HomeMy WebLinkAboutItem 37 - Discuss and Consider Prepare an Ordinance Prohibiting Contracts with City Officials and their Immediate Family MembersCITY ATTORNEY
Sonia R. Carvalho
CITY MANAGER
Alvaro Nuñez
CITY CLERK
Jennifer L. Hall
20 CIVIC CENTER PLAZA - P.O. BOX 1988, M-31 - SANTA ANA, CALIFORNIA 92702
TELEPHONE (714) 647-6900 - FAX (714) 647-6954 - www.santa-ana.org
Councilmember-Requested Item Report
DATE
November 19, 2024
TOPIC
Proposal for Policy on Prohibiting Contracts with City Officials and Immediate Family
Members
COUNCILMEMBER-REQUESTED ITEM TITLE
Discuss and Consider Directing the City Manager, City Attorney, and City Clerk to
Prepare an Ordinance Prohibiting Contracts with City Officials and their Immediate
Family Members
DISCUSSION
I am writing to propose a policy, to be prepared by staff as an ordinance for City Council
consideration, that expressly prohibits the City of Santa Ana from awarding any
agreement or contract to any City official, including councilmembers and members of
boards and commissions, as well as to members of their immediate family. This policy
recommendation is grounded in California Government Code Section 1090 and the
California Political Reform Act, which aim to prevent conflicts of interest in public
contracting. The proposed policy would also reinforce the ethical principles outlined in
the City of Santa Ana's Code of Ethics and Conduct.
The City of Santa Ana is dedicated to promoting transparency, fairness, and ethical
practices in its contracting processes. While the City already adheres to a high standard
of ethics, additional safeguards are necessary to prevent any potential conflicts of
interest that may arise from City officials or their immediate family members being
financially interested in City contracts.
Relevant Legal Framework
The proposed policy to prohibit City officials and their immediate family members from
engaging in contracts with the City is grounded in well-established legal frameworks
aimed at ensuring ethical governance and preventing conflicts of interest. These laws
provide a robust foundation for maintaining transparency, fairness, and accountability in
public contracting processes. The following is an overview of the key legal provisions
that support this policy.
Proposal for Policy on Prohibiting Contracts with City Officials and Immediate Family
Members
October 15, 2024
Page 2
Government Code Section 1090
Prohibits public officials from being financially interested in contracts made by them in
their official capacity. This law aims to prevent public officials from using their positions
for personal financial gain and ensures the integrity of public contracting.
California Political Reform Act
Requires public officials to disclose their financial interests and prohibits them from
making, participating in, or attempting to influence governmental decisions in which they
have a financial interest.
City of Santa Ana Code of Ethics and Conduct
As outlined in the City's Code of Ethics and Conduct, public officials must maintain the
highest standards of integrity and fairness. This includes excusing themselves from
participating in decisions that may affect their financial interests or those of their
immediate family members.
Proposed Policy Recommendations
To ensure the integrity of the City of Santa Ana's contracting processes and to prevent
potential conflicts of interest, the following policy recommendations are proposed.
These measures are designed to prohibit City officials and their immediate family
members from engaging in contracts with the City, while promoting transparency,
fairness, and accountability.
Prohibition on Contracts with City Officials
City officials, including councilmembers and members of boards and commissions, shall
be prohibited from entering into any contract or agreement with the City of Santa Ana,
either directly or indirectly, during their term of service.
Immediate Family Prohibition
The policy should extend to immediate family members of City officials. This includes
spouses, domestic partners, dependent children, and any other family members who
may benefit from City contracts.
Mandatory Disclosure and Recusal
City officials must disclose any financial interest they or their immediate family members
may have in a business or organization that seeks to enter into a contract with the City.
In such cases, the official must recuse themselves from any discussions, negotiations,
or votes related to the contract.
Transparency and Public Reporting
All contracts awarded by the City shall be publicly disclosed, and any potential conflicts
of interest should be reviewed by an independent ethics body. This ensures that the
public remains informed about the City's contracting processes.
CITY ATTORNEY
Sonia R. Carvalho
CITY MANAGER
Alvaro Nuñez
CITY CLERK
Jennifer L. Hall
20 CIVIC CENTER PLAZA - P.O. BOX 1988, M31 - SANTA ANA, CALIFORNIA 92702
TELEPHONE (714) 647-6900 - FAX (714) 647-6954 - www.santa-ana.org
Implementation Measures
1. Prepare the Ordinance
The City Attorney's Office should be tasked with drafting the ordinance that incorporates
these prohibitions and safeguards. This will ensure that the policy aligns with existing
state and local laws.
To assist the City Attorney’s Office with this task, attached are three similar policies
from California cities, each of which prohibit awarding contracts to City officials:
City of Los Angeles: The city has strict ethics rules under its Governmental Ethics
Ordinance that prohibit city officials, including members of boards and
commissions, from benefiting from city contracts. The Los Angeles City Charter
(Section 371) prohibits city officers and employees from having any interest in
contracts with the city. (Exhibit 1)
City and County of San Francisco: The San Francisco Campaign and
Governmental Conduct Code also restricts city officers, including members of
boards and commissions, from entering into contracts with the city. This is
intended to prevent conflicts of interest and ensure transparency in government.
(Exhibit 2)
City of San Diego: The San Diego Municipal Code contains rules that restrict city
officials, including commission members, from having a financial interest in city
contracts. These restrictions align with California's broader conflict-of-interest
laws. (Exhibit 3)
2. Create an Independent Ethics Review
An independent ethics committee/commission, whether a standing body or ad hoc
committee, should be utilized to review any potential conflicts of interest and ensure
compliance with the policy. This committee would have the authority to investigate and
recommend actions in cases where violations are suspected.
Conclusion
Implementing this policy would further strengthen public confidence in the integrity of
Santa Ana's contracting processes. By aligning with Government Code Section 1090,
the Political Reform Act, and the City's Code of Ethics and Conduct, Santa Ana will
continue to demonstrate its commitment to ethical governance and the responsible use
of taxpayer dollars.
SUBMITTED BY
Councilmember Jessie Lopez
Governmental Ethics Ordinance
Los Angeles Municipal Code §§ 49.5.1 et seq.
Effective January 23, 2020
200 North Spring Street, 24th Floor
Los Angeles, CA 90012
(213) 978-1960
ethics.lacity.org
i
Governmental Ethics Ordinance
TABLE OF CONTENTS
SEC. 49.5.1. TITLE, FINDINGS AND PURPOSE .......................................................... 1
SEC. 49.5.2. DEFINITIONS ........................................................................................... 2
Agency ......................................................................................................................... 2
Bidder .......................................................................................................................... 2
City official ................................................................................................................... 2
Confidential information. .............................................................................................. 2
Contract ....................................................................................................................... 2
Elected City officer ....................................................................................................... 2
Matter pending ............................................................................................................. 2
Political activity ............................................................................................................ 2
Political Reform Act ..................................................................................................... 2
Restricted source ......................................................................................................... 2
SEC. 49.5.3. CONFIDENTIAL INFORMATION .............................................................. 4
SEC. 49.5.4. PROTECTION AGAINST RETALIATION ................................................. 4
SEC. 49.5.5. MISUSE OF CITY POSITION OR RESOURCES ..................................... 4
SEC. 49.5.6. CONFLICTS OF INTERESTS ................................................................... 5
SEC. 49.5.7. HONORARIA AND OUTSIDE EMPLOYMENT ......................................... 6
SEC. 49.5.8. GIFTS ....................................................................................................... 8
SEC. 49.5.9. DISCLOSURE OF ECONOMIC INTERESTS ......................................... 10
SEC. 49.5.10. DISCLOSURE BY NOMINEES ............................................................. 11
SEC. 49.5.11. CONTRACTS GENERALLY ................................................................. 11
SEC. 49.5.12. CONTRACTS AND MONEY LAUNDERING VIOLATIONS .................. 12
SEC. 49.5.13. LOBBYING ACTIVITIES OF CURRENT AND FORMER CITY
OFFICIALS ............................................................................................ 14
SEC. 49.5.14. FUTURE EMPLOYMENT ..................................................................... 15
SEC. 49.5.15. ETHICS AND FRAUD AWARENESS TRAINING ................................. 16
ii
SEC. 49.5.16. ENFORCEMENT .................................................................................. 16
SEC. 49.5.17. LATE FILING PENALTIES .................................................................... 18
SEC. 49.5.18. AUTHORITY TO ENACT ...................................................................... 18
SEC. 49.5.19. RECORDKEEPING............................................................................... 18
SEC. 49.5.20. SEVERABILITY .................................................................................... 19
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Governmental Ethics Ordinance
Los Angeles Municipal Code Chapter IV, Article 9.5
Added by Ordinance No.165618, effective 4/21/90.
Amended in its entirety by Ordinance No.182842, effective 2/10/14.
SEC. 49.5.1. TITLE, FINDINGS AND
PURPOSE.
A. Title. This Article shall be known as the
City of Los Angeles Governmental
Ethics Ordinance.
B. Findings. The following findings are
adopted in conjunction with the
enactment of this Article:
1. As one of the great international
cities of the world, Los Angeles will
continue to confront great and
complex opportunities and problems
of both local and global significance.
2. One of the best ways to attract
talented people to public service is to
assure that the government is
respected for its honesty and
integrity; that its decisions are made
on the merits, untainted by any
consideration of private gain; and
that the rules governing their conduct
during and after leaving government
service are as clear and complete as
possible.
3. A governmental ethics ordinance
that is as clear, tough, fair,
comprehensive and effective as any
in the nation is therefore needed.
C. Purposes. This Article is adopted to
accomplish the following purposes:
1. To assure that individuals and
interest groups in our society have a
fair and equal opportunity to
participate in the governmental
process.
2. To assure that the governmental
process itself promotes fairness and
equity for all residents of the City
regardless of race, color, creed,
religion, national origin, age, sex,
marital status, sexual orientation or
disability.
3. To require elected City officers and
key City officials to disclose
investments, interests in real
property and income in order to
prevent conflicts of interests.
4. To prevent elected City officers and
key City officials from receiving
outside earned income that creates a
potential conflict of interests.
5. To prevent City officials from
lobbying the City for certain periods
of time after they leave City service.
6. To increase understanding of the
City Charter and ordinances, the
roles of elected City officers and
other public officials, the roles of City
agencies, and the City election
process.
7. To help restore public trust in
governmental and electoral
institutions.
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8. To assure that this Article is
vigorously enforced.
SEC. 49.5.2. DEFINITIONS.
The following terms have the meanings
identified below. Other terms used in this
Article have the meanings identified in the
state’s Political Reform Act.
A. “Agency” means the City of Los
Angeles or any City department, bureau,
office, board, commission, or entity
required to adopt a conflict of interests
code subject to City Council approval.
With respect to employees of a City
Council member's staff and employees
of the Chief Legislative Analyst's office,
"agency" means the City Council. The
term does not include a governmental
entity that is not within the City’s control,
even if the entity is required to adopt a
conflict of interests code subject to City
Council approval, unless the entity
elects to be subject to this Article.
B. “Bidder” means a person who bids on
or submits a proposal or other response
to a City contract solicitation including a
request for proposals, request for bids,
request for qualifications, or any other
request for purposes of entering into a
contract.
C. “City official” means an elected City
officer or an agency board member,
officer, employee, commissioner, or
consultant who, because of the
individual’s service to an agency, is
required to file a statement of economic
interests pursuant to the Political
Reform Act.
D. “Confidential information” means
information that, if it were contained in a
document, would not be subject to
disclosure under the state’s Public
Records Act.
E. “Contract” means an agreement,
lease, right of entry, franchise, or
concession, including but not limited to
an agreement for the performance of
work, the rendition of service, or the
provision of materials, equipment, or
supplies to the City or the public, which
is let, awarded, or entered into with or
on behalf of an agency.
F. “Elected City officer” means a person
who is a City Council member, City
Attorney, Controller, or Mayor, whether
appointed or elected.
G. “Matter pending” means a matter in
which a non-ministerial action is
required to proceed with or resolve the
matter but has not yet been taken.
H. “Political activity” means activity
directed at the success or failure of any
ballot measure or candidate for elective
office in a future election and includes
but is not limited to: endorsing a
candidate; engaging in fundraising;
developing, displaying, or distributing
campaign materials; conducting
research; or posting comments on social
media or other Internet sites.
I. “Political Reform Act” means the
California Political Reform Act of 1974
(California Government Code Sections
81000 et seq.) and the related
regulations of the California Fair Political
Practices Commission as amended from
time to time.
J. “Restricted source” means the
following:
1. For elected City officers, a restricted
source is the following:
a. A person who files as a lobbying
firm or lobbyist or is required to
file as a lobbying firm or lobbyist,
as defined in Section 48.02.
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b. A person who has entered into,
performs under, or seeks a
contract with the City. This does
not include the following:
i. An individual who has entered
into or performs under an
agreement with the City
regarding employment; or
ii. A person who receives or
pays for services normally
rendered by the City to
residents and businesses,
such as sewer service, water
and power service, or street
maintenance.
c. A person who, during the prior 12
months, attempted to influence
the elected City officer in any City
action that would have a material
financial effect on the person.
This does not include an
individual who attempted to
influence action regarding that
individual’s own City
compensation, benefits, or
retirement.
d. A person who is or in the prior 12
months was a party to a
proceeding involving a license,
permit, or other entitlement for
use that was pending before the
elected City officer, the City
Council, or a board, commission,
committee, or other similar body
of which the elected City officer is
a voting member.
e. A person who is an applicant,
owner, or principal under Section
49.7.37.
2. For all other City officials, a restricted
source is the following:
a. A person who seeks to influence
decisions of the City official’s
agency and files as a lobbying
firm or lobbyist, or is required to
file as a lobbying firm or lobbyist
as defined in Section 48.02;
b. A person who has entered into,
performs under, or seeks a
contract with the City official’s
agency. This does not include
the following:
i. An individual who has entered
into or performs under an
agreement with the City
official’s agency regarding
employment; or
ii. A person who receives or
pays for services normally
rendered by the City to
residents and businesses,
such as sewer service, water
and power service, or street
maintenance.
c. A person who, during the prior 12
months, attempted to influence
the official in any City action that
would have a material financial
effect on the person. This does
not include an individual who
attempted to influence action
regarding that individual’s own
City compensation, benefits, or
retirement.
d. A person who is or in the prior 12
months was a party to a
proceeding involving a license,
permit, or other entitlement for
use that was pending before the
official or before a board,
commission, committee, or other
similar body of which the official
is a voting member.
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History:
Amended by Ord. 167949, effective 7/5/92.
Amended by Ord. 168056, effective 8/8/92.
Amended by Ord. 170655, effective 9/21/95.
Amended by Ord. 172891, effective 12/11/99.
Amended by Ord. 173363, effective 7/29/00.
Amended by Ord. 176824, effective 8/27/05.
Amended by Ord. 182842, effective 2/10/14.
Amended by Ord. 186477, effective 1/23/20.
SEC. 49.5.3. CONFIDENTIAL
INFORMATION.
A current or former City official or agency
employee shall not misuse or disclose
confidential information acquired as a result
of City service.
History:
Amended by Ord. 182842, effective 2/10/14.
SEC. 49.5.4. PROTECTION AGAINST
RETALIATION.
A. City officials and agency employees
shall not use or threaten to use any
official authority or influence to
discourage, restrain, or interfere with
another person’s attempt to report
possible violations of law to the Ethics
Commission or another governmental
entity.
B. City officials and agency employees
shall not use or threaten to use any
official authority or influence to effect
any action as a reprisal against another
person who reports a possible violation
of law to the Ethics Commission or
another governmental entity.
C. A person who believes that he or she
has been subjected to an action
prohibited by this Section may file a
confidential complaint with the Ethics
Commission.
D. The Ethics Commission may refer
retaliation complaints to appropriate
agencies for disciplinary purposes.
History:
Amended by Ord. 168708, effective 5/13/93.
Amended by Ord. 182842, effective 2/10/14.
SEC. 49.5.5. MISUSE OF CITY POSITION
OR RESOURCES.
A. City officials, agency employees,
appointees awaiting confirmation by the
City Council, and candidates for elected
City office shall not misuse or attempt to
misuse their positions or prospective
positions to create or attempt to create a
private advantage or disadvantage,
financial or otherwise, for any person.
B. City officials and agency employees
shall not engage in political activity in
the following scenarios:
1. While on duty for the City.
2. In any manner that implies the City
official or agency employee is
speaking on behalf of the City or
communicating a City position. This
may include but is not limited to
engaging in political activity in the
following scenarios:
a. While wearing a uniform or
official City insignia; or
b. Using a City title or position.
3. In a room or building that is owned
by the City or primarily paid for or
used by the City and occupied by a
City official or agency employee in
the discharge of City duties. This
does not include a City room or
building that is available to the public
for organized campaign activities as
long as the City official or agency
employee does not use the room or
building during the official's or
employee's City working hours and
does not use other City resources for
the activity.
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4. Using City equipment, vehicle,
supplies, or resources, including but
not limited to mailing and distribution
lists, electronic mail, and electronic
data.
C. A person shall not induce or coerce or
attempt to induce or coerce another
person to engage in activity prohibited
by Subsections A or B.
D. This Section does not prohibit the use of
City resources to provide information to
the public about the possible effects of a
bond issue or ballot measure relating to
City activities, operations, or policies
when the use of public resources is
otherwise legally authorized.
History:
Amended by Ord. 172891, effective 12/11/99.
Amended by Ord. 182842, effective 2/10/14.
SEC. 49.5.6. CONFLICTS OF
INTERESTS.
A. City officials shall not make, participate
in making, or attempt to use their official
positions to influence City decisions in
which they know or have reason to
know they have a financial interest.
B. In the first 12 months of City service, a
City official or agency employee shall
not knowingly make, participate in
making, or attempt to use his or her
official position to influence a City
decision directly relating to a contract
when a party to the contract is a person
by whom the individual was employed in
the 12 months immediately prior to
entering City service.
C. Statements of City-Related Business.
1. An elected City officer, a candidate
for elected City office, a member of a
City board or commission, a general
manager or chief administrative
officer of an agency, and an
individual holding an appointive
office named in the Charter shall file
a statement of City-related business
with the Ethics Commission within
ten calendar days after a City action,
other than a ministerial action,
affects the individual’s personal
financial interests.
2. For purposes of the statement, a City
action affects an individual’s
personal financial interests if it
involves one or more of the following
held by, required of, or sought by the
individual, the individual’s spouse or
registered domestic partner, or a
business entity in which either the
individual or the individual’s spouse
or registered domestic partner holds
an ownership interest of five percent
or more:
a. The sale of real or personal
property; or
b. The performance of services
pursuant to a contract; or
c. A grant, loan, or forgiveness or
payment of indebtedness; or
d. An application for a license,
certificate, permit, franchise,
change of zone, variance,
credential, or other benefit or
relief.
3. The statement shall be in sufficient
detail as to dates, amounts,
identifying numbers or symbols,
locations, and subject matter to
make the action identifiable by
reference to City records.
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4. The statement shall be filed under
penalty of perjury in a method
prescribed by the Ethics
Commission.
5. The statement shall satisfy the
requirements of Section 304 of the
City Election Code.
D. Recusal Notification.
1. A member of a City board or
commission who is required to file a
statement of economic interests
pursuant to the Political Reform Act
shall file a recusal notification form
each time the member recuses
himself or herself in relation to an
actual or apparent conflict of
interests.
a. The member shall file a copy of
the completed form with the
executive secretary for the
commission or board (or the
person acting in that capacity) as
soon as possible after the posting
of the agenda containing the item
involving the member’s conflict of
interests.
b. The member shall file the original
form, along with a copy of the
meeting agenda containing the
item involving the conflict of
interests, with the Ethics
Commission within 15 calendar
days after the date of the meeting
at which the recusal occurred.
c. The member shall file the form
even if the member is not present
at the meeting.
2. The form shall be filed under penalty
of perjury in a method prescribed by
the Ethics Commission and shall
include, at a minimum, the following:
a. The member’s name;
b. The name of the member’s board
or commission;
c. The date of the meeting at which
the recusal occurred or would
have occurred;
d. The agenda item number, a brief
description of the matter, and a
statement of whether the matter
concerns the making of a
contract; and
e. The specific interest causing the
recusal and a statement of
whether the interest is financial.
E. Every agency shall make every effort to
avoid hiring or appointing City officials
who hold and are unwilling or unable to
sell assets that would present significant
and continuing conflicts of interests.
History:
Amended by Ord. 167949, effective 7/5/92.
Amended by Ord. 175344, effective 8/16/03.
Amended by Ord. 177190, effective 1/23/06.
Amended by Ord. 177853, effective 10/7/06.
Amended by Ord. 182842, effective 2/10/14.
SEC. 49.5.7. HONORARIA AND
OUTSIDE EMPLOYMENT.
A. City officials and agency employees
shall not engage in outside employment
during any hours they are paid to
engage in City business. A person shall
not induce or coerce or attempt to
induce or coerce a City official or
agency employee to engage in such
outside employment.
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B. Elected City officers shall not receive
any payment, including honoraria, for
their services other than that provided
for by City Charter Section 218.
However, they may receive
compensation for serving on
governmental entities where payment is
authorized for other governmental
officers or employees serving in such
capacity.
C. City officials, other than elected City
officers and part-time board and
commission members, shall not accept
a payment for honoraria or other outside
earned income or employment without
prior written approval.
1. Prior written approval must first be
obtained from the general manager
or chief administrative officer of the
City official’s department.
a. General managers, chief
administrative officers, and
members of the Board of Public
Works must obtain prior written
approval from their appointing
authorities.
b. City Council staff members must
obtain prior written approval from
their City Council members.
c. A City official who does not have
an appointing authority must
obtain prior written approval from
the Ethics Commission.
2. If the general manager, chief
administrative officer, or appointing
authority approves the payment, the
City official must determine whether
the source is a restricted source for
the City official. If the source is a
restricted source, the City official
shall not accept the payment without
also obtaining prior written approval
from the Ethics Commission.
3. The approval required by
Subdivisions 1 and 2 shall be denied
if the general manager, chief
administrative officer, appointing
authority, or Ethics Commission
determines that receipt of the
payment would be inconsistent,
incompatible, in conflict with, or
inimical to the City official's official
duties, functions, or responsibilities.
Such a determination must be made
if one or more of the following factors
applies:
a. The payment or the services for
which the payment would be
received would involve any of the
following:
i. The actual use of or the
appearance of the use of
public office, employment,
time, facilities, equipment, or
supplies for private gain;
ii. The City official’s performance
of an act that could later be
subject to the control,
inspection, review, audit, or
enforcement of the City
official’s agency; or
iii. Such time demands that the
City official’s performance of
official City duties would be
rendered less efficient.
b. The City official would be
accepting payment from a person
other than the City official’s
agency for performing an act that
the City official would be required
or expected to render in the
regular course of performing City
duties.
c. The City official is in a position to
make, participate in making, or
influence a City decision that
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could foreseeably have a material
financial effect on the source of
the payment.
4. A request for approval from the
Ethics Commission shall be treated
as a request for written advice under
Charter Section 705(b).
History:
Amended by Ord. 168056, effective 8/8/92.
Amended by Ord. 172942, effective 1/21/00.
Amended by Ord. 182842, effective 2/10/14.
Renumbered by Ord. 182842, effective 2/10/14 (prev. 49.5.9).
SEC. 49.5.8. GIFTS.
A. A person shall not offer or make and a
City official shall not solicit or accept a
gift when it is reasonably foreseeable
that the City official could be influenced
by the gift in the performance of an
official act.
B. City officials shall comply with the gift
requirements and restrictions in the
Political Reform Act and California
Constitution. When the Political Reform
Act’s gift provisions, other than gift
limits, refer to a lobbying entity, the
reference shall include a City lobbying
firm and lobbyist.
C. In addition to the state requirements and
restrictions identified in Subsection B,
City officials shall also comply with the
following gift restrictions for restricted
sources.
1. A City official shall not solicit a gift
from a restricted source. A City
official shall not accept a gift that
exceeds the applicable gift limit from
a restricted source.
2. A person who is a restricted source
to a City official shall not offer or
make a gift that exceeds the
applicable gift limit to that City
official.
3. A restricted source shall not act as
an agent or intermediary in or
arrange for the making of a gift by
another person to a City official that
exceeds the applicable gift limit.
4. The applicable gift limits are as
follows:
a. For restricted sources identified
in Section 49.5.2(J)(1)(a) or
Section 49.5.2(J)(2)(a), the
applicable gift limit is zero.
b. For all other restricted sources,
the applicable gift limit is one-
hundred dollars ($100) per
calendar year.
5. The applicable gift limits for
restricted sources do not apply to the
following:
a. Items received by a City official
from a union representing that
City official.
b. Food and beverages received by
a City official from a union
representing a bargaining unit of
City officials.
c. Items received by a City official
acting in an official City capacity
from an organization to which the
City, the City official, or the City
official’s agency belongs as a
member.
d. Nominal and routine office
courtesies received by a City
official in a restricted source’s
place of business, as long as the
courtesies are available to any
person who visits that place of
business.
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e. Payments for travel and meals
that are made by an organization
that is exempt from taxation
under Section 501(c)(3) of the
Internal Revenue Code, a bona
fide educational institution as
defined by Section 203 of the
California Revenue and Taxation
Code, or a governmental entity
and where the payments are
exempt from the gift limits in the
Political Reform Act.
6. A City official has the duty to
determine whether a person is a
restricted source to him or her. A
person offering or making a gift to a
City official has the duty to determine
whether he or she is a restricted
source to that City official.
a. For restricted sources identified
in Sections 49.5.2(J)(1)(a) and
49.5.2(J)(2)(a), the following
apply:
i. A City official may presume
that a person is not a
restricted source to him or her
if the person is not identified
in the electronic filing system
for lobbying entities under
Section 48.06(B) on the date
the gift is offered or made, the
City official has conducted a
reasonable inquiry into
whether the person is a
restricted source between
database updates, and the
City official does not have
personal knowledge that the
person qualifies as a
restricted source.
ii. The electronic filing system
for lobbying entities is a
reference for compliance and
enforcement purposes for
gifts offered or made as of the
date the database was last
updated.
b. For restricted sources identified
in Sections 49.5.2(J)(1)(b) and
49.5.2(J)(2)(b), the following
apply:
i. A City official may presume
that a person is not a
restricted source to him or her
if the person is not identified
in the database in Section
49.5.11(B) on the date the gift
is offered or made, the City
official has conducted a
reasonable inquiry into
whether the person is a
restricted source between
database updates, and the
City official does not have
personal knowledge that the
person qualifies as a
restricted source.
ii. The restricted source gift limit
does not apply to sources that
are only identified in Section
49.5.2(J)(1)(b) or Section
49.5.2(J)(2)(b) until the Ethics
Commission and the City
Council initially certify that the
database in Section
49.5.11(B) provides enough
information for a City official to
determine whether a person is
a restricted source to him or
her under Section
49.5.2(J)(1)(b) or
49.5.2(J)(2)(b).
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iii. The database is a reference
for compliance and
enforcement purposes for
gifts offered or made from the
date the database is certified
through the date the database
was last updated.
c. For restricted sources identified
in Sections 49.5.2(J)(1)(c),
49.5.2(J)(1)(d), 49.5.2(J)(2)(c),
and 49.5.2(J)(2)(d), the following
apply:
i. A City official may presume
that a person is not a
restricted source to him or her
if the City official has
conducted a reasonable
inquiry into whether the
person is a restricted source
and does not have personal
knowledge that the person
qualifies as a restricted
source.
ii. The Ethics Commission will
not maintain a database.
d. A reasonable inquiry includes
asking the source, asking a
responsible employee in the
relevant agency, and reviewing
the City Clerk’s council file
management system.
D. A ticket or pass distributed by an agency
to a City official in accordance with
Chapter 5 of Los Angeles Administrative
Code Division 24 is not a gift to the City
official.
History:
Amended by Ord. 168056, effective 8/8/92.
Amended by Ord. 178064, effective 1/15/07.
Amended by Ord. 182842, effective 2/10/14.
Renumbered by Ord. 182842, effective 2/10/14 (prev. 49.5.10).
Amended by Ord. 183731, effective 8/4/15.
SEC. 49.5.9. DISCLOSURE OF
ECONOMIC INTERESTS.
A. A City official shall file a statement of
economic interests pursuant to the
Political Reform Act and this Section.
B. Whenever an elected City officer, a
member of a City board or commission,
or a general manager or chief
administrative officer of an agency is
required by the Political Reform Act to
file a statement of economic interests,
the individual also shall disclose
financial interests associated with
restricted sources.
1. The following financial interests shall
be disclosed:
a. Interests in real property that
were leased from or to, co-owned
by, purchased from, or sold to a
restricted source by the City
official or the City official’s
spouse, registered domestic
partner, or dependent child.
b. Investments that were co-owned
by, purchased from, or sold to a
restricted source by the City
official or the City official’s
spouse, registered domestic
partner, or dependent child.
c. Income other than gifts that was
valued at $500 or more and was
received from a restricted source
by the City official or the City
official’s spouse, registered
domestic partner, or dependent
child.
d. Gifts cumulatively valued at $50
or more and that were received
from a restricted source by the
City official or the City official’s
spouse, registered domestic
partner, or dependent child.
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e. Positions held on the board of a
restricted source by the City
official or the City official’s
spouse, registered domestic
partner, or dependent child.
2. The disclosure shall be verified
under penalty of perjury.
3. The disclosure shall be made in a
method prescribed by the Ethics
Commission and may include
additional information the Ethics
Commission deems necessary.
4. The disclosure shall be filed on the
same schedule and for the same
reporting period as the statement
required by the Political Reform Act.
5. A City official is not required to
disclose the name of a person who
paid fees or made payments to the
City official or to a business entity in
which the City official or the City
official’s spouse or registered
domestic partner holds an interest if
the executive director determines
that disclosing the person's name
would violate a legally recognized
privilege.
C. The Ethics Commission may, by
regulation, require the disclosure of
specific types of financial interests, in
addition to those interests required to be
disclosed pursuant to this Section, if it is
reasonably foreseeable that the interest
could be materially affected by the City
official’s exercise of official City duties.
History:
Amended by Ord. 167949, effective 7/5/92.
Amended by Ord. 173101, effective 3/27/00.
Amended by Ord. 173138, effective 4/24/00.
Amended by Ord. 173870, effective 5/14/01.
Amended by Ord. 177190, effective 1/23/06.
Amended by Ord. 177853, effective 10/7/06.
Amended by Ord. 182842, effective 2/10/14.
Renumbered by Ord.182842, effective 2/10/14 (prev.49.5.6(A-C)).
SEC. 49.5.10. DISCLOSURE BY
NOMINEES.
A. Each person nominated to a position in
an agency subject to a conflict of
interests code, where appointment is
subject to confirmation by the City
Council, shall file a financial disclosure
statement with the Ethics Commission in
the method prescribed by the Ethics
Commission. The financial disclosure
statement shall be filed within 21 days of
the appointing authority’s transmission
of the nominee's appointment to the City
Council.
B. Within five business days of receiving a
complete financial disclosure statement
from the appointee, the Ethics
Commission staff shall forward a copy of
the financial disclosure statement to the
appointing authority and the City Council
or its committee confirming the
appointment.
History:
Amended by Ord. 167949, effective 7/5/92.
Amended by Ord. 174613, effective 7/7/02.
Amended by Ord. 182842, effective 2/10/14.
Renumbered by Ord. 182842, effective 2/10/14 (prev. 49.5.7).
SEC. 49.5.11. CONTRACTS
GENERALLY.
A. Except at a public meeting, a member of
a City board or commission shall not
participate in the development, review,
evaluation, or negotiation of or the
recommendation process for bids,
proposals, or any other requests for the
award or termination of a contract,
amendment, or change order involving
that board, commission, or agency.
This does not preclude individual
members from reviewing documents
and other information provided by
agency staff when preparing for a public
meeting at which the matter will be
considered.
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B. The Ethics Commission shall provide an
official, electronic City database for
restricted sources that are identified in
Sections 49.5.2(J)(1)(b) and
49.5.2(J)(2)(b).
1. Each agency shall submit to the
Ethics Commission information
regarding every person who, during
the relevant time period, was a party
to an agency contract, was a bidder
on an agency contract, or responded
to a request for proposals for an
agency contract. Submitting the
information to the City Clerk or to
another City database shall not be
deemed compliance with this
Section.
2. Agency information must include the
name of the person, the date the bid
or response was submitted, the date
the contract was entered into, any
contract or proposal number, a brief
description of the contract, and any
other information deemed necessary
by the Ethics Commission.
3. Agency information must be
submitted in a method prescribed by
the Ethics Commission by the
following dates:
a. Every January 31, covering the
immediately preceding October 1
through December 31;
b. Every April 30, covering the
immediately preceding January 1
through March 31;
c. Every July 31, covering the
immediately preceding April 1
through June 30; and
d. Every October 31, covering the
immediately preceding July 1
through September 30.
4. For each agency, the Ethics
Commission shall update the
database within 45 days after a
quarterly filing deadline that is
specified in paragraph 3 or the date
the agency submits complete
quarterly information, whichever is
later. The database shall include a
disclaimer noting the date of the last
update for each agency.
5. If an agency fails to submit complete
quarterly information within five
business [days] after a quarterly
filing deadline specified in paragraph
3, the Ethics Commission staff shall
notify every elected City officer and
the agency’s general manager or
chief administrative officer of the
delinquency. Failure to comply
within 10 business days of the date
of the notice will subject the agency’s
general manager, chief
administrative officer, or responsible
elected City officer to liability under
Section 49.5.17.
6. For purposes of this Subsection, a
City Council district is a distinct
agency.
7. The City shall provide the Ethics
Commission with adequate staffing
and funding to create, maintain, and
update the database.
History:
Amended by Ord. 176824, effective 8/27/05.
Amended by Ord. 182842, effective 2/10/14.
Renumbered by Ord. 182842, effective 2/140/14 (prev. 49.5.17).
SEC. 49.5.12. CONTRACTS AND MONEY
LAUNDERING VIOLATIONS.
A. Competitively Bid Contracts.
1. An awarding authority shall not
award a contract to a bidder if it finds
the following:
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a. The Ethics Commission has
found that the bidder violated City
Charter Section 470(k) in the
previous four years; and
b. The bidder lacks integrity such
that it is unfit to perform the work
specified in the contract. The
awarding authority shall make
that finding unless there are
specific facts brought to its
attention in writing that indicate
otherwise.
2. If the findings in paragraph 1 are
made, the awarding authority shall
deem the bidder to be not
responsible.
3. Prior to making a finding that a
bidder is not responsible, the
awarding authority shall do the
following:
a. Notify the bidder of its intention to
consider making the finding.
b. Offer the bidder an opportunity to
present evidence and argue that,
despite the violation, the
awarding authority should not
have reason to question the
bidder’s integrity and fitness to
perform the contract.
c. Hold an informal hearing at which
the bidder and other interested
parties may make presentations.
d. Consider the presentations of the
bidder and other interested
parties and be satisfied that the
finding is merited.
B. Fee Waivers. A discretionary fee
waiver of more than $1,000 shall not be
granted for a person who has been
found by the Ethics Commission to have
violated City Charter Section 470(k)
within the previous four years.
C. Notice of Violations.
1. The Ethics Commission shall provide
a copy of every Commission
enforcement decision relating to a
violation of City Charter Section
470(k) to the general manager or
other head of each agency.
2. A person who submits a bid or
proposal or requests a fee waiver
shall include with the submission or
request a copy of the Ethics
Commission’s decision of violation.
3. A report that contains sufficient
information to allow a decision-
making body to comply with this
Section shall be submitted to the
decision-making body by the
following:
a. By the City Clerk, when the City
Council is the decision-making
body.
b. By agency staff when a City
board or commission is the
decision-making body.
D. Reduction of Time Period. The Ethics
Commission may reduce the time during
which this Section applies to not less
than one year if it finds that the
contracting party has done either of the
following:
1. Accepted responsibility for the
violation by entering into a stipulation
with the Ethics Commission in which
the party admits the violation or
otherwise exhibits evidence of
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having accepted responsibility; or
2. Mitigated the wrongdoing by taking
prompt remedial or corrective action.
E. Waiver of Provisions. The City
Council may waive any or all of the
requirements in this Section if it finds
that an overriding public policy
consideration justifies doing so.
1. The finding must be approved in
writing by a two-thirds vote of the
City Council’s entire membership.
2. The finding must identify the nature
of the overriding public policy
consideration and the reason why
that consideration justifies the
waiver. A waiver is justified if it
would result in a significant
community or financial benefit to the
City or if it is necessary to preserve
the health, safety, or welfare of the
public.
F. Exception. This Section, excluding
Subsection D(1), does not apply to the
following proprietary City departments:
Airports, City Employees Retirement
System, Harbor, Library, Pensions,
Recreation and Parks, and Water and
Power.
History:
Added by Ord. 171142, effective 8/3/96.
Amended by Ord. 172942, effective 1/21/00.
Amended by Ord. 182842, effective 2/10/14.
Renumbered by Ord. 182842, effective 2/10/14 (prev. 49.5.21).
SEC. 49.5.13. LOBBYING ACTIVITIES
OF CURRENT AND FORMER CITY
OFFICIALS.
A. A member of a City board or
commission who is required to file
statements of economic interests
pursuant to the Political Reform Act
shall not receive compensation to
communicate, either personally or
through an agent, with a City official for
the purpose of attempting to influence
action on a City matter on behalf of a
person other than an agency. This
Subsection does not prohibit a member
of a City board or commission from
appearing before an agency in the same
manner as any other member of the
general public solely to represent
himself or herself in a matter related to
his or her personal interests.
B. A former City official or agency
employee who personally and
substantially participated in a specific
matter during City service shall not
receive compensation to attempt to
influence City action on that matter,
either personally or through an agent,
on behalf of a person other than an
agency. Personal and substantial
participation includes but is not limited to
making or voting on a decision or
making a recommendation, rendering
advice, and conducting research or an
investigation.
1. A former City official or agency
employee shall not receive
compensation to counsel or assist a
person other than an agency
regarding activity that is prohibited
for the former City official or agency
employee pursuant to this
Subsection.
2. This prohibition applies as long as
the matter is still pending before an
agency or an agency is a party to the
matter.
3. This prohibition does not apply when
the former City official or agency
employee participated in the matter
in solely a ministerial capacity.
C. The following time-based restrictions on
lobbying activities apply to former City
officials.
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1. For one year after leaving City
service, a City official shall not
receive compensation to attempt to
influence, either personally or
through an agent, City action on any
matter pending before any agency
on behalf of a person other than an
agency if, during the 24 months
preceding the official’s departure
from City service, the official held
any of the following positions:
elected City officer; Board of Public
Works Commissioner; General
Manager; Chief Administrative
Officer; Mayor's Chief of Staff;
Deputy Mayor; Mayoral Aide VII;
Mayoral Aide VIII; Executive
Assistant City Attorney; Chief
Assistant City Attorney; Senior
Assistant City Attorney; City Attorney
Exempt Employee; Chief Deputy
Controller; Administrative Deputy
Controller; Principal Deputy
Controller; Council Aide VI; or
Council Aide VII.
2. For one year after leaving City
service, all other former City officials
shall not receive compensation to
attempt to influence, either
personally or through an agent, City
action on any matter pending before
an agency in which the City official
served during the 24 months
preceding the official’s departure
from City service on behalf of a
person other than an agency.
Serving an agency means being
directly employed by or being
assigned or on loan to that agency.
D. This Section does not apply to the
following:
1. Attempts to influence solely
ministerial action on City matters.
2. Attempts to influence made by
former City officials who are officers
or employees of a governmental
entity and are solely representing
that entity in an official capacity.
E. By July 31 of every year, the City
Controller shall submit to the Ethics
Commission the names of each
individual who held a position identified
in Subsection (C)(1) during the
preceding 24 months. By July 31 of
every year, the City Clerk shall submit to
the Ethics Commission the names of
each individual who held a City Attorney
Exempt position as provided in City
Charter Section 1050(d) during the
preceding 24 months.
F. Upon the petition of an interested party,
a court or presiding officer in a judicial,
quasi-judicial, or other proceeding may
exclude a person found to be in violation
of this Section from further participating
in or assisting another participant in a
proceeding pending before that court or
presiding officer. Notice and an
opportunity to be heard must be
provided.
History:
Amended by Ord. 168057, effective 8/8/92.
Amended by Ord. 172891, effective 12/11/99.
Amended by Ord. 176823, effective 8/27/05.
Amended by Ord. 178064, effective 1/15/07.
Amended by Ord. 182842, effective 2/10/14.
Renumbered by Ord. 182842, effective 2/10/14 (prev. 49.5.11).
SEC. 49.5.14. FUTURE EMPLOYMENT.
A. The following limits on future
employment apply to City officials.
1. The Mayor, the City Attorney, the
City Controller, a general manager,
and a chief administrative officer
shall not directly or indirectly,
knowingly or willfully negotiate the
possibility of future employment or
business opportunities with a person
other than a governmental entity if
the person has a matter that is
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currently pending before that City
official or the City official’s agency.
2. A member of the City Council, a City
board or commission, or another
voting body of an agency who is
required to file statements of
economic interests pursuant to the
Political Reform Act shall not directly
or indirectly, knowingly or willfully
negotiate the possibility of future
employment or business
opportunities with a person other
than a governmental entity if the
person has a matter that is currently
pending before that City official or a
body of which the City official is a
voting member.
3. A City official other than one
identified in Subsection 1 or 2 above
shall not directly or indirectly,
knowingly or willfully negotiate the
possibility of future employment or
business opportunities with a person
other than a governmental entity if
the person has a matter that is
currently pending before that City
official.
4. City officials shall not make,
participate in making, or use their
official City positions to influence a
decision involving the interests of a
person with whom they have an
agreement concerning future
employment or business
opportunities.
B. A person who has a matter pending
before a City official or a body of which
the City official is a voting member shall
not directly or indirectly, knowingly or
willfully negotiate the possibility of future
employment of or business opportunities
for that City official.
C. A person has a matter pending if the
person is a party to or is compensated
to represent a party to the matter.
History:
Amended by Ord. 168057, effective 8/8/92.
Amended by Ord. 182842, effective 2/10/14.
Renumbered by Ord. 182842, effective 2/10/14 (prev. 49.5.12).
SEC. 49.5.15. ETHICS AND FRAUD
AWARENESS TRAINING.
A. Ethics Training. All City officials are
required to complete ethics training at
the time of entering City service and
once every two years thereafter. The
training shall be developed by the Ethics
Commission, in partnership with the
Office of the City Attorney, and shall be
structured to ensure that participants
have knowledge to comply with all of the
relevant ethics laws governing their
service to the City.
B. Fraud Awareness Training. All full-
time City employees are required to
complete on-line training for fraud
awareness at the time of entering City
service and once every two years
thereafter. The training shall be
developed by the City Controller's
Fraud, Waste and Abuse Unit and
provided by the Personnel Department
as described in the Los Angeles
Administrative Code.
History:
Repealed by Ord. 172891, effective 12/11/99.
Added by Ord. 178064, effective 01/15/07.
Amended by Ord. 182478, effective 04/17/13.
Amended by Ord. 182842, effective 2/10/14.
Renumbered by Ord. 182842, effective 2/10/14 (prev. 49.5.18).
SEC. 49.5.16. ENFORCEMENT.
A. Criminal Enforcement.
1. A person who does any of the
following is guilty of a misdemeanor:
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a. Knowingly or willfully violates a
provision of this Article;
b. Knowingly or willfully causes
another person to violate a
provision of this Article; or
c. Aids and abets another person in
violating a provision of this
Article.
2. Prosecution shall be commenced
within four years after the date of the
violation.
3. A person convicted of a
misdemeanor under this Article shall
not act as a City lobbyist or
contractor for four years following the
date of the conviction, unless the
court at the time of sentencing
specifically determines that this
provision shall not be applied.
4. For the purposes of this Section, a
plea of nolo contendere shall be
deemed a conviction.
B. Civil Actions.
1. A person who intentionally or
negligently violates a provision of
this Article shall be liable in a civil
action brought by the City Attorney,
the Ethics Commission, or a person
residing within the City for an amount
not more than the greater of $5,000
per violation or three times the
amount the person failed to report,
properly or unlawfully contributed,
expended, gave, or received.
2. If two or more persons are
responsible for any violation, they
shall be jointly and severally liable.
3. A person other than the City
Attorney, before filing a civil action
pursuant to this Subsection, shall
first file with the Ethics Commission
a written request for the Ethics
Commission to commence the
action. The request shall contain a
statement of the grounds for
believing a cause of action exists.
The Ethics Commission shall
respond within 40 days after receipt
of the request, indicating whether it
intends to file a civil action. If the
Ethics Commission indicates in the
affirmative and files an action within
40 days thereafter, no other action
may be brought unless the action
brought by the Ethics Commission is
dismissed without prejudice.
4. In determining the amount of liability,
the court may take into account the
seriousness of the violation and the
degree of culpability of the
defendant. If a judgment is entered
against the defendant or defendants
in an action, a private plaintiff shall
receive 50 percent of the amount
recovered. The remaining 50
percent shall be deposited into the
City's General Fund. In an action
brought by the City Attorney or the
Ethics Commission, the entire
amount shall be paid to the General
Fund.
5. An action alleging a violation of this
article may not be filed more than
four years after the date the violation
occurred.
6. The court may award to a party other
than an agency who prevails in a
civil action that party’s costs of
litigation, including reasonable
attorney fees. If the costs are
awarded against the City, the
payment of the award is the
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responsibility of the City, subject to
City Council approval.
C. Injunctive Relief. A person residing
within the City, including the City
Attorney, may sue for injunctive relief to
enjoin violations of or to compel
compliance with this Article.
D. Administrative Penalties. The
Commission may impose penalties and
issue orders for violations of this Article
pursuant to its authority under Charter
Section 706(c).
E. Discipline. An appointed City official or
agency employee who violates a
provision of this Article shall be subject
to administrative discipline by his or her
appointing authority. Such discipline
shall be administered in accordance
with procedures prescribed by law or
established by City policy. The
Commission shall notify an agency
when one of its City officials or
employees is found to be in violation of
this Article.
F. Other Governmental Entities. If a
governmental entity that is required to
adopt a conflict of interests code subject
to City Council approval but is not
otherwise within the City’s control
adopts governmental ethics regulations
governing the conduct of its current or
former officers or employees, violations
of those regulations are subject to civil
and administrative enforcement and
discipline under Subsections B through
E.
History:
Amended by Ord. 168229, effective 10/11/92.
Amended by Ord. 170538, effective 7/13/95.
Amended by Ord. 172942, effective 1/21/00.
Amended by Ord. 175877, effective 5/5/04.
Amended by Ord. 182842, effective 2/10/14.
Renumbered by Ord. 182842, effective 2/10/14 (prev. 49.5.19).
SEC. 49.5.17. LATE FILING PENALTIES.
In addition to any other penalties, a person
who files an original statement or report
after a deadline imposed by this Article is
liable to the Ethics Commission in the
amount of $25 per day after the deadline
until the statement or report is filed, up to a
maximum of $500. Liability need not be
enforced by the Ethics Commission if its
executive officer determines that the late
filing was not willful and that enforcement of
the liability will not further the purposes of
the Article. Liability may not be waived if a
statement or report is not filed within 30
days after receiving notice from the Ethics
Commission staff that the statement or
report is past due.
History:
Amended by Ord. 168229, effective 10/11/92.
Amended by Ord. 170538, effective 7/13/95.
Amended by Ord. 182842, effective 2/10/14.
Renumbered by Ord. 182842, effective 2/10/14 (prev. 49.5.20).
SEC. 49.5.18. AUTHORITY TO ENACT.
This article is enacted pursuant to and
under the authority of the City Charter,
California Government Code Sections 1125
et seq., California Government Code
Section 81013, and California Constitution,
Article XI, Section 5.
History:
Renumbered by Ord. 171142, effective 8/3/96 (prev. 49.5.21).
Amended by Ord. 182842, effective 2/10/14.
Renumbered by Ord. 182842, effective 2/10/14 (prev. 49.5.22).
SEC. 49.5.19. RECORDKEEPING.
Persons subject to this Article shall keep
records that demonstrate compliance with
this Article and the related provisions of the
Political Reform Act and the City Charter for
four years.
History:
Added by Ord. 182842, effective 2/10/14.
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SEC. 49.5.20. SEVERABILITY.
The provisions of this Article are severable.
If any provision of this Article or its
application to any person or circumstances
is held invalid by a court, the remainder of
this Article and the application of the
provision to other persons or circumstances
is not affected by that determination, to the
extent that the provision or its application
can be given effect.
History:
Renumbered by Ord. 171142, effective 8/3/96 (prev. 49.5.23).
Amended by Ord. 182842, effective 2/10/14.
Renumbered by Ord. 182842, effective 2/10/14 (prev. 49.5.24).
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C i v i l S e r v i c e C o m m i s s i o n
S a n F r a n c i s c o C a m p a i g n a n d G o v e r n m e n t a l C o n d u c t
C o d e
SEC. 3.200. FINDINGS AND PURPOSE.
(a) The people of the City and County of San Francisco declare that public office is a public trust and all officers and employees of
the City and County shall exercise their public duties in a manner consistent with this trust. To assure that the governmental
processes of the City and County promote fairness and equity for all residents and to maintain public trust in governmental
institutions, the people of the City and County declare that they have a compelling interest in creating laws regulating conflicts of
interest and outside activities of City officers and employees.
(b) The proper operation of the government of the City and County of San Francisco requires that public officers and employees be
independent, impartial, and responsible to the people and that public office and employment not be used for personal gain. The
public interest, therefore, requires that officers and employees of the City and County be prohibited from making, participating in
making or otherwise seeking to influence governmental decisions in which they have a financial interest or accepting gifts and other
things of value from regulated sources.
(c) In order to maintain the public's confidence in the integrity of governmental decisions related to the appointment and discipline of
public officers and employees, public officers and employees must not give or receive anything of value in consideration of their
appointment or accept anything of value from their subordinates, and must not participate in decisions related to their own character
or conduct or that of their family members.
(d) City and County contracts should be, and should appear to be, awarded on a fair and impartial basis. The practice of members
of Boards and Commissions of the City and County contracting with the City and County creates the potential for, and the
appearance of, favoritism or preferential treatment by the City and County. Prohibiting members of Boards and Commissions of the
City and County from contracting with the City and County will eliminate both actual and perceived favoritism or preferential
treatment without creating unnecessary barriers to public service.
(e) Government decisions of officers and employees of the City and County should be, and should appear to be, made on a fair and
impartial basis. The practice of former officers and employees communicating with their former colleagues on behalf of private
interests and the practice of current officers of the City and County communicating with other officers and employees on behalf of
any other person for compensation creates the potential for, and the appearance of, undue influence, favoritism or preferential
treatment. Prohibiting former officers and employees from communicating orally, in writing, or in any other manner with their former
colleagues for specified periods of time and prohibiting current officers from communicating orally, in writing, or in any other manner
with other officers and employees of the City and County on behalf of any other person for compensation will eliminate both actual
and perceived undue influence, favoritism or preferential treatment without creating unnecessary barriers to public service.
(Added by Proposition E, 11/4/2003) (Former Section 3.200 added by Ord. 71-00, File No. 000358, App. 4/28/2000; repealed by
Proposition E, 11/4/2003. Derivation: Former Administrative Code Section 16.980; added by Ord. 374-96, App. 9/30/96)
SEC. 3.202. CONSTRUCTION.
This Chapter shall be liberally construed in order to effectuate its purposes, provided that nothing in this Chapter shall be interpreted
or applied to prohibit officers, members and representatives of employee organizations from engaging in organizational activities
that are protected by the California Meyers-Milias-Brown Act, the First Amendment to the United States Constitution or any other
federal, state or local law. No error, irregularity, informality, neglect or omission of any officer in any procedure taken under this
Chapter which does not directly affect the jurisdiction of the Board of Supervisors or the City and County to control the ethical
conduct of its officers and employees shall avoid the effect of this Chapter.
(Added by Proposition E, 11/4/2003)
SEC. 3.204. AMENDMENT OR REPEAL OF THIS CHAPTER.
The voters may amend or repeal this Chapter. The Board of Supervisors may amend this Chapter if all of the following conditions
are met:
(a) The amendment furthers the purposes of this Chapter;
(b) The Ethics Commission approves the proposed amendment by at least a four-fifths vote of all its members;
(c) The proposed amendment is available for public review at least 30 days before the amendment is considered by the Board of
Supervisors or any committee of the Board of Supervisors; and
(d) The Board of Supervisors approves the proposed amendment by at least a two-thirds vote of all its members.
(Added by Proposition E, 11/4/2003)
SEC. 3.206. FINANCIAL CONFLICTS OF INTEREST.
(a) Incorporation of the California Political Reform Act. No officer or employee of the City and County shall make, participate in
making, or seek to influence a decision of the City and County in which the officer or employee has a financial interest within the
meaning of California Government Code Section 87100 et seq. and any subsequent amendments to these Sections.
(b) Incorporation of California Government Code 1090, et seq. No officer or employee of the City and County shall make a contract
in which he or she has a financial interest within the meaning of California Government Code Section 1090 et seq. and any
subsequent amendments to these Sections.
(c) Future Employment. No officer or employee of the City shall make, participate in making, or otherwise seek to influence a
governmental decision, affecting a person or entity with whom the officer or employee is discussing or negotiating an agreement
concerning future employment.
(Added by Proposition E, 11/4/2003)
SEC. 3.208. APPOINTMENTS AND NOMINATIONS.
No person shall give or promise, and no officer or employee of the City and County may solicit or accept, any money or other
valuable thing in consideration for (i) the person's nomination or appointment to any City and County office or employment, or
promotion or other favorable City and County employment action, or (ii) any other person's nomination or appointment to any City
and County office or employment or promotion or other favorable City and County employment action.
(Added by Proposition E, 11/4/2003)
SEC. 3.210. VOTING ON OWN CHARACTER OR CONDUCT.
(a) Prohibition. No officer or employee of the City and County shall knowingly vote on or attempt to influence a governmental
decision involving his or her own character or conduct, or his or her appointment to any office, position, or employment.
(b) Exceptions. Nothing in this Section shall prohibit an officer or employee from (i) responding to allegations, applying for an office,
position, or employment, or responding to inquiries; or (ii) participating in the decision of his or her board, commission, or committee
to choose him or her as chair, vice chair, or other officer of the board, commission, or committee.
(Added by Proposition E, 11/4/2003)
SEC. 3.212. DECISIONS INVOLVING FAMILY MEMBERS.
(a) Prohibition. No officer or employee of the City and County may make, participate in making, or otherwise seek to influence a
decision of the City and County regarding an employment action involving a relative. Nothing in this Section shall prohibit an officer
or employee from acting as a personal reference or providing a letter of reference for a relative who is seeking appointment to a
position in any City department, board, commission or agency other than the officer or employee's department, board, commission
or agency or under the control of any such department, board, commission or agency.
(b) Delegation. A Department Head who is prohibited under Subsection (a) from participating in an employment action involving a
relative shall delegate in writing to an employee within the department any decisions regarding such employment action.
(c) Definitions. For purposes of this Section, the term "employment action" shall be limited to hiring, promotion, or discipline, and the
term "relative" shall mean a spouse, domestic partner, parent, grandparent, child, sibling, parent-in-law, aunt, uncle, niece, nephew,
first cousin, and includes any similar step relationship or relationship created by adoption.
(Added by Proposition E, 11/4/2003)
SEC. 3.214. DISCLOSURE OF PERSONAL, PROFESSIONAL AND BUSINESS RELATIONSHIPS.
(a) Disclosure. A City officer or employee shall disclose on the public record any personal, professional or business relationship with
any individual who is the subject of or has an ownership or financial interest in the subject of a governmental decision being made
by the officer or employee where as a result of the relationship, the ability of the officer or employee to act for the benefit of the
public could reasonably be questioned. For the purposes of this Section, the minutes of a public meeting at which the governmental
decision is being made, or if the governmental decision is not being made in a public meeting, a memorandum kept on file at the
offices of the City officer or employee's department, board, commission or agency shall constitute the public record.
(b) Penalties. A court may void any governmental decision made by a City officer or employee who fails to disclose a relationship as
required by Subsection (a) if the court determines that: (1) the failure to disclose was willful; and (2) the City officer or employee
failed to render his or her decision with disinterested skill, zeal, and diligence and primarily for the benefit of the City. No other
penalties shall apply to a violation of this Section, provided that nothing in this Section shall prohibit an appointing authority from
imposing discipline for a violation of this Section.
(c) Regulations. The Ethics Commission may adopt regulations setting forth the types of personal, professional and business
relationships that must be disclosed pursuant to this Section.
(Added by Proposition E, 11/4/2003)
CAMPAIGN AND GOVERNMENTAL CONDUCT CODE
ARTICLE III: CONDUCT OF GOVERNMENT OFFICIALS AND EMPLOYEES
CHAPTER 2: CONFLICT OF INTEREST AND OTHER PROHIBITED ACTIVITIES
SEC. 3.216.Gifts.
SEC. 3.224.Prohibition on Representing Private Parties Before Other City Officers and Employees--Compensated Advocacy.
SEC. 3.218. INCOMPATIBLE ACTIVITIES.
(a) Prohibition. No officer or employee of the City and County may engage in any employment, activity, or enterprise that the
department, board, commission, or agency of which he or she is a member or employee has identified as incompatible in a
statement of incompatible activities adopted under this Section. No officer or employee may be subject to discipline or penalties
under this Section unless he or she has been provided an opportunity to demonstrate that his or her activity is not in fact
inconsistent, incompatible or in conflict with the duties of the officer or employee.
(b) Statement of Incompatible Activities. Every department, board, commission, and agency of the City and County shall, by August
1 of the year after which this Section becomes effective, submit to the Ethics Commission a statement of incompatible activities. No
statement of incompatible activities shall become effective until approved by the Ethics Commission after a finding that the activities
are incompatible under the criteria set forth in Subsection (c). After initial approval by the Ethics Commission, a department, board,
commission or agency of the City and County may, subject to the approval of the Ethics Commission, amend its statement of
incompatible activities. The Ethics Commission may, at any time, amend the statement of incompatible activities of any department,
board, commission or agency of the City and County.
(c) Required Language. Each statement of incompatible activities shall list those outside activities that are inconsistent,
incompatible, or in conflict with the duties of the officers and employees of the department, board, commission, or agency of the City
and County. This list shall include, but need not be limited to, activities that involve: (1) the use of the time, facilities, equipment and
supplies of the City and County; or the badge, uniform, prestige, or influence of the City and County officer or employee's position
for private gain or advantage; (2) the receipt or acceptance by an officer or employee of the City and County of any money or other
thing of value from anyone other than the City and County for the performance of an act that the officer or employee would be
required or expected to render in the regular course of his or her service or employment with the City and County; (3) the
performance of an act in a capacity other than as an officer or employee of the City and County that may later be subject directly or
indirectly to the control, inspection, review, audit or enforcement of the City and County officer or employee's department, board,
commission or agency; and (4) time demands that would render performance of the City and County officer or employee's duties
less efficient. The Ethics Commission may permit City boards and commissions to exclude any required language from their
statement of incompatible activities if their members, by law, must be appointed in whole or in part to represent any profession,
trade, business, union or association.
(d) Meet and Confer. No statement of incompatible activities or any amendment thereto shall become operative until the City and
County has satisfied the meet and confer requirements of State law.
(e) Notice. Every department, board, commission and agency of the City and County shall annually provide to its officers and
employees a copy of its statement of incompatible activities.
(f) Existing Civil Service Rules. Rules and Regulations relating to outside activities previously adopted or approved by the Civil
Service Commission shall remain in effect until statements of incompatible activities are adopted pursuant to this Section.
(Added by Proposition E, 11/4/2003)
SEC. 3.220. PROHIBITION ON DUAL OFFICE HOLDING.
Any person holding an office under the City and County with an annual salary in excess of $2,500, whether by election or by
appointment, who shall, during his or her term of office, hold or retain any other office with such a salary under the government of
the United States, the State of California, or the City and County shall be deemed to have thereby vacated the office held by him or
her under the City and County. For the purposes of this Section, the term salary does not include: (1) a stipend, per diem, or other
payment provided for attendance at meetings; or (2) health, dental or vision insurance, or other non-cash benefits.
(Added by Proposition E, 11/4/2003)
SEC. 3.222. PROHIBITING MEMBERS OF BOARDS AND COMMISSIONS FROM CONTRACTING WITH THE CITY AND
COUNTY.
(a) Definitions. For purposes of this Section, the following definitions shall apply:
(1) Board or Commission. The term "board or commission" means an appointed board or commission created by Charter or
ordinance of the City and County, but does not include advisory boards or commissions.
(2) Business. The term "business" means any corporation, partnership, sole proprietorship, firm, enterprise, franchise, association,
organization, or other legal entity or undertaking organized for economic gain.
(3) City and County. The term "City and County" includes any commission, board, department, agency, committee, or other
organizational unit of the City and County of San Francisco.
(4) Contract. The term "contract" means any agreement to which the City and County is a party, other than a grant funded in whole
or in part by the City and County or an agreement for employment with the City and County in exchange for salary and benefits.
(5) Subcontract. The term "subcontract" means a contract to perform any work that a primary contractor has an agreement with the
City and County to perform.
(b) Prohibition. No member of a board or commission of the City and County shall, during his or her term of office, contract or
subcontract with the City and County, the San Francisco Redevelopment Agency, the San Francisco Housing Authority, the San
Francisco Unified School District, or the San Francisco Community College District, where the amount of the contract or the
subcontract exceeds $10,000.
(c) Exceptions. This Section shall not apply to the following contracts or subcontracts:
(1) A contract or subcontract with a nonprofit organization;
(2) A contract or subcontract with a business with which a member of a board or commission is affiliated unless the member
exercises management and control over the business. A member exercises management and control if he or she is:
(A) An officer or director of a corporation;
(B) A majority shareholder of a closely held corporation;
(C) A shareholder with more than five percent beneficial interest in a publicly traded corporation;
(D) A general partner or limited partner with more than 20 percent beneficial interest in the partnership; or
(E) A general partner regardless of percentage of beneficial interest and who occupies a position of, or exercises management or
control of the business;
(3) A contract or subcontract with the City and County entered into before a member of a board or commission commenced his or
her service; or
(4) An agreement to provide property, goods or services to the City and County at substantially below fair market value.
(d) Limitation. Failure of a member of a board or commission to comply with this Section shall not be grounds for invalidating any
contract with the City and County.
(Added by Proposition E, 11/4/2003)
SEC. 3.224. PROHIBITION ON REPRESENTING PRIVATE PARTIES BEFORE OTHER CITY OFFICERS AND EMPLOYEES--
COMPENSATED ADVOCACY.
(a) Prohibition. No officer of the City and County shall directly or indirectly receive any form of compensation to
communicate orally, in writing, or in any other manner on behalf of any other person with any other officer or employee of the City
and County with the intent to influence a government decision.
(b) Exceptions. This section shall not apply to any communication by: (1) an officer of the City and County on behalf of the
City and County; (2) an officer of the City and County on behalf of a business, union, or organization of which the officer is a
member or full-time employee; (3) an associate, partner or employee of an officer of the City and County, unless it is clear from the
totality of the circumstances that the associate, partner or employee is merely acting as an agent of the City and County officer; or
(4) a City officer in his or her capacity as a licensed attorney engaged in the practice of law, which includes representing clients in
communications with the City Attorney's Office, District Attorney's Office, Public Defender's Office, attorneys in the Tax Collector's
Office or Sheriff's Office, outside legal counsel hired by the City, representatives of the City who are named in a pending litigation
matter or witnesses or potential witnesses in a pending litigation matter.
(c) Waiver. The Ethics Commission may waive the prohibitions in this section for any member of a City board or
commission who, by law, must be appointed to represent any profession, trade, business, union or association.
(Added by Proposition E, 11/4/2003; Ord. 97-06, File No. 051837, App. 5/19/2006)
SEC. 3.226. REFERRALS.
No officer or employee of the City and County shall: (a) receive any money, gift or other thing of economic value from a person or
entity other than the City and County for referring a member of the public to a person or entity for any advice, service or product
related to the processes of the City and County; or (b) condition any governmental action on a member of the public hiring,
employing, or contracting with any specific person or entity. The Ethics Commission may waive the restriction in Subsection (b) if
the Commission determines that granting a waiver is necessary for the proper administration of a governmental program or action.
(Added by Proposition E, 11/4/2003)
SEC. 3.228. DISCLOSURE OR USE OF CONFIDENTIAL CITY INFORMATION.
No current or former officer or employee of the City and County shall: (a) willfully or knowingly disclose any confidential or privileged
information, unless authorized or required by law to do so; or (b) use any confidential or privileged information to advance the
financial or other private interest of himself or herself or others. Confidential or privileged information is information that at the time
of use or disclosure was not subject to disclosure under the Sunshine Ordinance or California Public Records Act.
(Added by Proposition E, 11/4/2003)
SEC. 3.230. PROHIBITION ON POLITICAL ACTIVITY.
(a) Solicitation of Contributions. No City officer or employee shall knowingly, directly or indirectly, solicit political contributions from
other City officers or employees or from persons on employment lists of the City. Nothing in this Section shall prohibit a City officer
or employee from communicating through the mail or by other means requests for political contributions to a significant segment of
the public which may include City officers or employees.
(b) Political Activities in Uniform. No City officer or employee shall participate in political activities of any kind while in uniform.
(c) Political Activities on City Time or Premises. No City officer or employee may engage in political activity during working hours or
on City premises. For the purposes of this Subsection, the term "City premises" shall not include City owned property that is made
available to the public and can be used for political purposes.
(Added by Proposition E, 11/4/2003)
SEC. 3.232. PROHIBITION ON USE OF PUBLIC FUNDS FOR PRINTED GREETING CARDS.
(a) Definitions. The term "greeting card" means any printed card that celebrates or recognizes a holiday.
(b) Prohibition. No public funds may be used to design, produce, create, mail, send, or deliver any printed greeting card. The
Controller of the City and County of San Francisco shall, in the Controller's sole discretion, determine whether a payment is
prohibited under this Section.
The Controller's decision regarding whether a payment is prohibited under this Section is final.
(Added by Proposition E, 11/4/2003)
SEC. 3.234. POST-EMPLOYMENT RESTRICTIONS.
(a) All Officers and Employees.
(1) General Post-Employment Restrictions.
(A) Permanent restriction on representation in particular matters. No former officer or employee of the City and County, after the
termination of his or her service or employment with the City, shall, with the intent to influence, act as agent or attorney, or otherwise
represent, any other person (except the City and County) before any court, or before any state, federal, or local agency, or any
officer or employee thereof, by making any formal or informal appearance or by making any oral, written, or other communication in
connection with a particular matter:
(i) in which the City and County is a party or has a direct and substantial interest;
(ii) in which the former officer or employee participated personally and substantially as a City officer or employee;
(iii) which involved a specific party or parties at the time of such participation; and
(iv) which is the same matter in which the officer or employee participated as a City officer or employee.
(B) Permanent restriction on assisting others in particular matters. No former officer or employee of the City and County, after the
termination of his or her service or employment with the City, shall aid, advise, counsel, consult or assist another person (except the
City and County) in any proceeding in which the officer or employee would be precluded under Subsection
(A) from personally appearing.
(C) Exception for testimony. The prohibitions in Subsections A and B do not prohibit a former officer or employee of the City and
County from testifying as a witness, based on the former officer's or employee's personal knowledge, provided that no
compensation is received other than the fees regularly provided for by law or regulation of witnesses.
(D) One year restriction on communicating with former department. No former officer or employee of the City and County, for one
year after termination of his or her service or employment with the City, shall, with the intent to influence a government decision,
communicate orally, in writing, or in any other manner on behalf of any other person (except the City and County) with any officer or
employee of the department, board, commission, office or other unit of government, for which the officer or employee served.
(E) Waiver.
(i) At the request of a former City officer or employee, the Ethics Commission may waive any of the restrictions in Subsections (a)(1)
(A), (a)(1)(B) and (a)(1)(D) if the Commission determines that granting a waiver would not create the potential for undue influence or
unfair advantage.
The Ethics Commission shall adopt regulations implementing this provision.
(ii) The Ethics Commission may waive any of the restrictions in Subsections (a)(1)(A), (a)(1)(B) and (a)(1)(D) for members of City
boards and commissions who, by law, must be appointed to represent any profession, trade, business, union or association.
(2) Future Employment.
(A) Future Employment With Parties That Contract With The City. No officer or employee of the City shall, for a period of one year
after termination of City service or employment, be employed by or otherwise receive compensation from a person or entity that
entered into a contract with the City within the 12 months prior to the officer or employee leaving City service where the officer or
employee personally and substantially participated in the award of the contract.
(B) Waiver. At the request of a former City officer or employee, the Ethics Commission may waive the prohibition in Subsection (a)
(2)(A) if the Commission determines that imposing the restriction would cause extreme hardship for the former City officer or
employee. The Ethics Commission shall adopt regulations implementing this provision.
(b) Mayor and Members of the Board of Supervisors.
(1) One year restriction on communicating with City departments. For purposes of the one-year restriction under Subsection (a)(1)
(D), the "department" for which a former Mayor or member of the Board of Supervisors served shall be the City and County and the
prohibition in Subsection (a)(1)(D) shall extend to communications with:
(A) a board, department, commission or agency of the City and County;
(B) an officer or employee of the City and County;
(C) an appointee of a board, department, commission, agency, officer, or employee of the City and County; or
(D) a representative of the City and County.
(2) City service. No former Mayor or member of the Board of Supervisors shall be eligible for a period of one year after the last day
of service as Mayor or member of the Board of Supervisors, for appointment to any full time, compensated employment with the
City and County. This restriction shall not apply to a former Mayor or Supervisor elected to an office of the City and County,
appointed to fill a vacancy in an elective office of the City and County, or appointed to a board or commission in the executive
branch.
(Added by Proposition E, 11/4/2003)
SEC. 3.236. AIDING AND ABETTING.
No person shall knowingly and intentionally provide assistance to or otherwise aid or abet any other person in violating any of the
provisions of this Chapter.
(Added by Proposition E, 11/4/2003)
SEC. 3.238. FILING OF FALSE CHARGES.
No person shall knowingly and intentionally file with the Ethics Commission, the District Attorney or the City Attorney any false
charge alleging a violation of this Chapter.
(Added by Proposition E, 11/4/2003)
SEC. 3.240. PROVISION OF FALSE OR MISLEADING INFORMATION; WITHHOLDING OF INFORMATION; AND DUTY TO
COOPERATE AND ASSIST.
(a) Prohibition. No person shall knowingly and intentionally furnish false or fraudulent evidence, documents, or information to the
Ethics Commission, District Attorney or City Attorney, or knowingly and intentionally misrepresent any material fact, or conceal any
evidence, documents, or information relevant to an investigation by the Ethics Commission, District Attorney or City Attorney of an
alleged violation of this Chapter.
(b) Duty to Cooperate and Assist. The Ethics Commission, District Attorney or City Attorney may request and shall receive from
every City officer and employee cooperation and assistance with an investigation into an alleged violation of this Chapter.
(Added by Proposition E, 11/4/2003)
SEC. 3.242. PENALTIES AND ENFORCEMENT.
(a) Criminal Penalties. Any person who knowingly or willfully violates any of the City's conflict of interest and governmental ethics
laws shall be guilty of a misdemeanor and upon conviction thereof shall be punished by a fine of not more than $10,000 for each
violation or by imprisonment in the County jail for a period of not more than one year in jail or by both such fine and imprisonment.
(b) Civil Penalties. Any person who intentionally or negligently violates any City conflict of interest or governmental ethics law shall
be liable in a civil action brought by the City Attorney for an amount up to $5,000 for each violation.
(c) Injunctive Relief. The City Attorney or any resident may bring a civil action on behalf of the people of San Francisco to enjoin
violations of or compel compliance with a conflict of interest or governmental ethics law. No resident may commence a civil action
under this Section without first notifying the City Attorney in writing of the intent to file a civil action under this Section. If the City
Attorney fails to notify the resident within 120 days of receipt of the notice that the City Attorney has filed or will file a civil action, the
complainant may file the action. No resident may file an action under this Section if the City Attorney responds within 120 days that
the City Attorney intends to file an action or has already filed a civil action. No resident may bring an action under this Section if the
Ethics Commission has issued a finding of probable cause arising out of the same facts, the District Attorney has commenced a
criminal action arising out of the same facts, or another resident has filed a civil action underthis Section arising out of the same
facts. A court may award reasonable attorney's fees and costs to any resident who obtains injunctive relief under this Section.
(d) Administrative Penalties. Any person who violates any of the City's conflict of interest or governmental ethics laws shall be liable
in an administrative proceeding before the Ethics Commission held pursuant to the Charter. In addition to the administrative
penalties set forth in the Charter, the Ethics Commission may issue warning letters to City officers and employees.
(e) Statute of Limitations. No person may bring a criminal, civil or administrative action under this Section against any other person
more than four years after the date of the alleged violation.
(Added by Proposition E, 11/4/2003)
SEC. 3.244. SEVERABILITY.
If any provision of this Chapter, or the application thereof to any person or circumstance, is held invalid, the validity of the remainder
of the Chapter and the applicability of such provisions to other persons and circumstances shall not be affected thereby.
(Added by Proposition E, 11/4/2003)Ethics Commission
SEC. 4.100. FINDINGS.
The City and County of San Francisco has a paramount interest in protecting the integrity of its government institutions. To further
this interest, individuals should be encouraged to report to the City's Ethics Commission, Controller, District Attorney, City Attorney
and the complainant's department possible violations of laws, regulations and rules governing the conduct of City officers and
employees.
This Chapter protects all City officers and employees from retaliation for filing a complaint with, or providing information to, the
Ethics Commission, Controller, District Attorney, City Attorney or complainant's department about improper government activity by
City officers and employees.
Finally, this Chapter ensures that complaints that do not allege a violation of law over which the Ethics Commission has jurisdiction
are directed to the appropriate agency for investigation and possible disciplinary or enforcement action. (Added by Ord. 71-00, File
No. 000358, App. 4/28/2000; amended by Ord. 29-02, File No. 020017, App. 3/15/2002)
SEC. 4.105. COMPLAINTS OF IMPROPER GOVERNMENT ACTIVITY; INVESTIGATION PROCEDURES; REFERRAL TO
OTHER AGENCIES.
(a) COMPLAINTS. Any person may file a complaint with the Ethics Commission, Controller, District Attorney or City Attorney, or a
written complaint with the complainant's department alleging that a City officer or employee has engaged in improper government
activity by: violating local campaign finance, lobbying, conflicts of interest or governmental ethics laws, regulations or rules; violating
the California Penal Code by misusing City resources; creating a specified and substantial danger to public health or safety by
failing to perform duties required by the officer or employee's City position; or abusing his or her City position to advance a private
interest.
(b) ETHICS COMMISSION COMPLAINT PROCEDURES. The Ethics Commission shall investigate complaints filed under this
Section that allege violations of local campaign finance lobbying, conflicts of interest and governmental ethics laws pursuant to the
procedures specified in Charter Section C3.699-13 and the regulations adopted thereunder. Nothing in this subsection shall
preclude the Ethics Commission from referring any matter to any other City department, commission, board, officer or employee or
to other government agencies for investigation and possible disciplinary or enforcement action. The Ethics Commission may require
that any City department, commission, board, officer or employee report to the Ethics Commission on the referred matter.
(c) REFERRAL. The Ethics Commission shall refer complaints that do not allege a violation of law, regulation or rule that is within
the Ethics Commission's jurisdiction to the appropriate agency for investigation and possible disciplinary or enforcement action. The
Commission may conduct preliminary investigations into such complaints to determine whether the complaint contains sufficient
information to warrant referral. The Ethics Commission may require that any City department, commission, board, officer or
employee report to the Ethics Commission on the referred matter. (Added by Ord. 71-00, File No. 000358, App. 4/28/2000;
amended by Ord. 29-02, File No. 020017, App. 3/15/2002)
SEC. 4.110. DEFINITIONS.
For purposes of this Chapter, the following words and phrases shall have the following meanings:
(a) The term "City" means the City and County of San Francisco, its departments, commissions and boards.
(b) The term "complainant's department" includes the complainant's supervisor, the executive director or highest ranking officer in
the complainant's department, and the board or commission overseeing the complainant's department.
(c) The term "preliminary investigation" shall be limited to, but need not include: review of the complaint and any documentary
evidence provided with the complaint; interview of the complainant; interview of the respondent, counsel to respondent and any
witnesses who voluntarily agree to be interviewed for this purpose; review of any relevant public documents and documents
provided voluntarily to the Commission. (Added by Ord. 71-00, File No. 000358, App. 4/28/2000; amended by Ord. 29-02, File No.
020017, App.3/15/2002)
SEC. 4.115.PROTECTION OF WHISTLEBLOWERS.
(a) RETALIATION PROHIBITED. No City officer or employee may terminate, demote, suspend or take other similar adverse
employment action against any City officer or employee because the officer or employee has in good faith filed a complaint with the
Ethics Commission, Controller, District Attorney or City Attorney, or a written complaint with the complainant's department, alleging
that a City officer or employee engaged in improper government activity by: violating local campaign finance, lobbying, conflicts
ofinterest or governmental ethics laws, regulations or rules; violating the California Penal Code by misusing City resources; creating
a specified and substantial danger to public health or safety by failing to perform duties required by the officer or employee's City
position; or abusing his or her City position to advance a private interest.
(b) COMPLAINTS OF RETALIATION FOR HAVING FILED A COMPLAINT ALLEGING IMPROPER GOVERNMENT ACTIVITY.
(i) Administrative Complaints. Any city officer or employee, or former city officer or employee, who believes he or she has been the
subject of retaliation in violation of Subsection (a) of this Section may file a complaint with the Ethics Commission. The complaint
must be filed no later than two years after the date of the retaliation.
The Ethics Commission shall investigate com-plaints of violations of Subsection (a) of this Section pursuant to the procedures
specified in San Francisco Charter Section C3.699-13 and the regulations adopted thereunder. The Ethics Commission may decline
to investigate complaints alleging violations of Subsection (a) if it determines that the same or similar allegations are pending with or
have been finally resolved by another administrative or judicial body. Nothing in this Subsection shall preclude the Ethics
Commission from referring any matter to any other City department, commission, board, officer or employee, or to other
government agencies for investigation and possible disciplinary or enforcement action. The Ethics Commission may refer matters to
the Department of Human Resources with a recommendation. The Ethics Commission may require that any City department,
commission, board, officer or employee report to the Ethics Commission on the referred matter.
(ii) Civil Complaints. Any City officer or employee who believes he or she has been the subject of retaliation in violation of
Subsection (a) of this Section may bring a civil action against the City officer or employee who committed the violation. Such action
must be filed no later than two years after the date of the retaliation.
(iii) Burden of Establishing Retaliation. In order to establish retaliation under this Section, a complainant must demonstrate by a
preponderance of the evidence that the complainant's engagement in activity protected under Subsection (a) was a substantial
motivating factor for the adverse employment action. The employer may rebut this claim if it demonstrates by a preponderance of
the evidence that it would have taken the same employment action irrespective of the complainant's participation in protected
activity.
(c) PENALTIES.
(i) Charter Penalties. Any City officer or employee who violates Subsection (a) of this Section may be subject to administrative
penalties pursuant to Charter Section C3.699-13.
(ii) Discipline by Appointing Authority. Any City officer or employee who violates Subsection (a) of this Section shall be subject to
disciplinary action up to and including dismissal by his or her appointing authority. If no disciplinary action is taken by the appointing
authority, the Ethics Commission may refer the matter to the Civil Service Commission for action pursuant to Charter Section
A8.341.
(iii) Civil Penalties. Any City officer or employee who violates Subsection (a) of this Section may be personally liable in a civil action
authorized under Subsection (b)(ii) of this Section for a civil penalty not to exceed $5,000.
(d) RESERVATION OF AUTHORITY.
(i) Civil Service Commission. Nothing in this Section shall interfere with the powers granted to the Civil Service Commission by the
San Francisco Charter.
(ii) Appointing Authority. Nothing in this Section shall interfere with the power of an appointing officer, manager, or supervisor to take
action with respect to any City officer or employee, provided that the appointing officer, manager, or supervisor reasonably believes
that such action is justified on facts separate and apart from the fact that the officer or employee filed a complaint with, or
cooperated with, an Ethics Commission investigation of such complaint; or filed a complaint with or provided information to the
Controller, District Attorney, City Attorney or the complainant's department.
(e) NOTICE OF WHISTLEBLOWER PROTECTIONS. The Ethics Commission shall prepare, and each City department shall post a
notice of whistleblower protections. The notice shall be posted in a location that is conspicuous and accessible to all employees.
(Added by Ord. 71-00, File No. 000358, App. 4/28/2000; amended by Ord. 29-02, File No. 020017, App. 3/15/2002)
SEC. 4.120. CONFIDENTIALITY.
(a) WHISTLEBLOWER IDENTITY. Any individual who files a complaint under Section 4.105 of this Chapter may elect to have his or
her identity kept confidential as provided by Charter Section C3.699-13(a). Such election must be made at the time the complaint is
filed.
(b) COMPLAINTS AND INVESTIGATIONS. The Ethics Commission shall treat as confidential complaints made under Section 4.105
of this Chapter, and related information, including but not limited to materials gathered and prepared in the course of investigation of
such complaints, and deliberations regarding such complaints, as provided by Charter Section C3.699-13(a).
(c) EXCEPTIONS.
(i) Conduct of Investigations. Nothing in this Section shall preclude the Ethics Commission from disclosing the identity of an
individual or other information to the extent necessary to conduct its investigation.
(ii) Referrals. Nothing in this Section shall preclude the Ethics Commission from referring any matter to any other City department,
commission, board, officer or employee, or to other government agencies for investigation and possible disciplinary or enforcement
action. (Added by Ord. 71-00, File No. 000358, App. 4/28/2000)
SEC. 4.125. COOPERATION OF OTHER CITY DEPARTMENTS.
All City departments, commissions, boards, officers and employees shall cooperate with and provide full and prompt assistance to
the Ethics Commission in carrying out its duties under this Chapter. (Added by Ord. 71-00, File No. 000358, App. 4/28/2000)
SEC. 4.130. REPORTS TO THE BOARD OF SUPERVISORS.
The Ethics Commission shall provide an annual report to the Board of Supervisors which shall include the following:
(1) The number of complaints received;
(2) The type of conduct complained about;
(3) The number of referrals to the Civil Service Commission, other City departments, or other government agencies;
(4) The number of investigations the Ethics Commission conducted;
(5) Findings or recommendations on policies or practices resulting from the Ethics Commission's investigations;
(6) The number of disciplinary actions taken by the City as a result of complaints made to the Ethics Commission; and
(7) The number and amount of administrative penalties imposed by the Ethics Commission as a result of complaints made to the
Commission. (Added by Ord. 71-00, File No. 000358, App. 4/28/2000)
SEC. 4.135. LIMITATION OF LIABILITY.
In adopting and enforcing this Chapter, the City undertakes to promote the general welfare. The City is not assuming, nor is it
imposing on its officers and employees, an obligation for breach of which it is liable in money damages.
(Added by Ord. 71-00, File No. 000358, App. 4/28/2000)
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Article 7: Elections, Campaign Finance and Lobbying
Division 35: City of San Diego Ethics Ordinance
(“City of San Diego Ethics Ordinance”
added 4–29–2002 by O–19055 N.S.)
§27.3501 Purpose and Intent
It is the purpose and intent of the City Council of the City of San Diego in enacting
this Division to assure that individuals and interest groups in our society have a fair
and equal opportunity to participate in government; to embrace clear and unequivocal
standards of disclosure and transparency in government so as to avoid conflicts of
interest and the appearance of conflicts of interest; to increase understanding of the
City Charter, ordinances, and the roles of City Officials; to help reinforce public trust
in governmental institutions; and to assure that this Division is vigorously enforced.
(“Purpose and Intent” added 4-29-2002 by O-19055 N.S.)
§27.3502 Citation
This Division shall be cited as the City of San Diego Ethics Ordinance.
(“Citation” added 4-29-2002 by O-19055 N.S.)
§27.3503 Definitions
Each word or phrase that is defined in this Division appears in the text of this
Division in italicized letters. Except as otherwise provided herein, the terms and
provisions of this Division shall have the meanings and shall be interpreted in
accordance with the applicable definitions and provisions of the Political Reform Act
of 1974, as amended (California Government Code sections 81000 through 91014)
and the regulations of the California Fair Political Practices Commission, as
amended. For purposes of this Division, the following definitions shall apply:
Benefit means any honorarium, gift, travel expense , or loan made to, or in the
interest of, an individual or a member of the individual’s immediate family.
Campaign Control Ordinance means the San Diego Municipal Election Campaign
Control Ordinance, codified at Chapter 2, Article 7, Chapter 29 of the San Diego
Municipal Code.
City means the City of San Diego or any of its organizational subdivisions, agencies,
offices, or boards.
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City Board includes the boards of directors of all City agencies, and any board,
commission, committee, or task force of the City established by action of the City
Council under authority of the City Charter, Municipal Code, or Council resolution,
whose members are required to file a statement of economic interests pursuant to the
California Political Reform Act of 1974, as amended.
City Official includes:
(a) any elected or appointed City officeholder, including any City
officeholder elected but not yet sworn in; and
(b) any City Board member; and
(c) any employee of the City, except for classified employees as that term
is defined in San Diego Charter section 117, who is required to file a
statement of economic interests pursuant to the California Political
Reform Act of 1974, as amended; and
(d) City Council members acting in their capacity as Housing Authority
and Redevelopment Agency officers; and
(e) any consultants of the City who are required to file a statement of
economic interests pursuant to the California Political Reform Act of
1974, as amended.
Compensation means the receipt of any monetary or non-monetary payment, except a
stipend paid to a board member of a public non-profit corporation to which the City is
the sole member, for the services or time of a person. Compensation includes, but is
not limited to, salary, wages, fees, and any discount or economic opportunity not
made available in the regular course of business to members of the public.
Confidential information means information to which any of the following apply:
(a) At the time of the use or disclosure of the information, the disclosure
is prohibited by a statute, regulation, or rule which applies to the City;
or
(b) the information is not general public knowledge and will have, or
could reasonably be expected to have, a material financial effect on
any source of income, investment, or interest in the real property of a
City Official; or
(c) the information pertains to pending contract, labor, or real property
negotiations and disclosing the information could reasonably be
expected to compromise the bargaining position of the City; or
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(d) the information pertains to pending or anticipated litigation and
disclosing the information could reasonably be expected to
compromise the ability of the City to successfully defend, prevail in,
or resolve the litigation.
Direct Communication means:
(a) talking to a person, either by telephone or in person; or
(b) corresponding with a person, either in writing, by electronic
transmission, or by facsimile machine.
Direct Communication does not include:
(a) solely responding to questions from any City Official; or
(b) a direct response to an enforcement proceeding with the City.
Doing business with the City means entering into or performing pursuant to a contract
with the City. Doing business with the City includes soliciting, entering into, or
performing contracts for goods, equipment, services or financial assistance but does
not include the receipt of or payment for services normally rendered by the City to
residents and businesses such as sewer service, water service, street maintenance, and
similar services.
Ethics Commission means the City of San Diego Ethics Commission created by City
of San Diego Ordinance O-18945, codified in Chapter 2, Article 6, Division 4, of the
San Diego Municipal Code.
Filer means a High Level Filer or a Local Code Filer.
Filing Officer means the Clerk of the City of San Diego charged with the duties and
responsibilities prescribed in title 2, sections 18110 and 18115 of the California Code
of Regulations.
Gift means any payment that confers a personal benefit on the recipient, to the extent
that consideration of equal or greater value is not received and includes a rebate or
discount in the price of anything of value unless the rebate or discount is made in the
regular course of business to members of the public. Any person, other than a
defendant in a criminal action, who claims that a payment is not a gift by reason of
receipt of consideration has the burden of proving that the consideration received is
of equal or greater value. The value of a gift shall be as determined by title 2, section
18946 of the California Code of Regulations.
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High Level Filer means the Mayor, the members of the City Council, the City
Attorney, the City Manager (Chief Operating Officer), the City Treasurer, the City
Comptroller, the Chief Financial Officer, the Chief Investment Officer, Investment
Officers, members of the Planning Commission, members of the Funds Commission,
members of the Retirement Board, members of the Defined Contribution Plan Board,
any candidate for an elective office of the City, and any other individual whose
position is specified in California Government Code section 87200.
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.
(a) A “speech given” means a public address, oration, or other form of
oral presentation, including participation in a panel, seminar, or
debate.
(b) An “article published” means a nonfictional written work:
(1) that is produced in connection with any activity other than the
practice of a bona fide business, trade, or profession; and
(2) that is published in a periodical, journal, newspaper,
newsletter, magazine, pamphlet, or similar publication.
(c) “Attendance” means being present during, making an appearance at,
or serving as host or master of ceremonies for any public or private
conference, convention, meeting, social event, meal, or like gathering.
Immediate family means an individual’s spouse and dependent children.
Influencing a municipal decision means affecting or attempting to affect any action
by a City Official on one or more municipal decisions by any method, including
promoting, supporting, opposing, participating in, or seeking to modify or delay such
action. Influencing a municipal decision also includes providing information,
statistics, analysis or studies to a City Official.
Loan means the temporary transfer of money or goods for the personal use of an
individual with the expectation that the money or goods will be returned.
Lobbying means Direct Communication with a City Official for the purpose of
influencing a municipal decision on behalf of any other person.
Lobbying firm means any entity defined as a “lobbying firm” in San Diego Municipal
Code section 27.4002.
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Lobbyist means any individual defined as a “lobbyist” in San Diego Municipal Code
section 27.4002.
Local Code Filer means any City Board member, any consultant, and any employee
of the City, except for classified employees, who is required to file a statement of
economic interests pursuant to a conflict of interest code adopted by the City Council.
Ministerial act means an act that does not require a City Official to exercise discretion
concerning any outcome or course of action.
Municipal decision means any governmental decision that is not a ministerial act.
Organization lobbyist means any entity defined as an “organization lobbyist” in San
Diego Municipal Code section 27.4002.
Party means any person who files an application for, or is the subject of, or
participates in a municipal decision.
Payment means a distribution, transfer, loan, advance, deposit, or other rendering of
money, property, services, or anything else of value, whether tangible or intangible.
Pecuniary Gain means any monetary benefit to a person or to a member of the
person’s immediate family.
Person means any individual, business entity, trust, corporation, association,
committee, or any other organization or group of persons acting in concert.
Private business means any organization, partnership, corporation, or entity that is
not a Public Agency.
Public Agency means the United States or any of its agencies; the State of California;
the City; any political subdivision of the State, including counties and districts; or any
public corporation, agency, or commission.
Public Hearing means any meeting as defined by the Ralph M. Brown Act where a
public record is kept of who spoke and who was represented by a Lobbyist testifying
at that hearing.
Restricted source includes:
(a) a lobbyist, lobbying firm, or organization lobbyist, seeking to influence a
municipal decision;
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(b) a person doing business with the City; and
(c) a person who, during the reporting period, directly communicated with a City
Official pertaining to a municipal decision which would have a material
financial effect on such person; or
(d) a person who is a party to a municipal decision which within the prior nine
months was pending before the City Official, and for nine months following
the date a final decision is rendered in the proceeding.
A restricted source does not include an individual (other than a lobbyist) who is
employed by a restricted source.
Travel expenses means reasonable payments, advances, or reimbursements for travel,
including actual transportation and related lodging, food, and beverages.
(“Definitions” added 4-29-2002 by O-19055 N.S.)
(Amended 12-5-2005 by O-19448 N.S; effective 1-11-2006.)
(Amended 9-19-2006 by O-19538 N.S.; effective 10-19-2006.)
(Amended 8-3-2007 by O-19656 N.S. effective 1-1-2008)
(Amended 10-15-2013 by O-20302 N.S.; effective 11-14-2013.)
§27.3510 Disclosure of Economic Interests
(a) All High Level Filers shall file a statement of economic interests with the
Filing Officer of the City of San Diego pursuant to the Political Reform Act of
1974, as amended.
(b) All Local Code Filers shall file a statement of economic interests with the
Filing Officer of the City of San Diego pursuant to the applicable Conflict of
Interest Code adopted by the City Council.
(c) On or before April 1 of each calendar year, all individuals referred to in
subsections (a) and (b) shall file a statement of economic interests covering a
disclosure period of January 1 through December 31 of the previous calendar
year, except that any such individual who assumed a City office between
October 1 and December 31 of the previous year and files a statement of
economic interests pursuant to subsection (e) need not file a statement of
economic interests until the following year.
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(d) In addition to the requirements set forth in subsection (c), on or before July 31
of each calendar year, all High Level Filers elected to office by the electors of
the City of San Diego shall, on a form provided by the Ethics Commission,
either certify that they have not received any reportable gifts during the period
of January 1 through June 30, or disclose any reportable gifts received during
that period.
(e) Every Filer assuming office shall file a statement of economic interests within
30 calendar days after assuming office, unless the City Official is beginning a
new term in the same office.
(f) Every Filer who leaves office shall file a statement of economic interests
within 30 calendar days of leaving office, unless that City Official is assuming
another office with the City.
(g) The information and amounts required to be disclosed with respect to each
financial interest, and the manner of disclosing that information, shall be the
same as required by Article 2 of Chapter 7 of the Political Reform Act of
1974, as amended, or by the Conflict of Interest Code adopted by the Council
of the City of San Diego and applicable to the Filer.
(“Disclosure of Economic Interests” added 4-29-2002 by O-19055 N.S.)
§27.3515 Disclosure of Behested Payments
(a) A City Official who is an elected High Level Filer shall file a Fair Political
Practices Commission Form 803 Behested Payment Report if any person
makes one or more payments totaling $5,000 or more for a legislative,
governmental, or charitable purpose at the behest of the official. A payment is
made at the behest of an official if it is requested, solicited, or suggested by
the official, or otherwise made in cooperation, consultation, coordination
with, or at the consent of, the official.
(b) The City Official shall file the Form 803 with the City Clerk within thirty
calendar days following the date on which a payment causes the total
payments made by that person at the behest of the official to reach or exceed
$5,000 in the same calendar year.
(c) Once a person has reached the $5,000 threshold during a calendar year, each
subsequent behested payment by that person in any amount during the same
calendar year must be reported to the City Clerk on a Form 803 within thirty
calendar days.
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(d) A payment behested by a City Official includes a payment behested by his or
her agent or employee on behalf of the official.
(e) This section shall be interpreted in a manner consistent with the provisions of
California Government Code section 82015(b)(2)(B)(iii) and title 2, section
18215.3 of the California Code of Regulations.
(“Disclosure of Behested Payments” added 10-15-2013 by O-20302 N.S.; effective
11-14-2013.)
§27.3520 Restrictions on Benefits to Filers
For the purposes of this section, a benefit offered to, solicited by, or accepted by, a
Filer includes any benefit offered to, solicited by, or accepted by any member of a
Filer’s immediate family, except as provided in section 27.3525. Subject to the
exceptions set forth in section 27.3525, Filers are subject to the following restrictions
with regard to their acceptance of benefits:
(a) It is unlawful for a High Level Filer to accept gifts from a single source in any
calendar year with a total value of more than $440. This gift threshold is
subject to adjustment in accordance with the provisions of section 27.3521.
(b) It is unlawful for a High Level Filer to accept an honorarium.
(c) It is unlawful for a High Level Filer to accept a loan that exceeds $250 at any
given time from a City Official or City employee.
(d) It is unlawful for a High Level Filer to accept a loan that exceeds $250 at any
given time from a restricted source.
(e) It is unlawful for an elected High Level Filer to accept a loan that exceeds
$500 unless:
(1) The loan is made in writing and clearly states the terms of the loan;
and
(2) The loan document includes the names of the parties to the loan
agreement, as well as the date, amount, interest rate, and term of the
loan; and
(3) The loan document includes the date or dates when payments are due
and the amount of the payments.
(f) It is unlawful for a Local Code Filer to accept gifts from any single source in
any calendar year with a total value of more than $440 if the Local Code Filer
would be required to report the receipt of the gift from that source on his or
her statement of economic interests. This gift threshold is subject to
adjustment in accordance with the provisions of section 27.3521.
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(g) It is unlawful for a Local Code Filer to accept an honorarium from any source
if that individual would be required to report the receipt of income or gifts
from the source of the honorarium on his or her statement of economic
interests.
(h) It is unlawful for any person to offer, or for any Filer to solicit or accept, any
benefit with the intent that the Filer will be influenced thereby in the
performance of any official act.
(“Restrictions on Benefits to Filers” added 4-29-2002 by O-19055 N.S.)
(Amended 10-15-2013 by O-20302 N.S.; effective 11-14-2013.)
§27.3521 Adjustment of Gift Limitations
The gift limitation amounts set forth in section 27.3520(a) and (f) are intended to be
consistent with the California gift limitation amount amended biannually by the
California Fair Political Practices Commission. Notwithstanding the dollar amounts
set forth in section 27.3520(a) and (f), the gift limitation amount for this Division
shall be the same as set forth in title 2, section 18940.2 of the California Code of
Regulations.
(“Adjustment of Gift Limitations” added 4-29-2002 by O-19055 N.S.)
(Amended 10-15-2013 by O-20302 N.S.; effective 11-14-2013.)
§27.3522 Acceptance of Benefits
(a) A benefit is “accepted” when the recipient knows that he or she has either
actual possession of the benefit or takes any action exercising direction or
control over the benefit.
(b) In the case of a rebate or discount, a benefit is “accepted” when the recipient
knows that the rebate or discount is not made in the regular course of business
to members of the public.
(c) Discarding a benefit does not negate receipt or acceptance of the benefit,
except when the benefit is a pass or ticket that has not been used or transferred
to another person.
(d) Turning a benefit over to another person does not negate receipt or acceptance
of the benefit.
(“Acceptance of Benefits” added 4-29-2002 by O-19055 N.S.)
(Amended 10-15-2013 by O-20302 N.S.; effective 11-14-2013.)
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§27.3525 Exceptions to Restrictions on Benefits
(a) All exceptions relating to gifts, loans, honoraria, and travel expenses
contained in the Political Reform Act of 1974, as amended, including but not
limited to California Government Code sections 82028 and 89501 through
89506, and the regulations of the California Fair Political Practices
Commission, as amended, including but not limited to Regulations 18930
through 18961, are hereby adopted by reference and incorporated into the City
of San Diego Ethics Ordinance as if fully set forth herein.
(b) For purposes of subsection (a), any exception not applicable to a gift, loan,
honorarium, or travel expense from a lobbyist, lobbying firm, or lobbyist
employer registered with the State of California shall also not apply to a gift,
loan, honorarium, or travel expense from a lobbyist, lobbying firm, or
organization lobbyist registered with the City.
(“Exceptions to Restrictions on Benefits” added 4-29-2002 by O-19055 N.S.)
(Amended 10-15-2013 by O-20302 N.S.; effective 11-14-2013.)
§27.3530 Loans as Gifts
(a) A loan received by a City Official may become a gift and subject to the gift
reporting and limitations set forth in section 27.3520, as follows:
(1) 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; or
(2) If the loan has no defined date or dates for repayment, the loan will
become a gift if it remains unpaid when one year has elapsed from the
later of:
A. The date the loan was made; or
B. The date the last payment of $100 or more was made on the
loan; or
C. The date upon which the City Official has made payments
aggregating to less than $250 during the previous twelve
months.
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(b) The following loans will not become gifts to a City Official:
(1) A loan described above on which the creditor has taken reasonable
action to collect the balance due; and
(2) 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.)
(3) A loan made to a City Official who has filed for bankruptcy and the
loan is ultimately discharged in bankruptcy.
(“Loans as Gifts” added 4-29-2002 by O-19055 N.S.)
§27.3550 Lobbying Activities of Former City Officials
(a) It is unlawful for any former City Official who received compensation from
the City to work on a particular project during his or her City service to
engage in direct communication with the City, for compensation, with regard
to any pending application for discretionary funding or discretionary
entitlements before the City relating to that particular project on behalf of any
person for a one-year period immediately following termination of service
with the City or for a two-year period if he or she is a former elected City
Official.
(1) For purposes of this section, “work on a particular project” means to
take part personally and substantially in the project by rendering a
decision, approval, or disapproval; by making a formal written
recommendation; by conducting an investigation; by rendering advice
on a significant basis; or by using confidential information.
(2) For purposes of this section, “project” means any matter where a
private business has made an application to the City for discretionary
funding or discretionary entitlements, or where the City exercises
discretion to enter into a lease, agreement, or contract with a private
business.
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(b) It is unlawful for any former City Official, for compensation, to knowingly
counsel or assist any person in connection with an appearance or
communication in which the former City Official is prohibited from engaging
pursuant to subsection (a) for a one-year period immediately following
termination of service with the City, or for a two-year period if he or she is a
former elected City Official.
(c) As a means of facilitating compliance with subsections (a) and (b) in instances
where long-term projects may change in character and scope over time and
where large projects have discrete components or phases, any former City
Official may seek a written determination from the Ethics Commission
regarding whether prospective direct communication on a particular project
would constitute a violation of this section.
(d) It is unlawful for any former City Official to engage in direct communication
for the purpose of lobbying the City if all of the following circumstances
apply:
(1) the former City Official served as a City Official within the previous
year, or within the previous two years if he or she is a former elected
City Official; and
(2) the former City Official received compensation from the City for his or
her service as a City Official; and
(3) the former City Official is receiving compensation to engage in the
direct communication with the City.
(e) Except as set forth in subsection (f), which governs former elected City
Officials and former Chief Operating Officers, the prohibitions contained in
subsections (a), (b), and (d) do not apply:
(1) to prevent a former City Official from making or providing a
statement, based on the former City Official’s own special knowledge
in the particular area that is the subject of the statement, provided that
no compensation is thereby received other than that regularly provided
for by law or regulation for witnesses;
(2) to prevent any former City Official from representing himself or
herself, or any member of his or her immediate family, in their
individual capacities, in connection with any matter pending before the
City;
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(3) to the activities of any former City Official who is an officer,
employee, or independent contractor of any Public Agency when that
former City Official is solely representing that agency in his or her
official capacity as an officer, employee, or independent contractor of
the agency;
(4) to any ministerial act;
(5) to any individual appearing as a speaker at, or providing written
statements that become part of the record of a Public Hearing; or
(6) to any communication among attorneys representing a party or
potential party to pending or actual litigation brought by or against the
City or City agent, officer, or employee.
(f) Former elected City Officials and former Chief Operating Officers are subject
to the provisions of California Government Code section 87406.3 and any
amendments thereto, which is hereby adopted by reference and incorporated
into the City of San Diego Ethics Ordinance as if fully set forth herein.
Accordingly:
(1) the exceptions in subsections (e)(1), (e)(5), and (e)(6) do not apply to a
former elected City Official or to a former Chief Operating Officer;
and
(2) the exception in subsection (e)(3) does not apply to a former elected
City Official for a period of two years after leaving City service, or to a
former Chief Operating Officer for a period of one year after leaving
City service, when such individuals are communicating on behalf of a
Public Agency as an independent contractor.
(“Lobbying Activities of Former City Officials” added 4-29-2002 by O-19055 N.S.)
(Amended 9-19-2006 by O-19538 N.S.; effective 10-19-2006.)
(Amended 10-15-2013 by O-20302 N.S.; effective 11-14-2013.)
(Amended 3-7-2019 by O-21045 N.S.; effective 4-6-2019.)
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§27.3551 Future Employment of City Officials
(a) It is unlawful for any City Official to make, participate in making, or use his
or her official position to influence a decision involving the interests of a
person with whom the City Official, or a member of the City Official’s
immediate family, is seeking, negotiating, or securing an agreement
concerning future employment.
(b) It is unlawful for any person who has a matter pending before the City to
negotiate, directly or indirectly, knowingly or willfully, the possibility of
future employment of a City Official, or a member of the City Official’s
immediate family, if that City Official is making, participating in making, or
using his or her official position to influence, a decision concerning that
matter.
(c) The prohibitions set forth in subsections (a) and (b) do not apply to a City
Official’s prospective employment with a public agency.
(“Future Employment of City Officials” added 4-29-2002 by O-19055 N.S.)
(Amended 4-23-2008 by O-19737 N.S; effective 5-23-2008.)
(Amended 10-15-2013 by O-20302 N.S.; effective 11-14-2013.)
§27.3560 Financial Interest in Contract
(a) It is unlawful for any City Official to be financially interested in any contract
made by them in their official capacity.
(b) It is unlawful for any contract to be made by the City Council or any board or
commission established by the City Council if any individual member of the
body has a financial interest in the contract.
(c) Any City Official with a remote interest in a prospective contract of the City
must disclose the existence of the remote interest to the body of the board
which the City Official is a member if that board has any role in creating,
negotiating, reviewing, or approving the contract; and the City Official must
abstain from influencing or participating in the creation, negotiation, review,
or approval of the contract.
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(d) This section shall be interpreted in a manner that is consistent with California
Government Code sections 1090 through 1099. In this regard, these
provisions of state law are hereby adopted by reference and incorporated into
the City of San Diego Ethics Ordinance as if fully set forth herein.
(“Financial Interest in Contract” added 4-29-2002 by O-19055 N.S.)
(Amended 10-15-2013 by O-20302 N.S.; effective 11-14-2013.)
§27.3561 Disqualification of City Officials in Municipal Decisions Affecting Economic
Interests
(a) It is unlawful for a City Official to make, participate in making, or in any way
use his or her official position to influence a municipal decision in which he
or she knows or has reason to know he or she has a disqualifying financial
interest.
(b) A City Official has a disqualifying financial interest in a municipal decision if
that municipal decision will have a reasonably foreseeable material financial
effect, distinguishable from the effect on the public generally, directly on the
City Official or his or her immediate family, or on any of their economic
interests in business entities, real property, sources of income, sources of gifts,
or their own personal finances.
(c) This section shall be interpreted in a manner that is consistent with the
provisions of California Government Code sections 87100 though 87105 and
title 2, sections 18700 through 18709 of the California Code of Regulations.
In this regard, these provisions of state law are hereby adopted by reference
and incorporated into the City of San Diego Ethics Ordinance as if fully set
forth herein.
(“Disqualification of City Officials in Municipal Decisions Affecting Economic
Interests” added 4-29-2002 by O-19055 N.S.)
(Amended 10-15-2013 by O-20302 N.S.; effective 11-14-2013.)
§27.3562 Disqualification of City Officials in Municipal Decisions Involving Benefactors
(a) It is unlawful for any City Official to participate in any municipal decision
where a party to the municipal decision has, within the previous twelve
months, given the City Official, promised to give the City Official, or acted as
an intermediary for the City Official to have, an opportunity for compensation.
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(b) For purposes of this section, opportunities for compensation provided to a
City Official include opportunities for compensation provided to the City
Official’s immediate family. When such an opportunity for compensation is
provided to a member of the City Official’s immediate family, the City Official
shall not participate in a municipal decision involving a party to the municipal
decision unless the City Official had no knowledge or involvement in securing
the opportunity for compensation.
(c) This section does not apply to opportunities for compensation provided by a
public agency.
(“Disqualification of City Officials in Municipal Decisions Involving Benefactors”
added 4-29-2002 by O-19055 N.S.)
(Amended 10-15-2013 by O-20302 N.S.; effective 11-14-2013.)
§27.3563 Incompatible Activities
It is unlawful for any City Official who receives compensation from the City to
engage in any employment, activity, or enterprise for compensation which is
inconsistent with, incompatible with, in conflict with, or inimical to, his or her duties
as a City Official. Specifically, it is unlawful for any City Official to receive
compensation for performing any work, service, activity, or enterprise for private
gain or advantage if it involves:
(a) the consumption of time for which the City Official is receiving compensation
by the City; or
(b) the facilities, equipment, or supplies of the City; or
(c) the City Official’s use of his or her badge, uniform, prestige, or the influence
of his or her position with the City; or
(d) compensation received or accepted by the City Official from anyone other
than the City for the performance of an act which the City Official would be
required or expected to render in the regular course or hours of his or her City
employment or as a part of his or her duties as a City Official; or
(e) the performance of an act in other than his or her capacity as a City Official
which act may later be subject directly or indirectly to the control, inspection,
review, audit, or enforcement of any other City Official; or
(f) a consumption of time that would render the performance of his or her duties
as a City Official less efficient.
(“Incompatible Activities” added 4-29-2002 by O-19055 N.S.)
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§27.3564 Misuse of City Position or Resources
(a) It is unlawful for any City Official to use his or her position or prospective
position, or the power or authority of his or her office or position, in any
manner intended to induce or coerce any person to provide, directly or
indirectly, anything of value which shall accrue to the private advantage,
benefit, or economic gain, of the City Official or his or her immediate family.
As used in this section, the term “private advantage, benefit, or economic
gain” means any advantage, benefit, or economic gain, distinct from that
enjoyed by members of the public without regard to official status or not
resulting naturally from lawful and proper performance of duties. A City
Official engages in a prohibited use of his or her official position or
prospective position when he or she engages in activities other than in the
lawful and proper performance of his or her City duties.
(b) It is unlawful for any City Official to engage in campaign-related activities,
such as fund-raising, the development of electronic or written materials, or
research, for a campaign for any elective office using City facilities,
equipment, supplies, or other City resources.
(c) It is unlawful for any City Official to induce or coerce, or attempt to induce or
coerce any other person to engage in any activity prohibited by subsections
(a) and (b).
(d) It is unlawful for any City Official to engage in outside employment during
any hours he or she is receiving compensation to engage in City business.
(e) It is unlawful for any current or former City Official to use or disclose to any
person any confidential information he or she acquired in the course of his or
her official duties, except as authorized by law.
(f) Nothing in this section shall prohibit the use of City resources to provide
information to the public about the possible effects of any bond issue or other
ballot measure relating to City activities, operations, or policies, provided that:
(1) the use of public resources is otherwise legally authorized; and
(2) the information provided constitutes a fair and impartial presentation
of relevant facts to aid the electorate in reaching an informed judgment
regarding the bond issue or ballot measure.
(“Misuse of City Position or Resources” added 4-29-2002 by O-19055 N.S.)
(Amended 10-15-2013 by O-20302 N.S.; effective 11-14-2013.)
(Amended 12-10-2018 by O-21023 N.S.; effective 1-9-2019.)
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§27.3570 Political Influence Prohibited
It is unlawful for any City Official to use or promise to use his influence or official
authority to secure any appointment or prospective appointment, to any position in
the service of the City as a reward or return for personal or partisan political service.
(“Political Influence Prohibited” added 4-29-2002 by O-19055 N.S.)
§27.3571 Solicitation of Political Campaign Contributions
(a) It is unlawful for any City Official to solicit, directly or indirectly, a political
campaign contribution from any City employee with knowledge that the
person from whom the contribution is solicited is a City employee.
(b) It is unlawful for any candidate for elective office of the City to solicit,
directly or indirectly, a political campaign contribution from a City employee
with knowledge that the person from whom the contribution is solicited is a
City employee.
(c) Notwithstanding subsections (a) and (b), this section shall not prohibit a City
Official or a candidate for elective office of the City from soliciting political
campaign contributions from City employees if the solicitation is part of a
solicitation made to a significant segment of the public which may include
City employees, and the solicitation does not otherwise violate the provisions
of the Campaign Control Ordinance.
(d) Nothing in this section prohibits a City employee from making a political
campaign contribution to a City Official or candidate for elective office, and
nothing in this section prohibits a City Official or candidate for elective office
from accepting a political campaign contribution from a City employee.
(“Solicitation of Political Campaign Contributions” added 4-29-2002 by
O-19055 N.S.)
§27.3572 No Payment for Office
It is unlawful for any City Official to give or promise to give to any person any
portion of his or her compensation or any money or thing of value in consideration of
having been, or of being nominated, appointed, voted for, or elected to any office or
employment.
(“No Payment for Office” added 4-29-2002 by O-19055 N.S.)
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§27.3573 Protection of Employees Against Retaliation for Reporting Violations
(a) It is unlawful for any City Official to use or threaten to use any official
authority or influence to discourage, restrain, or interfere with any other
person for the purpose of preventing such person from acting in good faith to
report or otherwise bring to the attention of the Ethics Commission or other
appropriate agency, office, or department any information which, if true,
would constitute:
(1) a work-related violation by a City Official of any law or regulation; or
(2) a gross waste of City funds; or
(3) a gross abuse of authority; or
(4) a conflict of interest of a City Official; or
(5) a specific and substantial danger to public health or safety due to an
act or omission of a City Official, use of a City office or position, or
use of City resources for personal gain.
(b) It is unlawful for any City Official to use or threaten to use any official
authority or influence to effect any action as a reprisal against a City Official
who reports or otherwise brings to the attention of the Ethics Commission or
other appropriate agency, office, or department any information regarding the
subjects described in subsection (a).
(c) Any person who believes that he or she has been subjected to any action
prohibited by this section may file a complaint with the Ethics Commission.
The Ethics Commission shall thereupon investigate the complaint in
accordance with the provisions of Chapter 2, Article 6, Division 4, of this
Municipal Code. Upon the conclusion of its investigation, the Ethics
Commission may take appropriate action as allowed under its enforcement
authority.
(d) In the event the Ethics Commission determines that it has a conflict of interest
in an investigation of a retaliation complaint, the Ethics Commission staff
shall refer the investigation of the retaliation complaint to the City Attorney
who shall take appropriate action as otherwise provided by law.
(“Protection of Employees Against Retaliation for Reporting Violations” added
4-29-2002 by O-19055 N.S.)
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§27.3580 Ethics Commission Advice
Any City Official or Filer may request that the Ethics Commission provide written
advice concerning the legality of accepting any specific benefit, or concerning the
legality of any other activity discussed in this Division. Such request shall contain
sufficient information to allow the Ethics Commission or its staff to properly consider
the matter.
(“Ethics Commission Advice” added 4-29-2002 by O-19055 N.S.)
§27.3581 Enforcement
(a) Any person who believes that a violation of any portion of this Division has
occurred may file a complaint with the Ethics Commission.
(b) The Ethics Commission may elect to enforce the provisions of this Division
administratively pursuant to Chapter 2, Article 6, Division 4, or may
otherwise recommend or refer enforcement actions to the City Attorney or
other law enforcement agency with jurisdiction.
(c) Nothing in this Division limits the authority of the City Attorney, any law
enforcement authority, or any prosecuting attorney to enforce the provisions
of this Division under any circumstances where the City Attorney, law
enforcement agency, or prosecuting attorney otherwise has lawful authority to
do so.
(“Enforcement” added 4-29-2002 by O-19055 N.S.)
§ 27.3582 Application of Requirements
The requirements imposed by this Division on City Officials shall not apply to any
City Official who terminated his or her City service or whose term of office expired
prior to the effective date of this Division; provided, however, that a person who
returns to City service on or after the effective date of this Division shall be subject to
the requirements of this Division.
(“Application of Requirements” added 4-29-2002 by O-19055 N.S.)
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§27.3583 Penalties
(a) Any person who violates any part of this Division, or who counsels, aids,
abets, advises, or participates with another to commit any such violation, is
guilty of a misdemeanor and is subject to the penalties set forth in Chapter 1
of this Municipal Code.
(b) Any person who violates any part of this Division, or who counsels, aids,
abets, advises, or participates with another to commit any such violation is
subject to the administrative enforcement process and penalties set forth in
Chapter 2, Article 6, Division 4, of this Municipal Code.
(c) Any person criminally convicted in a court of law of a violation of any
provision of this Division shall be ineligible to hold a City elective office for a
period of five years from and after the date of the conviction.
(“Penalties” added 4-29-2002 by O-19055 N.S.)
§27.3588 Late Filing Penalties
If any Filer files a statement of economic interests after any deadline imposed by this
Division, he or she shall, in addition to any other penalties or remedies established by
the Division, be liable to the City in the amount of ten dollars ($10) per day after the
deadline until the statement is filed. Liability need not be enforced by the City if the
Filing Officer or the Ethics Commission determines, on an impartial basis, that the
late filing was not willful and that enforcement of the liability will not further the
purposes of this Division, except that no liability shall be waived if a statement or
report is not filed within 30 calendar days after the Filing Officer has sent such Filer
specific written notice of the filing requirement.
(“Late Filing Penalties” added 4-29-2002 by O-19055 N.S.)
§27.3595 Applicability of Other Laws
Nothing in this Division shall exempt any person from complying with applicable
provisions of any other laws.
(“Applicability of Other Laws” added 4-29-2002 by O-19055 N.S.)