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What is a Statement of Economic Interests? Who has
to file it?
Provisions of state law, called the Political Reform Act, require that certain
government employees and officials, as well as candidates for public office,
annually file a document disclosing investments, interests in real property,
income, gifts, honoraria, travel expenses, and loans they have received during
the past year. The City's Ethics Ordinance
is a local law imposing similar filing requirements. These laws are designed
to inform the public of financial interests that could influence public officials
who have decision-making powers.
The California Fair Political Practices Commission (FPPC) has adopted a form which must be used when disclosing a person's financial interests. The form is called the Statement of Economic Interests, and is sometimes referred to in an abbreviated manner as an SEI or a Form 700. Correctly filing this document satisfies the requirements of the Political Reform Act and the City's Ethics Ordinance.
Filers are persons who have been identified by the Political Reform Act or Ethics Ordinance as having a certain amount of decision-making power. Both state and local law divide filers into two categories. The City of San Diego refers to these categories as: (1) High Level Filers and (2) Local Code Filers.
Who are High Level Filers?
The Political Reform Act, at section 87200 of the Government Code, identifies certain public officials who have a great amount of decision-making power or who control the investment of public funds. These individuals are referred to in the City's Ethics Ordinance as High Level Filers. The City's High Level Filers are the Mayor, the members of the City Council, the City Attorney, the City Manager, the City Treasurer, the City Auditor, members of the Planning Commission, members of the Funds Commission, members of the Retirement Board, members of the Defined Contribution Plan Board, members of the Ethics Commission, and any candidate for an elective office of the City.
Who are Local Code Filers?
Some City officials and employees are not considered High Level Filers by the
Political Reform Act or the Ethics Ordinance, but they are nevertheless involved
in making decisions that could affect their financial interests. For these individuals,
it is up to the City Council to decide what their disclosure requirements are.
The City Council has adopted a conflict of interest code tailoring the disclosure
requirements for each position within the City to the types of governmental
decisions a person holding that position would make. For example, a City employee
who approves contracts for goods or services purchased by her agency will not
be required to disclose real estate interests, but will be required to disclose
investments in and income from individuals and entities that supply equipment,
materials, or services to the City. Consultants and unpaid members of boards
and commissions may also be required to disclose their personal financial interests
if they make or participate in making governmental decisions that could affect
their private financial interests.
How do I find out what kind of filer I am?
You are a High Level Filer if you fall in one of the categories set forth above.
If you are not a High Level Filer, but are involved in making decisions on behalf
of the City, you are probably a Local Code Filer. If you work for a High Level
Filer or a City department, or serve as a member of a City board, commission,
or task force, you have a conflict of interest liaison to the City Clerk; contact
this person for information regarding the disclosure requirements for your position.
If you're not sure who your liaison is, contact the City
Clerk for assistance.
Does the City's Ethics Ordinance treat Local Code Filers
and High Level Filers differently?
Yes. While most of the Ethics Ordinance
treats these two groups the same, High Level Filers are held to higher standards.
They must disclose a broader range of financial interests. They are also subject
to more stringent restrictions on the kinds of benefits they can receive. For
example, High Level Filers cannot accept gifts valued
at more than $420 per year from a single source. Local Code Filers can accept
gifts in excess of $420 if they would not be required to disclose such gifts
on their Statement of Economic Interests. High Level Filers cannot accept any
honoraria. Local Code Filers can accept an honorarium
if they would not be required to disclose it on their Statement of Economic
Interests.
When do I file my annual Statement of Economic Interests?
High Level Filers and Local Code Filers are required to file their annual Statement
of Economic Interests on or before April 1 of each calendar year. The annual
statement covers a disclosure period of January 1 through December 31 of the
previous calendar year. If, however, a filer assumes a City office between
October 1 and December 31 of the previous year and timely files an "assuming
office" Statement of Economic Interests, he or she does not need to file
an annual Statement of Economic Interests until the following year.
What are "assuming office" and "leaving
office" statements?
An "assuming office" statement is a Statement of Economic Interests
that must be filed by a High Level Filer or a Local Code Filer within 30 calendar
days after assuming office unless the filer is beginning a new term in the same
office. A"leaving office" statement is a Statement of Economic Interests
that must be filed by a High Level Filer or a Local Code Filer within 30 calendar
days of leaving unless the filer is assuming another office with the City. These
statements are also made on the FPPC's Form 700.
I am an elected City Official. Do I have to file a
Statement of Economic Interests twice a year now?
No. The requirement for semiannual filing is limited to gifts which have been
accepted during the disclosure period. The disclosure period is from January
1 through June 30. For this mid-year filing, use the form adopted by the Ethics
Commission instead of the regular Statement of Economic Interests form (Form
700). The Ethics Commission form, called an EC700 (PDF: 1Mb),
may be obtained from the Ethics Commission's website.
Keep in mind that the gifts you disclose at the midyear filing on the EC700
will have to be re-disclosed on your Form 700.
I was appointed to a City board. Do I have to file
a Statement of Economic Interests?
Probably. Most persons appointed to a City board, commission, or task force
are required to file a Statement of Economic Interests. There are, however,
some exceptions. The City Council has identified certain City bodies that are
purely advisory and whose members are not required to disclose their financial
interests. Contact your board's liaison to the City
Clerk to find out if the members of your board are required to file.
I am a classified City employee. Do I have to file
a Statement of Economic Interests?
The Ethics Ordinance does not apply to classified City employees, but some classified
City employees do need to file a Statement of Economic Interests. Generally,
City employees who play a significant role in the City's decision making process
are required to disclose their financial interests. The extent of their disclosure
depends on the conflict of interest code adopted for their position. Contact
your department's liaison to the City
Clerk for additional information.
I still have questions. How do I get help?
The City Clerk's Office website
contains additional information regarding Statements of Economic Interest. The
Ethics Commission is also available to provide telephonic or written advice regarding these matters.
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