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Statements of Economic Interests Form 700 Filing Officer Duties. Workshop for City Clerks, County Clerks and Multi County Filing Officers. Presented By: The Technical Assistance Division Fair Political Practices Commission (866) ASK-FPPC www.fppc.ca.gov . Please turn off cell phones.

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slide1

Statements of Economic Interests Form 700Filing Officer Duties

Workshop for

City Clerks, County Clerks and Multi County Filing Officers

Presented By:

The Technical Assistance Division

Fair Political Practices Commission

(866) ASK-FPPC www.fppc.ca.gov

Please turn off cell phones

slide2

What’s In Your Packet?

  • Front Pocket:
    • Sample Gift Reports
    • Gift Fact Sheet
    • Notification Guidelines
    • Sample Notification Letters
    • Enforcement Referral Form
    • FPPC Fine Policy
    • Filing Officer Advice and Regulations List
    • Evaluation Form
slide3

What Else is in Your Packet?

  • Back Pocket:
    • Copy of Today’s Presentation
    • Form 700
    • Form 700 Reference Pamphlet
    • Form With Errors
    • Form 700 Request For Amendment
    • Sample Form 700 Amendment Schedule
disclosure requirements
Disclosure Requirements

(87200 Filers & Broad policy/Decision makers)

(Designated Employee in conflict-of-interest code)

Limited Disclosure

Investments and business positions in, and sources of income, including gifts, loans, and travel payments from, entities that manufacture, sell, or provide computer hardware, software or computer consulting services of the type utilized by your agency

Full Disclosure

All interests in real property within the agency’s jurisdiction or within two miles of its boundaries

All investments, business positions, and sources of income, including gifts, loans, and travel payments

city filers
City Filers
  • 87200 Filers
  • Mayor
  • Council Members
  • City Manager
  • Chief Administrative Officer
  • Planning Commissioners
  • City Attorney
  • City Treasurer
  • Public Officials who Manage Public Investments (typically retirement and pension boards)
  • Candidates for these offices

Designated Employees

Broad policy/Decision makers

  • Deputy Directors
  • Assistant City Attorney
  • Real Property Manager
  • Police Chief

Employee with limited decision-making

  • Purchasing Agent
  • Fleet Manager
  • Data Processing Manager
  • Information Systems Analyst
county filers
County Filers

87200 Filers

  • Members of Boards of Supervisors
  • Chief Administrative Officer
  • District Attorney
  • Planning Commissioners
  • County Counsel
  • Treasurer
  • Public Officials who Manage Public Investments (typically retirement and pension boards)

Candidates for these offices

Designated Employees

Broad policy/Decision makers

  • Director of County Engineering
  • Data Processing Manager
  • Deputy County Counsel

Employee with qualifying duties

  • Chief Technology Officer
  • Director of Parking Facilities
multi county filers
Multi-County Filers

87200 Filers

Designated Employees

  • Public Officials , Members of Boards and Commission and High-level employees who manage public investments
  • Treasury Manager
  • Director, Finance
  • Retirement System Admin.
  • 401(K)/457 Committee Members

Candidates for these offices

Broad policy/Decision makers

  • General Counsel
  • Director of Fiscal Services
  • Financial System Analyst

Employee with qualifying duties

  • Insurance Director
  • Security Operations Officer
judicial filers
Judicial Filers
  • 87200 Filers
  • Supreme Court Justices
  • Appellate Court Justices
  • Superior Court Judges
  • Part-time Judges
  • Retired Judges
  • Court Commissioners
  • Candidates for these offices

Designated Employees

Broad policy/Decision makers

  • Court Administrator
  • Traffic Referee
  • Public Information Officer

Employee with qualifying duties

  • Family Court Counselors
  • Supervising Court Reporter
  • Data Processing Manager
consultants as designated employees
Consultants as Designated Employees

Consultants - Fast Facts

  • Individual rather than firm files.
  • Reg. 18701 defines “consultants.”
  • Advice procedure- consultant must request determination from the local agency before requesting FPPC advice. (Reg. 18329.5)

Consultants should be designated in the conflict-of-interest code.

review exercise
Review Exercise

Susan is a City Council Member and John is the Director of Information Technology. Under John’s disclosure category, he is only required to disclose income from and investments in technology companies. Who must disclose the following?

  • $10,000 stock in Microsoft
  • $15,000 stock in Starbucks
  • Two Kings tickets from a neighbor who works for UPS (Tickets valued at $200.)
  • Two tickets to Jersey Boys, the theater performance, from Apple Computer (Tickets valued at $250.)
  • A rental property located in the city and rented by a college student
  • Spouse’s income from the school district

Both

Susan

Susan

Both

Susan

Neither

new boards and commissions
New Boards and Commissions

Members of newly created boards and commissions that are not solely advisory, must file Form 700 disclosing all of their economic interests pending approval of the agency’s conflict-of-interest code.

EnvironmentalReview Commission

(Gov. Code Section 87302.6; Regulation 18754.)

what s new
What’s New:

Positions Not Yet Covered by a Conflict-of-Interest Code

“Code Filers”

(Regulation 18734, effective January 1, 2010)

Individuals hired for positions that make/participate in making governmental decisions must file Form 700 before positions are added to the agency’s conflict-of-interest code.

Form 700s are filed under agency’s broadest disclosure category until conflict-of-interest code is amended to include new positions.

Agency may provide more limited written disclosure.

expanded statement
Expanded Statement

A filer who holds a designated position with more than one agency may file an expanded statement. The official should:

  • Complete one “expanded” statement covering reportable interests for all jurisdictions/agencies.
  • File signed copies of the expanded statement with all filing officers/officials.

City of Citrus Heights

City Council Member

Sac. Co. Fair Housing Comm.

Commissioner

where to file
Where to File

87200 Filers:

First…with you. Make a copy and send theoriginal to the FPPC.

Designated Employees:

Generally, original is filed with and retained by you.

Exception: Statements for most public officials who manage public investments are retained by your agency.

filing official or filing officer
Filing Official or Filing Officer?
  • If you are required to keep the original Form 700 filings in your office, you are the filing officer.
  • If you receive the original Form 700 from filers and are required to forward that original to the filing officer, you are the filing official.
  • You may be both a filing official and a filing officer.
filing officials for 87200 filers
Filing Officials:(for 87200 filers)

Understanding Your Role

  • Notify filers of their filing obligation and distribute statements.
  • Date stamp statements.
  • Keep a log of all current statements
  • Make and retain a copy of statements.
  • Forward the original to the filing officer.
  • Act as liaison between filers and filing officer.
filing officers for designated employees
Filing Officers: (for designated employees)

Understanding Your Role

  • Notify filers of their filing obligation and distribute statements.
  • Keep a log of all current statements.
  • Determine if statements are filed on time.
  • Notify those who fail to file.
  • Assess or waive fines.
  • Review statements.
  • Refer non-filers to enforcement authority.
fppc filing officer
FPPC Filing Officer

Cities N-ZElaine Anderson

Cities A-M Theresa Poon

Courts, Counties & Multi-Counties Cyndi Glaser

sample log

Non Filer

Sample Log
  • Use your log to sort non-filers.
  • May add a column for candidate statement.
  • This log format is designed by calendar year.

2010

Non Filer

filing deadlines assuming leaving office statements
Filing Deadlines Assuming/Leaving Office Statements
  • Due no later than 30 days after assuming or leaving the position.
  • The assuming officedate is either the date the official is sworn in or the date the official is authorized to serve, whichever is earlier.
  • Elected officials assume on the date they are sworn in.
  • The leaving office date is the date the official stops performing his or her official duties.

(See Regulation 18722.)

filing deadlines exceptions
Filing Deadlines - Exceptions

Assuming/Leaving Office Statements

An official who completes a term of office specified in Section 87200 and within 45 days begins a term of the same or another office in the same jurisdiction (e.g., planning commissioner is elected to city council) is not required to file an assuming or a leaving office statement.

A designated employee who is re-elected or re-appointed within 30 days is not required to file an assuming or a leaving office statement.

An individual who changes designated positions within the same agency or whose disclosure category has changed is not required to file an assuming or a leaving office statement.

review exercise22
Review Exercise

Assuming/Leaving Office Statements

30 day Examples:

  • John is elected on June 8, 2010. He was sworn in on July 15, 2010. He must file an assuming office statement by August 16, 2010.
  • Rosemarie turned in her keys and left employment on August 30, 2010. Because she had vacation credit, her date of separation was January 2, 2011. Since she stopped performing her duties on August 30, her leaving office statement was due by September 29, 2010.
filing deadlines annual statement
Filing Deadlines Annual Statement

2009

  • 87200 Filers – Due by April 1
  • Designated Employees - File no later than the deadline specified in the conflict-of-interest code; April 1st for most filers

Period covered is generally January 1 - December 31 of previous year

Exception:

An individual who assumed office between October 1 and December 31, 2009, and filed an assuming office statement, will file his or her first annual statement in 2011, covering the period beginning the day after he or she assumed office through December 31, 2010.

leave of absence
Leave of Absence
  • Disability Leave
  • Parental Leave
  • Military Leave

Filing obligation is determined on a

case-by-case basis.

notification guidelines
Notification Guidelines

Pre-Filing Notification

  • Notice 30 days prior to deadline.
  • Notice by e-mail, fax, mail, or in person.
  • Form 700 is available online at www.fppc.ca.gov.

Non-Filer Notification

  • Send written notification to non-filers within [30 or 120]* days after deadline.
  • Send a second notification within [30 or 60]* days after the date of the first non-filer notification.

* Agencies with 50 filers or less use fewer number of days.

notification guidelines26
Notification Guidelines

Enforcement Referral – Mandated Duty

  • Report non-filer after sending at least two written notices.
  • Make referral within [30 or 45]* days after the date the second notice is sent to a non-filer.

Documentation

  • Maintain a log of all non-filer notices provided.
  • Include copies of letters and phone logs with referral to FPPC.

Sample notices are in your packets.

provide your filers with
Provide Your Filers With:
  • Form 700
  • Reference Pamphlet
  • Conflict-of-Interest Code/Disclosure

Categories (designated employees only)

  • Gift Fact Sheet

It is extremely important that your filers are provided with their disclosure categories so they are aware of the types of interests and investments they are required to disclose.

e mail notification
E-Mail Notification

Notification/reminders may be made by e-mail only if:

  • Procedure is in place to confirm e-mail notifications are received;
  • E-mail notification confirmations are saved until statement is received; and
  • E-mail notification confirmations are archived for filers who are delinquent or for those who fail to file.

Interactive Form Available

www.fppc.ca.gov

form 700 public access
FORM 700 PUBLIC ACCESS
  • Form 700s are public documents. You must permit any member of the public to inspect and obtain a copy of any statement.
  • A Public Records Request cannot be required from the requestor.
  • Forms must be available for public inspection during the agency’s regular business hours.
  • No conditions may be placed on persons seeking access to the forms.
  • No information or identification may be required from persons seeking access.
  • Reproduction fees of no more than 10 cents per page may be charged. ($5 retrieval fee for statements five or more years old.)
slide30

Preservation of Statements

Clear the Clutter

Form 700:

  • Maintain original statements for seven years.
  • Copies must be maintained for not less than four years.
  • After two years on file, a statement may be put on a space saving device and originals may be discarded.

Form 801:

  • Retain on website and paper for at least four years.

Forms 802 :

  • Retain on website for at least four years.
  • Retain on paper for at least seven years.

Form 803:

  • Retain on paper for at least seven years.
reviewing the form 700
Reviewing the Form 700

FACIAL review is required for all statements

Review for the following required information:

  • Name and address of filer
  • Period covered
  • Type of statement
  • Summary completed and schedules attached
  • Verification completed
reviewing the form 70032
Reviewing the Form 700

FULL review is required on 20% of all timely filed statements (at least one-half of which are selected at random). This includes reviewing information on all the attached schedules:

  • Compare with disclosure category
  • You are not required to conduct an

investigation

Remember: Fully review all late statements.

slide33

Take out Form 700 Quiz

from your packet

slide34

Note:

Agency address is recommended.

Cover Page

Cover Page

Dow

Debbie

530 555-1234

ddow@comcast.net

CA

98311

Sunny Knoll

6500 “A” Street

slide35

Cover Page

City of Sunny Knoll

City Council Member

Northern CA Irrigation District

Board Member

Sunny Knoll

Yuba, Sutter, Plumas

slide36

Cover Page

The form is not considered filed if it is not signed.

7

March 3, 2010

Debbie Dow

slide37

Schedule A-1Investments: Stocks, Bonds, and Other Interests (ownership less than 10%)

Common Reportable

  • Common/Preferred stock

Common Errors

  • Fair market value not checked.
  • Stock brokerage account reported instead of stocks itemized.
  • Financial statements attached in lieu of schedules.
  • Partnership reported on Schedule A-1, but income not reported on Schedule C.
slide38

Any reportable stock held through a brokerage firm should be reported if the fair market value is $2,000 or more.

Schedule A-1

Comcast

Dean Witter

J.C. Penney Co., Inc.

Department Store

Communications

Stock

slide39

Schedule A-2Investments, Income, and Assets of Business Entities/Trusts (ownership is 10% or greater)

Common Errors

  • Fair market value not reported.
  • Gross income received not reported.
  • Failure to disclose clients/income of $10,000.
  • Precise location of real property not reported.

Common Reportable

  • Filer’s, spouse’s, or registered domestic partner’s business
  • Living trust holdings:
    • Real property
    • Investments - stock
slide40

Schedule A-2

Anderson Construction

4560 County Road 2, Sunny Knoll, CA

1221 Wrangler Road

Builders

Sunny Knoll, CA

Partner

Dave Howard

Customers

slide41

Schedule BInterests in Real Property

Common Errors

  • Precise location not reported.
  • Sources of rental income not reported.
  • If property disposed of during reporting period, failure to disclose income from the sale on Schedule C.

Common Reportable

  • Rental property
  • Vacant land/lot
slide42

1431 Hart Way

Schedule B

Hart Way

Sunny Knoll

slide43

Schedule CIncome & Business Positions

Common Errors

Common Reportable

  • Name of spouse’s or registered domestic partner’s employer not reported.
  • Filer’s, spouse’s, or registered domestic partner’s business only reported on Schedule C, instead of Schedule A-2.
  • Gross income not reported.
  • Spouse’s or registered domestic partner’s income (50%)
  • Proceeds from any sale, e.g., home or car
slide44

Home Depot

Home

Name of spouse’s or partner’s employer required

Schedule C

Tina Clark

John Dow

7464 Silent Drive, Sunny Knoll

4100 Main Street, Sunny Knoll

Retail Home Improvement Stores

Accountant

slide45

Schedule C

Income - Loans

Loans made by a commercial lending institution in the normal course of business are not reportable.

15 years

5

Dennis Hall

124 Hilltop Drive, Sunny Knoll

Attorney

slide46

Schedule DIncome - Gifts

Common Errors

  • Value of gift not reported.
  • Date gift received not reported.
  • Description of gift not reported.
  • The gift limit effective 1/1/2009 – 12/31/2010 is $420. Gift(s) over $420 from one source received during 2009? If so, call FPPC for guidance.

Common Reportable

  • Tickets to entertainment events
  • Meals
slide47

$50 Reporting Threshold

Notes:

No Jurisdictional Boundary

$420 Annual Gift Limit Per Source

(01/01/2009 through 12/31/2010)

Schedule D

Sunny Knoll Real Estate Co.

RMHA

Richard’s Midtown Hair Affair

1859 F Street, Sunny Knoll, CA

312 5th St., Redding, CA

Real Estate Sales

Beauty Shop

10 15 09

Haircut/Style

100.00

05 15 09

85.00

Dinner

08 20 09

350.00

Painting

slide48

Travel payments received from the filer’s agency are not reportable.

Note:

Schedule EIncome – Gifts, Travel Payments,

Advances & Reimbursements

Common Errors

  • Value of payment not reported.
  • Date and description of travel not reported.
  • Gift or income box not checked.

Generally, travel payments reported on Form 801 are not required to be reported on Form 700.

slide49

One box must be checked.

Note:

Schedule E

Northern California Water Association

565 Spring Street

Sacramento, CA

Trade Association

03 22 09

250.00

03 21 09

Air transportation to attend a

conference in San Diego, CA

amendments
Amendments
  • Notify all persons who appear to have filed incomplete or incorrect statements.
  • May be filed at any time.
  • No fines for filing amendments.
  • Use amendment forms provided on the FPPC’s website.

Interactive Form Available

www.fppc.ca.gov

form 801 gifts to an agency two key elements
Form 801 Gifts to An Agency Two key elements:

1. The payment (or item) must provide a personal benefitto a public official that would otherwise result in a gift to the official (e.g. travel).

2. The payment (or item) may only be used for official agency business and the recipient must be determined by the agency—no earmarking.

If the purpose of the payment is solely personal in nature, it is not a gift to the agency.

There are additional requirements that must be met, as specified in Reg. 18944.2

slide52

Form 802 Tickets or Passes to An Agency

Regulation 18944.1 addresses requirements related to an agency’s treatment of tickets for entertainment events. The regulation sets out rules and requires agencies to post the agency’s policy and the Form 802 on the agency’s website.

Example: A concert promoter provided 10 tickets to the agency. No official was selected by the promoter to attend. Following the agency’s written policy, the agency selected the recipients and posted Form 802 on its website.

If attendees receive food and beverages at the event, such gifts are often subject to disclosure and limits.

form 803 behested payment reports

WHAT’S NEW?

Form 803 Behested Payment Reports

Form 803 is used by elected officers to disclose payments made at their behest, principally for legislative, governmental, or charitable purposes.

8

  • File the form with the agency within 30 days following the date on which the payment(s) meets or exceeds five thousand dollars ($5,000) in the aggregate from a single source in a calendar year.
  • Example:
    • Mayor Travers sends a mailer soliciting funds for the Boys and Girls Club. An insurance company provides $5,000. Mayor Travers must file a report within 30 days of the $5,000 payment.
visit our website

Check it out!

Visit Our Website

www.fppc.ca.gov

  • SEI Form 700 and Reference Pamphlet
  • Political Reform Act/Regulations
  • Fact Sheets
  • Free Local Ethics Training
  • Mailing Lists

Thank You for Attending!

Please complete the seminar evaluation located in your packet.