002 impacted by Phase II. The above approximate 52,090 square foot fee portion of APNs 910-020-077, 910-060-002, 910-060-003, 910-060-009, & 910-060-015 and Larchmont Park's interest in and to the outdoor advertising structure/billboard and lease interests on portions of APN 910-060-002 are referred to below collectively as the "Subject Property Interests". IF 4. If the City Council adopts the proposed Resolution of Necessity, authorize the City Attorney's Office to file and prosecute eminent domain proceedings for the acquisition of the Subject Property Interests by eminent domain. 5. Authorize the City Manager to execute all necessary documents. 6. Authorize the City Clerk to certify the adoption of the Resolution of Necessity. Approved the Staff Recommendation (5-0): Motion by Stewart, Second by Alexander. The vote reflected unanimous approval. BUSINESS 24. Appoint Members to the Old Town Local Review Board and Community Services, Public/Traffic Safety and Race, Equity, Diversity, and Inclusion Commissions Recommendation: That the City Council appoint members to the Old Town Local Review Board and the Community Services, Public/Traffic Safety and Race, Equity, Diversity, and Inclusion Commissions. Approved (5-0): Motion by Rahn, Second by Schwank to extend Ross Jackson's term on the Old Town Local Review Board to December 31, 2022. Staff to return at a future date with revised purpose of the Old Town Local Review Board. The vote reflected unanimous approval. Approved (5-0): Motion by Rahn, Second by Alexander to appoint Gari Oddi and Yuan Hawkes to the Community Services Commission. The vote reflected unanimous approval. Approved (5-0): Motion by Schwank, Second by Alexander to appoint Eric Ackerman to the Public/Traffic Safety Commission. The vote reflected unanimous approval. Approved (5-0): Motion by Rahn, Second by Schwank to appoint Eric Faulkner and Adam Eventov to the Race Equity, Diversity and Inclusion Commission. The vote reflected unanimous approval. 25. Approve Amendment to the Memorandum of Understanding (MOU) with Teamsters Local 911 Succeeding the MOU that Expires June 30, 2022; Approve Amended and Restated Management Compensation Plan; and Approve Amended Salary Schedule Recommendation: That the City Council: 1. Approve an Amendment to the Memorandum of Understanding (MOU) between the City of Temecula and the General Employees of the City of Temecula represented by the California Teamsters Public, Professional, and Medical Employee Union Local 911 (Union) effective July 1, 2021 through June 30, 2022; 12 2. Approve the Amended and Restated Management Compensation Plan (MCP); and 3. Approve the Amended Salary Schedule to Effective July 1, 2021. Approved the Staff Recommendation (5-0): Motion by Schwank, Second by Alexander. The vote reflected unanimous approval. 26. Consider Memorial and Monument Policy (At the Request of Council Member Stewart) Recommendation: That the City Council consider a memorial and monument policy and provide staff general direction regarding the same. Approved the Staff Recommendation (5-0): Motion by Schwank, Second by Alexander. The vote reflected unanimous approval. JOINT MEETING - CITY COUNCIL AND COMMUNITY SERVICES DISTRICT 27. Appoint the Mayor, Mayor Pro Tempore, President, Vice -President for Calendar Year 2022 Recommendation: That the City Council/Board of Directors: 1. Appoint the Mayor and Mayor Pro Tempore, effective January 1, 2022, to serve in this capacity until December 31, 2022; and 2. Appoint the President and Vice -President, effective January 1, 2022, to serve in this capacity until December 31, 2022. Approved (4-0, Alexander abstained): Motion by Edwards, Second by Stewart to appoint Matt Rahn as Mayor and Zak Schwank as Mayor Pro Tem. The vote reflected unanimous approval with Alexander abstaining. Approved (5-0): Motion by Rahn, Second by Schwank to appoint James Stewart as TCSD President and Zak Schwank as TCSD Vice -President. The vote reflected unanimous approval. DEPARTMENTAL REPORTS CITY MANAGER REPORT CITY ATTORNEY REPORT ITEMS FOR FUTURE CITY COUNCIL AGENDAS A. State and Federal Legislative Activity (At the Request of Mayor Pro Tempore Rahn) 13 ADJOURNMENT At 11:12 PM, the City Council meeting was formally adjourned to Tuesday, January 11, 2022, at 5:30 PM for Closed Session, with regular session commencing at 7:00 PM, City Council Chambers, 41000 Main Street, Temecula, California. Maryann Edwards, Mayor ATTEST: Randi Johl, City Clerk [SEAL] 14 Item No. 3 CITY OF TEMECULA AGENDA REPORT TO: City Manager/City Council FROM: Jennifer Hennessy, Director of Finance DATE: January 18, 2022 SUBJECT: Approve the List of Demands PREPARED BY: Pam Espinoza, Accounting Technician I RECOMMENDATION: That the City Council adopt a resolution entitled: RESOLUTION NO. 2022- 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.2022- 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 $7,379,918.79. 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 18th day of January 2022. Matt Rahn, 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. 2022- was duly and regularly adopted by the City Council of the City of Temecula at a meeting thereof held on the 18th day of January, 2022, 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 12/02/2021 TOTAL CHECK RUN: 12/09/2021 TOTAL CHECK RUN: 12/16/2021 TOTAL CHECK RUN: 12/22/2021 TOTAL CHECK RUN: 12/23/2021 TOTAL CHECK RUN: 12/28/2021 TOTAL CHECK RUN: 12/30/2021 TOTAL CHECK RUN: 12/02/2021 TOTAL PAYROLL RUN: 12/09/2021 TOTAL PAYROLL RUN: 12/22/2021 TOTAL PAYROLL RUN: 12/28/2021 TOTAL PAYROLL RUN: TOTAL LIST OF DEMANDS FOR 01/18/2022 COUNCIL MEETING: 923,646.49 804,834.39 2,409,189.08 331,614.37 266,299.43 864,386.16 120,729.23 120,893.74 601,310.73 560,041.09 376,974.08 $ 7,379,918.79 CITY OF TEMECULA LIST OF DEMANDS DISBURSEMENTS BY FUND: CHECKS: 001 GENERAL FUND 1,803,274.75 002 MEASURE S FUND 1,973.15 125 PEG PUBLIC EDUCATION & GOVERNMENT 9,025.37 140 COMMUNITY DEV BLOCK GRANT 50,153.23 165 AFFORDABLE HOUSING 16,845.14 190 COMMUNITY SERVICES DISTRICT 705,999.67 192 TCSD SERVICE LEVEL "B" STREET LIGHTS 23,293.21 194 TCSD SERVICE LEVEL D REFUSE RECYCLING 2,478.43 196 TCSD SERVICE LEVEL "L" LAKE PARK MAINT. 11,148.00 197 TEMECULA LIBRARY FUND 23,322.41 210 CAPITAL IMPROVEMENT PROJECTS FUND 2,388,718.27 300 INSURANCE FUND 42,596.71 305 WORKER'S COMPENSATION 9,211.08 320 INFORMATION SYSTEMS 216,141.14 330 CENTRAL SERVICES 7,900.00 340 FACILITIES 84,007.37 380 SARDA DEBT SERVICE FUND 295,000.00 472 CFD 01-2 HARVESTON A&B DEBT SERVICE 1,702.79 473 CFD 03-1 CROWNS HILL DEBT SERVICE FUND 1,702.79 475 CFD03-3 WOLF CREEK DEBT SERVICE FUND 1,751.56 476 CFD 03-6 HARVESTON 2 DEBT SERVICE FUND 1,702.79 477 CFD 03-02 RORIPAUGH DEBT SERVICE FUND 1,751.82 478 CFD 16-01 RORIPAUGH PHASE II 6,077.33 479 CFD 19-01 CYPRESS RIDGE 1,147.50 501 SERVICE LEVEL"C"ZONE 1 SADDLEWOOD 36.16 502 SERVICE LEVEL"C"ZONE 2 WINCHESTER CREEK 54.44 503 SERVICE LEVEL"C"ZONE 3 RANCHO HIGHLAND 74.17 504 SERVICE LEVEL"C"ZONE 4 THE VINEYARDS 70.22 505 SERVICE LEVEL"C"ZONE 5 SIGNET SERIES 72.53 506 SERVICE LEVEL"C"ZONE 6 WOODCREST COUNTRY 54.49 507 SERVICE LEVEL"C"ZONE 7 RIDGEVIEW 37.33 508 SERVICE LEVEL"C"ZONE 8 VILLAGE GROVE 2,433.94 509 SERVICE LEVEL"C"ZONE 9 RANCHO SOLANA 17.83 510 SERVICE LEVEL"C"ZONE 10 MARTINIQUE 18.40 511 SERVICE LEVEL"C"ZONE 11 MEADOWVIEW 18.01 512 SERVICE LEVEL"C"ZONE 12 VINTAGE HILLS 1,536.73 513 SERVICE LEVEL"C"ZONE 13 PRESLEY DEVELOP. 124.09 514 SERVICE LEVEL"C"ZONE 14 MORRISON HOMES 54.03 515 SERVICE LEVEL"C"ZONE 15 BARCLAY ESTATES 253.91 516 SERVICE LEVEL"C"ZONE 16 TRADEWINDS 195.54 517 SERVICE LEVEL"C"ZONE 17 MONTE VISTA 18.01 518 SERVICE LEVEL"C"ZONE 18 TEMEKU HILLS 178.07 519 SERVICE LEVEL"C"ZONE 19 CHANTEMAR 133.69 520 SERVICE LEVEL"C"ZONE 20 CROWNE HILL 3,058.98 521 SERVICE LEVEL"C"ZONE 21 VAIL RANCH 855.86 522 SERVICE LEVEL"C"ZONE 22 SUTTON PLACE 18.15 523 SERVICE LEVEL"C"ZONE 23 PHEASENT RUN 19.07 524 SERVICE LEVEL"C"ZONE 24 HARVESTON 2,397.53 525 SERVICE LEVEL"C"ZONE 25 SERENA HILLS 24.01 526 SERVICE LEVEL"C"ZONE 26 GALLERYTRADITION 62.70 527 SERVICE LEVEL"C"ZONE 27 AVONDALE 301.14 528 SERVICE LEVEL"C"ZONE 28 WOLF CREEK 1,585.24 529 SERVICE LEVEL"C"ZONE 29 GALLERY PORTRAIT 70.37 $ 5,720,699.15 CITY OF TEMECULA LIST OF DEMANDS PAYROLL: 001 GENERAL FUND 967,400.56 140 COMMUNITY DEV BLOCK GRANT 1,367.05 165 AFFORDABLE HOUSING 13,804.95 190 TEMECULA COMMUNITY SERVICES DISTRICT 427,482.32 194 TCSD SERVICE LEVEL D REFUSE RECYCLING 3,683.95 196 TCSD SERVICE LEVEL "L" LAKE PARK MAINT. 1,632.08 197 TEMECULA LIBRARY FUND 9,961.57 300 INSURANCE FUND 7,970.86 305 WORKERS' COMPENSATION 6,020.61 320 INFORMATION TECHNOLOGY 110,346.23 330 SUPPORT SERVICES 12,530.57 340 FACILITIES 26,641.95 472 CFD 01-2 HARVESTON A&B DEBT SERVICE 90.76 473 CFD 03-1 CROWNS HILL DEBT SERVICE FUND 90.76 475 CFD03-3 WOLF CREEK DEBT SERVICE FUND 272.47 476 CFD 03-6 HARVESTON 2 DEBT SERVICE FUND 90.76 477 CFD 03-02 RORIPAUGH DEBT SERVICE FUND 272.31 478 CFD 16-01 RORIPAUGH PHASE II 181.55 501 SERVICE LEVEL"C"ZONE 1 SADDLEWOOD 0.14 502 SERVICE LEVEL"C"ZONE 2 WINCHESTER CREEK 1.43 503 SERVICE LEVEL"C"ZONE 3 RANCHO HIGHLANDS 1.43 504 SERVICE LEVEL"C"ZONE 4 THE VINEYARDS (53.39) 505 SERVICE LEVEL"C"ZONE 5 SIGNET SERIES 1.45 506 SERVICE LEVEL"C"ZONE 6 WOODCREST COUNTRY 1.45 507 SERVICE LEVEL"C"ZONE 7 RIDGEVIEW 0.14 508 SERVICE LEVEL"C"ZONE 8 VILLAGE GROVE 745.15 509 SERVICE LEVEL"C"ZONE 9 RANCHO SOLANA 0.14 510 SERVICE LEVEL"C"ZONE 10 MARTINIQUE 1.45 511 SERVICE LEVEL"C"ZONE I I MEADOWVIEW 0.14 512 SERVICE LEVEL"C"ZONE 12 VINTAGE HILLS 372.54 513 SERVICE LEVEL"C"ZONE 13 PRESLEY DEVELOP. 36.52 514 SERVICE LEVEL"C"ZONE 14 MORRISON HOMES 0.14 515 SERVICE LEVEL"C"ZONE 15 BARCLAY ESTATES 0.14 516 SERVICE LEVEL"C"ZONE 16 TRADEWINDS 36.52 517 SERVICE LEVEL"C"ZONE 17 MONTE VISTA 0.14 518 SERVICE LEVEL"C"ZONE 18 TEMEKU HILLS 223.38 519 SERVICE LEVEL"C"ZONE 19 CHANTEMAR 312.85 520 SERVICE LEVEL"C"ZONE 20 CROWNE HILL 745.06 521 SERVICE LEVEL"C"ZONE 21 VAIL RANCH 1,393.52 522 SERVICE LEVEL"C"ZONE 22 SUTTON PLACE 0.14 523 SERVICE LEVEL"C"ZONE 23 PHEASENT RUN 2.86 524 SERVICE LEVEL"C"ZONE 24 HARVESTON 586.50 525 SERVICE LEVEL"C"ZONE 25 SERENA HILLS 73.18 526 SERVICE LEVEL"C"ZONE 26 GALLERYTRADITION 0.14 527 SERVICE LEVEL"C"ZONE 27 AVONDALE 1.43 528 SERVICE LEVEL"C"ZONE 28 WOLF CREEK 1,466.60 529 SERVICE LEVEL"C"ZONE 29 GALLERY PORTRAIT (0.10) 700 CERBT CALIFORNIA EE RETIREE-GASB45 63,427.24 TOTAL DISBURSEMENTS BY FUND: $ 1,659,219.64 $ 7,379,918.79 apChkLst 11/30/2021 11:22: 58AM Final Check List CITY OF TEMECULA Bank: eunion EFT UNION BANK Check # Date Vendor Description 501416 12/2/2021 009374 ALLEGRO MUSICAL VENTURES PIANO TUNING/MAINT: TPL DBA, ALLEGRO PIANO SERVICE 501417 12/2/2021 013015 ALWAYS RELIABLE BACKFLOW REPAIRS: VARIOUS BACKFLOW, AKA NANETTE PARKS SEMAN PIPE LEAK REPLAC FIRE STA 12: CIP: PV BACKFLOW REPAIRS: VARIOUS PARKS BACKFLOW TESTS: VARIOUS PARKS BACKFLOW TESTING: VARIOUS PARKS BACKFLOW REPAIR: OVERLAND BACKFLOW TESTING: FACILITIES: PW BACKFLOW REPAIR: JEFFERSON AVE M BACKFLOW TESTING: VARIOUS PARKS: BACKFLOW TESTING: VARIOUS MEDIAN BACKFLOW TESTING: RRSP 501418 12/2/2021 012951 APPLIED DEVELOPMENT LR21-0021 Quality of Life Master Plan ECONOMICS 501419 12/2/2021 013950 AQUA CHILL OF SAN DIEGO NOV DRINKING WTR MAINT: AQUATICS NOV DRINKING WTR MAINT: MPSC NOV DRINKING WTR MAINT: TCC NOV DRINKING WTR MAINT: JRC NOV DRINKING WTR MAINT: FOC NOV DRINKING WTR MAINT: TPL NOV DRINKING WTR MAINT: PW NOV DRINKING WTR MAINT: TVM NOV DRINKING WTR MAINT: INFO TECH 501420 12/2/2021 018408 BOB CALLAHAN'S POOL NOV POOL MAINT SVC: CRC & TESC SERVICE NOV FOUNTAIN MAINT SVC: OLD TOWN 501421 12/2/2021 004248 CALIF DEPT OF OCT FINGERPRINT SVCS: CLASSES: JUSTICE-ACCTING TCSD 501422 12/2/2021 016688 CALIFORNIA WATERSHED ENG DSGN SVCS: FLOOD CONTROL CORP, DBA CWE CHANNEL PW11-10 501423 12/2/2021 003997 COAST RECREATION INC MISC PLAYGROUND PARTS: PARKS: PW MISC PLAYGROUND PARTS: PARKS: PW 501424 12/2/2021 004412 COMPLETE TENNIS CAMP, TCSD INSTRUCTOR EARNINGS CTC TENNIS AKA KERRY LE 501425 12/2/2021 000442 COMPUTER ALERT SYSTEMS SVC CALL: OLD TOWN Amount Paid 225.00 2,710.00 2,471.85 630.00 486.00 270.00 240.00 216.00 200.00 189.00 54.00 27.00 5,837.08 67.34 34.75 28.28 28.28 28.28 28.28 28.28 28.28 28.28 1,100.00 950.00 1,070.00 1,060.00 7,158.70 893.01 606.38 80.00 Page: 1 Check Total 225.00 7,493.85 5,837.08 300.05 2,050.00 1,070.00 1,060.00 8,051.71 606.38 80.00 Page:1 apChkLst 11/30/2021 11:22:58AM Final Check List CITY OF TEMECULA Page: 2 Bank: eunion EFT UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 501426 12/2/2021 017542 COX, KRISTI LYN TCSD INSTRUCTOR EARNINGS 151.20 151.20 501427 12/2/2021 010650 CRAFTSMEN PLUMBING & BUILDING INSPECTION: CHILDRENS 875.00 HVAC INC MUSEUM SINK REPAIR: FIELD OPS CTR 240.00 1,115.00 501428 12/2/2021 022506 DESIGN PATH STUDIO Permit Ready Accessory Dwelling Unit 3,837.50 3,837.50 501429 12/2/2021 003945 DIAMOND ENVIRONMENTAL PORTABLE RESTROOM: VAIL RANCH 165.88 SRVCS PARK PORTABLE RESTROOM: RIVERTON PAR 110.88 PORTABLE RESTROOM: LONG CANYON 110.88 PORTABLE RESTROOM: VETERANS PAF 110.88 498.52 501430 12/2/2021 012747 EMERGENCY LIGHTING R&R LIGHTING SYSTEM BATTERIES: 14,161.92 14,161.92 EQUIPMENT, SERVICE THEATER COMPANY INC DBA: 501431 12/2/2021 010804 FEHR AND PEERS TRANSP 8,520.83 8,520.83 DISCOVERY/BENCHMARKING: PLAN 501432 12/2/2021 014865 FREIZE UHLER KIMBERLY DBA, POLO SHIRTS: STAFF: HR 214.61 214.61 CLEAR BLUE PROMOTIONS 501433 12/2/2021 020628 HASA INC POOL SANITIZING CHEMICALS: 826.61 826.61 VARIOUS POOLS 501434 12/2/2021 012285 JOHNSTONE SUPPLY MISC SUPPLIES: CIVIC CTR 2,195.05 2,195.05 501435 12/2/2021 021370 MARK THOMAS AND COMPANY DSGN & ENVIRO SVCS: CONG 18,533.57 18,533.57 INC RELIEF,PW19-02 501436 12/2/2021 018675 MDG ASSOCIATES INC OCT CDBG PRGM ADMIN: COM DEV 4,193.50 OCT CDBG-CV EMERGENCY RENTAL AS 2,220.00 OCT CDBG-CV EMERGENCY RENTAL AS 2,188.50 OCT CDBG-CV EMERGENCY RENTAL AS 835.50 9,437.50 501437 12/2/2021 018314 MICHAEL BAKER DSGN SVCS: TEMECULA PKWY 1,950.00 1,950.00 INTERNATIONAL PW18-11 501438 12/2/2021 012264 MIRANDA, JULIO C TCSD INSTRUCTOR EARNINGS 88.20 88.20 501439 12/2/2021 004043 MISSION ELECTRIC SUPPLY ELECTRICAL SUPPLIES: PARKS: PW 3,227.27 INC ELECTRICAL SUPPLIES: IWTCM 992.28 ELECTRICAL SUPPLIES: IWTCM 183.77 ELECTRICAL SUPPLIES: MRC 132.70 ELECTRICAL SUPPLIES: IWTCM 44.13 4,580.15 Paget apChkLst Final Check List Page: 3 11/30/2021 11:22:58AM CITY OF TEMECULA Bank: eunion EFT UNION BANK (Continued) Check # Date Vendor Description 501440 12/2/2021 009337 NV5 INC SEP PROJ MGT SVCS: MRC, PW17-21 501441 12/2/2021 021121 OCCUPATIONAL HEALTH CTR Medical Screenings: HR OF CA, DBA CONCENTRA MEDICAL CTR 501442 12/2/2021 021998 OLD TOWN TIRE AND SERVICE VEHICLE MAINT: PARKS: PW INC 501443 12/2/2021 022553 PAL GENERAL ENGINEERING 9/2-11/3 PARK & RIDE ACCESS INC IMPRVS, 18-1 501444 12/2/2021 020244 PLAYCORE WISCONSIN INC, MISC PLAYGROUND PARTS: PARKS DBA GAMETIME 501445 12/2/2021 022537 REFRIGERATION SUPPLIES, HVAC SUPPLIES: CIVC CTR DISTRIBUTOR 501446 12/2/2021 003591 RENES COMMERCIAL 11/16 HERBICIDE APPLICATION: CITY MANAGEMENT R-O-W CLEAN-UP SRVCS: CITYWIDE R-O-WS OCT SHOPPING CART CLEANUP: CITY P 11/10 HOMELESS ENCAMPMENT: TEM CI 501447 12/2/2021 002412 RICHARDS WATSON AND OCT 2021 LEGAL SERVICES GERSHON OCT 2021 LEGAL SERVICES SEPT 2021 LEGAL SERVICES 501448 12/2/2021 014347 ROBERTS, PATRICIA G. TCSD INSTRUCTOR EARNINGS 501449 12/2/2021 004274 SAFE AND SECURE LOCKSMITH SERVCIES: PW PARKS LOCKSMITH SRVC LOCKSMITH SRVCS: T. MUSEUM LOCKSMITH SERVCIES: PW PARKS 501450 12/2/2021 009452 STRAWN, WILLIAM REIMB:SUPPLIES FOR COMMUNITY THEATER REIMB:SUPPLIES FOR COMMUNITY THE 501451 12/2/2021 000668 TIMMY D PRODUCTIONS INC DJ/MC/SOUND SET-UP: TEM VLY YOUTH SYMPHO 501452 12/2/2021 003730 WEST COAST ARBORISTS INC 8/16-31 TREE MAINT: PARKS & MEDIANS 9/1-15 TREE MAINT SRVCS: CITY R-O-W 9/16-30 EMERG TREE MAINT: SLOPES 501453 12/2/2021 008402 WESTERN RIVERSIDE CO MSHCP FEE: PW11-10 JPR18-08-30-01 REG, CONSERVATION AUTHORITY Amount Paid Check Total 6,600.00 6,600.00 32.50 32.50 242.69 242.69 176, 788.49 176, 788.49 585.78 585.78 454.74 454.74 24,920.00 5,000.00 1,774.00 1,725.00 33,419.00 2,389.66 692.50 607.50 3,689.66 2,255.06 2,255.06 233.83 160.00 23.00 416.83 500.22 296.74 796.96 2,750.00 2,750.00 4,478.00 4,450.00 1,758.00 10,686.00 119.82 119.82 Page3 apChkLst Final Check List Page: 4 11/30/2021 11:22:58AM CITY OF TEMECULA Bank: eunion EFT UNION BANK Check # Date Vendor 501454 12/2/2021 021024 YANES BLANCAA, DBADE GANGE CONSULTING (Continued) Description Amount Paid Check Total AUG LDSCP PLN CK & INSPECTION: 25,772.00 PLNG OCT LDSCP PLN CK & INSPECTION: PLN 19,320.00 SEPT LDSCP PLN CK & INSPECTION: PL 15,862.50 Grand total for EFT UNION BANK: 60,954.50 392,676.76 Page:4 apChkLst Final Check List Page: 5 11/30/2021 11:22:58AM CITY OF TEMECULA 39 checks in this report. Grand Total All Checks: 392,676.76 Page:5 apChkLst Final Check List Page: 1 12/02/2021 4:13:36PM CITY OF TEMECULA Bank: union UNION BANK Check # Date Vendor Description 207419 12/2/2021 022723 WILCOX, SHARON C VETERINARY SVCS: ROSE PARADE: ECON DEV 207420 12/2/2021 022723 WILCOX, SHARON C TV HORSEWOMEN: ROSE PARADE 207421 12/2/2021 022723 WILCOX, SHARON C TV HORSEWOMEN: ROSE PARADE 207422 12/2/2021 020724 79 FIELD HOCKEY INC TCSD INSTRUCTOR EARNINGS 207423 12/2/2021 007282 AMAZON CAPITAL SERVICES MISC SUPPLIES: MPSC: TCSD INC MISC EQUIP - BC/CHIEF: FIRE DEPT MISC OFC SUPPLIES: HR MISC OFC SUPPLIES: PREVENTION: FIR MISC SUPPLIES: TVM: TCSD MISC OFC SUPPLIES: RECOGNITION PR MISC SUPPLIES: TVM: TCSD 207424 12/2/2021 004623 AQUA SOURCE INC VARIOUS SUPPLIES: AQUATICS 207425 12/2/2021 007065 B&H PHOTO & ELECTRONICS AV MOBILE CART. PEG CORP 207426 12/2/2021 015592 BAMM PROMOTIONAL UNIFORMS: STREETS: PW PRODUCTS INC 207427 12/2/2021 021439 BELLEVILLE, DON REIMB: STAFF TRAINING: CERTIFICATION 207428 12/2/2021 001323 BLUETRITON BRANDS INC, 10/11-11/10 WTR DLVRY SVC: FOC DBA READYREFRESH 9/11-10/10/21 WTR DLVRY SVC: FOC 207429 12/2/2021 022733 BRENIFF, JENNY PLEIN AIR COMPETITION AWARD: TCSD 207430 12/2/2021 021502 BUCHER, BRET PHILLIP TCSD INSTRUCTOR EARNINGS 207431 12/2/2021 003138 CAL MAT, DBAVULCAN ASPHALT SUPPLIES: STREET MAINT: MATERIALS CO PW ASPHALT SUPPLIES: STREET MAINT: PV1 ASPHALT SUPPLIES: STREET MAINT: PV1 ASPHALT SUPPLIES: STREET MAINT: PV1 207432 12/2/2021 000647 CALIF DEPT OF CONSUMER LICENSE RENEWAL: BENNETTS, S. AFFAIRS Amount Paid Check Total 4,512.50 4,512.50 4,512.50 4,512.50 240.00 240.00 1,344.00 1,344.00 237.36 200.79 136.07 116.83 104.69 65.22 49.56 910.52 1,929.88 1,929.88 3,987.27 3,987.27 197.73 197.73 636.87 636.87 145.98 71.08 217.06 500.00 500.00 1,232.00 1,232.00 529.17 526.76 408.06 165.04 1,629.03 180.00 180.00 Page:1 apChkLst Final Check List Page: 2 12/02/2021 4:13:36PM CITY OF TEMECULA Bank: union UNION BANK Check # Date Vendor 207433 12/2/2021 004462 CDW LLC, DBA CDW GOVERNMENT LLC 207434 12/2/2021 016446 CHRISTIAN STITCHERY INC, DBA SO CAL IMPRESSIONS 207435 12/2/2021 005410 COLE, THOMAS 207436 12/2/2021 011922 CORELOGIC INC, DBA CORELOGIC SOLUTIONS 207437 12/2/2021 013379 COSSOU, CELINE 207438 12/2/2021 001264 COSTCO TEMECULA 491 207439 12/2/2021 004329 COSTCO TEMECULA 491 207440 12/2/2021 012600 DAVID EVANS AND ASSOCIATES INC 207441 12/2/2021 002990 DAVID TURCH AND ASSOCIATES 207442 12/2/2021 015330 FAIR HOUSING COUNCIL, OF RIVERSIDE COUNTY INC 207443 12/2/2021 000165 FEDERAL EXPRESS INC (Continued) Description ETHERNET SWITCHES: TRAFFIC STAFF UNIFORMS: CRC: TCSD STAFF UNIFORMS: CRC: TCSD SPORTS UNIFORMS: SPORTS: TCSD SPORTS AWARDS: SPORTS: TCSD MISC PROMO ITEMS: SKATE PARK: TCSI SPORTS AWARDS: SPORTS: TCSD SPORTS AWARDS: SPORTS: TCSD SPORTS AWARDS: SPORTS: TCSD SPORTS AWARDS: SPORTS: TCSD SPORTS AWARDS: SPORTS: TCSD SPORTS AWARDS: SPORTS: TCSD SPORTS UNIFORMS: SPORTS: TCSD REIMB: UNIFORMS: CODE ENFORCEMENT OCT PROP ID SFTWR: CODE ENFORCEMENT TCSD INSTRUCTOR EARNINGS TCSD INSTRUCTOR EARNINGS HOSPITALITY & OFC SUPPLIES: THEATER HOSPITALITY & OFC SUPPLIES: THEATE MISC SUPPLIES: PLANNING COMM MTG PRGM & EVENT SUPPLIES:HUMAN SVCS:TCSD MISC SUPPLIES: SPECIAL EVENTS: TCS DSGN CONSULT SVCS: PICKLEBALL COURTS 21- DSGN SVCS: RECYCLED WATER PROJE OCT DSGN SVCS: DIAZ RD PROJ PW17-: OCT CONST BID SUPPOT: SANTA GERTF OCT FEDERAL LOBBYING SVCS: CITY MGR OCT CDBG SUB -RECIPIENT: FAIR HOUSING SVC SEP CDBG SUB -RECIPIENT: FAIR HOUSI AUG CDBG SUB -RECIPIENT: FAIR HOUSI JUL CDBG SUB -RECIPIENT: FAIR HOUSII EXP MAIL SVCS: FIRE DEPT Amount Paid Check Total 54,124.77 947.10 897.19 811.82 426.30 418.69 413.25 387.69 359.42 355.07 312.66 284.93 278.73 160.95 312.00 2,079.00 766.50 305.70 223.38 62.79 405.34 138.49 19,922.20 11,781.00 6,935.00 6,206.00 5,500.00 2,179.93 1,988.44 1,642.50 1,525.07 30.12 54,124.77 5,892.85 160.95 312.00 2,845.50 591.87 543.83 44,844.20 5,500.00 7,335.94 30.12 Paget apChkLst Final Check List Page: 3 12/02/2021 4:13:36PM CITY OF TEMECULA Bank: union UNION BANK (Continued) Check # Date Vendor Description 207444 12/2/2021 019177 GOSCH FORD TEMECULA MISC SVC/REPAIR: MPSC BUS: TCSD 207445 12/2/2021 003792 GRAINGER AIR HANDLER MOTOR: FACILITIES: PW 207446 12/2/2021 022737 GRAMMATICO, JOE REFUND: ENG DEPOSIT LD20-0635 207447 12/2/2021 013749 HELIXSTORM INC NIMBLE HPE MAINT & SUPPORT: INFO TECH 207448 12/2/2021 003198 HOME DEPOT MISC HRDWR SUPPLIES: IWTCM MISC HRDWR SUPPLIES: IWTCM 207449 12/2/2021 022732 HUFF, VICTORIA PLEIN AIR COMPETITION AWARD: TCSD 207450 12/2/2021 022569 INLAND FLEET SOLUTIONS INC EQUIP REPAIRS: STREETS: PW EQUIP REPAIRS: STREETS: PW EQUIP REPAIRS: STREETS: PW EQUIP REPAIRS: STREETS: PW EQUIP REPAIRS: STREETS: PW 207451 12/2/2021 009693 INLAND VALLEY CLASSICAL TIX: NUTCRACKER BALLET 11/26 - BALLET 11/28 207452 12/2/2021 017118 KRACH BREE B, DBA ENGRAVING SVCS: PLAQUES: TCSD TEMECULA TROPHY& DES 207453 12/2/2021 010204 M T G L INC GEOTECH SVCS: PAVEMENT REHAB BUTTERFIELD 207454 12/2/2021 003782 MAIN STREET SIGNS, DBA STREET SIGN NAME: HR DEPT ATHACO INC VARIOUS SIGNS & SUPPLIES:PARKS: PV 207455 12/2/2021 022744 MANUFACTURER'S & TRADERS MRAP MORTGAGE GRANT RECIPIENT TRUST, DBA M&T BANK 1/3 207456 12/2/2021 022572 MERRIFIELD, KRISTIN TCSD INSTRUCTOR EARNINGS 207457 12/2/2021 013443 MIDWEST TAPE LLC BOOKS ON TAPE: LIBRARY BOOKS ON TAPE: LIBRARY 207458 12/2/2021 022675 MOORE, CHRISTOPHER M STTLMNT: HEY KING! @ THE MERC 11/19 207459 12/2/2021 001214 MORNINGSTAR PRODUCTIONS LIGHT FIXTURE: CIVIC CTR LLC Amount Paid Check Total 146.76 146.76 1,024.62 1,024.62 3,000.00 3,000.00 70,212.60 70,212.60 455.95 216.18 672.13 100.00 100.00 115.50 115.50 115.50 115.50 115.50 577.50 20,681.47 20,681.47 72.86 72.86 20,936.00 20,936.00 67.82 64.60 132.42 2,293.00 2,293.00 2,058.00 2,058.00 88.17 44.69 132.86 518.01 518.01 1,972.18 1,972.18 Page:3 apChkLst Final Check List Page: 4 12/02/2021 4:13:36PM CITY OF TEMECULA Bank: union UNION BANK (Continued) Check # Date Vendor Description 207460 12/2/2021 000209 NUTRIEN AG SOLUTIONS INC, SMALL EQUIPMENT REPAIRS: PARKS: DBA CROP PRODUCTION PW SRVCS SMALL EQUIPMENT REPAIRS: PARKS: PI 207461 12/2/2021 016585 PACIFIC PLAY SYSTEMS INC MISC PLYGRD PARTS: M NAGGAR PK: PW 207462 12/2/2021 003663 PECHANGA BAND OF CULTURAL RSCS MONITORING: CIP: LUISENO, MISSION INDIANS PW CULTRL RSCS MONITORING: CIP: PW 207463 12/2/2021 022693 PHH MORTGAGE MRAP MORTGAGE GRANT RECIPIENT CORPORATION, DBA PHH 3/3 MORTGAGE SERVICES 207464 12/2/2021 022736 POLAR ENGRAVING CORPORATION, DBA POLAR ENGRAVING 207465 12/2/2021 010338 POOLAND ELECTRICAL, PRODUCTS INC 207466 12/2/2021 022743 PORTOFINO DEVELOPMENT LP, DBA PORTOFINO APARTMENTS BRICK ENGRAVING: PARKS: PW VARIOUS SUPPLIES: AQUATICS CHEMICALS & PARTS: SPLASH PAD: PAF MRAP RENTALASSIST. GRANT RECIPIENT Amount Paid Check Total 145.62 134.46 5,628.00 2,820.34 1,997.04 2,571.90 68.50 1,019.18 597.28 6,075.00 280.08 5,628.00 4,817.38 2,571.90 68.50 1,616.46 6,075.00 Page:4 apChkLst Final Check List Page: 5 12/02/2021 4:13:36PM CITY OF TEMECULA Bank: union UNION BANK Check # Date Vendor 207467 12/2/2021 005075 PRUDENTIAL OVERALL SUPPLY 207468 12/2/2021 009066 RADAR SHOP INC, THE 207469 12/2/2021 020774 RADIANT GLOBAL LOGISTICS INC, DBAAIRGROUP CORP 207470 12/2/2021 000411 RIVERSIDE CO FLOOD CONTROLAND, WATER CONSERVATION DIST 207471 12/2/2021 001097 ROADLINE PRODUCTS INC (Continued) Description Amount Paid Check Total 11/9 UNIFORM RENTAL: STREET 230.39 MAINT: PW 9/21 UNIFORM RENTALS: PW PARKS 87.96 11/09 UNIFORM RENTAL: PARKS: PW 65.49 8/31 UNIFORM RENTALS: PW PARKS 65.49 10/5 UNIFORM RENTALS: PW PARKS 65.49 9/7 UNIFORM RENTALS: PW PARKS 63.06 9/28 FLOOR MATS/TOWEL RENTALS: FO 9.70 10/5 FLOOR MATS/TOWEL RENTALS: FO 9.70 10/19 FLOOR MATS/TOWEL RENTALS: F( 9.70 11/9 FLOOR MATS/TOWEL RENTALS: FOi 9.70 8/24 FLOOR MATS/TOWEL RENTALS: FO 9.70 9/7 FLOOR MATS/ TOWEL RENTALS: FOC 9.70 8/31 FLOOR MATS/ TOWEL RENTALS: FC 9.70 9/21 FLOOR MATS/TOWEL RENTALS: FO, 9.70 9/14 FLOOR MATS/TOWEL RENTALS: FO 9.70 8/19 FLOOR MATS/TOWEL RENTALS: MP 23.15 8/26 FLOOR MATS/TOWEL RENTALS: MP 23.15 9/9: FLOOR MATS/TOWEL RENTALS: MP: 23.15 9/23 FLOOR MATS/TOWEL RENTALS: MP 23.15 10/7 FLOOR MATS/TOWEL RENTALS: MP 23.15 10/21 FLOOR MATS/TOWEL RENTALS: M 23.15 8/24 UNIFORM RENTALS: STREETS: PW 52.34 8/31 UNIFORM RENTALS: PW STREET M, 52.34 9/7 UNIFORM RENTALS: PW STREET MA 52.34 9/14 UNIFORM RENTALS: PW STREET M, 52.34 10/5 UNIFORM RENTALS: PW STREET M, 52.34 10/12 UNIFORM RENTALS: PW STREET 52.34 9/14 UNIFORM RENTALS: PW PARKS 63.06 9/28 UNIFORM RENTALS: PW PARKS 63.06 10/19 UNIFORM RENTALS: PW PARKS 63.06 10/12 UNIFORM RENTALS: PW PARKS 63.06 9/21 UNIFORM RENTALS: PW PARKS 57.19 9/28 UNIFORM RENTALS: PW STREET M, 57.19 LIDAR REPAIR & MAINT: PD 665.00 EXHIBIT SHIPPING FEE: TVM: TCSD 1,455.00 ADD'L DEP REQUIRED: S. GERTRUDIS 1,000.00 CRK 11/9 CHANGES: S. GERTRUDIS CRK 478.19 TRAFFIC SUPPLIES: STREETS: PW 4,003.06 GRACO LINE LAZIER REPAIR: STREETS: 764.30 1,484.74 665.00 1,455.00 1,478.19 4,767.36 Page:5 apChkLst 12/02/2021 4:13:36PM Final Check List CITY OF TEMECULA Bank: union UNION BANK (Continued) Check # Date Vendor Description 207472 12/2/2021 017549 ROSEN AND ROSEN MISC UNIFORMS: PARKS & STREETS: INDUSTRIES INC, DBA RAND R PW INDUSTRIES 207473 12/2/2021 009980 SANBORN GWYNETH A, CO COUNTRY LIVE! @ THE MERC 11/20 TEMECULA MUSIC ACADEMY 207474 12/2/2021 017699 SARNOWSKI SHAWNA M PHOTOGRAPHY SVCS: ROD RUN PRESTON CRUISE 11/5 PHOTOGRAPHY SVCS: ROD RUN SHOW PHOTOGRAPHY SVCS: SALUTE TO VETI VIDEO SVCS: ROD RUN DRONE 11/5 PHOTOGRAHY SVCS: AOTW 11/12 207475 12/2/2021 017113 SCHOLASTIC LIBRARY MISC BOOKS: RHRTPL-TCSD PUBLISHING, 207476 12/2/2021 015364 SEASIDE ICE LLC, DBA ICE OUTDOOR SKATING RINK: OLD TOWN: AMERICA TCSD 207477 12/2/2021 020922 SHARP, ANISSA REIMB: PTSC MTG 12/1/21: TRAFFIC: PW 207478 12/2/2021 002503 SOUTH COAST AIR QUALITY, FY21/22: OPERATING FEES: FOC MANAGEMENT DISTRICT FY21-22 FLAT FEE-LST FY EMISSIONS: F 207479 12/2/2021 000519 SOUTH COUNTY PEST PEST CONTROL SRVCS: TCC CONTROL INC PEST CONTROL: PARKS: PW PEST CONTROL: PARKS: PW PEST CONTROL: PARKS: PW PEST CONTROL SRVCS: CRC PEST CONTROL: FIRE STA 95 OCT PEST CONTROL: FOC PEST CONTROL SRVCS: MRC PEST CONTROL SRVCS: DUCK POND PEST CONTROL: PARKS: PW PEST CONTROL: TVM PEST CONTROL SRVCS: TVM 207480 12/2/2021 019250 ST FRANCIS ELECTRIC LLC REPLACE TRAFFIC POLE: PW TRAFFIC TRAFFIC SIGNAL MAINT: PW TRAFFIC 207481 12/2/2021 008337 STAPLES BUSINESS CREDIT MISC OFC SUPPLIES: OLD TOWN STOREFRONT 207482 12/2/2021 013828 STAR WAY SYSTEMS CORP RENTALS: AUDIO EQUIP: ROD RUN 207483 12/2/2021 015648 STEIN ANDREW, DBA PARKINK MISC SUPPLIES/MERCHANDISE: TCSD Amount Paid 3,390.38 787.50 275.00 275.00 220.00 200.00 170.00 20.39 18,125.00 97.71 440.15 142.59 123.00 94.00 94.00 94.00 90.00 80.00 52.00 49.00 49.00 49.00 42.00 32.00 8,125.00 1,700.10 237.63 2,010.00 1,329.98 Page: 6 Check Total 3,390.38 787.50 1,140.00 20.39 18,125.00 97.71 582.74 848.00 9,825.10 237.63 2,010.00 1,329.98 Page.-6 apChkLst Final Check List Page: 7 12/02/2021 4:13:36PM CITY OF TEMECULA Bank: union UNION BANK (Continued) Check # Date Vendor Description 207484 12/2/2021 022489 STILGEBOUER, JASON, DBA CRUISING THROUGH TEMECULA DUSTY SUMMIT PHOTO SERIES 207485 12/2/2021 013551 SUMMERHOUSE HOUSING MRAP RENTALASSIST. GRANT ASSOC RECIPIENT 207486 12/2/2021 003941 TEMECULA WINNELSON PLUMBING SUPPLIES: CIVIC CTR COMPANY 207487 12/2/2021 022734 THOMAS, PATRICIA ELIN PLEIN AIR COMPETITION AWARD: TCSD 207488 12/2/2021 019832 TRAUMA INTERVENTION TRAUMA INTERVENTION PRGRM: FIRE PRGMS OF, SW RIVERSIDE DEPT COUNTY INC 207489 12/2/2021 022735 TRINH, JOYCE PLEIN AIR COMPETITION AWARD: TCSD 207490 12/2/2021 022102 UNITED PARCEL SERVICES EXPRESS MAIL SRVCS: CODE ENF INC 207491 12/2/2021 007987 WALMART THEATER HOSPITALITY & SUPPLIES MISC SUPPLIES: HOLIDAY PARADE REC SUPPLIES: TEEN ZONE/CRC MISC SUPPLIES: FACS SUPPLIES: TCSD MISC SUPPLIES: HELP CTR MISC SUPPLIES: FACILITY SUPPLIES REC SUPPLIES: TEEN ZONE/CRC MISC SUPPLIES- TVM/SECOND SATURD. THEATER HOSPITALITY & SUPPLIES MISC SUPPLIES: TVM/ACE - TCSD 207492 12/2/2021 020193 WHITE CAP LP SAFETY FENCE FOR EVENT: ROD RUN:TCSD Amount Paid Check Total 300.00 2,718.00 663.88 200.00 10,000.00 75.00 90.41 575.23 472.41 335.69 179.50 150.61 124.32 62.15 53.70 43.74 22.73 2,120.81 Grand total for UNION BANK: 300.00 2,718.00 663.88 200.00 10,000.00 75.00 90.41 2,020.08 2,120.81 356,232.02 Page:? apChkLst Final Check List Page: 8 12/02/2021 4:13:36PM CITY OF TEMECULA 74 checks in this report. Grand Total All Checks: 356,232.02 Page:8 apChkLst Final Check List Page: 1 12/02/2021 4:45:56PM CITY OF TEMECULA Bank: union UNION BANK Check # Date Vendor Description 12313 11/22/2021 000537 SO CALIF EDISON OCT 600001004059 41320 BUTTERFIELD STG 12322 11/24/2021 000444 INSTATAX (EDD) STATE TAX PAYMENT 12323 11/24/2021 000283 INSTATAX (IRS) FEDERAL TAX PAYMENT 207493 12/2/2021 021851 CALIF NEWSPAPERS SEPT PUBLIC NTCADS: PLANNING PARTNERSHIP, DBA SO CALIF NEWS GROUP Amount Paid Check Total 20,088.02 36,405.13 114,290.85 3,229.00 207494 12/2/2021 013982 M C I COMM SERVICE NOV 7DK89878 XXX-0714 GEN USAGE 38.26 MALL PD NOV 7DK90589 XXX-0346 GEN USAGE 36.45 207495 12/2/2021 022742 TRAN, HONGLE REFUND: WEED ABATEMENT CITATION 650.00 Grand total for UNION BANK: 20,088.02 36,405.13 114,290.85 3,229.00 74.71 650.00 174,737.71 Page:1 apChkLst Final Check List Page: 2 12/02/2021 4:45:56PM CITY OF TEMECULA 6 checks in this report. Grand Total All Checks: 174,737.71 Paget apChkLst Final Check List Page: 1 12/07/2021 3:16:05PM CITY OF TEMECULA Bank: eunion EFT UNION BANK Check # Date Vendor Description 501455 12/9/2021 010851 ADAMIAK, DAWN REIMB: RFRSHMNTS: ROD RUN: TCSD 501456 12/9/2021 004802 ADLERHORST INTERNATIONAL NOV K9 TRAINING: KING/MUSHINSKIE: LLC POLICE 501457 12/9/2021 009374 ALLEGRO MUSICAL VENTURES PIANO TUNING/MAINT: THEATER DBA, ALLEGRO PIANO SERVICE 501458 12/9/2021 004240 AMERICAN FORENSIC NURSES DRUG/ALCOHOL ANALYSIS: TEM AFN SHERIFF 501459 12/9/2021 021670 ANLIND OF TEMECULA INC, VEH REPAIR/MAINT: TRAFFIC: POLICE TEMECULA HARLEY-DAVIDSON VEH REPAIR/MAINT: TRAFFIC: POLICE VEH REPAIR/MAINT: TRAFFIC: POLICE 501460 12/9/2021 013950 AQUA CHILL OF SAN DIEGO NOV DRINKING WTR MAINT: THEATER 501461 12/9/2021 021400 AYERS ELECTRIC INC ELECTRICAL REPAIR: FIRE STA 95 ELECTRICAL REPAIRS: WOLF CREEK BF ELECTRICAL LABOR: ANTENNA EQPMNI ELECTRICAL REPAIRS: IWTCM ELECTRICAL LABOR: POOL LIGHTING: C ELECTRICAL REPAIRS: FIRE STA 95 501462 12/9/2021 022651 BRAND ASSASSINS CITYWIDE BANNER PRGM: ECON DEV 501463 12/9/2021 022670 BROWN, JAMAL DEON TCSD INSTRUCTOR EARNINGS 501464 12/9/2021 004248 CALIF DEPT OF OCT BLOOD &ALCOHOL ANALYSIS: PD JUSTICE-ACCTING OCT FINGERPRINT SVCS: POLICE DEPT OCT FINGERPRINT SVCS: HR 501465 12/9/2021 000442 COMPUTER ALERT SYSTEMS SMOKE DETECTORS: FIRE STA92 501466 12/9/2021 010650 CRAFTSMEN PLUMBING & APPLIANCE REPAIR: FIRE STA 92 HVAC INC 501467 12/9/2021 020436 CRONBERG, RICHARD N TCSD INSTRUCTOR EARNINGS 501468 12/9/2021 004382 DEKRA LITE INC OLD TOWN LIGHTING/DECOR: TCSD Amount Paid Check Total 105.12 105.12 350.00 350.00 260.00 260.00 180.60 180.60 348.02 1,019.13 419.80 1,786.95 28.28 28.28 800.00 400.00 1,700.00 900.00 300.00 200.00 4,300.00 2,143.17 2,143.17 2,002.00 2,002.00 735.00 2,324.00 196.00 3,255.00 936.00 936.00 360.00 360.00 168.00 168.00 5,051.80 5,051.80 Page:1 apChkLst 12/07/2021 3:16:05PM Final Check List CITY OF TEMECULA Page: 2 Bank: eunion EFT UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 501469 12/9/2021 003945 DIAMOND ENVIRONMENTAL TEMPORARY FENCING: JRC 95.00 SRVCS RESTROOM/BARRICADE RENTAL: TCSD 14,206.50 PORTABLE RESTROOM & SINK RENTAL: 126.78 14,428.28 501470 12/9/2021 004192 DOWNS ENERGY FUEL FUEL FOR CITY VEHICLES: POLICE 54.20 DEPT FUEL FOR CITY VEHICLES: PARK MAINT 1,743.88 FUEL FOR CITY VEHICLES: BLDG & SAFI 233.73 FUEL FOR CITY VEHICLES: CODE ENFO, 50.70 FUEL FOR CITY VEHICLES: INFO TECH 57.82 FUEL FOR CITY VEHICLES: STREET MAI 1,014.94 FUEL FOR CITY VEHICLES: TCSD 662.08 FUEL FOR CITY VEHICLES: FIRE DEPT 89.46 FUEL FOR CITY VEHICLES: TCSD 194.96 FUEL FOR CITY VEHICLES: FIRE DEPT 51.63 FUEL FOR CITY VEHICLES: TRAFFIC: PN 334.24 FUEL FOR CITY VEHICLES: CIP 41.78 FUEL FOR CITY VEHICLES: LAND DEV: F 101.84 4,631.26 501471 12/9/2021 004068 ECALDRE MANALILI-DE VILLA, TCSD INSTRUCTOR EARNINGS 1,519.88 1,519.88 AILEEN 501472 12/9/2021 021412 EIDE BAILLY LLP CITY ANNUAL STREET REPORT: 2,800.00 2,800.00 FINANCE 501473 12/9/2021 011202 EMH SPORTS USA INC TCSD INSTRUCTOR EARNINGS 322.00 322.00 501474 12/9/2021 017135 FOX, STACY REIMB: DUES & MEMBERSHIP: FOX 394.00 394.00 501475 12/9/2021 000177 GLENNIES OFFICE PRODUCTS MISC OFC SUPPLIES: CODE 77.26 INC ENFORCEMENT MISC OFC SUPPLIES: STREET MAINT: P1 171.78 MISC OFC SUPPLIES: STREET MAINT: P\ 28.75 MISC OFC SUPPLIES: STREETS: PW 63.86 341.65 501476 12/9/2021 022530 HINER, DOUGLAS, DOUGLAS ADULT SOFTBALL OFFICIATING SVCS: 2,814.00 HINER UMPIRING SPORTS ADULT SOFTBALL OFFICIATING SVCS: S 1,050.00 3,864.00 501477 12/9/2021 003726 LIFE ASSIST INC EMERGENCY EQPMNT: AQUATICS: 422.39 422.39 TCSD 501478 12/9/2021 022598 MCE CORPORATION OCT LDSCP MAINT: 66,484.53 66,484.53 SCHOOLS/SPORTS PARKS 501479 12/9/2021 012264 MIRANDA, JULIO C TCSD INSTRUCTOR EARNINGS 1,482.60 1,482.60 Paget apChkLst 12/07/2021 3:16:05PM Final Check List CITY OF TEMECULA Page: 3 Bank: eunion EFT UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 501480 12/9/2021 004043 MISSION ELECTRIC SUPPLY ELECTRICAL SUPPLIES: IWTCM 107.59 INC LED LIGHT FIXTURES: CRC PARKING LC 11,866.14 ELECTRICAL SUPPLIES: PARKS: PW 45.77 12,019.50 501481 12/9/2021 022599 NIEVES LANDSCAPE INC NOV LDSCP MAINT: 66,484.53 SCHOOLS/SPORTS: PARKS IRRIGATION REPAIRS: MEDIANS 529.02 IRRIGATION REPAIRS: MEDIANS 303.39 IRRIGATION REPAIRS: PARKS/FLOOD C1 104.65 IRRIGATION REPAIR: MEDIANS 329.17 IRRIGATION REPAIRS: SLOPES 501.41 IRRIGATION REPAIRS: SLOPES 254.59 IRRIGATION REPAIR: PARK & RIDE LOT 104.65 IRRIGATION REPAIRS: MEDIANS 423.75 IRRIGATION REPAIRS: MEDIANS 88.35 IRRIGATION REPAIRS: PARKS/FLOOD C1 177.43 IRRIGATION REPAIRS: PARKS/FLOOD C1 66.59 IRRIGATION REPAIR: MEDIANS 354.87 69,722.40 501482 12/9/2021 021998 OLD TOWN TIRE AND SERVICE VEH MAINT & REPAIR: STREET MAINT: 105.97 INC PW CITY VEHICLE MAINT SVCS: PW PARKS 44.13 VEHICLE MAINTENANCE: PARKS/FACILF 1,139.73 VEHICLE REPAIRS LAND DEV: PW 70.24 1,360.07 501483 12/9/2021 022553 PAL GENERAL ENGINEERING 11/23 PARK & RIDE ACCESS IMPRVS, 2,712.68 2,712.68 INC 18-11 501484 12/9/2021 020544 PARKHOUSE TIRE SERVICE TIRE SVC: STREET MAINT: PW 1,204.12 1,204.12 INC 501485 12/9/2021 012904 PROACTIVE FIRE DESIGN PLAN REVIEW SVC: PREVENTION: 8,703.90 8,703.90 AND, CONSULTING FIRE DEPT 501486 12/9/2021 022537 REFRIGERATION SUPPLIES, HVAC SUPPLIES: IWTCM 70.87 DISTRIBUTOR HVAC SUPPLIES: LIBRARY 284.05 HVAC SUPPLIES: THEATER 52.48 HVAC SUPPLIES: CIVC CTR 198.98 HVAC SUPPLIES: CIVC CTR 57.10 663.48 501487 12/9/2021 020429 REMOTE SATELLITE SYSTEMS OCT'21 SAT PH AIRTIME/NOV FEE: 280.00 280.00 INTL EOC 501488 12/9/2021 003591 RENES COMMERCIAL CLEAN-UP SVCS: SPECIAL EVENTS: 7,975.00 MANAGEMENT TCSD HERBICIDE APPLICATION: CITY LOTS 13,520.50 21,495.50 Page:3 apChkLst Final Check List Page: 4 12/07/2021 3:16:05PM CITY OF TEMECULA Bank: eunion EFT UNION BANK Check # Date Vendor 501489 12/9/2021 002412 RICHARDS WATSON AND GERSHON 501490 12/9/2021 005585 ROMINE, MARIA 501491 12/9/2021 009213 SHERRY BERRY MUSIC 501492 12/9/2021 009746 SIGNS BY TOMORROW 501493 12/9/2021 000645 SMARTAND FINAL INC 501494 12/9/2021 014783 SOFTRESOURCES, LLC 501495 12/9/2021 006145 STENO SOLUTIONS TRANSCRIPTION, SRVCS INC 501496 12/9/2021 008977 VALLEY EVENTS INC 501497 12/9/2021 009101 VISION ONE INC, DBA ACCESSO 501498 12/9/2021 018147 WADDLETON, JEFFREY L 501499 12/9/2021 001881 WATER SAFETY PRODUCTS INC (Continued) Description Amount Paid Check Total OCT 2021 LEGAL SERVICES 3,472.00 OCT 2021 LEGAL SERVICES 1,957.50 OCT 2021 LEGAL SERVICES 7,121.26 OCT 2021 LEGAL SERVICES 3,671.50 OCT 2021 LEGAL SERVICES 495.00 OCT 2021 LEGAL SERVICES 9,343.00 OCT 2021 LEGAL SERVICES 1,363.00 OCT 2021 LEGAL SERVICES 261.00 OCT 2021 LEGAL SERVICES 435.00 OCT 2021 LEGAL SERVICES 1,848.00 OCT 2021 LEGAL SERVICES 470.00 OCT 2021 LEGAL SERVICES 58.00 OCT 2021 LEGAL SERVICES 4,371.00 OCT 2021 LEGAL SERVICES 16,271.27 OCT 2021 LEGAL SERVICES 1,566.00 52,703.53 REIMB: UNIFORMS: CODE 171.04 171.04 ENFORCEMENT JAZZ @ THE MERC 11/18/21 515.00 JAZZ @ THE MERC 12/2/21 785.00 1,300.00 MISC SIGNAGE:SPECIAL 566.48 566.48 EVENTS:TCSD REFRESHMENTS: SANTA'S PARADE 287.29 REFRESHMENTS: HUMAN SRVCS EVEN 541.39 828.68 Consulting:financial sys upgrade Munis 1,295.00 1,295.00 TRANSCRIPTION SVCS: TEM SHERIFF 152.46 152.46 RENTALS/SANTA: SPECIAL EVENTS: 200.00 TCSD SANTA: SPECIAL EVENTS: TCSD 250.00 RENTALS/SANTA: SPECIAL EVENTS: TC: 375.00 825.00 OCT SHOWARE TICKETING SVCS: 4,076.40 4,076.40 THEATER DJ/MC/SOUND SVCS: SPECIAL 525.00 EVENTS:TCSD DJ/MC SVCS- HIGH HOPES: TCSD 525.00 DJ/MC SVCS- CRC: TCSD 525.00 1,575.00 POOL SUPPLIES: AQUATICS 228.52 228.52 Page:4 apChkLst Final Check List Page: 5 12/07/2021 3:16:05PM CITY OF TEMECULA Bank: eunion EFT UNION BANK Check # Date Vendor 501500 12/9/2021 003730 WEST COAST ARBORISTS INC (Continued) Description Amount Paid Check Total TREE TRIMMING: VARIOUS PARKS 2,914.00 TREE TRIMMING: RIGHT OF WAY 1,414.00 TREE TRIMMING: CROWNE HILL SLOPE 540.00 TREE REMOVALS: HARVESTON SLOPE 2,074.00 Grand total for EFT UNION BANK: 6,942.00 306,443.27 Page:5 apChkLst Final Check List Page: 6 12/07/2021 3:16:05PM CITY OF TEMECULA 46 checks in this report. Grand Total All Checks: 306,443.27 Page6 apChkLst Final Check List Page: 1 12/09/2021 4:53:43PM CITY OF TEMECULA Bank: union UNION BANK Check # Date Vendor 12264 11/9/2021 006887 UNION BANK OF CALIFORNIA 000515 TEMECULA VALLEY CHAMBER OF, COMMERCE 013338 APPLE STORE 013338 APPLE STORE 000867 WESTIN HOTEL, THE 000867 WESTIN HOTEL, THE 12266 11/9/2021 006887 UNION BANK OF CALIFORNIA 022607 CMC RESCUE 022609 DH GRAPHICS 022748 BLACKHELMETAPPAREL.COM 008669 VONS 022749 LONG, JUSTIN, DBA FIRELINE DESIGN 022536 U GYM LLC, DBA UFC GYM 001264 COSTCO TEMECULA 491 013338 APPLE STORE 018925 MEMORABLE BITES LLC, DBA FIREHOUSE SUBS 207496 12/3/2021 003747 FINE ARTS NETWORK AKA THEATRE, CO AND BALLET THEATER 207497 12/9/2021 003951 ALL AMERICAN ASPHALT 207498 12/9/2021 010905 ALLIED TRAFFIC & EQUIPMENT. RENTALS INC 207499 12/9/2021 007282 AMAZON CAPITAL SERVICES INC Description Amount Paid Check Total MH REGIST: STATE OF THE CITY: INFO 120.00 TECH MH IPAD KEYBOARD: RUSSO, E. 325.16 MH IPAD KEYBOARD: GARIBAY, I. 325.16 MH LODGING: MISAC CONF: CROWELL 652.32 MH LODGING: MISAC CONF: PATRICK 652.32 2,074.96 JC RESCUE EQUIPMENT: FIRE DEPT 84.83 JC DECALS FOR STATION FLAG BINS: 47.63 FIRE JC REMEMBERANCE PINS: FIRE 274.04 STAFF 9/11 JC RFRSHMNTS: CLINICIANS: FIRE 317.85 DEPT JC LOGO DESIGN: BATTALION 15: FIRE 250.00 DEPT JC ANNUAL MAINT FEE: FIRE DEPT 49.00 JC ADD'L PHONE STORAGE: MILLER, 0.99 W. JC RFRSHMNTS: ADULT CERT CLASS: 1,239.87 2,318.58 09/23 ADV: TICKET SALES: NUTCRACKER 3,000.00 3,000.00 BALLET ASPHALT SUPPLIES: STREET MAINT: 378.78 PW PARKING LOT BASE MATERIAL: OLD TO1 15,997.16 PARKING LOT BASE MATERIAL: OLD TO\ 4,536.53 20,912.47 LIGHT TOWER RENTAL: SPEC EVENTS 460.00 460.00 TCSD MISC SUPPLIES: TVM: TCSD 154.83 MISC SUPPLIES: ECO DEV 107.75 MISC ERGO SMALL TOOLS/EQPMNT: RI: 735.20 MISC OFC SUPPLIES: PREVENTION: FIR -59.76 MISC EQUIP: BC/CHIEF: FIRE DEPT 155.68 MISC OFC SUPPLIES: STREET MAINT: P1 143.52 1,237.22 Page:1 apChkLst Final Check List Page: 2 12/09/2021 4:53:43PM CITY OF TEMECULA Bank: union UNION BANK Check # Date Vendor 207500 12/9/2021 017149 B G P RECREATION INC 207501 12/9/2021 011954 BAKER AND TAYLOR INC (Continued) Description TCSD INSTRUCTOR EARNINGS BOOK COLLECTIONS: RHRPTL: TCSD BOOK COLLECTIONS: RHRPTL: TCSD BOOK COLLECTIONS: RHRPTL: TCSD BOOK COLLECTIONS: RHRPTL: TCSD BOOK COLLECTIONS: RHRPTL: TCSD BOOK COLLECTIONS: RHRPTL: TCSD BOOK COLLECTIONS: RHRPTL: TCSD 207502 12/9/2021 006254 BALLET FOLKLORICO, AKA TCSD INSTRUCTOR EARNINGS LORENAHANCOCK 207503 12/9/2021 015592 BAMM PROMOTIONAL STAFF UNIFORMS: CONTRACT PRODUCTS INC CLASSES:TCSD 207504 12/9/2021 001323 BLUETRITON BRANDS INC, 10/15-11/14 WTR DLVRY SVC: TVE2 DBA READYREFRESH 207505 12/9/2021 011348 BONCOR WATER SYSTEMS 11/11-12/08 WTR FILTER: FIRE STA 73 LLC, DBA SUNSHINE WATER SOFT 207506 12/9/2021 003138 CAL MAT, DBA VULCAN ASPHALT SUPPLIES: STREET MAINT: MATERIALS CO PW 207507 12/9/2021 004971 CANON FINANCIAL SERVICES NOV COPIER LEASE - CIVIC CTR INC 207508 12/9/2021 021054 CANTRELL, TINA J TCSD INSTRUCTOR EARNINGS 207509 12/9/2021 003775 CHAPARRAL HIGH SCHOOL HOLIDAY PARADE STIPEND: TCSD 207510 12/9/2021 005417 CINTAS PROTECTION NO 2, FIRSTAID KIT MAINT: RISK MGMT CINTAS FIRE 636525 FIRST AID KIT MAINT: RISK MGMT FIRST AID KIT MAINT: RISK MGMT FIRST AID KIT MAINT: RISK MGMT FIRST AID KIT MAINT: RISK MGMT FIRST AID KIT MAINT: RISK MGMT FIRST AID KIT MAINT: RISK MGMT FIRST AID KIT MAINT: RISK MGMT 207511 12/9/2021 004329 COSTCO TEMECULA 491 RFRSHMNTS:EVENTS/PRGRMS: MPSC: TCSD Amount Paid Check Total 14, 252.26 8.27 26.06 59.31 20.12 282.60 113.87 40.79 784.00 50.00 44.30 293.50 509.38 671.56 280.00 300.00 437.01 513.71 230.39 471.14 414.75 223.92 191.52 113.24 382.19 14, 252.26 551.02 784.00 50.00 44.30 293.50 509.38 671.56 280.00 300.00 2,595.68 382.19 Paget apChkLst Final Check List Page: 3 12/09/2021 4:53:43PM CITY OF TEMECULA Bank: union UNION BANK (Continued) Check # Date Vendor Description 207512 12/9/2021 017038 CPS HR CONSULTING RECLASSIFICATION STUDY: HR 207513 12/9/2021 012614 DBX INC OVERHEAD STREET SIGN REPLACEMENT 207514 12/9/2021 004222 DIAMONDBACK FIRE & EQUIPMENT MAINT: FIRE STA92 RESCUE, INC 207515 12/9/2021 013939 DOROTHY MCELHINNEY HOLIDAY PARADE STIPEND: TCSD MIDDLE SCH. 207516 12/9/2021 021859 EXP US SERVICES INC CONSULT SVCS: SANTA GERTRUDIS CRK TRAIL 207517 12/9/2021 017432 EYEMED VISION CARE VISION PLAN PAYMENT 207518 12/9/2021 019469 FALCON ENGINEERING CNSTRCTN MGMT SVCS: SANTA SERVICES GERTRUDIS CRK 207519 12/9/2021 003747 FINE ARTS NETWORK AKA TIX: NUTCRACKER BALLET 12/2-12/5 THEATRE, CO AND BALLET THEATER TICKET SALES ADVANCE: NUTCRAKER 1 207520 12/9/2021 016184 FUN EXPRESS LLC MISC SUPPLIES: SPECIAL EVENTS: TCSD 207521 12/9/2021 009608 GOLDEN VALLEY MUSIC STTLMNT: CLASSICS AT THE MERC SOCIETY, DBACACHAMBER 11/14 ORCHESTRA 207522 12/9/2021 008444 GREAT OAK HIGH SCHOOL HOLIDAY PARADE STIPEND: TCSD 207523 12/9/2021 000186 HANKS HARDWARE INC MISC MAINT SUPPLIES: TPL MISC SMALL TOOLS & EQUIP: PW: CIP MISC HRDWR SUPPLIES: FIRE DEPT MISC MAINT SUPPLIES: THEATER MISC MAINT SUPPLIES: CIVIC CTR/HAR\ MISC MAINT SUPPLIES: TVM MISC MAINT SUPPLIES: MPSC MISC MAINT SUPPLIES: IWTCM MISC MAINT SUPPLIES: STREETS: PW MAINTENANCE SUPPLIES: PARKS: PW MISC MAINT SUPPLIES: AQUATICS MISC MAINT SUPPLIES: CRC MISC MAINT SUPPLIES: OLD TOWN Amount Paid Check Total 375.00 375.00 54,200.00 54,200.00 676.34 676.34 200.00 200.00 8,304.01 8,304.01 1,672.65 1,672.65 57,687.38 57,687.38 18,987.60 10,000.00 28,987.60 713.62 713.62 465.50 465.50 300.00 300.00 8.59 43.50 384.05 54.15 1,840.28 154.81 58.98 55.46 2,319.35 727.93 57.11 30.31 3,588.63 9,323.15 Page:3 apChkLst Final Check List Page: 4 12/09/2021 4:53:43PM CITY OF TEMECULA Bank: union UNION BANK (Continued) Check # Date Vendor Description 207524 12/9/2021 021301 1 C M A RETIREMENT -PLAN ICMA- 401(A) RETIREMENT PLAN 106474 PAYMENT 207525 12/9/2021 000194 1 C M A RETIREMENT -PLAN ICMA-RC RETIREMENT TRUST 457 303355 PAYMENT 207526 12/9/2021 015358 KELLY PAPER COMPANY INC MISC PAPER SUPPLIES CENTRAL SVCS 207527 12/9/2021 022747 LAMB GREG, WOOD FIRE RFRSHMNTS: EOQ 12/16/21 PIZZA WAGON 207528 12/9/2021 010204 M T G L INC OCT MATUS TESTING SVCS: SLURRY SEAL PRG 207529 12/9/2021 003782 MAIN STREET SIGNS, DBA CITY STREET SIGNAGE: STREET ATHACO INC MAINT: PW OVERHEAD STREET NAME SIGN REPLA CITY STREET SIGNAGE: STREET MAINT: CITY STREET SIGNAGE: STREET MAINT: CITY STREET SIGNAGE: STREET MAINT: 207530 12/9/2021 017427 MATCHETT, VIVIAN TCSD INSTRUCTOR EARNINGS 207532 12/9/2021 003076 MET LIFE INSURANCE DENTAL HMO PAYMENT COMPANY 207533 12/9/2021 013443 MIDWEST TAPE LLC BOOKS ON TAPE: LIBRARY BOOKS ON TAPE: LIBRARY 207534 12/9/2021 022727 NSC GROUP LLC, NATIONAL SAFETY TRAINING VIDEOS: RISK SAFETY COMPLIANC MGMT 207535 12/9/2021 007197 PALOMAVALLEY HIGH HOLIDAY PARADE STIPEND: TCSD SCHOOL 207536 12/9/2021 005820 PRE -PAID LEGAL SERVICES PREPAID LEGAL SERVICES PAYMENT INC, DBA LEGALSHIELD 207537 12/9/2021 005075 PRUDENTIAL OVERALL 8/24 UNIFORM RENTALS: PW PARKS SUPPLY 3/23 UNIFORM RENTALS: PW PARKS 207538 12/9/2021 016931 REACH SPORTS MARKETING PLAYER LICENSE RENEWAL: RHRTPL: GROUP, DBA REACH TCSD 207539 12/9/2021 022740 REYES, RAYMOND RELEASE CLAIMS SETTLEMENT: REYES Amount Paid Check Total 1,134.62 1,134.62 14,817.29 14,817.29 1,263.08 1,263.08 2,283.00 2,283.00 34,168.05 34,168.05 635.73 11, 313.75 214.96 611.53 1,430.33 14,206.30 546.00 546.00 10,147.95 10,147.95 38.05 44.69 82.74 4,980.00 4,980.00 300.00 300.00 191.35 191.35 65.49 184.20 249.69 728.00 728.00 3,013.47 3,013.47 Page:4 apChkLst Final Check List Page: 5 12/09/2021 4:53:43PM CITY OF TEMECULA Bank: union UNION BANK (Continued) Check # Date Vendor Description 207540 12/9/2021 016869 RIGHTWAY SITE SERVICES INC PORTABLE RESTROOM RENTALS: DBA, RIGHTWAY PORTABLE SPCL EVENTS-T TOILET PORTABLE RESTROOM RENTALS: SPCL 207541 12/9/2021 017391 RISE INTERPRETING INC OCT SIGN LANGUAGE INTERPRETING: CLASSES 207542 12/9/2021 000418 RIVERSIDE CO CLERK AND, NOE MARGARITA REC CTR: LR21-1517 RECORDER 207543 12/9/2021 001365 RIVERSIDE, COUNTY OF, JUL-SEP'21 VECTOR CNTRL SVC: ENVIRONMENTAL HEALTH CODE ENF DEPT 207544 12/9/2021 017699 SARNOWSKI SHAWNA M PHOTOGRAPHY SVCS: BLUE RIBBON: PRESTON 11/18 PHOTOGRAPHY SVCS: HUMAN SVCS: Ti PHOTOGRAPHY SVCS: HIGH HOPES: MF PHOTOGRAPHY SVCS: PUESKA MTN: CP PHOTOGRAPHY SRVCS: PLEIN AIR MER PHOTOGRAPHY SRVCS: 2ND SATURDAI HUMAN SVCS EVENTS: MPSC: TCSD 207545 12/9/2021 003506 SHIVELA MIDDLE SCHOOL HOLIDAY PARADE STIPEND: TCSD BAND 207546 12/9/2021 013695 SHRED -IT US JV LLC, DBA: 8/9-12 DOC SHRED SRVCS: CITY FACS SHRED -IT USA LLC DOCUMENT SHRED SVCS: CITY CLERK 207547 12/9/2021 014818 SKYFIT TECH, INC. OCT/NOV EQUIP MAINT: RISK MGMT 207548 12/9/2021 009379 SOUTHWEST WOMEN'S PERFORMANCE: 2ND SATURDAY CHORUS EVENT: 12/11 207551 12/9/2021 007762 STANDARD INSURANCE BASIC LIFE INSURANCE PAYMENT COMPANY 207552 12/9/2021 012723 STANDARD INSURANCE VOLUNTARY SUPP LIFE INSURANCE COMPANY PAYMENT Amount Paid Check Total 2,210.21 8,792.88 11,003.09 1,320.00 1,320.00 50.00 50.00 9,069.08 9,069.08 120.00 170.00 170.00 220.00 170.00 170.00 170.00 1,190.00 200.00 200.00 209.84 324.80 534.64 195.00 195.00 200.00 200.00 9,336.86 9,336.86 1,398.66 1,398.66 Page:5 apChkLst Final Check List Page: 6 12/09/2021 4:53:43PM CITY OF TEMECULA Bank: union UNION BANK Check # Date Vendor 207553 12/9/2021 008337 STAPLES BUSINESS CREDIT 207554 12/9/2021 002015 STAR WAY PRODUCTIONS (Continued) Description MISC SUPPLIES:VITICULTURE: HUMAN SVCS: T MISC SUPPLIES:VITICULTURE: HUMAN MISC SUPPLIES: RHRTPL: TCSD MISC SUPPLIES: CONTRACT CLASSES:' MISC SUPPLIES: TVM/ACE: TCSD MISC SUPPLIES: TCSD: ADMIN MISC SUPPLIES: CONTRACT CLASSES:' MISC OFC SUPPLIES: THEATER MISC SUPPLIES: CONTRACT CLASSES:' MISC SUPPLIES: CONTRACT CLASSES:' MISC OFC SUPPLIES: TVM: TCSD AUDIOVISUAL RENTAL: PECHANGA PUESKA 207555 12/9/2021 000220 STEVEN LABEL ACFR COVERS: FINANCE CORPORATION, DBA ROBINSON PRINTING 207556 12/9/2021 018688 SUPERIOR READY MX L.P. MISC SUPPLIES: STREET MAINT: PW 207557 12/9/2021 003599 T Y LIN INTERNATIONAL 8/28-10/1 CONSULT: FV PKWY/1-15 PH II 207558 12/9/2021 009117 TARRANT, JULIE COMPUTER LOAN: JULIE TARRANT 207559 12/9/2021 001547 TEAMSTERS LOCAL 911 UNION MEMBERSHIP DUES PAYMENT 207560 12/9/2021 014885 TEMECULA CATERING RFRSHMNTS: RECOGNITION EVENT: TCC 207561 12/9/2021 010061 TEMECULA OLIVE OIL RFRSHMNTS: WOMEN'S WORKFORCE COMPANY DVLPMNT 207562 12/9/2021 000311 TEMECULA VALLEY HIGH HOLIDAY PARADE STIPEND: TCSD SCHOOL 207563 12/9/2021 003508 THOMPSON MIDDLE SCHOOL HOLIDAY PARADE STIPEND: TCSD 207564 12/9/2021 017415 TK ELEVATOR CORPORATION OCT-DEC ELEVATOR MAINT SRVCS: CITY FACS JUL-SEP ELEVATOR MAINT SRVCS: CITY 207565 12/9/2021 019100 TNT ENTERTAINMENT GROUP DJ/MC/SOUND SVCS: SPECIAL LLC EVENTS:TCSD Amount Paid Check Total 447.14 52.17 230.60 29.57 275.81 42.98 22.28 130.49 17.18 228.14 20.43 5,500.00 220.11 1,368.49 119,159.20 1,320.84 5,223.22 4.110.23 310.35 300.00 200.00 5,359.20 5,359.20 6,995.00 1,496.79 5,500.00 220.11 1,368.49 119,159.20 1,320.84 5,223.22 4,110.23 310.35 300.00 200.00 10,718.40 6,995.00 Pagefi apChkLst Final Check List Page: 7 12/09/2021 4:53:43PM CITY OF TEMECULA Bank: union UNION BANK (Continued) Check # Date Vendor Description 207566 12/9/2021 006887 UNION BANK OF CALIFORNIA 000175 GOVERNMENT FINANCE JH AWARD APPLICATION FEE: OFFICERS, ASSOCIATION, FINANCE GFOA 022009 GOVERNMENT TAX SEMINARS JH WEBINAR: TAX GOV'T TAX: LLC RAMIREZ 000154 C S M F O JH AWARD APPLICATION FEE: FINANCE 000154 C S M F O JH AWARD APPLICATION FEE: FINANCE 006952 PAYPAL JH VERISIGN PAYFLOW PRO TRANSACTION 207567 12/9/2021 022102 UNITED PARCEL SERVICES EXPRESS MAIL SRVCS: PW CIP, INC PW16-01 207568 12/9/2021 020963 UPTOWN TEMECULAAUTO OCT VEHICLE DETAILING SRVCS: B&S SPA LLC OCT VEHICLE DETAILING SRVCS: FIRE OCT VEHICLE DETAILING SVCS: TCSD OCT VEHICLE DETAILING SRVCS: PW FA 207569 12/9/2021 002702 USPS - POC, NOV'21 POSTAGE METER DEPOSIT ACCOUNT#8089685 207570 12/9/2021 022692 VERSA PRODUCTS INC ERGONOMIC EQUIPMENT: RISK 207571 12/9/2021 007208 VINCES SPAGHETTI EXPRESS RFRSHMNTS FOR HIGH HOPES: MPSC: TCSD 207572 12/9/2021 007208 VINCES SPAGHETTI EXPRESS RFRSHMNTS FOR SKIP: MPSC: TCSD 207573 12/9/2021 001890 VORTEX INDUSTRIES INC GATE REPAIR: STA84: FIRE Amount Paid Check Total 665.00 410.00 150.00 150.00 25.00 23.99 8.00 64.00 8.00 16.00 1,232.79 852.60 606.63 303.32 721.92 Grand total for UNION BANK: 1,400.00 23.99 96.00 1,232.79 852.60 606.63 303.32 721.92 498,391.12 Page:? apChkLst Final Check List Page: 8 12/09/2021 4:53:43PM CITY OF TEMECULA 77 checks in this report. Grand Total All Checks: 498,391.12 Page:8 apChkLst Final Check List Page: 1 12/14/2021 2:57:37PM CITY OF TEMECULA Bank: union UNION BANK Check # Date Vendor Description 207574 12/13/2021 020670 WEBB MUNICIPAL FINANCE SPECIAL TAXADMIN: TCSD SRVC LLC LEVELS 207576 12/13/2021 003747 FINE ARTS NETWORK AKA TICKET SALES ADVANCE:NUTCRAKER THEATRE, CO AND BALLET BALLET THEATER Amount Paid Check Total 11, 216.70 10,000.00 207577 12/13/2021 020670 WEBB MUNICIPAL FINANCE SPECIAL TAXADMIN: TCSD SRVC 9,885.66 LLC LEVELS Grand total for UNION BANK: 11,216.70 10,000.00 9,885.66 31,102.36 Page:1 apChkLst Final Check List Page: 2 12/14/2021 2:57:37PM CITY OF TEMECULA Bank: eunion EFT UNION BANK Check # Date Vendor Description 501501 12/16/2021 004240 AMERICAN FORENSIC NURSES DRUG/ALCOHOL ANALYSIS: TEM AFN SHERIFF DRUG/ALCOHOL ANALYSIS: TEM SHERIF 501502 12/16/2021 013950 AQUA CHILL OF SAN DIEGO DEC DRINKING WTR SYS MAINT: AULD RD: PD DEC DRINKING WTR SYS MAINT: INFO T 501503 12/16/2021 021400 AYERS ELECTRIC INC ELECTRICAL REPAIR: FIRE STA 92 ELECTRICAL REPAIRS: PARKS: PW 501504 12/16/2021 022596 CITYGATE ASSOCIATES LLC PROF SVC AGREEMENT: PD ASSESSMENT 501505 12/16/2021 011870 CRIME SCENE STERI CLEAN BIO-HAZARD CLEAN UP: TEM SHERIFF LLC BIO-HAZARD CLEAN UP: TEM SHERIFF 501506 12/16/2021 020648 DG INVESTMENT HOLDINGS 2 SURVEILLANCE SYSTEM GENETEC: INC, CONVERGINT INFO TECH TECHNOLOGIES 501507 12/16/2021 019720 DIVERSIFIED WATERSCAPES INC 501508 12/16/2021 004192 DOWNS ENERGY FUEL 501509 12/16/2021 021412 EIDE BAILLY LLP DEC WTR QUALITY MAINT: DUCK PNG/HARV. FUEL FOR CITY VEHICLES: PARK MAINT: PW FUEL FOR CITY VEHICLES: STREET MAI FUEL FOR CITY VEHICLES: TRAFFIC: PN FUEL FOR CITY VEHICLES: BLDG INSPE FUEL FOR CITY VEHICLES: CIP: PW FUEL FOR CITY VEHICLES: CODE ENFOI FUEL FOR CITY VEHICLES: LAND DEV: F NOV FINANCIAL STATEMENT AUDIT - FIELDWOR 501510 12/16/2021 018098 ELITE CLAIMS MANAGEMENT NOV'21 3RD PARTY CLAIM ADMIN: INC WRKRS COM 501511 12/16/2021 002577 ENGINEERING RESOURCES, ENG CONSULT SVCS: OVERLAND: OF SOUTHERN CALIF., INC. PW20-11 ENG SVCS: BIKE TRAIL PGM: PW19-11: C 501512 12/16/2021 013076 GAUDETYVONNE M, DBA YES TCSD INSTRUCTOR EARNINGS YOU CAN DRAW 501513 12/16/2021 021365 GEORGE HILLS COMPANY INC OCT CLAIM ADJUSTER SVCS: RISK MGMT 11112 CLAIMS RECOVERY SRVCS: RISK 1 11/22 CLAIMS RECOVERY SRVCS: RISK 1 501514 12/16/2021 021308 GILLIS + PANICHAPAN ARCHITECTURAL SVCS: FIRE STA 84 ARCHITECTS. INC PW19-14 Amount Paid Check Total 306.60 213.50 61.96 28.28 1,900.00 1,100.00 1,452.94 850.00 850.00 9,684.50 7,213.00 1,092.96 930.43 364.81 183.56 76.92 73.50 69.97 4,000.00 1,250.00 4,987.50 370.00 691.60 4,099.40 4,051.96 366.60 3,725.00 520.10 90.24 3,000.00 1,452.94 1,700.00 9,684.50 7,213.00 2,792.15 4,000.00 1,250.00 5,357.50 691.60 8,517.96 3,725.00 Paget apChkLst Final Check List Page: 3 12/14/2021 2:57:37PM CITY OF TEMECULA Bank: eunion EFT UNION BANK (Continued) Check # Date Vendor Description 501515 12/16/2021 000177 GLENNIES OFFICE PRODUCTS MISC OFC SUPPLIES: BLDG & SAFETY INC MISC OFC SUPPLIES: FINANCE 501516 12/16/2021 015534 GOVERNMENT JOBS.COM INC, SINGLE SIGN ON MODULES: NEOGOV: DBA NEOGOV INFO TEC 501517 12/16/2021 020673 INTEGRITY SUPPORT PRE -EMPLOYMENT SCREENINGS - HR SERVICES INC, EMPLOYMENT SCREENING RESO 501518 12/16/2021 004119 J T B SUPPLY COMPANY INC TRAFFIC SIGNAL EQUIP PRGM: CIP 501519 12/16/2021 003726 LIFE ASSIST INC EMERGENCY RESPONSE EQUIP: TCSD 501520 12/16/2021 022677 MARIN CONCRETE CONSTRUCTION SVCS: SIDEWALKS: CONSTRUCTION OTIMPROV 501521 12/16/2021 021370 MARK THOMAS AND COMPANY OCT DSGN CONSULTANT SVCS: INC CHERRY ST EXT 501522 12/16/2021 021343 MILLER ARCHITECTURAL ARCHITECTURAL SVCS:MPSC CORP RENOVATION 501523 12/16/2021 004043 MISSION ELECTRIC SUPPLY ELECTRICAL SUPPLIES: PARKS: PW INC 501524 12/16/2021 022599 NIEVES LANDSCAPE INC NOV LDSCP MAINT: PARKS/MEDIANS: PW 501525 12/16/2021 010334 OBMANN, REBECCA REIMB: CALPELRACONF 11/15-11/18 501526 12/16/2021 021998 OLD TOWN TIRE AND SERVICE VEHICLE REPAIRS LAND DEV: PW INC VEHICLE REPAIR/MAINT: PD 501527 12/16/2021 003591 RENES COMMERCIAL CLEAN-UP SVCS: SPECIAL EVENTS: MANAGEMENT TCSD CLEAN-UP SVCS: SPECIAL EVENTS: TC; Amount Paid Check Total 442.67 95.43 538.10 13,398.07 13,398.07 137.75 137.75 108.75 108.75 604.65 604.65 68,571.98 68,571.98 7,409.94 7,409.94 1,320.00 1,320.00 3,025.21 3,025.21 20,230.00 20,230.00 129.63 129.63 875.54 119.72 995.26 4,995.00 2,975.00 7,970.00 Page:3 apChkLst 12/14/2021 2:57:37PM Final Check List CITY OF TEMECULA Page: 4 Bank: eunion EFT UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 501528 12/16/2021 002412 RICHARDS WATSON AND OCT 2021 LEGAL SERVICES 12,463.99 GERSHON OCT 2021 LEGAL SERVICES 5,009.00 OCT 2021 LEGAL SERVICES 4,814.00 OCT 2021 LEGAL SERVICES 3,236.20 OCT 2021 LEGAL SERVICES 2,320.00 OCT 2021 LEGAL SERVICES 1,414.50 OCT 2021 LEGAL SERVICES 832.50 NOV 2021 LEGAL SERVICES 202.50 OCT 2021 LEGAL SERVICES 52.00 30,344.69 501529 12/16/2021 013482 SILVERMAN ENTERPRISES SECURITY: SPECIAL EVENTS TCSD 5,990.00 INC, DBA BAS SECURITY 11/12-11/30 AFTER HRS SECURITY:PUMF 3,062.00 11/19-11/24 AFTER HRS SECURITY: TPL: 2,816.00 SECURITY: SPECIAL EVENTS: TCSD 1,106.00 12,974.00 501530 12/16/2021 014783 SOFTRESOURCES, LLC NOV CONSUTLING FIN SYS UPGRADE 1,063.75 1,063.75 MUNIS 501531 12/16/2021 009452 STRAWN, WILLIAM COMPUTER LOAN: BILL STRAWN 2,000.00 2,000.00 501532 12/16/2021 003849 TERRYBERRY COMPANY SERVICE AWARDS: HR 66.69 66.69 501533 12/16/2021 016311 TIERCE, NICHOLAS NOV GRAPHIC DSGN SRVCS: 4,440.00 4,440.00 THEATER 501534 12/16/2021 021603 TITAN RENTALS GROUP INC, TABLES/CHAIRS/TENT RENTALS: TCSD 598.77 598.77 TITAN TENT & EVENT RENTAL 501535 12/16/2021 021580 TOWNSEND PUBLIC AFFAIRS DEC CONSULTING SVCS: CITY CLERK 6,000.00 6,000.00 INC 501536 12/16/2021 007766 UNDERGROUND SERVICE NOV UNDERGRND UTILITY LOCATOR 189.85 ALERT, OF SOUTHERN ALERTS: PW CALIFORNIA OCT UNDERGRND UTILITY LOCATOR AL 189.85 OCT DIG SAFE BRD BILLABLE TCKTS: P� 94.30 NOV DIG SAFE BRD BILLABLE TCKTS: P` 94.30 568.30 501537 12/16/2021 001881 WATER SAFETY PRODUCTS MISC SUPPLIES: AQUATICS: TCSD 213.53 213.53 INC Grand total for EFT UNION BANK: 232,704.06 Page:4 apChkLst Final Check List Page: 5 12/14/2021 2:57:37PM CITY OF TEMECULA 40 checks in this report. Grand Total All Checks: 263,806.42 Page:5 apChkLst Final Check List Page: 1 12/28/2021 3:12:11PM CITY OF TEMECULA Bank: union UNION BANK Check # Date Vendor Description 12428 12/9/2021 006887 UNION BANK OF CALIFORNIA 002185 U S POSTAL SERVICE ZH POSTAGE STAMPS: POLICE DEPT 12490 12/20/2021 000537 SO CALIF EDISON NOV 700619554097 30051 RANCHO CAL RD 12491 12/20/2021 000537 SO CALIF EDISON NOV 700618534991 30395 MURRIETA HOT SPR 12492 12/20/2021 000537 SO CALIF EDISON NOV 700503663349 28916 PUJOL ST 12493 12/20/2021 000537 SO CALIF EDISON NOV 700503770150 28922 PUJOL ST 12494 12/20/2021 000537 SO CALIF EDISON NOV 700367835663 28582 HARVESTON DR 12495 12/20/2021 000537 SO CALIF EDISON NOV 600001004059 44900 TEMECULA LN 12496 12/20/2021 000537 SO CALIF EDISON NOV 700025717269 30875 RANCHO VISTA RD 12497 12/16/2021 010276 TIME WARNER CABLE DECEMBER INTERNET SVCS 41000 MAIN ST 12498 12/17/2021 002390 EASTERN MUNICIPAL WATER NOV WATER SVCS 31991 RORIPAUGH DIST VALLEY RD 12499 12/17/2021 002390 EASTERN MUNICIPAL WATER NOV WATER SVCS 32131 S LOOP RD DIST 12500 12/17/2021 002390 EASTERN MUNICIPAL WATER NOV WATER SVCS 39656 DIEGO DR DIST 12501 12/17/2021 002390 EASTERN MUNICIPAL WATER NOV WATER SVCS 32131 S LOOP RD DIST 12502 12/17/2021 002390 EASTERN MUNICIPAL WATER NOV WATER SVCS 31991 RORIPAUGH DIST VALLEY RD 12503 12/20/2021 010276 TIME WARNER CABLE DECEMBER INTERNET SVCS 32131 S LOOP RD 12504 12/20/2021 010276 TIME WARNER CABLE DECEMBER INTERNET SVCS 41000 MAIN ST Amount Paid Check Total 60.00 60.00 20.12 20.12 39.13 39.13 47.99 47.99 121.28 121.28 468.87 468.87 575.37 575.37 4,487.35 4,487.35 1.121.01 1.121.01 91.11 91.11 96.24 96.24 119.97 119.97 193.69 193.69 938.06 938.06 250.66 250.66 280.91 280.91 Page-1 apChkLst 12/28/2021 3:12:11PM Final Check List CITY OF TEMECULA Page: 2 Bank: union UNION BANK (Continued) Check # Date Vendor Description Amount Paid Check Total 12505 12/20/2021 010276 TIME WARNER CABLE DECEMBER INTERNET SVCS 28816 598.63 598.63 PUJOL ST 12515 12/21/2021 002390 EASTERN MUNICIPAL WATER NOV WATER SVCS MURRIETA HOT 35.92 35.92 DIST SPRINGS 12516 12/21/2021 002390 EASTERN MUNICIPAL WATER NOV WATER SVCS 39569 SERAPHINA 282.58 282.58 DIST RD 12517 12/16/2021 018858 FRONTIER CALIFORNIA INC NOV INTERNET SVCS: EOC 156.28 156.28 12518 12/20/2021 018858 FRONTIER CALIFORNIA INC DEC INTERNET SVCS: LIBRARY 5.31 5.31 12519 12/19/2021 018858 FRONTIER CALIFORNIA INC DEC INTERNET SVCS: LIBRARY 5.31 5.31 12520 12/27/2021 000166 FIRST AMERICAN TITLE LAND ACQUISITION: 26101 JACKSON 617,936.40 617,936.40 COMPANY AVE 12521 12/22/2021 000537 SO CALIF EDISON NOV 700030933344 26706 YNEZ RD 70.32 70.32 12522 12/22/2021 000537 SO CALIF EDISON NOV 700145715868 41000 MAIN ST 87.66 87.66 12523 12/22/2021 000537 SO CALIF EDISON NOV 700246548782 26953 YNEZ RD 104.60 104.60 12524 12/22/2021 000537 SO CALIF EDISON NOV 700246573943 26953 YNEZ RD 192.52 192.52 12525 12/22/2021 000537 SO CALIF EDISON NOV 700475634086 26036 YNEZ RD 420.70 420.70 12526 12/22/2021 000537 SO CALIF EDISON NOV 70003696937040820 754.85 754.85 WINCHESTER RD 12527 12/22/2021 000537 SO CALIF EDISON NOV 700408183926 40233 VILLAGE RD 2,322.36 2,322.36 12528 12/27/2021 000537 SO CALIF EDISON NOV 700252118808 29721 RYECREST 18.60 18.60 12529 12/23/2021 010276 TIME WARNER CABLE DECEMBER INTERNET SVCS 30600 621.44 621.44 PAUBA RD 12530 12/27/2021 010276 TIME WARNER CABLE DECEMBER INTERNET SVCS 41000 49.77 49.77 MAIN ST Paget apChkLst Final Check List Page: 3 12/28/2021 3:12:11PM CITY OF TEMECULA Bank: union UNION BANK (Continued) Check # Date Vendor Description 12531 12/27/2021 010276 TIME WARNER CABLE DECEMBER INTERNET SVCS 42569 MARGARITA 12532 12/27/2021 010276 TIME WARNER CABLE DECEMBER INTERNET SVCS 30875 RANCHO 207710 12/28/2021 007282 AMAZON CAPITAL SERVICES MISC EQUIP: BC/CHIEF: FIRE DEPT INC MISC OFC SUPPLIES: PREVENTION: FIRE 207711 12/28/2021 022776 BIEL, STACY REFUND: LIBRARY SMARTPAY 207712 12/28/2021 021878 EASTCOAST ENTERTAINMENT CALIF NON-RES:W/H PERFORM @ INC THEATER 207713 12/28/2021 002982 FRANCHISE TAX BOARD KRACH, BREE - CASE# 603016103 KRACH, BREE - CASE# 603016103 KRACH, BREE - CASE# 603016103 KRACH, BREE - CASE# 603016103 207714 12/28/2021 001091 KEYSER MARSTON FISCAL IMPACTANALYSIS: SOLANA ASSOCIATES INC WINCHESTE 207715 12/28/2021 017118 KRACH BREE B, DBA CREDITS: TEMECULA TROPHY & DES 6103 TROPHY FOR AWARDS DINNER - TCC DEC 7DK89878 XXX-0714 GEN USAGE 207716 12/28/2021 013982 M C I COMM SERVICE DEC 7DK90589 XXX-0346 GEN USAGE 207717 12/28/2021 002503 SOUTH COAST AIR QUALITY, FY21/22 OPERATING FEES: STA 84 MANAGEMENT DISTRICT FY21/22 FLAT FEE-LST FY EMISSIONS: ST 207718 12/28/2021 000519 SOUTH COUNTY PEST PEST CTRL SVCS: OVERLAND CONTROL INC PEST CTRL SVCS: STA 92 207719 12/28/2021 008337 STAPLES BUSINESS CREDIT OFFICE SUPPLIES: THEATER: TCSD OFFICE SUPPLIES: THEATER: TCSD MISC SUPPLIES: RHRTPL: TCSD 207720 12/28/2021 010046 TV CONVENTION &VISITORS OCT'21 BUS. IMPRV DISTRICT BUREAU, DBA VISIT TEMECULA ASMNTS VALLEY POSTAGE: WINTER/SPRING ACTIVITY 207721 12/28/2021 002185 U S POSTAL SERVICE GUIDE Amount Paid Check Total 598.63 598.63 598.63 598.63 157.63 31.84 189.47 10.00 10.00 7,440.00 7,440.00 116.09 59.81 14.38 13.32 203.60 2,070.63 2,070.63 -13.32 -14.38 -59.81 -116.09 464.36 260.76 38.33 36.45 74.78 440.15 142.59 582.74 48.00 42.00 90.00 48.82 40.54 129.04 39.68 205,657.89 205,657.89 8,143.46 8,143.46 Page:3 apChkLst Final Check List Page: 4 12/28/2021 3:12:11PM CITY OF TEMECULA Bank: union UNION BANK Check # Date Vendor 207722 12/28/2021 001890 VORTEX INDUSTRIES INC 207723 12/28/2021 007987 WALMART 207724 12/28/2021 020670 WEBB MUNICIPAL FINANCE LLC (Continued) Description BAY DOOR REPAIR: STA 12: FIRE REC SUPPLIES: CRC: TCSD CFD 16-01 WOODSIDE Amount Paid Check Total 1,190.00 1,190.00 221.52 221.52 4,350.00 4,350.00 Grand total for UNION BANK: 864,386.16 Page:4 apChkLst Final Check List Page: 5 12/28/2021 3:12:11PM CITY OF TEMECULA 50 checks in this report. Grand Total All Checks: 864,386.16 Page:5 apChkLst Final Check List Page: 1 12/28/2021 11:43:34AM CITY OF TEMECULA Bank: union UNION BANK Check # Date Vendor Description 12257 11/9/2021 006887 UNION BANK OF CALIFORNIA 016384 CALIFORNIA INLAND, EMPIRE ME REGISTRATION: CITIZEN COUNCIL FUNDRAISER: CC 016384 CALIFORNIA INLAND, EMPIRE ME REGISTRATION: CITIZEN COUNCIL FUNDRAISER: CC 000198 INTL COUNCIL OF SHOPPING, ME CREDIT: CONF REGISTRATION: CENTERSINC EDWARDS,M 12260 11/9/2021 006887 UNION BANK OF CALIFORNIA 000515 TEMECULA VALLEY CHAMBER LW STATE OF THE CITY: PLAN BOARD OF, COMMERCE MEMBER 020370 BEENVERIFIED.COM LW DIGITAL SBSCPTN: CODE ENFORCEMENT 022763 CALIF PLANNING & DEV LW MBRSHP SUBSCRIPTION: WATSON REPORT 020535 LUNA GRILL LW RFRSHMNTS: PLAN COMMISS MTG 10/6 000515 TEMECULA VALLEY CHAMBER LW STATE OF THE CITY: PLANNING OF, COMMERCE 020536 WALL STREET JOURNAL LW ONLINE MBRSHP SUBSCRIPTION: WATSON Amount Paid Check Total 100.00 50.00 -50.00 100.00 60.00 52.45 238.00 223.52 300.00 175.07 1,049.04 Page:1 apChkLst Final Check List Page: 2 12/28/2021 11:43:34AM CITY OF TEMECULA Bank: union UNION BANK Check # Date Vendor 12269 11/9/2021 006887 UNION BANK OF CALIFORNIA 009833 DISNEYLAND RESORTS 009833 DISNEYLAND RESORTS 022766 TEMECULA VALLEY JEEP & WINE, TOURS 008956 PANERA BREAD 004604 CALPELRA 009623 PUBLIC AGENCY RISK MGMT ASSN, (PARMA) 009623 PUBLIC AGENCY RISK MGMT ASSN, (PARMA) 020790 ZAZZLE.COM 008669 VONS 022767 JAMBAJUICE 018925 MEMORABLE BITES LLC, DBA FIREHOUSE SUBS 004604 CALPELRA 021482 GIFTCARDS.COM 000515 TEMECULA VALLEY CHAMBER OF, COMMERCE 12426 12/9/2021 006887 UNION BANK OF CALIFORNIA 020829 MURRIETA CHAMBER OF COMMERCE 12427 12/9/2021 006887 UNION BANK OF CALIFORNIA 010897 RUBIO'S RESTAURANTS INC (Continued) Description Amount Paid Check Total IG LODGING: DEP: PARMA CONF: 279.63 FLORES IG LODGING: DEP: PARMA CONF: 279.63 FLORES IG OPEN ENROLLMENT INCENTIVE: 296.80 HR IG RFRSHMNTS: EMERG MGMT 452.73 TRAINING 10/6 IG CONF REGIST: GARIBAY 370.00 IG CONF REGISTRATION: GARIBAY, I. 350.00 IG CONF REGISTRATION: FLORES, N. 320.00 IG CONF ROOM SUPPLIES: COASTERS 305.32 IG RFRSHMNTS: EMERG MGMT 85.34 TRAINING 10/5 IG WELLNESS CHALLENGE 40.00 PROMOTION IG RFRSHMNTS: BENEFITS FAIR 1,229.58 IG CONF REGIST: COLLINS & OBMANN 817.00 IG WELLNESS CHALLENGE 716.25 PARTICIPATION IG STATE OF THE CITY: HR STAFF 180.00 5,722.28 ZS REGIST: WILDOMAR STATE OF THE 25.00 25.00 CITY LW RFRSHMNTS: PLAN COMMISS MTG 296.49 296.49 10/20 Paget apChkLst Final Check List Page: 3 12/28/2021 11:43:34AM CITY OF TEMECULA Bank: union UNION BANK Check # Date Vendor 12434 12/9/2021 006887 UNION BANK OF CALIFORNIA 022769 LED OUTFITTERS 022768 ODYSSEAN, DBA BATTLEBOARD 000154 C S M F O 000175 GOVERNMENT FINANCE OFFICERS, ASSOCIATION, GFOA 015534 GOVERNMENT JOBS.COM INC, DBA NEOGOV 015534 GOVERNMENT JOBS.COM INC, DBA NEOGOV 010363 ORBITZ 022029 REFLECTIVE APPAREL FACTORY INC 015534 GOVERNMENT JOBS.COM INC, DBA NEOGOV 002354 POSITIVE PROMOTIONS INC 007282 AMAZON CAPITAL SERVICES INC 12435 12/9/2021 006887 UNION BANK OF CALIFORNIA 013338 APPLE STORE 018925 MEMORABLE BITES LLC, DBA FIREHOUSE SUBS 012028 HOTELS.COM 012550 MARRIOTT, COURTYARD BY MARRI OTT 012915 LUCILLE'S BBQ 010307 CHICK FILA INC 010514 CAMPINI'S ITALIAN DELI 022699 MOUNTAIN MIKE'S PIZZA (Continued) Description Amount Paid Check Total IG LIGHTBAR FOR EOC TRUCK: 447.89 EMERG MGMT IG INCIDENT COMMAND EXCEL 429.95 TEMPLATES IG RECRUIT ADVERTISEMENT: 275.00 FINANACE MGR IG RECRUIT ADVERTISEMENT: 150.00 FINANACE MGR IG RECRUIT ADVERTISEMENT: REC 130.00 LEADER IG RECRUIT ADVERTISEMENT: LEAD 130.00 MAINT WRK IG OVER THE CREDIT LIMIT FEE: HR 35.00 IG RENTAL CAR PROTECTION: 50.00 CALPELRA CONF IG JACKET: ALFORD: EMERGENCY 85.30 MGMT IG RECRUIT ADVERTISEMENT: REC 199.00 LEADER IG WELLNESS CHALLENGE 536.87 PARTICIPATION AWAR IG SCREEN PROTECTOR FOR IPAD: 17.39 2,486.40 GARIBAY JC ADD'L PHONE STORAGE 0.99 JC RFRSHMNTS: TEEN CERT CLASS: 1,259.71 FIRE JC LODGING: LEADERSHIP CONF: 599.31 CRATER JC LODGING: CALBO CLASS: 587.24 HUNDLEY, T. JC RFRSHMNTS: SPEC EVENT: JOB 91.99 FAIR: FIRE JC RFRSHMNTS: SPEC EVENT: JOB 82.33 FAIR: FIRE JC RFRSHMNTS: SPEC EVENT: FIRE 62.85 DEPT JC OVER THE CREDIT LIMIT FEE: FIRE 35.00 JC RFRSHMNTS: SPEC EVENT: FIRE 243.37 2,962.79 DEPT Page:3 apChkLst Final Check List Page: 4 12/28/2021 11:43:34AM CITY OF TEMECULA Bank: union UNION BANK Check # Date Vendor 12436 12/9/2021 006887 UNION BANK OF CALIFORNIA 006952 PAYPAL 020812 INSTACART.COM 018323 GOAT & VINE, THE 008956 PANERA BREAD 022772 JET BLUE 12452 12/13/2021 001212 SO CALIF GAS COMPANY 12489 10/12/2021 006887 UNION BANK OF CALIFORNIA 006937 SOUTHWEST AIRLINES 006937 SOUTHWEST AIRLINES (Continued) Description Amount Paid Check Total JH VERISIGN PAYFLOW PRO 25.00 TRANSACTION JH RFRSHMNTS: INTERVIEW PANEL 59.21 JH RFRSHMNTS: MEETING 10/18/21 87.76 JH RFRSHMNTS: TEAM PACE EVENT 1,006.41 10/28 JH AIRFARE: CALPELRACONF: HR 1,993.26 3,171.64 STAFF NOV 181-383-8881-6 28314 MERCEDES 45.27 45.27 ST MR AIRFARE: LEAGUE OF CA CITIES: 699.97 RAHN MR AIRFARE: LEAGUE OF CA CITIES: -65.01 634.96 RAHN Grand total for UNION BANK: 16,493.87 Page:4 apChkLst 12/28/2021 11:43:34AM Final Check List CITY OF TEMECULA Bank: eunion EFT UNION BANK Check # Date Vendor Description 501571 12/30/2021 000936 AMERICAN RED CROSS, CERTIFICATIONS & MATERIALS: HEALTH AND SAFETY SVCS AQUATICS: TC 501572 12/30/2021 021670 ANLIND OF TEMECULA INC, VEH REPAIR/MAINT: TRAFFIC: POLICE TEMECULA HARLEY-DAVIDSON VEH REPAIR/MAINT: TRAFFIC: POLICE VEH REPAIR/MAINT: TRAFFIC: POLICE 501573 12/30/2021 012951 APPLIED DEVELOPMENT QUALITY OF LIFE MASTER PLAN: ECONOMICS PLANNING 501574 12/30/2021 004248 CALIF DEPT OF NOV FINGERPRINT SVCS: POLICE JUSTICE-ACCTING DEPT 501575 12/30/2021 005447 CLEMENTS. BRIAN REIMB: UNIFORMS: BLDG & SAFETY 501576 12/30/2021 010650 CRAFTSMEN PLUMBING & PLUMBING SVCS: FIRE STA92 HVAC INC PLUMBING: FIRE STA 84 501577 12/30/2021 022506 DESIGN PATH STUDIO Permit Ready Accessory Dwelling Unit 501578 12/30/2021 004192 DOWNS ENERGY FUEL FUEL FOR CITY VEHICLES: TCSD FUEL FOR CITY VEHICLES: BLDG & SAFI FUEL FOR CITY VEHICLES: CODE ENFOI FUEL FOR CITY VEHICLES: FIRE DEPT 501579 12/30/2021 019530 EMPIRE ENGRAVING recognition awards: tem sheriff 501580 12/30/2021 000177 GLENNIES OFFICE PRODUCTS MISC OFC SUPPLIES: CODE INC ENFORCEMENT MISC OFC SUPPLIES: CODE ENFORCE/ 501581 12/30/2021 020143 JOHNSON, GREGORY VEHICLE REPAIR/MAINT: TEM SHERIFF THOMAS,JOHNSON EQUIPMENT COMPANY VEHICLE REPAIR/MAINT: TEM SHERIFF VEHICLE REPAIR/MAINT: TEM SHERIFF 501582 12/30/2021 018675 MDG ASSOCIATES INC NOV CDBG-CV EMERGENCY RENTAL ASSIST PGM NOV CDBG-CV EMERGENCY RENTAL AS 501583 12/30/2021 019823 MERCHANTS BLDG MAINT LLC NOV JANITORIAL SVCS: PD MALL SUBSTATION 501584 12/30/2021 004040 MORAMARCO ANTHONY J, ART WORKSHOP: 2ND SATURDAY DBA BIGFOOT GRAPHICS HOLIDAY WINDOW PAINTING: TVM 501585 12/30/2021 009337 NV5INC TEMECULA MEDIA TRAINING Amount Paid 528.00 713.54 288.26 228.45 13,028.54 840.00 160.84 382.00 142.50 1,450.00 474.21 390.52 78.98 74.31 152.25 157.71 14.98 350.00 350.00 350.00 1,546.00 1,421.00 718.50 400.00 350.00 7.500.00 Page: 5 Check Total 528.00 1,230.25 13,028.54 840.00 160.84 524.50 1,450.00 1,018.02 152.25 172.69 1,050.00 2,967.00 718.50 750.00 7,500.00 Page:5 apChkLst Final Check List Page: 6 12/28/2021 11:43:34AM CITY OF TEMECULA Bank: eunion EFT UNION BANK Check # Date Vendor 501586 12/30/2021 022537 REFRIGERATION SUPPLIES, DISTRIBUTOR 501587 12/30/2021 002412 RICHARDS WATSON AND GERSHON 501588 12/30/2021 005585 ROMINE, MARIA 501589 12/30/2021 013482 SILVERMAN ENTERPRISES INC, DBA BAS SECURITY 501590 12/30/2021 002366 STEAM SUPERIOR CARPET CLEANING 501591 12/30/2021 021603 TITAN RENTALS GROUP INC, TITAN TENT & EVENT RENTAL 501592 12/30/2021 016864 WOOD, RANDOLPH (Continued) Description MISC PARTS: FIRE HVAC SUPPLIES: STATION 84: FIRE HVAC SUPPLIES: STA 73 MISC PARTS: FIRE MISC PARTS: FIRE MISC PARTS: FIRE NOV 2021 LEGAL SERVICES NOV 2021 LEGAL SERVICES NOV 2021 LEGAL SERVICES NOV 2021 LEGAL SERVICES NOV 2021 LEGAL SERVICES NOV 2021 LEGAL SERVICES NOV 2021 LEGAL SERVICES NOV 2021 LEGAL SERVICES NOV 2021 LEGAL SERVICES NOV 2021 LEGAL SERVICES REIMB: UNIFORMS: CODE ENFORCEMENT SECURITY: SPEC EVENT: CHILLED: TCSD 12/1-12/5 SECURITY SRVCS: PUMP TRA( CARPET CLEANING SRVCS - STA 84 CARPET CLEANING SRVCS: FIRE STA 7c CARPET CLEANING SRVCS: FIRE STA 92 CARPET CLEANING SRVCS: FIRE STA 84 CARPET CLEANING SRVCS: FIRE STA 92 TABLES/CHAIRS/TENT RENTALS: 12/3 EVENT: TABLES/CHAIRS/TENT RENTALS:SPEC E TABLES/CHAIRS/TENT RENTALS:EMPL L REIMB: UNIFORMS: BLDG & SAFETY Amount Paid Check Total 434.77 85.59 82.28 66.47 66.47 44.38 18,382.93 14,760.00 10,065.93 3,306.00 1,044.00 348.00 112.00 87.00 84.00 58.00 171.04 5,262.35 3,318.00 815.00 600.00 585.00 480.00 95.00 7,486.93 2,494.75 1,633.88 175.00 Grand total for EFT UNION BANK: 779.96 48,247.86 171.04 8,580.35 2,575.00 11, 615.56 175.00 104,235.36 Page6 apChkLst Final Check List Page: 7 12/28/2021 11:43:34AM CITY OF TEMECULA 32 checks in this report. Grand Total All Checks: 120,729.23 Page:? Item No. 4 CITY OF TEMECULA AGENDA REPORT TO: City Manager/City Council FROM: Randi Johl, Director of Legislative Affairs/City Clerk DATE: January 18, 2022 SUBJECT: Approve Annual Citywide Records Retention Schedule and Records Destruction for Calendar Year 2022 PREPARED BY: Randi Johl, Director of Legislative Affairs/City Clerk RECOMMENDATION: That the City Council adopt a resolution entitled: RESOLUTION NO. 2022- 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 BACKGROUND: The citywide Records Management Program ("Program") is based on state and federal laws and agency guidelines governing public records. The Records Retention Schedule ("Schedule") is a key element of this program. The objective of the program and schedule is to administer and preserve records vital to the operation of the City and to lawfully dispose of records that have served their usefulness. Program components include the retention schedule, records destruction, technology storage and retrieval, and related policies and procedures. The schedule is a comprehensive listing of records created or maintained by the City, that includes the length of time each record is retained and the legal retention authority. The Electronic Document Management System ("EDMS") is a part of the overall program. The City uses Laserfiche as its EDMS to store its official records electronically. The purpose of the EDMS policy is to ensure the City's EDMS meets the definition of a Trusted System as set forth in Government Code Sections 12168.7 and 34090.5 and is in compliance with regulations developed by the Secretary of State to use in recording, storing, and reproducing permanent and nonpermanent documents or records in electronic media, so that every reproduction of a record from the EDMS will be deemed to be a copy of an original record. Documents already imaged and identified within various records series of the schedule are destroyed in accordance with policy. Permanent imaging of these records complies with the requirements of state and federal laws. Proposed revisions to the schedule are based upon an annual survey of departments. Revisions reflect changes in records ownership, operational needs and changes in applicable records management law. Government Code Section 34090 requires legislative approval for said destruction, along with City Attorney review and Department Director authorization. The City Attorney consents to the destruction of the proposed records by way of approval of this report and attachments and signature on the corresponding resolution. Assuming the City Council approves the proposed destruction Department Directors will also sign off on the request for destruction of records prior to actual destruction. In addition to the descriptions set forth in Exhibit A, bar code records also identify each record retained and/or destroyed by the City. Therefore, staff recommends that the City Council approve the annual retention schedule and records destruction. FISCAL IMPACT: The costs associated with the program are contained in the annual operating budget for the City Clerk Department. ATTACHMENTS: Resolution and Exhibit A RESOLUTION NO.2022- 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 WHEREAS, the Records Retention Schedule is a key element of the Records Management Program for the City of Temecula in administering and preserving records vital to the operation of the City and for legally disposing of records that have served their usefulness; and WHEREAS, the Records Retention Schedule, attached hereto as Exhibit A, is a living, breathing document changing periodically based on the ongoing operational needs of the City. WHEREAS, Section 34090 et seq. of the California Government Code authorizes the destruction of City records upon approval of the legislative body of the City and with written consent of the City Attorney, provided that the records do not fall within certain specified categories, and are not less than two years old; and WHEREAS, the records identified to be destroyed in Exhibit A, incorporated herein by this reference, are more than two years old, are not subject to litigation hold, and are not otherwise required to be kept by the City by statute and therefore meet the criteria for destruction set forth in Government Code Section 34090 et seq.; and WHEREAS, in addition to the description of records provided in Exhibit A, bar code scans identify each record retained and/or destroyed by the City. THE CITY COUNCIL OF THE CITY OF TEMECULA DOES HEREBY RESOLVE AS FOLLOWS: Section 1. The "City of Temecula Uniform Filing System Guide Records Retention Schedule" is hereby amended and restated as set forth on Exhibit A. Section 2. The City Clerk or her designee is authorized to destroy the records described on Exhibit A. Section 3. The City Attorney's signature on this resolution shall serve as evidence of his written consent to the destruction of records as identified in Exhibit A. Peter M. Thorson City Attorney Section 4. The City Clerk shall certify to the passage and adoption of this resolution. PASSED, APPROVED, AND ADOPTED by the City Council of the City of Temecula this 18th day of January, 2022. Matt Rahn, 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. 2022- was duly and regularly adopted by the City Council of the City of Temecula at a meeting thereof held on the 18th day of January, 2022, by the following vote: AYES: COUNCIL MEMBERS: NOES: COUNCIL MEMBERS: ABSTAIN: COUNCIL MEMBERS: ABSENT: COUNCIL MEMBERS: Randi Johl, City Clerk Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION 100 GENERAL ADMINISTRATIVE FILES US Hard CopyDeclaration 100-01 Mission Statement ALL of City's purpose Until Superseded GC 34090 Hard Drives US Hard Copy Policies, procedures, manuals developed by the 100-02 City Wide Policies and Administrative Guidelines HR City to y govern it's internal functions Until Superseded GC 34090 HR Drive 101 CORRESPONDENCE CONTROL FILES C + 2 Hard Copy Incoming/outgoing correspondence - letters, email, 2019 and prior unless part 101-01 Chronological and General Correspondence Files ALL of ongoing project, within GC 34090 Office 365 memorandums, requests, notices, etc. CEQA statute of limitations Hard Copy 101-06 Calendars, Appointment Books, Scheduling, Call Logs ALL C + 2 Office 365 General correspondence, logs, books 2019 and prior and Visitor Logs GC 34090 Outlook 200 PLANNING, BUDGET & PROGRAMMING FILES EMERGENCY PLANNING & DISASTER REPORTING 201 FILES US + 2 Hard Copy Notices, lists, reference papers, general 201-01 Emergency Planning Files HR Until Superseded + 2 GC 34090 EM/RM Drive correspondence and supporting documents P Hard Copy Declarations of Local Emergency, Receipt of Funds 201-02 Emergency Reporting Files HR Certification, reports documenting actions and Permanent GC 34090 AD EM/RM Drive operations - incident reports, reports of resolution 201-04 Disaster Reporting Files CC P Hard Copy Reports documenting actions and operations - Permanent GC 34090 AD incident reports, reports of resolution P Hard Copy Reports documenting actions and operations - 201-06 Emergency Communications Files HR incident reports, reports of resolution Permanent GC 34090 AD EM/RM Drive US + 2 Target 201-08 Emergency Management Training HR Solutions Attendance logs, certificates, etc. Until Superseded + 2 GC 34090 EM/RM Drive Page 1 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION 202 ORGANIZATION PLANNING FILES Us HR Drive 202-01 Workforce Planning HR Organization charts, lists, reports, etc. Until Superseded GC 34090 203 CITY PLANNING FILES P Hard Copy GC 34090 AD; EnerGov Project files, applications, notices, correspondence 203-01 Tentative Map Files/Tentative Tract Maps CD, PW H & S 19850; PW Drive related to project, exhibits, environmental Permanent documents, etc. GC 4003; X Drive GC 4004 Laserfiche P Hard Copy GC 34090 AD; EnerGov Project files, applications, notices, correspondence 203-02 Tentative Parcel Map Files CD, PW H & S 19850; PW Drive related to project, exhibits, environmental Permanent documents, etc. GC 4003; X Drive GC 4004 Laserfiche P EnerGov GC 34090 AD; X Drive Project files, applications, notices, correspondence 203-03 Zone Change Files CD H & S 19850; related to project, exhibits, environmental Permanent documents, etc. GC 4003; GC 4004 P EnerGov GC 34090 AD; X Drive Project files, applications, notices, correspondence 203-04 Variance Files CD H & S 19850; related to project, exhibits, environmental Permanent documents, etc. GC 4003; GC 4004 Page 2 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION C + 2 EnerGov Project files, applications, notices, correspondence related to project, exhibits, environmental 203-07 Minor Temporary Use Permit CSD, CD GC 34090 X Drive documents, etc. (Refer to Series 203-48 for Master 2019 and prior and Major TUP's) P Hard Copy GC 34090 AD; EnerGov Project files, applications, notices, correspondence 203-08 Conditional Use Permit Files CD H & S 19850; X Drive related to project, exhibits, environmental Permanent documents, etc. GC 4003; GC 4004 P EnerGov GC 34090 AD; X Drive Project files, applications, notices, correspondence 203-10 Modifications (includes minor, major, review) CD H & S 19850; related to project, exhibits, environmental Permanent documents, etc. GC 4003; GC 4004 P EnerGov Project files, applications, notices, correspondence 203-11 General Plan/Development Code and Amendments CD, CM related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. P Hard Copy Project files, applications, notices, correspondence Laserficherelated 203-12 Lot Line Adjustment CC, CD,PW to project, exhibits, environmental Permanent GC 34090 AD EnerGov documents, etc. X Drive Environmental Initial Study, Environmental Impact P EnerGov Project files, applications, notices, correspondence 203-13 Report and Environmental Assessments p CD GC 34090 AD X Drive related to project, exhibits, environmental Permanent documents, etc. P EnerGov Project files, applications, notices, correspondence 203-15 Comprehensive Sign Program CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. Page 3 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL CITATION (Updated each January) US + 2 EnerGov Project files, applications, notices, correspondence 203-16 Temporary Signs CD related to project, exhibits, environmental Until Superseded + 2 GC 34090 AD X Drive documents, etc. P EnerGov Project files, applications, notices, correspondence 203-17 Sign Permit CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. Hard Copy F, PW Drive Project files, applications, notices, correspondence 203-19 Parcel Merger CC, CID, EnerGov related to project, exhibits, environmental Permanent GC 34090 AD Laserfiche documents, etc. X Drive P EnerGov Project files, applications, notices, correspondence 203-20 Home Occupation Permit CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. P Hard Copy Project files, applications, notices, correspondence 203-21 Specific Plans/Specific Plan Amendments CD, CM EnerGov related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. P Hard Copy PW Drive Project files, applications, notices, correspondence 203-22 Certificate of Compliance CC, CD, EnerGov related to project, exhibits, environmental Permanent PW GC 34090 AD Laserfiche documents, etc. X Drive P EnerGov Project files, applications, notices, correspondence 203-23 Waivers of Final Map CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. Hard Copy P PW Drive Project files, applications, notices, correspondence 203-24 Development Plans C PW EnerGov EnerGov related to project, exhibits, environmental Permanent GC 34090 AD Laserfiche documents, etc. X Drive P EnerGov Covenants & Agreements, Project files, 203-25 Second Dwelling Unit Permit CC, CD X Drive applications, notices, correspondence related to Permanent GC 34090 AD Hard Copy project, exhibits, environmental documents, etc. Page 4 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION P Hard Copy Project files, applications, notices, correspondence 203-28 Development Agreements CD, CM EnerGov related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. P Hard Copy Project files, applications, notices, correspondence 203-31 Landscape Agreements/Bonds/Plans CD EnerGov related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. P Hard Copy Project files, applications, notices, correspondence 203-32 Appeals CD EnerGov related to project, exhibits, environmental Permanent GC 34090 X Drive documents, etc. P EnerGov Project files, applications, notices, correspondence 203-35 Massage Establishment/Technician CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. P EnerGov Project files, applications, notices, correspondence 203-36 Findings of Public Convenience or Necessity CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. P EnerGov Project files, applications, notices, correspondence 203-37 Development Impact Fee Reduction CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. P EnerGov Project files, applications, notices, correspondence 203-38 Extension of Time CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. P EnerGov Project files, applications, notices, correspondence 203-39 Habitat Acquisition Negotiations Strategy (HANS) CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. P EnerGov Project files, applications, notices, correspondence 203-40 Minor Exception CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. P EnerGov Project files, applications, notices, correspondence 203-41 Model Home Complex CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. P EnerGov Project files, applications, notices, correspondence 203-42 Pre -Application Review Idocuments, CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive etc. Page 5 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION P EnerGov Project files, applications, notices, correspondence 203-43 Residential Tract Product Review CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. P EnerGov Project files, applications, notices, correspondence 203-44 Vendors License CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. P EnerGov Project files, applications, notices, correspondence 203-45 Wireless Antenna Facility CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. P EnerGov Noticing documents, project correspondence, 203-46 Long Range Planning Projects CD invoices, receipts, exhibits, EIR documents, Permanent GC 34090 AD X Drive required forms P EnerGov Project files, applications, notices, correspondence 203-47 Certificate of Historical Appropriateness CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. Master/ Major Temporary Use Permits and Special P EnerGov Project files, applications, notices, correspondence 203-48 CD related to project, exhibits, environmental Permanent Events GC 34090 AD X Drive documents, etc. P EnerGov Project files, applications, notices, correspondence 203-49 Special Studies CD related to project, exhibits, environmental Permanent GC 34090 AD X Drive documents, etc. Hard Copy 203-50 Zoning Letter CD GC 34090 EnerGov Zoning letters and relevant information Permanent Planning Drive INFORMATION TECHNOLOGY COMPUTER 204 APPLICATIONS, AUDIO/VIDEO & DIRECTORIES P P Drive 204-06 Council Meeting Media CC, ITSS GC 34090.7 Audio, visual recordings Permanent AD DVD Meeting Audio Recordings (Boards & Commissions, C + 2 P Drive 204-07 Directors Hearin etc.) ) ITSS Audio recordings 2019 and prior , GC 34090 Surveillance Video Recordings (Routine Video 1 Year Genetec 204-08 Monitoring) ITSS GC 34090.6 System Regular and ongoing operations 2020 and prior Page 6 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL CITATION (Updated each January) 204-09 Surveillance Video Recordings (Traffic Intersections) ITSS 2 Years Genetec Traffic and road condition surveys 2019 and prior GC 34090 System 2019 and prior unless part Public Record Emails - of ongoing project, within 204-10 Electronic Mail ITSS 2 Years Outlook Retain land use and PW project emails until the CEQA statute of limitations GC 34090 project is approved and the CEQA statute of or subject to other statutory limitations period expires without litigation. protection 204-11 Proximity Card Log/List ITSS GC 34090 AD Onguard Tracking Log Permanent 204-12 Help Desk Tickets ITSS Spiceworks Employee service requests 2018 and prior GC 34090 205 BUDGET FILES C + 2 Hard CopyAnnual 205-01 Budget Working Paper Files FIN Operating Budget back up documents 2019 and prior GC 34090 Finance Drive C + 2 Hard Copy 205-02 Proposed Budget FIN Questica Annual Operating Budget (City Council 2019 and prior p GC 34090 Workshop/Report) Finance Drive Final Adopted City Budget & P Hard Copy 205-03 FIN GC 34090 AD, Laserfiche Adopted -Final Annual Operating Budget Permanent Mid -year Budget 40802 and Questica documents and Midyear Budget documents 53901 Finance Drive 4 AA Hard Copy 205-04 Budget Adjustments FIN Tyler Eden Journals, budget adjustment requests FY 16/17 and prior GC 34090 Finance Drive P Hard Copy 205-09 Capital Improvement Program Budget FIN Questica Adopted - Annual Capital Improvement Program Permanent GC 34090 AD Budget Finance Drive C + 2 Finance Drive State of California yearly budget information with 205-13 State Budget Information FIN population 2019 and prior GC 34090 Page 7 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION 206 REPORTING FILES P Hard Copy 206-02 Comprehensive Annual Financial Reports FIN Tyler Eden Final CAFR Permanent CAFR/Annual Financial Statements ( ) GC 34090 AD Finance Drive P Hard Copy Final State Controllers Report submitted to State of 206-04 State Controller's Report FIN California Permanent GC 34090 AD Finance Drive P Hard Copy Final Street Report submitted to the State of 206-05 Street Report FIN California Permanent GC 34090 AD Finance Drive 206-06 Statement of Indebtedness (RDA) FIN P Hard Copy Final RDA Financial Statements (SOI) submitted to Permanent GC 34090 AD Finance Drive the State of California 207 COST ANALYSIS STUDIES 207-01 Cost Analysis Studies Files FIN Cop Final Fee Studies (City Council Report) Permanent GC 34090 AD F nardce Dr ve REDEVELOPMENT (RDA) & SUCCESSOR AGENCY 208 THE REDEVELOPMENT AGENCY (SARDA) P Hard Copy Project files, applications, notices, correspondence 208-01 Redevelopment Plan CD RDA Drive related to project, exhibits, environmental Permanent GC 34090 AD documents, etc. P Hard Copy Project files, applications, notices, correspondence 208-02 Redevelopment Projects CD related to project, exhibits, environmental Permanent GC 34090 AD RDA Drive documents, etc. P Hard Copy Project files, applications, notices, correspondence 208-03 Redevelopment Programs CD related to project, exhibits, environmental Permanent GC 34090 AD RDA Drive documents, etc. P Hard Copy Project files, applications, notices, correspondence 208-04 Housing Programs CD related to project, exhibits, environmental Permanent GC 34090 AD RDA Drive documents, etc. Page 8 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES RECORD CATEGORY OFFICE OF RETENTION RECORDS DOCUMENT/RECORD TYPE(S) RETENTION & FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION C + 2 Hard Copy Operating Budget, Unit Status Report, Statement of 208-05 Affordable Housing Compliance CD Monthly Income and Backup Documentation (proof 2019 and prior GC 34090 RDA Drive of income, tax returns, bank statements, proof of insurance, etc.) Us Hard Copy Project files, applications, notices, correspondence 208-06 Owner Participation Rules CD related to project, exhibits, environmental Until Superseded GC 34090 RDA Drive documents, etc. US Hard Copy Project files, applications, notices, correspondence 208-07 Relocation Assistance, Rules & Guidelines CD related to project, exhibits, environmental Until Superseded GC 34090 RDA Drive documents, etc. P Hard Copy Project files, applications, notices, correspondence 208-08 Special Studies - RDA/SARDA CD related to project, exhibits, environmental Permanent GC 34090 AD RDA Drive documents, etc. 209 FUNDING PROGRAMS T + 4 Hard CopyApplications, 209-01 Community Services Funding Program CM supporting documents 2017 and prior if terminated GC 34090 Hard Drive 3 Office + 5 Hard Copy Project files, contracts, proposals, statements, 209-02 CDBG Public Service Admin Files CD, CM GC 34090; Planning Drive reports, environmental review, grant documents, 2014 and prior applications, inventory, plans, regulations (see also 409-18) P Hard Copy Electronic — Includes Consolidate Plan, Annual Action Plans, Analysis of Impediments, 209-03 CDBG Planning Documents CD Assessment of Fair Housing, Consolidated Action permanent GC 34090 AD Planning Drive and Performance Evaluation Report (CAPER), Amendments (i.e. notices, actual substantial amendments, agreements, etc.) Page 9 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION 2 + 3 Hard Copy Project files, contracts, proposals, statements, 209-04 CDBG Funding Applications CD reports, environmental review, grant documents, 2 Office + 3 GC 34090 Planning Drive selected applications, inventory, plans, regulations US Hard Copy 209-05 CDBG Policy Manuals CD Procedures and policies Until Superseded GC 34090 Planning Drive 300 MANAGEMENT FILES 301 DEPARTMENTAL MANAGEMENT FILES US Hard CopyAgendas, 301-02 Conference and Meetings ALL outlines, lists, notes, etc. Until Superseded GC 34090 Hard Drive US Hard CopyProcedures 301-03 Departmental Procedures ALL Until Superseded GC 34090 Hard Drive US 301-04 Signature Authority & Notices of Appointment CC GG 34090 Hard Copy Delegation of signature authority Until Superseded 302 REPORTS MANAGEMENT FILES 303 FORMS MANAGEMENT FILES US Hard Drive 303-01 Forms (Masters) ALL Shell forms Until Superseded GC 34090 Laserfiche 304 RECORDS MANAGEMENT FILES US Hard Drive 304-01 Filing Systems & Procedures (Includes TUFFS) CC Lists Until Superseded GC 34090 P CC Drive 304-02 Department Inventories and Worksheets CC Yearly inventory sheets, worksheets Permanent GC 34090 AD Records Destruction Authorization Files and P Hard Drive 304-03 CC Certificates of Destruction Permanent Certificates GC 34090 AD Page 10 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION P Hard CopyListings 304-06 Department Transfer Lists CC of documents transferred to Records Permanent GC 34090 AD Laserfiche P CC Drive 304-07 Retention Schedules CC Retention schedule (City Council Report) Permanent GC 34090 AD 305 RISK MANAGEMENT P Hard Copy 305-01 Insurance Policies ALL Laserfiche City Owned Policies Permanent GC 34090 AD EM/RM Drive 3 AS Hard Copy 2018 and prior years after 305-02 Claims Filed by the City HR Refer to Series 704-13 for Claims Against the City settled GC 34090 EM/RM Drive CL + 7 Hard CopyAccident/Incident 305-03 Accident Reports — City Assets HR Reports 2014 and prior closed GC 34090 EM/RM Drive Risk Management Reports — Loss Analysis, Safety, CL + 7 EM/RM Drive 305-04 HR Accident/Incident Reports 2014 and prior closed etc. GC 34090 AS + 3 EM/RM Drive 305-05 Self -Insured Documentation HR Insurance Policies; Certificate of Consent 2018 and prior after settled GC 34090 CL + 3 EM/RM Drive 305-06 Incident Reports (Non -employee) HR Accident/Incident Reports 2018 and prior closed GC 34090 400 ACCOUNTING, PAYROLL & RETIREMENT 401 ACCOUNTING & REVENUE FILES Also see Section 409 4 AA Hard Copy 401-03 General Ledger File/AJE/BJE FIN GC 34090 Tyler Eden Journal and budget adjustments FY 16/17 and prior CCP337 Finance Drive 4 AA Hard Copy 401-06 Accounts Payable FIN Tyler Eden Vendor invoices with check copies, draw files FY 16/17 and prior GC 34090 Finance Drive Page 11 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION 4 AA Hard Copy 401-07 Accounts Receivable FIN Finance Drive Billing invoices with backup documents FY 16/17 and prior GC 34090 Tyler Eden 4 AA Hard Copy 401-10 Demands & Warrants (checks) FIN Tyler Eden Copies of A/P checks FY 16/17 and prior GC 34090 Finance Drive 4 AA Laserfiche 401-13 List of Demands FIN Check listing issued monthly (City Council Report) FY 16/17 and prior GC 34090 4 AA Hard CopyPetty 401-14 Petty Cash Files FIN cash receipts with backup documents FY 16/17 and prior GC 34090 4 AA Hard CopySales 401-16 Sales Tax (Also see 409-11) FIN tax backup documents FY 16/17 and prior GC 34090 Finance Drive 4 AA Hard Copy 401-19 Quarterly Financial Statements FIN GC 34090 & Laserfiche Reports of quarterly financials (City Council Report) FY 16/17 and prior CCP 337 Finance Drive 4 AA Hard CopyState 401-20 State Revenues FIN of California revenue information FY 16/17 and prior GC 34090 Finance Drive Hard Copy 4 AA Questica 401-21 Fiscal Analysis FIN Finance Drive Income, balance, cash flow statements FY 16/17 and prior GC 34090 4 AA Hard Copy 401-25 Vouchers and Voucher Register (Cash Disbursement FIN CCP 337 Tyler Daily cash receipt backup documents FY 16/17 and prior Journal) Cashiering GC 34090 Finance Drive 4 AA Hard CopyTracking 401-35 Internal Service Funds FIN of services and goods FY 16/17 and prior GC 34090 Finance Drive Page 12 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION 4 AA Hard Copy 401-37 Asset Management Inventory FIN Tyler Eden Fixed assets inventory FY and prior GC 34090 Finance Drive 402 RECEIPTS & BILLING FILES 4 AA Hard Copy 402-02 Daily Cash Receipts FIN Tyler Daily cash backup documents FY and prior GC 34090 Cashiering Finance Drive 4 AA Hard Copy 402-05 Permits and Permit Fees FIN EnerGov Listing of permit fees FY 16/17 and prior GC 34090 Finance Drive 5 AC Hard Copy Business license applications, changes and renewals 402-06 Business Licenses FIN 2017 and prior after closed EnerGov GC 34090 Finance Drive 403 CITY BANKING FILES 4 AA Hard Copy Copies of Bank Deposits, checks, deposit slips, 403-01 Bank Deposit Files FIN direct deposits FY 16/17 and prior GC 34090 Finance Drive 4 AA Hard CopyCopies 403-02 Bank Statements FIN of Bank Statements FY 16/17 and prior GC 34090 Finance Drive 4 AA Hard CopyCopies 403-03 Check Stubs, Cancelled/Voided Checks FIN of A/P checks and voids FY 16/17 and prior GC 34090 Finance Drive 3 AT Hard Copy 2019 and prior after 403-05 Banking Service Files FIN Bank fees file GC 34090 termination 4 AA Finance Drive 403-06 Bank Reconciliation FIN Monthly bank reconciliation documents FY 16/17 and prior GC 34090 4 AA Hard CopyA/P 403-08 A/P Checks (Numerical Listing) FIN checks FY 16/17 and prior GC 34090 Page 13 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION 404 PAYROLL FILES C + 4 Hard Copy 404-01 IRS Forms (W2's, W-4's, EDD, 941, 1099, etc.) FIN GC 34090 Finance Drive Copies of W-2, W-4, payroll reports, 941 reports 2017 and prior sent to IRS CFR 1627.3 C + 4 Hard Copy 404-02 Payroll Deductions/Benefit Reports FIN GC 34090 Tyler Eden Payroll reports 2017 and prior P29 CFR 1627.3 4 AA Tyler EdenPayroll 404-03 Payroll System Reports FIN reports FY 16/17 and prior GC 34090 4 AA Tyler EdenPayroll 404-04 Time Sheets FIN timesheets, Time Off Requests FY 16/17 and prior GC 34090 4 AA Hard Copy 404-06 Vacation & Sick Leave FIN Finance Drive Payroll leave report FY 16/17 and prior GC 34090 Tyler Eden 4 AA Tyler Eden 404-09 Unemployment Compensation Files FIN Payroll unemployment forms FY 16/17 and prior GC 34090 P Tyler Eden 404-14 PERS — Payroll Deduction Reports FIN Payroll pension reports sent to CalPers Permanent 29 CFR 1627.3 4 AA Tyler EdenWorkers 404-16 Workers Compensation FIN Compensation yearly audit files FY 16/17 and prior GC 34090 Page 14 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER DESTRUCTION DATES & LOCATION OF RECORDS LEGAL (Updated each January) CITATION 405 BOND FILES M + 10 Hard Copy Certificates of participation, distribution lists, 405-01 Bond Issue Maintenance Files CC, PW 53921 & M + 10 agreements, amendments, maps CCP 337.5 P Hard Copy 405-09 Bonds, Development and Performance CC, PW 53921 & Bonds, correspondence, tracking lists Permanent CCP 337.5 M + 10 Hard Copy 405-16 Bonds Other CC 53921 & Bonds, correspondence, tracking lists M + 10 CCP337.5 406 AUDIT FILES P Hard CopyCity 406-07 City Annual Audit FIN Annual Financial Reports Audited Permanent GC 34090 AD Finance Drive P Hard CopyCity 406-08 Single Audit FIN Annual Financial Reports Audited Permanent GC 34090 AD Finance Drive P Hard CopyRDA 406-09 Redevelopment Agency Audit FIN Annual Financial Report Audited Permanent GC 34090 AD Finance Drive Riverside County Transportation Commission/Measure P Finance Drive 406-10 FIN Measure A Annual Audit Permanent A Audit GC 34090 AD P Finance Drive 406-11 Other Audits FIN Annual Financial Reports Audited Permanent GC 34090 AD Page 15 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER DESTRUCTION DATES & LOCATION OF RECORDS LEGAL (Updated each January) CITATION 407 RETIREMENT FILES 4 AA Hard Copy 407-01 Individual Vested Interest Records FIN Laserfiche City investment portfolio records FY 16/17 and prior GC 34090 Sempro Finance Drive P Hard Copy457 407-02 Deferred Compensation Plans HR Plan Documents Permanent GC 34090 HR Drive P Hard CopyRetirement 407-04 Retirement Correspondence and Information (PERS) HR contract, amendments Permanent GC 34090 AD HR Drive 408 INVESTMENTS FILES P Hard Copy 408-04 Certificates of Deposit Information FIN CIDdeposit information Permanent GC 34090 AD 4 AA Hard Copy 408-06 Monthly Treasurer's Report FIN Laserfiche City monthly bank reconciliation FY 16/17 and prior GC 34090 Sempro Finance Drive 4 AA Hard CopyInvestment 408-07 Administration FIN administration FY 16/17 and prior GC 34090 Sempro 4 AA Hard Copy State of California Local Agency Investment Fund 408-10 (LA IF) FIN Sem ro p Investment information FY 16/17 and prior GC 34090 Finance Drive Page 16 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION 409 REVENUE & TAXATION (Also refer to Section 401) 4 AA Hard Copy Finance Drive 409-01 Administration FIN Tyler Eden City revenue administration FY 16/17 and prior GC 34090 Tyler Cashiering P Hard Copy Finance Drive 409-04 User Fee Studies FIN Tyler Eden Permanent GC 34090 AD Tyler Cashiering City User Fee studies P Hard Copy Finance Drive 409-05 Development Impact Fees (DIF) FIN Tyler Eden City Impact Fee studies Permanent GC 34090 AD Tyler Cashiering 4 AA Hard Copy Finance Drive 409-06 Franchise Fees FIN Tyler Eden City Franchise Fees information FY 16/17 and prior GC 34090 Tyler Cashiering P Hard CopyCity 409-07 Fee Schedules FIN Fees Schedule Permanent GC 34090 AD Finance Drive 4 AA Hard Copy Tyler Eden 409-10 Property Tax FIN Tyler City property tax information FY 16/17 and prior GC 34090 Cashiering Finance Drive Page 17 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION P Hard CopyCity 409-11 Sales Tax (Also refer to series 401-16) FIN sales tax information, HDL Reports Permanent GC 34090 AD Finance Drive 4 AA Hard Copy 409-12 Transient Occupancy Tax (TOT) FIN Tyler City TOT information FY 16/1 and prior GC 34090 Cashiering Finance Drive P Hard Copy 409-15 TCSD Fees FIN Tyler Eden TCSD Fees Permanent GC 34090 AD Rec 1 Finance Drive 4 AA Hard Copy 409-16 Documentary Transfer Tax FIN Tyler Eden City tax information FY 16/17 and prior GC 34090 Finance Drive P Hard Copy 409-17 Temecula Public Financing Corporation (TPFA) FIN Laserfiche TPFA (City Council Report) Permanent GC 34090 AD Finance Drive P - Successful C + 2 Hard Copy Grants information, applications, project proposals, Permanent - Successful 409-18 Grants ALL Unsuccessful notification of grant, objectives, reports, exhibits Unsuccessful - 2019 and (see also 209-02) prior GC 34090 AD Finance Drive 4 AA Hard Copy 409-23 Gas Tax FIN Tyler Eden Gas tax revenues FY 16/17 and prior GC 34090 Finance Drive 4 AA Hard Copy 409-24 Vehicle Impound Fee FIN Tyler Eden Vehicle fee information FY 16/17 and prior GC 34090 Finance Drive P Hard Copy 409-25 Development Agreement Fees FIN Tyler Eden Development Agreement Permanent GC 34090 AD Finance Drive Page 18 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION P Hard Copy 409-27 Jarvis Prop 218 FIN Prop 218 information Permanent GC 34090 AD 4 AA Hard Copy 409-28 County Revenues, Other FIN Tyler Eden County revenue information FY 16/1 , and prior GC 34090 Finance Drive 4 AA Hard Copy 409-29 State Revenues, Other FIN Tyler Eden State Revenues information FY 16/17 and prior GC 34090 Finance Drive Data Ticket 4 AC Tyler Eden 409-31 Parking Legal Citations FIN Finance Drive Parking citations information 2017 and prior after closed GC 34090 410 ECONOMIC DEVELOPMENT P Hard CopyLoan 410-01 Loans & Incentives ED information Permanent GC 34090 AD P ED Drive 410-02 Studies/Research/Demographics & Census ED Claritas reports, QLMP Permanent GC 34090 AD C + 2 ED Drive Agendas, notices, CALED, ICSC, PIO Lunch, 410 03 Meetings/Seminars/Conferences/ Showcases ED 2019 and prior GC 34090 Broker's Breakfast, Temecula Trekkers US ED Drive 410-05 Temecula Businesses ED Creative Spaces Project, correspondence Until Superseded GC 34090 US ED Drive 410-06 Business Development/Projects ED Business information Until Superseded GC 34090 US Hard Copy Application guidelines, applications, funding charts, 410-07 Sponsorship &Funding Requests ED Until Superseded GC 34090 ED Drive final sponsorship binder P CM Drive Script, event information, audio/visual recordings, 410-08 State of the City Address CM, ED GC 34090 AD Video photos, PowerPoint Presentation permanent Page 19 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION PERSONNEL, SALARY & BENEFITS, CLASSIFICATION, RECRUITMENT, TESTING, 500 TRAINING, MEDICAL, COMPLIANCE, SAFETY, INCENTIVES & AWARDS 501 PERSONNEL RECORDS S+50 Pre -employment and new hire documentation, personnel actions, performance evaluations, training documents, general employment 501-01 Individual Personnel File HR GC 34090, Hard Copy correspondence, benefits, confidential information Separation + 50 12946 HR Drive (medical information, leave of absence documentation), grievances, administrative complaints, investigations US Hard CopyPersonnel 501-02 Personnel Policy File HR policy Until Superseded GC 34090 HR Drive 502 SALARY & BENEFITS P HR Drive 502-01 Employee Benefit Plans HR Cafeteria Plan documents Permanent GC 34090 AD US HR Drive 502-02 Salary Studies HR Salary Studies Until Superseded GC 34090 P HR Drive 502-04 Salary Schedules HR Salary Schedules Permanent GC 34090 AD P HR Drive Management Compensation Plan (City Council 502-07 Management Compensation Plan HR Permanent GC 34090 AD Report) p ) P HR Drive City Council Compensation Plan (City Council 502-08 Council Compensation Plan HR Permanent GC 34090 AD Report) p ) Page 20 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER DESTRUCTION DATES & LOCATION OF RECORDS LEGAL (Updated each January) CITATION 503 PERSONNEL CLASSIFICATION FILES P NeoGov 503-01 Classification Specifications HR Class Specifications Permanent GC 34090 AD HR Drive US HR Drive 503-02 Classification Studies HR Classification Study results Until Superseded GC 34090 505 RECRUITMENT AC + 3 NeoGov Job applications, position announcements, 505 01 Recruitment File (including job application) HR 2019 and prior after closed GC 34090 interview ratings, eligibility list , g g y 507 TRAINING FILES T + 2 HR Drive 2019 and prior after 507-03 Employee Career Development Training Rosters HR Training Participant Rosters GC 34090 termination Target 507-04 Safety Training Rosters HR T + 2 Solutions Training Participant Rosters 2019 and prior after termination GC 34090 HR Drive Target 507-05 Mandated Training Rosters HR T + 2 Solutions Training Participant Rosters 2019 and prior after termination GC 34090 HR Drive 508 WORKERS COMP AT + 50 Hard Copy CCR 14311; HR Drive Individual Workers' Compensation file (Work Status 508-02 Employee Workers Compensation Claims HR 15400.2; Reports, DWC-1 Form and Acknowledgement) 50 Years After Termination CA LC 110- 139.6 Page 21 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER DESTRUCTION DATES & LOCATION OF RECORDS LEGAL (Updated each January) CITATION 509 COMPLIANCE FILES Hard Copy P HR Drive OSIP Report; Section 111 Reporting, CHP 509-05 Compliance Reports (EED, SCO, OSHA, etc.) HR, PW PW Drive Inspection (DOT), Material Safety Data Sheets Permanent (MDS) GC 34090 AD 510 SAFETY FILES P EM/RM Drive 510-01 Safety Committee Meeting/Minutes HR Agenda, meeting minutes Permanent GC 34090 AD P EM/RM Drive 510-02 Accident/Safety Investigation Files (OSHA, etc.) HR Accident/Incident Reports Permanent GC 34090 AD P EM/RM Drive 510-03 Safety Manual HR Safety Manuals Permanent GC 34090 AD P Hard Copy Individual DOT Driver File (Test results, DMV 510-05 Department of Transportation DOT Program HR Permanent GC 34090 AD EM/RM Drive Reports, Pull Program Authorization, Medical Card) 511 INCENTIVE AND SERVICE AWARDS P HR Drive 511-01 Employee Recognition HR Service award tracking Permanent GC 34090 AD C + 2 HR Drive 511-02 City Sponsored Employee Activities (Team PACE) HR Team PACE event plans, meeting minutes 2019 and prior GC 34090 Page 22 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER DESTRUCTION DATES & LOCATION OF RECORDS LEGAL (Updated each January) CITATION PURCHASING, CONTRACTING, EQUIPMENT AND 600 SERVICE FILES 601 PURCHASING FILES SQL Reports 601-01 Purchase Orders FIN 4 AA Tyler Eden Purchase orders, purchase order reports, backup FY 15/16 and prior documents GC 34090 M Drive Hard Copy P Successful Hard Drive Successful Permanent; 601-03 Bid Files ALL Planet Bids Notice of Inviting Bid (NIB) and unsuccessful bid Unsuccessful 2018 and 4 Unsuccessful bonds (CC retains paper) prior (Successful bid bond filed with contract) CCP 337.5 Finance Drive US Tyler EdenBid 601-04 Authorization to Purchase other than Bid FIN authorization Until Superseded GC 6254 3 AA Tyler EdenRequisition 601-05 Department Requisition File FIN file, backup documents FY 17/18 and prior GC 34090 US Finance Drive 601-06 Purchasing Policy and Procedures FIN Purchasing policies and procedures Until Superseded GC 6254 3 AA 601-08 Vendors Lists FIN Listing of vendors FY 17/18 and prior GC 34090 Tyler Eden 3 AA Finance Drive 601-13 Credit Applications FIN Credit application FY 16/17 and prior GC 34090 Successful: Hard Copy AA +5 Successful: 2016 and prior 601-15 RFQs, RFPs and RFI's ALL 2 Unsuccessful Hard Drive Quotes, proposals, exhibits, correspondence if closed; Unsuccessful: 2019 Planet Bids GC 34090 Page 23 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION 602 CONTRACTS & AGREEMENTS Hard Copy Contracts , Agreements, Amendments, Contract P Finance Drive Agreements, contracts, amendments and contract 602-00 Change Orders and Leases CC, PW change orders Permanent GC 34090 AD Laserfiche Hard Copy P Finance Drive 602-01 Franchises CC Agreements, Contracts, Amendments Permanent GC 34090 AD Laserfiche C + 2 Hard CopyGeneral 602-02 Contracts and Agreements General Correspondence CC Correspondence 2019 and prior GC 34090 Finance Drive US + 4 Hard Copy Tyler Eden Certificates Insurance (Departments maintain 602-05 Vendor Certificates of Insurance ALL copies for their records) e Until Superseded + 4 GC 34090 603 INVENTORY SUPPLY FILES & FIXED ASSETS US + 2 Hard Drive 603-01 Master Inventory of Equipment FIN, ITSS Listing of inventory Until Superseded GC 34090 C + 2 Hard CopyCity 603-02 Fuel Records File (Gasoline, Oil, etc.) FIN revenue administration 2019 and prior GC 34090 L + 4 Hard Copy 603-03 Vehicle Registration Records CC, FIN GC 34090 City vehicle title records, registrations, sales Life/Sale of Vehicle +4 contract and release correspondence VC 9900 US Hard CopyVehicle 603-05 Vehicle Maintenance Policy PW maintenance policy Until Superseded GC 34090 PW Drive r6O3-06 Fleet/Vehicle Maintenance Records PW L Hard Copy All Fleet/Vehicle maintenance records Life/Sale of Vehicle PW Drive Page 24 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION 604 SALVAGE AND SURPLUS SALES C + 2 After Disposal Tyler Eden 2019 and prior after 604-01 Salvage and Surplus Sales FIN, PW Asset surplus Finance Drive disposal GC 34090 PW Drive 605 PUBLICATION AND PRINTING FILES C + 2 Hard CopyPublication 605-01 Proof of Publication CC Approval, Proof of Publication 2019 and prior GC 34090 EQUIPMENT LOG, SERVICE RECORDS and WORK 606 ORDERS C + 2 After Disposal Hard Drive 2019 and prior after 606-01 Equipment Instruction, Information and Warranties ALL Equipment information pamphlets, books, manuals disposal disposal GC 34090 606-03 Equipment Service Records & Equipment Maintenance ALL C + 2 After Disposal Hard Drive Service/Maintenance documentation, logs 2019 and prior after d disposal disp GC 34090 C + 2 Hard Copy 606-04 Work Orders and Service Requests PW Laserfiche Citizen Requests, Service Order Requests 2019 and prior GC 34090 PW Drive 607 SERVICES CONTRACTED P Hard Copy 607-02 Misc. Mechanics Lien & Stop Notices PW Laserfiche Preliminary Notices, Stop Notices Permanent GC 34090 AD PW Drive 700 LEGISLATIVE, ELECTIONS & LEGAL FILES 701 LEGISLATIVE FILES City Council, Agency, Board, Commission & P Hard Copy Agendas, staff reports, exhibits, departmental 701-02 CC Permanent Committee Agendas GC 34090 AD Laserfiche reports Hard Copy Permanent - Read into 701-03 Request to Speak Forms CC P Electronic Speaker Slips, Emails submitted for the record Record C + 2 - Not read into the C+2 record (Public Comment) Page 25 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER DESTRUCTION DATES & LOCATION OF RECORDS LEGAL (Updated each January) CITATION P Hard Copy Permanent - Originals may 701-04 City Council Ordinances CC Ordinances, exhibits, logs GC 34090(e) Laserfiche not be destroyed Y Page 26 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION City Council, Agency, Board, Commission & P Hard Copy Permanent - Originals may 701-05 CC Resolutions, exhibits, logs Committee Resolutions GC 34090(e) Laserfiche not be destroyed City Council, Agency, Board, Commission and P Hard Copy Permanent - Originals may 701-10 CC Minutes Committee Minutes GC 34090(e) Laserfiche not be destroyed Selected: T + 4 City Council, Board, Committee, Commission & Selected: Termination +4 701-11 Agency Reference Papers, Applications, Appointments CC Not Selected: Hard Copy Applications, correspondence Not Selected: 2019 and & Resignations C + 2 prior GC 34090 Federal & State Legislative Information & P Hard Copy CC Correspondence Permanent 701-12 Correspondence GC 34090 AD P Hard Copy Replace superseded pages; 701-14 Municipal Code CC GC 34090(e) Municipal Code, updates Code and Insertion Guides AD Website Permanent Hard Cope py 701-15 Signed Meeting Cancellation Notices CC GC 34090 AD Notices Permanent C + 4 Hard CopyNotices 701-16 Public Hearing Notices CC 2017 and prior GC 34090 P Hard CopyCommittee 701-18 City Seal/Logo CC documents, seal, correspondence Permanent GC 34090 AD P Hard Copy LAFCO documents, county resolution, studies, 701-19 City of Temecula Articles of Incorporation CC Permanent GC 34090 AD exhibits P CC Drive 701-22 History of Elected/Appointed Officials CC List of elected/appointed officials Permanent GC 34090 AD Page 27 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION 702 ELECTION FILES P Hard Copy 702-02 Election Historical/Operational Files CC Primary/General election correspondence, Permanent GC 34090 AD CC Drive publications, resolutions, results, etc. 702-04 Miscellaneous Election Ballots CC GC 34090 AD Hard Copy Proposition 218 Permanent Successful: T + 4 Hard Copy 702-06 Nomination Files CC Nomination Papers Successful:Term + 4 Unsuccessful: Unsuccessful: Election +2 E + 2 Elected Mayor, City Council Campaign Statements P/E + 5/E+7 Hard Copy FPPC documents members and suppporting committees: Permanent FPPC Form 400 Series & 501 GC 81009 (b) Laserfiche Non -Elected (Election + 5) - 702-08 CC 2016 and prior Misc. GC 81009 (c) Net File Individuals/Committees (E + 7) — 2014 and prior (Must Retain in Paper Form for 2 Years) Campaign Disclosure Log P CC Drive 702-09 CC GC 34090 AD Log Permanent P Hard Copy 702-10 Annexation, Consolidation & Boundary Files CC GC 34090(a) () LAFCO documents, reports, recorded maps, notice Permanent of intent, correspondence AD C + 8 months Hard Copy Petition, correspondence, ballot turn in, ballot title, For petition: 8 months after 702-11 Initiatives, Referendums and Recalls CC notice of intent certification of election if on C + 2 ballot or after final Page 28 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION 702-12 Misc. Petitions CC Hard Copy Neighborhood petitions 2019 and prior GC 34090 5 ATR Hard Copy GC 53235.2 - 702-13 AB 1234 Ethics Training & AB 1661 Harassment CC Ethics GC Certificate of Proof, Proof of Participation List 2016 and prior Prevention Training 12950.1, 53237, 53237.5 HP GC 12950.1, 703 LEGAL 53237 and 53237.5 - HP CL + 2 Web QA PRA Requests, correspondence, documents 703-01 Public Records Act Requests (PRA's) CC 2019 and prior after closed GC 34090 produced Requests for Copies of Building Plans/Structural Hard Copy Request, Architect Consent Correspondence, 703-02 CC H & S 19851 Owner Declaration, Postal Cards, Proof of Receipt Approved - P Drawings Web QA and B & S Letter via CC Dept. P Hard Copy Permanent - Final 703-03 Litigation Against City CC, HR Individual Working Files (Claim, Litigation Notices, documents transferred to GC 34090 EM/RM Drive Depositions, Case Status Reports) City Clerk and retained with litigation file C + 4 Hard CopyNotices 703-06 Bankruptcy Filings/Foreclosure Notices CC related to contracts 2017 and prior GC 34090 Laserfiche C + 2 Hard Copy 703-08 Subpoenas CC Subpoena, correspondence, log 2019 and prior GC 34090 Web QA Portal P Hard Copy Permanent - Final Individual Working Files (Claim, Litigation Notices, documents transferred to 703-09 Litigation by City CC, HR GC 34090 AD EM/RM Drive Depositions, Case Status Reports) City Clerk and retained with litigation file 704 LEGAL AFFAIRS FILES CL + 5 Hard Copy 704-04 Affidavits Files CC Mailings & Postings 2016 and prior GC 34090 Page 29 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION P Hard CopyLegal 704-05 Judgment Files CC documents, correspondence Permanent GC 34090 AD Statements of Economic Interest C + 7 Laserfiche FPPC documents 2014 and prior FPPC Form 700 704-07 CC GC 81009(e)(f) (Must Retain in Paper Form (g) for 2 Years) GC 87200 P Hard Copy 704-08 Conflict of Interest Code CC Permanent P Hard Copy 704-09 Wage Garnishment & Levies FIN Payroll employee garnishment information Permanent GC 34090 AD CL + 2 Hard Copy Citations, complaints, officer comments/notes, photos, notices, violation lists/reports, 704-10 Code Enforcement Case Files CE GC 34090 (d) B & S Drive nuisance/vehicle/weed abatement records, 2019 and prior closed AD Energov warrants, demand for payment, invoices and related records P Hard Copy Code cases, reports, correspondence, invoices, 704-11 Code Enforcement Liens CC, CE GC 34090 (a) EnerGov photos, liens, warrants, demand payment letters Permanent AD Laserfiche resolutions and noticing B & S Drive Hard Copy City Attorney Correspondence (General) /Closed C + 2 Office 365 704-12 Session Materials ALL Hard Drives Correspondence, exhibits, reports 2019 and prior GC 34090 Page 30 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION 3 AS Hard Copy Claim, exhibits, general correspondence (Refer to 704-13 Claims Against the City CC 305-02 for claims filed by the City) 2018 and prior after settled GC 34090 P 704-15 Notary Public CC GC 8209, Hard Copy Notary Bond, Errors & Omissions Policy Permanent GC34090(d) C + 2 Hard Copy Miscellaneous Petitions/Protests (See 702-12 for 704-19 election petitions) CC GC 34090, Petitions 2019 and prior 50115 C + 7 Hard Copy 704-22 FPPC Form 800 Series CC GC 34090, GC FPPC documents, backupdocuments and prior -Must retain Laserfiche paper paper form for 2 years 81009 705 ASSESSMENT/SPECIAL DISTRICTS P Hard Copy C + 2 Ballots 705-01 Assessment/Special Districts CC GC 34090 Reports, correspondence, ballots Permanent Ballots - C + 2 GC 53753 (e) (2) P Hard Copy 705-05 Temecula Community Services District FIN Finance Drive TCSD Levy Permanent GC 34090 AD Tyler Eden P Hard Copy 705-12 Industrial Development Authority (IDA) FIN Finance Drive IDA Levy Permanent GC 34090 AD Tyler Eden ENGINEERING, CONSTRUCTION, BUILDING AND 800 CAPITAL PROJECTS 801 GENERAL ENGINEERING P Hard Copy 801-03 Imp rovement Plans — Storm Drain PW Laserficheeasements, Plans, reports, studies, bonds, agreements, Permanent GC 34090 AD legal descriptions PW Drive Page 31 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION P Hard Copy 801-04 Improvement Plans — Street All Weather Access p ( ) PW PW Drive Plans, reports, studies, bonds, agreements, Permanent GC 34090 AD easements, legal descriptions Laserfiche P Hard Copy 801-05 Grading Plans PW Laserfiche Plans, reports, studies, bonds, agreements, Permanent GC 34090 AD easements, legal descriptions PW Drive 802 ENGINEERING AND CONSTRUCTION PERMITS P Hard Copy 802-02 Grading Permits PW Laserfiche Plans, reports, studies, bonds, agreements, permanent GC 34090 AD easements, legal descriptions PW Drive P Hard Copy 802-05 Encroachment Permits PW Laserfiche Plans, reports, studies, bonds, agreements, permanent GC 34090 AD easements, legal descriptions PW Drive P Hard Copy 802-07 Right of Entry CD, PW Laserfiche Document files, court filings, noticing, Permanent GC 34090 AD correspondence PW Drive P Hard Copy 802-08 Flood Plain Development Permits PW Plans, reports, studies, bonds, agreements, Permanent GC 34090 AD Laserfiche easements, legal descriptions PW Drive 803 MAP FILES P Hard Copy 803-01 Final Tract Maps PW Laserfiche Plans, reports, studies, bonds, agreements, Permanent GC 34090 AD easements, legal descriptions PW Drive P Hard Copy 803-02 Final Parcel Maps PW Laserfiche Plans, reports, studies, bonds, agreements, Permanent GC 34090 AD easements, legal descriptions PW Drive Page 32 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER DESTRUCTION DATES & LOCATION OF RECORDS LEGAL (Updated each January) CITATION BUILDING PLANS, PERMITS AND 805 SPECIFICATIONS P EnerGov 805-01 Sewer Specifications CD Procedures and policies Permanent GC 34090 AD Permits Plus P EnerGov 805-03 Landscape Specifications CD, PW Permits Plus Procedures and policies Permanent GC 34090 AD Hard Copy PW Drive P Hard Copy 805-04 Regional Standard Drawings and Specifications for PW Laserfiche Standard drawings, standard specifications, plans, permanent Public Works GC 34090 AD PW Drive reports, studies, calculations Website P EnerGov 805-06 Building Codes BS Procedures and policies Permanent GC 34090 AD Permits Plus P EnerGov Building permits, plans, applications, contact Permanent - For life of 805-07 Building Permits BS information, related permit documents and GC 34090 AD Permits Plus database records structure P EnerGov Architectural/structural drawings, Title 24's, Permanent - For life of 805-08 Building Plans BS GC 34090 AD Permits Plus Structural Calculations, tenant improvement plans structure H & S 19850 806 CAPITAL PROJECTS P Hard CopyProject 806-01 5-Year Plan ALL files, plans, reports Permanent GC 34090 AD Hard Drive P Hard Copy Project files, documents, plans, specifications, 806-04 Projects in Progress PW Permanent GC 34090 AD PW Drive reports, logs P Hard Copy Project files, documents, plans, specifications, 806-05 Completed Projects p pW Laserfiche re orts p Permanent GC 34090 AD PW Drive Page 33 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER DESTRUCTION DATES & LOCATION OF RECORDS LEGAL (Updated each January) CITATION 807 INSPECTION FILES Hard Copy B & S Drive P EnerGov Permits Plus Drive 807-01 Inspectors Daily Reports CD, PW Inspection reports Permanent Permits Plus Hard Copy GC 34090 AD B & S Drive Laserfiche PW Drive P EnerGov 807-02 Billboard and Sign Files CD Permits Plus Building permits, plans, applications, contact Permanent GC 34090 AD Hard Copy information, related permit documents B & S Drive P EnerGov 807-03 Deputy Inspectors/City Fee Required CD Permits Plus Contact information, fee information, reports Permanent GC 34090 AD Hard Copy B & S Drive 900 LABOR RELATIONS FILES P HR Drive 901-00 Labor Relations HR Employee relations documentation Permanent GC 34090 AD P HR Drive 901-01 Meet and Confer HR Negotiation, resolution documentation Permanent GC 34090 AD Memorandum of Understanding, Management P HR Drive 901-02 HR Employee MOU, Management Compensation Plan Permanent Compensation Plan p GC 34090 AD P HR Drive 901-05 Bargaining Unit Organization Files HR Bargaining Unit documentation Permanent GC 34090 AD Page 34 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER DESTRUCTION DATES & LOCATION OF RECORDS LEGAL (Updated each January) CITATION RIGHT-OF-WAY, BOUNDARY AND PROPERTY 1000 FILES 1001 RIGHT-OF-WAY FILES P Hard CopyDeeds, 1001-01 Easements Granted BY City CC agreements, grants, legal description Permanent GC 34090 AD P Hard CopyDeeds, 1001-02 Easements Granted BY County CC agreements, grants, legal description Permanent GC 34090 AD P Hard CopyIOD, 1001-03 Irrevocable Offers of Dedication (I.O.D.) CC legal description Permanent GC 34090 AD CC P Hard Copy 1001-04 Encroachment Files Agreements Permanent GC 34090 AD P Hard CopyQuitclaim 1001-05 Quitclaims CC Deed Permanent GC 34090 AD P Hard CopyDeeds, 1001-06 Easement Grant TO City CC agreements, grants, legal description Permanent GC 34090 AD 1002 PROPERTY FILES P Hard CopyGrant 1002-01 Property Acquisition Files CC Deeds, agreements Permanent GC 34090 AD P Hard CopyLease 1002-02 Property Lease Files CC agreements Permanent GC 34090 AD P Hard CopyAgreements, 1002-03 Property Sale Files CC escrow documents, correspondence Permanent GC 34090 AD P Hard CopyRecorded 1002-06 Vacations CC resolution, reports Permanent GC 34090 AD Page 35 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER DESTRUCTION DATES & LOCATION OF RECORDS LEGAL (Updated each January) CITATION P EnerGov 1002-07 Annexations CC, CD, CM Permits Plus Project files, applications, notices, correspondence Permanent GC 34090 AD X Drive related to project, plans, etc. Hard Copy P Hard CopyRecorded 1002-08 Property Management CC resolution, reports Permanent GC 34090 AD P Hard CopyFinal 1002-10 Eminent Domain Acquisition CC Order of Condemnation, deeds Permanent GC 34090 AD P Hard CopyReports 1002-11 Appraisals CC Permanent GC 34090 AD 1003 BOUNDARY FILES P EnerGov Project files, applications, notices, correspondence 1003-01 Boundary Description rY p CD GC 34090 AD Permits Plus related to project, plans, etc. Permanent X Drive P EnerGov 1003-02 Sphere of Influence CD Permits Plus Project files, applications, notices, correspondence Permanent GC 34090 AD X Drive related to project, plans, etc. Hard Copy 1100 PUBLIC SERVICES AND PUBLIC RELATIONS STREET MAINTENANCE AND IMPROVEMENT 1110 FILES P Hard Copy Plans, reports, studies, bonds, agreements, 1110 01 Street Improvement PW Laserfiche easements, legal descriptions Permanent GC 34090 AD PW Drive P Hard Copy Plans, reports, studies, bonds, agreements, 1110-02 Off -Site Plans Ram etc. s, Sidewalks, Curbs, (Ramps, ) PW Laserfiche easements, legal descriptions Permanent GC 34090 AD PW Drive Page 36 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION P Hard Copy 1110-03 Bridges PW Laserfiche Plans, reports, studies, bonds, agreements, permanent GC 34090 AD easements, legal descriptions PW Drive P Hard Copy 1110-04 Street Planning PW Laserfiche Plans, reports, studies, bonds, agreements, permanent GC 34090 AD easements, legal descriptions PW Drive P 1110-05 Street Maintenance and Repairs PW Hard Copy Maintenance and inventory records Permanent GC 34090 AD PW Drive Lucity P Hard Copy 1110-06 in Crosswalks, Bike Lanes, etc. Striping g ( ) PW Laserfiche Plans, reports, studies, bonds, agreements, Permanent GC 34090 AD easements, legal descriptions PW Drive P Hard Copy 1110-07 Street Names and Signs PW Lucity GIS data base, street sign inventory Permanent GC 34090 AD PW Drive P Hard Copy 1110-08 Street Furniture (Bus Benches, etc.) PW Lucity Street maintenance/inventory records Permanent GC 34090 AD PW Drive P Hard Copy 1110-09 State Highways & Freeways PW Laserfiche Plans, reports, studies, bonds, agreements, Permanent GC 34090 AD easements, legal descriptions PW Drive P Hard Copy 1110-10 Street Inventory PW, ITSS GIS System GIS data base Permanent GC 34090 AD Lucity PW Drive P Hard Copy 1110-11 Medians PW, ITSS GIS System GIS data base, maintenance/inventory records Permanent GC 34090 AD Lucity PW Drive Page 37 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER DESTRUCTION DATES & LOCATION OF RECORDS LEGAL (Updated each January) CITATION P Hard Copy 1110-12 Slopes PW, ITSS GIS System GIS data base, maintenance/inventory records Permanent GC 34090 AD Lucity PW Drive P EnerGov 1110-13 Street Numbering & Naming CD GIS data base, lists, maps Permanent Permits Plus GC 34090 AD X Drive P Hard Copy Plans, reports, studies, bonds, agreements, 1110-14 Detour Plans PW GC 34090 AD Laserfiche easements, legal descriptions permanent PW Drive 1120 STREET LIGHTING FILES C + 2 Hard Copy Service Order Requests (SOR's) and SCE 2019 and prior -Originals 1120-02 Street Lighting Maintenance Files PW Lucit y maintenance are sent to SCE GC 34090 PW Drive 1130 SPECIAL SERVICES FILES Volunteer Program Applications (Community Service, C + 2 Hard Copy Applications, Minor Consent Forms, TB Test, Live 1130-01 CSD 2019 and prior etc.) GC 34090 Volgistics Scan C + 2 ar opy 1130-04 Special Events Permits CSD EnerGov Permits 2019 and prior GC 34090 1141 SPECIAL STUDIES FILES P Hard Copy Plans, reports, studies, easements, legal 1141 01 Flood Control Studies PW Laserfiche descriptions Permanent GC 34090 AD PW Drive P Hard CopyStudies, 1141-02 Demographic & Statistical Studies ED supporting documents Permanent GC 34090 AD ED Drive Page 38 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER DESTRUCTION DATES & LOCATION OF RECORDS LEGAL (Updated each January) CITATION 1150 ANIMAL CONTROL FILES C + 2 EnerGov 1150-01 Animal Control Correspondence CE Permits Plus Code cases, reports, correspondence, noticing 2019 and prior GC 34090 B&S Drive 1160 TRAFFIC CONTROL AND PARKING P Hard Copy Plans, reports, studies, bonds, agreements, 1160-01 Traffic Control Files PW GC 34090 AD Laserfiche easements, legal descriptions permanent PW Drive C + 2 Hard Copy 1160-02 Traffic Studies and Surveys PW Laserfiche Reports, studies 2019 and prior GC 34090 PW Drive P Hard Copy Plans, reports, studies, bonds, agreements, 1160-04 Traffic Requests — Public Inquiry PW Lucit y Permanent GC 34090 AD easements, legal descriptions PW Drive C + 5 Hard Copy 1160-06 Traffic Consultants PW Laserfiche Reports, studies 2016 and prior GC 34090 PW Drive 1161 TRAFFIC MAPS P Hard Copy 1161-02 Street Maps ITSS/PW GIS System GIS data base, street improvement plans Permanent GC 34090 AD Laserfiche PW Drive P Hard Copy 1161-03 Speed Survey PW Laserfiche Traffic documents, reports, studies Permanent GC 34090 AD PW Drive Page 39 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION 1162 TRAFFIC SIGNAL FILES L Hard Copy 1162-01 Traffic Signals ITSS, PW Lucity GIS data base, traffic signal plans Life GC 34090 PW Drive L Hard Copy 1162-02 Traffic Signal Maintenance PW GIS System Reports, service maintenance records, PM, Service Life GC 34090 Lucity Order Requests PW Drive 1163 PARKING FILES 1163-01 Park and Rides CC GC 34090 Hard Copy Correspondence 2019 and prior 1170 SANITATION, SEWERS & STORMDRAINS US Hard CopyGeneral 1170-09 Storm Drains and Flood Control CC correspondence, updates Until Superseded GC 34090 1180 PUBLIC RELATIONS FILES 1180-02 Historical Documents ALL P Hard Copy Incorporation news clippings, historical press Permanent GC 34090 Hard Drive releases C + 2 MyCivic 1180-03 Public Inquiry and Complaints (Except Consumer) ALL GC 34090, Office 365 General correspondence 2019 and prior 945.6 CCP 338, 342 Hard Copy P Hard CopyAgendas, 1180-06 Public Ceremony Files CM outlines Permanent GC 34090 AD C + 2 Hard CopySurveys, 1180-08 Public Questionnaires/Surveys CM, CSD summaries, results, reports 2019 and prior GC 34090 Hard Drive P Hard CopyNewsletters 1180-09 Municipal Newsletter CM Permanent GC 34090 AD Hard Drive Page 40 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION P Hard CopyListings 1180-10 Donations TO the City CC of donated items Permanent GC 34090 AD C + 2 Hard CopyGeneral 1180-11 Organizations and Clubs, General CM, CSD correspondence 2019 and prior GC 34090 C + 2 Hard CopyCopies 1180-12 Community Education CSD of print collateral, media files 2019 and prior GC 34090 Hard Drive C + 2 Hard CopyPress 1180-13 Special Events and City Sponsored Events CM, CSD releases, permits, supporting documentation 2019 and prior GC 34090 Hard Drive C + 2 Hard CopyPress 1180-14 City Promotional Campaign CM, CSD releases, collateral 2019 and prior GC 34090 Hard Drive P Hard Copy 1180-16 Sister City Program CM, CSD Letters, itinerary, items of historical significance Permanent GC 34090 AD Hard Drive US + 2 Hard CopyPublications, 1180-18 City Publications & Brochures ALL brochures, postal cards, etc. Until Superseded + 2 GC 34090 Hard Drive P Hard Copy Reports delivered in conjunction with City business 1180-20 Speeches CM speech outlines (retain items of historical Permanent GC 34090 AD Hard Drive significance) PUBLIC UTILITIES, COMMUNICATIONS, AND 1200 TRANSPORTION FILES 1201 GENERAL UTILITIES FILES P Hard CopyAgreement 1201-01 Public Utilities Commission CC Permanent GC 34090 AD Page 41 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER DESTRUCTION DATES & LOCATION OF RECORDS LEGAL (Updated each January) CITATION 1202 GAS AND ELECTRIC FILES P Hard CopyFranchise 1202-01 Franchise Files CC documentation Permanent GC 34090 AD Laserfiche P Hard CopyCorrespondence, 1202-03 Easements Granted TO Southern California Edison CC recorded documents, exhibits Permanent GC 34090 AD Laserfiche 1203 RADIO FILES AE+2 1203-01 Radio Station License CC GC 34090 Hard Copy License AE + 2 1205 TELEPHONE FILES C + 2 Hard CopyCorrespondence 1205-01 General Telephone ITSS 2019 and prior GC 34090 C + 2 Hard CopyCorrespondence 1205-02 Cellular Telephone ITSS 2019 and prior GC 34090 C + 2 Hard CopyCorrespondence 1205-04 Communication Facilities ITSS 2019 and prior GC 34090 1206 CABLE TELEVISION FILES C + 2 Hard CopyCorrespondence 1206-01 Cable TV Reference Papers ITSS 2019 and prior GC 34090 P Laserfiche 1206-02 Cable TV Franchise ITSS Correspondence, agreements, exhibits Permanent GC 34090 AD Hard Copy 1207 TRANSPORTATION FILES C + 2 Hard CopyMeeting 1207-05 Regional Issues CM, PW agendas 2019 and prior GC 34090 PW Drive Page 42 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER DESTRUCTION DATES & LOCATION OF RECORDS LEGAL (Updated each January) CITATION 1300 PUBLIC SAFETY FILES 1301 PUBLIC SAFETY C + 2 Hard CopyCorrespondence, 1301-01 Law Enforcement CM enforcement documentation 2019 and prior GC 34090 C + 2 EnerGov 1301-02 Public Safety, General CD, CM Permits Plus Code cases, reports, correspondence, noticing 201� and prior GC 34090 B&S Drive C + 2 EnerGov AVA Quarterly Reports, reimbursement 1301-08 Abandoned Vehicles & Houses CD Permits Plus documents, correspondence, noticing 2019 and prior GC 34090 B&S Drive C + 2 Hard CopyCorrespondence, 1301-13 Border Patrol CC, CM enforcement documentation 2019 and prior GC 34090 1302 FIRE DEPARTMENT P Hard Copy Project files, applications, notices, correspondence 1302-06 Fire Department Facilities p FP Laserfiche related to project, plans, etc. Permanent GC 34090 AD FP Drive P Hard Copy Project files, applications, notices, correspondence 1302 08 Fire Permit Files FP GC 34090 AD EnerGov related to project, plans and database records Permanent Permits Plus Laserfiche PARKS, RECREATION, ENVIRONMENTAL AND 1400 EDUCATION FILES 1401 PARKS AND FACILITIES Community Service Rules & Regulations (Council P Hard Copy 1401-00 CSD Ordinances, resolutions Permanent Adopted) GC 34090 AD Page 43 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION City Facilities and Parks Reports, Studies & P Hard Copy 1401-01 CC, CSD Reports, studies, summaries and regulations Permanent Regulations GC 34090 AD Recreation Forms (Activity Registrations, Park/Facility C + 2 Hard Copy 1401-10 CSD Forms, rosters 2019 and prior Rentals, Sign -In Sheets, Rosters, etc.) GC 34090 Civic Rec 1402 CULTURAL RECREATION FILES 1403 ENVIRONMENTAL FILES P Hard Copy 1403-01 Community Design Manual CD Planning Drive Manual Permanent GC 34090 AD X Drive P Hard Copy 1403-02 Landscaping Guidelines CD Planning Drive Guidelines Permanent GC 34090 AD X Drive P Hard Copy 1403-03 Air Pollution/Air Element CD Reports, studies, surveys, environmental Permanent GC 34090 AD Planning Drive documents X Drive P Hard Copy 1403-04 Archaeological Surveys CD Reports, studies, surveys, environmental Permanent GC 34090 AD Planning Drive documents P Hard Copy Reports, studies, surveys, environmental 1403-07 Resource Conservation Areas CD Planning Drive documents Permanent GC 34090 AD X Drive P Hard Copy 1403 08 Energy Conservation CD Reports, studies, surveys, environmental Permanent GC 34090 AD Planning Drive documents X Drive Page 44 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION P Hard Copy 1403-09 City -Wide Clean-up Campaigns CD Reports, studies, surveys, environmental Permanent GC 34090 AD Planning Drive documents X Drive Hard Copy P Planning Drive Reports, studies, surveys, environmental 1403 10 Noise Pollution CD X Drive documents Permanent GC 34090 AD P Hard Copy 1403-11 Tree Trimming and Removal PW Lucit y Reports, studies, surveys, environmental Permanent GC 34090 AD documents PW Drive P Hard Copy Reports, studies, surveys, environmental 1403-12 Recycling CD Planning Drive documents Permanent GC 34090 AD X Drive P Hard Copy 1403-13 Safe Drinking Water Act CD Hard Copy Reports, studies, surveys, environmental Permanent GC 34090 AD Planning Drive documents X Drive P Hard Copy 1403-14 Congestion Management CD Hard Copy Reports, studies, surveys, environmental Permanent GC 34090 AD Planning Drive documents X Drive Page 45 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION P Hard Copy 1403 15 Stephen's Kangaroo Rat Mitigation p g g CD Planning Drive Reports, studies, surveys, environmental documents permanent GC 34090 AD X Drive P Hard Copy Reports, studies, surveys, environmental 1403-16 Multi -Species Habitat Conservation Plan p CD Planning Drive documents Permanent GC 34090 AD X Drive P Hard Copy 1403-17 CEQA CD Planning Drive Reports, studies, surveys, environmental documents Permanent GC 34090 AD X Drive P Hard Copy Reports, studies, surveys, environmental 1403-18 Landfills CD Planning Drive documents Permanent GC 34090 AD X Drive P Hard Copy 1403 19 Erosion Control Plans CD Reports, studies, surveys, environmental Permanent GC 34090 AD Planning Drive documents X Drive P Hard Copy 1403-20 Earthquake Standards/Hazardous Buildings q g CD Planning Drive Reports, studies, surveys, environmental documents Permanent GC 34090 AD X Drive P Hard Copy 1403-21 Mining Projects CD Planning Drive Reports, studies, surveys, environmental documents Permanent GC 34090 AD X Drive Page 46 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION P Hard Copy 1403 22 Endangered S Federal Species Act FESA p ( ) CD Planning Drive Reports, studies, surveys, environmental documents permanent GC 34090 AD X Drive P X Drive 1403-23 Santa Ana Watershed Project Authority CD Planning R Reports, studies, surveys, environmental permanent GC 34090 AD Drive documents Paper P Hard Copy 1403-24 Environmental Pests CD Planning Drive Reports, studies, surveys, environmental documents Permanent GC 34090 AD X Drive 1405 EDUCATION FILES C + 2 Hard CopyGeneral 1405-01 Temecula Valley Unified School District CM correspondence 2019 and prior GC 34090 C + 2 Hard CopyGeneral 1405-02 Universities, College & Higher Education CM correspondence 2019 and prior GC 34090 C + 2 Hard Copy 1405-03 Charter, Private, Public & Christian Schools CM General correspondence 2019 and prior GC 34090 Page 47 Exhibit A City of Temecula Records Retention Destruction Schedule DRAFT Adopted by City Council Resolution No. 2022-_, January 18, 2022 RECORD SERIES OFFICE OF RETENTION & RECORD CATEGORY RETENTION RECORDS DOCUMENT/RECORD TYPE(S) FILE RECORD APPROVED NUMBER & LOCATION DESTRUCTION DATES OF RECORDS LEGAL (Updated each January) CITATION GOVERNMENT ORGANIZATIONS AND OFFICES: 1500 INTERNATIONAL, NATIONAL AND LOCAL International, National and Local Government C + 2 Hard Copy 1500-01 ALL General correspondence 2019 and prior Organizations & Offices GC 34090 1501 UNITED STATES OFFICES AND ORGANIZATIONS C + 2 Hard CopyGeneral 1501-01 United States Offices & Organizations ALL correspondence 2019 and prior GC 34090 1502 CALIFORNIA OFFICES AND ORGANIZATIONS C + 2 Hard CopyGeneral 1502-01 California Offices & Organizations ALL correspondence 2019 and prior GC 34090 1503 REGIONAL ORGANIZATIONS C + 2 Hard CopyGeneral 1503-01 Regional Organizations ALL correspondence 2019 and prior GC 34090 1504 RIVERSIDE COUNTY FILES C + 2 Hard Copy 1504-01 Riverside County Offices ALL General correspondence 2019 and prior GC 34090 Page 48 Item No. 5 CITY OF TEMECULA AGENDA REPORT TO: City Manager/City Council FROM: Randi Johl, Director of Legislative Affairs/City Clerk DATE: January 18, 2022 SUBJECT: Approve Annual Legislative Platform for Calendar Year 2022 PREPARED BY: Randi Johl, Director of Legislative Affairs/City Clerk RECOMMENDATION: That the City Council approve the annual legislative platform for calendar year 2022. 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 a shortened legislative session due to the COVID-19 pandemic with primary focus on health and economic recovery efforts at the state and federal levels. Recovery and funding principles are already included in the platform. There were no substantive changes to the platform as a result. The City's state and federal lobbyists will receive the updated platform after adoption. FISCAL IMPACT: None ATTACHMENTS: 2022 Legislative Platform ov T Exit �a a. O 1989 b!01 �S �YU,\;S 0 NEW OXVO CITY OF TEMECULA 2022 STATE AND FEDERAL LEGISLATIVE PLATFORM Approved: January 18, 2022 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. 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. 0 • 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. 0 • 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. 0 Item No. 6 CITY OF TEMECULA AGENDA REPORT TO: City Manager/City Council FROM: Randi Johl, Director of Legislative Affairs/City Clerk DATE: January 18, 2022 SUBJECT: Approve Annual Boards and Commissions Handbook for Calendar Year 2022 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 2022. BACKGROUND: The City Council first approved the Boards and Commissions Handbook on February 26, 1991. The handbook is amended periodically to reflect noteworthy changes in law, current practices and procedures, and the general role and authority of board and commission members. The handbook is also 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. The 2022 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: Boards and Commissions Handbook City of Temecula Boards and Commissions Handbook Updated January 18, 2022 SECTION 1 TABLE OF CONTENTS Section 1 ............................ Letter of Welcome Section 2 .............................. Role & Authority Section 3 ...................... Policies and Procedures Section 4 ......................Establishing Documents 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 ectlon 9 ............Summary of Public Records Laws Section 10 ............................... Resource List City of Temecula J 41000 Main Street • Temecula, CA 92590 Phone (951) 694-6444 • Fax (951 ) 694-6449 • www.cityoftemecula.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, Rand, JD, MMC Legislative Director / City Clerk SECTION 2 THE ROLE AND AUTHORITY OF BOARD AND COMMISSION MEMBERS The primary role of boards and commissions is to serve in an advisory capacity to the City Council on specified matters and encourage increased public input and participation in the local government decision -making process. Boards and commissions are not involved in the administration or operation of City departments and may not direct administrative staff to initiate programs, conduct major studies, and/or establish official policy without the approval of the City Council. City staff members are available to provide general staff assistance and support to boards and commissions. While boards and commissions generally serve in an advisory capacity, the City Council may authorize certain boards or commissions to take final action in prescribed areas pursuant to statutory law. For example, the Planning Commission is authorized to grant final approval on certain projects while providing recommendations on others. In addition, staff may bring various projects to a board or commission for their review before taking the matter to the City Council forfinal approval. Boards and commissions serve as the principal reviewing body for matters referred to them with final decision -making authority remaining with the City Council. I. General Information About Becoming a Board or Commission Member Appointment and Removal The Temecula Municipal Code sets forth the board and commission appointment and removal provisions. Appointments are subject to the approval of a majority of the City Council. A majority of the City Council may also remove an appointee for good cause. Board and commission members may be selected based on a variety of criteria and public presentation. The following guidelines may be used in the appointment of board and commission members: Public application, presentation and selection process Applications, letters of recommendation, and references Attendance records of incumbent board and commission members Members usually represent a cross-section of the community. No board or commission member shall be an employee of the City. Members may not serve on more than one board or commission at a time. General qualitative attributes of board and commission members include, but are not limited to, the following: • Be an informed resident (knowledgeable about local affairs) • Have a good rapport with all segments of the community • Have a genuine concern for residents and the community as a whole • Be a good listener • Be open and honest • Relate well to others, including other board and commission members • Be accepting of decisions that are the will of the majority • Show respect for viewpoints other than your own • Allow others adequate time to present their views before making comments • Welcome new members and help them become acquainted with their duties • Strive to minimize strife and polarization among members Orientation Upon appointment to a board or commission, the City Clerk and/or City Attorney will provide a formalized orientation to include review of the Boards and Commissions Handbook, open meeting laws and conflicts of interest. Orientation will also include administrative processing and a meeting with the City Manager or his/her designee. The corresponding department will conduct an orientation on the subject matter specific to each board or commission. Attendance Notwithstanding the differences in the subject matter jurisdiction of each board or commission, all members share some basic responsibilities. Meeting attendance is a fundamental responsibility. All members are expected to regularly attend their respective board or commission meetings. Three unexcused, consecutive absences constitute a vacancy of office. Subject Matter Jurisdiction Members must stay informed on subjects of interest to their specific board or commission. The City Council encourages and provides opportunities for continuing education to assist board and commission members in the conduct of their duties. The subject matter jurisdiction of each board and commission is as follows: Old Town Local Review Board - The Old Town Local Review Board (OTLRB) reviews and makes recommendations on topics related to the Old Town Specific Plan, matters of historical significance and architectural themes in the historic district. Community Services Commission - The Community Services Commission (CSC) reviews and makes recommendations on topics related to the Parks and Recreation Element of the General Plan and works to provide parks and recreation services and programs for the community. Planning Commission - The Planning Commission (PC), serving as the designated statutory planning agency for the City of Temecula, reviews and makes recommendations on topics related to subdivisions, specific plans, zone changes, plot plans and conducts legally required public hearings. Public/Traffic Safety Commission - The Public/Traffic Safety Commission (PTSC) reviews and makes recommendations on topics related to speed zones, stop signs, signals, pavement markings, traffic design and engineering. Race, Equity, Diversity and Inclusion Commission - The Race, Equity, Diversity and Inclusion Commission (REDI) reviews and makes recommendations on topics of diversity and inclusion within City events, services, programs and policies and enhanced community relations. Opportunities for Engagement Board and commissioner members are encouraged to become acquainted with the City, its values, and operational structure. To obtain this knowledge, board and commission members are encouraged to do the following: ✓ Attend City Council Meetings ✓ Attend City -Sponsored Special Events ✓ Attend Other Board and Commission Meetings ✓ Meet with City Council Board and Commission Liaisons ✓ Meet with the City Manager, Executive Directors, and/or Other Staff Members ✓ Participate in Subcommittee Opportunities ✓ Participate in Annual Board and Commission Assessments and Joint Meetings Revised January 2022 II. General Information About Operating as a Board or Commission Board and Commission Organization and Meetings All board and commission meetings shall be publicly noticed and conducted in the same manner as City Council meetings. Board and commission meeting agendas and minutes shall be created, approved and publicly retained in the same manner as those of the City Council. Guidance on these matters shall be provided by the City Clerk and City Attorney. Each board and commission shall annually elect a chairperson and vice -chairperson. The main responsibility of the chairperson shall be to run orderly and effective meetings ensuring that all voices are heard, including those of fellow board and commission members and the public. The chairperson will work with the corresponding department director and staff on agenda content and to ensure the meetings are conducted in an effective, efficient and inclusive manner. Members should take particular care to comply with the open public meeting laws set forth in the Brown Act. While staff provides the appropriate notice and agendas for board and commission meetings, individual members must take care to not discuss City business with other board or commission members, either together or one at a 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. City Council Liaisons and Joint Meetings The City Council annually appoints one Council Member to serve as a liaison to each board and commission. The appointed member is available for individual consultations with that board or commission and may attend board or commission meetings. In addition, each board and 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 2nd Meeting in February — Public/Traffic Safety Commission 1st Meeting in March — Community Services Commission 2na Meeting in March — Race, Equity, Diversity and Inclusion 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 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, board and commission members may present at City Council meetings providing a verbal report on the status of their respective board or commission as a routine item on the regular agenda. Working with Staff and Fellow Members Board and commission members are individually appointed by the City Council. City staff assigned to work with boards and commissions report to the City Manager, who in turn, reports to the City Council. A department director or administrator 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 so that the project may 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 Revised January 2022 be cognizant of the time involved on the part of staff in preparing requested studies and reports. With respect to general discussion at board and commission meetings, members should make every attempt to clarify differences and make certain that clear communication is taking place when recommendations are discussed and approved. If differences cannot be resolved, the Department Director, City Manager and/or Council Member serving as the Board or Commission Liaison may be consulted to resolve the matter. Staff Reports to the City Council On occasion, staff will be required to prepare an agenda report on a board or commission item for City Council review. The staff member should present both the staff position and the board or commission position in the report. The majority and minority viewpoints of the board or commission members should also be presented. It is the desire of the City Council to have an opportunity to hear and consider all sides of an issue and alternative recommendations to assist in their decision - making process. Board and Commission Goals and Department Priorities The City prepares an annual budget and operates on a fiscal year budget cycle. Boards and commissions are encouraged to annually review and comment on department programs and capital projects that may relate to their scope of interest. This evaluation is intended to focus attention on the overall department program and service priorities and board and commission objectives as opposed to departmental operations. Public Hearinas In some instances, boards or commissions will have to conduct a public hearing, either on a major issue of concern to the community, on a permit application, or on an appeal of a staff decision. Most board and commission actions and recommendations may be appealed or otherwise sent to the City Council for review and approval. Certain Planning Commission actions may be final with no right of appeal. Care must be taken in the maintenance of the official record of any proceeding. The procedure established by the City Attorney must be followed during the conduct of these hearings. Legislative Positions Boards and commissions may review and make recommendations on ballot proposals and legislation requested by the City Council. 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. Legal Assistance Some boards or commissions, such as the Planning Commission, may require the presence of a City Attorney. When there is doubt concerning the legality of an issue, the attorney will advise members on the proposed course of action. In the absence of an attorney, when there is doubt about the legality of a procedure, the board or commission should refrain from additional discussion and decision making until a legal opinion is rendered. If necessary, a hearing may be continued until matters can be clarified. In all cases, the direction of the City Attorney should be followed closely. III. General Information About Personal Conduct as a Board or Commission Member Representation on Behalf of the City Board and commission members must be cognizant of their presence and public stance as a representative of the City and the board or commission they serve. Members must refrain from presenting their personal views or recommendations as representing the board or commission Revised January 2022 unless such a body has voted to approve the action. When expressing views that the majority of the board or commission has not approved, members must indicate their opinion is that of a private individual. Personal opinions must be identified as such. Public statements should not include promises or direction that may be construed to be binding on the board or commission, City Council, or City staff. When making a public statement, members should indicate that board and commission actions are advisory in nature and final action on the recommendations will be taken by the City Council. Planning Commissioners should not express any views on projects that will come before them. The Planning Commission must provide legal due process for applicants which requires that commissioners not express any bias or views on a project until all of the information is presented at a public hearing and the applicant and public have expressed their views on the matter. Board and commission members are empowered by appointment to represent the general interest of the City and the board or commission on which they serve. Representation in their appointed capacity does not include specific program areas and/or special interest groups they may be professionally and/or personally affiliated with. Public Appearance Before a Legislative Body If 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 membership on a City board or commission. If a question of membership arises, the member shall indicate that they are appealing and speaking 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. Running for Elective Office While Appointed Members shall be permitted to retain membership on their respective board or commission while seeking any elective office. Members of these 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 elective office. Campaign contributions to board or commission members may be considered income and the conflict of interest rules apply to board or commission actions involving a campaign contributor. These rules are described in the Conflict of Interest Handbook and the City Attorney should be consulted if a member decides to run for elective office. Revised January 2022 SECTION 3 �ovTExlt CITY OF TEMECULA :- City Clerk's Office o iss9 `^ PROCEDURES FOR "Oj'onv . tiwYa� BOARDS AND COMMISSIONS Purpose: The City of Temecula currently has one board and four commissions. Various resolutions and the municipal code of the City of Temecula contain general provisions which govern the City's boards and commissions. 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. A general description of the existing board and commissions is as follows: Old Town Local Review Board The Old Town Local Review Board (OTLRB) reviews and makes recommendations on topics related to the Old Town Specific Plan, matters of historical significance and architectural themes in the historic district. The Old Town Local Review Board meets the second Monday of each month at 9:00 a.m. in the Council Chambers at City Hall. Community Services Commission The Community Services Commission (CSC) reviews and makes recommendations on topics related to the Parks and Recreation Element of the General Plan and works to provide parks and recreation services and programs for the community. The Community Services Commission meets the second Monday of each month at 6:00 p.m. in the Council Chambers at City Hall. Planning Commission The Planning Commission (PC), serving as the designated statutory planning agency for the City of Temecula, reviews and makes recommendations on topics related to subdivisions, specific plans, zone changes, plot plans and conducts legally required public hearings. The Planning Commission meets the first and third Wednesday of each month at 6:00 p.m. in the Council Chambers at City Hall. Public/Traffic Safety Commission The Public/Traffic Safety Commission (PTSC) reviews and makes recommendations on topics related to speed zones, stop signs, signals, pavement markings, traffic design and engineering. The Public/Traffic Safety Commission meets the fourth Thursday of each month at 6:00 p.m. in the Council Chambers at City Hall. Race, Equity, Diversity and Inclusion Commission The Race, Equity, Diversity and Inclusion Commission (REDI) reviews and make recommendations on topics of diversity and inclusion within City events, services, programs and policies and enhanced community relations. The Race, Equity, Diversity and Inclusion Commission meets the second Thursday of each month at 6:00 p.m. in the Council Chambers at City Hall. APPOINTMENT OF BOARD AND COMMISSION MEMBERS The City Council is the appointing body for the City's boards 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. o Scheduled Vacancv - 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 through a variety of methods (i.e., City website, PEG Channel, flyers in City Hall lobby and at City -affiliated events, email lists, Constant Contact, press releases, social media, etc.). o Unscheduled Vacancv- 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 sixty (60) days 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 advertising again. • The City Clerk shall provide incumbent commission member(s) with a notification advising of the upcoming expiration and inviting them to reapply. • All applicants will be advised that the appointment process is a public process subject to the Brown Act and Public Records Act. • Applications will be electronically accessible through the City's website and will be processed as follows: o Completed applications will be electronically accepted in a standardized manner by the City Clerk's office as Council directed, indicating interest in one or more board or commission. Completed applications include the application itself, along with any attachments (i.e., resume, letter of recommendation, etc.). o The City Clerk will provide a non -redacted set of qualified applications, with all attachments, to each council member electronically. Said applications shall be provided to the City Council for their review at least ten (10) days prior to the Council meeting at which an appointment will be considered. o Appointments shall be calendared as a business item at a regularly scheduled or special City Council meeting. At the Council meeting, candidates shall provide a five (5) minute presentation on why they wish to be appointed to the relevant board or commission. After questions and discussion, the Council shall indicate their preferences and make an appointment. A majority vote of the City Council is required for appointment. 2. 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: o City Manager / City Council — Welcome on Behalf of the City and City Council o 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 o IT — Issuance of Proximity Cards o 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 3. 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. Under Section 2.40.090, a position is declared vacant when a member is absent from three consecutive meetings without excuse. 4. 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 updated to reflect new board and commission appointments as needed. 5. TRAINING FOR BOARD AND COMMISSION MEMBERS 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 boards and commissions as needed. 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. 6. JOINT MEETINGS AND RECOGNITION Service recognitions for board and commission members will take place annually at the first regularly scheduled City Council meeting in January. Joint meetings of the City Council and each board and commission shall be held at the regularly scheduled City Council meetings in February and March. If desired, the City Clerk's office shall also coordinate an annual informal gathering of the board and commission members and City Council. Procedure No.: 014 Last Revised: January 2022 SECTION 4 ORDINANCE NO. 89-13 AN URGENCY ORDINANCE OF THE CITY COUNCIL OF THE CITY OF TEMECULA ESTABLISHING THE PLANNING AGENCY WHEREAS, the City of Temecula was incorporated on December 1, 1989 as a general law city in the State of California; WHEREAS, it is necessary for the efficient operation of the affairs of the City that there be an interim Planning Commission; WHEREAS, prior to incorporation, the Planning Agency as the County Planning Commission, except in certain minor land use matters where the Planning Director served as the Planning Agency; WHEREAS, it is the intent of the City of Temecula to establish its own Planning Commission; WHEREAS,until the City Council can select its own Planning Commission to serve, as its Planning Agency, it prefers to continue to use the services of the County Planning Commission, so long as no decision of the County Planning Director or County Planning Commission is final until it has been received and considered by the City Council. NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF TEMECULA DOES HEREBY ORDAIN AS FOLLOWS: Section 1. An interim Planning Agency for the City of Temecula is hereby established. The members of the Riverside County Planning Commission and the Riverside County Planning Director shall serve as the members of the interim Planning Agency pursuant to the functions granted to them under the County Ordinances, which the City as adopted by reference. The County Planning Commission and the County Planning Director shall continue these functions until the City Council has appointed a City Planning Commission. Section 2. Notwithstanding Section 1 of this Ordinance, and any provisions of the County Ordinances to the contrary, notice of all decisions of the County Planning Director and the County Planning Commission shall be filed with the Clerk of the City Council, together with a repost of the proceedings, not more than fifteen (15) days after the decision. A copy of the Notice of Decision shall be mailed to Applicant and to any person who has made a written request for a copy of the decision. The City Clerk shall place the Notice of Decision on the next agenda of the Ords 89-13 City Council held five (5) or more days after the Clerk receives the Notice. The decision of the County Planning Director or the County Planning Commission is considered final, and no action by the City Council is required unless, within ten (10) days after the Notice of Decision appears on the Council's agenda, the Applicant or interested party files an appeal, accompanied by the fee set forth in the County Ordinances, with the Clerk of the Board of Supervisors, or unless the City Council assumes jurisdiction by ordering the matter set for public hearing. Section 3. Ordinance No. 89-04 of the City of Temecula is hereby repealed.. Section 4. The City of Temecula was incorporated on December 1, 1989. Unless this Ordinance becomes effective immediately, there will be no effective means to administer the zoning and planning laws adopted by the City Council at its organizational meeting. Administration of said laws by the local planning agency is necessary to protect the public peace, health and safety. This Ordinance is therefore necessary of the immediate preservation on the public peace, health and safety, and shall take effect immediately. Section 5. The City Clerk shall certify to the adoption of this Ordinance and cause it to be posted in three designated posting places. Section 6. SEVERABILITY. The City Council hereby declares that the provisions of this Ordinance are severable and if for any reason a court of competent jurisdiction shall hold any - sentence, paragraph, or section of this Ordinance to be invalid, such decision shall not affect the validity of the remaining parts of this Ordinance. PASSED, APPROVED AND ADOPTED this 26th day of December, 1989. Ronald J. Parks, Mayor ATTEST: F. D. Aleshire, City Clerk [SEAL] Ords 89-13 STATE OF CALIFORNIA) COUNTY OF RIVERSIDE) SS CITY OF TEMECULA ) I, F. D. Aleshire, City Clerk of the City of Temecula, do hereby certify that the foregoing Ordinance No. 89-13 was duly adopted at a regular meeting of the City Council of the City of Temecula on the 26th day of December, 1989, by the following roll call vote. AYES: 4 COUNCILMEMBERS: NOES: 0 COUNCILMEMBERS: ABSENT: 1 COUNCILMEMBERS: Ords 89-13 Birdsall, Moore„ Munoz, Parks None Lindermans �i F. D. Aleshire, City Clerk ORDINANCE NO. 92-17 AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF AMENDING CHAPTER 12.01 OF THE TEMECULA MUNICI- PAL CODE RELATING TO THE ESTABLISHMENT OF A TEMECULA PUBLIC/TRAFFIC SAFETY COMMISSION AND REPEALING CHAPTER 11.01 OF THE TEMECULA MUNICIPAL CODE THE CITY COUNCIL OF THE CITY OF TEMECULA DOES HEREBY ORDAIN AS FOLLOWS: Section 1. Chapter 12.01 of the Temecula Municipal Code is hereby amended to read as follows: "12.01.010 Public/Traffic Safety Commission Established. Pursuant to Section 2.06.010 of this Code, there is hereby created an advisory commission to the City Council which shall be known as the "Temecula Public/Traffic Safety Commission." 12.01.020 Commission Composition and Memhershi . The Public/Traffic Safety Commission shall consist of seven (7) Members appointed by the City Council pursuant to Section 2.06.050 of this Code. 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. 12,01,030 Term of Office. Terms of office for Public/Traffic Safety Commissioners shall be three (3) years with staggered terms. Initially, all seven (7) members may be selected at once. In order to achieve staggered terms, three members shall be appointed for terms of three (3) years; two members for terms of two (2) years; and two members for terms of one (1) year, said 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 2.06.050 of this Code. 12.01,040 Staff Assistance. The City Manager shall ensure that adequate staff will be allocated to provide necessary technical and clerical assistance to the Commission. 12.01,050 Time and Place of Meeting. The Public/Traffic Safety Commission shall establish a regular date, time, and place for Commission meetings, which shall be open to the public. Said meetings shall occur no less frequently than once a month. 12,01.060 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 Ord* 92-17 traffic safety. The duties of the Public/Traffic Safety Commission shall be established by Resolution of the City Council. 12,01,070 Public Hearings. Whenever the Commission determines, by a two-thirds (2/3's) 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 of Temecula, and/or by posting the same in at least three (3) public places, not later than seven (7) 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." Section 2. Chapter 11.01 of the Temecula Municipal Code is hereby repealed. Section 3. SEVERARnM. The City Council hereby declares that the provisions of this Ordinance are severable and if for any reason a court of competent jurisdiction shall hold any sentence, paragraph, or section of this Ordinance to be invalid, such decision shall not affect the validity of the remaining parts of this Ordinance. Section 4. This Ordinance shall be in full force and effect thirty (30) days after its passage. Section 5. The City Clerk shall certify to the adoption of this Ordinance. PASSED, APPROVED AND ADOPTED this loth day of November, 1992. Patricia H. Birdsall, Mayor ATTEST: [SEAL] Ord@ 82-17 -- STATE OF CALIFORNIA ) COUNTY OF RIVERSIDE) SS CITY OF TEMECULA ) I, June S. Greek, City Clerk of the City of Temecula, HEREBY DO CERTIFY that the foregoing Ordinance No. 92-17 was duly introduced and placed upon it first reading at a regular meeting of the City Council on the 27th day of October, 1992, and that thereafter, said Ordinance was duly adopted and passed at a regular meeting of the City Council on the loth day of November, 1992, by the following roll call vote. AYES: 4 COUNCILMEMBERS: NOES: 0 COUNCILMEMBERS: ABSENT: 1 COUNCILMEMBERS: Ord. az-n 3 Lindemans, Munoz, Parks, Birdsall None Moore --Cn- - Q" e S. Greek, City Clerk 1 ORDINANCE NO. 93-06 AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF TEMECULA AMENDING CHAPTER 13.01 TO THE TEMECULA MUNICIPAL CODE RELATING TO THE ESTABLISHMENT OF A TEMECULA COMMUNITY SERVICES COMMISSION WHEREAS, On April 24, 1990, the City Council of the City of Temecula adopted Ordinance 90-05, which added Chapter 13.01 to the Temecula Municipal Code establishing the Temecula Parks and Recreation Commission, and WHEREAS, on February 2, 1993, after due consideration, the Temecula City Council accepted the recommendation of the Parks and Recreation Commission to officially change the name of said Parks and Recreation Commission to the Community Services Commission; NOW THEREFORE, THE CITY COUNCIL OF THE CITY OF TEMECULA DOES RESOLVE, DETERMINE AND ORDER AS FOLLOWS: Section 1. Chapter 13.01 of the Temecula Municipal Code is hereby amended as follows: "13.01.010 Temecula Community Services Commission - Established. There is hereby established a Temecula Community Services Commission. 13,01.020 Time and place of meeting. The time and place of the meetings of the Temecula Community Services Commission shall be established by resolution of the Commission. 13.01.030 Duties. The duties of the Temecula Community Services Commission shall be established by resolution of the City Council." Section 2. SEVERABILITY. The City Council hereby declares that the provisions of this Ordinance are severable and if for any reason a court of competent jurisdiction shall hold any sentence, paragraph, or section of this Ordinance to be invalid, such decision shall not affect the validity of the remaining parts of this Ordinance. Section 3. This Ordinance shall be in full force and effect thirty (30) days after its passage. 210rds 63-06 11/'01196 Section 4. The City Clerk shall certify to the adoption of this Ordinance and cause the same to be posted in the manner prescribed by law. PASSED, APPROVED AND ADOPTED this 9th day March, 1993. 6p- Sal M04 May r ATTEST: Greek, City Cle STATE OF CALIFORNIA) COUNTY OF RIVERSIDE) SS CITY OF TEMECULA ) I, June S. Greek, City Clerk of the City of Temecula, California, DO HEREBY CERTIFY that the foregoing Ordinance No. 93-06 was duly introduced and placed upon its first reading at a regular meeting of the City Council on the 23rd day of February, and that thereafter, said Ordinance was duly adopted and passed at a regular meeting of the City Council of the City of Temecula on the 9th day of March, 1993 by the following roll call vote: AYES: 4 COUNCILMEMBERS: Parks, Roberts, Stone, Munoz NOES: 0 COUNCILMEMBERS: None ABSENT: 1 COUNCILMEMBERS: Birdsall 4��t� -2�• Jun S Greek, City Clerk 210rds 93-06 10/30/96 RESOLUTION NO. 2020-59 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF TEMECULA ESTABLISHING THE RACE, EQUITY, DIVERSITY AND INCLUSION (REDI) COMMISSION THE CITY COUNCIL OF THE CITY OF TEMECULA DOES HEREBY RESOLVE AS FOLLOWS: Section 1. Race Eguity, Diversity and Inclusion Commission Established. Pursuant to Section 2.40.010 of the Temecula Municipal Code, there is hereby created an advisory commission to the City Council which shall be known as the "Race, Equity, Diversity and Inclusion Commission." Section 2. Commission Composition and Membership. The Race, Equity, Diversity and Inclusion Commission shall consist of seven (7) members appointed by the City Council pursuant to Section 2.40.020 of the Temecula Municipal Code. No officers or employees of the City or person under an employment contract subject to the jurisdiction of the City Council shall be a member of such Commission. Section 3. Term of Office. Terms of office for the Race, Equity, Diversity and Inclusion Commission shall be three (3) years with staggered terms. Initially, all seven (7) members may be +►" selected at once. In order to achieve staggered terms, three members shall be appointed for terms of three (3) years; two members for terms of two (2) years; and two members for terms of one (1) - year. Said terms shall be determined by a randomized drawing. At the completion of any term, a commission member may be reappointed pursuant to Temecula Municipal Code 2.40.060. Section 4. A_nnointment, Removal and Vacancies. Members of the Race, Equity, Diversity and Inclusion Commission shall be appointed and removed in the same manner as other boards and commissions within the City pursuant to Temecula Municipal Code 2.40.050. Vacancies shall be filled pursuant to 2.40.070. Section 5. Time and Place of Meeting. The Race, Equity, Diversity and Inclusion Commission shall meet regularly on the second Thursday of each month at 6 p.m. in the Council Chambers in City Hall located at 41000 Main Street, Temecula. Section 6. Stipend. The Race, Equity, Diversity and Inclusion Commission shall receive the same stipend as the other boards and commissions pursuant to Temecula Municipal Code Section 2.40.100. Section 7. Staff Assistance. The City Manager shall ensure that adequate staff will be allocated to provide necessary assistance to the commission similar to that of other boards and commissions within the City. Section 8. Role and Purpose. Similar to other boards and commissions, with the exception of those with statutory responsibilities, the role of the Race, Equity, Diversity and Inclusion Commission shall be advisory in nature, with legislative authority remaining with the City Council. The commission shall consider various items within its jurisdiction, including items suggested by the City Council and City Manager, and make recommendations. The commission shall work with and through the assigned Department Director and liaison to collaborate on reports and recommendations, including its annual report to the City Council. The purpose of the Race, Equity, Diversity and Inclusion Commission shall be as follows: • Build Strong Relationships Around Issues of Diversity, Inclusion and Equity With the City Council, Commissions, Staff and Community • Learn About Existing City Events, Services and Programs and Identify Opportunities for Further Diversity and Inclusion within the Same • Serve as Ambassadors to Educate the Community About Opportunities Relatcd to Diversity and Inclusion within City Events, Services and Programs ■ Identify Opportunities for Enhanced Communication with All Residents, Including with Those of Various Race, Ethnic, Gender, Disability, Religious, and/or Cultural Backgrounds • Identify Opportunities for Improved Outreach to All Residents on Various City Efforts and Initiatives • Evaluate Policies Brought to the Commission for Consideration with an Equity Lens and Make Recommendations Section 9. The City Clerk shall certify to the passage and adoption of this resolution PASSED, APPROVED, AND ADOPTED by the City Council of the City of Temecula this 25`h day of August, 2020. M ann Edwards, Mayor Pro Tempore ATTEST: :--e � Ran v , 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. 2020-59 was duly and regularly adopted by the City Council of the City of Temecula at a meeting thereof held on the 25`h day of August, 2020, by the following vote: AYES: 4 COUNCIL MEMBERS: Edwards, Naggar, Rahn, Schwank NOES: 0 COUNCIL MEMBERS ABSTAIN: 0 COUNCIL MEMBERS: ABSENT: 0 COUNCIL MEMBERS: I I None None None Randi Johl, City Clerk 3 SECTION .5 INSTITUTE FOR LOCAL GOVERNMENT FOUNDED 1955 PUBLIC SERVICE ETHICS State Ethics Training Requirements For Local Officials: Frequently Asked Questions (FAQs) 9104112 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.1 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.3 "Local agency official" means any member of a legislative body or any elected local agency official who receives compensation or expense reimbursement.4 "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-ilg.org State Ethics Training Requirements For Local Officials: FAQs September 2012 I 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 12347 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 requirement once (within one year of taking office and every two years after that). s Institute for Local Government www.ca-ilg.org 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 apply to charter cities by including charter cities within the definition of local agency.9 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 1, 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 www.ca-ilg.org 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 agency officials receive the training, they will be given proof of participation.14 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 five years.15 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.16 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 Government www.ca-ilg.org 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.18 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/AB 1234compliance) as well as a free online course at http://localethics.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 laws.21 "Ethics laws" are defined as including::: 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 Government www.ca-ilg.org 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-ilg.org/AB 1234compliance. 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 deeper into certain aspects of ethics law in subsequent compliance efforts. 23 12. Can I 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.zs 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."27 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 Government www.ca-ilg.org 6 State Ethics Training Requirements For Local Officials: FAQs 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 G:\INSTITUTE\Ethics\AB 1234 Ethics Programs and Certification\FAQs\State Ethics Training FAQs10-4.doc ' 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 of a local agency legislative body or any elected official who receives any type of compensation ...or reimbursement for actual and necessary expenses incurred in the 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). 5 Cal. Gov't Code § 53234(b). 6 Cal. Gov't Code § 53234(c)(2). 7 Cal. Gov't Code § 532323(a). S See Cal. Gov't Code § 53235.1(c). 9 Cal. Gov't Code § 53234(b). 10 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(b). 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 area 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. '7 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 the agency's and individual's full scope of commitment to understanding the ethical and legal obligations associated with public service. '8 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 regulation20 and the Attorney General issued General Guidelines on Course Accuracy and Sufficiency, which are available on the Department of Justice website: http:Hcaag.state.ca.us/ethics/eth loc guide_final.pdf. A summary of the state's guidelines for training is also available at www.ca-iliz.org/AB1234compliance. Institute for Local Government www.ca-ilg.org 7 State Ethics Training Requirements For Local Officials: FAQs 2012 21 Cal. Gov't Code § 53235(b). 22 Cal. Gov't Code § 53234(d). 23 See Attorney General Guidelines, bottom of page 3, available at http://oag.ca.gov/sites/all/files/pdfs/ethics/eth loc guide final.pdfl 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(c)(2) (Conference must be open to the public and attendees must be mindful of restrictions on discussing items with colleagues). Institute for Local Government www.ca-ilg.org 8 SECTION 6 2020-2021 Statement of Economic Interests Form 700 A Public Document Table of Contents Quick Start Guide .................................................... p.2 Who? Where? How? When? .................................... p.3 Types of Statements ................................................. p.4 Cover Page and Schedules CoverPage ........................................................ p.5 Schedule A-1 (Investments) ............................... p.7 Schedule A-2 (Business Entities/Trusts) ............ p.9 Schedule B (Real Property) ............................... p.11 Schedule C (Income).........................................p.13 Schedule D (Gifts)..............................................p.15 Schedule E (Travel Payments) ...........................p.17 Restrictions and Prohibitions....................................p.19 Q&A........................................................................p.20 Helpful Resources • Video Tutorials • Reference Pamphlet • Excel Version • FAQs • Gift and Travel Fact Sheet for State and Local Officials California Fair Political Practices Commission 1102 Q Street, Suite 3000 • Sacramento, CA 95811 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 2020 Quick Start Guide Detailed instructions begin on page 3. WHEN IS THE ANNUAL STATEMENT DUE? • March 1 — Elected State Officers, Judges and Court Commissioners, State Board and Commission members listed in Government Code Section 87200 • April 1 — Most other filers WHERE DO I FILE? Most people file the Form 700 with their agency. If you're not sure where to file your Form 700, contact your filing officer or the person who asked you to complete it. ITEMS TO NOTE! • The Form 700 is a public document. • Only filers serving in active military duty may receive an extension on the filing deadline. • You must also report interests held by your spouse or registered domestic partner. • Your agency's conflict of interest code will help you to complete the Form 700. You are encouraged to get your conflict of interest code from the person who asked you to complete the Form 700. NOTHING TO REPORT? Mark the "No reportable interests" box on Part 4 of the Cover Page, and submit only the signed Cover Page. Please review each schedule carefully! Common Common Schedule Reportable Interests Non -Reportable Interests A-1: Stocks, including those held in an IRA Insurance policies, government bonds, diversified Investments or 401 K. Each stock must be listed. mutual funds, funds similar to diversified mutual funds. A-2: Business entities, sole proprietorships, Savings and checking accounts, and annuities. Business partnerships, LLCs, corporations and Entitites/Trusts trusts. (e.g., Form 1099 filers). B: Rental property in filer's jurisdiction, or A residence used exclusively as a personal Real Property within two miles of the boundaries of residence (such as a home or vacation property). the jurisdiction. C: Non -governmental salaries. Note that Governmental salary (from school district, for Income filers are required to report only half of example). their spouse's or partner's salary. D: Gifts from businesses, vendors, or Gifts from family members. Gifts other contractors (meals, tickets, etc.). E: Travel payments from third parties (not Travel paid by your government agency. Travel your employer). Payments Note: Like reportable interests, non -reportable interests may also create conflicts of interest and could be grounds for disqualification from certain decisions. QUESTIONS? • advice@fppc.ca.gov • (866) 275-3772 Mon-Thurs, 9-11:30 a.m. E-FILING ISSUES? If using your agency's system, please contact technical support at your agency. If using FPPC's e-filing system, write to form700@fppc.ca.gov. FPPC Form 700 (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www..ca.gov Page - 2 W4x'4 New Gift Limit Increase The gift limit increased to $520 for calendar years 2021 and 2022. The gift limit in 2020 was $500. W4 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 For more information, see Reference Pamphlet, page 3, at www.fppc.ca.gov. W4u to file: 87200 Filers State offices Z Your agency Judicial offices Z The clerk of your court Retired Judges Z Directly with FPPC County offices Z Your county filing official City offices Z Your city clerk Multi -County offices Z 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 Raw 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 Government Code Section 87500.2. WPi. to file: Annual Statements :) March 1, 2021 - Elected State Officers - Judges and Court Commissioners - State Board and State Commission Members listed in Government Code Section 87200 :Z April 1, 2021 - 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. Statements of 30 pages or less may be emailed or 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. 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, 2020, and December 31, 2020, and filed an assuming office statement, you are not required to file an annual statement until March 1, 2022, or April 1, 2022, whichever is applicable. The annual statement will cover the day after you assumed office through December 31, 2021. (See Reference Pamphlet, page 6, for additional exceptions. Candidate Statements File no later than the final filing date for the declaration of candidacy or nomination documents. A candidate statement is not required if you filed an assuming office or annual statement for the same jurisdiction within 60 days before filing a declaration of candidacy or other nomination documents. Late Statements There is no provision for filing deadline extensions unless the filer is serving in active military duty. (See page 19 for information on penalties and fines.) 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. FPPC Form 700 (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page - 3 Types of Statements 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. Report: 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. For positions subject to confirmation by the State Senate or the Commission on Judicial Appointments, your assuming office date is the date you were appointed or nominated to the position. • Example: Maria Lopez was nominated by the Governor 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. Report: 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. Annual Statement: Generally, the period covered is January 1, 2020, through December 31, 2020. If the period covered by the statement is different than January 1, 2020, through December 31, 2020, (for example, you assumed office between October 1, 2019, and December 31, 2019 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 2020. • 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, 2020, through the date you stopped performing the duties of your position. If the period covered differs from January 1, 2020, through the date you stopped performing the duties of your position (for example, you assumed office between October 1, 2019, and December 31, 2019, or you are combining statements), the period covered must be specified. The reporting period can cover parts of two calendar years. Report: Investments, interests in real property, business positions held, and income (including loans, gifts, and travel payments) received during the period covered by the statement. 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 2020. 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 district 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.fppc.ca.gov. Note: Once you file your statement, you may not withdraw it. All changes must be noted on amendment schedules. FPPC Form 700 (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page - 4 Please type or print in ink. NAME OF FILER (LAST) 1. Office, Agency, or Court Agency Name (Do not use acronyms) Division, Board, Department, District, if applicable STATEMENT OF ECONOMIC INTERESTS Date Initial Filing Received COVER PAGE Filing Official Use Only A PUBLIC DOCUMENT (FIRST) Your Position ► IT Ming Tor multiple positions, IISt Delow or on an attacnment. (uo not use acronyms) Agency: Position: 2. Jurisdiction of Office (Check at least one box) ❑ State ❑ Multi -County ❑ City of (MIDDLE) ❑ Judge, Retired Judge, Pro Tern Judge, or Court Commissioner (Statewide Jurisdiction) ❑ County of ❑ Other 3. Type of Statement (Check at least one box) ❑ Annual: The period covered is January 1, 2020, through ❑ Leaving Office: Date Left -or- December 31, 2020. (Check one circle.) The period covered is through O The period covered is January 1, 2020, through the date of December 31, 2020. -or- leaving office. ❑ Assuming Office: Date assumed O The period covered is through the date of leaving office. ❑ Candidate: Date of Election and office sought, if different than Part 1: '4. Schedule Summary (must complete) ► Total number of pages including this cover page: ' ' Schedules attached ' ❑ Schedule A-1 - Investments — schedule attached ❑ Schedule C - Income, Loans, & Business Positions — schedule attached ' ❑ Schedule A-2 -Investments —schedule attached ❑ Schedule D - Income — Gifts — schedule attached ' ❑ Schedule B - Real Property — schedule attached ❑ Schedule E - Income — Gifts — Travel Payments — schedule attached -Or- ❑ None - No reportable interests on any schedule 5. Verification MAILING ADDRESS STREET CITY (Business or Agency Address Recommended - Public Document) DAYTIME TELEPHONE NUMBER EMAIL ADDRESS ( ) STATE ZIP CODE 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) (File the originally signed paper statement with your filing official.) FPPC Form 700 - Cover Page (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page - 5 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 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 include both positions. Example: Brian Bourne is a city council member for the City of Lincoln and a board member for the Camp Far West Irrigation District — a multi -county agency that covers Placer and Yuba counties. Brian 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, Brian 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. Office, Agency, or Court Agency Name (Do not use acronyms) Feather River Irrigation District Division, Board, Department, District, if applicable Your Position N/A Board Member • If fling for multiple positions, list below or on an attachment (Do not use acronyms) Agency. N/4 Position: 2. Jurisdiction of Office (Check at feast one box) State Judge or Court Commissioner (Statewide Jurisdiction) 0 Multi County Yuba & Sutter Counties County of [] City of Other 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 2020 annual statement, do not change the pre-printed dates to reflect 2021. Your annual statement is used for reporting the previous year's economic interests. Economic interests for your annual filing covering January 1, 2021, through December 31, 2021, will be disclosed on your statement filed in 2022. 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 Government Code Section 87500.2. 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 - Cover Page (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page - 6 SCHEDULE A-1 Investments Stocks, Bonds, and Other Interests (Ownership Interest is Less Than 10%) Investments must be itemized. Do not attach brokerage or financial statements. ► NAME OF BUSINESS ENTITY GENERAL DESCRIPTION OF THIS BUSINESS FAIR MARKET VALUE ❑ $2,000 - $10,000 ❑ $10,001 - $100,000 ❑ $100,001 - $1,000,000 Over $1,000,000 NATURE OF INVESTMENT ❑ Stock ❑ Other (Describe) ❑ Partnership Q Income Received of $0 - $499 Q Income Received of $500 or More (Report on Schedule C) IF APPLICABLE, LIST DATE: / /20 /20 ACQUIRED DISPOSED ► NAME OF BUSINESS ENTITY GENERAL DESCRIPTION OF THIS BUSINESS FAIR MARKET VALUE ❑ $2,000 - $10,000 ❑ $10,001 - $100,000 ❑ $100,001 - $1,000,000 ❑ Over $1,000,000 NATURE OF INVESTMENT ❑ Stock ❑ Other (Describe) ❑ Partnership Q Income Received of $0 - $499 Q Income Received of $500 or More (Report on Schedule C) IF APPLICABLE, LIST DATE: / /20 /20 ACQUIRED DISPOSED ► NAME OF BUSINESS ENTITY GENERAL DESCRIPTION OF THIS BUSINESS FAIR MARKET VALUE ❑ $2,000 - $10,000 ❑ $10,001 - $100,000 ❑ $100,001 - $1,000,000 ❑ Over $1,000,000 NATURE OF INVESTMENT Stock Other (Describe) ❑ Partnership Q Income Received of $0 - $499 Q Income Received of $500 or More (Report on Schedule C) IF APPLICABLE, LIST DATE: �/Z /20 ACQUIRED DISPOSED Comments: ► NAME OF BUSINESS ENTITY GENERAL DESCRIPTION OF THIS BUSINESS FAIR MARKET VALUE ❑ $2,000 - $10,000 $10,001 - $100,000 ❑ $100,001 - $1,000,000 Over $1,000,000 NATURE OF INVESTMENT ❑ Stock ❑ Other (Describe) ❑ Partnership Q Income Received of $0 - $499 Q Income Received of $500 or More (Report on Schedule C) IF APPLICABLE, LIST DATE: / /20 / /20 ACQUIRED DISPOSED ► NAME OF BUSINESS ENTITY GENERAL DESCRIPTION OF THIS BUSINESS FAIR MARKET VALUE ❑ $2,000 - $10,000 $10,001 - $100,000 ❑ $100,001 - $1,000,000 Over $1,000,000 NATURE OF INVESTMENT ❑ Stock ❑ Other (Describe) ❑ Partnership Q Income Received of $0 - $499 Q Income Received of $500 or More (Report on Schedule C) IF APPLICABLE, LIST DATE: / /20 / /20 ACQUIRED DISPOSED ► NAME OF BUSINESS ENTITY GENERAL DESCRIPTION OF THIS BUSINESS FAIR MARKET VALUE ❑ $2,000 - $10,000 $10,001 - $100,000 ❑ $100,001 - $1,000,000 Over $1,000,000 NATURE OF INVESTMENT ❑ Stock Other (Describe) ❑ Partnership Q Income Received of $0 - $499 Q Income Received of $500 or More (Report on Schedule C) IF APPLICABLE, LIST DATE: i /20 /20 ACQUIRED DISPOSED FPPC Form 700 -Schedule A-1(2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page - 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 16, 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.) (Regulation 18237) • Bank accounts, savings accounts, money market accounts and certificates of deposits • Insurance policies • Annuities • Commodities • Shares in a credit union • Government bonds (including municipal bonds) • Retirement accounts invested in non -reportable interests (e.g., insurance policies, mutual funds, or government 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. • Government defined -benefit pension plans (such as CalPERS 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% (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. (See page 20 for more information.) • 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: Frank Byrd holds a state agency position. His conflict of interest code requires full disclosure of investments. Frank must disclose his stock holdings of $2,000 or more in any company that is located in or does business in California, as well as those stocks held by his spouse or registered domestic partner and dependent children. Alice Lance is a city council member. She has a 4% interest, worth $5,000, in a limited partnership located in the city. Alice must disclose the partnership on Schedule A-1 and income of $500 or more received from the partnership on Schedule C. SCHEDULE A-2 Investments, Income, and Assets of Business Entities/Trusts (Ownership Interest is 10% or Greater) Name Address (Business Address Acceptable) Check one ❑ Trust, go to 2 ❑ Business Entity, complete the box, then go to 2 GENERAL DESCRIPTION OF THIS BUSINESS FAIR MARKET VALUE IF APPLICABLE, LIST DATE: ❑ $0 - $1,999 ❑ $2,000 - $10,000 //20 //20 ❑ $10,001 - $100,000 ACQUIRED DISPOSED ❑ $100,001 - $1,000,000 ❑ Over $1,000,000 NATURE OF INVESTMENT ❑ Partnership ❑ Sole Proprietorship ❑ Other YOUR BUSINESS POSITION SHARE OF -•SS INCOME TO THE ENTITY/TRUST) ❑ $0 - $499 ❑ $10,001 - $100,000 ❑ $500 - $1,000 ❑ OVER $100,000 ❑ $1,001 - $10,000 lo- 3. LIST THE NAME OF •-TABLE SINGLE SOURCE OF INCOMEOF $10,000 OR •- ❑ None or ❑ Names listed below PROPERTYli� 4. INVESTMENTS AND INTERESTS IN REAL . OR LEASED BY OR Check one box: ❑ INVESTMENT ❑ REAL PROPERTY Name of Business Entity, if Investment, or 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 - $10,000 ❑ $10,001 - $100,000 ❑ $100,001 - $1,000,000 ACQUIRED DISPOSED ❑ Over $1,000,000 NATURE OF INTEREST ❑ Property Ownership/Deed of Trust ❑ Stock ❑ Partnership ❑ Leasehold ❑ Other Yrs. remaining ❑ Check box if additional schedules reporting investments or real property are attached CALIFORNIA FORM 700 FAIR POLITICAL PRACTICES COMMISSION 11- 1. BUSINESS ENTITY OR TRUST Name Address (Business Address Acceptable) Check one ❑ Trust, go to 2 ❑ Business Entity, complete the box, then go to 2 GENERAL DESCRIPTION OF THIS BUSINESS FAIR MARKET VALUE IF APPLICABLE, LIST DATE: ❑ $0 - $1,999 ❑ $2,000 - $10,000 /20 /20 ❑ $10,001 - $100,000 ACQUIRED DISPOSED ❑ $100,001 - $1,000,000 ❑ Over $1,000,000 NATURE OF INVESTMENT ❑ Partnership ❑ Sole Proprietorship ❑ Other YOUR BUSINESS POSITION • • • . • • -• SHARE OF -•SS INCOME TO THE ENTITYITRUST) ❑ $0 - $499 ❑ $10,001 - $100,000 ❑ $500 - $1,000 ❑ OVER $100,000 ❑ $1,001 - $10,000 Do- 3. LIST THE NAME OF •RTABLE SINGLE SOURCE OF INCOMEOF $10,000 OR • ❑ None or ❑ Names listed below PROPERTYop- 4. INVESTMENTS AND INTERESTS IN REAL • OR LEASED BY OR Check one box: ❑ INVESTMENT ❑ REAL PROPERTY Name of Business Entity, if Investment, or 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 - $10,000 ❑ $10,001 - $100,000 ❑ $100,001 - $1,000,000 ACQUIRED DISPOSED ❑ Over $1,000,000 NATURE OF INTEREST ❑ Property Ownership/Deed of Trust ❑ Stock ❑ Partnership ❑ Leasehold ❑ Other Yrs. remaining ❑ Check box if additional schedules reporting investments or real property are attached Comments: FPPC Form 700 -Schedule A-2(2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page - 9 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.) You may be required to disclose sources of income located outside your jurisdiction. 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. Phrases such as "various clients" or "not disclosing sources pursuant to attorney -client privilege" are not adequate disclosure. (See Reference Pamphlet, page 14, for information on procedures to request an exemption from disclosing privileged 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 (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page -10 SCHEDULE B Interests in Real Property (Including Rental Income) ► ASSESSOR'S PARCEL NUMBER OR STREET ADDRESS CITY FAIR MARKET VALUE ❑ $2,000 - $10,000 ❑ $10,001 - $100,000 ❑ $100,001 - $1,000,000 ❑ Over $1,000,000 NATURE OF INTEREST ❑ Ownership/Deed of Trust ❑ Leasehold IF APPLICABLE, LIST DATE: //20 --j--j20 ACQUIRED DISPOSED ❑ Easement Yrs. remaining Other IF RENTAL PROPERTY, GROSS INCOME RECEIVED ❑ $0 - $499 ❑ $500 - $1,000 ❑ $1,001 - $10,000 ❑ $10,001 - $100,000 ❑ OVER $100,000 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 $10,000 or more. ❑ None Name ► ASSESSOR'S PARCEL NUMBER OR STREET ADDRESS CITY FAIR MARKET VALUE ❑ $2,000 - $10,000 ❑ $10,001 - $100,000 ❑ $100,001 - $1,000,000 ❑ Over $1,000,000 NATURE OF INTEREST ❑ Ownership/Deed of Trust ❑ Leasehold IF APPLICABLE, LIST DATE: //20 J20 ACQUIRED DISPOSED ❑ Easement Yrs. remaining Other IF RENTAL PROPERTY, GROSS INCOME RECEIVED ❑ $0 - $499 ❑ $500 - $1,000 ❑ $1,001 - $10,000 ❑ $10,001 - $100,000 ❑ OVER $100,000 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 $10,000 or more. ❑ None * You are not required to report loans from a commercial lending institution 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 HIGHEST BALANCE DURING REPORTING PERIOD ❑ $500 - $1,000 ❑ $1,001 - $10,000 ❑ $10,001 - $100,000 ❑ OVER $100,000 ❑ Guarantor, if applicable Comments: NAME OF LENDER" ADDRESS (Business Address Acceptable) BUSINESS ACTIVITY, IF ANY, OF LENDER INTEREST RATE TERM (Months/Years) % ❑ None HIGHEST BALANCE DURING REPORTING PERIOD ❑ $500 - $1,000 ❑ $1,001 - $10,000 ❑ $10,001 - $100,000 ❑ OVER $100,000 ❑ Guarantor, if applicable FPPC Form 700 - Schedule B (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page -11 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 "within the jurisdiction" of a local government 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 government 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.) • Some interests in real property held through a blind trust (See Reference Pamphlet, page 16.) • Please note: A non -reportable property can still be grounds for a conflict of interest and may be disqualifying. 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, 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 B. • Code filers — do your disclosure categories require disclosure of real property? disclose the number of years remaining on the lease. • 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. When 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., Prime + 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: Allison Gande is a city planning commissioner. During the reporting period, she received rental income of $12,000, from a single tenant who rented property she owned in the city's jurisdiction. If Allison received $6,000 each from two tenants, the tenants' names would not be required because no single tenant paid her $10,000 or more. A married couple is considered a single tenant. 4600 24thAStree[MaeR oR sTReeT AooRess Sacramento 11 °❑ sooK $s�oo�000xxJJ ,e xx 0..000000o A G IREG GlsPosEo oTo �e,���wDaea o.T�s� ❑ E =eme�, ❑ L,aee oIo .@ 9 ❑ ITAI So9RDPF$B NGF R$o$- 05.-,10 1, o _ m.o o0v..... ❑oRs-— ENTAL IF hor rY-U oaa ,,or os. �esesemw s nge $1D000 or mo.e Henry Wells NAME OF LENDER' Sophia Petroillo ADDRE$$ (B�=,�e==Adde==A«earae,e, 2121 Blue Sky Parkway, Sacramento BUSINESS ACTIVITY, IF ANV, OF LENDER Restaurant Owner INTEREST RATE TERM (M-M1s/Yeere) S , ❑ Noe 15 Years HIGHEST BALANCE DURING REPORTING PERIOD ❑ $500 - $,,000 ❑ s—I - $1— o $,o,00, $,ao.000 ❑ OVER $,00,aso ❑ G aP .o nts: FPPC Form 700(2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page -12 SCHEDULE C Income, Loans, & Business Positions (Other than Gifts and Travel Payments) NAME OF SOURCE OF INCOME ADDRESS (Business Address Acceptable) BUSINESS ACTIVITY, IF ANY, OF SOURCE YOUR BUSINESS POSITION GROSS INCOME RECEIVED ❑ No Income - Business Position Only ❑ $500 - $1,000 ❑ $1,001 - $10,000 ❑ $10,001 - $100,000 ❑ OVER $100,000 CONSIDERATION FOR WHICH INCOME WAS RECEIVED ❑ Salary ❑ Spouse's or registered domestic partner's income (For self-employed use Schedule A-2.) ❑ Partnership (Less than 10% ownership. For 10% or greater use Schedule A-2.) ❑ Sale of (Real property, car, boat, etc.) ❑ Loan repayment ❑ Commission or ❑ Rental Income, list each source of S10,000 or more ❑ Other (Describe) (Describe) Name NAME OF SOURCE OF INCOME ADDRESS (Business Address Acceptable) BUSINESS ACTIVITY, IF ANY, OF SOURCE YOUR BUSINESS POSITION GROSS INCOME RECEIVED ❑ No Income - Business Position Only ❑ $500 - $1,000 ❑ $1,001 - $10,000 ❑ $10,001 - $100,000 ❑ OVER $100,000 CONSIDERATION FOR WHICH INCOME WAS RECEIVED ❑ Salary ❑ Spouse's or registered domestic partner's income (For self-employed use Schedule A-2.) ❑ Partnership (Less than 10% ownership. For 10% or greater use Schedule A-2.) ❑ Sale of (Real property, car, boat, etc.) ❑ Loan repayment ❑ Commission or ❑ Rental Income, list each source of $10,000 or more ❑ Other (Describe) (Describe) * You are not required to report loans from a commercial lending institution, 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' INTEREST RATE TERM (Months/Years) ADDRESS (Business Address Acceptable) BUSINESS ACTIVITY. IF ANY. OF LENDER HIGHEST BALANCE DURING REPORTING PERIOD ❑ $500 - $1,000 ❑ $1,001 - $10,000 ❑ $10,001 - $100,000 ❑ OVER $100,000 Comments: % ❑ None SECURITY FOR LOAN ❑ None ❑ Personal residence ❑ Real Property Street address ❑ Guarantor ❑ Other city (Describe) FPPC Form 700 - Schedule C (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page -13 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.) 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 honorarium received prior to becoming a public official (See Reference Pamphlet, page 10.) • 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 not 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 PIERS retirement account. (See Reference Pamphlet, page 12.) 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 variable 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 (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page -14 SCHEDULE D Income — Gifts ► 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) ► 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) $ $ / $ ► 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) $ $ Comments: ► 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) ► 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) $ $ ► 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) / $ / $ / $ FPPC Form 700 -Schedule D(2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page -15 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 period 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 D, if you provided services of equal or greater value than the payment received. See Reference Pamphlet, page 10.) • Transportation and lodging (See Schedule E.) • Forgiveness of a loan received by you Reminders • Gifts from a single source are subject to a $500 limit in 2020. (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. You are not required to disclose: • Gifts that were not used and that, within 30 days after receipt, were returned to the donor or delivered to a charitable organization or government agency without 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 family 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 material 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 less 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(c)(3) 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 description of the gift. FPPC Form 700 (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page -16 SCHEDULE E Income — Gifts Travel Payments, Advances, and Reimbursements 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. Per Government Code Section 89506, these payments may not be subject to the gift limit. However, they may result in a disqualifying conflict of interest. For gifts of travel, provide the 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):--J--J- // AMT: $ (If gift) ► MUST CHECK ONE: ❑ Gift -or- ❑ Income O Made a Speech/Participated in a Panel O Other - Provide Description ► If Gift, 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: $ (If gift) ► MUST CHECK ONE: ❑ Gift -or- ❑ Income O Made a Speech/Participated in a Panel O Other - Provide Description ► If Gift, Provide Travel Destination Comments: ► 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):// - --J--JAMT: $ (If gift) ► MUST CHECK ONE: ❑ Gift -or- ❑ Income O Made a Speech/Participated in a Panel O Other - Provide Description ► If Gift, 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: $ (If gift) ► MUST CHECK ONE: ❑ Gift -or- ❑ Income O Made a Speech/Participated in a Panel O Other - Provide Description ► If Gift, Provide Travel Destination FPPC Form 700 - Schedule E (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page -17 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" to read about travel payments under section 89506(a).) You are not 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 government agency employer. • A payment for travel from another local, state, or federal government 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 nonprofit 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(c)(3) organization for which you are a board member. Note: Certain travel payments may not be reportable if reported via email 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 MaryClaire Chandler is the chair of a 501(c)(6) trade association, and the association pays for her travel to attend its meetings. Because MaryClaire 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 MaryClaire to attend other events for which she is not providing services are likely considered gifts. Note that the same a ment from a • NAME OF SOURCE (Not an Acronym) Health Services Trade Association ADDRESS (Business Add— Acceptable) 1230 K Street, Suite 610 CITY AND STATE Sacramento, CA ❑ 501 (c)(3) or DESCRIBE BUSINESS ACTIVITY, IFANY, OF SOURCE Association of Healthcare Workers DIES) : __J___J - AMT $ 650.00 (If 91ff) • MUST CHECK ONE: Gift Or. QX Income Q Made a Speech/Participated in a Panel Q Other - Provide Description Travel reimbursement for board meeting. � Ir Glft, Pro�Iae naoel Deelmallor, p y 501(c)(3) would NOT be reportable. Example: Mayor Kim travels to China on a trip organized by China Silicon Valley Business Development, a California nonprofit, 501(c)(6) organization. The Chengdu Municipal People's Government pays for Mayor Kim's airfare and travel costs, as well as his meals and lodging during the trip. The trip's agenda shows that the trip's purpose is to promote job creation and economic activity in China and in Silicon Valley, so the trip is reasonably related to a governmental purpose. Thus, Mayor Kim must • NAME OF SOURCE (Not a,A y,) Chengdu Municipal People's Government ADDRESS (Business AS --Acceptable) 2 Caoshi St, CaoShUie, Qingyang Qu, Chengdu Shi, CITY AND STATE Sichuan Sheng, China, 610000 ❑ 501 (c)(3) or DESCRIBE BUSINESS ACTIVITY, IF ANY, OF SOURCE DATES): 09 / 04 / XX - 09 08 J XX AMr s 3,874.38 (It 9,,d • MUST CHECK ONE: 0 Gift Or. Income ® Made a Speech/Participated in a Panel O Other - Provide Description Travel reimbursement for trip to China. • If Gift, arwlde Travel Dead�aro� Sichuan Shang, China report the gift of travel, but the gift is exempt from the gift limit. In this case, the travel payments are not subject to the gift limit because the source is a foreign government and because the travel is reasonably related to a governmental purpose. (Section 89506(a)(2).) Note that Mayor Kim could be disqualified from participating in or making decisions about The Chengdu Municipal People's Government for 12 months. Also note that if China Silicon Valley Business Development (a 501(c)(6) organization) paid for the travel costs rather than the governmental organization, the payments would be subject to the gift limits. (See the FPPC fact sheet, Limitations and Restrictions on Gifts, Honoraria, Travel and Loans, at www.fppc.ca.gov.) FPPC Form 700 (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page -18 Restrictions and Prohibitions 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. In 2021-2022, the gift limit increased to $520 from a single source during a calendar year. In 2019 and 2020, the gift limit was $500 from a single source during a calendar year. Additionally, 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. For example, a personal residence is often not reportable, but may be grounds for disqualification. 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 Government Code Section 87105, Regulation 18707, and the Guide to Recognizing Conflicts of Interest page 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 Attorney 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 (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page -19 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, disclose 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 "acting," "interim," or "alternate" must file as if they hold the position because they are or may be performing the duties of the position. 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 prior to that time, your estranged spouse's income may not have to be reported. Contact the FPPC for more information. 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. 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 jurisdiction" 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 jurisdiction, our primary 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. Q. The value of my stock changed during the reporting period. How do I report the value of the stock? A. You are required to report the highest value that the stock reached during the reporting period. You may use your monthly statements to determine the highest value. You may also use the entity's website to determine the highest value. You are encouraged to keep a record of where you found the reported value. Note that for an assuming office statement, you must report the value of the stock on the date you assumed office. FPPC Form 700 (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page - 20 Questions and Answers Continued Q. I am the sole owner of my business, an S-Corporation. 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. 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? Q. I own stock in IBM and must report this investment A. 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 Q. 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 period. 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. 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 California or Federal law. This regulation may be obtained from our website at www.fppc.ca.gov. (See Reference Pamphlet, page 14.) 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 (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page - 21 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.) 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? Q. My husband is a partner in a four -person firm where A all of his business is based on his own billings and collections from various clients. How do I 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 carriers 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.) 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. 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 exclusively 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 I 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 (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page - 22 Questions and Answers Continued Q. Julia and Jared Benson, a married couple, want to Q. I received free admission to an educational conference give a piece of artwork to a county supervisor. Is each related to my official duties. Part of the conference spouse considered a separate source for purposes of fees included a round of golf. Is the value of the golf the gift limit and disclosure? considered informational material? A. Yes, each spouse may make a gift valued at the gift A. No. The value of personal benefits, such as golf, limit during a calendar year. For example, during 2020 attendance at a concert, or sporting event, are gifts the gift limit was $500, so the Bensons may have given subject to reporting and limits. the supervisor artwork valued at no more than $1,000. The supervisor must identify Jared and Julia 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. 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, 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. FPPC Form 700 (2020/2021) advice@fppc.ca.gov • 866-275-3772 • www.fppc.ca.gov Page - 23 SECTION 7 Conflicts of Interest o HANDBOOK r*4 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations ) Updated including changes effective January 1, 2021 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.........................................................................................23 5. Penalties for Violation....................................................................... 24 6. Seeking Advice on Conflict of Interest Questions .......................... 24 B. Government Code Section 1090................................................................ 25 1. Three Principal Components of Section 1090................................. 26 2. Exceptions to Section 1090............................................................... 30 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 ................................. 32 5. Seeking FPPC Advice on Section 1090............................................32 6. Statute of Limitations for Section 1090 Violations ........................... 33 C. Common Law Doctrine Against Conflicts of Interest ................................ 33 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 Summary of Principal Conflicts of Interest Laws and Regulations Page i © 2021 Richards, Watson & Gershon 2464070 Table of Contents 2. The Statutory Codification of the Common Law Doctrine of Incompatible Offices - Government Code Section1099......................................................................................36 B. Incompatible Outside Activities.................................................................. 37 C. Successor Agency and Oversight Board Conflicts....................................38 1. Form 700s for Successor Agency and Oversight Board Members............................................................................................ 38 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 anOfficial 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........................................................................................ 48 A. Limitations on Receipt of Gifts..................................................................... 48 1. General Gift Limitation......................................................................48 2. Biennial Gift Limit Adjustment........................................................... 48 Summary of Principal Conflicts of Interest Laws and Regulations Page ii © 2021 Richards, Watson & Gershon 2464070 Table of Contents 3. Exceptions to Gifts.............................................................................49 4. Gifts to an Agency............................................................................ 53 5. Gifts to an Official's Family...............................................................54 6. Invitation -Only Events.......................................................................55 7. Tickets to Political and Charitable Fundraisers ............................... 56 8. Tickets or Passes to Events Given to Officials by their Agency.............................................................................................. 57 9. Gifts from a Government Agency to an Official in That Agency.............................................................................................. 59 10. Wedding Gifts....................................................................................59 11. Certain Gifts of Travel....................................................................... 59 B. Prohibitions on Receipt of Honoraria.......................................................... 64 1. Exceptions to the Prohibition on Honoraria .................................... 64 C. Prohibitions on Receipt of Certain Types of Loans ..................................... 65 1. Prohibition on Loans Exceeding $250 from Other City Officials, Employees, Consultants, and Contractors ...................... 65 2. Requirement for Loans of $500 or More from Other Persons and Entities to be in Writing ................................................ 66 3. Exceptions to Loan Limits and Documentation Requirements..................................................................................... 66 4. Loans that Become Gifts are Subject to the Gift Prohibition.......................................................................................... 66 5. Exceptions - Loans that Do Not Become Gifts ............................... 67 IV. PROHIBITION AGAINST MASS MAILINGS.................................................................. 68 A. Test for Prohibited Mass Mailing................................................................... 68 1. Delivery of Tangible Item.................................................................. 68 2. Features or Includes Reference to an Elected Official .................. 69 3. Public Expense.................................................................................. 69 Summary of Principal Conflicts of Interest Laws and Regulations Page iii © 2021 Richards, Watson & Gershon 2464070 Table of Contents 4. More than 200 Copies of the Item ................................................... 70 B. Exceptions to the Mass Mailing Prohibition ................................................. 70 V. EXPENDITURES TO SUPPORT OR DEFEAT A BALLOT MEASURE ................................. 71 VI. PROHIBITION ON GIFTS OF PUBLIC FUNDS............................................................... 75 VII. CONCLUSION........................................................................................................... 76 Summary of Principal Conflicts of Interest Laws and Regulations Page iv © 2021 Richards, Watson & Gershon 2464070 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://Ieginfo.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 or agency counsel as soon as you think 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 Page v © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations //RWG Summary of Principal Conflicts of Interest Laws and Regulations © 2021 Richards, Watson & Gershon 2464070 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. 1 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 Page 1 © 2021 Richards, Watson & Gershon 2464070 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 of 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 2 In some instances, an official may need to disclose 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 as 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. 3 As of January 1, 2016, if an official receives a gift that is a travel payment, advance, or reimbursement valued at $50 or more, the official must also disclose the travel destination. § 87207(a) (4). Summary of Principal Conflicts of Interest Laws and Regulations Page 2 © 2021 Richards, Watson & Gershon 2464070 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. A local agency may establish a system for the electronic filing of Form 700s, in accordance with State law. § 87500.2. Public officials should seek guidance from the local filing officer as to the appropriate procedure and format for filing a Form 700. b. Behested Payments There are also disclosure requirements for certain fundraising activities that elected officials perform for others, including in their capacity as employees or board members of nonprofit organizations. 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 $5,000 threshold. § 84224(a). The report must contain the following information: • The contributor's name and address; • The amount of the contribution; • The date or dates on which the payments were made; • The name and address of the contribution recipient; • If goods or services were contributed, a description of those goods and services; and • A description of the purpose or event for which the contribution was used. The statute does not define the term "legislative, governmental, or charitable purposes," but charitable purposes typically involve 501(c) (3) organizations. Examples of "governmental" purposes include fundraising for a new city hall roof, an inaugural celebration committee,4 litigation expenses,5 a breakfast honoring public safety personnel,' and youth conferences.? The term "legislative purpose," in turn, refers to a 4 Sutton Advice Letter, No. A-05-256, 2005 WL 3693740 (2005). 5 Stoen Advice Letter, No. A-03-185, 2004 WL 334564 (2004) (district attorney's expenses in suing a private company when governing body withdrew funding for effort). 6 Gallegos Advice Letter, No. A-00-059, 2000 WL 311529 (2000). Summary of Principal Conflicts of Interest Laws and Regulations Page 3 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 1996 FPPC opinion in which a state senator asked a private party to pay for a witness's airfare and expenses to testify at a legislative hearing.$ 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. §§ 82004.5, 82041.3. A payment is "made at the behest of" an elected officer when it is made "under the control or at the direction of, in cooperation, consultation, coordination, or concert with, at the request or suggestion of, or with the express, prior consent of" that officer. Id. 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 more. • 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 $520 or more in value provided to, received by, or promised to the public official within 12 months prior to the time when the decision is made. 7 Gallegos Advice Letter, No. A-98-192, 1998 WL 671296 (1998). 8 Schmidt Advice Letter, No. A-96-098, 1996 WL 779579 (1996). Summary of Principal Conflicts of Interest Laws and Regulations Page 4 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations § 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 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 seven 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). • 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 9 For more on who constitutes a "consultant" subject to the Act, see, e.g., Ennis Advice Letter, FPPC No. A-15-006, 2015 WL 1781 144 (2015). Summary of Principal Conflicts of Interest Laws and Regulations Page 5 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 $2,000.10 (Note: In certain situations, this can include a parent,1' subsidiary,12 or otherwise related13 business entity.14) • Any real property in which the public official has a direct or indirect interest worth at least $2,000.15 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- 10 The FPPC has determined that membership in a country club is a financial interest in the club as a business entity when the membership is transferrable and can be resold for profit or loss. Gee Advice Letter, FPPC No. A-17-249, 2018 WL 723401 (2018). 11 A business entity is a "parent" if it is a corporation that controls more than 50 percent of the voting stock of another corporation; the parent corporation is also a parent to any subsidiaries of the corporation that it controls. Regulation 18700.2 (b) (1). 12 A business entity is a "subsidiary" if it is a corporation whose voting stock is more than 50 percent controlled by another corporation; the subsidiary corporation is also a subsidiary to any corporation that controls its parent corporation. Regulation 18700.2 (b) (2). 13 Business entities, other than a parent corporation, are "otherwise related" if (1) the same person or persons together direct or control each business entity, or (2) the same person or persons together have a 50 percent or greater ownership interest in each business entity. Regulation 18700.2 (b) (3). 14 An official with a financial interest in a business entity also has an interest in a parent or subsidiary of the business entity or an otherwise related business entity, unless (1) the official's only interest is that of a shareholder and the official is a passive shareholder with less than 5 percent of the shares of the corporation, and (2) the parent corporation is required to file annual Form 10-K or 20-F Reports with the Securities and Exchange Commission and has not identified the subsidiary on those forms or its annual report. Regulation 18700.2 (c)-(d). 15 The FPPC has determined that membership in a country club is a financial interest in real property when the member would be entitled to a proportionate share of the value of the club's assets if the club were dissolved. Gee Advice Letter, FPPC No. A-17-249, 2018 WL 723401 (2018). Summary of Principal Conflicts of Interest Laws and Regulations Page 6 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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). • 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 business entity.) • Any donor of gifts, or any intermediary or agent for a donor of gifts, amounting to at least $520 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 or trust in which the official, or his or her agent(s), spouse, or dependent children, has at least a 10 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 7 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 8 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations disadvantages of the governmental decision on his or her financial interest in formulating a position. 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 is a named party in, or the subject of, the decision, including any decision in which the entity: Initiates the proceeding by filing an application, claim, appeal, or other request for action concerning the entity with the official's agency; • Offers to sell a product or service to the official's agency; Bids on or enters into a contract with the official's agency, or is identified as a subcontractor on a bid or contract with the agency; • Is the named or intended manufacturer or vendor of any products to be purchased by the official's agency with an aggregate cost of $1,000 or more in any 12-month period; • Applies for a permit, license, grant, tax credit, exception, variance, or other entitlement from the official's agency; Summary of Principal Conflicts of Interest Laws and Regulations Page 9 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations • Is the subject of any inspection, action, or proceeding under the regulatory authority of the official's agency; or • Is otherwise subject to an action taken by the official's agency that is directed at the entity. 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 also material if any of the following criteria are met: • The decision may result in an increase or decrease of the entity's annual gross revenues, or the value of the entity's assets or liabilities, in an amount equal to or more than: ✓ $1,000,000; or ✓ Five percent of the entity's annual gross revenues and the increase or decrease is at least $10,000. • The decision may cause the entity to incur or avoid additional expenses or to reduce or eliminate expenses in an amount equal to or more than: ✓ $250,000; or ✓ One percent of the entity's annual gross revenues and the change in expenses is at least $2,500. • The official knows, or has reason to know, that the entity has an interest in real property and: ✓ The property is a named party in, or the subject of, the decision under Regulations 18701 (a) and 18702.2(a) (1) - (6); or ✓ There is clear and convincing evidence the decision would have a substantial effect on the property. There is also a "small shareholder" exception that allows officials to participate in decisions explicitly involving a business entity where the official's only interest in that business entity is an investment interest worth no more than $25,000. Regulation 18702.1 (b). To qualify for this exception, the interest also must be less than one percent of the business entity's shares. However, meeting these thresholds does not automatically allow the official to participate in the decision. The official still must analyze the decision's potential effect on the business entity's annual gross revenues, assets and liabilities, expenses, and real property interests. Under this rule, even where an official has only a small investment in a business entity, the impact of a decision might be so significant that the official still has a conflict of interest. Summary of Principal Conflicts of Interest Laws and Regulations Page 10 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations b. Real Property - Modified "500-Foot Rule" and Other Criteria The traditional "500-foot" rule has been replaced 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 eight materiality standards that must be evaluated when an official has an ownership interest in real property, and four materiality standards that must be evaluated when an official has a leasehold interest in real property (i.e., as the lessee of the property). 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 development plan or criteria applying to the parcel; • Determines the parcel's zoning or rezoning, other than a zoning decision applicable to all properties designated in that category; annexation or de -annexation; inclusion in, or exclusion from, any city, county, district, or local government subdivision or other boundaries, other than elective district boundaries; • 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 will receive new or improved services that provide a benefit or detriment disproportionate to other properties receiving the services; • Involves property located 500 feet or less from the property line of the parcel unless there is clear and convincing evidence that the decision will not have any measurable impact on the official's property; or • Involves property located more than 500 feet but less than 1,000 feet from the property line of the parcel, and the decision would change the parcel's: ✓ Development potential; ✓ Income producing potential; Summary of Principal Conflicts of Interest Laws and Regulations Page 1 1 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations ✓ Highest and best use; ✓ Character by substantially altering traffic levels, intensity of use, parking, view, privacy, noise levels, or air quality; or ✓ Market value. Regulation 18702.2(b) clarifies that the financial effect of a governmental decision on a parcel of real property in which an official has an ownership interest is presumed not to be material whenever the governmental decision involves property located 1,000 feet or more from the property line of the official's property. This presumption may be rebutted, however, with clear and convincing evidence that the governmental decision would have a substantial effect 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, i.e., where the official is the lessee of the property, Regulation 18702.2(c) now provides that the reasonably foreseeable financial effect of a governmental decision on an official's real property economic interest is material only if the governmental decision will: • Change the termination date of the lease; • Increase or decrease the potential rental value of the property; • Change the official's actual or legally allowable use of the property; or • Impact the official's use and enjoyment of the property. There are a few exceptions in Regulation 18702.2(d) 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 Principal Conflicts of Interest Laws and Regulations Page 12 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts 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" that 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 governmental decision. Regulation 18700.1. A "person" includes individuals, organizations, and business entities. § 82047. Summary of Principal Conflicts of Interest Laws and Regulations Page 13 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 or an official's spouse is material if: • The source is a named party in, or the subject of, the decision including a claimant, applicant, respondent, or contracting party; or • The decision will achieve, defeat, aid, or hinder a purpose or goal of the source and the official, or the official's spouse, receives or is promised the income for achieving the purpose or goal. This is known as the "Nexus" test. Regulation 18702.3(a)(1), 18702.3(b). In addition to these general standards, the regulations provide further guidance that separately analyzes a source of income depending on whether the source is an individual, non-profit organization, or business entity. If the source is an individual, a reasonably foreseeable financial effect on the source is material if: • The decision may affect the individual's income, investments, or other assets or liabilities (other than an interest in a business entity or real property) by $1,000 or more; • The official knows, or has reason to know, that the individual has an interest in a business entity that will be financially affected under the materiality standards in Regulation 18702.1; or • The official knows, or has reason to know, that the individual has an interest in real property, and either: ✓ The property is a named party in, or the subject of, the decision as defined in Regulations 18701 (a) and 18702.2(a)(1) - (6); or ✓ There is clear and convincing evidence the decision would have a substantial effect on the property. If the source is a nonprofit organization, a reasonably foreseeable financial effect on the source is material if: • The decision may result in an increase or decrease of the organization's annual gross receipts, or the value of the organization's assets or liabilities, in an amount equal to or more than (1) $1,000,000, or (2) five percent of the organization's annual gross receipts and the increase or decrease is equal to or greater than $10,000; 16 The materiality standards for sources of income provided in this section do not apply where a government entity qualifies as a source of income, including where a public official is paid by the entity as a consultant or contractor. Regulation 18702.3(d). An official with an interest in a governmental entity is disqualified from taking part in a decision only if there is a unique effect on that official. Id. Summary of Principal Conflicts of Interest Laws and Regulations Page 14 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations • The decision may cause the organization to incur or avoid additional expenses or to reduce or eliminate expenses in an amount equal to or more than (1) $250,000, or (2) one percent of the organization's annual gross receipts and the change in expenses is equal to or greater than $2,500; or • The official knows, or has reason to, know that the organization has an interest in real property and either: ✓ The property is a named party in, or the subject of, the decision under Regulations 18701 (a) and 18702.2(a) (1) - (6); or ✓ There is clear and convincing evidence the decision would have a substantial effect on the property. If the source is a business entity, a reasonably foreseeable financial effect on the source is material if that business entity 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). 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 to the public official directly. § 87103.5. This regulatory provision, which is intended to replace prior Regulation 18707.5, provides that: • The retail customers of a business entity constitute a significant segment of the public generally if the business is open to the public, and provides goods or services to customers that comprise a broad base of persons representative of the jurisdiction; and • 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: (1) the business is of the type that sales to any one customer will not have a significant impact on the business's 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(c). 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. Summary of Principal Conflicts of Interest Laws and Regulations Page 15 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 or promising a public official with gifts valued at $520 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; • 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 organization that will be financially affected under the materiality standards applied to a nonprofit source of income interest in Regulation 18702.3 (see Sources of Income 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 the gift 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 decision may result in the official or the official's immediate family member receiving a financial benefit or loss of $500 or more in any 12-month period due to the decision. Regulation 18702.5 (a) . Summary of Principal Conflicts of Interest Laws and Regulations Page 16 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations However, a financial effect is not considered material under Government Code Section 87103 if the decision would do any of the following: • Affect only the salary, per diem, or reimbursement for expenses of the public official, or a member of his or her immediate family receives from a federal, state, or local government agency unless the decision is to appoint (other than an appointing decision otherwise permitted under Regulation 18702.5), hire, fire, promote, demote, suspend without pay, or otherwise take disciplinary action with financial sanction against the official or a member of his or her immediate family, or to set a salary for the official or a member of his or her immediate family which is different from salaries paid to other employees of the government agency in the same job classification or position, or when the member of the public official's immediate family member is the only person in the job classification or position. • Appoint the official to be a member of any group or body created by law or formed by the official's agency for a special purpose. However, if the official will receive a stipend for attending meetings of the group or body aggregating $500 or more in any 12-month period, the effect on the official's personal finances is material unless the appointing body posts specified information on its website.» • Appoint the official to be an officer of the governing body of which the official is already a member, such as a decision to appoint a city councilmember to be the city's mayor. • Establish or change the benefits or retirement plan of the official or the official's immediate family member, and the decision applies equally to all employees or retirees in the same bargaining unit or other representative group. • Result in the payment of any travel expenses incurred by the official or the official's immediate family member while attending a meeting as an authorized representative of an agency. • Permit the official's use of any government property, including automobiles or other modes of transportation, mobile communication devices, or other agency -provided equipment for carrying out the official's duties, including any nominal, incidental, negligible, or inconsequential personal use while on duty. • Result in the official's receipt of any personal reward from the official's use of a personal charge card or participation in any other membership 17 Specifically, the appointing body must post all of the following information on its website: (1) a list of each appointed position and its term; (2) the amount of the stipend for each appointed position; (3) the name of the official who has been appointed to the position; and (4) the name of any official who has been appointed to be an alternate for the position. Regulation 18702.5(b)(2). Summary of Principal Conflicts of Interest Laws and Regulations Page 17 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations rewards program, so long as the reward is associated with the official's approved travel expenses and is no different from the reward offered to the public. Regulation 18702.5(b). Any effect on the interests 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. 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 18703(b). A significant segment of the public is: • At least 25 percent of any of the following: ✓ All businesses or nonprofit entities within the official's jurisdiction; ✓ All real property, commercial real property, or residential real property within the official's jurisdiction; or Summary of Principal Conflicts of Interest Laws and Regulations Page 18 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations ✓ All individuals within the official's jurisdiction. • At least 15 percent of residential real property within the official's jurisdiction, if the official's only interest in a government decision is the official's primary residence. Regulation 187O3(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 interests1$ 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). 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 187O3(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 187O3(e). The financial effect on an official's financial interest is deemed 18 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 Page 19 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations indistinguishable from that of the public generally where there is no unique effect on the official's interest if the official establishes: • The decision sets or adjusts the amounts of 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. However, the exception does not apply if the decision imposes assessments, taxes, or fees, determines the boundaries of a property, or determines who is subject to the assessments, taxes, or fees. Under this exception, these factors must already be determined. • 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, encompassing more than 50, or five percent of the residential real properties in the official's jurisdiction, 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 is limited to establishing, eliminating, amending, or otherwise affecting the rights or liabilities of tenants and owners of residential real property, including rent control or tenant protection matters. Officials may participate if: (1) the decision is applicable to all residential rental properties within the official's jurisdiction other than those excepted by the Costa -Hawkins Rental Housing Act; (2) the official owns three or fewer residential units; and (3) the only interests affected by the decision are the official's interest in residential real property as a landlord or the official's interest in a primary residence as owner or lessee. • 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. • 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. Summary of Principal Conflicts of Interest Laws and Regulations Page 20 © 2021 Richards, Watson & Gershon 2464070 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. 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).19 • 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 his or her authority or on behalf of his or her agency in making the contact. Regulation 18704(c). 19 A public official's "determination not to act" does not constitute participating in "making" a governmental decision when the public official is abstaining from a decision due to a personal financial interest. Summary of Principal Conflicts of Interest Laws and Regulations Page 21 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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). 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 22 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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. Public officials may not avoid disclosure through partial absences and must disclose financial interests either immediately prior to consideration of an item or if the official arrives after consideration, immediately after the official joins the meeting. The procedure stated in Regulation 18707(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). 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 23 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 violations 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. The FPPC recently adopted regulations providing for streamlined administrative enforcement procedures and specific penalties for various types of violations. Regulations 18360, 18360.1, 18360.2. 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 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 24 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 Act 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. Central 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 (1985); 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). 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 25 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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. Call, 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 21 1-12; 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 who is a member of the board or commission that executes the contract 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 2018, the Attorney General concluded that a California charter school's governing body is also subject to Section 1090. 101 Ops. Cal. Atty. Gen. 92. 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 1114, 1 124- 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). In 2019, the California Court of Appeal clarified that a consultant's mere provision of services to a public agency does not create a per se conflict of interest precluding future contracts, if, in the initial transaction, the consultant Summary of Principal Conflicts of Interest Laws and Regulations Page 26 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations was not entrusted with acting on behalf of the public agency. California Taxpayers Action Network v. Tabor Construction, Inc., 42 Cal. App. 5th 824 (2019). 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 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). 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 council member'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. Summary of Principal Conflicts of Interest Laws and Regulations Page 27 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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). 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 (" [T] 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."); Berko 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." Id. 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 that 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.20 In light of subsequent FPPC advice letters, however, there is continued uncertainty regarding the application and interpretation of the court's 20 See also, Ansolabehere Advice Letter, FPPC No. A-15-180, 2015 WL 9680325 (2015); Devaney Advice Letter, FPPC No. A-15-213, 2015 WL 7252462 (2015); but cf. Carney Advice Letter, FPPC No. A-16-073, 2016 WL 3212417 (2016) and Diaz Advice Letter, FPPC No. A-16-214, 2016 WL 7033000 (2016). Summary of Principal Conflicts of Interest Laws and Regulations Page 28 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations holding in Eden Township.21 As such, we recommend that public officials seek legal assistance whenever a potential Section 1090 conflict arises. 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. 21 See, e.g., Diaz Advice Letter, FPPC No. A-16-214, 2016 WL 7033000 (2016) and Roy Advice Letter, FPPC No. A-16-157, 2016 WL 6565871 (2016). Summary of Principal Conflicts of Interest Laws and Regulations Page 29 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 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 making of the contract 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)); • Remote interest exception for a litigation settlement agreement between an officer that is a party to litigation involving the body or board of which the officer is a member (Section 1091 (b)(15); and • 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. Summary of Principal Conflicts of Interest Laws and Regulations Page 30 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 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 nonprofit 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 nonprofit corporation (Section 1091.5 (a)(7)); • 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)). 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. 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 31 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 the greater of $10,000 or three times the value of the financial benefit received by the defendant for each violation. § 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) ("[A] contract in which a public officer is interested is void, rather than voidable as the statute indicates."). 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). Opinions or advice must be requested prior to any action being taken, as the FPPC cannot issue options or advice based on past conduct. § 1097.1(c)(2). 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 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). Summary of Principal Conflicts of Interest Laws and Regulations Page 32 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 (i.e., 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 1152 (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 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 Page 33 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 11. 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 Page 34 © 2021 Richards, Watson & Gershon 2464070 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 clashes 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 Page 35 © 2021 Richards, Watson & Gershon 2464070 Summary 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 possibly local ordinances may expressly provide for the simultaneous holding of particular offices and that result would not be precluded by Section 1099.22 Section 1099 does not apply if one of the positions is a mere position of 22 See, e.g., People ex rel. Lacey v. Robles, 2020 WL 467582 (2020), which held that Section 1099's exception to the rule against holding incompatible offices if "simultaneous holding of the particular offices is compelled or expressly authorized by law" did not apply to an official serving as a mayor and a member of the board of directors for a water replenishment district, despite the fact that the city council and the water replenishment district adopted an ordinance and resolution, respectively, authorizing the official to simultaneously hold both offices. The court reasoned that (1) the Legislature's reference to "law" is "best understood as a reference to state, not local, law"; and (2) even if the reference to "law" could be understood to allow local jurisdictions to deem offices compatible notwithstanding a possible conflict in duties or loyalties, the water replenishment district lacked the authority to authorize its board members to hold incompatible offices. Summary of Principal Conflicts of Interest Laws and Regulations Page 36 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations employment rather than a public 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). B. Incompatible Outside Activities Government Code Section 1 126(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. §§ 1127, 1128. However, the court in Mazzola v. City and County of San Francisco, 112 Cal. App. 3d 141 (1980) ruled that Section 1126 provides only authorization to implement standards for incompatibility pursuant to paragraph (b) of Section 1126. The court ruled that the restrictions of Section 1126 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 local 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). Summary of Principal Conflicts of Interest Laws and Regulations Page 37 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 38 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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. 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 came 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, Regulation 18115. 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 700s for completeness, and notify all persons who have failed to file forms and report violations to appropriate agencies. See § 81010, Regulations 181 15.1, 181 15.2. Summary of Principal Conflicts of Interest Laws and Regulations Page 39 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 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. City clerks should be mindful of the more explicit obligations now set forth in Regulations 18115, 18115.1, and 18115.2. 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 40 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 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 Attorney 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 ban 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 matter, 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 41 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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, resolution, 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." § 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. Hallner, 43 Cal. 2d 715, 717 (1954) (observing that Penal Code Section 67, despite its wording, is "all inclusive" and includes city officials, and that "[b]y 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. Strohl, 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 42 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 criminal; merely offering to give or receive a bribe constitutes a violation of law. See, e.g., People v. Pic'I (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 economic 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 43 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 $520 or more in value 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 Ass'n, 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 fact 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 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 44 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 "Strip pergate" 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 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 become 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 now is defined to include segments of the local agency population such as 25 percent of all individuals within an official's jurisdiction (Regulation 18703), 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 45 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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.23 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. "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 a 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 in 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. § 1 1057(a) (emphasis added). 23 Davies Advice Letter, No. 1-90-329, 1990 WL 698051 (1990). Summary of Principal Conflicts of Interest Laws and Regulations Page 46 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 Page 47 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts 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 [$520]." (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 $520 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, 2021, wherein the gift limit increased to $520. Regulation 18940.2. This figure will be further adjusted in future odd -numbered years. Summary of Principal Conflicts of Interest Laws and Regulations Page 48 © 2021 Richards, Watson & Gershon 2464070 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 considered a gift 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 that are reported in accordance with separate provisions of the Act are not considered gifts. Regulation 18942(a)(4). e. Inherited Money or Property Devises or inheritances of any kind are not considered gifts. Regulation 18942(a) (5). L Awards A personalized plaque or trophy with an individual value of less than $250 is not a gift. Regulation 18942(a)(6). Summary of Principal Conflicts of Interest Laws and Regulations Page 49 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 individual for 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 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 $520. Regulation 18942(a) (8) (B). Summary of Principal Conflicts of Interest Laws and Regulations Page 50 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations j. 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 18942(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), 18950.3. 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 "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 Summary of Principal Conflicts of Interest Laws and Regulations Page 51 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 $520 or greater. Regulation 18942(a) (18) (A). t. Acts of Human Compassion 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 52 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 lobbyist or otherwise have particular interests in the official's role in the agency within 12 months of the payment. Regulation 18942(a)(18)(B). 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 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 53 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 (including 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; • 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 residence"; and Summary of Principal Conflicts of Interest Laws and Regulations Page 54 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations • 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, and 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 guests attends an invitation -only event such as a banquet, party, gala, celebration, or other similar function, other than a nonprofit 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). 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 55 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 lobbyist, 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 Employers 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: • 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 gift 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. Summary of Principal Conflicts of Interest Laws and Regulations Page 56 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations • 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 or Passes to Events Given to Officials by their Agency a. Gift Exception FPPC Regulation 18944.1 provides that a ticket or pass to an event or function provided to an official by his or her agency and distributed and used in accordance with a written policy adopted by the agency is not a gift under the Political Reform Act if: (1) the ticket or pass is not earmarked by an outside source for use by a specific agency official; (2) the agency determines, in its sole discretion, who uses the ticket or pass; (3) the distribution of the ticket or pass is reported on Form 802 as described below; and (4) the distribution of the ticket or pass by the agency is made in accordance with a written policy adopted by the agency that meets all of the requirements as described below. Regulation 18944.1 (a). Summary of Principal Conflicts of Interest Laws and Regulations Page 57 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations • Application: FPPC Regulation 18944.1 applies only to the benefits the official receives from a ticket or pass to an event or function that are provided to all members of the public with the same class of ticket or pass, when the ticket or pass is provided by an agency to an official of the agency, or at the behest of an agency official. The regulation does not apply to: (1) an admission to an event or function in which the official performs a ceremonial role; or, (2) admission provided to a school, college or university district official, coach, athletic director or employee to attend an amateur event performed by students, which are neither gifts nor income. Regulation 18944.1 (f). b. Written Policv for Distribution of Tickets. • Policy Requirements: The distribution of tickets and passes described above must be made pursuant to a written policy duly adopted by the agency's legislative or governing body that must contain the following: (1) a provision setting forth the public purposes of the agency for which tickets or passes may be distributed; (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; (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 solely for their attendance at the event; and (4) a provision prohibiting the disproportionate use of tickets or passes by a member of the governing body, chief administrative officer, political appointee, or department head. Regulation 18944.1 (b). • Public Purpose: The agency's legislative or governing body must determine whether the distribution of tickets or passes serves a legitimate public purpose of the agency, consistent with state law. Tickets or passes given to officials (other than a member of the governing body, chief administrative officer, political appointee or department head) to support general employee morale, retention or to reward public service is deemed to have a public purpose. Regulation 18944.1 (e). • Public Record: The policy must be maintained as a public record, subject to inspection and copying. The agency must post the policy on the agency website within 30 days of adoption or amendment and send to the FPPC, by email, the agency's website link that displays the policy for posting on the FPPC's website. Regulation 18944.1 (c). C. Form 802 for Reporting Distribution of Tickets and Passes. Within 45 days of distributing 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 fair value of each ticket or pass, (4) the number of tickets or passes distributed to the official, (5) if the ticket or pass is behested, Summary of Principal Conflicts of Interest Laws and Regulations Page 58 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations the name of the official who behested the ticket, (6) if the official gave the ticket or pass to another person (limited to an immediate family member or no more than one guest), the name of that person, (7) the specific public purpose under which the distribution was made, and (8) a written inspection report of findings and recommendations by the official who received the ticket or pass if it was received for the oversight or inspection of facilities. 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 email, the agency's website link for posting on the FPPC's website. Regulation 18944.1 (d). d. Other Exceptions. • Reimbursement. The ticket or pass is not considered a gift if the official reimburses the agency for the ticket within 30 days of receipt. Regulation 18944.1 (h). • Treated as Income. The ticket or pass is not considered a gift if the official treats the ticket or pass as taxable income. Regulation 18944.1(g). 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 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 prohibited 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 $520. 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 define a "payment for travel" as "any payment that provides transportation to an official from one location to Summary of Principal Conflicts of Interest Laws and Regulations Page 59 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations another location as well as a payment for lodging and food connected with the travel." Regulation 18950(b). 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. 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, or 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 given 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,24 and 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 $520 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). 24 With respect to nonprofit organizations that regularly organize and host travel for elected officials and that make payments, advances, or reimbursements totaling more than $10,000 in 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 travel costs. § 89506(f). An organization "regularly organizes and hosts travel" 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, for any portion of the travel. § 89506(f). Summary of Principal Conflicts of Interest Laws and Regulations Page 60 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations C. Travel for Education, Training, or Intra-Agency 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). d. Travel in a Vehicle or Plane 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 payments that do not confer a personal benefit on an official, when made by sources other than local, state, or federal agencies, are for the purpose of facilitating the public's business, and are therefore not gifts or income because the payment is made for an official agency purpose in lieu of using agency funds. This exemption applies only to travel payments that meet all of the following requirements: (1) The payment is made directly to or coordinated with the government employer and not made to the employee using the travel; (2) The payment is used for official agency business; (3) The government employer determines which official will use the payment for travel; (4) The payment provides no personal benefit to the official who uses the payment; (5) The duration of travel is limited to that necessary to accomplish the purposes for which the travel was provided; and (6) The government employer reports the payment, as specified below. The first requirement above - that the payment is made directly to or coordinated with the government employer - is satisfied if the payment is made directly to the government employer or by arranging with the government employer any payments for transportation and lodging that are made directly to the provider of those services. Food may be accepted for attendance at an event where food is provided as part of the admission to the event. All other payments for food must be made to the government employer pursuant to the employer's per diem travel policy. Regulation 18950.1 (b). Summary of Principal Conflicts of Interest Laws and Regulations Page 61 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 any 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; • 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. Regulation 18950.1 (c). The third requirement is satisfied if the governmental employer selects the official who will make use of the payment. However, if the payment is for expenses related to an oral presentation to either provide training on a subject on which the governmental employer provides training, or discuss policy and direction in implementing the Summary of Principal Conflicts of Interest Laws and Regulations Page 62 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations functions of the governmental employer, the donor 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; and • 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 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, and posted on the agency's website, if it has one. f. Travel in Connection with Bona Fide Business The FPPC regulations reiterate the general rule in Government Code Section 89506(d)(3), whereby a payment for transportation, lodging, or food, 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 63 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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 long 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. Regulation 18950.3(b). Any other payment for travel from a committee to an official that is not covered by Regulation 18950.3(a) and (b) described above is considered income or a gift. Regulation 18950.3. 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). Summary of Principal Conflicts of Interest Laws and Regulations Page 64 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations d. Campaign Contributions "Honorarium" does not include a campaign contribution that is required to be reported. Regulation 18932.4(c). 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 Giffs 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 65 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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). 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 Summary of Principal Conflicts of Interest Laws and Regulations Page 66 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations 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. 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 Laws and Regulations Page 67 © 2021 Richards, Watson & Gershon 2464070 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, 89002.25 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 public agency 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; and 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. 25 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 has repealed Regulation 18901 now that the statute includes the same text. Summary of Principal Conflicts of Interest Laws and Regulations Page 68 © 2021 Richards, Watson & Gershon 2464070 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 Page 69 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws and Regulations § 89002(a)(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 "[m]ore than 200 substantially similar items are sent in a single calendar month, excluding any item sent 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 Page 70 © 2021 Richards, Watson & Gershon 2464070 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 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, the 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 Page 71 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal 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 O") 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 O 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 clearly constituted an informational statement that merely advised the public of specific plans that the city council voted to implement should Measure O 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 Page 72 © 2021 Richards, Watson & Gershon 2464070 Summary of the Major Provisions and Requirements of Principal Conflicts of Interest Laws 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 O 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 Page 73 © 2021 Richards, Watson & Gershon 2464070 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 are prohibited mass mailings. Summary of Principal Conflicts of Interest Laws and Regulations Page 74 © 2021 Richards, Watson & Gershon 2464070 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, "[i]t 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 Page 75 © 2021 Richards, Watson & Gershon 2464070 Summary 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 maps of council member residences and other real property interests (and those of other public officials, such as planning commissioners) so that such officials may be alerted to projects that are located within 500 and 1,000 feet of their real property interests. 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 his or her 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 Page 76 © 2021 Richards, Watson & Gershon 2464070 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 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 problems. Specialties Include: Administrative Law Airports, Rail & Transit Brown Act Cannabis CEQA Coastal Act Code Enforcement Conflicts of Interest Construction & Public Works 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 8 �, Brown Act �. HANDBOOK r*4 Summary of 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, 2021 Table of Contents INTRODUCTION...............................................................................................................................................iii PART ONE: SUMMARY OF THE MAJOR PROVISIONS AND REQUIREMENTS OF THE RALPH M. BROWN ACT....................................................................................................... l I. 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 A. Permitted Locations of Meetings.....................................................................................4 B. Teleconferencing................................................................................................................4 1) Background on the COVID-19 pandemic.......................................................5 2) Emergency Executive Orders Regarding the Brown Act ..............................5 V. ADA COMPLIANCE...........................................................................................................................6 VI. SIMULTANEOUS OR SUCCESSIVE MEETINGS..................................................................................7 1) There is a subsequent legislative body............................................................. 7 2) The compensation or stipend, if any, each member may receive as a result of the multiple meetings....................................................7 3) The form of the compensation or stipend that will be provided.................................................................................................................. 7 VII. SERIAL MEETINGS...............................................................................................................................8 A. Contacts with Staff.............................................................................................................9 B. Contacts with Constituents, Developers and Lobbyists............................................10 C. Contacts with Fellow Members of the Same Legislative Body ................................ l 1 D. Contacts on Social Media..............................................................................................1 1 VIII. NOTICE, AGENDA AND REPORTING REQUIREMENTS................................................................12 A. Time of Notice and Content of Agenda......................................................................12 B. Action and Discussion on Non -agenda Items.............................................................15 C. Reporting of Actions.........................................................................................................16 IX. PUBLIC PARTICIPATION...................................................................................................................16 Ralph M. Brown Act Page i © 2021 Richards, Watson & Gershon 2492381 A. Regular Meetings..............................................................................................................16 B. Public Comments at Special Meetings........................................................................17 C. Limitations on the Length and Content of Public Comments.................................18 D. Additional Rights of the Public.......................................................................................18 X. CLOSED SESSIONS...........................................................................................................................20 XI. ENFORCEMENT................................................................................................................................21 XII. CONCLUSION..................................................................................................................................23 PART TWO: The Ralph M. Brown Act........................................................................................................24 PART THREE: Executive Orders Altering Brown Act reuquirements during the Covid-19 state of emergency.....................................................................................................................................68 Ralph M. Brown Act Page ii © 2021 Richards, Watson & Gershon 2492381 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. The third part contains the text of Executive Orders N-25-20, N-29-20, and N-35-20, issued by Governor Gavin Newsom in March 2020, which make several temporary changes to certain Brown Act provisions during the state of emergency declared in response to the COVID-19 pandemic . While it is unclear how long these orders will ultimately be in place, the unpredictable nature of the COVID-19 pandemic suggests that they will remain in effect for the foreseeable future. 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 Page iii © 2021 Richards, Watson & Gershon 2492381 Part One: Summary of the Major Provisions and Requirements of the Ralph M. Brown Act RWG LAW Ralph M. Brown Act Page 1 © 2021 Richards, Watson & Gershon 2492381 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 Handbook 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, are 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. § 54954(a). 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 in Section VIII of this Handbook. Ralph M. Brown Act Page 1 © 2021 Richards, Watson & Gershon 2492381 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). Additionally, charter schools and entities managing charter schools may also be subject to the Brown Act. Educ. Code, § 47604.1 (b) (1). 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, members of the legislative body. 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 in § 54952.2(a), and encompasses almost every gathering of a majority of legislative body members, including: "[A]ny congregation of a majority of the members of a legislative body at the same time and location, including a teleconference, . . . 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. It is important to emphasize that a meeting occurs if a majority gathers to hear, discuss or deliberate on a matter and not just voting or taking action on the issue. 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 Ralph M. Brown Act Page 2 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act be participating in a meeting within the meaning of the Brown Act that requires notice, an agenda, and a period for public comment. A. The Individual Contact Exception Conversations, whether in person, by telephone, video conferencing, 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." § 54952.2(a). 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). Ralph M. Brown Act Page 3 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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. E. The Social or Ceremonial Occasion Exception As has always been the case, the Brown 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 A. Permitted Locations of Meetings The Brown Act generally requires all meetings of a legislative body to occur within the boundaries of the local agency. § 54954(b). There are limited 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. B. Teleconferencing The role of "teleconferencing," or using telephonic and/or video technology in public meetings has expanded significantly during the COVID-19 pandemic. Because the Brown Act relies on physical, in -person meetings as the primary means to achieve its goals of public participation and transparency, the law has traditionally limited a local agency's ability to use teleconferencing to hold public meetings. Ralph M. Brown Act Page 4 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act Generally, teleconferencing may only be used by members of a legislative body as a way to participate fully in the meeting from remote locations. § 54953(b). If one or more members participate in a meeting via teleconferencing, the following requirements apply to that meeting: (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. These 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. However, Governor Newsom has temporarily suspended many of these limitations due to the COVID-19 pandemic. 1) Background on the COVID-19 pandemic On March 4, 2020, Governor Newsom declared a state-wide state of emergency due to the public health crisis caused by the novel coronavirus known as the COVID-19 virus. Since then, federal, state, and local governments have implemented various methods to control the spread of the virus. In California, the majority of these measures have been accomplished by emergency Executive Orders issued by Governor Newsom's office. These measures have changed (and are likely to continue to change) overtime as the state tries to respond to the shifting challenges posed by the COVID-19 pandemic. The situation has also been complicated by ongoing litigation challenging various state and local measures. If you have any questions about whether any of the following emergency response measures are still in effect or apply in your jurisdiction, please contact your city attorney. 2) Emergency Executive Orders Regarding the Brown Act In -person gatherings, especially gatherings that are held indoors, significantly increase the risk of community transmission of the COVID-19 virus. These risks increase exponentially as more people gather into a single space. Shortly after the statewide state of emergency was declared, it became clear that in - person public meetings posed a real danger to the public health, particularly if the meetings addressed matters that were significant or controversial within the community. Governor Newsom issued a series of executive orders which temporarily suspended various portions of the Brown Act. Two of these orders are discussed in detail below. The third order is discussed in Section VII of this Handbook (titled Serial Meetings), below. On March 12, 2020, Governor Newsom issued Executive Order N-25-20, which suspended measures of the Brown Act that expressly or impliedly require the physical presence of the public as a condition of participation in a public meeting. The order also suspended Ralph M. Brown Act Page 5 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act any measures that expressly or impliedly required the physical presence of legislative body members, the clerk, or other personnel of the legislative body as a condition of a quorum for a public meeting. Executive Order N-25-20 § 11. On March 17, 2020, this order was superseded by Executive Order N-29-20, which preserved the suspensions originally imposed by the March 12 order and also added new requirements for remote meetings. Executive Order N-29-20 will remain in effect during the period in which state or local public health officials have imposed or recommended social distancing measures. Executive Order N-29-20 § 3. Executive Order N-29-20 states that, notwithstanding any other provision of state or local law (including the Brown Act), a local legislative body may hold public meetings via teleconferencing and to make public meetings accessible telephonically or otherwise electronically to all members of the public seeking to observe and address the body. Executive Order N-29-20 § 3. All contrary requirements in the Brown Act have been temporarily suspended, including: 1. The requirement that local bodies notice each teleconference location from which a member will be participating in a public meeting. 2. The requirement that each teleconference location be accessible to the public. 3. The provision that members of the public may address the body at each teleconference conference location. 4. The requirement that local bodies post physical copies of the agenda at all teleconference locations. 5. The requirement that, during teleconference meetings, at least a quorum of members of the local body participate from locations within the boundaries of the territory over which the local body exercises jurisdiction. Executive Order N-29-20 § 3. The order also imposes notice and accessibility requirements on meetings held by teleconferencing. These requirements are discussed in detail in Section VIII (titled Notice, Agenda, and Reporting Requirements) and Section V (titled ADA Compliance) of this Handbook, respectively. 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. This section does not require that local agencies hold in -person meetings in a physical location to accommodate persons with a disability. Executive Order N-29-20 § 3. Ralph M. Brown Act Page b © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act However, local agencies must ensure that remote meetings are conducted in a manner that allows persons with a disability to participate to the fullest extent possible. In particular, if a legislative body holds a public meeting by teleconferencing and allows members of the public to observe and address the meeting through telephonic or electronic means, then the legislative body must comply with the following requirements: The legislative body must implement a procedure for receiving and swiftly resolving requests for reasonable modification or accommodation from individuals with disabilities, consistent with the Americans with Disabilities Act and resolving any doubt whatsoever in favor of accessibility. 2. The legislative body must advertise the procedure by which persons can request a modification or accommodation from persons with disabilities each time that notice is given of the means by which members of the public may observe the meeting and offer public comment. Executive Order N-29-20 § 3. Additionally, 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 to convening the simultaneous or successive meeting: 1) There is a subsequent legislative body; 2) The compensation or stipend, if any, each member may receive as a result of the multiple meetings; and 3) The form of the compensation or stipend that 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 include amounts reimbursed for actual and necessary expenses incurred by a member in the performance of his or her official duties. § 54952.3. Ralph M. Brown Act Page 7 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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). 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. For example, an email response concerning an agency's business circulating among a majority of the members of the legislative body, such as "reply to all," could be considered a serial meeting. A serial meeting 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). Additionally, for the duration of the COVID-19 pandemic, the prohibition against serial meetings does not prevent all members of a local legislative body from receiving updates (including, but not limited to, simultaneous updates) relevant to the declared emergency (including, but not limited to, updates concerning the impacts of COVID-19, the government response to COVID-19, and other aspects relevant to the declared emergency) from federal, state, and local officials. Executive Order N-35-20 § 2.1 During these update sessions, members of the legislative body may ask questions of those federal, state, and local officials in order for members of the legislative body to stay apprised of emergency operations and the impact of the emergency on their constituents. However, members cannot take action on, or discuss amongst themselves, any item of business that is within the subject matter jurisdiction of the legislative body 1 Unlike Executive Order N-29-20, which specifies that it will only remain in effect while state or local governments impose or recommend social distancing measures, Executive Order N-35-20 does not have any conditions for its effectiveness or termination. Therefore, Executive Order N-35-20 will likely remain in effect until either it is terminated by Governor Newsom or the state-wide COVID-19 emergency is terminated, whichever comes first. Ralph M. Brown Act Page 8 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act without complying with otherwise -applicable requirements of the Brown Act. Members should therefore be careful not to discuss information received in these updates amongst themselves, especially the answers to any questions that the members ask. These communications should be deferred to a future meeting that complies with the Brown Act. To comply with these requirements, it is advisable to treat these update sessions like a traditional press briefing, which are typically designed to inform or educate participants of relevant issues, rather than to foster debate or create solutions. Social media interactions between or among members of a legislative body can also raise serial meeting concerns. However, the prohibition against serial meetings does not prevent communication between members of a legislative body and members of the public on internet-based social media platforms to answer questions, provide information to the public, or to solicit information from the public regarding a matter that is within the subject matter jurisdiction of the legislative body provided that: (i) a majority of the members of the legislative body do not use the social media platform to discuss among themselves business of a specific nature that is within the subject matter jurisdiction of the legislative body, and (ii) members of the legislative body do not respond directly to any communication on a social media platform regarding a matter that is within the subject matter jurisdiction of the legislative body that is made, posted, or shared by any other member of the legislative body. § 54952.2(b) (3). Observing the following guidelines can avoid inadvertent violation of the serial meeting rule. A. Contacts with Staff Staff can inadvertently 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 Ralph M. Brown Act Page 9 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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. • 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 person's 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. • Be especially careful with discussions about matters involving "quasi- judicial" land use decisions such as subdivision maps, site development plans, conditional use permits or variances. Consult with your city attorney or legal counsel before the meeting in order to avoid any potential problems involving illegal prejudice against the project or illegally receiving evidence about the project outside of the administrative record. Ralph M. Brown Act Page 10 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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, email 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. D. Contacts on Social Media Social media engagement can also inadvertently lead to concerns of creating an illegal serial meeting in violation of the Brown Act. The Brown Act was previously silent regarding social media and its use by members of a legislative body, leading to uncertainty as to whether certain uses of social media could result in unintended violations of the Brown Act. Assembly Bill 992, passed in 2020 and effective January 1, 2021, amended certain provisions of the Brown Act until January 1, 2026 to clarify allowable uses of social media under the Act. A member of a legislative body may engage in separate conversations or communications on an internet-based social media platform to answer questions, provide information to the public, or to solicit information from the public regarding a matter that is within the subject matter jurisdiction of the legislative body. However, a majority of the members of the legislative body cannot use the internet-based social media platform to discuss among themselves business of a specific nature that is within the subject matter jurisdiction of the legislative body. Further, a member of the legislative body is prohibited from responding directly to any communication on an internet-based social media platform regarding a matter that is within the subject matter jurisdiction of the legislative body that is made, posted, or shared by any other member of the legislative body. § 54952.2(b) (3) (A). Unlike other serial meeting restrictions that are invoked when there are contacts of a majority of the legislative body, this provision is triggered when there is interaction between as little as two members of a body. For purposes of these provisions, such interaction includes commenting or using digital icons that express reactions to communications made by other members of the legislative body. § 54952.2(b) (3) (B) (i). Thus, it is now clear that "liking" a post or using a digital icon is considered a discussion under the Brown Act. Ralph M. Brown Act Page 1 1 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act Therefore, to avoid violations arising from social media engagement, members of a legislative body should avoid interacting on social media platforms with any other members of their legislative body regarding matters within the subject matter jurisdiction of the legislative body. 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 or legal counsel. 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. Generally, 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. However, the requirement that a physical agenda be posted has been temporarily suspended during the COVID-19 pandemic. Executive Order N-29-20 § 3. To properly notice a remote meeting during the COVID-19 pandemic, Executive Order N-29-20 requires that the legislative body give advance notice for the time of, and post the agenda for, each public meeting according to the timeframes otherwise prescribed by the Brown Act. The order also requires that legislative bodies must give notice of the means by which the public may observe the meeting and offer public comment. If there is a change in the means of public observation and/or comment prior to the meeting, the body must advertise an accurate way for the public to observe or comment on the meeting using "the most rapid means of communication available at the time," per Government Code Section 54954, subdivision (e.) This requirement can typically be satisfied by posting the means of access, such as a link to a virtual meeting, to the body's public website. Executive Order N-29-20 § 3. Ralph M. Brown Act Page 12 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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, 4 Cal. App. 5th 637 (2016). Courts will not 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 Transient 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 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, 7 Cal. App. 5th 194 (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 "[p]rovide direction to staff." Ralph M. Brown Act Page 13 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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 that 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. Furthermore, agendas should make clear whether items may be acted on or whether they are informational only. Thus, if an agenda for a meeting states that the legislative body will only "discuss" an item, the legislative body may not take an "action" on that item. Agendas must also be posted on the local agency'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 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. 99 Ops. Cal. Atty. Gen. 11 (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 "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, email 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 Ralph M. Brown Act Page 14 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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 later 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. 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. In addition to the two general exceptions discussed 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; Ralph M. Brown Act Page 15 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act • 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 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 Ralph M. Brown Act Page 16 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act of that item. § 54954.3(a). Note that, during the COVID-19 pandemic, members of the public do not have the right to make in -person comments. Executive Order N-29-20 § 3. However, members of the public should still be able to comment during teleconferenced public meetings to the greatest extent possible. At a minimum, local agencies should make sure that the public can send written comments to the legislative body prior to the meeting and that members of the public can call in to virtual meetings, either telephonically or through other electronic means, to submit oral comments. Also, although not required under the Brown Act or the Executive Orders, local agencies may consider reading written comments received into the public record by the city clerk, or his or her designee, subject to reasonable time and content limitations imposed in accordance with the requirements outlined in Section C (titled Limitations on the Length and Content of Public Comments) below. 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 limited situation sometimes referred to as the "committee exception" -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. 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. Additionally, unlike regular meetings, the exception to the requirement for public comment opportunity for items already considered by a committee (i.e., the "committee exception") does not apply to special meetings. Preven v. City of Los Angeles, 32 Cal. App. 5th 925, 936 (2019). Ralph M. Brown Act Page 17 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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. 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 Ralph M. Brown Act Page 18 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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 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 Website at Ralph M. Brown Act Page 19 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act [WEBSITE ADDRESS]. During the COVID-19 pandemic, agencies should make these documents available online to the greatest extent possible, especially when public buildings or facilities are temporarily closed to public access. • On the [AGENCY'S] Website, 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 Website. • 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 actions and 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. The Brown Act requires that closed session business be described on the public agenda. For a litigation threat against a city made outside an open and public meeting to be discussed in closed session it must be included in the agenda packet made available upon request before open meeting. Fowler v. City of Lafayette, 46 Cal. App. 5th 360, 370 (2020), as modified on denial of reh'g (Mar. 11, 2020), review denied (July 22, 2020). Moreover, there is a "safe harbor" for using prescribed language to describe closed session items on an agenda in that legal challenges to the adequacy of the description are precluded when such language is used. § 54954.5. This so-called "safe harbor" Ralph M. Brown Act Page 20 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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 closed 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 that 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. 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 Ralph M. Brown Act Page 21 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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 and 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. Note that even where a plaintiff can satisfy the threshold procedural requirements, a Brown Act violation will not automatically invalidate the action taken by the legislative body absent a showing that the violation caused prejudice. Mortis Camp Cmty. Assn v. Cty. of Placer, 53 Cal. App. 5th 569, 592 (2020). 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 Page 22 © 2021 Richards, Watson & Gershon 2492381 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 Page 23 © 2021 Richards, Watson & Gershon 2492381 Part Two: The Ralph M. Brown Act Updated including changes effective January 1, 2021 Ralph M. Brown Act Page 0 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions 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, decision making 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 Page 1 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions 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 (B) 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 of 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 a 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 Page 2 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act of the legislative body the comments or position of any other member or members of the legislative body. (3) (A) Paragraph (1) shall not be construed as preventing a member of the legislative body from engaging in separate conversations or communications on an internet-based social media platform to answer questions, provide information to the public, or to solicit information from the public regarding a matter that is within the subject matter jurisdiction of the legislative body provided that a majority of the members of the legislative body do not use the internet-based social media platform to discuss among themselves business of a specific nature that is within the subject matter jurisdiction of the legislative body. A member of the legislative body shall not respond directly to any communication on an internet-based social media platform regarding a matter that is within the subject matter jurisdiction of the legislative body that is made, posted, or shared by any other member of the legislative body. (B) For purposes of this paragraph, all of the following definitions shall apply: (i) "Discuss among themselves" means communications made, posted, or shared on an internet-based social media platform between members of a legislative body, including comments or use of digital icons that express reactions to communications made by other members of the legislative body. (ii) "Internet -based social media platform" means an online service that is open and accessible to the public. (iii) "Open and accessible to the public" means that members of the general public have the ability to access and participate, free of charge, in the social media platform without the approval of the social media platform or a person or entity other than the social media platform, including any forum and chatroom, and cannot be blocked from doing so, except when the internet-based social media platform determines that an individual violated its protocols or rules. (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. Ralph M. Brown Act Page 3 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (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, provided 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. (d) This section shall remain in effect only until January 1, 2026, and as of that date is repealed. 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 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 compensation 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. Ralph M. Brown Act Page 4 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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 this 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 roll call. (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 boundaries 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 Ralph M. Brown Act Page 5 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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 teleconference 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. (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 has 12 or more members. 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. Ralph M. Brown Act Page b © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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 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 which 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 Ralph M. Brown Act Page 7 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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. (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. Ralph M. Brown Act Page 8 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (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 non -adversarial 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 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 Ralph M. Brown Act Page 9 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act and shall be posted in a location that is freely accessible to members of the public and on the local agency's Internet Website, 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 Website, the following provisions shall apply: (A) An online posting of an agenda shall be posted on the primary Internet Website homepage of a city, county, 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 addition 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. (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 Website 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 Website 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 Website 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, Ralph M. Brown Act Page 10 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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: (i) "Integrated agenda management platform" means an Internet Website 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. (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. Ralph M. Brown Act Page 1 1 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (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 Website, if the local agency has one, shall only apply to a legislative body that meets either of the following standards: 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, 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 consideration 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. Ralph M. Brown Act Page 12 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (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 act, shall 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 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 Ralph M. Brown Act Page 13 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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: 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 Ralph M. Brown Act Page 14 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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 potential 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 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: 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 Ralph M. Brown Act Page 15 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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) (g) 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 Subject matter: (Specify whether testimony/deliberation will concern staff privileges, report of medical audit committee, or report of quality assurance committee) (i) 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 powers agency) (Specify closed session description used by the joint Ralph M. Brown Act © 2021 Richards, Watson & Gershon 2492381 Page 16 Summary of the Major Provisions of the Ralph M. Brown Act 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 closed 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. (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 Ralph M. Brown Act Page 17 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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). (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 shall 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. Ralph M. Brown Act Page 18 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (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. (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 (B) to (G), inclusive, of paragraph (2) of subdivision (c). (4) Notwithstanding paragraph (1), 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). Ralph M. Brown Act Page 19 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (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 decision making process. (e) This section shall not apply to any new or increased general tax or any new or increased assessment that requires an election 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. (f) 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 legislative body may declare the meeting adjourned to a stated time and place and he or she 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 re - continued to any subsequent meeting of the legislative body in the same manner and Ralph M. Brown Act Page 20 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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 Website (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 Website, 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. 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 Website, 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: Ralph M. Brown Act Page 21 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (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 terrorist 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 dire 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 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 person(s) who is 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 in 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. Ralph M. Brown Act Page 22 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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 during 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 draft 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. 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. Ralph M. Brown Act Page 23 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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 closed 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 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, 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 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 exemption. (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 Ralph M. Brown Act Page 24 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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 Managed Health Care 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. 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 or 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 agency is a party, has been initiated formally. Ralph M. Brown Act Page 25 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (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 the Government Code) or some other written 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 Ralph M. Brown Act Page 26 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act identify the litigation to be discussed, unless 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 employment. 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 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, Clean Power Alliance of Southern California; 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 local agency member may disclose information obtained in a closed session that has direct financial or liability implications for that local agency to the following individuals: Ralph M. Brown Act Page 27 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (A) Legal counsel of that local agency member for purposes of obtaining advice on whether the matter has direct financial or liability implications for that local agency member. (B) Other members of the legislative body of the local agency present in a closed session of that local agency member. (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) (1) In addition to the authority described in subdivision (a), the Clean Power Alliance of Southern California or its successor entity, may adopt a policy or a bylaw or include in its joint powers agreement a provision that authorizes both of the following: (A) A designated alternate member of the legislative body of the Clean Power Alliance of Southern California or its successor entity, who is not a member of the legislative body of a local agency member and who is attending a properly noticed meeting of the Clean Power Alliance of Southern California or its successor entity, in lieu of a local agency member's regularly appointed member to attend closed sessions of the Clean Power Alliance of Southern California or its successor entity. (B) All information that is received by a designated alternate member of the legislative body of the Clean Power Alliance of Southern California or its successor entity, who is not a member of the legislative body of a local agency member and that is presented to the Clean Power Alliance of Southern California or its successor entity, in closed session, shall be confidential. However, the designated alternate member may disclose information obtained in a closed session that has direct financial or liability implications for the local agency member for which the designated alternate member attended the closed session, to the following individuals: (i) Legal counsel of that local agency member for purposes of obtaining advice on whether the matter has direct financial or liability implications for that local agency member. (ii) Members of the legislative body of the local agency present in a closed session of that local agency member. (2) If the Clean Power Alliance of Southern California or its successor entity, adopts a policy or bylaw or includes in its joint powers agreement a provision authorized pursuant to paragraph (1), the Clean Power Alliance of Southern California or its successor entity, shall establish policies to prevent conflicts of interest and to address breaches of confidentiality that apply to a designated alternate member who is not a member of the legislative body of a local agency member who attends a closed session of the Clean Power Alliance of Southern California or its successor entity. Ralph M. Brown Act Page 28 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (c) 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) or (b), 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) or paragraph (1) of subdivision (b). (d) This section shall remain in effect only until January 1, 2025 and as of that date is repealed. Section 54956.97. Public bank; governing board or committee of governing board; closed session Notwithstanding any provision of law, the governing board or a committee of the governing board of a public bank, as defined in Section 57600 of the Government Code, may meet in closed session to consider and take action on matters pertaining to all of the following: (a) A loan or investment decision. (b) A decision of the internal audit committee, the compliance committee or the governance committee. (c) A meeting with a state or federal regulator. Section 54956.98. Public bank; policy or bylaw; information from a closed session considered confidential (a) For purposes of this section, the following definitions shall apply: (1) "Shareholder, member, or owner local agency" or "shareholder, member, or owner" means a local agency that is a shareholder of a public bank. (2) "Public bank" has the same meaning as defined in Section 57600. (b) The governing board of a public bank may adopt a policy or a bylaw or include in its governing documents provisions that authorize any of the following: (1) All information received by a shareholder, member or owner of the public bank in a closed session related to the information presented to the governing board of a public bank in closed session shall be confidential. However, a member of the governing board of a shareholder, member or owner local agency may disclose information obtained in a closed session that has direct financial or liability implications for that local agency to the following individuals: (A) Legal counsel of that shareholder, member or owner local agency for purposes of obtaining advice on whether the matter has direct financial or liability implications for that shareholder local agency. Ralph M. Brown Act Page 29 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (B) Other members of the governing board of the local agency present in a closed session of that shareholder, member or owner local agency. (2) A designated alternate member of the governing board of the public bank who is also a member of the governing board of a shareholder, member or owner of the local agency and who is attending a properly noticed meeting of the public bank governing board in lieu of a shareholder, member or owner of the local agency's regularly appointed member may attend a closed session of the public bank governing board. (c) If the governing board of a public bank adopts a policy or a bylaw or includes provisions in its governing documents pursuant to subdivision (b), then the governing board of the shareholder, member or owner of the local agency, 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 public bank governing board pursuant to paragraph (1) of subdivision (b). 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 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 closed 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. Ralph M. Brown Act Page 30 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (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. (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 shall 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. Ralph M. Brown Act Page 31 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (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 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. Ralph M. Brown Act Page 32 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (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. (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 a 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 Website 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. Ralph M. Brown Act Page 33 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (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 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 closed 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. Ralph M. Brown Act Page 34 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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. (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 Ralph M. Brown Act Page 35 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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 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 a 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. Ralph M. Brown Act Page 36 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (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. (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. Ralph M. Brown Act Page 37 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (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. (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 described 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 fees 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 Ralph M. Brown Act Page 38 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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. 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 Ralph M. Brown Act Page 39 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act in that event the court shall award court costs and reasonable attorneys' 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)] 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 a 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 commitment 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, Ralph M. Brown Act Page 40 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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 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 subdivision may be brought pursuant to subdivision (a) of Section 54960, without regard to the procedural requirements of this section. Section 54960.5. Costs and attorneys' fees A court may award court costs and reasonable attorneys' 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 attorneys' 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 attorneys' 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. Ralph M. Brown Act Page 41 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act 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. Section 54962. Prohibition against closed sessions except as expressly authorized Except as expressly authorized by this chapter, 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. Ralph M. Brown Act Page 42 © 2021 Richards, Watson & Gershon 2492381 Summary of the Major Provisions of the Ralph M. Brown Act (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. (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 1102.5 of the Labor Code or Article 4.5 (commencing with Section 53296) of Chapter 2 of this code. Ralph M. Brown Act Page 43 © 2021 Richards, Watson & Gershon 2492381 Part Three: Executive Orders Altering Certain Brown Act Requirements During the COVID-19 Pandemic Ralph M. Brown Act Page 44 © 2021 Richards, Watson & Gershon 2492381 Text of the Ralph M. Brown Act Executive Order N-25-20 Issued March 12, 2020 Amended by and Incorporated into Executive Order N-29-20 WHEREAS on March 4, 2020,1 proclaimed a State of Emergency to exist in California as a result of the threat of COVID-19; and WHEREAS despite sustained efforts, the virus remains a threat, and further efforts to control the spread of the virus to reduce and minimize the risk of infection are needed; and WHEREAS state and local public health officials may, as they deem necessary in the interest of public health, issue guidance limiting or recommending limitations upon attendance at public assemblies, conferences, or other mass events, which could cause the cancellation of such gatherings through no fault or responsibility of the parties involved, thereby constituting a force majeure; and WHEREAS the Department of Public Health is maintaining up-to-date guidance relating to COVID-19, available to the public at http://cdph.ca.gov/covid19; and WHEREAS the State of California and local governments, in collaboration with the Federal government, continue sustained efforts to minimize the spread and mitigate the effects of COVID-19; and WHEREAS there is a need to secure numerous facilities to accommodate quarantine, isolation, or medical treatment of individuals testing positive for or exposed to COVID-19; and WHEREAS, many individuals who have developmental disabilities and receive services through regional centers funded by the Department of Developmental Services also have chronic medical conditions that make them more susceptible to serious symptoms of COVID-19, and it is critical that they continue to receive their services while also protecting their own health and the general public health; and WHEREAS individuals exposed to COVID-19 may be temporarily unable to report to work due to illness caused by COVID-19 or quarantines related to COVID-19 and individuals directly affected by COVID-19 may experience potential loss of income, health care and medical coverage, and ability to pay for housing and basic needs, thereby placing increased demands on already strained regional and local health and safety resources such as shelters and food banks; and WHEREAS in the interest of public health and safety, it is necessary to exercise my authority under the Emergency Services Act, specifically Government Code section 8572, to ensure adequate facilities exist to address the impacts of COVID-19; and Ralph M. Brown Act Page 45 © 2021 Richards, Watson & Gershon 2492381 Text of the Ralph M. Brown Act WHEREAS under the provisions of Government Code section 8571, 1 find that strict compliance with various statutes and regulations specified in this order would prevent, hinder, or delay appropriate actions to prevent and mitigate the effects of the COVID- 19 pandemic. NOW, THEREFORE, I, GAVIN NEWSOM, Governor of the State of California, in accordance with the authority vested in me by the State Constitution and statutes of the State of California, and in particular, Government Code sections 8567, 8571 and 8572, do hereby issue the following order to become effective immediately: IT IS HEREBY ORDERED THAT: 1 . All residents are to heed any orders and guidance of state and local public health officials, including but not limited to the imposition of social distancing measures, to control the spread of COVID-19. 2. For the period that began January 24, 2020 through the duration of this emergency, the Employment Development Department shall have the discretion to waive the one -week waiting period in Unemployment Insurance Code section 2627(b) (1) for disability insurance applicants who are unemployed and disabled as a result of the COVID-19, and who are otherwise eligible for disability insurance benefits. 3. For the period that began January 24, 2020 through the duration of this emergency, the Employment Development Department shall have the discretion to waive the one -week waiting period in Unemployment Insurance Code section 1253(d) for unemployment insurance applicants who are unemployed as a result of the COVID- 19, and who are otherwise eligible for unemployment insurance benefits. 4. Notwithstanding Health and Safety Code section 1797.172(b), during the course of this emergency, the Director of the Emergency Medical Services Authority shall have the authority to implement additions to local optional scopes of practice without first consulting with a committee of local EMS medical directors named by the EMS Medical Directors Association of California. 5. In order to quickly provide relief from interest and penalties, the provisions of the Revenue and Taxation Code that apply to the taxes and fees administered by the Department of Tax and Fee Administration, requiring the filing of a statement under penalty of perjury setting forth the facts for a claim for relief, are suspended for a period of 60 days after the date of this Order for any individuals or businesses who are unable to file a timely tax return or make a timely payment as a result of complying with a state or local public health official's imposition or recommendation of social distancing measures related to COVID-19. 6. The Franchise Tax Board, the Board of Equalization, the Department of Tax and Fee Administration, and the Office of Tax Appeals shall use their administrative powers where appropriate to provide those individuals and businesses impacted by complying with a state or local public health official's imposition or recommendation of social Ralph M. Brown Act Page 46 © 2021 Richards, Watson & Gershon 2492381 Text of the Ralph M. Brown Act distancing measures related to COVID-19 with the extensions for filing, payment, audits, billing, notices, assessments, claims for refund, and relief from subsequent penalties and interest. 7. The Governor's Office of Emergency Services shall ensure adequate state staffing during this emergency. Consistent with applicable federal law, work hour limitations for retired annuitants, permanent and intermittent personnel, and state management and senior supervisors, are suspended. Furthermore, reinstatement and work hour limitations in Government Code sections 21220, 21224(a), and 7522.56(b), (d), (f), and (g), and the time limitations in Government Code section 19888.1 and California Code of Regulations, title 2, sections 300-303 are suspended. The Director of the California Department of Human Resources must be notified of any individual employed pursuant to these waivers. 8. The California Health and Human Services Agency and the Office of Emergency Services shall identify, and shall otherwise be prepared to make available —including through the execution of any necessary contracts or other agreements and, if necessary, through the exercise of the State's power to commandeer property - hotels and other places of temporary residence, medical facilities, and other facilities that are suitable for use as places of temporary residence or medical facilities as necessary for quarantining, isolating, or treating individuals who test positive for COVID-19 or who have had a high - risk exposure and are thought to be in the incubation period. 9. The certification and licensure requirements of California Code of Regulations, Title 17, section 1079 and Business and Professions Code section 1206.5 are suspended as to all persons who meet the requirements under the Clinical Laboratory Improvement Amendments of section 353 of the Public Health Service Act for high complexity testing and who are performing analysis of samples to test for SARS-CoV-2, the virus that causes COVID-19, in any certified public health laboratory or licensed clinical laboratory. 10. To ensure that individuals with developmental disabilities continue to receive the services and supports mandated by their individual program plans threatened by disruptions caused by COVID-19, the Director of the Department of Developmental Services may issue directives waiving any provision or requirement of the Lanterman Developmental Disabilities Services Act, the California Early Intervention Services Act, and the accompanying regulations of Title 17, Division 2 of the California Code of Regulations. A directive may delegate to the regional centers any authority granted to the Department by law where the Director believes such delegation is necessary to ensure services to individuals with developmental disabilities. The Director shall describe the need justifying the waiver granted in each directive and articulate how the waiver is necessary to protect the public health or safety from the threat of COVID-19 or necessary to ensure that services to individuals with developmental disabilities are not disrupted. Any waiver granted by a directive shall expire 30 days from the date of its issuance. The Director may grant one or more 30-day extensions if the waiver continues to be necessary to protect health or safety or to ensure delivery of services. The Director shall rescind a waiver once it is no longer necessary to protect public health or safety or ensure delivery of services. Any waivers and extensions granted pursuant to this paragraph shall be posted on the Department's website. Ralph M. Brown Act Page 47 © 2021 Richards, Watson & Gershon 2492381 Text of the Ralph M. Brown Act 11. Notwithstanding any other provision of state or local law, including the Bagley - Keene Act or the Brown Act, a local legislative body or state body is authorized to hold public meetings via teleconferencing and to make public meetings accessible telephonically or otherwise electronically to all members of the public seeking to attend and to address the local legislative body or state body, during the period in which state or local public officials impose or recommend measures to promote social distancing, including but not limited to limitations on public events. All requirements in both the Bagley -Keene Act and the Brown Act expressly or impliedly requiring the physical presence of members, the clerk or other personnel of the body, or of the public as a condition of participation in or quorum for a public meeting are hereby waived. In particular, any otherwise -applicable requirements that (i) state and local bodies notice each teleconference location from which a member will be participating in a public meeting; (ii) each teleconference location be accessible to the public; (iii) members of the public may address the body at each teleconference conference location; (iv) state and local bodies post agendas at all teleconference locations; (v) at least one member of the state body be physically present at the location specified in the notice of the meeting; and (vi) during teleconference meetings, a least a quorum of the members of the local body participate from locations within the boundaries of the territory over which the local body exercises jurisdiction are hereby suspended, on the conditions that: (i) each state or local body must give advance notice of each public meeting, according to the timeframe otherwise prescribed by the Bagley -Keene Act or the Brown Act, and using the means otherwise prescribed by the Bagley -Keene Act or the Brown Act, as applicable; and (ii) consistent with the notice requirement in paragraph (i), each state or local body must notice at least one publicly accessible location from which members of the public shall have the right to observe and offer public comment at the public meeting, consistent with the public's rights of access and public comment otherwise provided for by the Bagley -Keene Act and the Brown Act, as applicable (including, but not limited to, the requirement that such rights of access and public comment be made available in a manner consistent with the Americans with Disabilities Act). In addition to the mandatory conditions set forth above, all state and local bodies are urged to use sound discretion and to make reasonable efforts to adhere as closely as reasonably possible to the provisions of the Bagley -Keene Act and the Brown Act, and Ralph M. Brown Act Page 48 © 2021 Richards, Watson & Gershon 2492381 Text of the Ralph M. Brown Act other applicable local laws regulating the conduct of public meetings, in order to maximize transparency and provide the public access to their meetings. IT IS FURTHER ORDERED that as soon as hereafter possible, this Order be filed in the Office of the Secretary of State and that widespread publicity and notice be given of this Order. This Order is not intended to, and does not, create any rights or benefits, substantive or procedural, enforceable at law or in equity, against the State of California, its agencies, departments, entities, officers, employees, or any other person. IN WITNESS WHEREOF I have hereunto set my hand and caused the Great Seal of the State of California to be affixed this 12th day of March 2020. [SIGNED BY GOVERNOR NEWSOM] [ATTESTED BY SECRETARY OF STATE PADILLA] Ralph M. Brown Act Page 49 © 2021 Richards, Watson & Gershon 2492381 Text of the Ralph M. Brown Act Executive Order N-29-20 Issued March 17, 2020 WHEREAS on March 4, 2020,1 proclaimed a State of Emergency to exist in California as a result of the threat of COVID-19; and WHEREAS despite sustained efforts, the virus continues to spread and is impacting nearly all sectors of California; and WHEREAS the threat of COVID-19 has resulted in serious and ongoing economic harms, in particular to some of the most vulnerable Californians; and WHEREAS time bound eligibility redeterminations are required for Medi-Cal, CalFresh, CalWORKS, Cash Assistance Program for Immigrants, California Food Assistance Program, and In Home Supportive Services beneficiaries to continue their benefits, in accordance with processes established by the Department of Social Services, the Department of Health Care Services, and the Federal Government; and WHEREAS social distancing recommendations or Orders as well as a statewide imperative for critical employees to focus on health needs may prevent Medi-Cal, CalFresh, CalWORKs, Cash Assistance Program for Immigrants, California Food Assistance Program, and In Home Supportive Services beneficiaries from obtaining in -person eligibility redeterminations; and WHEREAS under the provisions of Government Code section 8571, 1 find that strict compliance with various statutes and regulations specified in this order would prevent, hinder, or delay appropriate actions to prevent and mitigate the effects of the COVID- 19 pandemic. NOW, THEREFORE, I, GAVIN NEWSOM, Governor of the State of California, in accordance with the authority vested in me by the State Constitution and statutes of the State of California, and in particular, Government Code sections 8567 and 8571, do hereby issue the following order to become effective immediately: IT IS HEREBY ORDERED THAT: 1. As to individuals currently eligible for benefits under Medi-Cal, CalFresh, CalWORKS, the Cash Assistance Program for Immigrants, the California Food Assistance Program, or In Home Supportive Services benefits, and to the extent necessary to allow such individuals to maintain eligibility for such benefits, any state law, including but not limited to California Code of Regulations, Title 22, section 50189(a) and Welfare and Institutions Code sections 18940 and 11265, that would require redetermination of such benefits is suspended for a period of 90 days from the date of this Order. This Order shall be construed to be consistent with applicable federal laws, including but not limited to Code of Federal Regulations, Title 42, section 435.912, subdivision (e), as interpreted by the Centers for Medicare and Medicaid Services (in guidance issued on January 30, Ralph M. Brown Act Page 50 © 2021 Richards, Watson & Gershon 2492381 Text of the Ralph M. Brown Act 2018) to permit the extension of otherwise -applicable Medicaid time limits in emergency situations. 2. Through June 17, 2020, any month or partial month in which California Work Opportunity and Responsibility to Kids (CaIWORKs) aid or services are received pursuant to Welfare and Institutions Code Section 11200 et seq. shall not be counted for purposes of the 48-month time limit set forth in Welfare an Institutions Code Section 11454. Any waiver of this time limit shall not be applied if it will exceed the federal time limits set forth in Code of Federal Regulations, Title 45, section 264.1. 3. Paragraph 11 of Executive Order N-25-20 (March 12, 2020) is withdrawn and superseded by the following text: Notwithstanding any other provision of state or local law (including, but not limited to, the Bagley -Keene Act or the Brown Act), and subject to the notice and accessibility requirements set forth below, a local legislative body or state body is authorized to hold public meetings via teleconferencing and to make public meetings accessible telephonically or otherwise electronically to all members of the public seeking to observe and to address the local legislative body or state body. All requirements in both the Bagley -Keene Act and the Brown Act expressly or impliedly requiring the physical presence of members, the clerk or other personnel of the body, or of the public as a condition of participation in or quorum for a public meeting are hereby waived. In particular, any otherwise -applicable requirements that (i) state and local bodies notice each teleconference location from which a member will be participating in a public meeting; (ii) each teleconference location be accessible to the public; (iii) members of the public may address the body at each teleconference conference location; (iv) state and local bodies post agendas at all teleconference locations; (v) at least one member of the state body be physically present at the location specified in the notice of the meeting; and (vi) during teleconference meetings, a least a quorum of the members of the local body participate from locations within the boundaries of the territory over which the local body exercises jurisdiction are hereby suspended. A local legislative body or state body that holds a meeting via teleconferencing and allows members of the public to observe and address the meeting telephonically or otherwise electronically, consistent with the notice and accessibility requirements set forth below, shall have satisfied any requirement that the body allow members of the public to attend the meeting and offer public comment. Such a body need not make Ralph M. Brown Act Page 51 © 2021 Richards, Watson & Gershon 2492381 Text of the Ralph M. Brown Act available any physical location from which members of the public may observe the meeting and offer public comment. Accessibility Requirements: If a local legislative body or state body holds a meeting via teleconferencing and allows members of the public to observe and address the meeting telephonically or otherwise electronically, the body shall also: (i) Implement a procedure for receiving and swiftly resolving requests for reasonable modification or accommodation from individuals with disabilities, consistent with the Americans with Disabilities Act and resolving any doubt whatsoever in favor of accessibility; and (ii) Advertise that procedure each time notice is given of the means by which members of the public may observe the meeting and offer public comment, pursuant to subparagraph (ii) of the Notice Requirements below. Notice Requirements: Except to the extent this Order expressly provides otherwise, each local legislative body and state body shall: (i) Give advance notice of the time of, and post the agenda for, each public meeting according to the timeframes otherwise prescribed by the Bagley -Keene Act or the Brown Act, and using the means otherwise prescribed by the Bagley -Keene Act or the Brown Act, as applicable; and (ii) In each instance in which notice of the time of the meeting is otherwise given or the agenda for the meeting is otherwise posted, also give notice of the means by which members of the public may observe the meeting and offer public comment. As to any instance in which there is a change in such means of public observation and comment, or any instance prior to the issuance of this Order in which the time of the meeting has been noticed or the agenda for the meeting has been posted without also including notice of such means, a body may satisfy this requirement by advertising such means using "the most rapid means of communication available at the time" within the meaning of Government Code, section 54954, subdivision (e); this shall include, but need not be limited to, posting such means on the body's Internet website. All of the foregoing provisions concerning the conduct of public meetings shall apply only during the period in which state or local public health officials have imposed or recommended social distancing measures. All state and local bodies are urged to use sound discretion and to make reasonable efforts to adhere as closely as reasonably possible to the provisions of the Bagley -Keene Act and the Brown Act, and other applicable local laws regulating the conduct of public meetings, in order to maximize transparency and provide the public access to their meetings. IT IS FURTHER ORDERED that as soon as hereafter possible, this Order be filed in the Office of the Secretary of State and that widespread publicity and notice be given of this Order. Ralph M. Brown Act Page 52 © 2021 Richards, Watson & Gershon 2492381 Text of the Ralph M. Brown Act This Order is not intended to, and does not, create any rights or benefits, substantive or procedural, enforceable at law or in equity, against the State of California, its agencies, departments, entities, officers, employees, or any other person. IN WITNESS WHEREOF I have hereunto set my hand and caused the Great Seal of the State of California to be affixed this 17th day of March, 2020. [SIGNED BY GOVERNOR NEWSOM] [ATTESTED BY SECRETARY OF STATE PADILLA] Ralph M. Brown Act Page 53 © 2021 Richards, Watson & Gershon 2492381 Text of the Ralph M. Brown Act Executive Order N-35-20 Issued March 21, 2020 WHEREAS on March 4, 2020,1 proclaimed a State of Emergency to exist in California as a result of the threat of COVID-19; and WHEREAS despite sustained efforts, COVID-19 continues to spread and is impacting nearly all sectors of California; and WHEREAS it is imperative that clinics, hospice, mobile healthcare units, and adult day health care facilities maximize the number of capable healthcare workers to ensure that Californians impacted by COVID-19 are able to access medical treatment; and WHEREAS governmental entities must have sufficient staffing to adequately address the impacts of COVID-19, and state and local governing bodies must have critical and timely information relating to COVID-19; and WHEREAS given the impacts of COVID-19 on governmental entities, certain statutory deadlines would be impractical or impossible to adhere to; and WHEREAS on March 17, 2020, 1 issued Executive Order N-31-20, in which I implemented measures to ensure the expeditious restoration of the supply chain, and further action is needed to ensure the purpose of this action is effectuated; and WHEREAS state institutions housing vulnerable populations, such as those operated by the Department of State Hospitals and the Department of Developmental Services, require special measures to protect those populations from COVID-19 and ensure continuity of care; and WHEREAS under the provisions of Government Code sections 8571 and 8627.5, 1 find that strict compliance with various statutes, regulations, and certain local ordinances specified or referenced herein would prevent, hinder, or delay appropriate actions to prevent and mitigate the effects of the COVID-19 pandemic. NOW, THEREFORE, I, GAVIN NEWSOM, Governor of the State of California, in accordance with the authority vested in me by the State Constitution and statutes of the State of California, and in particular, Government Code sections 8567, 8571, and 8627.5, do hereby issue the following Order to become effective immediately: IT IS HEREBY ORDERED THAT: 1) In order to assist in the care or to protect the health of individuals not in a hospital or health facility, as defined in Health and Safety Code section 1250, and due to the COVID- 19 outbreak, the director of the State Department of Public Health may, for the duration of the declared emergency, waive any of the licensing and staffing requirements of chapters 1, 3.3, 8.5, and 9 of division 2 of the Health and Safety Code and any Ralph M. Brown Act Page 54 © 2021 Richards, Watson & Gershon 2492381 Text of the Ralph M. Brown Act accompanying regulations with respect to any clinic, adult day health care, hospice, or mobile health care unit. Any waiver shall include alternative measures that, under the circumstances, will allow the clinic, adult day health care, hospice, or mobile health care unit to assist in the care or protect the health of individuals while protecting public health and safety. Any waivers granted pursuant to this paragraph shall be posted on the Department's website. 2) Notwithstanding Government Code section 54952.2, subdivision (b) (1), or Government Code section 1 1122.5, subdivision (b) (1), or any other provision of the Brown Act or the Bagley -Keene Act, as applicable, all members of a local legislative body or state body may receive updates (including, but not limited to, simultaneous updates) relevant to the declared emergency (including, but not limited to, updates concerning the impacts of COVID-19, the government response to COVID-19, and other aspects relevant to the declared emergency) from federal, state, and local officials, and may ask questions of those federal, state, and local officials, in order for members of the legislative body to stay apprised of emergency operations and the impact of the emergency on their constituents. Nothing in this Order permits the members of a local legislative body or state body to take action on, or to discuss amongst themselves, any item of business that is within the subject matter jurisdiction of the legislative body without complying with otherwise applicable requirements of the Brown Act or the Bagley -Keene Act, respectively. Nothing in this section shall impact Paragraph 3 of Executive Order N-29-20. 3) The suspension of statutes identified in Paragraph 7 of Executive Order E25-20, issued on March 12, 2020, shall also apply to local governments, as applicable, to ensure adequate staffing to appropriately respond to the COVID-19 pandemic. 4) Any local ordinance, including those relating to noise limitations, is suspended to the extent it restricts, delays, or otherwise inhibits the delivery of food products, pharmaceuticals, and other emergency necessities distributed through grocery stores and other retail or institutional channels, including, but not limited to, hospitals, jails, restaurants, and schools. 5) To ensure that patients with mental or behavioral health conditions continue to receive the services and support they need, notwithstanding disruptions caused by COVID-19; and to protect the health, safety and welfare of patients with mental or behavioral health conditions committed to the State Department of State Hospitals facilities, as defined by Welfare and Institutions Code Sections 4100 and 7200; the Director of the State Department of State Hospitals may issue directives waiving any provision or requirement of the Welfare and Institutions Code; any provision or requirement of the Penal Code that affects the execution of laws relating to care, custody, and treatment of persons with mental illness committed to or in the custody of the State Department State Hospitals; and the accompanying regulations of Title 9, Division 1 of the California Code of Regulations. The Director shall describe the need for the waiver granted in each directive and articulate how the waiver is necessary to protect the public health or safety (including, but not limited to, the health or safety of the individuals served at any Department -operated facility or the staff serving such individuals) from the threat of COVID-19, or how the waiver is necessary to ensure that services to individuals with Ralph M. Brown Act Page 55 © 2021 Richards, Watson & Gershon 2492381 Text of the Ralph M. Brown Act mental or behavioral health conditions are not disrupted. Any waiver granted by a directive shall expire 30 days from the date of its issuance, except that the Director may grant one or more 30-day extensions if the waiver continues to be necessary to protect health or safety or to ensure delivery of services. The Director shall rescind a waiver once it is no longer necessary to protect public health or safety or ensure delivery of services. Any waivers and extensions granted pursuant to this paragraph shall be posted on the Department's website. 6) As needed to safeguard health of persons already admitted, committed, or ordered to the facilities described in this paragraph and notwithstanding the Penal Code, the Welfare and Institutions Code, or any other statute or regulation, the Director of the Department of Developmental Disabilities is authorized to deny admission or delay discharge of all individuals judicially or otherwise admitted, committed or ordered to the Porterville Developmental Center; the Canyon Springs Community Facility; a Stabilization, Training Assistance, and Reintegration (STAR) home; or any other facility under the jurisdiction or control of the Department for 30 days after the issuance of this Order. The Director may grant one or more 30-day extensions if such action is necessary to protect the public health or safety (including, but not limited to, the health or safety of the individuals served at any Department -operated facility or the staff serving such individuals) from the threat of COVID-19. The Director of the Department shall describe the need justifying the closure of admissions to and delay in discharges from the Department -operated facility. The Director shall authorize admissions and discharges once the actions described in this paragraph are no longer necessary to protect the public health or safety (including, but not limited to, the health or safety of the individuals served at any Department -operated facility or the staff serving such individuals). The Director shall post the notice of closure of admissions and discharges and the extension of closure to the Department facility on the Department's website. 7) The deadlines specified in Education Code section 44242.7(a), and California Code of Regulations, title 5, section 80306, related to the presentation of disciplinary cases to the Committee of Credentials for initial review; Education Code section 44244(b) (1), related to the formal review of disciplinary cases and determination of any adverse action by the Committee of Credentials; Education Code section 44343.5, related to the processing of military spouse or partner applications; and Education Code section 44350, related to processing educator applications, are extended for a period of 60 days. 8) The deadline specified in Government Code section 11517(c) (2), related to an agency's action on an administrative law judge's proposed decision, is extended for a period of 60 days. 9) The deadlines specified in Government Code section 1774(a), related to the Governor's reappointment of an incumbent to an office, and Government Code section 1774(b), related to transmittal of the required information about reappointment of an incumbent to the Secretary of the Senate, are extended for a period of 60 days. Ralph M. Brown Act Page 56 © 2021 Richards, Watson & Gershon 2492381 Text of the Ralph M. Brown Act 10) The deadline specified in Government Code section 12011.5(c), related to State Bar's transmittal of its report to the Governor of its evaluation of all judicial candidates referred by the Governor, is extended for a period of 60 days. 1 1) The time for presenting a claim pursuant to Government Code section 911, et seq., is hereby extended by 60 days. The time within which the Department of General Services may act upon such claim is extended by 60 days. 12) The time limitation set forth in Penal Code section 4750(j) for any jurisdiction submitting a claim for reimbursement is delayed for a period of 60 days. The State Controller shall have the discretion to provide the additional time extension, as appropriate. IT IS FURTHER ORDERED that as soon as hereafter possible, this Order be filed in the Office of the Secretary of State and that widespread publicity and notice be given of this Order. This Order is not intended to, and does not, create any rights or benefits, substantive or procedural, enforceable at law or in equity, against the State of California, its agencies, departments, entities, officers, employees, or any other person. IN WITNESS WHEREOF I have hereunto set my hand and caused the Great Seal of the State of California to be affixed this 21 st day of March 2020. [SIGNED BY GOVERNOR NEWSOM] [ATTESTED BY SECRETARY OF STATE PADILLA] Ralph M. Brown Act Page 57 © 2021 Richards, Watson & Gershon 2492381 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 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 problems. Specialties Include: Administrative Law Airports, Rail & Transit Brown Act Cannabis CEQA Coastal Act Code Enforcement Conflicts of Interest Construction & Public Works 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 Public Records Act "HANDBOOK r*4 Summary of the Major Provisions and Requirements of the Public Records Act and Related Topics ) Electronic Records ) Text of the Public Records Act ) Updated including changes effective January 1, 2021 Table of Contents INTRODUCTION............................................................................................................................................. ii PART ONE. COMPLIANCE WITH THE PUBLIC 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?.........................................................................................................6 VII. CAN A LOCAL AGENCY RELINQUISH ITS PUBLIC RECORDS ACT OBLIGATIONS TO SOMEONE ELSE?.................................................................................6 VIII. MUST A PUBLIC RECORDS ACT REQUEST BE MADE IN WRITING, OR MAY IT BE MADE ORALLY?...............................................................................................7 IX. WHAT PUBLIC RECORDS ARE EXEMPT FROM DISCLOSURE UNDER THE PUBLIC RECORDS ACT?....................................................................................................8 X. WHAT IS THE PROPER PROCEDURE FOR COMPLYING WITH A PUBLIC RECORDS ACT REQUEST?.............................................................................................. 27 XI. WHAT ARE THE PENALTIES FOR FAILURE TO COMPLY WITH THE PUBLIC RECORDSACT?............................................................................................................... 31 X11. CONCLUSION..................................................................................................................31 PART TWO. ELECTRONIC RECORDS........................................................................................................ 32 1. EMAI L................................................................................................................................ 35 II. DOCUMENTS CREATED USING WORD PROCESSORS, GIS AND OTHER SOFTWARE........................................................................................................................ 48 III. CITY WEBSITES.................................................................................................................. 58 IV. CONCLUSIONS................................................................................................................75 PART THREE. THE CALIFORNIA PUBLIC RECORDS ACT......................................................................... 78 Public Records Act Page i © 2021 Richards, Watson & Gershon 2464056 Article 1 - General Provisions California Government Code Sections 6250-6270.7.................... 79 Article 2 - Other Exemptions from Disclosure California Government Code Sections 6275-6276.48............................................................................................................... 142 Public Records Act © 2021 Richards, Watson & Gershon Page ii 2464056 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 Act. 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 Page iii © 2021 Richards, Watson & Gershon 2464056 PART ONE. COMPLIANCE WITH THE PUBLIC RECORDS ACT //RWG Public Records Act © 2021 Richards, Watson & Gershon 2464056 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. I, § 3(b) (I). In enacting [the California Public Records Act], 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.2 I Rogers v. Superior Cf. (City of Burbank), 19 Cal. App. 4th 469 (2 Dist. 1993). 2 Gov't Code § 6253(a). Public Records Act Page 1 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act The California Constitution also guarantees that public records are open to public scrutiny.3 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.4 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.5 It is irrelevant whether the person making the Public Records Act request already has possession of the public records requested.6 The term "person" includes individuals, and various types of business entities.? 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.9 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.,o 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 3 CAL. CoNST. art. I, § 3(b)(1). 4 CAL. CoNST. art. I, § 3(b) (2). 5 Gov't Code § 6253(a), (b). A requester inspecting a disclosable record on the agency's premises generally has the right to use their own equipment, without being charged any fees or costs, to photograph or otherwise copy or reproduce the record in a manner that does not require the equipment to make physical contact with the record. Gov't Code § 6253(d). 6 The motive of the requester seeking public records is immaterial; an individual already in possession of requested documents may seek the documents so he or she may publicly disseminate them without fear of liability for doing so. Caldecott v. Superior Court, 243 Cal. App. 4th 212, 219 (4 Dist. 2015). 7 Both cities and City attorneys have been deemed "persons" under the Act. Los Angeles Unified School Dist. v. Superior Court (City of Long Beach), 151 Cal. App. 4th 759 (2 Dist. 2007) (holding that the City, as well as the City attorney, were entitled to obtain records of school district relating to school construction project). 8 Gov't Code § 6252(c); Connell v. Superior Court (Intersource, Inc.), 56 Cal. App. 4th 601 (3 Dist. 1997). 9 Gov't Code § 6253(b). 10 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 this does not excuse a public entity from producing the records at all). „ Gov't Code § 6253(a). Public Records Act Page 2 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act that agencies may adopt procedures to allow greater access to records, except where the law otherwise prohibits access.12 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 record.13 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.14 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 (the "FOIA") as the basis for their request. The FOIA is a federal statute that does not apply to local government agencies.15 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.16 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.17 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 12 Gov't Code § 6253(e). It is unclear whether a local public agency can, through a sunshine ordinance, seek to regulate other agencies, but such an ordinance would not override a state agency's determination on whether its internal documents were subject to disclosure. SF Urban Forest Coal. v. City & Cty. of San Francisco, 43 Cal. App. 5th 796, 807 (Ct. App. 2019), review filed (Jan. 28, 2020). 13 LAPD v. Superior Court (Church of Scientology), 65 Cal. App. 3d 661, 668 (2 Dist. 1977). 14 Poway Unified Sch. Dist. v. Superior Court (Copley Press), 62 Cal. App. 4th 1496 (4 Dist. 1998). 15 5 U.S.C. §552 et seq. 16 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). 17 Gov't Code § 6252(a). The Public Records Act also applies to charter schools and entities managing charter schools. Ed. Code § 47604.1. Public Records Act Page 3 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act 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 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.18 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.19 Note, however, that computer software developed by a local agency is not a "public record" subject to the Public Records Act.20 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.21 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."22 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 in some 18 Gov't Code § 6252(e), (g). 19 Gov't Code § 6253.9. For further discussion of the exception to this rule, see Part Two. Electronic Records, Section II.B. "Metadata" of this Handbook. 20 Gov't Code § 6254.9. 21 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); See also Sander v. Superior Court, 26 Cal. App. 5th 651, 665-66 (1 Dist. 2018) (stating that "the CPRA ... does not require [public agencies] to create new records to satisfy a request."); Steinle v. City & Cty. of San Francisco, 919 F.3d 1154, 1 166 (9th Cir. 2019). 22 City of San Jose v. Superior Court, 2 Cal. 5th 608, 618 (2017); Braun v. City of Taft, 154 Cal. App. 3d 332, 340 (5 Dist. 1984); San Gabriel Tribune 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). Public Records Act Page 4 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act substantive way to the conduct of the public's business.23 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.24 In City of San Jose v. Superior Court, the California Supreme Court provided several factors to consider when analyzing whether a writing is a public record, including: the content of the writing; the context in, or purpose for which, it was written; the audience to whom it was directed; and whether the writing was prepared by an employee acting or purporting to act within the scope of his or her employment.25 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 physical form or characteristics."26 Further, local agencies are obligated to determine whether a public records request seeks copies of disclosable public records in the "possession" — either actual or constructive possession — of the agency.27 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 has the right to control the records and therefore "constructive possession" of the documents.28 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.29 The court held that the City had an obligation "to make reasonable efforts to facilitate the location and release of the information."30 The City's failure to assert its contractual right to obtain the record from the consultant violated the Public Records Act.31 On the other hand, in Anderson -Barker v. Superior Court of Los Angeles County, the court held that a city's ability to access privately held, 23 City of San Jose, 2 Cal. 5th at 618; Braun, 154 Cal. App. 3d at 340; San Gabriel Tribune, 143 Cal. App. 3d at 774; Gov't Code § 6252(e). 24 San Gabriel Tribune, 143 Cal. App. 3d at 774. 25 City of San Jose, 2 Cal. 5th at 618. 26 Gov't Code § 6252(e). 27 Gov't Code § 6253(c). City of San Jose, 2 Cal. 5th at 623. 28 Consolidated Irrigation District v. Superior Court (City of Selma), 205 Cal. App. 4th 697, 709-11 (5 Dist. 2012); Community Youth Athletic Center v. City of National City, 220 Cal. App. 4th 1385, 1427-29 (4 Dist. 2013); see also Regents of the University of California v. Superior Court, 222 Cal. App. 4th 383, 398 (1 Dist. 2013) as modified on denial of reh'g (Jan. 14, 2014). 29 Community Youth Athletic Center, 220 Cal. App. 4th at 1428. 30 Id. at 1429. 31 Id. Public Records Act Page 5 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act electronically -stored data did not equate to a form of possession of the data when a city does not direct what information a third party contractor places on its databases, and has no authority to modify the data in any way.32 Similarly, in Consolidated Irrigation District v. Superior Court, the court found that the City had no control over a sub -consultant's records.33 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.34 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. 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.35 Likewise, the requester is obligated to engage in this process, and to provide the scope of the public information requested, which the City must communicate to the custodian of records. Both the local agency and the requester must be reasonable in this process.36 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 32 Anderson -Barker v. Superior Court, 31 Cal. App. 5th 528 (Ct. App. 2019), review denied (Apr. 24, 2019). 33 Consolidated Irrigation District, 205 Cal. App. 4th at 711. 34 Gov't Code § 6253. 35 Gov't Code § 6253.1. Further discussion of these procedural requirements is in Section X, below. 36 Community Youth Athletic Center v. National City, 220 Cal. App. 4th 1385, 1427 (4 Dist. 2013). Public Records Act Page 6 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act local agency from providing the record directly.37 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.38 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 to 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.39 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.40 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 writing.41 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.42 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. 37 Gov't Code § 6270(a). 38 Gov't Code § 6253.3. 39 Gov't Code § 6253.31. 40 Los Angeles Times v. Alameda Corridor Transp. Authority, 88 Cal. App. 4th 1381, 1392 (2 Dist. 2001). 41 Galbiso v. Orosi Public Utility District, 167 Cal. App. 4th 1063, 1088-89 (5 Dist. 2008). 42 Bruce v. Gregory, 65 Cal. 2d 666, 676 (1967); Rosenthal v. Hansen, 34 Cal. App. 3d 754, 761 (1973); 64 Ops. Cal. Atty. Gen. 317 (1981). Public Records Act Page 7 © 2021 Richards, Watson & Gershon 2464056 Part One: Comoliance with the Public Records Act 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.43 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.44 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.45 The California Supreme Court held that a public agency's inadvertent disclosure resulting from human error does not waive an exemption.46 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.47 After becoming aware of the inadvertent disclosure, the City filed a motion in court seeking the return of the privileged materials.48 The California Supreme Court held that the Public Records Act's waiver provision49 applied only 43 Gov't Code § 6254.5. 44 Black Panther Party v. Kehoe, 42 Cal. App. 3d 646, 658 (3 Dist. 1974). 45 Gov't Code § 6254.5. Additional exceptions apply to specific state agencies. 46 Ardon v. City of Los Angeles, 62 Cal. 4th 1 176 (2016). 47 Ardon, 62 Cal. 4th at 1 180-82. 48 Id. at 1 181 . 49 Gov't Code § 6254.5. Public Records Act Page 8 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act to intentional and not inadvertent disclosure.50 The court justified this distinction by finding that the City of Los Angeles had not engaged in selective disclosure: "[r]ather, it seeks no disclosure; it is trying to force plaintiff's attorney to return the privileged documents unread."51 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.52 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.53 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.54 Further, the California Supreme Court emphasized that a public agency's own characterization of its intent is not dispositive.55 The best 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. The Public Records Act contains protections for specified personal information of all public agency employees. The home addresses, home telephone numbers, 50 Ardon, 62 Cal. 4th at 1180. 51 Id. at 1 185-86. 52 See Newark Unified School District v. Superior Court, 245 Cal. App. 4th 887 (1 Dist. 2015). 53 Id. at 910. 54 Ardon, 62 Cal. 4th at 1190. 55 Id. Public Records Act Page 9 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act 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. Personal e-mail addresses of public employees are also not public records subject to disclosure, unless a personal e-mail address is used by an employee to conduct public business or if the address is necessary to identify a person in an otherwise discloseable communication. 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.56 (2) Referendum, recall and initiative petitions, ballots 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. Election ballots themselves are exempt from disclosure.57 (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). 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.58 56 Gov't Code § 6254.29. 57 Elec. Code §§ 15370 and 17301; Citizens Oversight, Inc. v. Vu, 35 Cal. App. 5th 612, 619-20 (4 Dist. 2019), review denied (Aug. 14, 2019). 58 Gov't Code § 6254(a). Public Records Act Page 10 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act 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,59 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 disclosed."60 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.61 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 59 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(a)). 60 Id. at 714. 61 Id. at 714 n.7. Public Records Act Page 1 1 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act 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.62 Previously created or disclosed records may not be retroactively re-classified as being exempt under this Section.63 Generally, courts will examine the "dominant purpose" behind the document's creation.64 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.65 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.66 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 are available to the public under another statute.67 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."68 62 Fairley v. Superior Court (City of Long Beach), 66 Cal. App. 4th 1414, 1421-22 (2 Dist. 1998). 63 City of Hemet v. Superior Court (Press -Enterprise Co.), 37 Cal. App. 4th 1411, 1420 & n.1 1 (4 Dist. 1995). 64 Fairley, 66 Cal. App. 4th at 1420. 65 Id. at 1421 . 66 Gov't Code § 6254(b) (noting that the exemption applies "until the pending litigation or claim has been finally adjudicated or otherwise settled."); City of Los Angeles v. Superior Court (Axelrod), 41 Cal. App. 4th 1083, 1089 (2 Dist. 1996). 67 Board of Trustees of California State Univ. v. Superior Court (Copley Press, Inc.), 132 Cal. App. 4th 889, 901-902 (4 Dist. 2005); Civ. Proc. Code § 2025.570. 68 Poway Unified Sch. Dist. v. Superior Court (Copley Press), 62 Cal. App. 4th 1496, 1505 (4 Dist. 1998). Public Records Act Page 12 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act (6) Personnel, medical, or similar records. Gov't Code §§ 6254(c); 6254.3. When the disclosure of personnel ,69 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.70 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.71 Courts have recognized the privacy interest implicated by records of employee misconduct and wrongdoing.72 However, 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. "73 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.74 This exemption for personnel records also does not justify withholding personnel records concerning incidents involving the discharge of a firearm at a person by a peace officer that resulted in death or great bodily injury, or records concerning a sustained finding that a peace officer engaged in sexual assault or dishonesty.75 69 The scope of personnel records generally covers records relating to an employee's performance or to any grievance concerning an employee, and would include personal information to which access is limited to an employee's supervisors. Such records do not need to be stored in a personnel file to be exempt; it is the contents of the document which makes them confidential. Associated Chino Teachers v. Chino Valley Unified Sch. Dist., 30 Cal. App. 5th 530, 539- 41 (4 Dist. 2018). 70 Versaci v. Superior Court (Palomar Cmty. Coll. Dist.), 127 Cal. App. 4th 805, 818-820 (4 Dist. 2005). 71 International Federation of Professional and Technical Engineers, LOCAL 21, AFL-CIO, v. Superior Court, (Contra Costa Newspapers, Inc.), 42 Cal. 4th 319, 329-333 (2007) (International Federation). 72 Associated Chino Teachers, 30 Cal. App. 5th at 541. 73 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 public to be a "sweetheart deal" outweighed the superintendent's interest in preventing disclosure of the reports). 74 Gov't Code § 6254.8. 75 Penal Code §§ 832.7, 832.8. Public Records Act Page 13 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act Disclosure of Public Emolovee 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.),76 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.77 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.78 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.79 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.80 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.81 The Court, however, left open the possibility that a public entity may, on a case -by -case 76 International Federation, 42 Cal. 4th 319 (2007) 77 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 disclosure 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. 78 Id., at 343. 79 Id. 80 Id. at 336. 81 Id. at 336-37. Public Records Act Page 14 © 2021 Richards, Watson & Gershon 2464056 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.82 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.83 (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.84 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."85 82 Commission on Peace Officer Standards and Training v. Superior Court, 42 Cal. 4th 278 (2007) 83 Id. at 303; see also, Long Beach Police Officers Assn. v. City of Long Beach, 59 Cal. 4th 59 (2014) (holding the Act did not protect from disclosure the names of officers involved in on -duty shootings). 84 The scope of "records of investigation" is narrowly construed. American Civil Liberties Union Foundation v. Superior Court, 3 Cal. 5th 1032, 1039 (2017). Records of investigation exempted under Section 6254(f:) "encompass only those investigations undertaken for the purpose of determining whether a violation of law may occur or has occurred. If a violation or potential violation is detected, the exemption also extends to records of investigations conducted for the purpose of uncovering information surrounding the commission of the violation and its agency." Haynie v. Superior Court, 26 Cal. 4th 1061, 1071 (2001). In American Civil Liberties Union of Southern California v. Superior Court, the California Supreme Court declined to extend the meaning of "investigation" to cover bulk raw data obtained as part of a mass personal data collection, because there was no targeted "investigation" into a particular criminal act. 3 Cal. 5th 1032, 1042. 85 Dixon v. Superior Court (Neves), 170 Cal. App. 4th 1271, 1277 (3 Dist. 2009) (internal quotation omitted). Public Records Act Page 15 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act This exemption extends indefinitely, even after investigations are concluded.86 In most cases, agencies are required to disclose to the public87 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 part of a police officer's confidential personnel file.S8 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.89 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 or human trafficking offense must be withheld.90 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.91 This requirement, however, may have limited applicability 86 Rackauckas v. Superior Court (Los Angeles Times Communications), 104 Cal. App. 4th 169, 174-178 (4 Dist. 2002). 87 Section 6254(f) also authorizes release of certain limited information to the victim of a crime and other interested parties, above and beyond that information released to the public generally. 88 Pasadena Police Officers Association v. City of Pasadena, 22 Cal. App. 5th 147 (2 Dist. 2018). 89 Penal Code § 841.5. 90 Penal Code § 293. 91 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't v. United Reporting Publ'g Corp., 528 U.S. 32 (1999). Public Records Act Page 16 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act given the outcome of litigation by United Reporting Publishing Corporation against the California Highway Patrol.92 Subsequent to that case, the Attorney 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.93 Disclosure of Certain Police Department Records Penal Code sections 832.7 and 832.8, which previously provided that peace officer personnel records are confidential and subject to disclosure only after a granted Pitchess Motion, were amended in 2019. Now, certain peace officer personnel records and records relating to specified incidents, complaints, and investigations must be made available to the public under the Public Records Act. Penal Code sections 832.7 and 832.8 now provide that an agency must disclose any record relating to the report, investigation, or finding of: • an incident involving the discharge of a firearm at a person by a peace officer or custodial officer. • an incident in which the use of force by a peace officer or custodial officer against a person resulted in death or great bodily injury. • When a sustained finding was made that a peace officer or custodial officer engaged in sexual assault involving a member of the public. • When a sustained finding was made of dishonesty by a peace officer or custodial officer directly relating to the reporting, investigation or prosecution of a crime, or directly relating to the reporting of, or investigation of misconduct by, another peace officer or custodial officer, including, but not limited to, any sustained finding of perjury, false statements, filing false reports, destruction, falsifying or concealing of evidence. These disclosure requirements apply regardless of whether the disclosable records sought pertain to officers employed by the agency or by another public agency and regardless of whether the agency or another public agency 92 United Reporting Publ'g Corp. v. California Highway Patrol, No. 96-CV-0888-B (S.D. Cal. Aug. 13, 2001) (final judgment on consent) ("As applied to United Reporting's activities as described in this lawsuit, section 6254(f) (3) violates United 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."). 93 89 Ops. Cal. Att'y Gen. 97 (2006). Public Records Act Page 17 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act created the records.94 These requirements also apply to records created prior to 2019 if a public records request is submitted after January 1, 2019.95 Note, however, that the catchall exemption to disclosure under the Public Records Act (Government Code section 6255), can apply to exempt otherwise disclosable records under Penal Code Section 832.7 where, based 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.96 Further, as of July 1, 2019, the Act requires an agency to disclose audio and video recordings that relate to a "critical incident." A recording relates to a critical incident if it depicts an incident involving the discharge of a firearm at a person by a peace officer or custodial officer; or an incident in which the use of force by a peace officer or custodial officer resulted in death or great bodily injury.97 Additionally, recent legislation has imposed requirements on law enforcement agencies to make available online all current standards, policies, practices, operating procedures, and education and training materials that would otherwise be available to the public if a request was made pursuant to the Public Records Act.98 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 94 gecerra v. Superior Court of City & Cty. of San Francisco, 44 Cal. App. 5th 897 (1 Dist. 2020) review denied (May 13, 2020) . 95 Walnut Creek Police Officers' Assn v. City of Walnut Creek, 33 Cal. App. 5th 940, 941-942 (1 Dist. 2019). 96 gecerra, 44 Cal. App. 5th at 927-929. 97 Gov't Code § 6254(f) (4). 98 Penal Code § 13650. Public Records Act Page 18 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act 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 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.99 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.loo 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 99 Roberts v. City of Palmdale, 5 Cal. 4th 363, 377 (1993). 100 Los Angeles County Board of Supervisors v. Superior Court, 2 Cal. 5th 282 (2016). Public Records Act Page 19 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act "reasonably segregable."1o1 Further, the Court stressed that any ambiguity must be construed in "whichever way will further the people's right of access."102 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.103 Whether or not any particular fee total must be disclosed is a factual inquiry for the trial courl.104 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 Act (CEQA).105 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.106 As a result, the city was required to include its attorneys' communications with the developer in the administrative record it prepared. In light 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.107 Determining which other confidentiality laws are incorporated into the Public Records Act has always been difficult and time-consuming. In 1998, the 101 Id. at 292. 102 Id. (citing Ardon v. City of Los Angeles, 62 Cal. 4th 1176, 1 190 (2016), and Cal. Const., art. I, § 3, subd. (b) (2)). 103 County of Los Angeles v. Superior Court, 12 Cal.App. 5th 1264, 1274 (2 Dist. 2017). 104 Id. 105 Citizens for Ceres v. Superior Court (City of Ceres), 217 Cal. App. 4th 889, 922 (5 Dist. 2013). 106 Id. at 914-921 . 107 Labor & Workforce Dev. Agency v. Superior Court, 19 Cal. App. 5th 12 (3 Dist. 2018) review denied (Apr. 25, 2018). Public Records Act Page 20 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act Legislature attempted to address this problem by enacting a statute that lists most of the exemptions found in other laws.108 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. (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.109 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 for or by a local agency that assesses its vulnerability to terrorist attacks or other criminal acts intended to disrupt the local agency's operations is exempt from disclosure if the document is prepared for distribution or consideration in a closed 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 also confidential and cannot be disclosed to any person. 108 Stats. 1997, c. 620 (S.B. 143- Kopp). 109 San Gabriel Tribune v. Superior Court (City of West Covina), 143 Cal. App. 3d 762, 779-780 (2 Dist. 1983). Public Records Act Page 21 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act 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. However, voter registration information identified under Section 6254.4 of the Government Code must be made available to the public if the information is at least one hundred years old. 110 (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 110 Elec. Code § 2194.1. Public Records Act Page 22 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act 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., 11 (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.112 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.113 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.,14 The right of privacy may provide a basis to shield disclosure of information under Government Code Section 6255. For example, relying on the right of privacy, ,,, Note, however, that at least one court has indicated that this law may be unconstitutional where applied to prohibit the publication of contact information that is truthful information about a matter of public concern where the information published was lawfully obtained. Publius v. Boyer -Vine, 237 F. Supp. 3d 997, 1016, 1021 (E.D. Cal. 2017). 112 Gov't Code § 6255. 113 City of Hemet, 37 Cal. App. 4th at 1421; see also Black Panther Party, 42 Cal. App. 3d at 657. 114 See, e.g., Michaelis, Montanari & 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 from disclosure until City had completed negotiations where negotiations were part of the competitive process). Public Records Act Page 23 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act the California Supreme Court ruled that disclosure of raw automated license plate reader data collected by a police department was protected from disclosure under this catch-all exemption.115 The unaltered license plate scan data consisted of the plate number, date, time, and location information of each license plate record.,16 The Supreme Court found that the act of revealing the data would jeopardize the privacy of everyone associated with a scanned plate which was a significant threat to privacy because more than one million scans were conducted per week, and on that basis concluded that the public interest in preventing such disclosure "clearly outweighs the public interest served by disclosure of" these records. 117 Two other 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,,18 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 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.119 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"120 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.121 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."122 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: 115 American Civil Liberties Union Foundation v. Superior Court, 3 Cal. 5th 1032, 1043-1044 (2017). 116 Id. at 1043. 117 Id. at 1044. 118 Times Mirror Co. v. Superior Court, 53 Cal. 3d 1325, 813 P.2d 240 (1991). 119 Id. at 1344-46. 120 Gov't Code § 6254(I). 121 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. 122 Rogers v. Superior Court (City of Burbank), 19 Cal. App. 4th 469 (2 Dist. 1993). Public Records Act Page 24 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act • Becerra v. Superior Court of City & Cty. of San Francisco (First Amendment Coalition et aI.)123 Penal Code Section 832.7 generally requires disclosure of all responsive records in the possession of the Department of Justice, regardless of whether the records pertain to officers employed by the department or by another public agency and regardless of whether the department or another public agency created the records. Government Code Section 6255 may apply to records that are subject to disclosure under Penal Code Section 832.7, but while an agency may invoke the exception based on the concern that segregating nonexempt from exempt information would be unduly burdensome, for the exception to apply to withhold responsive records the agency must establish a clear overbalance on the side of confidentiality. The Department of Justice failed to make such a sufficient showing, despite arguing they faced an "`onerous burden of reviewing, redacting, and disclosing records regarding other agencies' officers, which involves `potentially millions of records"' to disclose records under Penal Code Section 832.7. • Connell v. Superior Court (Intersource, Inc.) 124 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.125 • Copley Press, Inc. v. Superior Court (M.P.R. - a minor)126 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. 123 44 Cal. App. 5th 897 (1 Dist. 2020). 124 56 Cal. App. 4th 601 (3 Dist. 1997). 125 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." 126 63 Cal. App. 4th 367 (4 Dist. 1998). Public Records Act Page 25 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act • CBS, Inc. v. Block127 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 (Polston)128 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)129 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."130 • Los Angeles Unified School District v. Superior Court (Los Angeles Times)131 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 (Los Angeles Times) 132 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 127 42 Cal. 3d 646 (1986). 128 154 Cal. App. 3d 332 (5 Dist. 1984). 129 214 Cal. App. 4th 1233 (3 Dist. 2013). 130 Id. at 1263. 131 228 Cal. App. 4th 222 (2 Dist. 2014). 132 59 Cal. 4th 59 (2014). Public Records Act Page 26 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act apply equally to all officers involved in shootings that result in severe injury or death - were outweighed by the public's interest in such incidents.133 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;134 • The request does not reasonably describe an identifiable record;135 • The request would require the agency to create new records not currently in existence; or136 133 Since the Long Beach decision, amendments to Penal Code Section 832.7 require that peace officer records relating to an incident involving the discharge of a firearm at a person by a peace officer or custodial officer or an incident in which the use of force by a peace officer or custodial officer against a person resulted in death or in great bodily injury must be made available to the public under the Public Records Act. 134 Gov't Code § 6253(a). 135 Gov't Code § 6253(b). Public Records Act Page 27 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act • The request seeks records which are exempt from disclosure.137 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.138 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;139 • The need to search for, collect, and examine a voluminous amount of separate and distinct records demanded in a single requesl;140 • 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 requesl;141 or • The need to compile data, to write programming language or a computer program, or to construct a computer report to extract data.142 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.143 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;144 136 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). See note 21. 137 Gov't Code § 6253(b). 138 Gov't Code § 6253(a). 139 Gov't Code § 6253(c)(1). 140 Gov't Code § 6253(c)(2). 141 Gov't Code § 6253(c)(3). 142 Gov't Code § 6253(c)(4). 143 Gov't Code § 6253(c). Public Records Act Page 28 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act • 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);145 • 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;146 • The name and title or position of the person responsible for the denial;l47 • 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.148 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.149 • The option to inspect the requested records at a mutually convenient time during office hours.150 • A requester who inspects a disclosable record on the agency's premises has the right to use their own equipment on those premises, within reasonable limits necessary to protect the safety of the records or to prevent unnecessary burden on the orderly function of the agency and its employees, without being charged any fees or costs, to photograph or otherwise copy or reproduce the record in a manner that does not require the equipment to make physical contact with the record.151 144 Gov't Code § 6253(c). 145 Gov't Code § 6253(c). 146 Gov't Code §§ 6255, 6253(c). 147 Gov't Code § 6253(d) (3). 148 Gov't Code § 6253(b); North County Parents Organization v. Dep't of Education, 23 Cal. App. 4th 144 (4 Dist. 1994). 149 Gov't Code § 6253.9(b) ; see also Nat'l Lawyers Guild v. City of Hayward, 9 Cal. 5th 488 (2020) (finding that retrieving and editing raw video footage in response to a public records request does not qualify as "data extraction" within the meaning of the Public Records Act and therefore public agencies may not recover their costs for that process). 150 Gov't Code § 6253(a). 151 Gov't Code § 6253(d). However, Health and Safety Code Section 19851 provides separate procedures for obtaining duplicates of official copies of building plans. Public Records Act Page 29 © 2021 Richards, Watson & Gershon 2464056 Part One: Compliance with the Public Records Act • 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 we bsite.152 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;153 • Describe the information technology and physical location in which the records exist;154 • Provide suggestions for overcoming any practical basis for denying access to the records or the information soughl.155 Alternatively, a local agency may forego these requirements if it instead makes available an index of the record.156 E. Upon payment of the cost of duplication, the agency must make the records "promptly available."157 F. Please note that the agency may not use this procedure to "delay or obstruct the inspection or copying" of public records.158 G. The local agency may provide guidelines for "faster, more efficient, or greater" access to records than provided by the Act.159 152 Gov't Code § 6253(f). 153 Gov't Code § 6253.1 (a) (1). 154 Gov't Code § 6253.1 (a) (2). 155 Gov't Code § 6253.1 (a) (3). 156 Gov't Code § 6253.1 (d) (3). 157 Gov't Code § 6253(b). 158 Gov't Code § 6253(d). 159 Gov't Code § 6253(e). Public Records Act Page 30 © 2021 Richards, Watson & Gershon 2464056 Part One: Comoliance with the Public Records Act XI. 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.160 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.161 Any person who prevails in enforcing his or her rights under the Act in court is entitled to receive court costs and reasonable attorneys' fees.162 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.163 The production of just one document can be sufficient to trigger an award of costs and fees.164 In the past, where the court determined the litigation was not what ultimately motivated the release of records, costs and fees were denied.165 One court held that an award of attorneys' fees was appropriate even though no additional records were produced as a result of the lawsuit.166 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 attorneys' 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. 160 County of Santa Clara v. Superior Court (Naymark), 171 Cal. App. 4th 119, 130 (6 Dist. 2009). 161 Gov't Code § 6258. 162 Gov't Code § 6259(d). 163 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); Nat'l Conference of Black Mayors v. Chico Cmty. Publ'g, Inc., 25 Cal. App. 5th 570 (3 Dist. 2018) (newspaper that fought third party effort to prevent disclosure of public records sought by the newspaper was not entitled to attorneys' fees under the Public Records Act because newspaper did not bring an action against the City to compel disclosure under the Act). 164 Los Angeles Times, 88 Cal. App. 4th at 1392. 165 Id. at 1391; Crews v. Willows Unified School District, 217 Cal. App. 4th 1368, 1381-82 (3 Dist. 2013). 166 Galbiso v. Orosi Public Utility District, 167 Cal. App. 4th 1063, 1086-1089 (5 Dist. 2008). Public Records Act Page 31 © 2021 Richards, Watson & Gershon 2464056 PART TWO. ELECTRONIC RECORDS Public Records Act Page 32 © 2021 Richards, Watson & Gershon 2464056 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 these technological developments have outpaced public records legislation. Email, electronic documents created on word processors, and web pages (including social media 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.167 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 holding 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 § 255.168 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.169 In an attempt to catch up, in 2002 the Legislature enacted Assembly Bill 1962 ("AB 1962"), modifying the definition of "writing" under the Public Records Act and the Evidence Code to include "photographing, photocopying, transmitting 167 Aguimatang v. California State Lottery, 234 Cal. App. 3d 769 (3 Dist. 1991). 168 Id. at 798. 169 People v. Martinez, 22 Cal. 4th 106 (2000). Public Records Act Page 33 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records 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 clarifying that the definition applied "regardless of the manner in which the record has been stored." 170 The legislative reports for AB 1962 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."»1 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.12 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 Two 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 170 Stats. 2002, c. 945 (A.B. 1962—Hollingsworth) (amending Gov't Code § 6252 and Evid. Code § 250). 171 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)). 12 Fed. R. Civ. P. 26. Public Records Act Page 34 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records at the Public Records Act requirements for disclosure of other types of electronic records, including Geographic Information Systems. 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 Public 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."13 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 6252.14 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. In 2017, the California Supreme Court held the determination of 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.15 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 173 Gov't Code § 6252. 174 City of San Jose v. Superior Court, 2 Cal. 5th 608, 618-19 (2017). 175 Id. at 618. Public Records Act Page 35 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records prepared by an employee purporting to act within the scope of his or her employment.16 (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), or from a home computer or smartphone, and which pertain to local agency business, qualify as a public record. The California Supreme Court 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.177 In City of San Jose v. Superior Court, a request for 32 categories of public records was filed with the City of San Jose.»$ The request included emails and text messages sent or received on private electronic devices used by the mayor, two City council members, and their staff.19 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 nor officials are included within the governmental entities listed in the definition of "local agency," also found under Section 6252.180 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.181 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."182 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.183 176 Id. 177 Id. at 629. 178 Id. at 614. 179 Id. at 615. 180 Id. at 619-20. 181 Id. at 620-21. 182 Id. at 624. 183 Id. at 627-29. Public Records Act Page 36 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records 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 employees or officials that pertain to the public's business.184 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.185 A local agency may then reasonably rely on those individuals "to search their own personal files, accounts and devices for responsive material."186 Citing both federal precedent under the 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 would give the local agency, requester, and ultimately the trial court reassurance that responsive records were appropriately searched on nongovernmental accounts.187 Such an approach also strikes "an appropriate balance" with the individual's right of privacy in their personal affairs.188 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.189 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.190 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 on how to reduce the likelihood that public records will be held in an agency 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 184 Id. at 628. 185 Id. 186 Id. 187 Id. 188 Id. 189 Id. at 618. 190 Id. at 627. Public Records Act Page 37 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records properly search their private, nongovernmental computers and smartphones, when necessary.191 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 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."192 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.193 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 in 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.194 It is sometimes referred to as the "executive privilege,"195 but has been applied to records of both the executive branch (e.g., the governor) and the legislative branch (e.g., a city council).196 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."197 The deliberative process privilege uses a balancing test, whereas the mental process 191 Private, nongovernmental devices should never be seized by the agency, or accessed without the employee's consent, even if the agency believes the device contains material responsive to a PRA request. 192 Id. at 618. 193 See pages 20 and 24 of this Handbook. 194 Times Mirror Co. v. Superior Court, 53 Cal. 3d 1325, 1342 (1991). 195 Sutter's Place v. Superior Court, 161 Cal. App. 4th 1370, 1378 (6 Dist. 2008). 196 Times Mirror Co., 53 Cal. 3d 1345-46 (governor's calendars and schedule); Rogers v. Superior Court, 19 Cal. App. 4th 469, 479 (2 Dist. 1993) (city council phone records). 197 Sutter's Place, 161 Cal. App. 4th at 1377. Public Records Act Page 38 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records principle does not, making the mental process principle exemption less subjective.198 (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 records may be withheld on deliberative process grounds.199 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 that exposes the deliberative process to fall within the privilege.200 • 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 decision -making process so that candid discussion within the agency is not discouraged;201 (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;202 (3) Protection against confusion caused by premature exposure of the public to internal agency discussions before a policy is finalized;203 198 Id. at 1377, 1379. 199 Times Mirror Co., 53 Cal. 3d at 1347. 200 Rogers, 19 Cal. App. 4th at 479-480 (rejecting a predecisional requirement and withholding from disclosure pure facts, that is, telephone numbers called by staff and city council members). 201 Times Mirror Co., 53 Cal. 3d at 1342. 202 Id. at 1344-45 (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). 203 California First Amendment Coalition v. Superior Court, 67 Cal. App. 4th 159, 170 (3 Dist. 1998). Public Records Act Page 39 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records (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."204 • Third, identify the public interest served by disclosure of the record. Courts have emphasized that a primary benefit of disclosing a local 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.205 "Such access permits checks against the arbitrary exercise of official power and secrecy in the political process."206 • Fourth, balance the two public interests, and withhold the record from disclosure only if the identified public interest justifying nondisclosure "clearly outweighs" the public interest justifying disclosure.207 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."208 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.209 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.210 In balancing the interests, the court concluded that the public's interest in disclosure of background information revealed in confidence by unsuccessful applicants was 204 Id. (internal quotations and citations omitted). 205 Times Mirror Co., 53 Cal. 3d at 1345. 206 CBS v. Block, 42 Cal. 3d 646, 651 (1986). 207 Gov't Code §6255(a). 208 Citizens for a Better Environment v. Department of Food & Agriculture, 171 Cal. App. 3d 704, 715 (3 Dist. 1985). 209 California First Amendment Coalition, 67 Cal. App. 4th at 164. 210 Id. at 171-72 (quoting Times Mirror Co., 53 Cal. 3d 1325, 1345). Public Records Act Page 40 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records not significant and that the public interest in learning about the successful applicant's background would be satisfied after the appointment.211 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, 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.212 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 . . . ."213 Disclosure of who the governor met with would reveal who was 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. "214 The court added that the "massive weight" of the request (five years' worth of calendars), outweighed whatever merit there was in favor of disclosure.215 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.216 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.217 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 to be taken.11218 211 Id. at 173-74. 212 Times Mirror Co., 53 Cal. 3d at 1344. 213 Id. 214 Id. at 1345. 215 Id. 216 Id. at 1345-1346. 217 Citizens for Open Government v. City of Lodi, 205 Cal. App. 4th 296, 305 (3 Dist. 2012) ("Lodi"). 218 Id. at 306. Public Records Act Page 41 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records The Court of Appeal disagreed, finding that Lodi had failed to establish the conditions for creating the privilege, because 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.219 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.220 In comparison, the public entity in Humane Society of the United States v. Superior Court, provided detailed declarations from an employee and expert explaining why disclosing certain research documents would harm the research process.221 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.222 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.223 In balancing the public interests, the court concluded that disclosure of the emails "would fundamentally impair the academic research process."224 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 219 Id. at 307. 220 Id. at 311. 221 Humane Society of the United States v. Superior Court (Regents of the University of California, real parties in interest), 214 Cal. App. 4th 1233, 1240 (3 Dist. 2013). 222 Id. at 1241-1244. 223 Id. at 1258. 224 Id. at 1263. Public Records Act Page 42 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records 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.225 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.226 This "mental process 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,227 records reflecting the "mental processes" of legislators are not subject to a balancing test.228 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/Intra-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" may not be subject to disclosure.229 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 225 Gov't Code § 6254(k). 226 Sutter's Place, 161 Cal. App. 4th at 1375. 227 Gov't Code § 6255. 228 See Times Mirror Co., 53 Cal. 3d at 1339 fn. 9-10 (noting that these records might arguably be exempt under the mental process principle through operation of Section 6254(k)). 229 Gov't Code § 6254(a). For a discussion on the conditions that must be met to utilize Section 6254(a), see pages 10- 12 of this Handbook. Public Records Act Page 43 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records 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 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 Page 44 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records 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 From: City Clerk To: Joe Employee, lane Emplc Manager Date: April 2, 2007 12:05 p.m. Subject: 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: lane 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? 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 Public Records Act Page 45 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records have to explain in detail the information that was redacted.230 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."231 Prior to January 1, 2009, 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."232 The 2009 amendments to the Brown Act provisions regarding serial meetings included the removal of the phrase "technological devices" and other specific types of communications, and the insertion in their place of "a series of communications of any kind, directly or through intermediaries."233 At the time of the 2009 amendments, it was considered unlikely that the legislature, in omitting the phrase "technological devices" and expanding the scope to any kind of communication, intended to exclude email from coverage under the Brown Act. Subsequently, Assembly Bill 992, passed in 2020 and effective January 1, 2021, amended certain provisions of the Brown Act until January 1, 2026 to clarify allowable uses of social media under the Act. As amended by AB 992, the Brown Act regulates social media posts to prevent serial meetings.234 230 American Civil Liberties Union of Northern California v. Superior Court, 202 Cal. App. 4th 55, 82-86 (1 Dist. 2011). 231 Gov't Code § 54952.2(b)(1). 232 84 Ops. Cal. Att'y Gen. 30 (2001). 233 Stat. 2008, c. 63, sec. 3 (S.B. 1732 -- Romero (amending Gov't Code § 54952.2). 234 Stat. 2020, c. 89, sec. 1 (A.B. 992 -- Mullin (amending Gov't Code § 54952.2). For further discussion of use of social media and the Brown Act, please see the 2021 Brown Act Handbook, Part One, Section VII(D) (© 2021 Richards, Watson & Gershon). Public Records Act Page 46 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records 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.235 Accordingly, public officials must endeavor to use "reply all" sparingly, if at all. A "reply all" congratulating a 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 the 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.236 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.237 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."238 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.239 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 235 Gov't Code § 54952.2(b)(1). 236 Gov't Code § 54957.5. 237 Gov't Code 54957.5 (a). 238 Id. 239 Gov't Code § 54957.5(c). Public Records Act Page 47 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records 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 carefully 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 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.24o An agency is not required to reconstruct an electronic record if it is no longer available in that format.241 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.242 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 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.243 For electronic records, however, the agency may charge the full cost of reproducing the document if the record is one that is otherwise produced only at regularly scheduled intervals, or the request would require data compilation, extraction, or 240 Gov't Code § 6253.9(a). 241 Gov't Code § 6253.9(c). 242 Gov't Code § 6253.9(d), (e). 243 Gov't Code § 6253(b); North Cnty. Parents Organization v. Dept. of Education, 23 Cal. App. 4th 144, 147-148 (3 Dist. 1994) (direct costs do not include the ancillary tasks necessarily associated with the retrieval, inspection, and handling of the file from which the copy is extracted). Public Records Act Page 48 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records programming to produce the record.244 However, in National Lawyers Guild v. City of Hayward, the California Supreme Court recently held that the phrase "data extraction" in this context does not cover the costs of redacting exempt material from digital police body camera footage.245 The court reasoned that data "extraction" is a technical process of retrieving responsive information to construct a new record, while redacting exempt material from electronic records is similar to other redactions for which costs are not recoverable.246 As such, public agencies may not recover costs for redacting exempt material from otherwise disclosable electronic records. 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. 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.247 The County of Orange had argued that its GIS database was not a public record. The court disagreed that Section 6254.9 excluded a GIS database from the Public Records Act's disclosure requirements, 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.248 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.249 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.250 244 Gov't Code § 6253.9(b). 245 9 Cal. 5th 488 (2020). 246 Id. at 500. 247 Sierra Club v. Superior Court, 57 Cal. 4th 157, 161 (2013). 248 Id. at 175, 176 249 Gov't Code § 6254.9 ("Computer software developed by a state or local agency is not itself a public record under this chapter."). 250 Sierra Club, 57 Cal. 4th at 170-171; see also Gov't Code § 6254.9(b). Public Records Act Page 49 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records 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.251 However, the Public Records Act also 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 and updated annually.252 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.253 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 cybersecurity systems) and infrastructure and mechanical control systems (for example, systems that manage water or sewage functions).254 Note that the Public Records Act does not contain exceptions for public records created on social media.255 If a social media post is "prepared, owned, used, or retained by any state or local agency," and contains information "relating to the conduct of the public's business,"256 it is a public record and is thus subject to disclosure under the Public Records Act, and should also be retained accordingly. This applies to social media posts made by a public entity, including posts by public entity employees and/or officials, and may also apply to posts made by members of the public on social media pages operated by the public entity. Depending upon the volume of social media posts a public entity produces, it may be difficult to review all posts and comments made on the public entity's social media page to determine whether any given post meets the legal definition of a public record. Additionally, there may be practical issues with retaining social media records. Capturing and archiving images of social media 251 Gov't Code § 6254.19. 252 Gov't Code §§ 6270.5(a) and (f). 253 Gov't Code § 6270.5(c) (also defining "system of record" as "a system that serves as an original source of data within an agency"). 254 See pages 138-139 of this Handbook. 255 Social media is subject to regulation under the Brown Act, pursuant to Assembly Bill 992, enacted in 2020 and effective January 1, 2021 through January 1, 2026. See Stat. 2020, c. 89, sec. 1 (A.B. 992 -- Mullin (amending Gov't Code § 54952.2). 256 Gov't Code § 6252. Public Records Act Page 50 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records posts may not be a sufficient retention method, because the image would not preserve metadata, subsequent comments, and other interactive features. Archiving these features can be challenging, because social media posts typically are not hosted or archived on storage systems owned by the public entity. Creating independent storage systems for all social media posts may be cost -prohibitive for public entities. These factors can make it difficult to determine which social media posts need to be retained, and whether a public entity's retention procedures adequately capture an entire social media record. Any concerns about retaining specific social media records should be discussed with the City attorney. (2) Federal Rule 26 In 2006, revisions to Rule 26 of the Federal Rules of Civil Procedure took effect that require parties in federal court to address the production and preservation of electronic records during the discovery phase of litigation. These rule changes did not require a local agency to alter its routine management or storage of electronic information, but does 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."257 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."258 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." Rule 26 regulates discovery in three major ways: a. 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; 259 257 Rockman Company (USA), Inc. v. Nong Shim Company, Ltd., 229 F. Supp. 3d 1109, 1 122 (N.D. Cal. 2017). 258 Zubulake v. UBS Warburg, LLC, 229 F.R.D. 422, 432 (S.D.N.Y. 2004); accord In re Napster Inc. Copyright Litig., 462 F. Supp. 2d 1060, 1070 (N.D. Cal. 2006). 259 Fed. R. Civ. P. 26(f) (3) (C). Public Records Act Page 51 © 2021 Richards, Watson & Gershon 2464056 Part Two: Electronic Records b. 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 production would impose 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;26o and C. Privileges are retained for documents inadvertently disclosed. Such documents may be recalled by the disclosing party. In such cases, the privilege is not waived.261 The discovery rule does 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 2006 revisions to Rule 37, the routine purging of outdated electronic information, including the "alteration or overwriting of information... to meet the party's technical and business needs" was permissible, if it was done in accordance with other laws, such as the records retention laws in Government Code Sections 34090-34090.8. Those 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. In 2015, the "routine, good faith operation" language was deleted from Rule 37. The revised rule provides limited s